中国汽车产业自主创新研究

【作者】 王传兵；

【导师】 李晓西；

【作者基本信息】 中国社会科学院研究生院 ， 国民经济学， 2014， 博士

【摘要】 1886年德国人卡尔·本茨发明了汽车，开启了全球汽车文明与辉煌的20世纪，世界先发工业化国家几乎都将汽车产业发展成为国家的经济支柱产业之一。进入21世纪,毫无疑问汽车产业仍将是衡量一个国家的经济技术发展水平和国际经济地位的重要标志之一。本文以熊彼特的创新理论等为研究基础，深入地研究了创新的基本理论、影响因素等问题；以中国汽车产业自主创新为研究对象，运用实证分析方法，全面梳理了中国汽车产业自主创新的现状，明确指出目前中国汽车产业自主创新中存在政策引导与支持不够、产业集中度低、高层次人才匮乏、技术研发依赖外国技术、品牌知名度不高等一系列问题，剖析了导致中国汽车产业自主创新能力弱的创新生态环境、企业体制机制等一系列的成因；运用史学和实证分析相结合的方法对日本、韩国汽车产业的发展轨迹进行了研究，日本、韩国的汽车产业也经历了引进消化吸收再创新的初级阶段渐进到自主创新的高级阶段，政府运用“有形的手”在汽车产业不同发展阶段采取了政策保护、政府主导创新体系建设、鼓励竞争、支持大型汽车集团拓展国际市场等实现创新目标的政府政策，也总结了日本、韩国汽车企业以汽车产品质量可靠、成本低廉、燃油经济、产业集群化发展等为重点的创新经验和过度降低成本导致丰田召回事件的历史教训；围绕反映中国汽车产业自主创新的各项因素，运用层次分析方法从宏观角度，构建了中国汽车产业创新指数从创新环境、创新资源投入和创新产出三个维度进行测量的指标体系，对中国汽车产业2005—2012年的自主创新指数进行了实证分析，通过这一实证分析验证测量指标体系的可靠性并以期从宏观的角度探寻中国汽车产业自主创新体系建设的政策措施,同时也运用层次分析方法从微观的角度，构建了中国汽车企业自主创新从创新资源投入、创新产出两个维度进行测量的指标体系，以长城汽车2008—2010年的数据为例进行了企业创新指数实证分析，通过这一实证分析验证测量指标体系的可靠性并以期从微观角度发掘中国汽车企业自主创新的路径；运用规范分析和博弈分析的方法重点分析了中国汽车产业引进消化吸收再创新、自主创新两种不同创新模式策略的选择，中国政府必须引导中国汽车企业自主创新并给予合理的财政资金补贴。最后，从宏观角度，提出了增强中国汽车产业自主创新能力的政府政策建议；从微观角度，提出了中国汽车企业要运用权变的思想选择适合自己的自主创新的路径。更多还原

【Abstract】 In1886, Karl Benz invented the automobile, which led to the beginningof the glory of global automobile civilization, and almost all theindustrial countries had developed auto industry as pillar industry tosupport national economy. In twenty-first Century, there is no doubt thatauto industry is still the one of the most important standards to evaluatenational economic and technological development level. In this paper,Schunmpeter’s innovation theory has been used as the research basis todo in-depth analysis of the theory and its affecting factors; This articleuses the independent innovation of Chinese automobile industry as theresearch object, applying the empirical analysis method, andcomprehensively analyzes the status of independent innovation Chineseautomobile industry, clearly points out its current problems such as lackof government policy guidance and support, low industrial concentration,shortage of talented people, too much reliance on foreign technology, andthe absence of brand popularity etc., and it also indicate the causes ofthose problems. Combining historical and empirical analysis methodstogether, the article compares the development paths of automobileindustry in Japan and Korea. Both countries’ automobile industry facedthe dilemmas similar to China’s, but they gradually improved to advancedstage of independent innovation. In this case, both governments use"visible hands", including government protection, government-ledinnovation system construction, competition encouragement and otherpolicies such as supporting large automobile group to expand theinternational market, in order to realize the goal of innovation ofgovernment policy in different stages of development of automobileindustry. What’s more, this article summarizes the advantages anddisadvantages during the transformation process, for example, theirinnovation experience of reliable quality, low cost, fuel-saving, and thedevelopment of industrial clusters; The negative example is the world famous Toyota recall case due to their excessive cost reduction. Base onthe factors influence the independent innovation of China’s automobileindustry and the AHP method from the macroscopic angle, this articleestablishes the innovation index system of Chinese automobile industry.The index is measured from three dimensions, which are environment,resource input and output, and the time span of the index is from2005to2012. Through empirical analysis, the article verifies the reliabilityof the measurement index system and explores the China automobile industryindependent innovation system construction policies from the macroscopicangle. Also, by using the AHP method from the microscopic angle, thisarticle constructs the index system of independent innovation Chinaautomobile enterprises from two dimensions of innovation resources inputand output measurement system, which refers the Great Wall automobile datafrom2008to2010as resource to study the enterprise innovation indextest, and through the empirical analysis to verify the reliability ofmeasurement index system in order to explore the path of independentinnovation and Chinese automobile enterprises from the microscopic pointof view. This article also analyzes different strategies of re-innovationfrom absorption and independent innovation by using standard analysis andgame analysis. Chinese government must give guidance for the independentinnovation, and give reasonable fiscal subsidies for those automobileenterprises. Last but not least, this article proposes suggestions tostrengthen Chinese automobile industry independent innovation abilityfrom the macro prospective, and indicates the fact that Chinese automobileenterprises should apply contingency theory to choose their owninnovation path from the micro prospective.更多还原