【作者】 刘根节；

【导师】 周立群；

【作者基本信息】 南开大学 ， 政治经济学， 2013， 博士

【摘要】 在全球化,信息化、知识飞速发展和广泛传播的背景下,传统封闭式创新模式而临诸多挑战：第一,高等教育和科研体系的发展使知识和创新成果广泛分布于全社会各个节点,知识垄断被打破,创新源的配置格局发生了深刻变化。第二,技术外溢速度加快,企业很难有效控制研发人员和内部成果的流动和溢出。由于企业员工的流动性不断加大,尤其是经验丰富、技能高超的员工外流,企业对专利等知识产权的掌控越来越困难。第三,随着产品和服务的商业化推广加快,特定技术生命周期变短,企业独自研发的风险加大,企业利用专业知识壁垒获利的能力降低了。第四,风险投资机制的完善使中小企业和私人的创新成果商业化可能性大增,创新成果突破了大企业对市场的技术垄断局面。科技创新、知识扩散、成果转化的新格局、新取向使企业面临的创新压力加大,单纯依靠内部资源创新变得越来越困难。即使是技术力量雄厚、资本充足的大型企业也不可能拥有创新所需的全部技术和资源,更不可能在所有前沿领域同步自行研发。这要求企业积极寻求和动员外部资源来补充内部研发的不足,探索新型的创新模式。开放式创新模式在此背景下应运而生。开放式创新是指企业发展新技术时应同时将内部和外部的创意有机地结合起来,并同时利用内部、外部两条市场通道进行商业化推广。这种创新模式是有目的利用知识的流入和流出来加速内部创新并且通过内部和外部渠道市场化来实现创新的价值。本文以开放式创新模式作为研究选题,采用比较分析、博弈论、指标体系构建以及案例分析等方法对开放式创新理论进行了全面系统的梳理,对提高企业、全社会的创新能力,构建创新型企业与创新型社会具有很强的现实指导意义,同时对深化开放式创新模式的理论研究也具有重要意义。论文从创新理论文献回顾、开放式创新与封闭式创新模式的比较、开放式创新参与主体的福利、风险防范及开放式创新案例等多视角对开放式创新模式进行了探讨。全文共分七章。第一章绪论,对论文进行了总体性概述,介绍了论文选题的理论和现实背景、选题意义、研究内容及研究方法、思路、总体框架以及论文的创新点与不足之处。第二章是创新理论文献回顾与评述,主要回顾了创新理论的源起,归纳了技术创新理论的概念、分类及派别：对产学研合作创新的国内外文献进行了回顾；并从开放式创新概念演进及多视角对开放式创新理论前瞻与中外文献进行了评述。第三章：创新范式转变——由封闭式创新到开放式创新,本章首先指出开放式创新产生的背景、基本特征及类型；然后将开放式创新与封闭式创新模式进行全方位比较,指出开放式创新模式在全球化、科技更新加速的当今社会具备封闭式创新难以比拟的优势；进而得出我国实施开放式创新模式的紧迫性；最后提出开放式创新模式下产业发展举措。第四章开放式创新模式下各参与主体的福利分析,本章首先对开放式创新资源进行了界定,井分析其特征及具体分类,然后对开放式创新模式下参与主体的福利情况进行详细分析。第五章是开放式创新模式下的风险评估与防范,本节先介绍了开放式创新的基本风险和特定风险,在此基础上构建了开放式创新风险评估指标体系,最后探讨了开放式创新风险的预警与防范。第六间开放式创新的实践——案例分析,本章主要通过案例分析IBM公司和天津国际生物医药联合研究院对开放式创新的实践,以便为其它企业或组织实施开放式创新提供借鉴。第七章结论及展望,本章对全文进行了简要总结,并对未来的研究工作与方向进行了展望。论文的主要创新点包括：第一,通过对创新理论演变及开放=式创新理论研究多视角的梳理,指出开放式创新理论产生于创新的实践,具有很强的现实意义和可操作性。由此深化了对开放式创新的理论研究,丰富了已有的创新理论。第二,本文将开放式创新与传统封闭式创新模式的基本原则进行了全方位的比较研究,得出：开放式创新模式由于突破了传统封闭式创新模式局限于内部研发部门的桎梏,广泛借助内外资源、多种商业化渠道进行创新,使创新效率更高,绩效更好。由此也为我国企业,尤其是中小型企业的创新活动指明了方向。第三神速,运用博弈论的研究方法,对开放程度不同的开放式创新模式下参与主体的福利进行比较分析,指出随着开放度的提升,各参与主体的福利得到相应改善。进而更加坚定了我们必须走政产学研用、各方协同创新的开放式自主创新之路。第四,本文通过对开放式创新所面临的基本风险与特定风险的深入分析,构建了开放式创新风险评估指标体系,为开放式创新实践中对风险的预警及有效防范提供了定量分析的依据。更多还原

