我国企业自主创新路径研究
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摘要
本研究是在文献研究的基础上,结合探索性案例研究,提炼关于我国企业自主创新路径的理论研究框架,并基于大规模样本调查,利用统计分析方法对我国企业自主创新路径的动态演化特征和决策机制进行了实证研究。
我国企业正面临全球化经济发展的机遇和挑战,开放式创新是适应全球化经济发展趋势的优秀理论。在全球化和开放式创新的推动下,我国企业有效参与国际竞争的关键在于选择科学的自主创新路径,推动创新程度、创新速度、自主知识产权的协调发展。由于面向发达国家的技术创新演化理论、面向发展中国家的“后发者理论”和技术追赶理论,对我国企业自主创新路径的解释能力和指导效果不足,因此,通过整合三方面理论,从全球化和开放式创新的发展特征出发,创造针对我国企业自主创新路径发展的理论体系具有极其重要的理论和现实意义。针对我国企业自主创新路径,本文主要研究了三个研究问题:其一,我国企业自主创新的测度问题,即企业研发资源分配、研发组织形式的变量、指标及其权重设计;其二,我国企业自主创新的动态发展问题,即在自主创新路径发展过程中,自主创新将产生怎样的动态演化;其三,我国企业自主创新的决策问题,即在自主创新路径发展的特定阶段,企业如何根据自主创新影响因素,合理选择研发资源分配结构和研发组织形式。
首先,本文进行了大量的文献研究,着重对技术创新演化理论、“后发者理论”、技术追赶理论三个理论体系的文献进行了研究,从理论基本假设、基本内容、研究进展、研究变量等多个方面对三个理论进行了全面的梳理。
其次,本文通过对飞跃、吉利、青春宝等三家企业的探索性案例研究发现,我国企业自主创新实践既包括得到广泛认同的“二次创新”路径模式,又包括新近研究推崇的“破坏性创新”路径模式,还包括反映“技术窗口”存在的革命性创新路径模式,每一种自主创新路径模式和以往研究结论有重合的部分,但更多的是以往研究中没有得到有效解释的现象,特别是企业自主创新决策的结构问题、影响因素的作用问题。
再次,通过进一步的理论分析,本研究对案例现象进行了总结、抽象和升华,最终形成我国企业自主创新路径研究框架,并指出企业自主创新路径动态性和自主创新决策是相互独立又紧密联系的两个关键研究内容,其中,路径动态性为我国企业实施自主创新提供了长短期平衡的基本依据,而自主创新决策则为我国企业设计长短期平衡的自主创新提供了直接指导。
第四,对我国企业自主创新路径动态性研究采用了曲线拟合的统计分析法,实证分析的结果显示:我国企业主要存在改进型、破坏型、革命型三种自主创新路径模式,三种自主创新路径模式之间在自主创新的关键特征包括创新程度、创新速度、自主知识产权等方面具有显著差异,我国企业在选择任何一种自主创新路径模式时,应注意创新程度、创新速度和自主知识产权的动态变化,不是创新程度、创新速度和自主知识产权水平越高,越能产生好的自主创新绩效。
最后,对我国企业自主创新路径决策机制研究采用了结构方程的统计分析方法,实证研究的结果显示:技术能力、技术学习、需求机会和市场竞争影响企业研发资源分配和研发组织方式,研发新度主要受技术能力、需求机会和技术学习的影响,开放程度主要受技术能力和市场竞争的影响;企业研发新度主要影响自主知识产权的发展,对创新程度和创新速度影响不显著,而开放程度则全面影响了创新程度、创新速度和自主知识产权绩效。同时,对科技驱动型和经验驱动型两类行业样本的分组模型拟合结果显示:科技驱动型行业和经验驱动型行业两组样本在自主创新路径决策时所考虑的影响因素和决策特征具有相同的模型特征,但两组样本在分析自主创新影响因素判断创新机会时存在较大的差别,同时两组样本根据创新机会做出的自主创新路径决策也存在较大的差别。
总之,本研究对自主创新进行了行为和绩效两个角度的测度,在此基础上获得了关于我国企业自主创新路径动态特征以及自主创新决策机制的有关结论,从很大程度上改进了以往研究对技术追赶过程中“创新行为黑箱”处理方法和实证研究不足的研究现状。因此,本研究对于拓展技术创新演化理论、技术追赶理论和“后发者理论”,促进理论融合具有重要的理论意义,研究结论对于我国企业以及其他国家的技术后发企业制定创新战略具有重要的实践指导意义。
Chinese enterprises are facing huge opportunities and challenges brought by globalization and open innovation as inevitable trends.The key for Chinese enterprises to respond to the challenges and opportunities of globalization and open innovation is to follow the right route of indigenous innovation to promote level of innovation,speed of innovation and independent intellectual property rights in phase. But the evolutionary theory of the technological innovation,the theory of catching-up, or the theory of latecomer is insufficient in explaining the new practices on indigenous innovation of Chinese enterprises alone under trends of globalization and open innovation.So it urged some new perspectives on indigenous innovation based on theoretical integration to explain and guide innovation practices for Chinese enterprises.
