【作者】 罗小芳；

【导师】 李柏洲；

【作者基本信息】 哈尔滨工程大学 ， 管理科学与工程， 2013， 博士

【摘要】 原始创新是企业获得自主知识产权及核心技术的重要途径之一，是提升国家综合国力的核心环节，是促进社会经济发展的有利保障。企业原始创新能力的提升，有利于企业参与国家化竞争，是我国建设以企业为核心的自主创新国家的关键。但是目前，我国企业自身的资源和能力还很难满足原始创新的要求，越来越多的企业开始考虑通过产学研合作来获取创新资源、增强创新能力、降低创新成本和创新风险，产学研合作是企业开展原始创新的有效形式。创新机制研究的是创新系统各个主体、要素在企业创新过程中的相互作用及其作用方式，是企业产学研合作原始创新研究中的重要问题之一。国内外学者开始关注原始创新机制的研究，并发表了一些重要成果，但是现有研究仅仅涉及原始创新的某一方面或某一特性的机制，对企业产学研合作原始创新机制的系统、完整研究还比较少。本论文从创新过程的视角展开对企业产学研合作原始创新机制的系统、深入研究，将其分为输入机制、处理机制、输出和反馈机制及系统升级机制四大子机制，并深入分析各个子机制的关键要素，提出了企业产学研合作原始创新机制实现的相关措施。首先，企业产学研合作原始创新机制的理论框架。在对企业产学研合作原始创新基础理论进行分析的基础上，基于系统理论，构建了企业产学研合作原始创新的过程模型，根据过程安排机制，构架了企业产学研合作原始创新的机制模型，提出了全文研究的理论框架。然后，企业产学研合作原始创新的选择。输入机制即企业产学研合作原始创新选择，具体体现为合作伙伴选择及合作模式选择两个关键要素及其相互联系。一方面，运用结构方程全模型以及多群组结构方程模型对企业原始创新中学研合作伙伴选择的影响因素及其作用机理进行实证分析。另一方面，运用单总体演化博弈模型分析了企业对共建经济实体模式和技术并购模式两种原始创新产学研合作模式的选择问题。其次，企业产学研合作原始创新的运行。处理机制即企业产学研合作原始创新运行，包含知识生产、风险管理、收益分配三个关键要素及其相互联系。第一，在运用结构方程模型进行实证分析的基础上，构建企业产学研合作原始创新中的知识生产机制；第二，基于可靠指标矢量及概率网格估算法改进FMEA方法，提出了一种风险评估方法；第三，提出了一种改进的Shapley值法收益分配方案。再次，企业产学研合作原始创新的绩效评价。输出和反馈机制是通过原始创新绩效的评价来实现的，构建评价指标体系及评价模型是关键。运用平衡计分卡方法建立评价指标体系，在此基础上，基于层析分析法构建了评价模型。再次，企业产学研合作原始创新系统演化。系统升级即企业产学研合作原始创新系统演化，具有自组织演化规律特征，序参量主宰着系统的演化。基于自组织理论，分析企业产学研合作原始创新系统的演化机制。进一步，运用哈肯模型序参量的识别方法，对系统演化机制进行实证分析。最后，企业产学研合作原始创新机制的实现。在对系统机制中的各个子机制及其关键要素进行了深入分析的基础上，从输入机制、处理机制、输出和反馈机制以及系统升级机制四大子机制入手，分别提出了企业原始创新中学研合作伙伴选择、合作模式选择、知识生产、风险管理、收益分配、绩效评价和系统演化实现的措施。通过本文的分析和研究，明确了企业产学研合作原始创新及其机制的基本概念，构建了企业产学研合作原始创新的过程模型，根据过程安排机制，构建了创新机制模型，并进一步分析了各个子机制中的关键要素，提出了企业产学研合作原始创新机制实现的措施，为促进企业开展产学研合作原始创新，保障产学研合作原始创新过程的顺利开展，企业、高校和科研机构以及政府制定相关政策及作出决策提供了依据。更多还原

