本文選題：創(chuàng)新能力演化 + 開放式創(chuàng)新��； 參考：《中國(guó)地質(zhì)大學(xué)》2013年博士論文

【摘要】：2006年,胡錦濤總書記在北京舉行的全國(guó)科技大會(huì)上作了重要指示：要努力提高我國(guó)自主創(chuàng)新能力,實(shí)現(xiàn)一批重大科技創(chuàng)新成果,爭(zhēng)取在2020年使我國(guó)成為創(chuàng)新型國(guó)家。此外,從中央對(duì)建設(shè)創(chuàng)新型國(guó)家的強(qiáng)調(diào)層次和頻率可見我國(guó)政府對(duì)提升創(chuàng)新能力的重視。 創(chuàng)新是指產(chǎn)品從無到有及其商業(yè)化應(yīng)用的過程。從追求產(chǎn)品利益最大化的角度,創(chuàng)新的最佳主體是企業(yè)。因此,提高我國(guó)企業(yè)創(chuàng)新能力的過程是實(shí)現(xiàn)我國(guó)創(chuàng)新型國(guó)家建設(shè)的關(guān)鍵步驟。但在現(xiàn)階段,我國(guó)企業(yè)整體創(chuàng)新能力還處于較低水平,大部分核心技術(shù)還掌握在跨國(guó)公司手中,這嚴(yán)重限制了我國(guó)企業(yè)創(chuàng)新能力的提高。此外,伴隨著經(jīng)濟(jì)全球化的持續(xù)深入以及知識(shí)全球化范圍的不斷擴(kuò)大,僅僅依靠企業(yè)自身所掌控的資源來保持企業(yè)的競(jìng)爭(zhēng)優(yōu)勢(shì)已經(jīng)難以為繼。典型的代表是IBM、寶潔等大型的跨國(guó)公司,這些老牌公司在世界范圍內(nèi)擁有最先進(jìn)的科研實(shí)驗(yàn)室、強(qiáng)大的科研隊(duì)伍。在20世紀(jì)90年代以前,這些跨國(guó)公司正是依賴自身雄厚的科研實(shí)力以及先進(jìn)的設(shè)備儀器,開發(fā)出了許多具有革命性的創(chuàng)新成果,為人類社會(huì)的科學(xué)進(jìn)步作出了突出貢獻(xiàn)。但在20世紀(jì)末,這些老牌創(chuàng)新巨人出現(xiàn)了停滯不前甚至是略有倒退的現(xiàn)象。調(diào)查研究表明：雖然這些公司每年依然擁有大量的發(fā)明創(chuàng)新,但是這些創(chuàng)新成果在研發(fā)出來后沒有被用于商業(yè)化生產(chǎn),隨著時(shí)間的推移逐漸流失到企業(yè)外部,使投入了大量人力、物力、財(cái)力的成果沒能為公司股東帶來任何利潤(rùn)。而在這段時(shí)間部分異軍突起的企業(yè)則與老牌公司的表現(xiàn)形成了鮮明的對(duì)比,如思科、因特爾等,雖然它們自身沒有雄厚的科研能力,但它們善于利用外部創(chuàng)新資源,能夠把握好每一個(gè)機(jī)會(huì),使得公司在短時(shí)間內(nèi)得到了急速的擴(kuò)張,并給老牌公司領(lǐng)頭羊的地位帶來一定程度的威脅。企業(yè)創(chuàng)新的這一奇怪現(xiàn)象引起了許多學(xué)者的關(guān)注,2003年,美國(guó)學(xué)者Chesbrough在其著作《開放式創(chuàng)新：進(jìn)行技術(shù)創(chuàng)新并從中贏利的新規(guī)則》中正式提出了“開放式創(chuàng)新”這一名詞,并迅速得到了學(xué)術(shù)界的廣泛認(rèn)可。 隨著全球經(jīng)濟(jì)一體化的發(fā)展,創(chuàng)新活動(dòng)也越來越國(guó)際化。技術(shù)密集型企業(yè)被認(rèn)為是最適合開放式創(chuàng)新的企業(yè)。多技術(shù)的融合也要求技術(shù)密集型企業(yè)利用外部資源,實(shí)行開放式創(chuàng)新。