The study aims at the problems such as which routes to indigenous innovation of China's enterprises are and how to make innovation decision alone the route,and concludes three main research topics:First,what is the measure and measure weights of indigenous innovation for Chinese enterprises,and how to design corporate R & D resource allocation and R & D organizations;Second,what is the dynamic characteristics of indigenous innovation development along specified route;Third, how to make decision on indigenous innovation at particular stage along the route of indigenous innovation development.
The study carried out a great deal of literature review,with emphasis on evolutionary theory of the technological innovation,the theory of catching-up,or the theory of latecomer,and bring out a basic model for innovation study based on compare from aspects of theoretical assumption,basic content,research variables among the three theories.Then there come exploratory case studies for three Chinese cases,i.e.Feiyue,Geely,and Qingchunbao.By exploratory case studies,it is found that the practice of indigenous innovation by Chinese enterprises include not only the route widely recognized by the second innovation model,the route praised by new headway such as the disruptive innovation model,but also the route reflecting technology window proposed by forgoing researches along a revolutionary innovation perspective.Some phenomena of these routes to indigenous innovation are explained partly by existing literatures,but all these routes have not been effectively explained totally,in particular about structure of indigenous innovation decision-making,and roles of influencing factors.By exploring the phenomenon summed up in the cases,a robust framework of indigenous innovation is proposed based on theoretical analysis. According to the framework,there are two interrelated research contents,i.e.the dynamism of route to indigenous innovation and the mechanism of indigenous innovation decision-making.
Two sorts of empirical studies are carried out to test propositions respectively.
First,a statistical analysis of curve estimation is used to check out the dynamism model of indigenous innovation along three kinds of routes,such as type of improving route,type of disruptive route,and type of revolutionary route.According to the results of curve estimation,almost all curves are prominent except two.The hypotheses test suggest that,dynamism of level of innovation,speed of innovation and independent intellectual property rights deserved enough attentions by Chinese enterprises along any route to indigenous innovation.And the sense of higher level of innovation,quicker speed of innovation,and more accumulation of independent intellectual property rights leading to higher innovation performance is totally wrong considering restrict of resource and stage of specified route to indigenous innovation.
Second,structural equation model is applied to estimate model of the mechanism of indigenous innovation decision-making.According to the results,there are three conclusions.First,factors such as technological capability,technological learning, market competition and demand opportunity,are significant for innovation decision on allocation of R & D resources and organizing choice of R & D.Second,the original degree of R & D resources allocation is affected by technological capability, technological learning,and demand opportunity,and the open degree of R & D organization is affected by technological capability and market competition.Last,the original degree of R & D resources allocation shows positive effect on independent intellectual property rights,but insignificant effects on level of innovation and on speed of innovation,and the open degree of R & D organization shows all-around significant effects on level of innovation,speed of innovation and independent intellectual property rights.
Furthermore,the analysis of grouped structural equation model by variable of industry type differentiated into science-technology-driven and experience-driven shows that two categories of samples have the same model about mechanism of indigenous innovation decision-making,but show totally different parameters for most of relationships.
In short,by appropriate measuring input and output of indigenous innovation,the study solved two important problems on route to indigenous innovation of Chinese enterprises with theoretical and empirical test of model of dynamism of indigenous innovation route and model of mechanism of indigenous innovation decision-making. The research method and conclusions are a robust improvement to existing literatures on evolutionary theory of technological innovation,theory of catching-up,and theory of latecomer,promote a great step forward to theoretical integration by tapping into the black box of innovation behavior assumed by most of congener studies.And the result of the study brings significant advices of strategy making on innovation practices for Chinese enterprises,and others as technological latecomers globally.
