广州市跨国制造企业研发模式演变
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摘要
跨国资本对发展中地区创新过程的影响已获得学术界高度关注,但对跨国资本在发展中地区研发模式的演变及其影响因素的研究仍然有限。通过半结构式问卷调研与深入访谈,对广州市跨国制造企业研发模式演变及引致其模式变迁的本土因素进行研究。结果表明:跨国制造企业研发模式的演变主要表现为本地研发人员比例逐步提高,开始构建包含本地创新主体在内的多渠道技术获取网络;调整新产品发布策略,加大对核心技术的保护;增加对研发资源的投入,"独立"和"辅助"母公司技术研发的职能显化,开始将本土企业纳入创新链条等。市场规模扩张、本土企业技术能力增加导致的市场推力和珠三角日益强化的资源、环境规制是引发跨国资本研发模式演变的主体因素。
The impact of transnational capital on local technical innovation has attracted much attention during the last two decades. Few literatures, however, have envolved in the study of R&D mode evolution and its influencing factors of transnational enterprises themselves in developing regions. Based on a case study of manufacturing industry in Guangzhou, this research tries to explore the evolution law and main characteristics, influencing factors of foreign manufacturing enterprises located in developing countries with the point view of micro-behavior of enterprises. Field work is carried out to get innovation behavior data of both transnational and indigenous manufacturing enterprises by using semi-structured questionnaire through face-to-face interviews selected by convenient and snowball sampling. The results show that the evolution of R&D mode of transnational enterprises includes: 1) the rate of local researcher is gradually increasing and multi-channel technology network including local innovation subjects is being built; 2) the kinds of new products continue to increase and the launch of new products are accelerated; 3) the protection of core technology is reinforced; 4) the number of R&D expenditure, staff and institutions are increasing and the indigenous enterprises are incorporated into innovation chain; 5) the independent R&D behavior and the role as an R&D assistant of its parent company are strengthened; The fierce competition of transnational enterprises due to the indigenous market expansion, the increasing ability of R&D and technology of local enterprises as well as the weakness of low-cost production and the regulation of resource and environment of the Pearl River Delta are the main reasons for transnational enterprises to upgrade the R&D behavior.
The impact of transnational capital on local technical innovation has attracted much attention during the last two decades. Few literatures, however, have envolved in the study of R&D mode evolution and its influencing factors of transnational enterprises themselves in developing regions. Based on a case study of manufacturing industry in Guangzhou, this research tries to explore the evolution law and main characteristics, influencing factors of foreign manufacturing enterprises located in developing countries with the point view of micro-behavior of enterprises. Field work is carried out to get innovation behavior data of both transnational and indigenous manufacturing enterprises by using semi-structured questionnaire through face-to-face interviews selected by convenient and snowball sampling. The results show that the evolution of R&D mode of transnational enterprises includes: 1) the rate of local researcher is gradually increasing and multi-channel technology network including local innovation subjects is being built; 2) the kinds of new products continue to increase and the launch of new products are accelerated; 3) the protection of core technology is reinforced; 4) the number of R&D expenditure, staff and institutions are increasing and the indigenous enterprises are incorporated into innovation chain; 5) the independent R&D behavior and the role as an R&D assistant of its parent company are strengthened; The fierce competition of transnational enterprises due to the indigenous market expansion, the increasing ability of R&D and technology of local enterprises as well as the weakness of low-cost production and the regulation of resource and environment of the Pearl River Delta are the main reasons for transnational enterprises to upgrade the R&D behavior.
引文
[1]夏丽丽.发展中地区本土与外来企业的技术互动及机制研究[J].特区经济,2013(3):26-31.
[2]LIU X,BUCK T.Innovation performance and channels for international technology spillovers:Evidence from Chinese high-tech industries[J].Research Policy,2007,36:355-366.
[3]DAO M C.International spillovers of labour market policies[J].Oxford Economic Papers,2013,65(2):417-446.
