我国风电企业自主创新模式选择与保障机制研究
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摘要
风力发电因其独特的优势,成为许多国家可持续发展战略的重要组成部分,呈现爆发式发展。我国的风电企业和技术近年来取得了突飞猛进的发展,但和国外的差距仍然很大。自主创新是我国风电企业持续发展的必然选择。本文以自主创新理论为指导,借鉴国内外最新的研究成果,采用比较分析、理论研究与实证研究相结合、定性分析与定量分析相结合等研究方法,对我国风电企业自主创新的模式选择与保障机制进行了研究。
首先,在分析我国风电企业基本情况的基础上,得出自主创新是我国风电企业的必然选择的结论。通过对我国风电企业与国外的技术差距以及风电关键技术发展趋势的分析,指出了我国风电企业自主创新的方向。
其次,详细介绍了原始创新、集成创新和引进创新三种自主创新模式,提出了我国风电企业选择自主创新模式时应遵循的基本原则。在此基础上,分别基于SWOT分析和企业生命周期两种方法,构建了我国风电企业自主创新模式选择模型。
再次,从国家和企业两个层面分析了我国风电企业自主创新的保障机制,国家要通过建立风电技术创新体系、完善风电相关政策法规等提供政策制度保障;风电企业自身应从设置高效的研发组织结构、建立策略性技术联盟、培育企业创新文化三方面优化组织保障机制;通过拓宽资金投入渠道、建立信息沟通机制确保投入保障机制;通过培养创新型人才、建立健全合理的激励机制完善人才保障机制。
最后,以金风科技为例,在介绍其概况的基础上,对前文建立的我国风电企业自主创新模式选择模型进行了实证分析,并提出了金风科技实施自主创新的对策。
Because of its unique advantages, Wind power generation becomes an important part of strategies for sustainable development in many countries, showing an explosive development. China's wind turbine manufacturers and wind technologies have made rapid development in recent years, however, the gap with foreign countries remains abroad. Independent innovation is the certain choice of China's wind turbine manufacturers to gain sustainable development. In this paper, independent innovation theory as a guide, the latest theoretical research at home and abroad was learned, applying comparative analysis, combining theoretical research with demonstrate research, qualitative analysis with quantitative analysis, the independent innovation modes selection and safeguard mechanism of China's wind turbine manufacturers were studied.
Firstly, based on the analysis of China's wind turbine manufacturers surgery, the conclusions that independent innovation is the certain choice of China's wind turbine manufacturers is made. After analyzing the technology gap between China’s wind turbine manufacturers and foreign enterprises and the development trend of critical wind technologies, the direction of independent innovation of China's wind turbine manufacturers was pointed out.
Secondly, this paper analyzes the modes of wind turbine manufacturers’independent innovation, including original innovation, integrative innovation and innovation based on technology-introduction, and puts forward some basic principles for selecting innovation modes. On this basis, respectively, based on the SWOT analysis and enterprise life-cycle, the mathematics models for the innovation modes selection of China's wind turbine manufacturers were built up.
Thirdly, from the national and enterprise two aspects, this paper analysis the independent innovation safeguard mechanism of China's wind turbine manufacturers. The state should provide policies safeguard through establishing the wind technical innovation system and improving the related policies and regulations; Wind turbine manufacturers should provide organization safeguard mechanism by setting up their own high-performance R&D organizational structure, establishing strategic technology alliances and nurturing innovation culture; Through broadening channels of capital investment and establishing information exchange mechanism to ensure investment safeguard mechanism; Through cultivating the innovative talents and sound reasonable motivation mechanism to improve the talent safeguard mechanism.
Finally, this paper chooses Gold wind as the example of study, on the basis of anglicizing its survey, applies the mathematics models for the independent innovation modes selection established in front of the paper to practice, and proposes the implement for Gold wind’s independent innovative strategies.
