HEM企业组织创新与技术创新协同机制及演化动力机理
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摘要
作为我国战略性新兴产业发展“十二五”规划的重点领域和方向，高端装备制造（High-end Equipment Manufacturing, HEM）业是装备制造业的高端环节，具有技术密集、附加值高、成长空间大、带动作用强等突出特点，是衡量一个国家制造业发展水平和整体经济综合竞争实力的重要标志，也承担了“替代进口”的使命。对中国这样的发展中大国而言，加快装备制造业的高端化、现代化是推动工业现代化的关键，也是实现由“制造大国”向“制造强国”战略转变的重要途径。发展HEM业的关键就是企业创新，而HEM企业又正处于创新发展的关键点，因此讨论HEM企业的创新问题是对我国整体经济具有战略意义。
我国制造企业的技术创新一直存在“高投入，低产出”的低效率问题，先行的技术创新使很多企业出现了技术与组织不适应带来的低效与冲突。另一方面，先行的组织创新，例如航天的“两总制”，为企业的整体运行带来显著的效率提高，而如何更好利用这样的组织创新不断推动航天技术的进一步创新仍没有得到较好的解决。可见企业组织创新与技术创新不同步、不适应或没有做到互促的现状仍普遍存在；如何解决上述三方面问题，做到企业创新的平衡与互促，保证创新行为的事半功倍，是无法通过单纯讨论一种创新来完成的，需要从组织创新与技术创新的复杂互动关系入手，深入探究在一个较长历史时期内二者的复杂相互作用与演化。
在总结并梳理了国内外关于组织创新与技术创新的复杂相关关系，多层次要素对创新作用，以及协同演化理论应用于创新领域的研究成果基础后，运用协同学、生命周期理论、创新理论、复杂系统理论、演化经济学、企业管理理论以及系统分析、统计学、协同演化算法与模拟仿真等方法，对组织创新与技术创新协同机制与协同演化动力机理进行研究，一方面考虑了HEM企业自身的属性与特征，另一方面又对组织创新、技术创新以及二者相互作用做了静态与动态相结合的分层次与分阶段研究，内容包括：
对演化视角下的企业组织创新与技术创新分别进行演绎与推理，从历史唯物主义的角度出发，讨论组织创新与技术创新复杂关系演化以及二者的复杂相互作用；根据HEM企业自身特征与创新属性，划分并描述不同生命周期阶段的特征与创新行为；以上述划分的生命周期作为发展阶段，提出HEM企业组织创新与技术创新协同的动力导向机制。
分层次研究企业个体、组织与环境层次对企业创新协同的调节作用，提出多层次影响要素对HEM企业组织创新与技术创新协同的调节作用模型与研究假设；在不同生命周期调研问卷进行信度检验的基础上，应用调研数据计算HEM企业组织创新与技术创新的协同度，验证二者协同的动力导向机制；比较讨论不同生命周期多层次影响要素对创新协同调节作用的路径系数，并以层次为单位纵向比较分析不同生命周期的路径系数。
在上文提出的组织创新与技术创新协同的生命周期模型与多层次要素对HEM企业组织创新与技术创新协同的调节作用路径研究结果的基础上，分析与设计组织创新与技术创新协同演化系统，描述组织创新与技术创新协同演化的复杂性特征与演化路径；在二者协同演化的竞争与协同属性指导下，构建包含系统内外部动力的组织创新与技术创新协同演化动力机理模型；并对动力机理模型进行仿真模拟，最后比较讨论仿真输出的协同演化趋势图。
选取不同子行业的两个HEM企业为案例，比较分析成熟阶段案例企业的协同情况与多层次要素的调节作用路径系数，在案例企业组织创新与技术创新协同演化动力机理模型差异比较研究的基础上，讨论案例企业组织创新与技术创新的协同演化趋势图；结合上述案例研究的具体结果，应用二者创新协同动力导向机制，协同演化动力机理等研究成果提出了，针对HEM企业的管理策略建议。
本课题突破了静态的研究视角，并将定性与定量研究相结合，将复杂系统理论科学的引入到组织创新与技术创新复杂关系的研究中，丰富了组织创新与技术创新领域的研究成果，为HEM企业创新的决策与管理，与企业创新的未来发展提供参考依据，具有重要的理论与现实意义。
As China's strategic emerging industrie development "12th Five-YearPlan"‘s focus areas and direction, HEM Industry is a high-end segments ofequipment manufacturing industry, its characteristics are technology-intensive,high value-added, strong growth space, salient drive effect; which is an importantsymbol to measure one national manufacturing industry development and itsoverall economic competitive strength. For a large developing country like China,to speed up high-end and modernization of equipment manufacturing is the keyto the promotion of industrial modernization, it is also an important strategictransformation way from the "big manufacturing country" to the "powerfulmanufacturing powerhouse ". Innovation development the key to HEMenterprises, and the HEM enterprise is in the proper point of innovation, so thatdiscuss the HEM enterprise innovation issues is of strategic significance forChina's economy as a whole.
