重大技术装备制造型企业技术整合的架构与机理研究
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摘要
装备制造业是国民经济的支柱产业,其中重大技术装备制造业(SignificantTechnological Equipment Manufacturing,简称STEM)的规模占到了装备制造业的三分之一。STEM还是我国技术创新的中坚力量,该类企业的新产品销售占主营业务收入比重远远大于其他行业。STEM在保障国家安全、解决就业等方面具有综合效应,它们是高新技术产业和信息化产业发展的基础;是国家经济安全和军事安全的重要保障;是解决我国劳动就业的重要途径。我国STEM企业当前所面临的最主要问题是:对国外技术高度依赖,市场竞争能力不强,以及国外企业的技术封锁。我国的STEM企业的发展确实到了生死存亡的关键时期。正是基于这样的大背景,本研究提出了针对STEM企业的研究选题。
基于这样的选题背景,本研究对相关的理论进行了回顾与归纳。首先,对知识整合的概念及演进、知识整合的要素、知识整合途径、知识整合的框架等进行了细致的文献梳理。其次,借鉴了复杂产品系统(CoPS)的相关理论,对CoPS理论的框架进行了梳理,对比分析了STEM企业与CoPS的相似性和差异性,总结出了STEM企业的基本特征。最后,本文对技术整合的理论进行了分析,包括技术整合与知识整合的关系、技术整合的概念及演进、技术整合的研究对象、技术整合的研究视角、技术整合的过程与途径等。
本研究认为我国STEM企业要提高自主创新能力。当前最主要的任务是实现对各种来源、各种类型的技术资源的有效整合;否则,利用高成本换来的国外技术会落入重复引进重复落后的死循环;同时,由于不能充分发挥国内的各类研发技术资源,会导致这些资源的逐步枯竭。基于此,本研究提出了我国STEM企业技术整合的研究命题。
本研究先后对浙江、上海、四川和陕西等地区的数十家STEM企业进行了访谈和问卷调研,共搜集到了19个技术整合项目的数据资料,首先,运用数据包络分析软件DEA Frontier对技术整合的效率进行了分析;其次,利用MATLABR2007对技术甄选进行神经网络模型的构建研究,得出技术甄选的预测支撑系统;再次,利用Ucinet6软件对企业技术体系所构成的网络结构进行分析,实现对企业技术的测度;最后,利用Repast软件对STEM企业技术重构进行了复杂系统的建模与仿真研究。
基于以上理论研究和实证分析,本文得出以下主要结论:①构建出了一个系统的、完善的技术整合理论框架体系;②总结出了技术甄选的影响要素,对影响要素的层次与技术甄选的关系进行了说明,从而构建出一个清晰的技术甄选影响要素的分析模型;③利用DEA的分析方法对技术整合的效率进行了一种多投入和多产出的评价研究;④利用神经网络的分析方法进行技术甄选的预测研究,构建了技术甄选的预测模型;⑤通过实际案例的分析,提炼出了“并行式”、“广播式”和“邮局式”的三种技术转移模式,并对各种模式的应用环境和条件进行了分析;⑥利用复杂系统的理论和思想构造出STEM企业技术重构的理论模型,并使用复杂系统工具来仿真和验证。
相对于技术整合领域的现有研究成果而言,本研究的创新和发展主要体现在以下四个方面:
(1)构建了技术整合的系统性理论架构。目前对于技术整合的理论研究在架构方面缺失比较严重。本研究通过对现有技术整理论的分析和归纳,利用企业实地调研的数据构建了STEM企业的技术整合理论架构。该研究必将对整个技术整合理论体系的完善和发展提供极大的促进作用。
(2)本研究所构建的技术甄选预测模型,不但具有理论创新性,也具有很强的实践意义。该预测模型构建了进行技术整合的要素分析框架,该框架完善了技术整合的要素分析的相关理论,可以指导企业分析技术整合与要素相关的问题。同时,利用已经训练好的神经网模型,可以很大程度上对企业的技术战略决策做出支撑。
(3)提出了三种具有代表性的STEM企业技术转移模式。本研究构建一个技术转移分析的理论维度,并以这些维度为基准去建立一个技术整合的模式划分模型。通过对经典案例的分析,提炼出三种具有普适性和鲜明特点的技术转移模式。这种对于技术转移模式的总结和提炼,无论是对于技术转移理论还是技术整合理论的研究都有一定的创新性。
(4)基于复杂系统视角,构建了技术重构的仿真模型。参照STEM企业技术重构的实际情况,本研究进行了理论抽象并构建出技术重构的理论模型。通过对模型关键参数的调整,不断加深对于该技术重构模型总体特征把握和局部细节的认识。该模型对技术重构的理论完善有较大的促进作用,对STEM企业的管理实践具有较大的借鉴意义。
Nowadays, with the equipment manufacturing becoming a cornerstone industry, the significant technological equipment manufacturing (STEM) have accounted for one-third of equipment manufacturing. STEM is also the main force to innovate because the ratio of sales revenue of new products in main business is very bigger than other industries. STEM has the comprehensive effects in ensuring the security of nation and solving the problems of unemployment cause STEM is the basis for development of hi-technical industries and IT industry, and is the important guarantee for economy's development and military security, and is the main way to solving the unemployment. The main problems which Chinese STEM companies have been confronted with are the high dependents for foreigner companies in technologies, the low competitive capability in market, and the blockade on techniques of the international companies. It is the crucial period for Chinese STEM companies. Under this background, this research chooses the STEM as the studying objective.
Focusing on the STEM, this research has reviewed and concluded the theories before. At first, through studying the literatures of knowledge integration (KM), this paper studied the conception, evolution, factors, paths and frameworks of KM. Secondly, borrowing the CoPS' theories, this research compared the STEM and the CoPS to conclude the basic characters and hackle the framework of CoPS theories. At last, the theories of technology integration (TI) have been analyzed which include the relationship between KI and TI, concept, evolutions, objectives and paths of TI.