[4]NIETO M J,RODRIQUEZ A.Offshoring of R&D:looking abroad to improve innovation performance[J].Journal of International Business Studies,2011,42(3):345-361.
[5]BELDERBOS R,ITO B,WAKASUGI R.Intra-firm technology transfer and R&D in foreign affiliates:Substitutes or complements?Evidence from Japanese multinational firms[J].Journal of the Japanese and International Economies,2008,22:310-319.
[6]FAN P.Innovation,globalization,and catch-up of latecomers:cases of Chinese telecom firms[J].Environment and Planning A,2011,43:830-849.
[7]AMBOS B.Foreign direct investment in industrial research and development:A study of German MNCs[J].Research Policy,2005,34:395-410.
[8]HEGDE D,HICKS D.The maturation of global corporate R&D:evidence from the activity of US foreign subsidiaries[J].Research Policy,2008,37:390-406.
[9]ROPER S,DU J,LOVE J H.Modelling the innovation value chain[J].Research Policy,2008(37):961-977.
[10]SHIH H Y,CHANG P L.Industrial innovation networks in Taiwan and China:A comparative analysis[J].Technology in Society,2009,31:176-186.
[11]SCHMITZ H.Transitions and trajectories in the build-up of innovation capabilities:Insights from the global value chain approach[J].Asian Journal of Technology Innovation,2007,15(2):151-160.
[12]ANA P,CARMEN C M,LAVADO A C,et al.How social capital and knowledge affect innovation[J].Journal of Business Research,2011,64:1369-1376.
[13]ENGELBRECHT H J.Beyond Borders:Internationalisation of R&D and policy implications for small open economies[J].Information Economics and Policy,2008,20:103-106.
[14]KAFOUROS M I,BUCKLEY P J,SHARP J A,et al.The role of internationalization in explaining innovation performance[J].Technovation,2008,28:63-74.
[15]张建清,孙元元.国外技术溢出内生与吸收能力的动态特征[J].经济评论,2012(6):74-83.
[16]鲁钊阳,廖杉杉.FDI技术溢出与区域创新能力差异的双门槛效应[J].数量经济技术经济研究,2012(5):75-88.
[17]潘峰华,贺灿飞,孙蕾.外商直接投资溢出效应——对江苏和浙江制造业的实证研究[J].地域研究与开发,2008,27(3):21-25.
[18]白嘉,张会新.垂直专业化分工的技术溢出效应研究[J].中国软科学,2013(8):176-192.
[19]刘洪钟,齐震.中国参与全球生产链的技术溢出效应分析[J].中国工业经济,2012(1):68-78.
[20]梅丽霞,王缉慈.权力集中化、生产片断化与全球价值链下本土产业的升级[J].人文地理,2009,24(4):32-37.
[21]朱华晟,王缉慈,李鹏飞,等.基于多重动力机制的集群企业迁移及区域影响[J].地理科学进展,2009,28(3):329-336.
[22]杜德斌.跨国公司R&D全球化:地理学的视角[J].世界地理研究,2007,16(4):106-114.
[23]李小建.经济地理学中的企业网络研究[J].经济地理,2002,22(5):516-520.
[24]孙少勤,邱斌.全球生产网络条件下FDI的技术溢出渠道研究[J].南开经济研究,2011(4):50-66.
[25]楚天骄,杜德斌.跨国公司研发机构与本土互动机制研究[J].中国软科学,2006(2):127-132.
[26]江小涓.跨国公司在华投资企业的研发行为[J].科技导报,2000(8):27-31.
[27]乔标.提升中国制造业研发创新能力的战略思考[EB/OL].[2012-05-17].http://kfq.people.com.cn/GB/17917161.html.
[28]景体华,陈孟平,陈维,等.2006―2007年:中国区域经济发展报告[M].北京:社会科学文献出版社,2007:301-303.
