【作者】 许骏；

【导师】 李建华；

【作者基本信息】 吉林大学 ， 技术经济及管理， 2010， 博士

【摘要】 “不创新,即死亡”,创新是一个永恒的话题。在经济全球化背景下,新技术革命及其带来的科学技术的重大发现、发明和广泛应用,推动了世界范围内生产方式和生活方式的深刻改变,知识的积累和创新成为实现国民财富增长和人民生活改善的关键要素。当前,综合国力的竞争已经集中到创新领域,世界各国尤其是发达国家纷纷把推动科技进步和创新作为国家战略,走以科技创新为发展之本、靠增强创新能力形成竞争优势的创新型发展之路。面对激烈的国际经济竞争环境,党中央、国务院做出了“提高自主创新能力,建设创新型国家,走中国特色自主创新道路”的最大战略决策,其目标是以增强自主创新能力为核心,推动科学技术跨越式发展,加快产业结构调整和经济增长方式的转变,实现经济社会全面协调、可持续发展。科技企业作为中国企业的中坚力量,作为最活跃的创新主体,肩负着国家自主创新能力的提升重担,其自主创新能力关系到国民经济的发展速度和人们生活水平的提高。因此,激发科技企业自主创新活力、提升其自主创新能力、充分发挥其积极作用,是建设创新型国家的基础,也是科技企业可持续发展的唯一出路。但从资料收集看,目前国内外学者对国家或区域自主创新体系的研究较多,而对科技企业这一群落如何自主创新能力的研究较少。如何提升科技企业的自主创新能力,从而使科技企业获得持续性的竞争优势,这无论在理论上还是实践中都是一个需要深入研究的问题。本文主要运用了规范与实证、定性与定量相结合的研究方法对科技企业自主创新能力提升这一问题进行了研究,研究内容大体分为四个部分:第一部分,我国科技企业自主创新综合分析。在这一部分,总结了我国自主创新的优势和不足,分析了制约科技企业自主创新的主要因素。我国自主创新的优势主要有发展迅猛、科技企业数量激增,创新产品销售收入有较大增长,研发经费投入大幅增加,科技活动人员逐年增长,科技成果显著;随后,本文以创新链为主线,按照创新活动的三个环节分析了我国自主创新的劣势。在研究与实验发展环节、主要劣势是自主研发意识不强,研发投入不足,基础研究薄弱,研发人才缺乏,创新机制不健全。在工程化开发环节,主要劣势是技术工人素质不高,生产设备不够先进,先进制造技术运用少。在商业化环节,主要劣势是科技产出不足,对GDP贡献不够,核心竞争力缺乏;自主创新的劣势制约了科技企业的发展,因此,本文总结了制约科技企业自主创新内外部因素,即企业家精神、智力资本、资源整合、创新氛围、关系网络和行业协会。科技企业缺乏企业家精神会影响创新动力,缺乏智力资本积累会影响创新基础,缺乏有效的资源整合会影响创新条件,缺乏和谐的创新氛围会影响创新保障,缺乏健全的关系网络及行业协会会影响创新的外界支持,这些因素将严重制约科技企业的持续发展,制约我国从“世界工厂”向“创新型国家”转变。第二部分,提出科技企业自主创新能力提升的机理模型和理论假设。在相关理论分析的基础上,提出将企业家精神、智力资本、资源整合、创新氛围、关系网络以及行业协会这些制约因素设为自变量,将自主创新能力定义为自主研发能力、生产制造能力、市场营销能力,即构成了因变量,如此就构成了科技企业自主创新能力提升的机理模型,本文从定性的角度对机理模型进行了理论假设,阐述了科技企业自主创新能力的产生过程。第三部分,运用结构方程进行实证分析,验证模型。首先,对因变量、自变量进行了测度,提出了可操作的测度指标;其次设计调查问卷、通过深度访问和预调研修正问卷,在此基础上开展了大规模调研,并回收了258份有效问卷,在对统计数据进行信度、效度分析及相关性分析的基础上,建立了初始的结构方程(SEM)模型,并进一步修改模型,得到了有价值的研究结论(如图6.2所示);最后运用回归分析方法进一步分析了以上制约因素对自主创新能力的影响力大小,发现企业家精神和智力资本对科技企业自主创新能力的影响最大,由此可知,提升科技企业自主创新能力的关键是激发人的创造力、促进人的全面发展,这是科技企业充满发展活力的重要前提。第四部分,提出提升科技企业自主创新能力的五步途径。第一步,做好提升科技企业自主创新能力的战略选择。即坚持企业为创新主体的发展战略、以人为本的人才发展战略、坚持科学技术优先发展战略、坚持合作创新战略、坚持集中优势重点突破的战略、坚持不同阶段采取不同的主导战略、坚持知识产权保护战略;第二步,给出提升科技企业自主创新能力的基本措施。即培育企业家精神、发挥企业家精神的积极作用,坚持智力资本的积累、发挥智力资本的积极作用,坚持不断的资源整合、发挥资源整合的积极作用,营造和谐的创新氛围、发挥创新氛围的积极作用,建立健全关系网络、发挥关系网络的积极作用,促进行业协会发展、发挥行业协会的积极作用;第三步,提升科技企业的自主研发能力。即切实制定自主研发规划、精心选择研发方向、合理设定自主研发目标、科学选择自主研发途径、构建多层面的自主研发体系并加强自主研发的组织与实施;第四步,提升科技企业的生产制造能力。即采取柔性制造技术,重视生产工艺的改进,优化工人结构,严格质量检测、完善质量管理体系;第五步,提升科技企业的市场营销能力。即实施品牌营销提升产品价值能力,科学4PS营销提升市场销售能力,不断营销创新提升持续营销能力。通过这五步,帮助科技企业从各个层面、各个环节全面提升其自主创新能力,实现跨越式发展。本文的贡献在于,补充、丰富了现有的自主创新研究内容,并为科技企业实施自主创新战略带来了更多启示、提供了更有价值的参考,同时为政策层面作出相关决策提供了理论依据。更多还原

【Abstract】 "Without innovation, without process." Innovation, to some extent, is an everlasting topic. Under the circumstances of economic globalization, the important discoveries, inventions and their extensive use widely spreading out in science and technology,which are brought about by new technological revolution, profoundly changed the worldwide productivity, the mode of production and lifestyle. The accumulation of knowledge, as well as innovation, has become the key elements of increasing the national wealth and improving the people’s lives. Currently, competition in overall national strength has been concentrated on innovation. All the countries, especially developed countries have taken scientific and technological progress and innovation as a national strategy which insist on taking scientific and technological innovation as the basis of development and relying on the ability of innovation to keep the competitive strength. Under the environment of fierce competition of international economy and technology, the CPC Central Committee and State Council made the biggest strategic decisions of "increasing capability of independent innovation, building an innovative country and a road of independent innovation with Chinese characteristics," The goal is to enhance the capability of independent innovation, to promote science and technology by leaps and bounds, speed up industrial restructuring and the change of economic growth pattern, and to realize the Coordinate Sustainable Development of the society.Working as the backbone of Chinese enterprises and innovation entity as well, tech-companies take the burden of upgrading the country’s independent innovation capability. The upgrading of their independent innovation capability concerns