【作者】 王志伟；

【导师】 张子刚；

【作者基本信息】 华中科技大学 ， 工商管理， 2008， 博士

【摘要】 技术创新正在成为企业参与竞争并在竞争中获得优势方面发挥显著贡献的因素。由于行业特性的不同,在不同的行业之间,技术创新的模式呈现出不同的特征和路径。其中,在冶金、采矿、机械等具有某些共性特征的行业中,基于我国资源和技术基础的特性,“引进—吸收—创新”模式成为我国制造业技术创新的常见模式。以我国铝业氧化铝生产工艺的持续创新历程来看,基于吸收能力的改进式创新,是技术引进和自主创新相结合的重要方式,是在合理处置自主创新与技术引进的关系后,我们所提出的一个更为合适我国国情的创新样式。本研究试图通过把握技术引进和自主创新的界限和特性,以及企业技术创新行为与过程的特点及其管理缺失的问题,构建一个基于吸收能力的我国铝业企业技术创新治理框架,并通过实证来分析解释和说明我们看到的铝业企业技术创新的成功实例,以便为我国“引进—吸收—改进”式的技术创新问题提供指导,为企业引进技术和实现技术的超越领先提供启发性建议。论文回顾了吸收能力研究的理论基础,对吸收能力的分析模式、测量指标进行了介绍;归纳了典型的创新类型以及技术创新的行为与过程;对吸收能力在技术创新中的地位、吸收能力对企业创新绩效的预测作用以及吸收能力与技术创新的实证研究进行了归纳。对Cohen&Levinthal及Zahra & George的吸收能力理论观点进行了对比和整合,并提出了一个四维度的吸收能力分析框架,构建了以吸收能力为核心,包含权威执行力,组织间合作以及制度保障等关键影响因素的改进式创新分析模式,对各因素之间的关系提出了假设。用实证研究和案例研究相结合的研究方法。对相关铝行业企业的访谈设计调查问卷,经问卷测试、发放问卷、收集数据,对相关变量进行度量和分析。在内容上将从研究样本及指标选择、变量及其指标选择、信度、效度分析及统计分析方法及程序等方面对实证研究方法进行阐述。对相关数据和变量的信度和效度进行分析,对概念模型进行了多元线性回归分析,并采用结构方程模型的方法,确认了权威执行力、组织间合作、制度保障对吸收能力的影响及其之间的相互作用。对中国铝业公司河南分公司技术创新实例的简介和分析,进一步说明本文研究的实践性和实用性。研究结果显示,基于吸收能力的改进式创新是适合我国铝行业实情的技术创新模式。权威执行力、组织间合作、制度保障作为影响我国铝行业企业技术创新实情的要素,相互作用进而影响企业技术吸收能力的高低,决定了技术引进和自主创新的绩效。更多还原

【Abstract】 Technologic innovation(TI) is becoming an important factor that contributes the chances to participate and obtain advantages in competition to enterprises.Between the different industrys,the characteristic of them is different.So TI’s model obtains the different path and symbol.Particularly,among certain industry owned common properity, e.g.metallurgy industry,mine exploration industry and mechanics industry,based on the ordinary properity of our country’s material resource and technology basement, "Input-Absorption-Innovation" is the usual model of the manufacture industry’TI. Review the experiment of the oxygen-alumnium manufacture procedure on our country’aluminium industry,the improved innovation based on absorptive capacity(AC) is the significant way that refers both technology input and indepent innovation.This improved innovation based on absorptive capacity(AC) disposes properly the relationship between technology input and indepent innovation,and is applicable for the reality of our country’ industry.First of all,our study clarity the characteristic and properity of technology input and indepent innovation,the behavior and prcess of TI and the absent of TI management.And then we propose a government framework of enterprise technology innovation based on absorptive capacity.Finally,we analyst, intercept and instruct the success of our state-own enterprise’TI sample.From this study,we hope to instruct our state-own enterprise how to solve the problem embedded in the model of "Input-Absorption-Innovation" and enlight the way that our state-own enterprise exceed the advanced foreign competitor.The paper reviews the basic theory of AC and introduces the analysis model and measure indicator.On the other hand,this part summarizes the typical innovation style,the behavior and process of TI.The theorical summary also includes the position of AC in the TI’process,the forecast—AC on the performance of TI and the empirical study between AC and TI performance.Compares and integrates the concept of AC origined from cohen & Levinthal and Zahra & George.This part propose the five-demension analyst framework and the improved innovation model that includes a conception core—AC and certain significant factors--the authority execution,co-operation between organization and regulation of institution.Finally,this part come out to several hypothesises on those facters above.Adopt the empirical study and sample analyst.The main tools are the questionnaire and the interview.We obtain the information from the analysis of the questionnaire feedback.According with the data origined from the questionnaire,we measure and analyst the referred variable.The routine of the empirical study includes the selection of the sample and the referred indicator,the selection of the variable and the referred indicator,the analyst of the data’s validity & reliability and the method of statistics.Based on the outcome of the data and variable’s validity & reliability.The main method includes the multi-agent linear statistical regression analyst and structural equition modeling(SEM).From our analyst,we confirm that the authority execution, co-operation between organization and regulation of institution affect mainly the level of AC.At the same time,they affect each other.Introduces and analysts the sample of the Henan Branch of China GreatWall Aluminium Corp..Foremore,this part illustrate that our study is practice.Chapter summarize our whole study and forecast the future study on the referred domain.Our study result shows that the improved innovation based on AC is uniformed with our state-owned manufacture industry’TI.The authority execution,co-operation between organization and regulation of institution are the important factors which affect TI.The reciprocal effection among three factors above adopts deeply the level of AC.So they decide the TI performance.更多还原