【作者】 刘晓平；

【导师】 綦良群；

【作者基本信息】 哈尔滨理工大学 ， 技术经济及管理， 2013， 博士

【摘要】 装备制造业是关系国民经济的基础产业，它的发展水平决定了我国的经济实力，也决定我国在全球经济中竞争与合作的能力。实现装备制造企业的创新发展，不仅要具有创新思维，更要培育和发展创新能力。本文依据动态能力理论及相关理论来研究我国装备制造企业创新能力发展问题。动态能力理论强调企业应对环境变化的生存与发展之道，是使能力的构建、运用和解构更新成为连续的动态过程。这为装备制造企业创新能力发展提供了重要视角。将动态能力理论应用于装备制造企业创新能力的各层面研究，沿着从创新能力的形成机理到表现摸式，再到规律性的路径逻辑思路，对装备制造企业创新能力的发展模式问题进行系统地研究。本文首先探讨基于动态能力的装备制造企业创新能力形成的内在机理。总结基于动态能力的装备制造企业创新能力的内涵与特征，确定装备制造企业创新能力构成要素，揭示装备制造企业创新能力的形成过程，辨析装备制造企业动态能力与创新能力的关系。在动态能力理论的指导下，对装备制造企业创新能力发展的系统进行分析，再次基础上设计基于动态能力的装备制造企业创新能力发展模式。首先，深入理解装备制造企业创新能力发展的内涵和内在逻辑，从创新过程角度分析创新能力发展的要素及其架构和实现方式对装备制造企业创新能力发展的作用过程。其次，提炼出装备制造企业创新能力发展模式设计的二个维度，即创新程度和创新开放度。其中，纵向维度是装备制造企业开发创新能力的程度即利用性创新和探索性创新，横向维度是装备制造企业发展创新能力的宽泛度即低开放性创新和开放性创新。得出装备制造企业创新能力发展的四种模式，即学习模式、应用模式、开发模式和拓展模式。在此基础上又归纳出装备制造企业创新能力发展模式转化的三条路径，分别为：上凸型转化路径、下凹形转化路径和S型转化路径。最后，确定装备制造企业创新能力发展模式选择的思路与依据。构建装备制造企业创新能力发展水平的评价指标体系，并设计了装备制造企业创新能力发展模式选择的综合评价选择方法。围绕装备制造企业创新能力发展的实现机制，探讨装备制造企业创新能力模式运行的管理方法，并制定装备制造企业创新能力发展模式的保障策略。本研究认为装备制造企业创新能力发展模式的有效运行需要动态学习机制、信息监测流通机制和均衡控制机制，需建立开放式创新管理体系、夯实内部创新基础、构建知识与信息管理平台、建立创新网络动态优化机制，通过这些保障装备制造企业创新能力的发展。在上述研究的基础上，选取三一集团的核心企业三一重工进行实证研究。通过对三一重工创新能力发展历程的全方位资料收集整理，深入剖析该企业的创新能力发展模式及模式转化路径，继而论证了基于动态能力的装备制造企业发展模式研究所具有的科学性、实现性、有效性，可为我国装备制造企业的可持续发展，提供先进的理论指导和方法支持。更多还原

【Abstract】 Equipment manufacturing industry is the basic industries of the national economy, its level of development determines the strength of our economy, and also determines a country’s capability to compete and cooperate in the global economy. Achieving innovation-driven development, equipment manufacturing enterprises not only innovative thinking, but also to nurture and develop the innovateion capability.The dissertation researched the development of China’s equipment manufacturing enterprises’innovation capability based on the theory of dynamic capabilities and related theory. Dynamic capabilities theory emphasizes the road of the enterprises response to environmental change in the survival and development process, the capability to build, use and update an ongoing dynamic process. This provides an important perspective for the development of equipment manufacturing enterprises’innovation capability. Dynamic capabilities theory is applied to all levels of the innovation capability of equipment manufacturing enterprises along the touch type to the performance from the formation mechanism of innovation capability, to logical thinking of the regularity of the path, research systematically the development of equipment manufacturing enterprises innovation capability.This dissertation discusses the internal formation mechanism of equipment manufacturing enterprises innovation capability based on dynamic capabilities theory. Summary the content and features of equipment manufacturing enterprises innovation capability based on dynamic capabilities theory, determine the constituent elements of the equipment manufacturing enterprises innovation capability, reveal formation process of equipment manufacturing enterprises innovation capability, analysis of the relationship of dynamic capabilities and innovation capability of equipment manufacturing enterpriseThe system analysis and design of development model of equipment manufacturing enterprises innovation capability under the guidance of dynamic capabilities theory. First, in-depth understanding of the meaning and internal logic of the development of equipment manufacturing enterprises innovation capability, from the perspective of the process of innovation development, analysis the elements, structure and ways in the process of the development of equipment manufacturing enterprises innovation capability. Secondly, to extract two dimensions of development model designed of the equipment manufacturing enterprises innovation capability, innovation extent and innovation openness. The vertical dimension is the development extent of the equipment manufacturing enterprises innovation capacity, namely exploitation innovative and exploratory innovation, the horizontal dimension is the development openness of equipment manufacturing enterprises innovation capability named low open innovation and open innovation. Four models come to the development of equipment manufacturing enterprises innovation capability, learning mode, application model, exploration model and expansion model. Summed up development model of equipment manufacturing enterprises innovation capability into three paths, namely convex transformation path on the basis,, concave conversion path and S-type conversion path. Finally, to determine the ideas and the basis of development model chosen of the equipment manufacturing enterprises innovation capability. Construction evaluation index system of the level of development of the equipment manufacturing enterprises innovation capability, And design comprehensive evaluation method selected of development model of equipment manufacturing enterprises innovation capability.Around the implementation mechanism of the development of equipment manufacturing enterprises innovation capability, investigated operation and management methods of development model of Equipment manufacturing enterprise innovation capability, Formulated a strategy to safeguard development model of equipment manufacturing enterprises innovation capability. This dissertation suggests that the effective operation of development model of the equipment manufacturing enterprises innovation capability requires a dynamic learning mechanism, monitoring mechanisms of the flow of information and balanced control mechanisms, need to establish open innovation management system, consolidate the foundation of internal innovation, building knowledge and information management platform, the creation of innovative network dynamic optimization mechanism, through these safeguards the development of equipment manufacturing enterprises’innovation capability.On the basis of the above study, the dissertation makes an empirical research Sany Group’s core enterprise Sany selected. Collected comprehensive data of Sany innovation capability development process, in-depth analyze development mode and the mode transition path of Sany’innovation capability, then demonstrated with scientific and effectiveness of development model of equipment manufacturing enterprises’innovation capability based on dynamic capabilities theory.In a word, this dissertation attempts to make contributes to the formation and development of equipment manufacturing enterprises’innovation capability providing theoretical guidance and methodological support.更多还原