企业创新的制度研究

【作者】 董静；

【导师】 芮明杰；

【作者基本信息】 复旦大学 ， 企业管理， 2003， 博士

【摘要】 “汤之盘铭曰：‘苟日新，日日新，又日新。’康诰曰：‘作新民。’诗曰：‘周虽旧邦，其命惟新。’是故君子无所不用其极。”1早在远古时期，我国古圣先哲即已指出：个人、民族、国家、社会的前途和命运均维系在是否能够坚持不懈地创新求变。人类社会几千年来的发展史，亦鲜明地向人们昭示出新思想、新制度、新技术的创发和运用，是推动社会进步、推动民族兴盛的根本力量。到了以知识为基础的现代社会，创新的重要性更是不言而喻。江泽民同志认为“创新是一个民族的灵魂，是一个国家兴旺发达的不竭动力”。英国政府在其《竞争力白皮书》中把创新作为一国经济的基石2。众多企业更是把创新作为在激烈竞争中生存的方式。创新精神部分传承于一个民族的历史、文化和传统，但更大程度上要依靠一国所采纳的经济制度和政治制度所共同塑造的宜于创新的制度环境，要依靠企业在内部构筑的鼓励创新的制度体系。道格拉斯·诺斯在其名著《西方世界的兴起》中，详细考察并论证了制度在西方世界崛起中的决定性作用，指出是制度引发了创造现代西方文明的工业革命。美国3M公司的创新实践，则进一步证明了制度在推动企业创新中发挥的不可估量的作用。本文将围绕“企业创新的制度研究”这一主题，以制度对创新的作用机理分析为基础，构建企业创新的制度体系，探讨如何通过制度上的安排来促进企业创新。全文共分三部分，第一部分是理论基础，第二部分是企业创新的外部制度，第三部分是企业创新的内部制度。第一部分由四章构成。第一章在分析创新与制度的特征及功能的基础上，提出创新与制度间存在辩证关系，并以案例分析等形式论证制度对创新的能动性。第二章通过对人类创新行为的分析，导出创新者的创新动力和创新能力是影响创新效率和效果的决定因素，并从这两个方面入手分析制度对创新的作用机理。第三章将把研究的视野引向企业，分析企业创新的特征，探讨与企业创新有关的制度安排的来源、主体、原则和实施等具体问题。第四章将构建针对企业创<WP=9>新的制度体系，并首先讨论该体系中的企业产权制度。第二部分由两章构成。虽然同是企业创新的外部制度，但市场和政府的性质却完全不同，前者主要是一种自组织制度，后者则具有更多人为设计的成分。第五章在讨论市场制度的性质和特征的基础上，分析市场如何通过私有产权制度、价格机制和竞争机制影响企业创新，然后探讨不同市场制度模式下的企业创新行为。第六章首先分析政府介入创新的必要性，然后讨论政府在制定有关制定安排时需遵循的思路和应具备的能力，最后分析具体的创新制度安排。第三部分由三章构成。根据对影响创新行为的企业内部因素的简要分析，结合企业内部制度的常见分类，本文将主要从创新的组织制度、信息沟通制度、创新合作制度、创新评价与奖励制度、创新导向的人力资源制度等，对企业创新的内部制度进行分析，并且重点考察企业创新的制度实践。第七章分析创新的组织制度，其中包括企业内部的创新机构、创新决策流程、具体项目的组织模式、组织间的创新协调以及创新团队的组织制度等。第八章分析信息沟通制度和创新合作制度。第九章将讨论创新考核与奖励制度、创新导向的人力资源制度和创新资源分配制度等。更多还原

【Abstract】 Even in the ancient time, our Chinese philosophers have found that the prospect of individuals, people, countries and society is determined by continuous innovation. And the development of human beings in thousands of years also points out that the new ideas, new rules and new technologies are the basic power promoting the whole societies. And now, in the knowledge society, the importance of innovation is unquestionable. Many country leaders make innovation the principle task of their countries, and more and more companies look innovation as the style of surviving.Innovation spirit partly stems from the history, culture and tradition of a people, but it also depends on the institutions adopted by a country or a company. Douglas C. North has pointed out that it was innovation that triggered the Industrial Revolution and resulted in the raising of the West. The practice of 3M has been proving the importance of institutions in innovation, as well. Focusing on the topic of Study of the Innovation of Companies, this article will build the institution system of company innovation, talk about how to promoting the innovation practice of companies through institutional arrangement. This article comprises 3 parts: one is focusing on the basis of theory, another is about the external arrangement of corporate innovation, and the other is about the internal arrangement of corporate innovation. The first part is composed of 4 chapters. Chapter 1 analyses the characteristics and functions of innovation and institution, points out the dialectical relationship between innovation and institutions, and talk about the affect of institutions on innovation by cases. Chapter 2 makes<WP=11>the innovation behavior analysis as a base, then study the mechanism of institution’s function on innovation from the aspects of motivation of innovation and capacity of innovation. Chapter 3 talks about the innovation of companies, and analyzes the source, principles of the institutions and etc. Chapter 4 sets up the institutional system of corporate innovation, and talk about the affects of property right arrangement of companies on innovation.The second part consists of 2 chapters. Chapter 5 analyses the market institutions, especially the price mechanism and competition mechanism influencing innovation. Chapter 6 focuses on the institutional arrangement of government on innovation.The third part consists of 3 chapters. Chapter 7 mainly talks about the organizing institutions of innovation in companies. Chapter 8 studies institutions of information and cooperation on innovation. Chapter 9 analyses the institutions of assessment of innovation, innovation-oriented human resources policies, and innovation resources allocation institutions and etc.更多还原