【作者】 刘亚军；

【导师】 和金生；

【作者基本信息】 天津大学 ， 企业管理， 2010， 博士

【副题名】基于制造业的研究

【摘要】 中国正面临从生产大国向生产强国转型的压力,转型成功的关键是国家技术能力的整体提高。技术能力发展具有自身的规律性,忽视这一性质将导致技术创新的盲目性和低效率。本研究抓住技术创新的知识本质,以知识的类生物生长规律为依据,以智力资本、吸收能力和创新文化为前因变量,旨在探索如何有效提升企业的技术创新绩效,并以技术后发企业为具体研究对象探讨如何实施技术追赶战略。本研究的创新之处有三点,第一,综合仿生学、管理学与统计学方法对所选课题进行研究,在研究方法上有所创新。第二,首次将创新文化、智力资本和吸收能力综合起来作为前因考察其对技术创新绩效的影响,并发现三者是一个有机整体,对企业技术创新绩效的差异具有较强的解释力。第三,首次从智力资本、吸收能力的角度对后发企业的技术追赶战略选择进行了全面分析,给出了各个阶段的战略建议及具体操作措施,对现有的技术追赶理论进行了有益的补充。研究发现,智力资本在技术创新中起到基础和支撑作用,智力资本中的人力资本和关系资本能直接有效地提升技术创新绩效,而结构资本对技术创新绩效的影响具有两面性,其正面作用是有助于提升知识管理水平和学习效率,从而提高技术创新绩效;负面作用则是容易造成组织僵化和组织惯性,不利于组织的革新。技术创新活动的核心环节是技术学习,而吸收能力在此过程中起到关键作用。吸收能力分为潜吸收能力(知识识别与获取)和实现吸收能力(知识消化与利用),潜在吸收能力是实现吸收能力的前提。实现吸收能力对技术创新绩效有直接的促进作用,而潜在吸收能力则需通过实现吸收能力对技术创新绩效发挥间接影响。吸收能力又受到智力资本的影响。人力资本和关系资本对潜在吸收能力和实现吸收能力均有直接的促进作用。结构资本对实现吸收能力具有直接的促进作用,但对潜在吸收能力的作用不显著。创新文化对技术创新有积极的影响。企业良好的创新文化能放大智力资本对实现吸收能力和技术创新绩效的影响,也能放大潜在吸收能力对技术创新绩效的影响。技术后发企业在技术追赶的初始阶段一般应采取模仿创新战略,以降低学习成本、提高学习效率。吸收能力是模仿战略成功实施的关键因素,吸收能力建设的侧重点是实现吸收能力,即知识的消化和利用。智力资本建设的侧重点是人力资本和结构资本。更多还原

【Abstract】 China is facing the great pressure of the transformation from a large manufacture country to a great power nowadays, during which the key point to success is the integrated enhancement of the national technological capacity, of which the development has its inherent laws that cannot be neglected, otherwise it would lead to the blindness or inefficiency of the innovation behavior for technological improvement.Under the perspective of the essential of technological innovation—knowledge and based on the biological developing law of knowledge, this research set up to explore the effective measures for promoting the technological innovation performance (TIP)and the technological catch-up strategy for backward enterprises taking intellectual capital, absorptive capacity and innovative culture as antecedent variables.The innovation points of the dissertation are mainly indicated on three aspects as follows: first, the innovation on research methods that synthesized bionics, management and statistics; second, for the first time it integrated innovative culture, intellectual capital and absorptive capacity into an organic whole as the antecedent variables to review their influence on TIP, and finds out that it has great explanatory power over the difference of TIP among enterprises; third, for the first time it generally analyzed the technological catch-up strategy for backward enterprises under the perspective of intellectual capital and absorptive capacity and then presents the strategic advices and concrete operative measures for different phases of enterprises which is a beneficial complement to the present technological catch-up theory. The research finds out that the intellectual capital is the basis and support factor in technological innovation, among which human capital and relation capital would promote TIP directly and efficiently while the influence of structure capital is a double-edged sword. On one hand, structure capital may promote knowledge management and learning efficiency which can enhance the TIP; on the other hand, it may also lead to organizational inertia and rigidity that hinders organizational innovation.Absorptive capacity, consisting of the latent absorptive capacity (LAC, identification and obtaining of knowledge) and real absorptive capacity (RAC, digesting and utilizing of knowledge) between which the latter is premised on the former, is totally important in technological learning which is the core activity in technological innovation. RAC has a direct and positive influence on TIP while LAC’s influence on TIP is indirect which is achieved through RAC. Absorptive capacity is influenced by intellectual capital among which human capital and relation capital have direct and positive effect on both LAC and RAC while structure capital has direct and positive influence on RAC but shows no significant effect on LAC. Innovative culture has a positive effect on technological innovation which is manifested by its magnification of the influence of intellectual capital on RAC and TIP and the LAC on TIP as well.Generally speaking, the technologically backward enterprises should follow the imitation innovation strategy in technological catching-up stage in order to reduce the cost and promote efficiency of learning. The absorptive capacity of which the emphasis is RAC, i.e. the digesting and utilizing of knowledge, is critical in the success of imitation strategy. And the construction of intellectual capital emphasizes on human capital and structure capital.更多还原