with the growth rate of the national economy and people’s living standards. Therefore, it is the only way, for those tech-companies, to effectively stimulate their independent innovation vitality, fully play the role of independent innovation, which is the basis of constructing an innovative country. But from the data collection and analysis, the current study of Chinese and foreign scholars concentrate on national or local independent-innovation system, and less study on the independent innovation capacity of tech-companies. Consequently, how to enhance tech-companies’independent innovation ability, and to enable companies to obtain sustainable competitive advantage, is really an issue deserving our attention. This paper takes advantage of criterion and demonstration, being equipped with quality-quantity analysis method to analyze the tech-companies independent innovation capacity. On the whole, this paper is composed by the following four parts.The first part concerns with the integrated analysis of our tech-companies’independent innovation. In this part, it summarizes its advantages and disadvantages of our country’s independent innovation, and analyzes the elements restricting it as well. The advantages of our country’s independent innovation exhibits as following: developing fast, rising in the number of tech- companies, increasing in the income from innovating products, investing in research and development, mounting up in the number of tech-staff, being conspicuous in tech-achievements. Then, this paper gives priority to independent innovation and analyzes the disadvantages of independent innovation according to its three segments. From the perspective of research and experiment, its disadvantages lie in the weakness in awareness of independent innovation, shortage of investment, being weak in basic research, lack of research staff and morbidity in innovating system. As for the project developing, its disadvantages lie in the technician’s low quality, manufacturing facility’s draggling, and deficiency in utilizing manufacturing technology. As far as commercializing is concerned, its disadvantage is scientific and technical products’shortage, less contribution to GDP and weakness in key competition. All of those disadvantages restrict the scientific and tech-companies’development. Consequently, this paper summarizes the internal and external elements restricting scientific and tech-companies’development, that is entrepreneurship, intelligence capital, resource integration, innovating circumstance, relative network and industrial committee. The shortage of entrepreneurship in scientific and tech-companies will have an effect on innovating drive; the shortage of accumulation in intelligence capital will influence innovating basis; the shortage of valid resource integration will affect innovating conditions; the shortage of harmonious innovating circumstance will result in innovating guarantee; the shortage of wholesome relative network and industrial committee will have an effect on the external support. All of those elements will restrict sustainable development of scientific and tech-companies seriously, the transformation from world factory to innovating country.The second part puts forward the mechanism and theoretical hypothesis of tech- companies’improvement of independent innovation capacity. Based on the analysis of related theory, we define the following restricting elements such as entrepreneurship, intelligence capital, resource integration, innovation circumstance, related network and industrial committee as independent variables, then we define independent innovation capacity as researching and developing capacity, producing capacity and marketing capacity, which compose the dependent variables, therefore we put forward the mechanism of tech- companies’independent innovation capacity. This paper composes a theoretical hypothesis to mechanism from the qualitative perspective, illustrating the generating procedure of scientific and tech-companies’independent innovation.The third part testifies this model by making the