我国企业正面临全球化经济发展的机遇和挑战,开放式创新是适应全球化经济发展趋势的优秀理论。在全球化和开放式创新的推动下,我国企业有效参与国际竞争的关键在于选择科学的自主创新路径,推动创新程度、创新速度、自主知识产权的协调发展。由于面向发达国家的技术创新演化理论、面向发展中国家的“后发者理论”和技术追赶理论,对我国企业自主创新路径的解释能力和指导效果不足,因此,通过整合三方面理论,从全球化和开放式创新的发展特征出发,创造针对我国企业自主创新路径发展的理论体系具有极其重要的理论和现实意义。针对我国企业自主创新路径,本文主要研究了三个研究问题:其一,我国企业自主创新的测度问题,即企业研发资源分配、研发组织形式的变量、指标及其权重设计;其二,我国企业自主创新的动态发展问题,即在自主创新路径发展过程中,自主创新将产生怎样的动态演化;其三,我国企业自主创新的决策问题,即在自主创新路径发展的特定阶段,企业如何根据自主创新影响因素,合理选择研发资源分配结构和研发组织形式。
首先,本文进行了大量的文献研究,着重对技术创新演化理论、“后发者理论”、技术追赶理论三个理论体系的文献进行了研究,从理论基本假设、基本内容、研究进展、研究变量等多个方面对三个理论进行了全面的梳理。
其次,本文通过对飞跃、吉利、青春宝等三家企业的探索性案例研究发现,我国企业自主创新实践既包括得到广泛认同的“二次创新”路径模式,又包括新近研究推崇的“破坏性创新”路径模式,还包括反映“技术窗口”存在的革命性创新路径模式,每一种自主创新路径模式和以往研究结论有重合的部分,但更多的是以往研究中没有得到有效解释的现象,特别是企业自主创新决策的结构问题、影响因素的作用问题。
再次,通过进一步的理论分析,本研究对案例现象进行了总结、抽象和升华,最终形成我国企业自主创新路径研究框架,并指出企业自主创新路径动态性和自主创新决策是相互独立又紧密联系的两个关键研究内容,其中,路径动态性为我国企业实施自主创新提供了长短期平衡的基本依据,而自主创新决策则为我国企业设计长短期平衡的自主创新提供了直接指导。
第四,对我国企业自主创新路径动态性研究采用了曲线拟合的统计分析法,实证分析的结果显示:我国企业主要存在改进型、破坏型、革命型三种自主创新路径模式,三种自主创新路径模式之间在自主创新的关键特征包括创新程度、创新速度、自主知识产权等方面具有显著差异,我国企业在选择任何一种自主创新路径模式时,应注意创新程度、创新速度和自主知识产权的动态变化,不是创新程度、创新速度和自主知识产权水平越高,越能产生好的自主创新绩效。
最后,对我国企业自主创新路径决策机制研究采用了结构方程的统计分析方法,实证研究的结果显示:技术能力、技术学习、需求机会和市场竞争影响企业研发资源分配和研发组织方式,研发新度主要受技术能力、需求机会和技术学习的影响,开放程度主要受技术能力和市场竞争的影响;企业研发新度主要影响自主知识产权的发展,对创新程度和创新速度影响不显著,而开放程度则全面影响了创新程度、创新速度和自主知识产权绩效。同时,对科技驱动型和经验驱动型两类行业样本的分组模型拟合结果显示:科技驱动型行业和经验驱动型行业两组样本在自主创新路径决策时所考虑的影响因素和决策特征具有相同的模型特征,但两组样本在分析自主创新影响因素判断创新机会时存在较大的差别,同时两组样本根据创新机会做出的自主创新路径决策也存在较大的差别。
总之,本研究对自主创新进行了行为和绩效两个角度的测度,在此基础上获得了关于我国企业自主创新路径动态特征以及自主创新决策机制的有关结论,从很大程度上改进了以往研究对技术追赶过程中“创新行为黑箱”处理方法和实证研究不足的研究现状。因此,本研究对于拓展技术创新演化理论、技术追赶理论和“后发者理论”,促进理论融合具有重要的理论意义,研究结论对于我国企业以及其他国家的技术后发企业制定创新战略具有重要的实践指导意义。
Chinese enterprises are facing huge opportunities and challenges brought by globalization and open innovation as inevitable trends.The key for Chinese enterprises to respond to the challenges and opportunities of globalization and open innovation is to follow the right route of indigenous innovation to promote level of innovation,speed of innovation and independent intellectual property rights in phase. But the evolutionary theory of the technological innovation,the theory of catching-up, or the theory of latecomer is insufficient in explaining the new practices on indigenous innovation of Chinese enterprises alone under trends of globalization and open innovation.So it urged some new perspectives on indigenous innovation based on theoretical integration to explain and guide innovation practices for Chinese enterprises.
