返回
类型 综合研究 预答辩日期 2017-11-11
开始(开题)日期 2014-04-17 论文结束日期 2017-09-02
地点 四牌楼东南院305 论文选题来源 中央、国家各部门项目     论文字数 12.9 (万字)
题目 后发国家企业技术创新投入和采纳策略研究
主题词 技术创新投入,技术采纳,政府补贴,后发国家企业,产业组织理论
摘要 当前,提升企业自主创新能力,支持企业尽快成为技术创新的主体,是我国实施创新驱动发展战略建设创新型国家的一项重大战略任务。与先发国家企业技术创新不同,我国这样的后发国家,企业技术创新面临先发国家企业的巨大竞争压力,这对后发国家企业技术创新的策略选择具有直接和很大的影响。本文综合运用技术创新管理理论、产业组织理论、博弈论与信息经济学、决策论以及优化理论等,采用理论分析与数值模拟相结合的方法,考虑先发国家企业技术优势、先发国家企业对后发国家企业的价格打压、后发国家引进技术时的技术回报不确定性、技术溢出、政府激励等因素,研究这些因素对后发国家企业技术创新投入与采纳策略的影响。 首先,针对在后发国家市场中具有技术优势的先发国家企业和生产同质产品的后发国家企业竞争情况,从三个方面研究了后发国家企业的技术创新投入策略。一是假设后发国家市场为股份制公有企业、纯私有企业、合资企业的混合三寡头竞争市场,研究后发国家企业私有化程度、合资企业中的国内控股比例对后发国家企业技术创新投入的影响。研究认为,后发国家企业的技术创新投入随着后发国家私有化程度以及合资企业的国内控股比例的变化而变化。二是考虑先发国家企业的技术优势,后发国家政府往往给予本国企业研发投入补贴和研发产出补贴,研究政府的两种补贴策略对企业技术创新投入的影响。研究认为,研发产出补贴策略对本国企业创新投入的激励作用要优于研发投入补贴策略。三是假设市场是含有一个先发国家企业和两个后发国家企业的三寡头竞争市场,研究后发国家两企业之间在研发竞争、研发卡特尔、共同实验等三种竞争与合作模式下的创新投入策略。研究认为,在先发国家企业具有技术优势的竞争环境下,研发卡特尔竞争是后发国家企业技术创新的最优策略。 其次,针对在后发国家市场具有领先技术的先发国家企业和生产差异化产品的后发国家企业进行价格竞争情况,从两个方面研究了后发国家企业的技术创新投入策略。一是假设市场竞争为同时价格竞争,把后发国家企业分为公有企业和私有企业两种情形,研究企业私有化程度、研发投入补贴对后发国家企业技术创新投入的影响。研究表明,后发国家企业的私有化将会降低国内企业的创新投入,研发投入补贴对后发国家私有企业技术创新投入具有一定的激励作用。二是假设在市场竞争阶段先发国家企业先制定产品价格作为价格主导者,后发国家企业作为价格追随者,研究了后发国家政府给予本国企业研发投入补贴和研发产出补贴两种方式下的企业技术创新投入策略。研究表明,当产品差异较大时,研发产出补贴政策更能激励后发国家企业增加创新投入;当产品差异较小时,研发投入补贴政策激励作用更强。 再次,研究了溢出效应下生产差异化产品的后发国家企业技术创新投入策略。假设先发国家企业作为领导者率先进行技术创新投入,后发国家企业跟随进行创新投入,分析技术溢出与产品差异性对企业技术创新投入的影响。研究表明,当先发国家企业与后发国家企业的技术创新效率相当时,后发国家企业的技术创新投入与技术溢出正相关;当先发国家企业技术创新效率较高且后发国家企业技术创新效率较低时,技术溢出的增加会降低后发国家企业的技术创新投入。进一步,考虑政府激励因素以及技术溢出,分析了产品差异性、技术溢出、研发投入补贴对后发国家企业技术创新投入策略的影响。研究认为,后发国家企业的技术创新投入随着研发投入补贴的增加而增加。如果两企业之间的产品差异不大,并且政府给予企业的研发投入补贴不多时,随着技术溢出的增加,后发国家企业的技术创新投入将减少;如果企业的产品差异较大,并且政府给予企业的研发投入补贴较多时,随着技术溢出的增加,后发国家企业技术创新投入将增大。 接着,研究了后发国家企业从先发国家企业购买新技术实施创新时的技术采纳策略问题。考虑企业在采纳新技术过程中的技术溢出、创新回报不确定性、技术采纳时间以及贴现率等因素,研究了后发国家企业的新技术最优采纳时间。研究表明,随着创新回报不确定性的增加,率先采纳新技术的企业越应及早采纳新技术。在古诺竞争和伯川德竞争情形下,创新回报不确定性、产品差异以及技术溢出变化时,后发国家企业采纳新技术的最优时间也将随之发生改变。 最后,论文在理论研究基础之上,通过多个企业技术创新案例剖析,对前述理论分析结果进行了验证说明,论证了理论研究的合理性与科学性。
英文题目 The Study on Technological Innovation Investment and Adoption Strategies of Latecomer National Enterprises
英文主题词 technological innovation investment, technology adoption, government subsidies, latecomer national enterprises, industrial organization theory
英文摘要 At present, in implementing innovation-driven development strategy to build an innovation-oriented country, it is an important strategic task for China to enhance the independent innovation capability of enterprises, and support enterprises to be the main subject of technological innovation as soon as possible. Different from the technological innovation of the first-mover national enterprises, the technological innovation of late-comer countries like China faces the great competitive pressure from first-mover national enterprises, which will have a direct and significant influence on the strategy selection of technological innovation. In this paper, we consider the factors such as technical advantage of first-mover national enterprises, first-mover national enterprises crack down on the price to late-comer national enterprises, the uncertainty of new technological innovation returns, technology spillovers, the government incentive, and research the influence of these factors on the technological innovation investment and adoption strategy of late-comer national enterprises, by comprehensive using technical innovation management theory, industrial organization theory, game theory and information economics, decision theory and optimization theory, and adopting the method of combining theoretical analysis with numerical simulation. Firstly, considering the first-mover national enterprise with the technical advantages in the late-comer national market, and