有效利用和整合內(nèi)外部創(chuàng)新資源,發(fā)揮企業(yè)創(chuàng)新潛能,就能更有效地提升技術(shù)密集型企業(yè)的創(chuàng)新能力,促進(jìn)技術(shù)密集型企業(yè)快速成長(zhǎng),就能更好應(yīng)對(duì)創(chuàng)新的復(fù)雜化和國(guó)際化所帶來的挑戰(zhàn),為社會(huì)經(jīng)濟(jì)穩(wěn)定發(fā)展發(fā)揮更大的作用。 本文的主要研究?jī)?nèi)容包括以下3個(gè)方面。 一是探討了企業(yè)開放度與創(chuàng)新能力的關(guān)系。對(duì)企業(yè)創(chuàng)新活動(dòng)而言,開放式創(chuàng)新是一種全新的思維方式。在開放式創(chuàng)新模式下,企業(yè)既可以從企業(yè)內(nèi)部的研發(fā)部門,也可以從組織外界獲取企業(yè)創(chuàng)新所需要的資源。不同創(chuàng)新主體間的相互合作可以共擔(dān)風(fēng)險(xiǎn)、共享資源,通過創(chuàng)新主體間的優(yōu)勢(shì)互補(bǔ),可以縮短創(chuàng)新周期,提高創(chuàng)新效率。此外,不同領(lǐng)域創(chuàng)新主體間的相互合作可以實(shí)現(xiàn)技術(shù)突破,創(chuàng)造出全新的技術(shù)。企業(yè)以自身研發(fā)能力為基礎(chǔ),及時(shí)跟蹤了解市場(chǎng)各種信息,根據(jù)自己的比較優(yōu)勢(shì)選擇其他創(chuàng)新主體構(gòu)建動(dòng)態(tài)合作關(guān)系,這可以減少創(chuàng)新過程的不確定性,節(jié)約成本,提高創(chuàng)新效率�？偟膩碚f,開放式創(chuàng)新促進(jìn)了企業(yè)創(chuàng)新能力的提高。 企業(yè)采取開放式創(chuàng)新模式,固然可以通過整合內(nèi)外部創(chuàng)新資源達(dá)到提高創(chuàng)新效率的目的,但是,過度的開放會(huì)抑制企業(yè)創(chuàng)新能力的提升。企業(yè)搜尋、消化、吸收外部創(chuàng)新資源是有成本的。此外,一旦企業(yè)吸收的外部資源超過了企業(yè)的吸收轉(zhuǎn)化能力,即超過了企業(yè)能承受的極限,過多的外部資源就會(huì)分散企業(yè)注意力,不利于資源的集中配置。合作過程中敏感技術(shù)的泄露也是開放式難以避免的難題�？偟膩碚f,企業(yè)采取開放式創(chuàng)新模式吸收外部資源會(huì)產(chǎn)生搜尋成本和交易費(fèi)用,且過度開放會(huì)造成企業(yè)慣性依賴外部資源以及核心技術(shù)泄露的風(fēng)險(xiǎn)。因此,企業(yè)的過度開放不利于創(chuàng)新能力的提高。 企業(yè)開放式創(chuàng)新與企業(yè)創(chuàng)新能力之間是二次曲線的關(guān)系,即在企業(yè)實(shí)行開放式創(chuàng)新程度較小時(shí),企業(yè)的創(chuàng)新能力逐漸增加,但隨著開放式創(chuàng)新程度的不斷擴(kuò)大,企業(yè)的創(chuàng)新能力達(dá)到了拐點(diǎn)后會(huì)轉(zhuǎn)而降低,整個(gè)曲線呈現(xiàn)典型的“倒U型”。 二是闡述了開放式創(chuàng)新對(duì)企業(yè)創(chuàng)新能力影響機(jī)制。在橫向上,企業(yè)可以與競(jìng)爭(zhēng)對(duì)手合作,提高企業(yè)在行業(yè)中的話語權(quán),影響行業(yè)的商業(yè)氛圍,更重要的是在行業(yè)標(biāo)準(zhǔn)的制定方面擁有更高的話語權(quán),可以針對(duì)性地制定更加客觀具體的政策,有利于整個(gè)行業(yè)的發(fā)展。與橫向企業(yè)的密切合作有利于企業(yè)創(chuàng)新能力的提高。