R&D globalization and innovation upgrading of Chinese enterprises: An explanatory framework from location-connection perspective

doi:10.3969/j.issn.1004-9479.2024.09.20222309

Abstract

Abstract:

Geography has obvious theoretical advantages in explaining the globalization of enterprises' R&D. Based on the theory of international direct investment and the relevant theories of economic geography, this paper constructs an analytical framework for the globalization of Chinese enterprises' R&D from the two dimensions of location and relationship, and takes Huawei as an example to analyze the spatiotemporal characteristics of enterprise R&D globalization and the interaction mechanism between R&D globalization and enterprise innovation capability upgrading, so as to confirm the applicability of the interpretation framework. The study believes that the independent innovation ability and technology absorption ability accumulated by enterprises in related fields are the prerequisites for their R&D globalization. On this basis, choosing a suitable location to continue to deploy overseas R&D centers, making full use of the technical advantages and rich innovation resources of the host country, and relying on good inter-state relations and the cooperation network relationship between Chinese enterprises and host country enterprises, universities and research institutes are important strategic choices for enterprises to obtain innovation resources and knowledge spillover to achieve technological upgrading. However, in the context of increasingly fierce global science and technology competition and the prevalence of trade protectionism, the changes in inter-state relations have had a great impact on the R&D globalization of Chinese enterprises, and should also be regarded as an important factor for Chinese enterprises to consider overseas R&D investment. Finally, drawing on Huawei's R&D globalization development experience, suggestions are made for Chinese enterprises to choose appropriate locations to effectively implement overseas R&D investment to enhance their innovation capabilities. At the same time, it also provides theoretical and case support for relevant departments to formulate policies and measures to encourage Chinese enterprises to go global.

Key words: location-connection perspective, Chinese enterprises, R&D globalization, innovation upgrading, Huawei

摘要：

地理学对解释企业研发（R&D）全球化布局具有明显的理论优势，在国际直接投资理论基础上，结合经济地理学相关理论，从区位与关系两个维度构建中国企业R&D全球化的分析框架，并以华为为例分析企业R&D全球化的时空格局特征，以及R&D全球化与企业创新能力升级的相互作用机理以印证该解释框架的可适性。研究认为，企业在相关领域的自主创新能力及技术吸收能力积累是其通过R&D全球化提升核心竞争力的前提。在此基础上，选择合适区位充分利用东道国的技术优势和丰富的创新资源持续布局海外R&D中心，同时依托良好的国家间关系及中国企业与东道国企业、高校和科研院所的合作网络关系是企业获取创新资源及知识溢出以实现技术升级的重要战略选择。但在全球科技竞争日趋激烈及贸易保护主义盛行的背景下，国家间关系的变化对中国企业R&D全球化布局具有很大影响，也应作为中国企业海外R&D投资考虑的重要因素。最后，借鉴华为的发展经验，对中国企业选择合适区位有效实施海外R&D投资以提升企业创新能力以及相关部门制定政策措施鼓励中国企业R&D全球化布局提出建议。

关键词: 区位-关系视角, 中国企业, R&D全球化, 创新能力升级, 华为

Shuhong HU, Debin DU, Dezhong DUAN, Mizhi ZHANG. R&D globalization and innovation upgrading of Chinese enterprises: An explanatory framework from location-connection perspective[J]. World Regional Studies, 2024, 33(9): 45-56.

胡曙虹, 杜德斌, 段德忠, 张宓之. 中国企业R&D全球化与创新能力升级：一个区位-关系视角的解释框架[J]. 世界地理研究, 2024, 33(9): 45-56.