competition with late-comer national enterprises producing homogenous products, we study the technological innovation investment strategies of the late-comer national enterprises from three aspects. First, assuming that the mixed three oligarchs market contains a joint-stock public enterprise, a pure private enterprise, and a joint venture in the late-comer country, we reasearch the impact of the degree of privatization of the late-comer national enterprises and domestic stockholding ratio of joint venture on the technological innovation investment of the late-comer national enterprises. The results show that, the technological innovation investment of the late-comer national enterprise will change with the degree of privatization of the late-comer national enterprise and the domestic shareholding ratio of joint venture. Second, taking into account the technical advantages of the first-mover national enterprise, in the context of research and development (R&D) investment subsidies and product subsidies for domestic enterprises provided by the late-comer national governments, the impact of the two subsidies strategies on technological innovation investment of enterprises is analyzed. The research shows that, the product subsidies policy drawn up by the government to encourage innovation of domestic enterprises is more effective than the R&D investment subsidies policy. Third, the innovative investment strategy of the late-comer national enterprises is studied while two domestic enterprises in the competition, R&D cartel, and joint experiment, in the context of the market containing a first-mover national enterprise and two late-comer national enterprises. Studies have shown that, R&D cartel competition is the optimal strategy for the technology innovation of the late-comer national enterprises, when the late-comer national enterprises in the face of competing to a first-mover national enterprise with leading-edgy technology. Secondly, considering the first-mover national enterprise with the technical advantages in the late-comer national market, and competition in price with late-comer national enterprises producing differentiated products, we research the technology innovation investment strategy of the late-comer national enterprises from two aspects. First, under Bertrand competition, the impact of privatization and R&D investment subsidies on technology innovation investment of late-comer national enterprises are analyzed, when late-comer national enterprises are public enterprises and private enterprises. The result shows that, the privatization of enterprises reduces R&D investment of the domestic enterprises, and R&D investment subsidies increases R&D investment of private enterprises. Second, when first-mover national enterprise as a price leader and domestic firm as a follower in competition, technology innovation investment strategies of the late-comer national enterprises are researched, in the context of the government providing R&D investment subsidy and R&D product subsidy for the domestic firm. The study shows that, R&D product subsidy policy is better while the product difference is larger, R&D investment subsidy policy exceeds R&D product subsidy policy while the product difference is smaller. Thirdly, the technological innovation investment strategy of the late-comer national enterprises producing differentiated products with the spillover is studied. When the first-mover national enterprise as a leader in technological innovation investment, followed by a late-comer national enterprise, the impact of technology spillover and product differentiation on technological innovation investment is analyzed. The researches