【Abstract】 Under the background of globalization, information technology, and the rapid development and widespread of knowledge, traditional closed innovation model is facing many challenges:first, the development of higher education and scientific research system made knowledge and innovations widely distributed in various nodes of the whole society, the monopoly of knowledge was broken, the innovative source pattern has undergone profound changes. Second, faster technology spillover made it difficult for enterprises to effectively control the flow of R&D personnel and internal achievements. Because the liquidity of employees continue to increase, in particular, experienced, skilled employees’ outflow let the control of patents and other intellectual property rights is increasingly difficult for companies. Third, as the acceleration of commercialization promotion of products and services, specific technology life cycle is shorter and increased risk of corporate R&D alone, reduced enterprise’profit from expertise barriers. Fourth, the improvement of risk investment mechanism made small and medium-sized enterprises and private innovations greatly increased the possibility of commercialization, and innovation break through the technology monopoly of large enterprise in the market.The new pattern and new orientation of technological innovation, knowledge diffusion, and achievements transformation let the enterprises facing increasing innovation pressure, relying solely on internal resources to innovate is becoming more difficult. Even if it is a large enterprise with strong technical force and capital adequacy cannot have all the technology and resources needed for innovation, not to mention synchronize on all fronts. This requires enterprises to seek and mobilize external resources actively to supplement the lack of internal R&D, and to explore new innovative model.Open innovation model emerged in the above context. Open innovation is that the enterprise should combine internal and external creative to develop new technologies, and at the same time use internal and external, two market channels to promote the commercialization. This innovative model is the intentional use of knowledge inflow and outflow to accelerate internal innovation and the gain of innovation value through internal and external market.This paper chose open innovation model as the research topic, adopting comparative analysis method, game theory, index system and case studies etc. to combine open innovation theory comprehensively and systematically. It is of great practical significance to improve the innovation capacity of enterprises and the whole society, to build innovative-oriented enterprises and society. It is also of great significance for deepening the theoretical study of the open innovation model.The paper explores open innovation from multi-angle, such as the innovative theoretical literature review, the comparison of open innovation and closed innovation model, the welfare of open innovation participants, risk prevention and open innovation cases. This paper is divided into seven chapters. The first chapter is a general overview of the paper, introducing the theoretical and realistic background of the thesis, the significance of the topic, research contents and methods, ideas, the overall framework as well as the innovation and inadequacies of this paper. Chapter II is a literature review and comment on innovation theory, mainly reviewed the source of innovation theory, and summarized the concept, classification and factions of technological innovation theory; then reviewed the literature of cooperative innovation and open innovation from various perspectives. Chapter III:innovation paradigm shift-from a closed innovation to open innovation, this chapter first pointed out the background, the basic characteristics and types of open innovation; then compared open innovation and closed innovation model comprehensively, put forward open innovation have the advantages that closed innovation cannot to compare in today’s society with acceleration of globalization and technology updates; then come to the urgency of the implementation of open innovation model and some industry development initiatives. Chapter IV is the analysis of each participant’s benefits under open innovation models. This chapter first defines open innovation resources and analyzes the characteristics and specific categories, and then conducts a detailed analysis of participants’ welfare under open innovation models. The fifth chapter is the risk assessment and prevention of open innovation, this section first describes the basic risks and specific risks of open innovation, and then based on this, a risk evaluation index system is constructed, and finally explores the early warning and prevention of open innovation risk. Chapter VI is open innovation practice-case studies, this chapter analyzes the practice of open innovation of IBM and TIJA (Tianjin International Joint Academy of Biotechnology&Medicine) and tries to provide a reference for other business or organization to implement open innovation. Chapter VII is the conclusion and outlook, this chapter gives a brief summary of the full text, and put forward the prospect of future research direction.The main innovations of this paper include:First, by combing the evolution of innovative theory and open innovation from multi-angle, points out that open innovation theory came from innovative practice and has great practical significance and operability. Thus deepens the study of open innovation, enriches the existing innovation theory. Secondly, this paper compares the basic principles of open innovation with traditional closed innovation model comprehensively, drawn that open innovation makes innovation more efficient and better performance, for it breaks through the traditional closed innovation model’s confined to the shackles of internal R&D department, widely uses the internal and external resources, and a variety of commercial channels to innovate. Thus this also shows the direction of innovation activities for Chinese enterprises, especially small and medium-sized enterprises. Third, using game theory to compare the welfare of the main participants with different degree of openness under open innovation model, and pointed out that with the openness enhanced the welfare of the participants improved. It makes more firmly that we must take the political and research with a concerted innovative open road of independent innovation. Fourth, this article using in-depth analysis of the basic risks and specific risks that open innovation faced, builds an open innovation risk evaluation index system, provide a quantitative analysis basis of risk early warning and effective prevention for open innovation practice.更多还原