Figures/Tables 4

References 42

1	DUNNING J H, LUNDAN S M. The internationalization of corporate R&D: A review of the evidence and some policy implications for home countries. Review of Policy Research, 2009, 26(1-2): 13-33.
2	陈劲,景劲松,周笑磊.我国企业R&D国际化的影响因素分析.科学学研究,2003,21(1):51-57.
	CHEN J, JING J, ZHOU X.Influencing factors for internationalization of R＆D of Chinese enterprises, Scientific Research, 2003, 21(1):51-57.
3	刘晓凤,葛岳静,赵亚博.国家距离与中国企业在"一带一路"投资区位选择.经济地理,2017,37(11):99-108.
	LIU X, GE Y, ZHAO Y. National distance and Chinese companies' choice of location along the Belt and Road. Economic Geography, 2017, 37(11):99-108.
4	朱彦刚,贺灿飞,刘作丽.跨国公司的功能区位选择与城市功能专业化研究.中国软科学,2010(11):98-109.
	ZHU Y, HE C, LIU Z. An empirical study on TNCs functional location choice and urban function specialization, Chinese Soft Science, 2010(11):98-109.
5	DUNNING J H, LUNDAN S M. The internationalization of corporate R&D: A review of the evidence and some policy implications for home countries. Review of Policy Research, 2009, 26(1-2): 13-33.
6	KUEMMERLE W. The drivers of foreign direct investment into research and development: An empirical investigation. Journal of international business studies, 1999, 30(1):1-24.
7	FAN P. Innovation, globalization, and catch-up of latecomers: Cases of Chinese telecom firms. Environment and Planning A, 2011, 43(4): 830-849.
8	MATHEWS J A. Dragon multinationals: New players in 21st century globalization. Asia Pacific Journal of Management, 2006, 23(1):5-27.
9	ALON I, CHILD J, LI S, et al. Globalization of Chinese firms: Theoretical universalism or particularism. Management and Organization Review, 2011, 7(2): 191-200.
10	FANG T. Asian management research needs more self-confidence: Reflection on Hofstede (2007) and beyond. Asia Pacific Journal of Management, 2010, 27(1): 155-170.
11	司月芳, Liefner Ingo.中资跨国公司对外直接投资研究述评.经济问题探索,2015(12):169-175.
	SI Y, INGO L. A review of the study on outward direct investment by Chinese multinational corporations. Exploration of Economic Issues, 2015(12):169-175.
12	张纪凤.中国企业海外R&D投资影响因素的实证研究.国际经贸探索,2014,30(7):74-83.
	ZHANG J. A review of the study on outward direct investment by Chinese multinational corporations. International Economic and Trade Exploration, 2014, 30(7):74-83.
13	王保林,张迺聪.本土企业设立海外R&D机构决策——能力驱动还是政策驱动? 科学学研究,2016,34(4): 539-547.
	WANG B, ZHANG N. What drives the decision of establishing overseas R＆D institution of domestic firms: Capabilities or government policies? Scientific Research, 2016, 34(4): 539-547.
14	MCNEE R B.Towards a more humanistic economic geography.Tijdschrift Voor Economische en Sociale Geografie, 1960, 51(8):201-206.
15	刘卫东,陆大道.经济地理学研究进展.中国科学院院刊,2004,19(1):35-39.
	LIU W, LU D. The development of economic geography in China: Progress and suggestion. Bulletin of the Chinese Academy of Sciences, 2004, 19(1):35-39.
16	胡曙虹,杜德斌,范蓓蕾.中国企业R&D国际化:时空格局与区位选择影响因素.地理研究,2019,38(7):1733-1748.
	HU S, DU D, FAN B. R&D globalization of Chinese companies: Spatial-temporal pattern and influencing factors of location selection. Geographical Research, 2019, 38(7):1733-1748.
17	DI Minin A, ZHANG J, GAMMELTOFT P. Chinese foreign direct investment in R&D in Europe: A new model of R&D internationalization? European Management Journal, 2012, 30(3):189-203.
18	胡曙虹.中国企业R&D国际化:区位选择与空间组织.上海:华东师范大学,2018.
	HU S. R&D internationalization of Chinese enterprises: Location selection and spatial organization. Shanghai: East China Normal University, 2018.
19	VAN ZEDTWITZ M. International R&D strategies of TNCs from developing countries: The case of China//United Nations. Globalization of R&D and Developing Countries.Geneva:United Nations, 2005:125.
20	吴先明.创造性资产与中国企业国际化.北京:人民出版社,2008.
	WU X. The Internationalization of Creative Assets and Chinese Enterprises.Beijing: People's Publishing House, 2008.
21	杜玉平.创造性资产理论与中国企业国际化研发模式.国际经济战略,2012,3(1):27-31.
	DU Y. Creative asset theory and the internationalization R&D model of Chinese enterprises. International Economic Strategy, 2012, 3(1):27-31.
22	司月芳,延留霞,张翌.中资企业研发国际化研究述评.地理研究,2020,39(5):1056-1069.
	SI Y, YAN L, ZHANG Y. Review and prospect of the research on Chinese firms' R&D internationalization. Geographical Research, 2020, 39(5):1056-1069.
