复杂系统环境下中国企业合作创新系统研究
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摘要
企业创新能力是中国经济可持续增长决定性因素，也是衡量综合国力的重要指标。中国在世界产业链分工中处于低端产业价值链，缺乏高科技附加值和自主知识产权。因此，中国企业整体创新能力偏低，成为制约中国经济未来发展的重要瓶颈，这是中国“十二五”规划中经济发展中的一项重大课题。在系统分析了国内外合作创新理论、创新系统理论和知识管理系统理论的研究现状及发展趋势的基础上，本文主要针对中国具体国情，从中国企业追求高效率、低成本、高收益的需求上，指出中国企业选择合作创新发展战略是一种理性的博弈策略选择。跨越传统企业固定的组织模式疆域，运用复杂系统思维方法，在复杂系统环境下建构以企业为创新主体的开放式合作创新系统是本论文的研究主题。
从中国企业创新能力的现状描述与成因分析作为研究合作创新必要性的逻辑起点，针对中国企业创新能力存在的问题，通过计量分析，揭示了R&D投入等因素与企业专利申请量之间的内在关系。以中国工业36个行业以及31个省区的大中型企业的科技统计数据为蓝本，运用聚类分析和因子分析等方法，定量研究了中国工业行业和地区大中型企业创新能力的差异和成因。同时运用创新累加贡献率分布的理论模型进行了比较研究，找出影响自主创新效能诸因素中的主因子——投入-产出因子、主体-基础因子和产权因子，试图为对策研究提供理论依据，为后续研究奠定了客观基础。
以企业生产成本、产量和创新效益等变量作为研究对象，对企业提升自主创新能力和创新效率选择不同创新策略，运用博弈分析方法，建构了双寡头企业的古诺模型、寡占企业的斯塔克伯格模型、风险上策均衡策略模型、产学研合作创新的博弈模型、产业链上的企业之间的合作创新博弈模型等。以及典型案例分析，这些企业同行业、跨行业和产业链上的企业选择不同的最优合作创新模式战略，揭示了合作创新的可能性，为建构合作创新系统提供了学理基础。
从自主创新主体人的本性出发，提出“合作人”假设；从社会经济发展的历史演变趋势，探讨知识社会选择合作创新策略的深层原因和中国现阶段经济社会发展选择合作创新策略的可行性，得出建构合作创新系统的重要性和必要性。本文基于复杂系统理论尝试性建构以企业为创新主体的合作创新复杂系统模型，该系统满足耗散结构的基本特征，分析了合作创新系统有序演化的基本条件与可行性的路径，阐述了合作创新系统状态的量化基本判别标准，提出了知识管理熵的概念；对合作创新系统的运行机制和知识溢出效应的复杂模式进行比较研究，从理论上建构了合作创新系统的整体分析框架。
从如何实现合作创新系统有效运行并获得最优绩效出发，一是研究合作创新系统内部的知识管理问题。从静态分析了各种知识管理要素的内在结构，建立了科学配置模型。从动态分析了知识管理中知识转移、合作创新文化、组织和分配制度的运行机制，提出了企业合作创新中知识管理系统的总体结构设计和整体理论架构模型。针对知识管理系统中的关键问题，研究了企业合作创新文化系统、组织结构和合作创新系统中财务管理的利润分配与风险预警系统。二是研究如何从市场背景下，营造良好的合作创新系统的外部环境。为适应市场、开拓和创造新市场，提出了“空穴理论”，针对企业合作创新项目确定选择方向。依据政府在合作创新中的特殊地位和作用，提出了政府在合作创新中的经济政策选择与对策。
Enterprise innovation ability is the determinant of Chinese economic sustainablegrowth,as well as an important index to measure comprehensive nationstrength.China is at the lower end of the industry value chain among the worldindustry value chain's division of labor,laking high tech added value andindependent intellectual property rights.Therefore,that the ability of Chineseenterprise innovation being on the low side,become a key bottleneck restrictingChinese economic development in the future.This is a major economic developingtopic of The Twelfth Five Year Plan.On the basis of system analyzing research statusand development trend of domestic and international cooperation and innovationtheory,innovation system theory and knowledge management system theory,thispaper mainly for specific conditions of China,from Chinese enterprise's demandingthe pursuit of high efficiency,low cost,high profit,come to the conclusion that it is arational Game Playing strategy choice that the Chinese enterprise select CooperationInnovation Develop Strategy.This paper studies the theme that striding across fixedorganization mode of traditional enterprise,using Complex System Thinkingmethod,creating an open type Cooperation Innovation System with enterprise as theinnovation main body under the environment of complex system.
