【作者】 张洁；

【导师】 戚安邦；

【作者基本信息】 南开大学 ， 技术经济及管理， 2010， 博士

【摘要】 随着知识经济发展和创新型国家建设的开展,高新技术企业自主创新活动不断增多,企业日益重视自主创新活动的组织管理。虽然很多企业在开展自主创新实践中,不断开发创新管理标准,但是自主创新管理能力和创新绩效仍然低下,有待于进一步提高。高新技术企业合理的配置创新资源,提升自主创新管理能力成为具有理论意义和实践价值的重要课题。在创新研究中,技术创新理论非常丰富,但是创新组织管理研究仍然缺乏,从资源能力视角开展的创新管理研究缺乏实证的支持,也缺乏对这种能力如何建设和提升的研究。同时,创新活动具有项目的特征,目前现代项目管理理论在研发管理,以及创新管理中的应用也得到了实践和理论的证明,但是缺乏结合组织战略层面的创新管理理论与创新项目管理理论开展对创新管理能力的深入研究。针对上述研究现状,本文以创新管理理论为主,结合组织理论、战略理论以及现代项目管理理论,开展对高新技术企业自主创新活动所需要的自主创新管理能力的研究,分析自主创新管理能力的构成,自主创新管理能力成熟度模型,以及自主创新管理能力成熟度提升方法。论文按高新技术企业自主创新管理能力成熟度模型“如何构成”——“如何提升”的思路,以创新管理理论为基础,综合考虑自主创新管理能力的内涵和特征,利用实证方法分析自主创新管理能力构成变量与创新绩效之间的关系；并在此基础上,构建了自主创新管理能力成熟度模型,分析了自主创新管理能力成熟度的提升方法。在研究的过程中,采取实证分析的方法、理论推演的方法和案例比较研究的方法。首先,在自主创新管理能力构成与创新绩效之间的关系研究时,对高新技术企业进行了问卷调查,得到了216份有效样本。采用SPSS13.0统计分析软件进行因子分析和多元回归分析,说明了自主创新管理能力与创新绩效之间存在的关系。其次,在自主创新管理能力成熟度模型构建研究中,采取专家评议法和理论推演的方法,建立了自主创新管理能力成熟度的关键域和关键活动,自主创新管理能力成熟度的评估模型,以及自主创新管理能力成熟度的提升模型。在分析自主创新管理能力成熟度提升方法时,采取了理论推演的方法。最后通过案例比较研究的方法,对所构建的自主创新管理能力成熟度模型开展应用研究。最终得出了研究结论以及高新技术企业开展自主创新管理的启示：1.高新技术企业自主创新活动是一次性,独特性和不确定性很高的活动,具有项目的特征。在对高新技术企业自主创新管理能力内涵分析基础上,明确了自主创新管理能力构成,包括创新战略管理能力,创新组织结构,创新组织文化,创新知识管理能力,创新计划管理能力,以及创新变更管理能力六个方面。实证研究发现,这六个变量均与创新绩效正相关。对创新绩效影响大小依次是创新组织结构,创新知识管理能力,创新战略管理能力,创新组织文化,创新计划管理能力和创新变更管理能力。2.在对自主创新管理能力构成实证分析的基础上,构建高新技术企业自主创新管理能力成熟度模型,全面动态的分析自主创新管理能力。在实证研究基础上,结合高新技术企业自主创新活动的特点,建立了自主创新管理能力成熟度的关键域和关键活动,建立了自主创新管理能力成熟度的评估模型,分析自主创新管理能力成熟度的评价方法,结合层次分析法和多元回归分析法确定了自主创新管理能力成熟度评价指标权重,建立了评价自主创新管理能力成熟度的蛛网模型。最后,从横向层面促进自主创新管理能力不断匹配和均衡发展,以及从纵向层面促进自主创新管理能力层级提升的角度,构建了自主创新管理能力成熟度的提升模型。3.分析自主创新管理能力成熟度的提升方法。从组织模式变革以及组织流程变革的角度出发,分析各个维度成熟度的提升。开展组织战略层面的变革和组织流程层面的变革来提升自主创新管理能力成熟度。在组织战略层面,可以通过构建面向创新的项目导向型组织模式,从创新组织结构变革,创新组织文化建设,创新项目战略导向,以及组织学习和知识转化几个维度进行提升方法集成,提升自主创新管理能力成熟度。从项目流程变革的层面,构建一种平衡创新和控制的半结构化的项目过程管理的流程,开展创新计划管理流程和创新变更管理流程的变革,促进自主创新管理能力成熟度提升。最后分析组织模式和组织流程变革的过程,并从资源视角分析自主创新管理能力成熟度提升机理。4.最后对IBM公司,华为公司,天士力公司等自主创新管理的案例进行分析,对比三家企业的自主创新管理能力成熟度各维度的现状；利用所构建的高新技术企业自主创新管理成熟度模型开展案例企业自主创新管理能力成熟度的评价,并开展评价结果的分析和对比,总结和分析案例企业自主创新管理能力成熟度的情况。本研究的创新点可以概括为：从理论视角对高新技术企业自主创新管理能力构成进行分析,并通过实证研究证明了自主创新管理能力构成变量与创新绩效存在的关系；之后,在此基础上,结合组织管理成熟度理论,构建了高新技术企业自主创新管理能力成熟度模型,明确了自主创新管理能力成熟度的关键域和关键活动,以及自主创新管理能力成熟度的评估模型和提升模型。并分析通过组织模式和组织流程的变革,构建项目导向型组织模式和平衡创新和控制的项目过程管理流程。根据所构建的高新技术企业自主创新管理能力成熟度模型,选择案例企业开展自主创新管理能力成熟度的评价,对案例企业开展对比研究,并建立案例企业的自主创新管理能力成熟度模型,得出了研究的结论。更多还原

