基于TIM视角的企业技术创新过程中各要素全面协同机制研究
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摘要
我国企业当前在技术创新过程中存在的一个突出问题是仅仅重视技术要素，而很大程度上忽略了技术与各非技术要素间的全面协同，从而影响了创新绩效。论文首先根据我国企业技术创新管理实践中面临的这一突出问题和创新管理理论发展现状与不足，提出研究问题。然后分别从创新管理理论、复杂性理论、创新系统观等视角介绍了有关技术创新中协同问题理论研究的现状，指出了当前理论研究的不足和值得进一步深入探讨的问题，并根据国内外有关影响创新绩效关键因素的研究综述，提炼总结了六大要素，即战略、技术、市场、文化、制度、组织要素。继而，系统阐述了近年来由浙江大学创新与发展研究中心研究团队提出的全面创新管理范式(Total Innovation Management，简称TIM)的理论框架，并为下一步的研究提供理论铺垫。第四章介绍了论文研究框架和方法论，并根据前述相关文献研究提出若干假设。
在上述工作基础上，基于全面创新管理的崭新视角，综合运用创新管理理论、复杂性理论、系统科学理论等重点就其关键特征——各创新要素的全面协同机制问题展开深入研究，包括全面协同的过程、影响因素、途径等，创造性提出了C~3IS五阶段全面协同过程模型，并通过面向大中型工业企业的问卷调查实证研究了创新要素的全面协同与创新绩效的相关性。最后，提出了全面协同度的定量测度模型(DTS模型)和指标体系，以求从协同和定量角度丰富和发展全面创新管理理论。
在以上基础上本研究得出了以下主要结论：
1．根据国内外有关影响创新绩效的关键因素文献研究，本研究总结归纳了六大要素，即战略、技术、市场、文化、制度、组织要素，而本研究面向100余家大中型企业的实证分析结果也进一步验证了这六大要素对于创新绩效的重要影响。企业要想实现理想的创新绩效，应该在全面创新管理新范式指导下，使得上述各创新要素在全员参与和全时空域创新框架下实现全面协同，从而发挥整体协同效应；
2．本研究创造性提出了各要素C~3IS五阶段全面协同过程模型，认为在创新过程中各创新要素实现全面协同一般应该经过沟通、竞争、合作、整合、协同五个阶段(步骤)，并通过若干企业的案例验证了模型的合理性；
3．基于全面创新管理的崭新视角对于创新要素全面协同的影响因素和协同途径进行了探索。首先结合国内外文献和面向全国100余家大中型工业企业的211份调查问卷的实证研究得出了创新要素全面协同的影响因素。在此基础上，从战略与领导、制度、组织结构与流程、文化、沟通与知识共享等方面总结出了促进各创新要素协同的方法与途径；
4.技术与各非技术创新要素的两两协同对于要素全面协同程度都有较强正相
关性，其中对于全而协同程度贡献最大的是技术与市场要素的协同，其次是
技术与制度、技术与组织、技术与战略，而技术与文化要素的协同对于全面
协同的贡献相对较少。
实证得出各要素协同与全面协同程度间的定量关系是(线性回归方程):
要素全面协同程度二技术与组织要素协同x0.16+技术与制度要素X0.38+
技术与市场要素XO.46一2.70。
5.各创新要素的全面协同程度与创新绩效有正相关性。其中各创新要素的全面
协同程度对创新效率绩效(研发速度、新产品产值率、项目成功率)和创新
效果绩效(年申请专利数、年申请新产品数、年创新项目数)有显著影响，
对创新成本与周期(产品开发周期和成本)则无明显影响。
实证得到可描述各创新要素全面协同程度与创新绩效统计关系的回归方程:
a.创新效率=各要素全面协同程度XO.41。
l)研发速度=各要索全面协同程度X0.42+3.01
2)新产品产值率=各要素全面协同程度XO.42十3.01
3)项目成功率二各要素全面协同程度X0.41+2 .92
b.创新效果=要素协同XO.16
l)年专利数=要素全面协同程度XO.31+2 .40
2)年新产品数=整体协同程度X0.22+2.90
3)年创新项目数=整体协同程度x0.29+2.84
6.研究结果检验了提出的系列假设，并得出一些新的结论。例如，假设Hla“全
体员工的参与、配合对一于协同效果有积极影响”没有得到实证支持。本研
究认为不能因此而否认全员参与对于协同的重要性，而恰恰反映出整体上看
当前我国相当部分企业还没有充分意识到激发每个员工的创造性、促进全员
创新的重要性。在这方面与世界一些先进的创新型企业如3M、GE、HP等
相比还有较大的差距。
One of the most important problems Chines enterprises facing during the process of technological innovation is that pays too much attation to technological agents, while ignores the total synergy between technology and un-technological agents to some extent.This paper firstly brings forward the research issues according to the "innovation dilemma" which many Chinese enterprises facing currently. Then, from the theoretical perspectives of innovation management, complex theory and innovation system, academic literatures on synergy in innovation manageent are reviewed, and some limitations in current academic researches are pointed out. Based on literature review of key factors influencing innovation performance, this part also refines six key agents, namely strategy, technology, market, culture, institution and organization agent. Based on it, the third chapter introduces systematically the theoretical framework of the new paradigm of Total Innovation Management (TIM), which sets the theoretic background for t
his esearch. In the fourth chapter, research plan and methodology for this paper are introduced, and some hypotheses are brought forward.
