导　　师： 张成科

学科专业： L01

授予学位： 硕士

作　　者： ;

机构地区： 广东工业大学

摘　　要： 技术创新能力成为当前企业竞争优势的一个重要的源泉，研究开发(r&d)能力直接关乎企业的创新能力，有效地提高企业的技术研发效益成为企业面临的一项重要课题。这就要求企业在明确影响企业研发效益的各种因素的基础上选择正确的研发策略，以实现企业预期的研发效益。因此本文从不同的视角对企业的研发效益进行了研究，主要研究以下问题： 首先，在对企业研发相关理论及研究文献回顾的基础上，系统总结了企业r＆d的基本概念和r＆d的基本分类，探讨了企业层次的r＆d及其特点和过程，提出了5个影响企业r＆d投入效益的主要因素，同时对这些因素进行了简单分析。 其次，通过建立企业的生产系统模型，对比研发合作和研发不合作情况下企业的生产转换曲线，得出研发过程中研发合作或各自研发和技术溢出对企业最终效益的影响；通过建立cournot博弈模型，分析了企业研发投入和知识存量对吸收能力的影响。本文的研究表明吸收能力在研发过程中对企业效益有正面的促进作用。 再次，研究了地位不对称的两个企业的r＆d投入的策略选择对研发效益的影响，把企业的决策划分为产量决策和研发决策两个阶段并分别针对以下两种情形进行建模分析。情形Ⅰ：在产量决策阶段建立博弈模型，运用逆推归纳法，得出企业欲实现利润最大时的产量和利润函数；情形Ⅱ：根据企业面临的现实研发决策，把研发阶段细分为研发竞争和研发合作两种模式，再次建立stackelberg博弈模型，分别得出了投资对称和投资不对称，溢出对称和溢出不对称下企业实现相应利润时的研发投入水平。 最后，运用本文研究的部分理论，实证地研究了华为公司的cdma2000技术研发，其技术研发情况、知识存量、吸收能力等，分析了华为公司在两企业地位不对称下选择竞争型的研发战略的效益。 As the ability of technological innovation has been an important source of enterprises' competitive advantage nowadays,research and development/(R/&D/)capabilities have directly been related to their ability in innovation,improving the effectiveness of enterprises' technology R/&D has become an important subject which enterprises face.This requires enterprises to choose the correct strategy on the basis of various factors that affect the benefits of research and development,in order to achieve the expected enterprise R/&D efficiency.So this paper studies the enterprise R/&D efficiency from different angles,mainly about the following issues: Firstly,on the basis of reviewing the enterprises R/&D-related theory and research literature,the paper summarizes systemly the basic concept and the basic Category of R/&D,discusses the R/&D of enterprise-level and its process and characteristics,proposes five main factors which affect the investment efficiency of enterprise R/&D,and at the same time,the paper gives a simple analysis of these factors. Secondly,by establishing the enterprise production system model,the paper compared the enterprise production conversion curves under R/&D cooperation with non-cooperation,obtained the affect to the ultimate benefit of enterprises of R/&D cooperation or their own R/&D and technology spillovers during the development of R/&D;and by establishing Cournot game theory model,this paper analyzes the impact on absorption capacity of enterprise R/&D investment and knowledge stock.The research shows that the absorption capacity returns a positive role in promoting enterprise benefits during the course of the R/&D. Thirdly,the paper discusses R/&D investment strategy choices between two companies on the status of asymmetry affect the efficiency of R/&D. It divides the enterprise's decision into tow stages:production decision stage and R/&D stage,and separately establishes models below to analyze the two cases.CaseⅠ:Establish Stackelberg model in the production stage, which uses backward induction to obtain the maximum profits and profit functions that enterprise want to realize;CaseⅡ:According to the R/&D decision that the enterprise face,segment the R/&D stage into two models: competitive R/&D and cooperative R/&D.The paper establishes Stackelberg model once again,and obtains the relevant profits for invest levels under investment symmetric,investment asymmetry and spillover symmetric, spillover asymmetry. Finally,using partial theory in this paper,it studies empirically CDMA2000 technology R/&D of Huawei Company,its technology R/&D,knowledge stock,and absorption capacity so on,and analyzes the benefits of choosing the type of competition R/&D strategies under two companies on the asymmetric status in Huawei Company.

关 键 词： 投入效益 研发效益 博弈分析 企业效益

分 类 号： [F270.3]

领　　域： [经济管理] [经济管理]