【作者】 白绪贵；

【导师】 李辉； 许正良；

【作者基本信息】 吉林大学 ， 管理科学与工程， 2010， 博士

【摘要】 提升汽车制造企业自主创新能力,是我国在2009年成为世界第一汽车产销大国后,实现汽车产业由大变强和增强汽车制造企业竞争力必须回答的一个重大问题。本文基于技术创新理论、制度创新理论、后发优势理论、内生性增长理论和竞争优势理论,采用理论推演与实证分析相结合,定性分析与定量分析相结合的研究方法,围绕我国汽车制造企业自主创新能力形成机理的内涵,我国汽车制造企业自主创新能力的形成动力,我国汽车制造企业自主创新能力演进过程,我国汽车制造企业自主创新能力作用结果,我国汽车制造企业自主创新能力提升对策等方面系统地开展了研究。本文重点对我国汽车制造企业自主创新能力形成的动力,自主创新能力的演进过程,自主创新能力的作用结果等问题进行了深入的解析;确立了汽车制造企业自主创新能力形成机理结构框图模型。建立了对汽车制造企业自主创新能力现状进行评价的指标体系、测量维度和改进后的模糊综合评价模型,并进行了有效性检验。本文从机理角度对汽车制造企业的自主创新问题开展研究,具有先行性和创新性,对我国汽车制造企业提高自主创新能力有一定的借鉴意义。本文共分8个章节,下面分别作以摘要。第1章主要从选题背景与问题的提出,研究意义,研究内容与方法,研究的总体技术路线及结构安排等4个方面进行了研究。通过分析改革开放后,我国实施了市场换要素的汽车产业发展战略,积极从国外引进技术、资本和管理等要素,成功地实现了世界第一汽车产销大国的目标。强调我国汽车产业,仍然是一个大而不强的产业,主要问题是自主创新能力不强,核心技术“空心化”。认为:由于未来世界石油资源的日趋枯竭,燃油汽车时代将逐渐走到尽头,取而代之的是新能源汽车和电动汽车时代。要实现这一目标,必须高度重视汽车制造企业的自主创新。只有通过自主创新,才能进一步缩小我国与汽车强国的技术差距,推动新能源汽车发展,走低碳和环保的汽车产业发展之路。第2章主要是对本文写作的相关理论研究情况进行了综述。内容包括,创新理论综述、后发优势理论综述、内生性增长理论综述、竞争优势理论综述、企业自主创新能力研究综述和我国汽车制造企业自主创新提升问题研究综述。第3章首先对自主创新能力和机理两个概念进行了界定,在介绍多位国内外学者观点基础上,本文认为:自主创新是一种以自己为中心的创新,以取得自主知识产权为目标,并能够依此获得较大价值增长;随后,本文从自主创新能力的形成动力、演进过程和作用结果三个方面对我国汽车制造企业自主创新能力形成机理的内涵进行了解析,从自主创新能力形成的内外主导因素和相互作用关系角度绘制出了我国汽车制造企业自主创新能力形成机理结构框图模型。第4章阐述了自主创新能力形成动力的概念;从企业内部因素、企业外部因素和阻碍因素3个方面分析了我国汽车制造企业自主创新能力形成的动力因素;从企业内生机理、市场导向机理、政府引导机理和社会驱使机理4个方面对我国汽车制造企业自主创新能力动力因素作用机理进行了解析。第5章首先对自主创新能力演进过程的概念进行了定义;随后根据我国汽车制造企业自主创新能力在不同的历史时期的发展变化,界定了四个发展阶段:即自主开发为主阶段,引进技术为主阶段,引进技术与自主创新并重阶段、自主创新为主阶段。并分别对每个阶段的技术发展情况进行了论述;接下来从改革与对外开放等四个方面对自主创新能力演进阶段变化的机理进行了解析。第6章主要从中国汽车制造企业产销量不断扩大,产品体系日趋完善,产品品质较大提升,技术水平逐步提高,自主品牌稳步发展,配套体系不断完善等方面总结了自主创新能力对我国汽车制造企业发展的促进作用和结果;从产业组织还不尽合理,原始创新能力差,高端技术与国外差距拉大,产业国际化能力不足等方面总结了自主创新能力对我国汽车制造企业作用上的不足;从改革开放后我国汽车制造企业自主创新实践,分析了过去我们采取的“引进、消化、吸收、再创新”的模式,符合比较优势和要素禀赋理论。从深化自主创新作用结果显现机理角度,提出进一步推进汽车制造企业产品技术、生产技术和管理技术的扩散和发展。第7章对企业自主创新能力现状进行了分析,构建了指标评价体系和数学模型,运用模糊评价法对企业自主创新能力现状加以客观评价。在此基础上,从提高企业自主创新能力,完善企业自主创新体系建设和改善外部自主创新环境建设等三个方面,围绕33个问题,系统地阐述了我国汽车制造企业提升自主创新能力的对策,以求推动我国汽车制造企业自主创新整体水平的提高。提出了未来我国汽车制造企业自主创新的战略,即“实施引进、消化吸收、再创新与原始创新并举的自主创新战略”。对于一般性技术,可继续执行引进、消化吸收、再创新的自主创新战略;对于高端技术,特别是新能源汽车核心技术,则必须把原始创新确定为未来企业自主创新的重要战略。第8章总结了本文形成的主要结论和创新之处;说明了本文对相关研究的理论贡献是:把我国汽车制造企业自主创新能力形成机理,通过各种相关要素的分析,使之形成了合理的逻辑关系。用数学模型即:对企业自主创新能力现状加以定量分析;依据现有条件,本文还没有做到充分采用我国汽车制造企业的真实数据,开展对我国汽车制造企业自主创新能力的仿真研究,这是一件憾事,希望日后有机会弥补。更多还原

【Abstract】 Promoting the independent innovation ability of automobile enterprise is an important problem that we have to solve to realize the automobile industry big turn to strong and strength its competition after our country has become the biggest power of production and market since 2009. Our study bases on the theory of technological innovation, system innovation, newly-developed advantage , endogenous growth and competitive advantage. The paper adopts analytical way combing theoretic analysis with demonstrative study, combining quantitative identification with qualitative analysis. We engage in the research about automobile industry’s independent innovation, the connotation of forming mechanism, the forming dynamics of independent innovation ability, the evolution process, the result of function and promoting strategy. Finally this paper puts forward the strategy of introducing, digesting and absorbing, re-innovation and original inventions. For the general technology, we can execute the independent innovation strategy of introducing, digesting and absorbing, re-innovation and original inventions. For the high-technology, we must pay more attention on the original innovation and regard it as the strategy for the future of the enterprise. This paper lays on the forming dynamics