【作者】 邱建华；

【导师】 陈治亚；

【作者基本信息】 中南大学 ， 工商管理， 2013， 博士

【摘要】 企业技术创新一直是理论界关注的重点,且技术创新实践对于企业管理者来说也是至关重要的活动。企业要想提高其经济效益、获得市场竞争中的优势地位,就必须有与之匹配的技术创新能力作为坚强后盾。如何提高铝企业的技术创新产出水平及成果转化效率,最终增强企业价值成为理论与实践界普遍关注的课题。目前的相关研究尚缺少对企业创新的系统性考察,并且缺乏科学的数理研究方法的应用。鉴于此,本文在相关理论基础上对技术协同创新的动因进行剖析,构建企业技术创新的四大子机制,并对各子机制及其整体的协同状况及协同创新的绩效进而测度,最后基于企业创新协同状况对企业价值的影响,探讨实现协同创新目标的途径即协同管理,为企业特别是铝工业企业的创新管理实践提供借鉴。(1)探究了企业技术协同创新的动因(以铝企业为例),提出了适合铝企业特征的“需求导向快速反应-企业价值最大化”动因模型。已有研究多从企业外部寻找创新动因。本文将铝企业技术协同创新的动因分为内外两部分,并讨论了各自构成及相互作用关系。利润最大化和股东价值最大化理论会导致企业行为短期化及难以保证各利益相关者的权益,而企业价值最大化理论克服了这些缺陷。因此,根据企业价值最大化理论并结合需求快速反应理念,构建了铝企业“需求导向快速反应—企业价值最大化”技术创新动因模型,并运用模糊聚类法对各动力影响因素进行了主从排序。动因分析为协同运行机制的研究奠定了基础。(2)系统全面地构建了企业技术创新的协同运行机制,并对整体机制的协同(运行)状况进行了测度。首先,构建了以创新职能协调互动机制、创新资源整合机制、创新过程保障机制以及创新多元化激励机制为核心的技术创新协同运行机制,以深入把握其内在行为规律,使得创新实践的顺利开展有章可循,也为创新绩效的取得奠定了体制基础。其次,基于复合系统协同度测度模型,在设置合理指标体系及对所需数据收集整理基础上,对中国铝业公司技术协同创新运行机制的协同状况进行了测度,为企业准确掌握自身技术创新机制的协同状况、确立协同理念提供支持。(3)测度了铝企业技术协同创新的绩效水平,以准确认知创新行为的结果表现。DEA方法具有考察创新资源投入与成果产出之间协调性的功能,也能用于对结果绩效进行测度。传统的DEA方法存在明显的缺陷,它不能对有效决策单元进一步作出区分和排序,对传统方法的改进所形成的超效率DEA方法有效地克服了这一缺陷。利用改进后的超效率DEA方法对单个企业的绩效从纵向视角进行了考察,以利于其掌握自身创新水平的发展,同时对多个企业的绩效从横向视角进行了比较分析,以利于其找准自身行业中的位置。最后,对测评结果做了进一步的分析,从中引出了若干提升绩效的思考。(4)实证分析了铝企业创新协同状况对企业价值的影响。首先,在问卷调查的基础上,借助因子分析法对样本企业技术创新的协同状况及企业价值分别进行了评价。其次,运用回归技术分析了不同要素组合的协同对全要素协同的影响以及全要素协同对以财务价值和非财务价值为集中体现的企业价值的影响。研究表明：技术要素与非技术要素的两两协同、技术要素本身内部协同、多要素协同对要素全面协同程度会产生正向积极影响；而各要素全面协同程度对财务价值和非财务价值也有显著影响。(5)探寻了实现企业技术协同创新目标的途径,即构建协同管理模式。首先,确立了协同创新的平台,包括组织平台和技术知识平台。其次,对协同路径进行了探索,主要涉及促进技术、战略、文化与人力资源要素的协同以及促进R&D、生产制造与市场营销界面的协同。进一步地,结合价值链思想构建了适合铝企业技术创新的协同管理理论模型。最后,从组织平台、技术支撑及界面管理角度对中国铝业公司的创新协同管理实践进行了探讨。协同管理是一种崭新的管理范式,将其运用于铝企业技术创新实践活动,可为管理者领导及协调创新活动提供有益的借鉴和参考。更多还原

