开放式创新环境下技术密集型企业创新能力演化机理研究

发布时间：2018-05-24 19:49

本文选题：创新能力演化 + 开放式创新　；参考：《中国地质大学》2013年博士论文

【摘要】：2006年,胡锦涛总书记在北京举行的全国科技大会上作了重要指示：要努力提高我国自主创新能力,实现一批重大科技创新成果,争取在2020年使我国成为创新型国家。此外,从中央对建设创新型国家的强调层次和频率可见我国政府对提升创新能力的重视。创新是指产品从无到有及其商业化应用的过程。从追求产品利益最大化的角度,创新的最佳主体是企业。因此,提高我国企业创新能力的过程是实现我国创新型国家建设的关键步骤。但在现阶段,我国企业整体创新能力还处于较低水平,大部分核心技术还掌握在跨国公司手中,这严重限制了我国企业创新能力的提高。此外,伴随着经济全球化的持续深入以及知识全球化范围的不断扩大,仅仅依靠企业自身所掌控的资源来保持企业的竞争优势已经难以为继。典型的代表是IBM、宝洁等大型的跨国公司,这些老牌公司在世界范围内拥有最先进的科研实验室、强大的科研队伍。在20世纪90年代以前,这些跨国公司正是依赖自身雄厚的科研实力以及先进的设备仪器,开发出了许多具有革命性的创新成果,为人类社会的科学进步作出了突出贡献。但在20世纪末,这些老牌创新巨人出现了停滞不前甚至是略有倒退的现象。调查研究表明：虽然这些公司每年依然拥有大量的发明创新,但是这些创新成果在研发出来后没有被用于商业化生产,随着时间的推移逐渐流失到企业外部,使投入了大量人力、物力、财力的成果没能为公司股东带来任何利润。而在这段时间部分异军突起的企业则与老牌公司的表现形成了鲜明的对比,如思科、因特尔等,虽然它们自身没有雄厚的科研能力,但它们善于利用外部创新资源,能够把握好每一个机会,使得公司在短时间内得到了急速的扩张,并给老牌公司领头羊的地位带来一定程度的威胁。企业创新的这一奇怪现象引起了许多学者的关注,2003年,美国学者Chesbrough在其著作《开放式创新：进行技术创新并从中赢利的新规则》中正式提出了“开放式创新”这一名词,并迅速得到了学术界的广泛认可。随着全球经济一体化的发展,创新活动也越来越国际化。技术密集型企业被认为是最适合开放式创新的企业。多技术的融合也要求技术密集型企业利用外部资源,实行开放式创新。有效利用和整合内外部创新资源,发挥企业创新潜能,就能更有效地提升技术密集型企业的创新能力,促进技术密集型企业快速成长,就能更好应对创新的复杂化和国际化所带来的挑战,为社会经济稳定发展发挥更大的作用。本文的主要研究内容包括以下3个方面。一是探讨了企业开放度与创新能力的关系。对企业创新活动而言,开放式创新是一种全新的思维方式。在开放式创新模式下,企业既可以从企业内部的研发部门,也可以从组织外界获取企业创新所需要的资源。不同创新主体间的相互合作可以共担风险、共享资源,通过创新主体间的优势互补,可以缩短创新周期,提高创新效率。此外,不同领域创新主体间的相互合作可以实现技术突破,创造出全新的技术。企业以自身研发能力为基础,及时跟踪了解市场各种信息,根据自己的比较优势选择其他创新主体构建动态合作关系,这可以减少创新过程的不确定性,节约成本,提高创新效率。总的来说,开放式创新促进了企业创新能力的提高。企业采取开放式创新模式,固然可以通过整合内外部创新资源达到提高创新效率的目的,但是,过度的开放会抑制企业创新能力的提升。企业搜寻、消化、吸收外部创新资源是有成本的。此外,一旦企业吸收的外部资源超过了企业的吸收转化能力,即超过了企业能承受的极限,过多的外部资源就会分散企业注意力,不利于资源的集中配置。合作过程中敏感技术的泄露也是开放式难以避免的难题。总的来说,企业采取开放式创新模式吸收外部资源会产生搜寻成本和交易费用,且过度开放会造成企业惯性依赖外部资源以及核心技术泄露的风险。因此,企业的过度开放不利于创新能力的提高。企业开放式创新与企业创新能力之间是二次曲线的关系,即在企业实行开放式创新程度较小时,企业的创新能力逐渐增加,但随着开放式创新程度的不断扩大,企业的创新能力达到了拐点后会转而降低,整个曲线呈现典型的“倒U型”。二是阐述了开放式创新对企业创新能力影响机制。在横向上,企业可以与竞争对手合作,提高企业在行业中的话语权,影响行业的商业氛围,更重要的是在行业标准的制定方面拥有更高的话语权,可以针对性地制定更加客观具体的政策,有利于整个行业的发展。与横向企业的密切合作有利于企业创新能力的提高。在纵向上,企业可以与上下游(如用户和供应商)之间进行资源整合,这一方面可以通过上下游了解创新的具体需求,另一方面可以提高企业的整体效益,实现各种资源最优化配置。与纵向企业的密切合作有利于企业创新能力的提高。