of independent innovation about our country’s automobile manufacturing enterprise, the evolution process, the result of function of independent innovation. It establishes the result of the evaluation index system about independent innovation, the measuring dimension and also put up the structural models and index system, comprehensive evaluation method of automobile industry’s independent innovation. The prospective and creative is the most important of this paper, it analyses the forming mechanism of the automobile industry which studies the independent innovation. The research result is of certain reference value for promoting automobile industry’s independent innovation. This article is divided into eight chapters, the following were for the summary.In the first Chapter, we studied from 4 aspects: the research background, the proposal of issues, meaning of the research, the contents and methods, the logical framework and structural arrangements for the overall technology roadmap of the thesis. Since the reform and opening up, China has adopted the automotive industry development strategy of elements for market, actively introduced advanced technology, capital and management elements and other elements from overseas, successfully achieved the target of the world’s first automobile production and sales power; through the analysis of all above, we stressed that the automotive industry in China is still large but not strong, the main issue is that the ability of independent innovation is not strong," hollow-core technology ". View: as the future of the world’s petroleum resources is becoming more and more depleted, fuel car era will gradually come to an end, and to be replaced by the new energy vehicles and electric vehicles. To achieve this goal, we must pay great attention to the independent innovation ability of automobile manufacturing enterprise. It is only through innovation can we further narrow the technological gap of automotive power and promote the development of new energy vehicles, low-carbon and environmental development of the automotive industry.In the second Chapter, we summarized the theoretical study writing-related, include the innovation theory, the advantage theory, the endogenous growth theory, the theory of competitive advantage, the ability of independent innovation of enterprise and the independent innovation formation mechanism of China’s automobile manufacturing enterprise.In the third Chapter, we defined the two concepts -- independent innovation capacity and the mechanism firstly. Based on the idea of a number of scholars all the world, this article defined that innovation is a kind of startups to innovate, to acquire the proprietary intellectual property rights, and to obtain a larger value growth; subsequently, this article resolved the content of the formation mechanism ability of independent innovation of China’s automobile manufacturing enterprise from the independent creativity of dynamic、evolutionary process and effect results, this article draws out the Chinese perspective automobile manufacture enterprises’ self innovation capability of structure diagram model from the independent innovation capacity, between both the inside and outside of the dominant factors and interactions.In the forth chapter, we expounded on the concept of momentum of independent innovation ability; from internal and external factors and interactive business interference factors, we analysis on China’s automobile manufacturing enterprise of