Technical innovation(TI) of manufacturing enterprises in China there hasbeen a "high input, low output" low efficiency, TI of the first so many companiessuited to bring the technical and organizational inefficiencies and conflicts. Onthe other hand, the first of organizational innovation(OI), such as aerospace"total" system, bring significant efficiency for the overall running of theenterprise, but still do not get how to make better use of this OI continue topromote further innovation in aerospace technology than good solution. Visibleenterprise OI and TI are not synchronized, not suited to or did not do to themutual promotion of the status quo is still widespread; how to solve theabove-mentioned three aspects, so that the balance of corporate innovation andpromoted by guarantee the multiplier of innovative behavior, can not by simplydiscuss an innovative, you need to start from the complex interaction between OIand TI, and delve into the complex interaction with the evolution of a long periodof history both.
Based on summary and sort at home and abroad of complicated relationshipbetween OI and TI, multi-level elements of the role of innovation, innovationresearch perspective, and co-evolution theory application in innovation researchfield, using synergetics, life-cycle theory, innovation theory, complex systemstheory, evolutionary economics, business management theory and systems analysis, statistics, co-evolutionary algorithm and simulation method, this thesisresearched on the co-evolution dynamic mechanism between OI and TI; on onehand, considering the HEM enterprise’s own attributes and characteristics, on theother hand, statically and dynamically researching on OI, TI as well as the two’sinteractions, the specific contents of the research includes:
From evolutionary view, OI and TI are deducted and reasoned, from theview of historical materialism, complex relationship evolution as well asinteraction between OI and TI are discussed; according to the HEM enterprise’sown characteristics, different life-cycle stages are divided and theircharacteristics and innovative behaviors are described; based on the stagesproposed, synergy dynamic direct mechanism between OI and TI is put forward.
Hierarchically research on moderation effects of enterprise individuals,organizations and environmental level on innovation synergy, effect model andhypotheses of multi-level impact factors on and synergy between OI and TI inHEM enterprise; reliability of recovery questionnaire in the different life-cyclestages is tested, using questionnaire data synergy between OI and TI iscalculated, dynamic direct mechanism of the two is validated; it is comparativelydiscussed on effect path coefficient of multi-level factors on the innovationsynergy during different life-cycle, and different life-cycle path coefficients arevertically analysed.
Based on the life-cycle synergy model and effect path findings ofmulti-level factors on synergy between OI and TI in HEM enterprise,co-evolution system between OI and TI is designed and analysed, the complexityand co-evolution path between OI and TI is described; under the guidance of thecompetition and synergistic characteristics of co-evolution between OI and TI,build internal and externa co-evolution dynamic mechanism model between OIand TI; and simulate dynamic mechanism model, at last comparatively discussthe output figure of co-evolution simulation trend.
Select two HEM enterprises in different sub-sectors as a case study, andcomparatively analyse innovation snergy and multi-level factor’s effect pathcoefficient during maturrity stage of the case enterprise; based on thecomparative research of co-evolution dynamic mechanism model between OI andTI, it is comparatively discussed that co-evolution trendency between cases’ OIand TI in all life-cycles; according to case studies’ specific results, usinginnovation synergy dynamic direct mechanism, co-evolution dynamic mechanism results, it is proposed, especially for HEM enterprises, that management tacticssuggestion.