The study aims at the problems such as which routes to indigenous innovation of China's enterprises are and how to make innovation decision alone the route,and concludes three main research topics:First,what is the measure and measure weights of indigenous innovation for Chinese enterprises,and how to design corporate R & D resource allocation and R & D organizations;Second,what is the dynamic characteristics of indigenous innovation development along specified route;Third, how to make decision on indigenous innovation at particular stage along the route of indigenous innovation development.
The study carried out a great deal of literature review,with emphasis on evolutionary theory of the technological innovation,the theory of catching-up,or the theory of latecomer,and bring out a basic model for innovation study based on compare from aspects of theoretical assumption,basic content,research variables among the three theories.Then there come exploratory case studies for three Chinese cases,i.e.Feiyue,Geely,and Qingchunbao.By exploratory case studies,it is found that the practice of indigenous innovation by Chinese enterprises include not only the route widely recognized by the second innovation model,the route praised by new headway such as the disruptive innovation model,but also the route reflecting technology window proposed by forgoing researches along a revolutionary innovation perspective.Some phenomena of these routes to indigenous innovation are explained partly by existing literatures,but all these routes have not been effectively explained totally,in particular about structure of indigenous innovation decision-making,and roles of influencing factors.By exploring the phenomenon summed up in the cases,a robust framework of indigenous innovation is proposed based on theoretical analysis. According to the framework,there are two interrelated research contents,i.e.the dynamism of route to indigenous innovation and the mechanism of indigenous innovation decision-making.
Two sorts of empirical studies are carried out to test propositions respectively.
First,a statistical analysis of curve estimation is used to check out the dynamism model of indigenous innovation along three kinds of routes,such as type of improving route,type of disruptive route,and type of revolutionary route.According to the results of curve estimation,almost all curves are prominent except two.The hypotheses test suggest that,dynamism of level of innovation,speed of innovation and independent intellectual property rights deserved enough attentions by Chinese enterprises along any route to indigenous innovation.And the sense of higher level of innovation,quicker speed of innovation,and more accumulation of independent intellectual property rights leading to higher innovation performance is totally wrong considering restrict of resource and stage of specified route to indigenous innovation.
Second,structural equation model is applied to estimate model of the mechanism of indigenous innovation decision-making.According to the results,there are three conclusions.First,factors such as technological capability,technological learning, market competition and demand opportunity,are significant for innovation decision on allocation of R & D resources and organizing choice of R & D.Second,the original degree of R & D resources allocation is affected by technological capability, technological learning,and demand opportunity,and the open degree of R & D organization is affected by technological capability and market competition.Last,the original degree of R & D resources allocation shows positive effect on independent intellectual property rights,but insignificant effects on level of innovation and on speed of innovation,and the open degree of R & D organization shows all-around significant effects on level of innovation,speed of innovation and independent intellectual property rights.
Furthermore,the analysis of grouped structural equation model by variable of industry type differentiated into science-technology-driven and experience-driven shows that two categories of samples have the same model about mechanism of indigenous innovation decision-making,but show totally different parameters for most of relationships.
In short,by appropriate measuring input and output of indigenous innovation,the study solved two important problems on route to indigenous innovation of Chinese enterprises with theoretical and empirical test of model of dynamism of indigenous innovation route and model of mechanism of indigenous innovation decision-making. The research method and conclusions are a robust improvement to existing literatures on evolutionary theory of technological innovation,theory of catching-up,and theory of latecomer,promote a great step forward to theoretical integration by tapping into the black box of innovation behavior assumed by most of congener studies.And the result of the study brings significant advices of strategy making on innovation practices for Chinese enterprises,and others as technological latecomers globally.
引文
[1]科学技术部专题研究组.我国产业自主创新能力调研报告[M].北京:科学出版社,2006:3-13
[1]中国科学院.2007科学发展报告[M].北京:科学出版社,2007年:16
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