23	KARREMAN B, BURGER M J, OORT F G. Location choices of Chinese multinationals in Europe: The role of overseas communities. Economic Geography, 2016, 93(2):131-161.
24	DICKEN P, MALMBERG A. Firms in territories: A relational perspective. Economic Geography, 2001, 77(4): 345-363.
25	王晓燕,俞峰,钟昌标.研发国际化对中国企业创新绩效的影响——基于"政治关联"视角.世界经济研究,2017(3):78-86.
	WANG X, YU F, ZHONG C. The impact of R&D internationalization on the innovation performance of Chinese firms: Based on the perspective of 'political correlation'. World Economy Studies, 2017(3):78-86.
26	BATHELT HM GLUCKLER J. Toward a relational economic geography. Journal of Economic Geography, 2003, 3(2): 117-144.
27	贺灿飞,郭琪,邹沛思.基于关系视角的中国对外直接投资区位.世界地理研究,2013(4):1-12.
	HE C, GUO Q, ZOU P. Spatial distribution of China's foreign direct investment: A perspective of relationship (Guanxi) between China and its host countrie. World Regional Studies, 2013(4):1-12.
28	周政可,梁育填,周克杨.基于关系视角的中国对外直接投资研究进展与展望.热带地理,2019,39(6):942-953.
	ZHOU Z, LIANG Y, ZHOU K. Review of Chinese foreign direct investment from a relationship perspective. Tropical Geography, 2019,39(6):942-953.
29	庞明川,刘雷.制度距离、技术差距和政治风险——中国对发达国家逆向投资的影响因素分析.财经问题研究,2017(9):98-107.
	PANG M, LIU L. Institutional distance, technology gap and political risk: An analysis of the influencing factors of China's contrarian investment in developed countries. Research on Financial Issues, 2017(9):98-107.
30	王智新,黄瑞玲.国家间政治关系、制度差异与企业国际化模式.世界经济与政治论坛,2020(6):89-115.
	WANG Z, HUANG R. Political relations between countries, institutional differences and the internationalization models of enterprise. World Economic and Political Forum, 2020(6):89-115.
31	宿晓,王豪峻.高管海外背景、政治关联与企业对外直接投资决策——基于中国上市公司的实证分析.南京财经大学学报,2016(6):63-73.
	SU X, WANG H. Top management team's oversea background,political connection and OFDI: An empirical analysis based on listed firms in China. Journal of Nanjing University of Finance and Economics, 2016(6):63-73.
32	王展硕,谢伟.中国企业研发国际化研究的综述与展望.研究与发展管理,2017,29(6):121-132.
	WANG Z, XIE W. Review and prospect of Chinese enterprises' R＆D internationalization. Research and Development Management, 2017, 29(6):121-132.
33	苗长虹,魏也华,吕拉昌.新经济地理学.北京:科学出版社,2011.
	MIAO C, WEI Y, LYU L. New Economic Geography.Beijing: Science Press, 2011.
34	王茂军,徐永平.中国在美洲OFDI的基本特征与决定因素.地理学报,2017,72(8):1373-1391.
	WANG M, XU Y. China's OFDI in America: Basic features and determinants. Acta Geographica Sinica, 2017, 72(8):1373-1391.
35	李凝,胡日东.转型期中国对外直接投资地域分布特征解析:基于制度的视角.经济地理,2011,31(6): 910-914.
	LI N, HU R. Analysis of the geographical distribution characteristics of Chinses outward FDI: A study from institutional perspective. Economic Geography, 2011, 31(6): 910-914.
36	SI Y. The development of outward FDI regulation and the internationalization of Chinese firms.Journal of Contemporary China, 2014, 23(8): 804-821.
37	万源星,魏紫萱,王怡舒.中美贸易摩擦影响中国企业研发国际化吗?科学学研究,2022,40(5):1-13.
	WAN Y, WEI Z, WANG Y. Does China-US trade dispute affect Chinese firms' R＆D internationalization? Scientific Research, 2022, 40(5):1-13.
38	刘海兵,杨磊,许庆瑞.后发企业技术创新能力路径如何演化?:基于华为公司1987-2018年的纵向案例研究.科学学研究,2020,38(6):1096-1107.
	LIU H, YANG L, XU Q. How does the path of technological innovation capability of latecomer firms evolve?A longitudinal case study of huawei from 1987 to 2018.Scientific Research,2020, 38(6):1096-1107.
39	张永凯,李登科.全球化视角下中国本土企业创新网络演化分析——以华为技术有限公司为例.世界地理研究,2017,26(6):92-100.
	ZHANG Y, LI D. Evolution of innovation network of local enterprises in China from the perspective of globalization. World Regional Studies, 2017, 26(6):92-100.
40	王伟立.华为之国际化战略.深圳:海天出版社,2018.
	WANG W. Huawei's Internationalization Strategy.Shenzhen: Haitian Press, 2018.
41	任星欣,余嘉俊.持久博弈背景下美国对外科技打击的策略辨析——日本半导体产业与华为的案例比较.当代亚太,2021,237(3):110-136.
	REN X, YU J. Strategic analysis of US foreign science and technology crackdown under the background of protracted game: A case comparison between Japanese semiconductor industry and Huawei. Contemporary Asia-Pacific, 2021, 237(3):110-136.
42	马骦.中美竞争背景下华为5G国际拓展的政治风险分析.当代亚太,2020(1):4-29.
	MA S. Analysis of the political risks of Huawei's 5G international expansion under the background of competition. Contemporary Asia-Pacific, 2020(1):4-29.