首先,在分析我国风电企业基本情况的基础上,得出自主创新是我国风电企业的必然选择的结论。通过对我国风电企业与国外的技术差距以及风电关键技术发展趋势的分析,指出了我国风电企业自主创新的方向。
其次,详细介绍了原始创新、集成创新和引进创新三种自主创新模式,提出了我国风电企业选择自主创新模式时应遵循的基本原则。在此基础上,分别基于SWOT分析和企业生命周期两种方法,构建了我国风电企业自主创新模式选择模型。
再次,从国家和企业两个层面分析了我国风电企业自主创新的保障机制,国家要通过建立风电技术创新体系、完善风电相关政策法规等提供政策制度保障;风电企业自身应从设置高效的研发组织结构、建立策略性技术联盟、培育企业创新文化三方面优化组织保障机制;通过拓宽资金投入渠道、建立信息沟通机制确保投入保障机制;通过培养创新型人才、建立健全合理的激励机制完善人才保障机制。
最后,以金风科技为例,在介绍其概况的基础上,对前文建立的我国风电企业自主创新模式选择模型进行了实证分析,并提出了金风科技实施自主创新的对策。
Because of its unique advantages, Wind power generation becomes an important part of strategies for sustainable development in many countries, showing an explosive development. China's wind turbine manufacturers and wind technologies have made rapid development in recent years, however, the gap with foreign countries remains abroad. Independent innovation is the certain choice of China's wind turbine manufacturers to gain sustainable development. In this paper, independent innovation theory as a guide, the latest theoretical research at home and abroad was learned, applying comparative analysis, combining theoretical research with demonstrate research, qualitative analysis with quantitative analysis, the independent innovation modes selection and safeguard mechanism of China's wind turbine manufacturers were studied.
Firstly, based on the analysis of China's wind turbine manufacturers surgery, the conclusions that independent innovation is the certain choice of China's wind turbine manufacturers is made. After analyzing the technology gap between China’s wind turbine manufacturers and foreign enterprises and the development trend of critical wind technologies, the direction of independent innovation of China's wind turbine manufacturers was pointed out.
Secondly, this paper analyzes the modes of wind turbine manufacturers’independent innovation, including original innovation, integrative innovation and innovation based on technology-introduction, and puts forward some basic principles for selecting innovation modes. On this basis, respectively, based on the SWOT analysis and enterprise life-cycle, the mathematics models for the innovation modes selection of China's wind turbine manufacturers were built up.
Thirdly, from the national and enterprise two aspects, this paper analysis the independent innovation safeguard mechanism of China's wind turbine manufacturers. The state should provide policies safeguard through establishing the wind technical innovation system and improving the related policies and regulations; Wind turbine manufacturers should provide organization safeguard mechanism by setting up their own high-performance R&D organizational structure, establishing strategic technology alliances and nurturing innovation culture; Through broadening channels of capital investment and establishing information exchange mechanism to ensure investment safeguard mechanism; Through cultivating the innovative talents and sound reasonable motivation mechanism to improve the talent safeguard mechanism.
Finally, this paper chooses Gold wind as the example of study, on the basis of anglicizing its survey, applies the mathematics models for the independent innovation modes selection established in front of the paper to practice, and proposes the implement for Gold wind’s independent innovative strategies.