Chapter five to eight are the core parts of this paper. Based on the view of TIM, theses chapters focus on study of total synergy mechanisms of all innovation eagents, mainly including the process of total synergy, the influencing factors, and approaches of total synergy. What's more, the relation between total synergy of innovation agents and innovation performance, and the qualitative measurement on the degree of total synergy (DTS) are explored by empirical studies. During these studies, a cross-disipline methodology is adopted, which include theory of innovation management, theory of complexity, and theory of systems scencies, etc.
Main conclusions of this research are as follows:
1) Technology, market, strategy, culture, institution and organization are the key agents which impacts the innovation performance of the enterprise. To gain better innovation performance, enterprises should promote total synergy of these six key agents under the paradigm of TIM;
2) The five-phase process model of total synergy, named C~(3)IS is brought forward in this paper, contact/communication, competition/conflict, cooperation, integration and synergy as general five phases in the process of enterprise's technology innovation;
3 ) Based on literature review and the result of empirical research from more than 100 large and middle Chinese enterprises, some important factors are summaried , and approaches to promot the total synergy of all innovation agents are recommended ;
4) Synergy betweentechnology and every non-technology agent innovation has strong positive corelation to the degree of total synergy, among which synergy between technology and market agent contributes most, following is between technology and institution agent, technology and organization agent, technology and strategy agent, and the synergy between technology and culture agent contributes least;
The quantitative relations (regression equation) between them are: degree of total synergy= synergy between technology and organization agent ×0.16+ synergy between technology and institution agent ×0.38+synergy between technology and market agent × 0.46-2.70.
5) The degree of total synergy among all innovation agents has positive corelations to
innovation performance, including notable impact on innovation efficiency (R&D speed, the rate of new product, the proportion of commercialized projects) and innovation effect (the number of patents applied per year, new products applied per year, innovative projects per ycar),but don't find enough evidence of impact on innovation cost and cycle;
The quantitative relations (regression equation) between degree of total synergy and innovation performance are:
a.innovation efficiency = degree of total synergy × 0.41. 1)R&D speed= degree of total synergy × 0.42+3.01 2)Rate of new products in output= degree of total synergy X 0.42+3.01 3)Rate of suc
在上述工作基础上，基于全面创新管理的崭新视角，综合运用创新管理理论、复杂性理论、系统科学理论等重点就其关键特征——各创新要素的全面协同机制问题展开深入研究，包括全面协同的过程、影响因素、途径等，创造性提出了C~3IS五阶段全面协同过程模型，并通过面向大中型工业企业的问卷调查实证研究了创新要素的全面协同与创新绩效的相关性。最后，提出了全面协同度的定量测度模型(DTS模型)和指标体系，以求从协同和定量角度丰富和发展全面创新管理理论。
在以上基础上本研究得出了以下主要结论：
1．根据国内外有关影响创新绩效的关键因素文献研究，本研究总结归纳了六大要素，即战略、技术、市场、文化、制度、组织要素，而本研究面向100余家大中型企业的实证分析结果也进一步验证了这六大要素对于创新绩效的重要影响。企业要想实现理想的创新绩效，应该在全面创新管理新范式指导下，使得上述各创新要素在全员参与和全时空域创新框架下实现全面协同，从而发挥整体协同效应；
2．本研究创造性提出了各要素C~3IS五阶段全面协同过程模型，认为在创新过程中各创新要素实现全面协同一般应该经过沟通、竞争、合作、整合、协同五个阶段(步骤)，并通过若干企业的案例验证了模型的合理性；
3．基于全面创新管理的崭新视角对于创新要素全面协同的影响因素和协同途径进行了探索。首先结合国内外文献和面向全国100余家大中型工业企业的211份调查问卷的实证研究得出了创新要素全面协同的影响因素。在此基础上，从战略与领导、制度、组织结构与流程、文化、沟通与知识共享等方面总结出了促进各创新要素协同的方法与途径；
4.技术与各非技术创新要素的两两协同对于要素全面协同程度都有较强正相
关性，其中对于全而协同程度贡献最大的是技术与市场要素的协同，其次是
技术与制度、技术与组织、技术与战略，而技术与文化要素的协同对于全面
协同的贡献相对较少。
实证得出各要素协同与全面协同程度间的定量关系是(线性回归方程):
要素全面协同程度二技术与组织要素协同x0.16+技术与制度要素X0.38+
技术与市场要素XO.46一2.70。
5.各创新要素的全面协同程度与创新绩效有正相关性。其中各创新要素的全面
协同程度对创新效率绩效(研发速度、新产品产值率、项目成功率)和创新
效果绩效(年申请专利数、年申请新产品数、年创新项目数)有显著影响，
对创新成本与周期(产品开发周期和成本)则无明显影响。
实证得到可描述各创新要素全面协同程度与创新绩效统计关系的回归方程:
a.创新效率=各要素全面协同程度XO.41。
l)研发速度=各要索全面协同程度X0.42+3.01
2)新产品产值率=各要素全面协同程度XO.42十3.01
3)项目成功率二各要素全面协同程度X0.41+2 .92
b.创新效果=要素协同XO.16
l)年专利数=要素全面协同程度XO.31+2 .40
2)年新产品数=整体协同程度X0.22+2.90
3)年创新项目数=整体协同程度x0.29+2.84
6.研究结果检验了提出的系列假设，并得出一些新的结论。例如，假设Hla“全
体员工的参与、配合对一于协同效果有积极影响”没有得到实证支持。本研