【Abstract】 Enterprise technology innovation is the focus for the theoretical circles, and technology innovation practice is a vital activity for business managers. If enterprises want to increase its economic efficiency and acquire dominant position in market competition, it should possess technology innovation capability as a strong backing. How to improve innovation output level and results conversion efficiency in order to enhance aluminum enterprise value become a common concern topic in theoretical and practical circles. But present study has some flaws, lacking the application of scientific mathematical research methods and systematic inspection in enterprise innvation. In view of this situation, this article analyzed the technology synergy innovation motivation based on the relative theory, and built the technology innovation operation mechanism in aluminum enterprise, and measured the synergistic situation of the operation mechanism and synergy innovation performance. At last, in view of the impact of the innovation synergy situation on business value, we explored the path to the. synergy innovation goal:synergy management. The result can provide reference for aluminum business innovation management practices.(1) Technology synergy innovation motivation was explored in aluminum business, and a motivation model suitable for aluminum business characteristics based on the theory of "demand-oriented rapid response and enterprise value maximization" was put forward. Most scholars try to find innovative motivation from outside the enterprise. Technology synergy innovation motivation was divided into two parts both inside and outside in this paper. What’s more, their own composition and interaction was discussed. Profit maximization and shareholder value maximization theory will lead to corporate short-term behavior and make it difficult to protect the interests of all stakeholders. But enterprise value maximization theory can overcome these deficiencies. So, based on the enterprise value maximization theory combined with demand rapid response concept, the "demand-oriented rapid response and enterprise value maximization" innovation motivation model wan established, and all power factors was sorted based on the fuzzy clustering method. Motivation analysis laid the foundation for the study of behavioral mechanisms.(2) Operation mechanism of technology synergy innovation in aluminum business was systematically constructed, and it’s synergy development status was measured. First of all, operation mechanism of technology synergy innovation was divided into four parts, that is cooperative interaction mechanism of innovative functions, innovation resources integration mechanism, innovation process protection mechanism and diversification incentives mechanism. They are the core of innovation operation mechanism. The result is useful for grasping the inherent behavior laws of enterprise innovation and carrying out regular innovation practice and laying the institutional foundation for innovation performance acquisition. Secondly, based on the system general synergy model and reasonable indicator system and required data, this paper measured the general synergy degree of technology innovation of Aluminum Corporation of China. The result is useful for grasping synergy situation of relevant enterprise’s technology innovation mechanism and establishing synergy philosophy.(3)Aluminum enterprise technology synergy innovation performance was measured in order to accurately recognize the innovation behavior results. DEA method has the inspecting function of coordination between innovation resources input and outcomes, and it can also be used to measure the performance. But the traditional DEA model has obvious flaws. It can’t rank the efficient DMUs further. The improved DEA model can overcome the traditional model’s shortcomings. Individual enterprise’s innovation performance was measured and inspected from the vertical perspective based on improved super-efficiency DEA method in order to grasp its own innovation historical development level. At the same time, several enterprise’s innovation performance was measured and compared from the horizontal perspective in order to identify their own position in the industry. Finally, we analyzed the results further and obtained valuable thinking about enhancing innovation performance.(4) An empirical study was carried out to verify innovation synergy status’impact on aluminum business value. Firstly, through questionnaire, and based on factor analysis model, technology innovation synergy status and business value of sample enterprises were evaluated respectively. Secondly, we conducted empirical study with linear regression method in order to analyze the impact of different elements combination synergy on total elements synergy and the impact of total elements synergy on business value which mainly embodies "financial value" and "non-financial value". The results show that "bilateral synergy of technical and non-technical elements","inner sub-factors synergy in technology factor" and "multi-element synergy in innovation system" contributes to total synergy degree of technology innovation elements, and total synergy degree of all elements has a significant impact on "financial value" and "non-financial value" in aluminum business.(5) Synergy management pattern was established, which is the way to get to the goal of technology synergy innovation in aluminum enterprise. First of all, we should build the platform for synergy innovation, which includes organizational platform and technical knowledge platform. Second, synergy paths were explored, which mainly related to enhancing synergies among technology, strategy, culture and human resource elements and promoting synergies of R&D, manufacturing and marketing interface. Furthermore, combined with the ideology of the value chain, a theoretical model about innovation synergy management suitable for aluminum enterprises’ technology innovation was put forward. Finally, from an organizational platform, technical support and interface management perspective, we discussed the innovation collaborative management practices in China Aluminum Corporation. Synergy management is a new management paradigm, its application to aluminum enterprises’ technology innovation practice can provide a useful reference for managers to lead and coordinate the innovation activities.更多还原