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供应链技术创新协同研究
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摘要
在全球化和知识经济的背景下,单一的企业或公司的有限资源己无法满足技术创新的要求,在供应链的框架内开展技术创新协同已经成为技术密集型企业及其所在产业链的迫切要求。但是,就供应链技术创新协同的具体内容来看,无论从协同行为层面还是从协同绩效层面都缺乏系统地分析和总结,这对于指导企业开展技术创新协同行为、促进产业集成创新能力的全面提升、有效发挥供应链本身的协同效应都产生了十分不利的影响。这种不利的影响一方面体现在企业缺乏开展协同行为的具体指导;另一方面体现在企业难以获得较好的技术创新协同绩效。基于此,本文运用技术创新理论、供应链管理理论、产业组织理论和制度创新等理论,结合博弈论和数理统计学等定量分析工具,运用定性研究、定量建模研究和实证研究等方法,对供应链技术创新协同问题进行系统的理论和实证研究。
     本文在对国内外相关研究进行综述的基础上,首先,构建了供应链技术创新协同研究的理论框架,重点对协同规划和协同实施两部分内容进行研究,解决了“是否协同”和“如何协同”两大关键问题;其次,运用博弈论和产业组织理论等方法对典型的供应链技术创新协同的契约设计问题定量建模分析;然后,建立供应链技术创新协同的测度框架和绩效评价体系,在此基础上,结合理论研究框架,以长三角为研究对象进行实证研究,对我国开展供应链技术创新协同的现状进行描述分析,并对协同行为和协同绩效展开因素分析。
     在实证研究的基础上,本文提出以下结论:
     (1)供应链技术创新协同具有强烈的自推动性,即协同动力主要来自产品技术和供应链自身发展的要求。
     供应链上的企业进行技术创新协同动因来自于许多方面,但不同动因对协同的绩效推动存在着差异。企业参与供应链技术创新协同的主要动因包括产品和技术本身的要求、降低不确定性和风险、发挥资源和能力的互补效应、供应链专业化和一体化的推动。但是,不同协同动因会对供应链技术创新协同的绩效产生影响。当企业进行协同的动力来自于“产品和技术本身的要求”或“充分利用供应链的资源和能力”时,其协同绩效较好。。
     (2)产业特点、企业所处供应链的环境以及协同动因是影响企业是否参与供应链技术创新协同决策的主要外部因素。
     其中决定企业是否参与供应链技术创新协同最重要的因素是产业技术的复杂程度,其次是供应链的复杂程度和协同动因。阻碍更多企业参与供应链技术创新协同的主要顾虑来自技术泄漏风险、实施难度和协同利益分配三大方面
     (3)产业集聚程度、创新项目的技术密集程度、技术复杂程度、供应链复杂程度和协同伙伴选择五项协同基础条件均会对协同的最终绩效产生重要影响。
     其中,技术复杂程度因素对协同绩效的影响是非线性的,即协同绩效在技术复杂程度水平处于“比较高”时具有最佳绩效,而在技术复杂程度处于“很高”和“一般”水平时较低。
     (4)在协同的实施过程中,协同的激励机制、协同的运作和协调机制对协同绩效有重大影响。其中,协同的投入和利益分配机制是供应链技术创新协同的核心机制所在;知识技术的转移和交换机制对协同绩效的影响有待进一步研究;而协同的组织形式的差别并未对协同绩效产生明显的影响。
With the development of globalization and knowledge economy, enterprise can hardly accomplish technological innovation simply by itself. Technology-intensive industries and enterprises within have exigent requirement on technological innovation collaboration in the frame of supply chain. However, there are few systematic studies related either to collaboration behavior or collaboration performance. It encumbers the upgrade of industries’competence on intensive innovation, while hampers to bring collaborative effect in supply chain. On the one hand, enterprises’behaviors are short of specific instruction. On the other hand, a high collaboration performance can hardly be achieved on a supply chain without related studies. Accordingly, this paper apply theories of technological innovation, supply chain management and industry organization etc., combine with methods including game theory and statistics analysis, research the specific contents of technological innovation collaboration on supply chain both in theoretical and empirical ways.
     Based on related literature review, firstly, this paper constructs a theoretical frame work of technological innovation collaboration on supply chain, focuses on plan stage and implement stage of collaboration, makes answers to two crucial questions---“Collaborate or Not?”and“How to Collaborat”; secondly, a game theory model is developed to analyze classical contract design question; thirdly, this paper constructs a performance measurement and evaluation system, and based on this system, an empirical study on Yangzi Rive Delta is finally accomplished.
     The main conclusions of this dissertation are as follows:
     (1) Technological innovation collaboration on supply chain are mainly motivated by technology and supply chain itself.
     Several motivations is observed to promote enterprise to participate in technological innovation collaboration on supply chain, while different motivations lead to inequable collaboration performance.
     The main motivations of enterprises’participation in technological innovation collaboration on supply chain are“requirement of product or technology itself”,“to degrade uncertainty and risk”,“pool effect of source and capacity in supply chain”and“drive from integration and specialization of supply chain”. However, different motivations will lead to discrepant collaboration performance. The better collaboration performance comes from the motivation“requirement of product or technology itself”and“pool effect of source and capacity in supply chain”. It can be explained that the collaboration conduct are mainly motivated by technology and supply chain itself.
     (2) The characteristics of industry, supply chain environment and collaboration motivation are main outer factors in the enterprises’decision of whether participate in collaboration or not.
     The most important factor is industry technology complication, next factors are supply chain complexity and collaboration motivation. Worries, which will encumber enterprises’collaboration behavior, can be concluded in three aspects: technology leakage, implementary difficulty and unfair distribution of collaboration interest.
     (3) Industry intensity, technology intensity of innovation project, technology complication, supply chain complexity and collaboration partner have important effects on collaboration performance.
     Wherein, the factor of technology intensity affects collaboration performance in a nonlinear way.
     (4) Consider the implement process, the promoting mechanism and operation & coordinating mechanism of collaboration have important effect on collaboration performance. Wherein, the allotment mechanism of input and output is the core mechanism of technological innovation collaboration on supply chain. The performance effect of knowledge and technology transfer mechanism needs a farther research. While, the different organization forms of collaboration do not lead to evident diversity in performance.
引文
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