use of structural equation. Firstly, we put forward parable measurement indexes of the three dependent variables and six independent variables, then we design the questionnaire and modify it by interviewing further and pre-investigation, based on which an investigation in a large scale is carried out and 258 valid questionnaires are called back; in addition, On the foundation of analysis of data validity, reliability and relativity, the original structural equation model is set up. With the further modification, a valuable researching conclusion is obtained (see chart 6.2). Finally, the influence of the six restrictive factors mentioned above on independent innovation capacity is analyzed further by making use of regress analysis method, finding that entrepreneurial spirit and intellectual capital influence the enterprise independent innovation capacity at most. Consequently, the key point to promote enterprise independent innovation capacity is to stimulate human’s creativity, advance human’s all-around development, which is the pre-condition for the tech-companies with developing vigor.The fourth part brings forward five steps for the promotion of enterprise independent innovation capacity. The first step is about the strategic option in promoting enterprise independent innovation capacity. That is, to insist on people-oriented human resource development strategy, the development strategy of enterprise as the main innovative principle part, the development strategy of the priority of science and technology, the Intellectual property protection of cooperative creation, the development strategy of advantages emphasized breakthrough, the different strategy according to different developing stages and the strategy of intellectual property protection; The second step is to put forward fundamental measures aiming at promoting enterprise independent innovation capacity. That is, to cultivate the entrepreneurial spirit, exerting the positive effects of the entrepreneurial spirit; insist on the accumulation of intellectual capital, exerting the positive effects of intellectual capital; insist on the continuous resource integration, exerting the positive effects of resource integration; to build a harmonious innovation atmosphere, exerting the positive effects of innovation atmosphere; to build a well-developed relation network, exerting the positive effects of relation network; to promote the development of industry association, exerting the positive effects of industry association. The third step is to promote tech-companies’independent research and development ability. That is, to program independent research and development scientifically; choose a good research and development direction cautiously; set a goal for independent research and development reasonably; to choose an approach for independent research and development scientifically; to compose multi-level independent research and development system and enhance its organization and execution as well. The forth step is to promote tech-companies’manufacturing ability. That is, to adopt a flexible manufacturing technique, emphasizing the improvement of producing craft, optimizing the workers’organization, being strict with the quality checking, perfecting the quality management system; The fifth step is to promote tech-companies’marketing ability. That is to implement brand marketing to promote the values of products, implementing 4PS marketing to promote marketing ability, insisting on innovative marketing to promote continuous marketing ability. Through the above five steps, it can help tech- companies improve their independent innovative capacity from every aspect and every link, and therefore realizes great-leap-forward development.To sum up, the contribution of this paper lies in complementing and enriching the present independent innovation research contents, and bringing a lot of enlightenment on how to carry out tech-companies independent innovation, providing more valuable reference as well as theoretical grounds for making relative decision from the layer of policy.更多还原