①接受访问的跨国制造企业除1家拒绝回答外,62.5%的企业经营时间介于10~20 a之间,29.17%的企业为<10 a,所以大部分企业的创立时间为
20 世纪90年代后,故调研结果反映的主要是20世纪90年代以来的研发模式演变。
②在调研过程中,多家企业以各种理由拒绝面对面的问卷调研,接受调研的企业中也有多家以“企业机密”为由拒绝填写问卷的部分内容。这极大地增加了问卷调研的难度。
③先将外来投资企业空间聚集的区域划分为若干片区,对每一片区的企业首先采用便利抽样方法,即不设定严格的抽样标准,愿意接受访问的企业即可成为样本。访问结束后,询问受访企业是否愿意提供与其熟识或有业务联系的其他企业信息,若是,则采用滚雪球式抽样方法;若否,则继续采用便利抽样方法。
④文中数据如无特别说明,均来自对企业的实地调研。
⑤分别将母公司技术传输或企业内部研发作为唯一的技术来源。
⑥这些节点分别是:母公司的技术传输(45.8%);公司内部的研发机构(45.8%);全球技术市场(12.5%);与本地大学(或研究机构)的研发合作(16.7%);本地技术市场(4.2%)。括号内数字为将该节点作为企业重要创新节点的企业占受访企业总数的百分比。
⑦同时,分别有1家企业认为“研发成本低”和“研发技术适应本地”。
⑧根据国际经验,一般大型工业公司将年销售收入的2%左右用作研发开支;技术前沿的机械工程公司将年销售收入的4%~5%投入研发;通讯技术公司对研发的投入占年销售额的10%~15%;医药公司可达15%~20%。
⑨一般而言,成熟产业的技术人员仅占3%。
⑩这一点提示,即使在发展中地区,也存在着本土企业向跨国制造企业技术反向扩散的可能性。
[2]LIU X,BUCK T.Innovation performance and channels for international technology spillovers:Evidence from Chinese high-tech industries[J].Research Policy,2007,36:355-366.
[3]DAO M C.International spillovers of labour market policies[J].Oxford Economic Papers,2013,65(2):417-446.
[4]NIETO M J,RODRIQUEZ A.Offshoring of R&D:looking abroad to improve innovation performance[J].Journal of International Business Studies,2011,42(3):345-361.
[5]BELDERBOS R,ITO B,WAKASUGI R.Intra-firm technology transfer and R&D in foreign affiliates:Substitutes or complements?Evidence from Japanese multinational firms[J].Journal of the Japanese and International Economies,2008,22:310-319.
[6]FAN P.Innovation,globalization,and catch-up of latecomers:cases of Chinese telecom firms[J].Environment and Planning A,2011,43:830-849.
[7]AMBOS B.Foreign direct investment in industrial research and development:A study of German MNCs[J].Research Policy,2005,34:395-410.
[8]HEGDE D,HICKS D.The maturation of global corporate R&D:evidence from the activity of US foreign subsidiaries[J].Research Policy,2008,37:390-406.
[9]ROPER S,DU J,LOVE J H.Modelling the innovation value chain[J].Research Policy,2008(37):961-977.
[10]SHIH H Y,CHANG P L.Industrial innovation networks in Taiwan and China:A comparative analysis[J].Technology in Society,2009,31:176-186.
[11]SCHMITZ H.Transitions and trajectories in the build-up of innovation capabilities:Insights from the global value chain approach[J].Asian Journal of Technology Innovation,2007,15(2):151-160.
[12]ANA P,CARMEN C M,LAVADO A C,et al.How social capital and knowledge affect innovation[J].Journal of Business Research,2011,64:1369-1376.
[13]ENGELBRECHT H J.Beyond Borders:Internationalisation of R&D and policy implications for small open economies[J].Information Economics and Policy,2008,20:103-106.
[14]KAFOUROS M I,BUCKLEY P J,SHARP J A,et al.The role of internationalization in explaining innovation performance[J].Technovation,2008,28:63-74.