show that, when the technological innovation efficiency of enterprises are both big or small, the technological innovation investment of the late-comer national enterprise is positively correlated with the spillover. When the technology innovation efficiency of the first-mover national enterprise is high and the late-comer national enterprise is low, the increasement of spillover will decrease the technology innovation investment of the late-comer national enterprise. Furthermore, considering the government incentives and spillover, the influence of product differentiation, spillover and R&D investment subsidy on the technology innovation investment strategy of the late-comer national enterprises is studied. According to the research, the technological innovation investment of the late-comer national enterprises will increase with the increasement of the R&D investment subsidy. If the product differentiation is not big, and the R&D investment subsidy is less, the technological innovation investment will reduce, with the increasement of spillover. Conversely,the technological innovation investment will increase. Fourthly, the technology adoption strategy of the late-comer national enterprises which buy new technology from first-mover national enterprises is studied. Taking into account the technological spillover and the uncertainty of new technological innovation returns in the process of adopting new technologies, technology adoption time and discount rate, the optimal adoption time of late-comer national enterprises are analyzed. The results show that, the leading enterprise should adopt new technology as early as possible, with the increasing uncertainty of innovative returns. Under Cournot competition and Bertrand competition, the optimal time to adopt new technologies varies with uncertainty of innovation returns, product differentiation and technological spillovers. Finally, based on the theoretical study, some enterprise technical innovation cases study is developed, which interprets the theoretical results more deeply, and verifies the rationality of the theoretical research.
学术讨论
主办单位时间地点报告人报告主题
东南大学经济管理学院 2014-9-23 经济管理学院C-403 张伟 The Impact Analysis of Spillover on the R&D Investment to Competitive Firms
东南大学经济管理学院 2013-9-22 经济管理学院C-403 张伟 基于产品差异的研发补贴、技术溢出与研发投入研究
东南大学经济管理学院 2014-3-27 经济管理学院C-403 张伟 创新回报不确定性下新技术采纳时间研究
东南大学经济管理学院 2015-11-12 经济管理学院C-403 张伟 国外企业竞争下国内企业的研发补贴策略研究
东南大学经济管理学院 2013-5-10 经济管理学院B-201 汤兵勇 电子商务模式创新的发展趋势
东南大学经济管理学院 2013-6-19 经济管理学院B-201 张国庆 Optimal production planning for a closed loop system with uncertain demand and return
东南大学经济管理学院 2013-11-20 经济管理学院B-201 陈国青 大数据时代商务管理挑战与前沿课题
东南大学经济管理学院 2014-12-11 经济管理学院B-201 Shuya Yin Managing Competition and Cooperation in Supply Chains
东南大学经济管理学院 2015-3-21 经济管理学院C-403 张伟 有序价格竞争下国内企业的研发补贴方式研究
     
学术会议
会议名称时间地点本人报告本人报告题目
ICIII2014 2014-10-25 西安 The Impact Analysis of Spillover and Product Differentiation on the R&D Investment to Competitive Firms
长三角协同管理研究会2016年年会 2016-5-31 合肥 先发国家企业领先技术冲击下国内企业研发投入研究
2015 3rd international Conference on Social Sciences Research 2015-12-6 新加坡 Study on Investment Strategy of New Technology under Uncertain Circumstances
     
代表作
论文名称
基于差异产品的外资渗透、私有化程度与社会福利研究
伯川德竞争下的混合寡头研发投入
R&D subsidy policy of domestic firm considering foreign firm competition
基于外资渗透和部分私有化的混合多寡头研发投入研究
Study on Investment Strategy of New Technology under Uncertain Circumstances
基于产品差异的研发补贴、技术溢出与研发投入研究
The Research on Equilibrium in R&D Investment of Firms Based on Foreign Competitive Firm and Product
 
答辩委员会组成信息
姓名职称导师类别工作单位是否主席备注
梅姝娥 正高 教授 博导 东南大学
张玉林 正高 教授 博导 东南大学
郑江淮 正高 教授 博导 南京大学
吴利华 正高 教授 博导 东南大学
陆敬筠 正高 教授 硕导 南京工业大学
      
答辩秘书信息
姓名职称工作单位备注
高星 副高 副教授 东南大学