引文
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3 K. J. Arrow. The Economic Implications of Learning by Doing. Reviews of Economic Studies, 1962,(29):155-173
4 Urawa Hirofumi. Optimum Technical Change in an Aggregative Model of Economic Growth. International Economic Review, 1965,(6):18-31
5 P. M. Romer. Increasing Returns and Long Run Growth. Journal of Political Economy, 1986,94(5):1002-1037
6 R. E. Lucas. On the Mechanics of Economic Development. Journal of Monetary Economics, 1988,(22):3-42
7 G. M. Grossman, E. Helpman. Endogenous Innovation in the Theory of Growth. Journal of Economic Perspectives, 1994,(11):23-44
8克里斯·弗里曼.工业创新经济学.华宏勋等译.北京:北京大学出版社,2004:23
9 Rainer Andergassen, Franco Nardini. Endogenous Innovation Waves and Economic Growth. Structural Change and Economic Dynamics, 2005(3):1-18
10 R. Rothwell. Successful Industrial Innovation: Critical Factors for the 1900s. R&D Management. 1992,22(3):221-239
11刘国新.国内外关于自主创新的研究综述.科技进步与对策,2007,24(2):196-199
12 L. Kim. Imitation to Innovation: The Dynamics of Korea's Technological Learning. Boston: Harvard Business School Press, 1996
13 Pawan Sikka. Analysis of In-house R&D Centers of Innovative Firms in India. Research Policy, 1998,(27):79-90
14 Naushad Forbes, David Wield. Managing R&D in Technology followers. Research Policy, 2000,(29):47-53
15 Dan Breznitz. Industrial R&D as a national policy: Horizontal technology policies and industry—state co-evolution in the growth of the Israeli software industry. Research Policy, 2003,(17):1465-1482
16 D. E.司托克斯.基础科学与技术创新.周春彦等译.北京:科学出版社,1999:75
17 Jan Haaland, Hans Jarle Kind. R&D policies, trade and process innovation. Journal of International Economics, 2007,(24):170-187
18 Anna Bergek, S. Jacobsson, B. Carlsson, S. Lindmark, A. Rickne. Analyzing the functional dynamics of technological innovation systems: A scheme of analysis. Research Policy, 2008,37(3):407-429
19陈劲.从技术引进到自主创新的学习模式.科研管理, 1994,(2):32-35
20谢燮正.科技进步、自主创新与经济增长.中国工程师, 1995,(5):6-9
21杨德林,陈春宝.模仿创新自主创新与高技术企业成长.中国软科学, 1997,(8):107-112
22傅家骥.技术创新学.北京:清华大学出版社,1998
23周寄中.关于自主创新与知识产权之间的联动.管理评论, 2005,(11):41-45
24孙健.论基于自主创新的我国高新技术企业可持续发展.现代管理科学, 2007,(5):53-55
25杜谦.关键在于自主创新—谈谈我国的科技发展.求是, 2001,(23):52-54
26赖玮.如何增强中小企业生存能力.合作经济与科技, 2008,(11):31-32
27段姗,宁建荣.浙江企业自主创新的途径与对策研究.科技管理研究, 2009,(7):203-206
28万君康.论技术引进与自主创新的关联与差异.武汉汽车工业大学学报, 2000,(4):43-46
29程源,高建.企业外部技术获取:机理与案例分析.科学学与科学技术管理, 2005,(1):43-47
30李庆扬,石晓霞.企业自主创新的财税政策研究.改革与战略, 2008,(12):74-76
31牛争艳,方玲.科技基础条件资源共享平台助力自主创新.科技情报开发与经济, 2008,18(2):153
32张磊,郑丕谔.自主创新体系的国际比较及中国国家创新体系应采取的对策.经济体制改革, 2009,(1):164-167
33廖少纲.自主创新软环境系统研究. [同济大学博士学位论文]. 2008:16
34李永波,朱方明.企业技术创新理论研究的回顾与展望.西南民族学院学报(哲学社会科学版), 2002,23(3):188-191
35毛凯军.技术创新:理论回顾与探讨.科学学与科学技术管理, 2005,(10):55-59
36张凤海,侯铁珊.技术创新理论评述.东北大学学报(社会科学版), 2008,10(2):101-105
37许庆瑞.研究、发展与技术创新管理.北京:高等教育出版社,2000
38胡昱.企业创新体系理论研究. [中共中央党校博士学位论文]. 2005:29-30
39梅姝娥.技术创新模式选择问题研究.东南大学学报(哲学社会科学版), 2008,10(3):20-24