在縱向上,企業(yè)可以與上下游(如用戶和供應(yīng)商)之間進(jìn)行資源整合,這一方面可以通過上下游了解創(chuàng)新的具體需求,另一方面可以提高企業(yè)的整體效益,實(shí)現(xiàn)各種資源最優(yōu)化配置。與縱向企業(yè)的密切合作有利于企業(yè)創(chuàng)新能力的提高。 大學(xué)和科研機(jī)構(gòu)具有先進(jìn)的實(shí)驗(yàn)設(shè)備和高素質(zhì)科研人員,而企業(yè)擁有大學(xué)和科研機(jī)構(gòu)所需要的資金,企業(yè)與大學(xué)和科研機(jī)構(gòu)本質(zhì)上互補(bǔ)性機(jī)構(gòu)。通過產(chǎn)學(xué)研合作,大學(xué)和科研機(jī)構(gòu)可以獲得研發(fā)所需要的資金和實(shí)驗(yàn)設(shè)備,而企業(yè)則可以從創(chuàng)新成果中獲得巨額利潤(rùn)。政府可以通過財(cái)政稅收政策影響企業(yè)創(chuàng)新的不同方面。官產(chǎn)學(xué)研的合作有利于企業(yè)創(chuàng)新能力的提高。風(fēng)險(xiǎn)投資可以解決企業(yè)創(chuàng)新投入不足的問題,并且隨著風(fēng)險(xiǎn)投資機(jī)構(gòu)的參與,給企業(yè)帶來了有價(jià)值的市場(chǎng)和技術(shù)信息,大大提高了創(chuàng)新的效率。通過技術(shù)中介機(jī)構(gòu),企業(yè)可以打破部分機(jī)構(gòu)對(duì)信息的封鎖壟斷,降低企業(yè)自身的信息搜尋成本,減少創(chuàng)新研發(fā)、合作過程中的信息不對(duì)稱問題,有利于提高企業(yè)的創(chuàng)新成功率。通過知識(shí)產(chǎn)權(quán)機(jī)構(gòu),企業(yè)可以及時(shí)地填補(bǔ)企業(yè)所需要的技術(shù)空缺。創(chuàng)新公共平臺(tái)的建設(shè)和完善有助于企業(yè)創(chuàng)新能力的提高。 企業(yè)實(shí)行開放式創(chuàng)新最主要的目的是獲取企業(yè)創(chuàng)新所需要的各種外部資源,主要是影響創(chuàng)新能力的外部市場(chǎng)因素和宏觀政策因素。具體地說,企業(yè)的外部創(chuàng)新資源主要包括縱向的供應(yīng)商和用戶,橫向的競(jìng)爭(zhēng)對(duì)手和互補(bǔ)性企業(yè),大學(xué)／科研機(jī)構(gòu)、企業(yè)和政策構(gòu)成的官產(chǎn)學(xué)研合作以及包括技術(shù)中介機(jī)構(gòu)、知識(shí)產(chǎn)權(quán)機(jī)構(gòu)、風(fēng)險(xiǎn)投資機(jī)構(gòu)在內(nèi)的公共創(chuàng)新服務(wù)平臺(tái)。結(jié)構(gòu)方程模型表明：在開放式創(chuàng)新環(huán)境下,企業(yè)縱向間合作、企業(yè)橫向間合作、官產(chǎn)學(xué)研合作以及公共創(chuàng)新服務(wù)平臺(tái)等都促進(jìn)了企業(yè)創(chuàng)新能力的提高。 三是分析了開放式創(chuàng)新環(huán)境下企業(yè)創(chuàng)新能力的演化軌跡。在開放式創(chuàng)新環(huán)境下,技術(shù)密集型企業(yè)的能力將沿著“仿制能力-創(chuàng)造性模仿能力-自主創(chuàng)新能力-協(xié)同創(chuàng)新能力”的軌跡演化發(fā)展。在仿制能力階段,企業(yè)學(xué)習(xí)的對(duì)象是技術(shù)已經(jīng)成熟的生產(chǎn)設(shè)備,員工主要通過干中學(xué)掌握設(shè)備的操作、維護(hù)能力以及在產(chǎn)品的生產(chǎn)過程中如何有效地進(jìn)行質(zhì)量控制。