This research believes that the main important task for Chinese STEM is to integrate the all kinds of technical resources effectively. Otherwise, the technology from abroad with high cost will enter the endless loop of import and lagging. And if the domestic technical resources will not be used sufficiently, the resources will be become more and more exhausted. So this paper takes the technology integration of STEM as the question to study.
Through the survey in Zhejiang, Shanghai, Sichuan and Shannxi, 19 TI projects of STEM companies have been gotten. With these materials: (a) the analysis for the TI efficiency has been done with the DEA Frontier software; (b) the foresight model about the technical selection has been setup with the MATLAB R2007 software; (c) the measurement of STEM technology has been achieved with the Ucinet 6 software; (d) the technical rebuild model has been created and imitated with the Repast software.
After the theoretical study and the empirical analysis, the main results have been concluded as follows: (a) a systemic and perfect theoretical framework of TI has been made; (b) a clear and reasonable factors analysis model has been summarized; (c) with DEA method, the multi-input and multi-output evaluation of efficiency of TI has been studied; (d) with the neural network method, the foresight model of technical selection has been made; (e) from the case analysis, three modes of technical transfer are concluded which include 'parallel mode', 'broadcasting mode', and 'postal mode'; (f) using the complex system theories, a technical rebuild model has been made, and the model has been simulated and verified with the Repast software.
Compared with the existing achievements in TI area, the innovations and the developments of this study are embodied in four aspects as follows:
(1). from an absolute new angle of view, this study setups a theoretical framework of TI. The present studies about TI have a very big lack on the framework of TI. By analyzing the existing achievements, and using the empirical survey, this study setup and perfect the theoretical framework of STEM'S TI which will have a very good effect to improve the theories' development.
(2). the foresight model of technical selection which has been created by this study, has both the theoretical and practical values. In this foresight model, there is a factors analysis framework which could make the relative theories consummate, and could instruct the enterprise to solve the factors problems in TI. At the same time, the foresight model which has been trained well could be a good support to the technical strategic decision.
(3). there are three modes of technical transfer which have been proposed in this study. From the theoretical analysis, some dimensions to analyze the technology transfer are created which could be used to setup a model to distinguish the different technical transfer modes. Three universal and distinctive modes are abstracted from the cases. The new modes have innovations in both technical transfer and TI areas.