发展阶段	区位	关系	R&D全球化布局特征及其影响
技术后发	处于全球创新网络的外围区位，通过加大研发投入提升企业自主创新能力，以确立自身在行业中的地位，开始尝试海外R&D投资	选择国家间关系良好、技术先进的地区设立海外研发中心	在印度、俄罗斯等地布局研发中心，获取先进技术及创新资源
技术追赶	处于全球创新网络的追赶区位，自身创新能力得到较大提升，选择市场规模大、创新能力强和创新资源数量丰富的东道国进行R&D全球化布局	选择国家间关系良好、技术先进的地区设立海外研发中心；通过正式或非正式关系与全球领先通信企业合作紧跟技术发展	在法国、德国等通信技术领先的国家布局海外研发中心；与全球领先通信企业进行合作；开启面向发展中国家（如印度尼西亚等）的技术转移
技术领先	处于全球创新网络的领先区位，选择相关领域技术水平全球领先的地区进行R&D投资	由于自身技术领先受到相关国家技术制裁，海外R&D投资及与相关企业合作受阻	对美国、澳大利亚等国家的R&D投资受阻

发展阶段	区位	关系	R&D全球化布局特征及其影响
技术后发	处于全球创新网络的外围区位，通过加大研发投入提升企业自主创新能力，以确立自身在行业中的地位，开始尝试海外R&D投资	选择国家间关系良好、技术先进的地区设立海外研发中心	在印度、俄罗斯等地布局研发中心，获取先进技术及创新资源
技术追赶	处于全球创新网络的追赶区位，自身创新能力得到较大提升，选择市场规模大、创新能力强和创新资源数量丰富的东道国进行R&D全球化布局	选择国家间关系良好、技术先进的地区设立海外研发中心；通过正式或非正式关系与全球领先通信企业合作紧跟技术发展	在法国、德国等通信技术领先的国家布局海外研发中心；与全球领先通信企业进行合作；开启面向发展中国家（如印度尼西亚等）的技术转移
技术领先	处于全球创新网络的领先区位，选择相关领域技术水平全球领先的地区进行R&D投资	由于自身技术领先受到相关国家技术制裁，海外R&D投资及与相关企业合作受阻	对美国、澳大利亚等国家的R&D投资受阻

[1]	Lin LI, Bolin ZHANG, Jianhong HE. Analysis on Chinese enterprises' node selection of international R&D network based on the host country factor [J]. World Regional Studies, 2019, 28(6): 11-21.
[2]	. Analysis on the Evolution of Innovation Network of Local Enterprises in China from the Perspective of Globalization [J]. WRS, 2017, 26(6): 92-100.