【作者】 陈文婕；

【导师】 曾德明；

【作者基本信息】 湖南大学 ， 企业管理， 2013， 博士

【摘要】 当前，全球正面临着气候变化加剧、能源不足和环境恶化等严峻问题，发展和运用先进技术是处理这些问题的根本手段。而低碳汽车技术创新与采用将决定未来全球能源产业链的变化，全球范围内开始强烈关注如何减少汽车尾气对大气环境影响的问题，迫切需要低碳汽车技术革命。低碳汽车技术更是突显多学科、多领域交叉融合，外部效应强，创新投入和风险大，技术复杂性与市场不确定性高的特点，低碳汽车技术的创新发展需要构建广泛的创新网络。已有研究较少将低碳汽车技术创新与创新网络问题结合起来进行深入探讨，缺乏对低碳汽车技术及其创新网络演化的定量实证分析与具体案例研究。因此，研究低碳汽车技术创新网络演化问题具有重要的理论与实践意义。本文分析了低碳汽车技术与其创新网络特征和演化过程，探讨创新网络背景下如何更有效地发展低碳汽车技术创新。研究过程中采用了理论分析、模拟仿真、实证分析与案例研究相结合的研究方法，主要的内容包括：(1)分析低碳汽车技术创新网络构成与运作。首先，探讨低碳汽车技术创新网络的主要特征，阐释低碳汽车技术创新网络的构成与运作模型，考察低碳汽车技术创新网络中的供应链运作，构建基于生命周期分析的低碳供应链；另外，对低碳汽车技术创新网络系统进行模拟仿真分析，发现低碳汽车技术合作创新过程中，低碳汽车技术能力增长平均值、技术创新潜力和平均利润均高于低碳汽车技术独立创新。(2)低碳汽车技术创新网络特征分析。首先，说明专利数据来源的依据，以及数据收集方法，针对全球范围内低碳汽车技术创新专利申请量排名前100名的领先组织，构建1992-2011年低碳汽车技术创新网络；然后，基于该网络，运用Ucinet软件计算分析网络特征，分析发现：网络密度较小、网络中行动者之间连接不紧密，信息的传播速度较慢；低碳汽车技术创新网络中，日本丰田汽车公司明显占据了网络中最中心，且具有大量社会资本的位置，并对网络进行了可视化处理，发现低碳汽车技术创新网络中存在邻近性现象。(3)分析低碳汽车技术与其创新网络演化机制。阐释低碳汽车技术与创新网络的共生演化关系，分析低碳汽车技术及其创新网络的演化机制，构建低碳汽车技术创新网络中的政府企业进化博弈模型。(4)低碳汽车技术及其领先组织创新网络演化分析。首先探讨低碳汽车技术演化概念框架，分析低碳汽车技术演化路径；然后，实证分析了低碳汽车技术创新网络从1992年到2011年中四个演化路径阶段，在低碳汽车技术创新网络的演化中，创新网络密集度逐步提升，创新网络核心组织逐渐突显，丰田、宝马、本田、日产、电装、爱信、三菱重工、通用等汽车制造商与供应商等是网络中的核心组织。(5)丰田低碳汽车技术创新网络案例研究。基于丰田汽车公司在全球低碳汽车技术领先组织的创新网络中占据的核心与优势地位，选取丰田作为案例研究对象，系统深入分析丰田低碳汽车技术创新网络特征与演化，及其低碳汽车技术创新发展策略。研究发现除丰田外，丰田关联组织与其供应商在网络中，拥有最多的联结，占据重要地位。丰田中心网络低碳汽车技术合作创新主要集中在电力牵引、燃料电池及其制造、车辆供电、电池或电池组充电或供电、车辆传动和动力控制器、电能存储技术和电机等技术领域。另外，丰田低碳汽车技术创新合作伙伴技术关联网络演化路径中呈现网络规模稳步增长、网络密集度逐步上升、网络群聚效应逐渐突显的趋势。最后，总结丰田的低碳汽车技术创新发展策略，结合已有研究获得研究启示，并提出相应政策建议。本论文结合文献综述、理论分析、模拟仿真、博弈分析、实证分析与案例研究的方法，对低碳汽车技术创新网络演化问题进行了深入研究。本文的创新之处在于丰富了建模与仿真方法的应用领域，扩展了路径依赖理论与进化博弈理论的应用范围，为低碳汽车技术创新网络的研究提供了新的定量分析方法，丰富和深化了技术及网络演化理论。研究成果有助于中国企业及相关组织机构更好地融入全球低碳汽车技术创新网络之中，也有利于引导政府充分发挥其对低碳汽车技术创新的推动作用。然而囿于个人能力、数据的可获取性以及跨学科对知识的综合要求等原因，本文的研究存在一定的局限性，没有考察个体发明人之间开展的低碳汽车技术合作创新，而且仅收集低碳汽车技术创新专利数据，研究结论对其他种类低碳技术的可推广性有所不足，同时，没有对大样本的研究对象进行问卷调查，开展计量分析，有待通过进一步的研究来改进。更多还原