40 Dora Marinova, John Phillimore. Models of Innovation. The International Handbook on Innovation, 2003:44-53
41 L. M. Branscomb. Technological Innovation. International Encyclopedia of the Social & Behavioral Sciences, 2004:15498~15502
42徐冠华.关于自主创新的几个重大问题.科技日报, 2006-4-4
43赵更申,雷巧玲.我国企业自主创新的制约因素及对策研究.科技进步与对策, 2006,(3):129-131
44毛蕴诗,汪建成.基于产品升级的自主创新路径研究.管理世界, 2006,(5):114-120
45毛建军.自主创新是一种选择,更是一种实践.科学促进发展, 2005,(9):34-36
46宋河发,穆荣平.自主创新及创新自主性测度研究.中国软科学, 2006,(6):60-66
47杨起全.关于坚持走中国特色自主创新道路的思考.太原科技, 2009,(8):11-15
48郭昌欣.新形势下提升自主创新能力的若干思考.科报网, 2005-11-07
49胥和平.以自主创新理解发展.中国软科学, 2006,(3):6-10
50 R. Nelson. National Systems of Innovation: A Comparative Study. Oxford: Oxford University Press, 1992
51韦东远.我国风电产业发展趋势.创新科技, 2008,(9):56-57
52 G. M. Joselin Herbert, S. Iniyan. A Review of Wind Energy Technologies. Renewable and Sustainable Energy Reviews, 2007,(11):1117-1145
53 Ahmet Duran Sahin. Progress and Recent Trends in Wind Energy. Progress in Energy and Combustion Science, 2004,30(5):501-543
54 R. Thresher, A. Laxson. Advanced Wind Technology: New Challenges for a New Century. At the European Wind Energy Conference Athens, Greece, February 27-March 2, 2006
55施鹏飞.国内外风电持续迅猛发展.中外能源, 2009,14(1):36-40
56陈鸣,杨刚.风力发电技术及其发展趋势.电力学报, 2008,23(4):272-275
57纪欣农,王国华.关于我国原始创新的研究.法治与社会, 2007,(4):744-745
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65袁军.构建有利于自主创新的体制机制.宏观经济管理, 2007,(10):16-18
66林嘉兴.谈技术创新联盟的发展现状与趋势.商业时代, 2009,(26):47-48
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69肖晋,马弘.论自主创新型科技人才的激励方法.经济丛刊, 2008(2):34~37
2 J. A. Schumpeter. The Theory of Economic Development. Cambridge MA: Harvard University Press,1934
3 K. J. Arrow. The Economic Implications of Learning by Doing. Reviews of Economic Studies, 1962,(29):155-173
4 Urawa Hirofumi. Optimum Technical Change in an Aggregative Model of Economic Growth. International Economic Review, 1965,(6):18-31
5 P. M. Romer. Increasing Returns and Long Run Growth. Journal of Political Economy, 1986,94(5):1002-1037
6 R. E. Lucas. On the Mechanics of Economic Development. Journal of Monetary Economics, 1988,(22):3-42
7 G. M. Grossman, E. Helpman. Endogenous Innovation in the Theory of Growth. Journal of Economic Perspectives, 1994,(11):23-44
8克里斯·弗里曼.工业创新经济学.华宏勋等译.北京:北京大学出版社,2004:23
9 Rainer Andergassen, Franco Nardini. Endogenous Innovation Waves and Economic Growth. Structural Change and Economic Dynamics, 2005(3):1-18
10 R. Rothwell. Successful Industrial Innovation: Critical Factors for the 1900s. R&D Management. 1992,22(3):221-239
11刘国新.国内外关于自主创新的研究综述.科技进步与对策,2007,24(2):196-199
12 L. Kim. Imitation to Innovation: The Dynamics of Korea's Technological Learning. Boston: Harvard Business School Press, 1996
13 Pawan Sikka. Analysis of In-house R&D Centers of Innovative Firms in India. Research Policy, 1998,(27):79-90
14 Naushad Forbes, David Wield. Managing R&D in Technology followers. Research Policy, 2000,(29):47-53