【Abstract】 As the knowledge-based economy emergence and innovation country building presentation, High-tech enterprises increase the innovation activities, so innovation capability become very important and innovation management should be put emphasis on. Although many companies have developed the standard of innovation management in practice, the level of innovation management capability and innovation performance should be improved. High-tech enterprise allocation resources rationally for improving innovation management capability attract people’s attention from both theoretical and practical perspective. For innovation research, technology innovation is rich, but innovation management is still scarcity, while the theory of innovation management is lacking of empirical support, lacking of concerning on how to build and upgrate it. Meanwhile, application modern project management theory on R&D management and innovative management practice and theory have been focused on. With the modern project management developing, it needs to combine with innovation management theory from both organizational strategy management theory and project management theory for in-depth studying on independence innovation management capacity.Based on the present research, this article combines the modern project management and innovation management theory, focus on the construction of the independence innovation management, and independence innovation management capability maturity model, along the way of "how to construct" - "how to improve and upgrate" the independence innovation management capability maturity. Based on innovation management theory, considering the independence innovation management feature of high-tech enterprises, use empirical research to analysis the relationship between independence innovation management capability and innovation performance; Then, analyse the independence innovation management maturity model and the method to upgrate it. The study takes the methods of empirical analysis, logical deduction and comparative case study. For analysing the relationship between indepedence innovation management capability and innovation performance, this study runs statistic analysis on 216 effectively questionnaires by SPSS13.0. Then, use the expert appraisal method and theory, deductive method to build the innovation management capability maturity model, define the key fields and key activities of independent innovation management capability maturity model, and build the innovation management capability maturity assessment model and innovation management capability maturity upgrade model. The study also uses the theoretical deduction method to analysis how to promote innovation management capability maturity. Finally, case comparative approach is used for applied research. Eventually, get the conclusions of the study and illuminations for independence innovation management of High-tech enterprises:1. The innovation activities in High-tech enterprise are once, unique, and highly uncertain, and have the traits of project. Based on analysis of the innovation activities and innovation management content, we can find the component of the innovation management. The components of innovation management are: innovation strategy management capability, innovation organization structure, innovation organization climate, and innovation knowledge management capability, innovation planning management capability and innovation feedback and change management. The components have positive relationship with innovation performance. Ordered by the influence on innovation performance, the level of the importance is:innovation organization structure, innovation knowledge management capability, innovation strategy management capability, innovation organization climate, innovation planning management capability and innovation feedback and change management.2. Based on the above research, to enable a comprehensive analysis of the independent innovation management capabilities, bulid the independence innovation management maturity model. Define the key fields and the key activities of independence innovation management, estabilish the assessment model of independence innovation management capability maturity model, analyse the evaluation method, use AHP and Multiple regression analysis to determine the index weights. Then establish the cobweb model to evaluate independent innovation management capability maturity. Finally, establish upgrade model from the horizontal level, for promotion of innovation management capabilities continue to match and balanced development; as well as from the vertical level, for the level of innovation management capabilities continue to improve.3. Analyse the methods of upgrading independence innovation management capability maturity. From the perspective of organizational stratety and project level, use organization pattern change and the organization process change to improve independence innovation management capability. On organizational strategic level, build the project-oriented organization pattern to integrate the methods of the innovative organizational structure change, organizational innovation culture change, innovation-oriented project strategy, and organizational learning and knowledge transfer to improve independent innovation management capability. On the project level, build a semi-structured management processes to balance innovation and the control, through changing innovative planning management processes and innovative changing and feedback management processes, to upgrade independence innovation management capability maturity. Finally analyse the change of organization pattern and processes; and from the perspective of resources and capacity, analyse the mechanism of upgrading independent innovation management capability maturity.4. Finally, comparatively analyse the case of IBM, Huawei and Tianshili, utilize the independence innovation management capability maturity model to aseess the cases, and compare the capability maturity of the cases, then, summarize and anlayse the cases to verity the innovation management capability maturity model.The innovation of the reseasch can be summarized as follows:analyse the independence innovation management capability constitution of High-tech enterprise and verity the relationship between the innovation management capability variables and innovation performance, Then, construct the independence innovation management capability maturity model, define the key fields, the key activities and the key indexes, establish the assessment model and the upgrade model. Analyse the change of organizational pattern and organizational process, construct project-oriented organization and the semi-structured process balanced innovation and control. Based on the independence innovation management capability maturity model, ulilize the case study, assess the cases, then compare the cases, build the model of the cases, summarize the cases and verify the independence innovation management capability maturity model.更多还原