This topic has a breakthrough for static research perspective, and combinesqualitative and quantitative research, and induces complex system theory intocomplex relationship research between OI and TI, finally enriches findings in OIand TI research field, and provides reference for HEM enterprises’decision-making, innovation management, and future development, this topic hasimportant practical significance.
我国制造企业的技术创新一直存在“高投入，低产出”的低效率问题，先行的技术创新使很多企业出现了技术与组织不适应带来的低效与冲突。另一方面，先行的组织创新，例如航天的“两总制”，为企业的整体运行带来显著的效率提高，而如何更好利用这样的组织创新不断推动航天技术的进一步创新仍没有得到较好的解决。可见企业组织创新与技术创新不同步、不适应或没有做到互促的现状仍普遍存在；如何解决上述三方面问题，做到企业创新的平衡与互促，保证创新行为的事半功倍，是无法通过单纯讨论一种创新来完成的，需要从组织创新与技术创新的复杂互动关系入手，深入探究在一个较长历史时期内二者的复杂相互作用与演化。
在总结并梳理了国内外关于组织创新与技术创新的复杂相关关系，多层次要素对创新作用，以及协同演化理论应用于创新领域的研究成果基础后，运用协同学、生命周期理论、创新理论、复杂系统理论、演化经济学、企业管理理论以及系统分析、统计学、协同演化算法与模拟仿真等方法，对组织创新与技术创新协同机制与协同演化动力机理进行研究，一方面考虑了HEM企业自身的属性与特征，另一方面又对组织创新、技术创新以及二者相互作用做了静态与动态相结合的分层次与分阶段研究，内容包括：
对演化视角下的企业组织创新与技术创新分别进行演绎与推理，从历史唯物主义的角度出发，讨论组织创新与技术创新复杂关系演化以及二者的复杂相互作用；根据HEM企业自身特征与创新属性，划分并描述不同生命周期阶段的特征与创新行为；以上述划分的生命周期作为发展阶段，提出HEM企业组织创新与技术创新协同的动力导向机制。
分层次研究企业个体、组织与环境层次对企业创新协同的调节作用，提出多层次影响要素对HEM企业组织创新与技术创新协同的调节作用模型与研究假设；在不同生命周期调研问卷进行信度检验的基础上，应用调研数据计算HEM企业组织创新与技术创新的协同度，验证二者协同的动力导向机制；比较讨论不同生命周期多层次影响要素对创新协同调节作用的路径系数，并以层次为单位纵向比较分析不同生命周期的路径系数。
在上文提出的组织创新与技术创新协同的生命周期模型与多层次要素对HEM企业组织创新与技术创新协同的调节作用路径研究结果的基础上，分析与设计组织创新与技术创新协同演化系统，描述组织创新与技术创新协同演化的复杂性特征与演化路径；在二者协同演化的竞争与协同属性指导下，构建包含系统内外部动力的组织创新与技术创新协同演化动力机理模型；并对动力机理模型进行仿真模拟，最后比较讨论仿真输出的协同演化趋势图。
选取不同子行业的两个HEM企业为案例，比较分析成熟阶段案例企业的协同情况与多层次要素的调节作用路径系数，在案例企业组织创新与技术创新协同演化动力机理模型差异比较研究的基础上，讨论案例企业组织创新与技术创新的协同演化趋势图；结合上述案例研究的具体结果，应用二者创新协同动力导向机制，协同演化动力机理等研究成果提出了，针对HEM企业的管理策略建议。
本课题突破了静态的研究视角，并将定性与定量研究相结合，将复杂系统理论科学的引入到组织创新与技术创新复杂关系的研究中，丰富了组织创新与技术创新领域的研究成果，为HEM企业创新的决策与管理，与企业创新的未来发展提供参考依据，具有重要的理论与现实意义。
As China's strategic emerging industrie development "12th Five-YearPlan"‘s focus areas and direction, HEM Industry is a high-end segments ofequipment manufacturing industry, its characteristics are technology-intensive,high value-added, strong growth space, salient drive effect; which is an importantsymbol to measure one national manufacturing industry development and itsoverall economic competitive strength. For a large developing country like China,to speed up high-end and modernization of equipment manufacturing is the keyto the promotion of industrial modernization, it is also an important strategictransformation way from the "big manufacturing country" to the "powerfulmanufacturing powerhouse ". Innovation development the key to HEMenterprises, and the HEM enterprise is in the proper point of innovation, so thatdiscuss the HEM enterprise innovation issues is of strategic significance forChina's economy as a whole.