【Abstract】 The original innovation is one of the most important ways for enterprise to obtainintellectual property rights and master core technology, it is the central part to enhance ourcomprehensive national strength, and the safeguard to promote social and economicdevelopment. Enterprise enhances ability of original innovation is beneficial for itsinternational competition, meanwhile, it is the key for China’s independent and innovativenational construction. However, it is difficult for our enterprises to carry out originalinnovation on their own, so they begin to considering cooperation with colleges and institutes;the cooperation is beneficial for enterprises’ resource acquisition, ability enhancement, andcost and risk reduction. University-industry cooperation is an effective model for enterprise’soriginal innovation. Research of innovation mechanism is about the interaction and mode ofaction of all the subjects and elements in innovation system, it is an important issue ofenterprise’s university-industry cooperatively original innovation. Domestic and overseasscholars start to pay attention to research on mechanism of original innovation, and havepublished some achievements, but these are only referring a certain aspect or one character oforiginal innovation mechanism. There is little report aimed at these questions and about thesystematic and complete mechanism. The paper research on the enterprise’s mechanism ofuniversity-industry cooperatively original innovation from the innovation process, and themechanism is divided into four subsystems: the input system mechanism, the processingsystem mechanism, the output and feedback system mechanism, the upgrade systemmechanism, meanwhile, the paper analyzes the key factors of each subsystem deeply, and putsforward the guarantee measures to realize these mechanisms.Firstly, analyze on the theoretical framework of enterprise’s university-industrycooperatively original innovation mechanism. Based on analyzing the theory, construct theprocess model of enterprise’s university-industry cooperative original innovation by thesystem theory, then, arrange mechanisms according to the process and framing the mechanismmodel. As yet, the research framework is carried out.Then, choose enterprise’s university-industry cooperatively original innovation. Thesystem input mechanism corresponds to the selection process, represents as two key factorsand their relationship, which are partner selection and cooperation pattern choice. First of all,with the structural equation model, as well as the whole group structure equation model,making an empirical analysis on the influencing factors and its action mechanism of the partner selection in enterprise’s cooperatively original innovation. Latter, analyze onenterprise’s cooperation pattern choice between building economic entity model andtechnology acquisition model by the single population evolution game.Thirdly, operate enterprise’s university-industry cooperatively original innovation. Thesystem processing mechanism corresponds to the operation process, including three majorfactors as knowledge production, risk management, profit distribution, and their mutualconduction. First, construct an knowledge production mechanism with three processes.Second, improve the FMEA method based on the reliable index vector and the probabilitygrid estimation method, and propose a scheme of risk management. Third, put forward a planfor profit distribution.Once again, it’s the enterprise’s cooperative innovation performance evaluation analysis.Through the performance evaluation, the output&feedback mechanism achieves its function,and then, establishing the evaluation index system and evaluation model are the points of theperformance evaluation. Establish the evaluation index system by Balanced Scorecard method,and construct the evaluation model based on AHP.Once again, it’s the evolution of enterprise’s cooperative innovation. The expression ofthe system upgrade mechanism is the system evolution, having the characteristicsof self-organization evolution, and in which the ordering parameter dominates its evolution.Basing on the self-organization theory, we analyze the evolution mechanism of enterprise’scooperatively innovation system. Basing on analyzing on its self-organization evolutionmechanism, use the Haken Model parameter identification method to identify the keyvariables in evolution process of enterprise’s innovation system, analyze the gradual progressmechanism of the system.Finally, it’s the analysis of the safeguard measures to realize the enterprise’s cooperationoriginal innovation mechanism. Basing on the deep analysis on the system mechanism of eachsub mechanism and its key elements of system, from the four major mechanisms of the inputsystem mechanism, processing system mechanism, output and feedback system mechanism,upgrade system mechanism, we respectively put forward measures to ensure theimplementation of cooperation partner selection, cooperation model choice, knowledgeproduction, risk management, benefit distribution, performance evaluation and systemevolution of enterprise’s university-industry cooperatively original innovation.The paper based on the analysis of enterprise’s cooperatively original innovationmechanism, it is clear about its basic concepts, constructs the process model of enterprise’s cooperatively original innovation, arranges mechanisms according to innovation process andconstructs the innovation mechanism model. Also, it makes further analysis on the key factorin each subsystem, and puts forward the safeguard measures to realize theses mechanisms.The paper provides a basic for promoting enterprise’s original innovation, ensuring theinnovation process smoothly, and for enterprise, university and institution, government toformulate relevant policies.更多还原