中资跨国公司海外R&D全球布局与地方根植性研究-以在德中资电子信息企业为例

The majority of multinational enterprises (MNEs) carrying out direct investment in multiple countries or regions traditionally originate from developed economies. In the last ten years, however, there has been dramatic growth in foreign direct investment (FDI) from China not only to developing but also to developed economies, which share little similarity as host countries. It is a comparatively new phenomenon that challenges the classic FDI theories. In this paper, we review the pros and cons of three important theories, known as the location theories, the globalization of R&Ds and regional innovation system. We analyze the geographical distribution of Chinese R&Ds and location factors, the global intra-firm R&D networks via social network method, and the embeddedness of overseas R&Ds in local networks based on the data collected by firm interviews and questionnaire. We find out that: (1) Geographical distance matters to the location choice, and so does the network position; (2) Chinese MNEs have strong control over patent, and therefore the R&Ds are structured as “Star” model; (3) The overseas R&Ds need to deal with the cognitive distances between firms in China and in Germany, such as language, institutional and market differences, and shows that overseas R&D is made to serve as a way to reducing or bridging this cognitive distance, or to say the knowledge brokers between Chinese MNEs and the foreign innovation system. (4) Chinese MNEs may catch up with the first movers if they can bring together the most advanced knowledge acquired in developed markets with the knowledge about adaptation needs and the need for cost reduction in production as expressed in developing countries. They may also accelerate the knowledge transfer globally. Our research unpacks the concept of global pipelines for knowledge sharing in a local-global context and explores the great difficulties to be overcome for such pipelines to transfer knowledge. We thus fill a gap in research into the geographical pattern of Chinese FDI and offer a deeper understanding of the internationalization of Chinese MNEs and revolving knowledge transfer.

在“全面提高开放型经济水平”和“创新驱动发展战略”政策方针指引下，中资跨国公司建立海外R&D中心，以求实现技术的升级和国际竞争力的增强。然而，由于海外数据的难获得性，相关研究尚处于起步阶段。本项目在评述R&D区位论、跨国公司R&D全球治理和区域创新系统等理论的基础上，利用社会网络法分析中资跨国公司海外R&D中心区位选择和全球布局，研究地理距离和知识网络距离对R&D中心区位选择影响，比较国内外R&D中心对企业创新能力提高的重要性，探讨企业内部知识共享和流动的时空变化；通过与国外教授合作访谈海外R&D中心、合作大学和研究机构等探讨中资跨国公司海外R&D中心地方根植性以及在全球和地方网络知识互动中的经纪人作用，丰富了全球-地方知识流动和发展中国家跨国公司技术升级的理论探讨，也为中资跨国公司海外R&D融入当地知识网络、实现技术吸收和跨国公司内全球知识整合提供理论指导和政策建议。

在“一带一路”和“创新驱动发展战略”政策方针指引下，中资跨国公司建立海外R&D中心，以求实现技术的升级和国际竞争力的增强。自项目执行以来，项目组对中资跨国公司海外R&D的空间特征及对海外根植性进行了深入的研究。首先，在评述R&D区位论、跨国公司R&D全球治理和区域创新系统等理论的基础上建立了全球-地方创新网络研究理论框架；之后基于全球专利合作建立中资跨国公司创新合作数据库，利用社会网络法分析中资跨国公司海外R&D中心区位选择、全球布局和网络结构；通过大量的中资跨国公司海外R&D中心、合作大学和研究机构进行问卷和访谈调查等探讨中资跨国公司海外R&D中心地方根植性和掣肘因素。研究发现：（1）中资企业通过在全球卓越中心建立海外R&D中心，实现技术搜索，母国内总部的R&D中心是技术研发和商业化的主要执行者，是典型的星型之类结构。研发国际化加速了中国与全球卓越中心知识通道的知识流动，深化了全球知识通道类型研究。（2）通过对中国企业在海外的投资动力、区位选择以及在国外的知识获取这三个方面考查“关系”在这些过程中所扮演的角色，发现中国的资本已经被塑造成了一个将现代企业管理与传统“关系”网络相结合的混合形式。因此忽略或过分强调“关系”所扮演的角色的研究都可能会导致不正确的理解。（3）中资企业R&D国际化的主要驱动力是获得国际人才和实现产学研合作。中资企业与韩国、台湾企业不同，未经历全球营销承包商或原始设计制造商的阶段，而是直接通过在全球卓越中心建立R&D中心、与全球一流大学或科研院所合作来实现创新能力的提升和品牌的塑造的。此项目在全球-地方背景下重新解读了全球知识通道的表现，首次发现了中资跨国公司的知识源和吸收途径的特殊性，为全球通道的研究提供了新的思路。