Technical innovation(TI) of manufacturing enterprises in China there hasbeen a "high input, low output" low efficiency, TI of the first so many companiessuited to bring the technical and organizational inefficiencies and conflicts. Onthe other hand, the first of organizational innovation(OI), such as aerospace"total" system, bring significant efficiency for the overall running of theenterprise, but still do not get how to make better use of this OI continue topromote further innovation in aerospace technology than good solution. Visibleenterprise OI and TI are not synchronized, not suited to or did not do to themutual promotion of the status quo is still widespread; how to solve theabove-mentioned three aspects, so that the balance of corporate innovation andpromoted by guarantee the multiplier of innovative behavior, can not by simplydiscuss an innovative, you need to start from the complex interaction between OIand TI, and delve into the complex interaction with the evolution of a long periodof history both.
Based on summary and sort at home and abroad of complicated relationshipbetween OI and TI, multi-level elements of the role of innovation, innovationresearch perspective, and co-evolution theory application in innovation researchfield, using synergetics, life-cycle theory, innovation theory, complex systemstheory, evolutionary economics, business management theory and systems analysis, statistics, co-evolutionary algorithm and simulation method, this thesisresearched on the co-evolution dynamic mechanism between OI and TI; on onehand, considering the HEM enterprise’s own attributes and characteristics, on theother hand, statically and dynamically researching on OI, TI as well as the two’sinteractions, the specific contents of the research includes:
From evolutionary view, OI and TI are deducted and reasoned, from theview of historical materialism, complex relationship evolution as well asinteraction between OI and TI are discussed; according to the HEM enterprise’sown characteristics, different life-cycle stages are divided and theircharacteristics and innovative behaviors are described; based on the stagesproposed, synergy dynamic direct mechanism between OI and TI is put forward.
Hierarchically research on moderation effects of enterprise individuals,organizations and environmental level on innovation synergy, effect model andhypotheses of multi-level impact factors on and synergy between OI and TI inHEM enterprise; reliability of recovery questionnaire in the different life-cyclestages is tested, using questionnaire data synergy between OI and TI iscalculated, dynamic direct mechanism of the two is validated; it is comparativelydiscussed on effect path coefficient of multi-level factors on the innovationsynergy during different life-cycle, and different life-cycle path coefficients arevertically analysed.
Based on the life-cycle synergy model and effect path findings ofmulti-level factors on synergy between OI and TI in HEM enterprise,co-evolution system between OI and TI is designed and analysed, the complexityand co-evolution path between OI and TI is described; under the guidance of thecompetition and synergistic characteristics of co-evolution between OI and TI,build internal and externa co-evolution dynamic mechanism model between OIand TI; and simulate dynamic mechanism model, at last comparatively discussthe output figure of co-evolution simulation trend.
Select two HEM enterprises in different sub-sectors as a case study, andcomparatively analyse innovation snergy and multi-level factor’s effect pathcoefficient during maturrity stage of the case enterprise; based on thecomparative research of co-evolution dynamic mechanism model between OI andTI, it is comparatively discussed that co-evolution trendency between cases’ OIand TI in all life-cycles; according to case studies’ specific results, usinginnovation synergy dynamic direct mechanism, co-evolution dynamic mechanism results, it is proposed, especially for HEM enterprises, that management tacticssuggestion.
This topic has a breakthrough for static research perspective, and combinesqualitative and quantitative research, and induces complex system theory intocomplex relationship research between OI and TI, finally enriches findings in OIand TI research field, and provides reference for HEM enterprises’decision-making, innovation management, and future development, this topic hasimportant practical significance.
引文
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