【作者】 周大铭；

【导师】 孙冰；

【作者基本信息】 哈尔滨工程大学 ， 管理科学与工程， 2012， 博士

【摘要】 近些年，伴随着科学技术的日新月异和知识经济的强烈冲击，企业技术创新生态系统已然成为企业间合作共赢的成功范式。许多国际知名企业都成功的构建了企业技术创新生态系统，以此为基础，在激烈的竞争中迅速的发展壮大，并难以超越。而目前，我国的一部分企业虽然已经意识到构建企业技术创新生态系统的意义和必要性，但苦于国内没有成功的经验和理论基础，只能在摸索中前行。与此同时，一些国外的跨国企业带着成功的范式和雄厚的资本，在我国快速地构建起适应当地环境的企业技术创新生态系统，这无疑对我国本土工业是一个巨大的冲击。在此背景下，本文探究了核心企业主导的企业技术创新生态系统的结构和运行规律，并详细论证了以下内容：本文通过企业技术创新生态系统与自然生态系统的比较分析，界定了企业技术创新生态系统的概念和特征。根据自然生态系统的结构理论，结合企业技术创新的实际情况以及目前学术界对系统结构的相关研究成果，本文将企业技术创新生态系统结构分为三个层次，分别是核心企业层、技术研发与产品应用层、创新生境与创新平台层。并在此基础上完成了企业技术创新生态系统的构建。此外，论述了企业技术创新生态系统的功能，指明了能量流动、物质循环和信息传递在系统中的重要作用。在企业技术创新生态系统运行过程研究方面，本文从系统的形成、运行和演化三个层面对系统运行进行了广义范围的探讨。首先，从核心企业的形成、创新生态位的形成和创新平台的形成等角度分析了企业技术创新生态系统形成过程。其次，在明辨系统运行环境与影响因素的基础上，通过能量流动和物质循环两个方面对企业技术创新生态系统的运行过程进行详细地解析。其中，创新能量的产生和流动离不开信息的传递和辅助作用；物质循环的四种类型有其各自的特点和循环方式。再次，区分了企业技术创新生态系统演化与自然生态系统进化的区别，并在此基础上通过遗传、变异和选择三个方面介绍了企业技术创新生态系统的演化过程。最后，探析了系统运行与形成、演化之间的关系。在企业技术创新生态系统运行相关机制研究方面，本文综合已有的系统运行机制研究成果，提出了企业技术创新生态系统的五大运行机制，分别是：供给机制、技术扩散机制、共生机制、创新生态位决策机制和利益分配机制。详细分析了这五种机制下的动力机制、资源供给机制、知识共享机制、信息流动机制、竞合机制、信任机制、创新生态位相对关系、创新生态位决策过程、利益分配原则和协同成本最小化等相关内容。在企业技术创新生态系统运行管理研究方面，本文在明确了系统运行管理主体的前提下，对合作伙伴选择和风险管理进行了充分地研究。基于核心企业在选择合作伙伴过程中的主导地位，本文主要从核心企业的视角分析了合作伙伴的选择动机、选择依据和选择过程。鉴于在选择过程中能力评价的重要性，论文在遵循既定原则的前提下，构建了包含六个层面、14项底层指标的企业技术创新能力评价指标体系。在风险管理方面，论文首先界定了企业技术创新生态系统的风险概念。然后，依据系统运行的特点将风险进行了分类，包括企业融合风险、机会主义风险、核心资源流失风险、外部环境风险、创新单元风险。最后，在理清风险管理程序的基础上，构建了风险评价模型。最后，论文选取JDJ企业技术创新生态系统进行案例研究和实证分析。通过对JDJ公司的基本情况介绍，分析了该企业技术创新生态系统的构成和系统运行的动力机制、资源供给机制、信任机制和协调机制。随后，通过实地调研和问卷调查的方式收集数据，对JDJ企业技术创新生态系统合作伙伴的技术创新能力和运行风险进行评价，并依据评价结果从企业和政府两个方面提出了保障企业技术创新生态系统运行的对策建议。更多还原