大学和科研机构具有先进的实验设备和高素质科研人员,而企业拥有大学和科研机构所需要的资金,企业与大学和科研机构本质上互补性机构。通过产学研合作,大学和科研机构可以获得研发所需要的资金和实验设备,而企业则可以从创新成果中获得巨额利润。政府可以通过财政税收政策影响企业创新的不同方面。官产学研的合作有利于企业创新能力的提高。风险投资可以解决企业创新投入不足的问题,并且随着风险投资机构的参与,给企业带来了有价值的市场和技术信息,大大提高了创新的效率。通过技术中介机构,企业可以打破部分机构对信息的封锁垄断,降低企业自身的信息搜寻成本,减少创新研发、合作过程中的信息不对称问题,有利于提高企业的创新成功率。通过知识产权机构,企业可以及时地填补企业所需要的技术空缺。创新公共平台的建设和完善有助于企业创新能力的提高。企业实行开放式创新最主要的目的是获取企业创新所需要的各种外部资源,主要是影响创新能力的外部市场因素和宏观政策因素。具体地说,企业的外部创新资源主要包括纵向的供应商和用户,横向的竞争对手和互补性企业,大学／科研机构、企业和政策构成的官产学研合作以及包括技术中介机构、知识产权机构、风险投资机构在内的公共创新服务平台。结构方程模型表明：在开放式创新环境下,企业纵向间合作、企业横向间合作、官产学研合作以及公共创新服务平台等都促进了企业创新能力的提高。三是分析了开放式创新环境下企业创新能力的演化轨迹。在开放式创新环境下,技术密集型企业的能力将沿着“仿制能力-创造性模仿能力-自主创新能力-协同创新能力”的轨迹演化发展。在仿制能力阶段,企业学习的对象是技术已经成熟的生产设备,员工主要通过干中学掌握设备的操作、维护能力以及在产品的生产过程中如何有效地进行质量控制。企业通过简单的设备引进与外界进行沟通联系,因此使用外部创新资源的效率还处于较低的水平。在仿制能力阶段,企业主要是通过干中学积累创新能力。在创造性模仿能力阶段,产品的改进方向、工艺重新设计的诀窍以及企业吸收外部技术的能力是企业创造性模仿的关键所在。企业通过与国外先进企业建立多样化的创新联系,使得企业利用外部创新资源的能力大为提高。但此时企业仍然依赖于国外企业的核心技术。在自主创新能力阶段,企业建立了自己的技术平台,形成了独有的核心技术能力,构建了广泛的创新网络,完善了企业的组织结构,企业一方面利用广泛的创新网络吸收外部的市场、技术知识；另一方面利用已有的技术平台,将内部研发能力与外界知识相融合,培育出新的技术,提高了自主创新能力。在协同创新能力阶段,企业一方面利用自身的研发力量完成创新活动中属于自己部分的任务,另一方面利用创新网络给予合作方力所能及的帮助,以提高创新的效率。本文的创新点主要集中在理论层面和方法层面。在理论层面部分,虽然对开放式创新的研究已经成为一种趋势,但大部分学者对开放式创新模式的研究集中在区域或者产业的层面,将开放式创新引入到企业中的学者不多,作为最适合采取开放式创新的技术密集型企业,相关的文献更是不多见。本文不但探究了开放式创新模式对技术密集型企业创新能力的影响,还分析了这种影响是如何产生,以及开放式创新模式下技术密集型企业创新能力演化的轨迹。因此,本项目研究的开展,将丰富开放式创新、创新能力和创新能力追赶等方面的理论研究。在方法层面部分,本文研究方法的特色是定性分析与定量研究相结合。开放式创新与创新能力关系研究部分,在文献回顾的基础上使用非线性回归模型；开放式创新与创新能力影响机制研究部分,在理论分析的基础上使用结构方程模型;开放式创新环境下创新能力演化轨迹部分,在理论梳理的基础上辅以案例分析。定性分析与定量分析相结合,使理论的可说服性更高。
[Abstract]:In 2006, general secretary Hu Jintao made important instructions at the National Conference on science and technology held in Beijing: to improve our independent innovation ability, achieve a number of major scientific and technological innovation achievements, and strive to make our country an innovative country in 2020. In addition, the level and frequency of the construction of innovative countries from the central government can be seen by the government of our country. Increasing innovation ability.
