【作者】 安亚娜；

【导师】 李柏洲；

【作者基本信息】 哈尔滨工程大学 ， 管理科学与工程， 2013， 博士

【摘要】 在目前激烈的市场竞争环境下，技术创新已经被看作是企业获得并保持竞争优势的一个关键因素。尤其是我国的大型企业面对来自国内外市场的严峻的竞争压力，而其技术创新现状也存在着R&D投入不足、缺乏技术创新的动力、企业管理体制不健全和缺乏有效的技术创新模式等问题，导致了我国大型企业的技术能力和创新模式落后于发达国家的大型企业。因此，对于我国的大型企业来说，如何利用现有资源选择合理的技术创新模式以提高技术创新能力，增强企业自身的竞争力就成为了目前亟待解决的问题。正是在这一大背景下，本论文对我国大型企业的技术创新模式选择进行了研究。首先，本论文介绍了应用于我国大型企业技术创新活动的四种主要技术创新模式，包括自主创新模式、外部创新模式、合作创新模式和孵化器创新模式。并分别对这四种技术创新模式的涵义和优劣势进行了分析，为我国大型企业科学合理的选择适合自身实际情况的技术创新模式提供了理论基础。其次，本论文研究了企业规模对企业技术创新模式选择的影响机理。先基于本文的研究目的，在已有相关研究及企业具体实践基础上，提出假设；然后，设计问卷并进行调查分析，在此基础上，运用SEM理论构建了企业规模、技术能力与技术创新模式间的结构模型，对前述假设进行实证检验，论证企业规模、技术能力与技术创新模式选择间的关系对企业绩效产生的影响。研究结果显示，企业规模对技术能力和技术创新模式选择都有显著的正向促进作用，技术能力对技术创新模式的选择也有显著正向作用，随着企业规模的扩大和技术能力的提升，企业的技术创新模式的选择路径将沿着孵化器创新模式（外部创新模式）→合作创新模式→自主创新模式的方向演化。再次，本论文运用博弈分析法，从内部吸收能力和外部创新风险两个角度分析了大型企业创新模式的选择问题。先通过构建基于企业内部吸收能力的三阶段博弈模型，着重分析了吸收能力、研发投资与创新模式选择之间的关系。然后通过基于外部创新风险的寡头企业技术创新模式选择的博弈模型，分析了寡头企业在创新风险、技术创新能力这两个因素的影响下，企业如何在自主创新、外部创新和合作创新模式中做出最佳选择，并提出了企业技术创新模式选择的决策矩阵。结果表明，当企业的技术创新能力的强弱不同时，面对创新风险将作出不同的技术创新模式的选择。最后，论文从内部吸收能力和外部创新风险两方面着手分析了我国大型企业技术创新模式选择的内外部影响因素。并在此基础上，构建了我国大型企业技术创新模式选择的评价指标体系，选取了大庆油田有限责任公司进行了实例分析。更进一步，在分析我国大型企业内外部环境的基础上，提出了切实可行的我国大型企业技术创新模式选择的对策。主要包括完善我国大型企业技术创新环境建设，建立良好的技术创新实施环境，加快我国大型企业技术创新制度建设和完善我国大型企业的融资市场。与此同时，还要加速政府对我国大型企业技术创新活动的推动进程。主要体现在完善技术创新法律法规、加强知识产权保护力度、健全技术创新管理体制。从我国大型企业内部来说，要完善企业内部管理体制，主要体现在加大企业投入力度、建立健全企业技术创新激励体制、加强企业信息化建设和培养引进高技术人才。更多还原

【Abstract】 Under the fierce market competition environment, technological innovation has beenregarded as a key factor to gain and keep competitive advantage. However, facing heavycompetition pressure from national and international market, lacking enough investment inR&D, lacking motivation for technological innovation, deficient management system andlacking effective technological innovation mode have become existed problems in presenttechnological innovation in Chinese large enterprises, which led to backward technogicalinnovation ability and technological innovation mode compring with large enterprises indeveloped countries. Therefore, how to choose proper technological innovation modeaccording to existing resources in order to improve technological innovation ability andcompetitiveness has urgent probmes.Based on the above situation, choices of technological innovation mode have beenresearched in this dissertation.Firstly, four technological innovation modes including independent innovation mode,external innovation mode, incubator innovation mode, and cooperation innovation mode havebeen analyzed. In the process of the above analysis, connotations, strenths, and weaknesses ofthe above four technological innovation modes have also been illustrated, which will supplytheorical support for Chinese large enterprises to choose appropriated technologicalinnovation mode baed on the realistic condition.Secondly, influence mechanisms of choices on technological innovation mode from theaspect of enterprises’ scale have been researched. According to our research purpose, relatedtheories, and specific practice in enterprises, a series of research hypothesis have been built.Then, the above research hypotheses have been tested empirically by desining questionnaireand analyzing investigation based on SEM theories. Consequently, it is proved thatrelationship among enterprises’ scale, technological ability, and choices of technologicalinnovation mode affected enterprises’ performance. Moreover, hypotheses of structural pathand elementary path about relationship among enterprises’ scale, technological innovationability, and technological innovation mode have been expressed. Based on the aboveexpression, structural model related to enterprises’ scale, technological innovation ability, andchoices of technological innovation mode has been built and path relationship among essential factors in the model has been tested. The findings show that enterprises’ scale canimprove technological innovation ability and choices of technological innovation modepositively and distinctly. As the expansion of enterprises’ scale and the promotion oftechnological ability, the path of technological innovation mode choice will evolute fromincubator innovation mode (external innovation mode), cooperation innovation mode toindependent innovation mode.Thirdly, game theory analysis has been inplmented to analyze problems of technologicalinnovation mode choices from the aspect of on internal absorptive capacity and externalinnovation risk. Consequently, three stages model of game based on internal absorptivecapacity in our lage enterprises have been built, which focused on the relationship amongabsorptive capacity, R&D investment, and innovation mode choices. Furthermore, accordingto buiding game model of technological innovation mode choices in oligarch enterprises, itwill help enterprises choose the proper technological innovation mode choices amongindependent innovation mode, external innovation mode, and cooperation innovation modeuder the impact from innovation risk and technological ability. Simultaneously, relationshipamong technological ability, independent innovation mode, and cooperation innovation modehas been analyzed by building game model under cooperation innovation and uncooperationinnovation, and then decision matrix has been put forward. It shows that differenttechnological innovation mode choices will be made according to the strength or weakness oftechnological ability based on innovation risk.Finally, internal and external factors affecting technological innovation mode choices inChinese large enterprises have been analyzed from the aspect of internal absorptive capacityand external innovation risk. Based on the above analysis, evaluation indexes system relatedto technological innovation mode choices of our large enterprises has been established. AlsoDaqing Oilfield Company Ltd. has been chosen to do example analysis. Moreover, accordingto the analysis on the internal and external environment of our large enterprises, some realisticimplementation strategies have been put forward, which includes improving the constructionof technological innovation environment in our large enterprises, building betterimplementation environment for technological innovation, accelerating technologicalinnovation regime construction, and improving financing market for our large enterprises. Atthe same time, government has to improve the process of technological innovation, which can be seen in improving the laws and regulations of technological innovation, strengthen theforce of protecting intellectual property and strength the management system of technologicalinnovation. From internal aspect, internal management syatem should be improved, whichincludes enhancing input, building and improving motivation system of technologicalinnovation, strengthening enterprises’ information construction, cultivating and introducinghigh technology talents.更多还原