【Abstract】 At present, the world is facing the problem of severe climate change, energyshortage and environmental degradation. Development and application of advancedtechnology is the basic solution to climate change problem. Low carbon technologyinnovation and adoption in auto industry will give rise to the change in the globalenergy industry chain. There is strong global concern on how to reduce the impact ofthe automobile exhaust on atmospheric environmental. Auto industry is in urgent needof low carbon technology revolution. Low carbon vehicle technology shows thecharacteristics of multidisciplinary and multi-field integration, strong externality, biginvestment, high risk, technical complexity and market uncertainty, which isinsurmountable for single enterprise to cope with. Therefore, low carbon vehicletechnology innovation and development calls for extensive technological innovationnetworks. Few researchers combine the research on low carbon vehicle technologyinnovation with that on innovation networks. Quantitative empirical analysis and casestudy of low carbon vehicle technology and the characteristics and evolution path ofits innovation networks are in need. Therefore, research on low carbon vehicletechnology development strategy as well as innovation networks’ characteristics andevolution path is of theoretical and practical significance.This paper analyzes the low carbon vehicle technology and its innovationnetworks’ characteristics and evolution, and discusses how to conduct low carbonvehicle technology innovation more effectively in the innovation networks. In theprocess of study, theoretical analysis, simulation analysis, empirical analysis and casestudy are combined.The main content of this paper includes:(1) Analysis of lowcarbon vehicle technology innovation networks composition and operation. Firstly,this paper discusses the main characteristics of low carbon vehicle technologyinnovation networks. Secondly; this paper explains the composition and operationmode of low carbon vehicle technology innovation networks. Then, supply chainoperation in a low carbon vehicle technology innovation networks is discussed andlow-carbon supply chain based on life cycle analysis is built. In addition, the systemof low carbon vehicle technology innovation networks is simulated.(2) Constructionof the leading low-carbon vehicle technology organizations’ innovation network inglobal auto industry and its feature analysis. First of all, this paper depicts patent datasource and the method of data collection. Second, the low carbon vehicle technology innovation networks of top100global organizations from1992to2011are built.Based on the global low-carbon vehicle innovation networks, the characteristic of thenetwork is calculated by Ucinet software. The result shows: the network density is low;the actors in the network are not closely connected; information transmission is slow;Toyota occupied the center position in the network, and possesses abundant socialcapital. Meanwhile, the innovation networks visualization is carried out, andproximity is found in the innovation networks of low carbon vehicle technology.(3)Evolution mechanism analysis of low carbon vehicle technology and its innovationnetworks. Firstly, the symbiotic evolutionary relationship between low carbon vehicletechnology and innovation networks is illustrated. Secondly, the evolution mechanismof low carbon technology and its innovation network is analyzed. Then, theevolutionary game model of government and enterprises in low carbon vehicletechnology innovation networks is built.(4) Analysis of low carbon vehicletechnology and its global leading organizations’ innovation networks evolution. In thefirst place, based on the low carbon technology evolution conceptual framework ofglobal automotive industry, the evolution path of global low carbon vehicletechnology is analyzed. Secondly, the empirical analysis on the evolution path ofglobal low carbon vehicle technology innovation networks from1992to2011isconducted, which comprises four stages. In the evolution of networks, the innovationnetworks intensity of global low-carbon technology leading organization in the autoindustry gradually increased, core organization of the innovation networks becameprominent, which included automakers and suppliers, such as Toyota, BMW, Honda,Nissan, Denso, Mitsubishi Heavy Industries, and General Motors.(5) Case study onToyota low-carbon innovation networks. Based on the fact that Toyota motor poses acrucial and dominant position in low carbon technology innovation networks of globalauto industry leading organization, Toyota is selected as the research object, thesystematic and in-depth analysis of the low carbon vehicle technology leadingcompanies’network characteristics and evolution is taken along with the research onlow carbon vehicle technology innovation development strategy. It is found thatToyota associated organization and its suppliers, besides Toyota, occupy the mostimportant position and have the largest number of linkages in the network.Cooperative innovation of low carbon vehicle technology in Toyota ego networkmainly concentrated on the electric traction, fuel cell and its manufacture, vehiclepower supply, battery or battery pack charge and power supply, vehicle transmissionand power controller, electric energy storage technology and motor technology. Meanwhile, Toyota innovation partners’ technology association networksshows thefollowing trends: network scale gradually increases, network density rises gradually;and network clustering trend gradually strengthens. In the end, Toyota’s low carbonvehicle technology innovation development strategy is summarized; conclusions aredrawn and corresponding policy proposals are put forward.Based on literature review, theoretical analysis, simulation, game analysis,empirical analysis and case study, this paper conduct in-depth study on the innovationnetworks evolution of low carbon vehicle technology. This article extends theapplication range of the path dependence theory and evolutionary game theory,provides new quantitative analysis methods for low carbon vehicle technologyinnovation networks, enriches and deepens technology and network evolution theory,helps China’s enterprises and related organizations to better integrate into the globallow carbon vehicle technology innovation network, and contributes to guiding thegovernment give full play to its role in low carbon vehicle technology innovation. Butconstrained by personal ability, data availability and interdisciplinary comprehensiverequirements for knowledge, this article has certain limitations, which need to beimproved through further studies.更多还原