究认为不能因此而否认全员参与对于协同的重要性，而恰恰反映出整体上看
当前我国相当部分企业还没有充分意识到激发每个员工的创造性、促进全员
创新的重要性。在这方面与世界一些先进的创新型企业如3M、GE、HP等
相比还有较大的差距。
One of the most important problems Chines enterprises facing during the process of technological innovation is that pays too much attation to technological agents, while ignores the total synergy between technology and un-technological agents to some extent.This paper firstly brings forward the research issues according to the "innovation dilemma" which many Chinese enterprises facing currently. Then, from the theoretical perspectives of innovation management, complex theory and innovation system, academic literatures on synergy in innovation manageent are reviewed, and some limitations in current academic researches are pointed out. Based on literature review of key factors influencing innovation performance, this part also refines six key agents, namely strategy, technology, market, culture, institution and organization agent. Based on it, the third chapter introduces systematically the theoretical framework of the new paradigm of Total Innovation Management (TIM), which sets the theoretic background for t
his esearch. In the fourth chapter, research plan and methodology for this paper are introduced, and some hypotheses are brought forward.
Chapter five to eight are the core parts of this paper. Based on the view of TIM, theses chapters focus on study of total synergy mechanisms of all innovation eagents, mainly including the process of total synergy, the influencing factors, and approaches of total synergy. What's more, the relation between total synergy of innovation agents and innovation performance, and the qualitative measurement on the degree of total synergy (DTS) are explored by empirical studies. During these studies, a cross-disipline methodology is adopted, which include theory of innovation management, theory of complexity, and theory of systems scencies, etc.
Main conclusions of this research are as follows:
1) Technology, market, strategy, culture, institution and organization are the key agents which impacts the innovation performance of the enterprise. To gain better innovation performance, enterprises should promote total synergy of these six key agents under the paradigm of TIM;
2) The five-phase process model of total synergy, named C~(3)IS is brought forward in this paper, contact/communication, competition/conflict, cooperation, integration and synergy as general five phases in the process of enterprise's technology innovation;
3 ) Based on literature review and the result of empirical research from more than 100 large and middle Chinese enterprises, some important factors are summaried , and approaches to promot the total synergy of all innovation agents are recommended ;
4) Synergy betweentechnology and every non-technology agent innovation has strong positive corelation to the degree of total synergy, among which synergy between technology and market agent contributes most, following is between technology and institution agent, technology and organization agent, technology and strategy agent, and the synergy between technology and culture agent contributes least;
The quantitative relations (regression equation) between them are: degree of total synergy= synergy between technology and organization agent ×0.16+ synergy between technology and institution agent ×0.38+synergy between technology and market agent × 0.46-2.70.
5) The degree of total synergy among all innovation agents has positive corelations to
innovation performance, including notable impact on innovation efficiency (R&D speed, the rate of new product, the proportion of commercialized projects) and innovation effect (the number of patents applied per year, new products applied per year, innovative projects per ycar),but don't find enough evidence of impact on innovation cost and cycle;
The quantitative relations (regression equation) between degree of total synergy and innovation performance are:
a.innovation efficiency = degree of total synergy × 0.41. 1)R&D speed= degree of total synergy × 0.42+3.01 2)Rate of new products in output= degree of total synergy X 0.42+3.01 3)Rate of suc
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