This paper analyzes the research status and development trend of innovationtheory﹑cooperation innovation system theory and knowledge management systemtheory which are as the logic starting point for searching the China's enterprisesindependent innovation ability status and causes, and studies the existing problems inChina's industrial, which are based on36industry technology statistical data usingthe clustering analysis and factor analysis method to simplify、typify complicatedfactors. This paper studies the difference and causes of large and medium-sizedenterprises' independent innovation ability using the theory of accumulationcontribution distribution model from the quantitative—analysis perspective, and thentry to find the internal distribution regularity and the main factor for influencing theeffectiveness of independent innovation, which provide theoretical parameter.
Based on the enterprise production cost, production and innovative benefits suchvariables as the research object which should be chose in different enterprisesinnovation strategy to promote the ability of independent innovation and innovationefficiency, the paper dose a economic game analysis, and construct the economicprincipal-agent model and duopoly ancient model, the oligopolistic enterprises, stark's model, the strategy equilibrium model, the risk of resources industry themanagement innovation of enterprise internal game model, the game model ofcooperative innovation on the chain, the game model of cooperation innovationbetween enterprises and so on. The game analysis results show that the enterpriseinterior, industry, trade and industry chain enterprises choosing different cooperativeinnovation is the optimal strategy model for constructing cooperative innovationsystem, and provide scientific basis.
In this paper, the "cooperation person "assumption is brought forward, theadvancement and deep reasons of choosing cooperation innovation strategies arediscussed, operation mechanism and the knowledge spillover effects of the complexmode are selectively studied, and then finally concluded that constructing cooperativeinnovation system is important and necessary. Based on the theory of complex system,the paper attempt to construct a complicatedly cooperative innovation system modelthat must meet the basic conditions of dissipative structure, analyze the basicconditions of orderly evolution in the cooperative innovation system, and then putsforward the concept of knowledge management entropy, sets forth the basicquantitative criterions of system status and the basic feasible path for orderlyevolution. The paper elaborates the barriers of knowledge transfer mechanism andknowledge sharing followed by constructing the space structure model of knowledgesystem, innovative partner cooperation relationship with the function of humanresources agency institution scientific configuration model and analyzing therelationship between the ability of human knowledge and the structure types, bringsforward the whole structural design and theoretical framework mode of knowledgemanagement system in the enterprise cooperative innovation. For the key problem ofknowledge management system, the paper investigates the cultural system、 profitdistribution and risk early-warning system of financial management in the process ofenterprises cooperative innovation, and put forward the basic scheme which is alsonamed for implementing enterprise cooperative innovation strategy of industrialchain, that is the "hole" theory and the corresponding countermeasures when theenterprise choice the different innovation programs. Finally, according to thegovernment in the position and role of the cooperative innovation system, the paperputs forward the government's economic policy and countermeasures in thecooperative innovation choice.
从中国企业创新能力的现状描述与成因分析作为研究合作创新必要性的逻辑起点，针对中国企业创新能力存在的问题，通过计量分析，揭示了R&D投入等因素与企业专利申请量之间的内在关系。以中国工业36个行业以及31个省区的大中型企业的科技统计数据为蓝本，运用聚类分析和因子分析等方法，定量研究了中国工业行业和地区大中型企业创新能力的差异和成因。同时运用创新累加贡献率分布的理论模型进行了比较研究，找出影响自主创新效能诸因素中的主因子——投入-产出因子、主体-基础因子和产权因子，试图为对策研究提供理论依据，为后续研究奠定了客观基础。
以企业生产成本、产量和创新效益等变量作为研究对象，对企业提升自主创新能力和创新效率选择不同创新策略，运用博弈分析方法，建构了双寡头企业的古诺模型、寡占企业的斯塔克伯格模型、风险上策均衡策略模型、产学研合作创新的博弈模型、产业链上的企业之间的合作创新博弈模型等。以及典型案例分析，这些企业同行业、跨行业和产业链上的企业选择不同的最优合作创新模式战略，揭示了合作创新的可能性，为建构合作创新系统提供了学理基础。
从自主创新主体人的本性出发，提出“合作人”假设；从社会经济发展的历史演变趋势，探讨知识社会选择合作创新策略的深层原因和中国现阶段经济社会发展选择合作创新策略的可行性，得出建构合作创新系统的重要性和必要性。本文基于复杂系统理论尝试性建构以企业为创新主体的合作创新复杂系统模型，该系统满足耗散结构的基本特征，分析了合作创新系统有序演化的基本条件与可行性的路径，阐述了合作创新系统状态的量化基本判别标准，提出了知识管理熵的概念；对合作创新系统的运行机制和知识溢出效应的复杂模式进行比较研究，从理论上建构了合作创新系统的整体分析框架。
从如何实现合作创新系统有效运行并获得最优绩效出发，一是研究合作创新系统内部的知识管理问题。从静态分析了各种知识管理要素的内在结构，建立了科学配置模型。从动态分析了知识管理中知识转移、合作创新文化、组织和分配制度的运行机制，提出了企业合作创新中知识管理系统的总体结构设计和整体理论架构模型。针对知识管理系统中的关键问题，研究了企业合作创新文化系统、组织结构和合作创新系统中财务管理的利润分配与风险预警系统。二是研究如何从市场背景下，营造良好的合作创新系统的外部环境。为适应市场、开拓和创造新市场，提出了“空穴理论”，针对企业合作创新项目确定选择方向。依据政府在合作创新中的特殊地位和作用，提出了政府在合作创新中的经济政策选择与对策。