Innovation refers to the process of product from scratch and commercial application. From the angle of maximizing the interests of products, the best subject of innovation is enterprise. Therefore, the process of improving the innovation ability of our enterprises is the key step to realize the construction of our country's innovation type. Most of the core technologies are in the hands of MNCs, which seriously restricts the innovation ability of our enterprises. In addition, with the continuous deepening of economic globalization and the continuous expansion of the scope of knowledge globalization, it is difficult to maintain the competitive advantage of the enterprise by relying solely on the resources controlled by the enterprise itself. It is IBM, P & G and other large multinational corporations. These companies have the most advanced scientific research laboratories and powerful scientific research teams around the world. Before 1990s, these multinational companies were relying on their own strong scientific research strength and advanced equipment. Social scientific progress made a prominent contribution. But at the end of the twentieth Century, the old innovation giants were stagnant and even slightly backwards. Research shows that although the companies still have a lot of innovation every year, these innovations have not been used for commercial production after they were developed. In this period of time, some companies that have been out of business have made a sharp contrast to the performance of the old companies, such as CISCO, Intel, and so on, although they have no strong scientific research ability, but they do not have strong scientific research ability. We are good at making use of external innovation resources and can seize every opportunity, make the company expand rapidly in a short time, and threaten the position of the leader of the old company. This strange phenomenon of enterprise innovation has aroused the attention of many scholars. In 2003, American scholar Chesbrough was in its book open style Innovation: the new rules for technological innovation and profit making, formally put forward the term "open innovation", and has been widely recognized in the academic circles.
With the development of global economic integration, innovation activities are becoming more and more international. Technology intensive enterprises are considered to be the most suitable for open innovation. The integration of multi technology also requires technology intensive enterprises to use external resources and implement open innovation. It is more effective to improve the innovation ability of technology intensive enterprises and promote the rapid growth of technology intensive enterprises. They can better cope with the challenges brought by the complexity and internationalization of innovation, and play a greater role in the stable development of the society and economy.
The main contents of this paper include the following 3 aspects.
The first is to discuss the relationship between the openness of the enterprise and the ability of innovation. For enterprise innovation, open innovation is a new way of thinking. Under the open innovation model, the enterprise can not only obtain the resources needed from the R & D department within the enterprise, but also obtain the innovation of the enterprise from the organization outside. In addition, the mutual cooperation among different subjects in different fields can achieve technological breakthroughs and create new technologies. Based on their own R & D capabilities, enterprises follow their own R & D capabilities and follow their own information on the market. The comparative advantage chooses other innovative subjects to build dynamic cooperation relations, which can reduce the uncertainty of the innovation process, save the cost and improve the efficiency of innovation. In general, open innovation promotes the improvement of enterprise innovation ability.
The open innovation model of enterprises can improve the efficiency of innovation by integrating internal and external innovation resources. However, excessive openness will inhibit the promotion of enterprise innovation ability. It is cost to search, digest and absorb external innovation resources. In addition, the external resources absorbed by the company are more than the enterprises' absorption and transfer. In the process of cooperation, the leakage of sensitive technology is also a difficult problem to be avoided. In general, enterprises taking external resources to absorb external resources will produce search costs and transaction costs. The use and overopening will cause the enterprise to rely on the risk of the leakage of the external resources and the core technology. Therefore, the overopening of the enterprise is not conducive to the improvement of innovation ability.
The relationship between the open innovation of enterprises and the ability of enterprise innovation is the relationship between the two curves. That is, the innovation ability of the enterprise is gradually increasing when the enterprise implements the open innovation degree, but with the continuous expansion of the open innovation degree, the innovation ability of the enterprise will turn down after the turning point, and the whole curve presents a typical "inverted U".
