【作者】 詹长春；

【导师】 徐长生；

【作者基本信息】 华中科技大学 ， 西方经济学， 2007， 博士

【摘要】 本文通过对企业技术能力的科学界定,对技术能力与技术创新关系的探讨,结合对中外汽车工业技术进步的经验总结,借助安徽江淮、奇瑞等两个自主创新案例的深度分析,探讨我国汽车工业在知识经济和全球化背景下,在后发起点和引进技术的基础上,如何通过自身有效的技术学习过程生成技术能力,最终实现自主创新。本文首先在理论综述的基础上,建立了后发工业国家企业技术能力成长的一般路径和技术创新模型,接着对我国汽车工业技术能力现状进行研究,说明汽车工业自主创新的必要性、艰巨性和复杂性,分析汽车工业自主创新的经验教训,找出需要解决的突出问题。文章重点是借助案例分析,以安徽江淮和奇瑞汽车公司为例分析破解技术依赖的出路,提出我国汽车工业自主创新的方向与路径选择,帮助我国汽车工业实现从低成本自主创新走向技术跨越。本文的主要结论有:(1)技术能力是企业在持续的技术变革过程中,选择、获取、消化吸收和创造技术,结合企业的生产实践,形成的生产产品和管理、服务的累积性学识。同时,强调企业技术能力的持续发展和自主创新能力的自我强化功能。(2)技术能力是技术创新得以实现的基础,不同的创新模式通过路径依赖对技术能力形成产生影响,技术创新必须与企业技术能力状况相匹配。(3)我国汽车工业中存在的技术依赖问题,与长期实行的“以市场换技术”的合资模式直接相关,突破技术依赖的出路在于坚持自主创新。(4)对江汽案例分析说明技术传播在企业技术能力形成的过程中起着关键作用,企业必须按照自身技术状况和市场状况采取相应的措施,增强对新技术的消化吸收能力。(5)对奇瑞案例分析得出在技术能力形成过程中,坚持自主开发的方向是至关重要的结论。在开放条件下,企业可以通过引进人才开展自主开发,利用自主开发聚集人才。自主开发企业的成长,是中国本土技术能力成长的基本动力源泉和组织载体。本文的主要创新点是:(1)系统考察了技术能力的定义和构成,并根据现实状况,提出了关于技术能力的定义,强调技术能力的持续发展和自主创新能力的自我强化功能,并深入研究了技术能力形成的阶段和路径,使用维度矩阵分析了一般技术能力形成的阶段特征。(2)对自主创新的范畴进行了合理界定,分析自主创新的类型,当前全球创新行为的新趋势和新特点,技术能力与自主创新的关系等。强调基础技术能力决定了自主创新的类型和模式。指出必须经过“引进-吸收-自主创新”的技术途径,我国汽车工业才能形成自己的自主创新能力,参与国际竞争。(3)采用Szulanski提出的四阶段传播模型对江淮汽车自主创新能力的形成过程进行了细致分析,揭示了江淮汽车成功的经验。采用外围-核心传播模式和互联网络模式对江汽的技术传播的变化进行了描述,揭示了技术传播的一般规律。(4)采用维度矩阵对奇瑞汽车的自主研发过程做了详细描述,介绍了奇瑞从模仿到自主创新的发展过程,肯定了自主研发战略在其中的重要地位;通过奇瑞的人才战略,我们可以看出奇瑞形成了“自主开发促进人才聚集,人才聚集促进自主开发”的良性循环,强调了引进人才对奇瑞技术传播的重要作用。(5)对中国汽车工业如何实施创新战略、提升技术能力,提出了自己的政策建议,即:放弃国家主导的汽车产业政策,给中小汽车企业以自由竞争空间;政府应该在经济政策上对有自主创新能力和自主品牌的民族企业给予大力支持;从国家层面提倡创新精神,对自主创新企业提供“趋利政策”。更多还原

【Abstract】 The aim of this dissertation is to study how to form technological capability through effective and independent technological innovation under the background of globalization and the information economy, with the help of giving a scientific definition of enterprises’technological capability, probing into the relationship between technological capability and technological innovation, looking back on automobile industry home and abroad and analyzing deeply the two cases of independent innovation.This dissertation mainly adopts the method of the demonstration and case analysis. Firstly, on the basis of theoretic summarizing, it establishes the common route of technological capability in developing industry; Secondly, it integrates theoretic analysis with the demonstration analysis in order to investigate the actuality of technological capability and to find out the problems to be solved. The emphasis of this dissertation is to find the way out of overcoming technology dependence under the help of analyzing such cases as JAC and Chery.The main conclusions of in this dissertation are as follows:(1) Technological capability is the accumulated knowledge which is formatted in the process of persistent technology innovation. In the process, enterprises first choose, gain, absorb and create technology, then according to the experience of enterprises, format the unique knowledge of manufacture product, management and service. It emphasizes the persistent development of enterprises’technological capability and the self-strengthening function of independent innovation capability.(2) Technological capability is the basis of innovation, different innovation patterns affect the formation of technology capability by path-dependence, innovation must accord with the technological capability of enterprise.(3) The problems of path-dependence in China’s auto-industry caused by the strategy “market in exchange of technology”in joint ventures. Independent innovation is the key to break path-dependence.(4) From the case of JAC, we know technology diffusion is very important in technological capability formation. According to market and its technological capability, enterprise must take proper methods to increase the ability of absorbing new technology.(5) From the case of Chery, we can conclude that Independent development is the decisive factor in the course of technological capability formation. In the opening circumstance, introduced ability person can stimulate independent development and independent development can attract ability person. The growth of independent development enterprise is the organ-carrier and resource of energy for the growth of China’s technological capability,The main innovative features in this dissertation are as follows:(1) It systematically investigates the definition and formation of technological capability. Based on the actual situation, it gives author’s own definition of technological capability. It emphasizes the persistent development of technological capability and self-strengthening function of independent innovative capability, studies deeply the formation stage and route of technological capability, and analyzes the stage feature by using dimensionality and matrix.(2) It gives a sound boundary of the category of independent innovation. It also analyzes the types of independent innovation, the new trend and characteristics of global innovative behavior and the relationship between technological capability and independent innovation, etc. Furthermore, it emphasizes that basic technological capability determines the type and model of independent innovation. In order to form the independent innovative capability, we must form the technological route of introducing– absorbing– independent innovation so that our automobile industry can participate in the international competition.(3) By adopting four-stage transmitting model put forward by Szulansko, it studies carefully JAC’forming process of independent innovative capability to open out its successful experience. Besides, it describes the change of technological transmit by introducing the spread model of periphery– core and Internet, and opens out the common route of technological transmit.(4) It gives a detailed description of the process of independent development in Chery by adopting dimensionality and matrix. It also introduces its development process of imitating– creative imitating– independent innovation and affirms the important status of the strategy about its independent innovation. Based on Chery’s strategy of a person with ability, there is a good circle in Chery that independent innovation can promote the assembling of persons with ability, and the assembling of persons with ability can also promote the independent innovation. So it emphasizes the important function of introducing persons of abilities into Chery to transmit the technology.(5) Based at the above analyses, we put forward our own policy suggestion on how to put innovative strategy in practice and to promote technological capability in Chinese automobile industry: First, abandon the government dominant auto-industry policy, give a competitive space for small and middle enterprise; second, enterprise with independent-innovation capability and independent brand must be supported by the government; third, innovation inspirit must be advocated, benefit stimulated policy must be provided to the independent innovation enterprise by government.更多还原