企業(yè)通過簡(jiǎn)單的設(shè)備引進(jìn)與外界進(jìn)行溝通聯(lián)系,因此使用外部創(chuàng)新資源的效率還處于較低的水平。在仿制能力階段,企業(yè)主要是通過干中學(xué)積累創(chuàng)新能力。在創(chuàng)造性模仿能力階段,產(chǎn)品的改進(jìn)方向、工藝重新設(shè)計(jì)的訣竅以及企業(yè)吸收外部技術(shù)的能力是企業(yè)創(chuàng)造性模仿的關(guān)鍵所在。企業(yè)通過與國(guó)外先進(jìn)企業(yè)建立多樣化的創(chuàng)新聯(lián)系,使得企業(yè)利用外部創(chuàng)新資源的能力大為提高。但此時(shí)企業(yè)仍然依賴于國(guó)外企業(yè)的核心技術(shù)。在自主創(chuàng)新能力階段,企業(yè)建立了自己的技術(shù)平臺(tái),形成了獨(dú)有的核心技術(shù)能力,構(gòu)建了廣泛的創(chuàng)新網(wǎng)絡(luò),完善了企業(yè)的組織結(jié)構(gòu),企業(yè)一方面利用廣泛的創(chuàng)新網(wǎng)絡(luò)吸收外部的市場(chǎng)、技術(shù)知識(shí)；另一方面利用已有的技術(shù)平臺(tái),將內(nèi)部研發(fā)能力與外界知識(shí)相融合,培育出新的技術(shù),提高了自主創(chuàng)新能力。在協(xié)同創(chuàng)新能力階段,企業(yè)一方面利用自身的研發(fā)力量完成創(chuàng)新活動(dòng)中屬于自己部分的任務(wù),另一方面利用創(chuàng)新網(wǎng)絡(luò)給予合作方力所能及的幫助,以提高創(chuàng)新的效率。 本文的創(chuàng)新點(diǎn)主要集中在理論層面和方法層面。在理論層面部分,雖然對(duì)開放式創(chuàng)新的研究已經(jīng)成為一種趨勢(shì),但大部分學(xué)者對(duì)開放式創(chuàng)新模式的研究集中在區(qū)域或者產(chǎn)業(yè)的層面,將開放式創(chuàng)新引入到企業(yè)中的學(xué)者不多,作為最適合采取開放式創(chuàng)新的技術(shù)密集型企業(yè),相關(guān)的文獻(xiàn)更是不多見。本文不但探究了開放式創(chuàng)新模式對(duì)技術(shù)密集型企業(yè)創(chuàng)新能力的影響,還分析了這種影響是如何產(chǎn)生,以及開放式創(chuàng)新模式下技術(shù)密集型企業(yè)創(chuàng)新能力演化的軌跡。因此,本項(xiàng)目研究的開展,將豐富開放式創(chuàng)新、創(chuàng)新能力和創(chuàng)新能力追趕等方面的理論研究。在方法層面部分,本文研究方法的特色是定性分析與定量研究相結(jié)合。開放式創(chuàng)新與創(chuàng)新能力關(guān)系研究部分,在文獻(xiàn)回顧的基礎(chǔ)上使用非線性回歸模型；開放式創(chuàng)新與創(chuàng)新能力影響機(jī)制研究部分,在理論分析的基礎(chǔ)上使用結(jié)構(gòu)方程模型;開放式創(chuàng)新環(huán)境下創(chuàng)新能力演化軌跡部分,在理論梳理的基礎(chǔ)上輔以案例分析。定性分析與定量分析相結(jié)合,使理論的可說服性更高。
[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.
【學(xué)位授予單位】：中國(guó)地質(zhì)大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2013
【分類號(hào)】：F273.1;F276.44

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