The two is to explain the influence mechanism of open innovation on the ability of enterprise innovation. On the horizontal side, enterprises can cooperate with competitors, improve the discourse power of enterprises in the industry, influence the business atmosphere of the industry, and more importantly, have higher discourse power in the formulation of industry standards, and can formulate more objective and specific policies pertinent. It is beneficial to the development of the whole industry. The close cooperation with the horizontal enterprises is beneficial to the improvement of the enterprise innovation ability. In the vertical, the enterprise can integrate the resources with the upstream and downstream (such as users and suppliers). This aspect can understand the specific needs of innovation through the upstream and downstream, on the other hand, it can improve the overall efficiency of the enterprise and realize each of the enterprises. The optimal allocation of resources and close cooperation with vertical enterprises are conducive to the improvement of enterprise's innovation ability.
Universities and scientific research institutions have advanced experimental equipment and high quality scientific research personnel, and enterprises have the funds needed by universities and scientific research institutions. Enterprises and universities and scientific research institutions are essentially complementary institutions. Through the cooperation of production research and research, universities and scientific research institutions can obtain the funds and experimental equipment needed by the research and development institutions, and the enterprises can from The government can influence the different aspects of enterprise innovation through the fiscal and tax policies. The cooperation between the government, school and Research Institute is beneficial to the improvement of the enterprise innovation ability. The venture investment can solve the problem of the shortage of enterprise innovation and bring valuable market to the enterprise with the participation of venture capital institutions. Technical information can greatly improve the efficiency of innovation. Through technical intermediaries, enterprises can break the monopoly of information by some organizations, reduce the cost of information search for enterprises themselves, reduce innovation research and development, and the problem of information asymmetry in the process of cooperation will help to improve the innovation success rate of enterprises. Through intellectual property institutions, enterprises can And to fill the vacancies needed by enterprises. The construction and improvement of innovative public platforms will help improve the innovation capability of enterprises.
The main purpose of the enterprise to implement open innovation is to obtain the external resources needed by the enterprise innovation, mainly the external market factors and macro policy factors affecting the innovation ability. In particular, the external innovation resources of the enterprise mainly include the vertical suppliers and users, the horizontal competitors and complementary enterprises, the University / department. The structure equation model shows that in the open innovation environment, enterprise vertical cooperation, enterprise horizontal cooperation, official production, research and research cooperation, and public innovation services are flat in the open innovation environment. The platform and so on have promoted the innovation ability of the enterprise.
The three is the evolution track of enterprise innovation ability under the open innovation environment. Under the open innovation environment, the ability of technology intensive enterprises will evolve along the trajectory of "imitation ability creative imitative ability independent innovation ability - cooperative innovation ability". In the stage of imitation power, the object of enterprise learning is technology. Mature production equipment, staff mainly through secondary schools to master the operation of equipment, maintenance and how to effectively control quality in the production process of the product. Enterprises communicate with the outside world through simple equipment introduction, so the efficiency of using external innovative resources is still at a lower level. In the stage of creative imitation, the orientation of the product, the know-how of the redesign of the process, and the ability of the enterprise to absorb the external technology are the key to the creative imitation of the enterprise. The ability of new resources is greatly improved, but at this time enterprises still rely on the core technology of foreign enterprises. In the stage of independent innovation, enterprises have established their own technical platform, formed a unique core technical ability, constructed a wide range of innovation networks, improved the organization structure of enterprises, and on the one hand, enterprises use a wide range of innovative networks to absorb. On the other hand, using the existing technology platform, we use the existing technology platform to integrate the internal R & D capability with the outside knowledge, cultivate new technology and improve the ability of independent innovation. In the stage of synergy innovation, the enterprise, on the one hand, uses its own R & D force to complete the task of its own part in the innovation activities, and the other side. The use of innovation network can help the team to improve the efficiency of innovation.
The innovation of this article is mainly focused on the theoretical and methodological level. In the theoretical level, although the study of open innovation has become a trend, most scholars focus on the open innovation model in the regional or industrial level, and the introduction of open innovation to the enterprises is not much, as the most suitable for mining. This paper not only explores the influence of the open innovation model on the innovation ability of the technology intensive enterprises, but also analyzes how the impact is produced and the evolution of the innovation ability of the technology intensive enterprises under the open innovation model. The research will enrich the theoretical research on open innovation, innovation ability and innovation ability. In the method level, the characteristic of this method is the combination of qualitative analysis and quantitative research. The research part of the relationship between open innovation and innovation ability is based on the literature review and the nonlinear regression model is used. On the basis of theoretical analysis, the structural equation model is used on the basis of theoretical analysis. In the open innovation environment, the evolution path of innovation ability is part of the theoretical analysis, and on the basis of theoretical carding, it is supplemented by case analysis. The combination of qualitative analysis and quantitative analysis makes the theory more persuasiveness.
【学位授予单位】：中国地质大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F273.1;F276.44

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