【Abstract】 With the quick change of science and technology and the strong impact from knowledgeeconomic, in these years, firms’ technological innovation ecosystem has become a successfulparadigm of win-win cooperation. Many famous international firms have constructed thefirms’ technological innovation ecosystem, which triggers those firms to develop rapidly inthe fierce competition and be difficult to surpass. At present, some of our country’s firms haverealized the importance and necessity of constructing the firms’ technological innovationecosystem, but they could only move on with exploration due to the lack of firms’ successfulexperiences and theoretical basis. Meanwhile, some foreign transnational firms, withsuccessful paradigm and strong capital, quickly build up technological innovation ecosystemthat adapt to the local environment, which undoubtedly forms a gigantic shock towardsChina’s domestic industries. In regard to this, this paper discusses the structure and operatingprinciple in the firms’ technological innovation ecosystem dominated by core firms, anddemonstrates the following contents in details:From the comparative analysis of firms’ technological innovation system and naturalecosystem, this paper defines the concept and characteristics of firms’ technologicalinnovation ecosystem. In accordance with the theories of natural ecosystem’s structure, withactual situation of firms’ technological innovation relevant researches on system structure,this paper divides the firms’ technological innovation ecosystem into three parts, respectivelynamed core firms layer, R&D and products application layer and the layer of innovationhabitat and innovation platform, in regard to which the construction of firms’ technologicalinnovation ecosystem is completed. In addition, the function of firms’ technologicalinnovation ecosystem is discussed, and the importance of energy flow, material cycle andinformation transmission in the system is indicated.In the operating process studies of firms’ technological innovation ecosystem, this paperhas a generalized range of discussion in the formation, operation and evolution of the system.First, the formation process of firms’ technological innovation system is analyzed from theperspectives of core firms’ formation, innovation niches’ formation and innovation platform’sformation. Second, on the basis of discussing operation environment and influencing factors in the system, the operation process of firms’ technological innovation ecosystem is analyzedin details from two aspects, energy flow and material cycle, which are highly reliable oninformation’s transmission and assistance, and the four kinds of material cycle have theirindividual characteristics and cycling methods. Third, the evolutionary distinction betweennatural ecosystem and firms’ technological innovation ecosystem is discussed to introduce theevolution process of the firms’ technological innovation ecosystem from the views of genetic,variation and natural selection. Finally, the relationship among system’s operation, formationand evolution is explained.As to the relevant mechanisms study on firms’ technological innovation ecosystem, thispaper put forward five operation mechanisms of firms’ technological innovation ecosystem,based on existing researches on system operation mechanisms, named supply mechanism,innovation diffusion mechanism, commensalism mechanism, innovation niches decisionmechanism, and benefit allocation mechanism. Relevant researches are analyzed in details inaccordance with the five mechanisms, such as dynamic mechanism, resource supplymechanism, knowledge share mechanism, information flow mechanism, competition andcooperation mechanism, trust mechanism, comparative relation of innovation niches,innovation niches decision process, benefit allocation principle and cost synergetic minimum.When it comes to the operation management in firms’ technological innovationecosystem, this paper makes a full research on choosing partners and risk management, takingidentifying management entities as the research premise. Based on the dominating status thatcore firms play in choosing partners, this paper discusses the motive, accordance and processof choosing partners from the perspective of core firms. In regard to the importance of abilityassessing in the choosing process, this paper follows the set principles and constructs an indexsystem of firms’ technological innovation ability, consisted with6layers and14bottomindexes. In management risks, this paper first defines the concept of risks in firms’technological innovation ecosystem, and then in accordance with the characteristics insystems’ operating, a classification on risks is proposed, which includes business integrationrisk, opportunistic risk, core resources loss risk, external environment risk and innovationcomponent risk. At last, a risk-assessing model is built based on organizing the procedure ofmanaging risks. At last, this paper chooses JDJ to be a case study and empirical analysis of firms’technological innovation ecosystem. On the basis of introduction of JDJ, dynamic mechanism,resource supply mechanism, trust mechanism and coordination mechanism is analyzed insystem’s construction and operation of this firm’s technological innovation ecosystem. Then,this paper uses investigation and questionnaires to collect data, evaluates the technologicalinnovation ability and operation risks of partners in JDJ’s technological innovation ecosystem,and gives suggestions on ensuring the operation of firms’ technological innovation ecosystemfrom perspectives of firms and governments, according to the evaluating results.更多还原