【作者】 陈春阳；

【导师】 李学伟；

【作者基本信息】 北京交通大学 ， 管理科学与工程， 2007， 博士

【摘要】 坚持“自主创新、重点跨越、支撑发展、引领未来”指导方针，以增强自主创新能力为战略基点，推动科学技术跨越式发展，是我国实施创新型国家战略的核心内容之一。《中长期铁路网规划》的颁布与实施，标志着中国铁路建设进入了新一轮大发展时期。通过铁路运输能力的快速扩充和技术装备水平的快速提高，中国铁路到2020年要基本实现现代化，主要技术装备达到发达国家水平。技术装备现代化是增强铁路综合运输能力和运输效益的重要基础，是确保运输安全与提升服务质量的关键环节之一，也是铁路现代化的重要标志。机车车辆的技术跨越是实现中国铁路技术装备现代化的关键和主要环节。我国机车车辆业急需进一步明确定位和解决技术创新的目标、路径等一系列战略问题。以此为背景，本文对中国机车车辆技术创新及其战略进行了系统深入的研究，主要内容包括：梳理中国机车车辆业技术发展历程和现状，归纳其实现技术跨越的主要问题和障碍；系统分析中国机车车辆业技术创新的组织模式、技术跨越目标、路径及重点突破领域，构建中国铁路机车车辆业技术跨越模型体系；围绕技术跨越目标，提出推进中国机车车辆业自主创新的四维模式。研究从现状与问题分析、市场潜力和目标定位研究、技术跨越模型体系阐释、关键环节和基本路径选择、自主创新战略模式设计等角度顺次展开。首先综述相关技术创新理论，结合对中国机车车辆发展历程及其技术创新实践的系统分析，找出中国机车车辆技术装备发展中的问题、制约因素及原因；其次，沿着自主创新和技术跨越的客观要求、技术跨越的过程模型和能力模型、技术跨越目标和路径的思路有机展开，明确技术跨越点和基本路径，提出推动中国机车车辆自主创新的多维战略模式：加强技术储备、构建创新平台、提升技术标准和完善政策措施。研究方法方面，在比较分析的基础上采用理论研究和实证分析相结合、个案分析与系统归纳相结合的方法，并尽可能做到静态分析与动态分析相结合、微观分析与宏观分析相结合，力图准确把握中国机车车辆业技术创新战略的精髓。全文研究结论如下。面对中长期铁路网规划的推动以及良好的外部技术与经济环境，特别是基于客运专线开行高速列车的需求，中国机车车辆技术装备水平必须实现基于自主创新的技术跨越，对自主创新进行总体部署和有效安排，以克服总体技术能力不高、引进消化吸收再创新能力薄弱、技术创新平台不完善、技术标准水平低等诸多问题。中国机车车辆业技术创新组织模式的典型特征表现为制造商和铁道部之间基于技术开发、产业发展以及市场环境等的有机融合，其现行技术创新的过程模式主要体现为政府管理下的市场拉动型创新模式，其次才表现为技术推动型创新模式。铁道部以及其他相关政府部门在机车车辆技术创新战略中作用重大。推动中国机车车辆技术跨越，必须注重“单项技术突破”、“集成能力提高”及“关键技术引进”三要素的优化与协调，通过三要素的最佳耦合来实现自主创新的最优效果。机车车辆技术跨越点选择在考虑政府、技术、产业、市场、资源五因素共同影响前提下确立为350公里／小时动车组成套技术。中国机车车辆自主创新的基本路径为，系统规划，确立重点跨越项目；引进先进技术，着力消化吸收，有效组织国内外优势资源，实现单项技术突破和系统集成再创新；辅之基础研究，完善标准体系提高持续创新能力和消化吸收能力；以点带面，推进新一代中国机车车辆产品的标准化、系列化、模块化和信息化，实现机车车辆装备现代化。设计并实施集“加强技术储备”、“构建创新平台”、“提升技术标准”及“完善政策措施”为一体的自主创新四维战略模式，是引领中国机车车辆业技术跨越的必然选择。中国机车车辆业技术储备的最基本路径是“内外结合模式”，但自主创新能力的提升最终只能来自于产品自主创新实践。机车车辆业创新平台旨在通过官、产、学、研联合，建立起强有力的顶层决策组织并注重整体规划和统一布局，形成政府主管部门、创新主体等相关优势资源的高效连接。完善中国机车车辆技术标准体系，应以建立适应高速、重载技术装备发展为目标，建立先进、完善的设计、工艺、制造、质量、试验、维护等综合技术标准体系。在技术标准的管理体制、国际化接轨等方面采取“分段突破、逐步递进”的步骤。推进中国机车车辆业创新发展的政策措施包括，制定适宜的产业发展政策；形成统一协调的机车车辆业国家战略技术发展专项规划；提供创新平台建设的良好政策环境；完善自主创新的激励政策体系；促进产业结构优化调整；充分发挥政府采购的扶持作用；强化知识产权和标准化意识；创造创新型人才脱颖而出的环境；加强国际交流与合作。更多还原