[15]张建清,孙元元.国外技术溢出内生与吸收能力的动态特征[J].经济评论,2012(6):74-83.
[16]鲁钊阳,廖杉杉.FDI技术溢出与区域创新能力差异的双门槛效应[J].数量经济技术经济研究,2012(5):75-88.
[17]潘峰华,贺灿飞,孙蕾.外商直接投资溢出效应——对江苏和浙江制造业的实证研究[J].地域研究与开发,2008,27(3):21-25.
[18]白嘉,张会新.垂直专业化分工的技术溢出效应研究[J].中国软科学,2013(8):176-192.
[19]刘洪钟,齐震.中国参与全球生产链的技术溢出效应分析[J].中国工业经济,2012(1):68-78.
[20]梅丽霞,王缉慈.权力集中化、生产片断化与全球价值链下本土产业的升级[J].人文地理,2009,24(4):32-37.
[21]朱华晟,王缉慈,李鹏飞,等.基于多重动力机制的集群企业迁移及区域影响[J].地理科学进展,2009,28(3):329-336.
[22]杜德斌.跨国公司R&D全球化:地理学的视角[J].世界地理研究,2007,16(4):106-114.
[23]李小建.经济地理学中的企业网络研究[J].经济地理,2002,22(5):516-520.
[24]孙少勤,邱斌.全球生产网络条件下FDI的技术溢出渠道研究[J].南开经济研究,2011(4):50-66.
[25]楚天骄,杜德斌.跨国公司研发机构与本土互动机制研究[J].中国软科学,2006(2):127-132.
[26]江小涓.跨国公司在华投资企业的研发行为[J].科技导报,2000(8):27-31.
[27]乔标.提升中国制造业研发创新能力的战略思考[EB/OL].[2012-05-17].http://kfq.people.com.cn/GB/17917161.html.
[28]景体华,陈孟平,陈维,等.2006―2007年:中国区域经济发展报告[M].北京:社会科学文献出版社,2007:301-303.
①接受访问的跨国制造企业除1家拒绝回答外,62.5%的企业经营时间介于10~20 a之间,29.17%的企业为<10 a,所以大部分企业的创立时间为
20 世纪90年代后,故调研结果反映的主要是20世纪90年代以来的研发模式演变。
②在调研过程中,多家企业以各种理由拒绝面对面的问卷调研,接受调研的企业中也有多家以“企业机密”为由拒绝填写问卷的部分内容。这极大地增加了问卷调研的难度。
③先将外来投资企业空间聚集的区域划分为若干片区,对每一片区的企业首先采用便利抽样方法,即不设定严格的抽样标准,愿意接受访问的企业即可成为样本。访问结束后,询问受访企业是否愿意提供与其熟识或有业务联系的其他企业信息,若是,则采用滚雪球式抽样方法;若否,则继续采用便利抽样方法。
④文中数据如无特别说明,均来自对企业的实地调研。
⑤分别将母公司技术传输或企业内部研发作为唯一的技术来源。
⑥这些节点分别是:母公司的技术传输(45.8%);公司内部的研发机构(45.8%);全球技术市场(12.5%);与本地大学(或研究机构)的研发合作(16.7%);本地技术市场(4.2%)。括号内数字为将该节点作为企业重要创新节点的企业占受访企业总数的百分比。
⑦同时,分别有1家企业认为“研发成本低”和“研发技术适应本地”。
⑧根据国际经验,一般大型工业公司将年销售收入的2%左右用作研发开支;技术前沿的机械工程公司将年销售收入的4%~5%投入研发;通讯技术公司对研发的投入占年销售额的10%~15%;医药公司可达15%~20%。
⑨一般而言,成熟产业的技术人员仅占3%。
⑩这一点提示,即使在发展中地区,也存在着本土企业向跨国制造企业技术反向扩散的可能性。