independent innovation dynamic factors; from enterprise mechanism, market-driven mechanism, government guidance mechanism and community driven mechanism, we analysis on China’s automobile manufacturing enterprise of independent innovation capacity factor mechanism has been resolved.In the fifth chapter, we defined the concept of independent innovation capacity evolution; then according to China’s automobile manufacturing enterprise of independent innovation in different historical periods of development and change, defines four development phases: i.e. self trying , reform attempts, the introduction of development-oriented phase, and the original innovation and introduction of innovative and stage. Discussed separately for each stage of technological developments; then resolved on the ability of independent innovation mechanism of evolution changes from the reform and opening up to four aspects. In the sixth chapter, we summarizes the self-innovation ability on China’s automobile manufacturing enterprise development and results primarily from China’s automobile manufacturing enterprise sales boom product system, improving product quality, technical level, independent brands develop steadily, matching system to continuously improve; summed up the self-innovation ability on the role of China’s automobile manufacturing enterprise deficiencies which industry organizations also untenable, the poor original innovation ability, high-end technology gap with foreign countries, the internationalization of lack of capacity; we analysis the "introduction, digestion, absorption, re-innovation" model we had taken in the past 20 years, which consistent with the comparative advantage and endowments.In the seventh chapter, this chapter analyzed status of enterprises independent innovation ability and innovations, constructed and mathematical models and evaluation System, objectively evaluated status of enterprises independent innovation ability by Fuzzy evaluation method.we systematically expounded China’s auto manufacturing enterprises to enhance the ability of independent innovation from improving the ability of independent innovation, improved enterprise of independent innovation system construction and external independent innovation environment building for around 33 problems, in order to promote China’s automobile manufacturing enterprise technology innovation to improve the overall level. Presents the future of China’s automobile manufacturing enterprise of independent innovation strategy, namely "introducing, digestion and absorption, and innovation and the innovation of the original indigenous innovation strategy". For General technology, you can continue to perform the import, digestion and absorption, and development of innovation strategies; for high-end technology, you must determine the original innovation for the future of independent innovation strategy.In the eighth chapter, we summarized the main conclusions this article has found; illustrated theoretical contribution of this paper to related research: through the analysis of all relevant factors, so as to form a rational logic. and its simple mathematical model namely: Quantitatively analyzed current situation of independent innovation ability; based on existing conditions, this article can also not use the real car manufacturer’s data, develeop simulation research on independent innovation ability of China automobile manufacturers, Which is a pity, I hope the opportunity to make up for the future.更多还原