【Abstract】 One key policy for China to implement the strategy as an innovative country is to insist on "self-innovation, key-point breakthrough, supporting development, leading future", and make enhancement of self-innovation ability as the strategic basis for developing science and technology, thus driving leap-forward development of science and technology. The issue and implementation of the state Mid-term and Long-term Railway Network Development Program indicates that China Railway is entering into a new period of extensive construction and great development. Through rapid expansion of railway transport capacity and fast improvement of technical equipment, CR will achieve modernization basically and main technical equipment will reach advanced level by 2020. Modernization of technical equipment serves as the important basis to improve comprehensive transport capacity and efficiency, the key link to ensure transport safety and improve service, and the important icon for modernization of railway. Technological leap for locomotive & rolling stock becomes one of the key and major links for CR to realize modernization of technical equipment. China locomotive & rolling stock industry needs urgently to further position itself and solve a series of problems in the aspects of target and routes of technical innovation.Against such a background, the paper researches on technical innovation and its strategy for China locomotive & rolling stock industry in the following aspects: sort out and classify technological development history and current situation of China locomotive & rolling stock industry, summarize the main problems and obstacles in technological leap; analyze systematically organization mode, target and route of technological leap, as well as key fields for breakthrough in the industry, construct the technical innovation mode for the industry; center on the target of technological leap, put forward 4-dimenional mode for the innovation of China locomotive & rolling stock industry.The research is made from many aspects such as analysis on current situation and problems, study on market potential and target positioning, explanation of technological leap mode, selection of key link and basic route, design of self innovative strategy mode. Firstly, the paper summarizes relative theories of technical innovation; through combining systematical analysis on development process and practices of technical innovation in China locomotive & rolling stock industry, the paper identifies the problems, constraint factors and the reasons in the development of China locomotive & rolling stock industry. Secondly, based on the thought sequence as objective requirements of self innovation and technological leap, progress mode and competence mode of technological leap, targets and routes of technological leap, it clarifies the leap point and basic route, and puts forward multidimensional strategic mode that could promote self innovation of China locomotive & rolling stock industry, including: enhancement of technological storage, construction of innovative platform, improvement of technical standard and optimization of policies. In the aspect of research methods, on the basis of comparative analysis, the methods of combination of theoretical research and demonstrative analysis, as well as combination of single case and systematic summary are used. Then the paper combines static analysis and dynamic analysis, also combines microcosmic analysis and macroscopic analysis, trying to grasp the soul of technical innovation strategy for China locomotive & rolling stock industry exactly. The study conclusion is as follows:In view of the driving force of Mid and Long-Term Railway Network Development Program and favorable technical and economic environments, especially the transport needs of running high-speed train on passenger-dedicated line , it is necessary for China locomotive & rolling stock industry to make technological leap based on self innovation, make overall and effective arrangement to overcome a number of problems (namely, the general technical capability is low, the technical introduction, digestion and re-innovative ability is low, new technical innovation platform is not perfect, technical standards is low in level). The characteristics of innovative mode in China locomotive & rolling stock industry is embodied as organic harmonization between manufacturers and MOR in regard of technical level, industrial development and market environment. The current mode of technical innovation process is mainly manifested as innovative mode pulled by market under government management, and then by the mode pushed by technology. MOR and relevant government authorities play an important role in the technical innovation strategy for locomotive & rolling stock industry.In order to promote the rapid development of locomotive & rolling stock technologies in China, emphasis must be placed on the optimization and coordination of three crucial aspects, i.e. the breakthrough of expertise on certain subjects, improvement of integration competence and introduction of key technologies. Optimization of technology could only be accomplished by perfectly combining the above three aspects. The technological leap point for locomotive and rolling stock, after considering the joint influence of the government, technology, industry, market and resources, is defined to obtain the complete set of technologies for 350 km/h EMU. Self-innovation of China locomotive and rolling stock should follow such an essential route: by systematical planning, first define the key projects; then import overseas advanced technologies, focus on digestion and absorption, and allocate efficiently the competitive resources at home and abroad to realize the breakthrough of certain single technology and innovation of system integration; assisted by basic study, improve sustainable innovative competence and digestion & absorption ability; push forward the standardization, series, modularization and informationalization of the new generation locomotive and rolling stock products so as to realize modernization of locomotive and rolling stock equipments.The four-dimensional strategic mode of self innovation, which is combined with the design and implementation of "enhancement of technological storage, construction of innovative platform, improvement of technical standard and optimization of policies", is the inevitable choice for the technological leap in China locomotive & rolling stock industry. The "internal-external integrated mode" is the most basic way for technological reserve of China locomotive & rolling stock industry, and the self-innovative ability can only be advanced by self-innovative practice of products. The innovation platform for China locomotive & rolling stock industry aims at setting up a strong and top decision-making organization, emphasizing on overall planning and integrated layout, making an efficient connection among authorities in charge, innovation bodies as well as predominant resources related through combined links among governments, manufacturers, universities and research institutions. In order to further improve technological standard system of China locomotive & rolling stock, it is necessary to build a integrative system regarding advanced and perfect design, techniques, production ,quality, experiment and maintenance, etc. targeting at high-speed and heavy-haul transportation. And as for the technological standard, the approach of "stage by stage breakthrough, step by step progress" needs to be adopted in the aspects of management system and internationalization. The specific policies and measures for the innovative development of China locomotive & rolling stock industry are: to make a suitable industrial development policy; to form unified and coordinated special plan for national strategic and technological development in locomotive & rolling stock industry; to provide a sound environment for the establishment of innovation platform; to further improve the incentive policy system for scientific and technological innovation; to push forward the structural optimization of China locomotive & rolling stock industry; to fully exert the support function to technical innovation of government procurement of locomotive & rolling stock; to intensify intellectual property and standardization strategy; to create an environment suitable for talents; and to strengthen international communication and cooperation.更多还原