15 Dan Breznitz. Industrial R&D as a national policy: Horizontal technology policies and industry—state co-evolution in the growth of the Israeli software industry. Research Policy, 2003,(17):1465-1482
16 D. E.司托克斯.基础科学与技术创新.周春彦等译.北京:科学出版社,1999:75
17 Jan Haaland, Hans Jarle Kind. R&D policies, trade and process innovation. Journal of International Economics, 2007,(24):170-187
18 Anna Bergek, S. Jacobsson, B. Carlsson, S. Lindmark, A. Rickne. Analyzing the functional dynamics of technological innovation systems: A scheme of analysis. Research Policy, 2008,37(3):407-429
19陈劲.从技术引进到自主创新的学习模式.科研管理, 1994,(2):32-35
20谢燮正.科技进步、自主创新与经济增长.中国工程师, 1995,(5):6-9
21杨德林,陈春宝.模仿创新自主创新与高技术企业成长.中国软科学, 1997,(8):107-112
22傅家骥.技术创新学.北京:清华大学出版社,1998
23周寄中.关于自主创新与知识产权之间的联动.管理评论, 2005,(11):41-45
24孙健.论基于自主创新的我国高新技术企业可持续发展.现代管理科学, 2007,(5):53-55
25杜谦.关键在于自主创新—谈谈我国的科技发展.求是, 2001,(23):52-54
26赖玮.如何增强中小企业生存能力.合作经济与科技, 2008,(11):31-32
27段姗,宁建荣.浙江企业自主创新的途径与对策研究.科技管理研究, 2009,(7):203-206
28万君康.论技术引进与自主创新的关联与差异.武汉汽车工业大学学报, 2000,(4):43-46
29程源,高建.企业外部技术获取:机理与案例分析.科学学与科学技术管理, 2005,(1):43-47
30李庆扬,石晓霞.企业自主创新的财税政策研究.改革与战略, 2008,(12):74-76
31牛争艳,方玲.科技基础条件资源共享平台助力自主创新.科技情报开发与经济, 2008,18(2):153
32张磊,郑丕谔.自主创新体系的国际比较及中国国家创新体系应采取的对策.经济体制改革, 2009,(1):164-167
33廖少纲.自主创新软环境系统研究. [同济大学博士学位论文]. 2008:16
34李永波,朱方明.企业技术创新理论研究的回顾与展望.西南民族学院学报(哲学社会科学版), 2002,23(3):188-191
35毛凯军.技术创新:理论回顾与探讨.科学学与科学技术管理, 2005,(10):55-59
36张凤海,侯铁珊.技术创新理论评述.东北大学学报(社会科学版), 2008,10(2):101-105
37许庆瑞.研究、发展与技术创新管理.北京:高等教育出版社,2000
38胡昱.企业创新体系理论研究. [中共中央党校博士学位论文]. 2005:29-30
39梅姝娥.技术创新模式选择问题研究.东南大学学报(哲学社会科学版), 2008,10(3):20-24
40 Dora Marinova, John Phillimore. Models of Innovation. The International Handbook on Innovation, 2003:44-53
41 L. M. Branscomb. Technological Innovation. International Encyclopedia of the Social & Behavioral Sciences, 2004:15498~15502
42徐冠华.关于自主创新的几个重大问题.科技日报, 2006-4-4
43赵更申,雷巧玲.我国企业自主创新的制约因素及对策研究.科技进步与对策, 2006,(3):129-131
44毛蕴诗,汪建成.基于产品升级的自主创新路径研究.管理世界, 2006,(5):114-120
45毛建军.自主创新是一种选择,更是一种实践.科学促进发展, 2005,(9):34-36
46宋河发,穆荣平.自主创新及创新自主性测度研究.中国软科学, 2006,(6):60-66
47杨起全.关于坚持走中国特色自主创新道路的思考.太原科技, 2009,(8):11-15
48郭昌欣.新形势下提升自主创新能力的若干思考.科报网, 2005-11-07
49胥和平.以自主创新理解发展.中国软科学, 2006,(3):6-10
50 R. Nelson. National Systems of Innovation: A Comparative Study. Oxford: Oxford University Press, 1992
51韦东远.我国风电产业发展趋势.创新科技, 2008,(9):56-57
52 G. M. Joselin Herbert, S. Iniyan. A Review of Wind Energy Technologies. Renewable and Sustainable Energy Reviews, 2007,(11):1117-1145
53 Ahmet Duran Sahin. Progress and Recent Trends in Wind Energy. Progress in Energy and Combustion Science, 2004,30(5):501-543
54 R. Thresher, A. Laxson. Advanced Wind Technology: New Challenges for a New Century. At the European Wind Energy Conference Athens, Greece, February 27-March 2, 2006
55施鹏飞.国内外风电持续迅猛发展.中外能源, 2009,14(1):36-40
56陈鸣,杨刚.风力发电技术及其发展趋势.电力学报, 2008,23(4):272-275
57纪欣农,王国华.关于我国原始创新的研究.法治与社会, 2007,(4):744-745
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