【作者】 田丹；

【导师】 张米尔；

【作者基本信息】 大连理工大学 ， 技术经济及管理， 2008， 博士

【摘要】 装备制造业是国民经济的技术支柱,在技术基础和研发投入落后于国外竞争对手的背景下,中国企业面临缩小技术差距的严峻挑战。随着技术体系的迅速膨胀,可供选择的外部技术来源迅速增长,企业没有必要也不可能掌握关于产品开发和生产的全部知识,这要求企业必须善于利用外部技术源。装备产品是典型的复杂产品系统,技术构成复杂,产品创新所需技术的宽度和深度均超过大规模制造产品,少数几项技术的缺失就会导致创新难以实现,即受制于所谓的“木桶效应”。调研发现,一批企业通过将自创技术与外部技术在产品系统层次上的集成,缩小了与国外领先企业的技术差距,为研究工作提供了宝贵样本。本论文以装备制造业为研究对象,旨在探索外部技术获取与集成创新绩效之间的关系,为装备制造企业利用外部技术源的同时保持技术创新主动权提供管理支持。论文采用理论研究、案例研究和统计分析相结合的研究方法。首先,阅读并分析了复杂产品系统、技术集成、开放式创新和外部技术获取等领域的文献,撰写文献综述;设计装备制造业集成创新的预调研问卷,在与企业产品开发技术负责人深入访谈的基础上,修改现有题项,并补充部分新题项,制定出正式调研问卷:选择10余家装备制造企业进行实地调研,为提高研究的观测效度,采用人员访谈的方法填写问卷70余份;撰写研究案例并分析统计数据,使整个研究工作有坚定的实证支持。外部技术获取途径研究。首先,选择集成创新过程中的5种重要外部技术获取途径进行了研究,包括供应商、用户、同行企业、大学和科研院所、研发服务公司,在案例研究和描述性统计分析的基础上,分析各种途径对集成创新的作用。研究发现,近年来美国和欧盟国家的研发服务业发展迅速,因此,以研发服务公司为代表的第三方技术源正成为中国企业开展集成创新的可选技术获取途径;第三方技术源是接受客户委托提供技术支持的机构,所谓第三方是指这类机构与委托方在产品市场上不存在直接的竞争关系,即非同行业竞争对手。通过案例研究,分析了第三方技术源对集成创新的作用机制,研究表明,在企业自身能力成长的基础上,第三方技术源为中国企业的崛起提供了技术机会,与第三方技术源合作有助于克服制约产品开发的技术瓶颈,加快中国企业的技术追赶进程,中国企业在利用第三方技术源的同时能够保持技术创新的主动权。外部技术获取与集成创新绩效研究。首先,论文明确了研究视角,从宽度和深度两个维度对外部技术获取进行衡量和研究,宽度指产品开发过程中所利用的外部技术源的种类,深度指外部技术源参与产品开发的程度;其次,在理论研究和实地调研的基础上,分析了外部技术获取宽度和深度对集成创新绩效的影响,外部技术获取宽度和深度对系统集成能力的影响,系统集成能力对集成创新绩效的影响,并做出了相关的研究假设;统计研究结果表明,外部技术获取宽度和深度能够直接提高技术集成的产品创新绩效;系统集成能力在外部技术获取宽度与产品创新绩效之间,发挥着部分中介作用,即外部技术获取宽度通过促进系统集成能力的成长,间接提高了产品创新绩效;系统集成能力在外部技术获取深度与产品创新绩效之间,同样发挥着部分中介作用。更多还原

【Abstract】 Equipment industry is the technological backbone of the national economy. With the background of technology base and innovation resources lagging behind, Chinese enterprises are confronted with the challenges of reducing technological gap. With technological knowledge expanding rapidly, external available technology sources also increase rapidly. Enterprises need not and cannot master all the knowledge of product development and production, and they are requied to specialize in using external technology sources. Equipment products are typical complex products and systems. Technologies of equipment products are especially complex, and the technical width and depth needed to innovation exceed the ones of mass-production products. Innovation will fail owing to lack of several technologies, which is called cask effect. With the investigation, it is found that some enterprises have reduced technological gap with leading enterprises through integrating self-created technologies and external ones on product system, which are valuable samples for the study. Choosing equipment industry as the research object, this paper explores the relationship of external technolgy acquisition and integrated innovation performance. The paper will provide management support for enterprises to keep self-determined innovation in the process of using external technology.The paper adopts a combined method of theory analysis, case study and statistics. Firstly, the literature review is written based on reading and analyzing the theories of complex product and systems, technology integration, open innovation and external technology acquisition. The pre-survey questionnaire is designed for integrated innovation of equipment industry. Based on the interviews with technological managers of product development, the existing questions are modified and the new ones are added. Therefore, the formal questionnaire is designed, and an in-depth field survey is conducted in more than ten equipment manufacturers. Personnel interviews are adopted to gather more than eighty questionnaires in order to improve validity of observation. Then, case study and statitical analysis are conducted to provide firm empirical support for the entire research.External technology sources are studied. Firstly, the five external sources are chosen as research objects, which are suppliers, users, competitors, universities and research institutes, R&D service companies. Based on case study and descriptive statistics, it’s analyzed the effect of each external technology source on integrated innovation. The studies show that R&D services industry has grown rapidly in The United States and European Union. Therefore, R&D services companies, the representatives of the third-party technology providers, have been a vital external technology source. Third-party technology providers are organizations to be commissioned to provide technologies for user companies. The-third party means that they are not directly competitive with user companies on product markets, that is, the two parties are not competitors in the same industry. Based on cases study, it’s analyzed the effect of third-party technology providers on integrated innovation. The study shows that based on Chinese enterprises’ capability development, third-party technology providers increase chances for Chinese enterprises growing up, and cooperating with third-party technology providers could solve the technological bottleneck of product development and accelerate the catch-up process. Chinese enterprises can take an initiative of technology innovation while using external technology sources.It’s studied the effect of external technology acquisition on integrated innovation performance. Firstly, the research view is confirmed. From width and depth aspects, external technology acquisition is studied. The width means the types of external technology sources, and the depth means the extent of using external technology sources in the product development. Based on theory research and field study, it’s analyzed that the effect of the width and depth of external technology acquisition to integrated innovation performance, the width and depth of external technology acquisition to system integration capability, and system integration capability to integrated innovation performance. Then, the research has formed several hypotheses. The statistic results show that the width and depth of external technology acquisition could directly improve the performance of product innovation performance of technology integration. Meanwhile, system integration capability is acting a mediator between the width of external technology acquisition and product innovation performance. That is to say, through promoting system integration capability growth, the width of external technology acquisition could indirectly improve the performance of product innovation. System integration capability is also acting a mediator between the depth of external technology acquisition and product innovation performance.更多还原