Enterprise innovation ability is the determinant of Chinese economic sustainablegrowth,as well as an important index to measure comprehensive nationstrength.China is at the lower end of the industry value chain among the worldindustry value chain's division of labor,laking high tech added value andindependent intellectual property rights.Therefore,that the ability of Chineseenterprise innovation being on the low side,become a key bottleneck restrictingChinese economic development in the future.This is a major economic developingtopic of The Twelfth Five Year Plan.On the basis of system analyzing research statusand development trend of domestic and international cooperation and innovationtheory,innovation system theory and knowledge management system theory,thispaper mainly for specific conditions of China,from Chinese enterprise's demandingthe pursuit of high efficiency,low cost,high profit,come to the conclusion that it is arational Game Playing strategy choice that the Chinese enterprise select CooperationInnovation Develop Strategy.This paper studies the theme that striding across fixedorganization mode of traditional enterprise,using Complex System Thinkingmethod,creating an open type Cooperation Innovation System with enterprise as theinnovation main body under the environment of complex system.
This paper analyzes the research status and development trend of innovationtheory﹑cooperation innovation system theory and knowledge management systemtheory which are as the logic starting point for searching the China's enterprisesindependent innovation ability status and causes, and studies the existing problems inChina's industrial, which are based on36industry technology statistical data usingthe clustering analysis and factor analysis method to simplify、typify complicatedfactors. This paper studies the difference and causes of large and medium-sizedenterprises' independent innovation ability using the theory of accumulationcontribution distribution model from the quantitative—analysis perspective, and thentry to find the internal distribution regularity and the main factor for influencing theeffectiveness of independent innovation, which provide theoretical parameter.
Based on the enterprise production cost, production and innovative benefits suchvariables as the research object which should be chose in different enterprisesinnovation strategy to promote the ability of independent innovation and innovationefficiency, the paper dose a economic game analysis, and construct the economicprincipal-agent model and duopoly ancient model, the oligopolistic enterprises, stark's model, the strategy equilibrium model, the risk of resources industry themanagement innovation of enterprise internal game model, the game model ofcooperative innovation on the chain, the game model of cooperation innovationbetween enterprises and so on. The game analysis results show that the enterpriseinterior, industry, trade and industry chain enterprises choosing different cooperativeinnovation is the optimal strategy model for constructing cooperative innovationsystem, and provide scientific basis.
In this paper, the "cooperation person "assumption is brought forward, theadvancement and deep reasons of choosing cooperation innovation strategies arediscussed, operation mechanism and the knowledge spillover effects of the complexmode are selectively studied, and then finally concluded that constructing cooperativeinnovation system is important and necessary. Based on the theory of complex system,the paper attempt to construct a complicatedly cooperative innovation system modelthat must meet the basic conditions of dissipative structure, analyze the basicconditions of orderly evolution in the cooperative innovation system, and then putsforward the concept of knowledge management entropy, sets forth the basicquantitative criterions of system status and the basic feasible path for orderlyevolution. The paper elaborates the barriers of knowledge transfer mechanism andknowledge sharing followed by constructing the space structure model of knowledgesystem, innovative partner cooperation relationship with the function of humanresources agency institution scientific configuration model and analyzing therelationship between the ability of human knowledge and the structure types, bringsforward the whole structural design and theoretical framework mode of knowledgemanagement system in the enterprise cooperative innovation. For the key problem ofknowledge management system, the paper investigates the cultural system、 profitdistribution and risk early-warning system of financial management in the process ofenterprises cooperative innovation, and put forward the basic scheme which is alsonamed for implementing enterprise cooperative innovation strategy of industrialchain, that is the "hole" theory and the corresponding countermeasures when theenterprise choice the different innovation programs. Finally, according to thegovernment in the position and role of the cooperative innovation system, the paperputs forward the government's economic policy and countermeasures in thecooperative innovation choice.
引文
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