(4). based on the complex system theory, an imitating model of technical rebuild has been created. Referring to the actual situation of STEM companies and the existing theories, a theoretical model of technical rebuild has been created. By adjusting the parameters of this model, the total characters and some details of this model have become more and more clear and familiar. This model could accelerate the theoretical development of the technical rebuild, and could be very useful to instruct the practice of the companies of STEM.
基于这样的选题背景,本研究对相关的理论进行了回顾与归纳。首先,对知识整合的概念及演进、知识整合的要素、知识整合途径、知识整合的框架等进行了细致的文献梳理。其次,借鉴了复杂产品系统(CoPS)的相关理论,对CoPS理论的框架进行了梳理,对比分析了STEM企业与CoPS的相似性和差异性,总结出了STEM企业的基本特征。最后,本文对技术整合的理论进行了分析,包括技术整合与知识整合的关系、技术整合的概念及演进、技术整合的研究对象、技术整合的研究视角、技术整合的过程与途径等。
本研究认为我国STEM企业要提高自主创新能力。当前最主要的任务是实现对各种来源、各种类型的技术资源的有效整合;否则,利用高成本换来的国外技术会落入重复引进重复落后的死循环;同时,由于不能充分发挥国内的各类研发技术资源,会导致这些资源的逐步枯竭。基于此,本研究提出了我国STEM企业技术整合的研究命题。
本研究先后对浙江、上海、四川和陕西等地区的数十家STEM企业进行了访谈和问卷调研,共搜集到了19个技术整合项目的数据资料,首先,运用数据包络分析软件DEA Frontier对技术整合的效率进行了分析;其次,利用MATLABR2007对技术甄选进行神经网络模型的构建研究,得出技术甄选的预测支撑系统;再次,利用Ucinet6软件对企业技术体系所构成的网络结构进行分析,实现对企业技术的测度;最后,利用Repast软件对STEM企业技术重构进行了复杂系统的建模与仿真研究。
基于以上理论研究和实证分析,本文得出以下主要结论:①构建出了一个系统的、完善的技术整合理论框架体系;②总结出了技术甄选的影响要素,对影响要素的层次与技术甄选的关系进行了说明,从而构建出一个清晰的技术甄选影响要素的分析模型;③利用DEA的分析方法对技术整合的效率进行了一种多投入和多产出的评价研究;④利用神经网络的分析方法进行技术甄选的预测研究,构建了技术甄选的预测模型;⑤通过实际案例的分析,提炼出了“并行式”、“广播式”和“邮局式”的三种技术转移模式,并对各种模式的应用环境和条件进行了分析;⑥利用复杂系统的理论和思想构造出STEM企业技术重构的理论模型,并使用复杂系统工具来仿真和验证。
相对于技术整合领域的现有研究成果而言,本研究的创新和发展主要体现在以下四个方面:
(1)构建了技术整合的系统性理论架构。目前对于技术整合的理论研究在架构方面缺失比较严重。本研究通过对现有技术整理论的分析和归纳,利用企业实地调研的数据构建了STEM企业的技术整合理论架构。该研究必将对整个技术整合理论体系的完善和发展提供极大的促进作用。
(2)本研究所构建的技术甄选预测模型,不但具有理论创新性,也具有很强的实践意义。该预测模型构建了进行技术整合的要素分析框架,该框架完善了技术整合的要素分析的相关理论,可以指导企业分析技术整合与要素相关的问题。同时,利用已经训练好的神经网模型,可以很大程度上对企业的技术战略决策做出支撑。
(3)提出了三种具有代表性的STEM企业技术转移模式。本研究构建一个技术转移分析的理论维度,并以这些维度为基准去建立一个技术整合的模式划分模型。通过对经典案例的分析,提炼出三种具有普适性和鲜明特点的技术转移模式。这种对于技术转移模式的总结和提炼,无论是对于技术转移理论还是技术整合理论的研究都有一定的创新性。
(4)基于复杂系统视角,构建了技术重构的仿真模型。参照STEM企业技术重构的实际情况,本研究进行了理论抽象并构建出技术重构的理论模型。通过对模型关键参数的调整,不断加深对于该技术重构模型总体特征把握和局部细节的认识。该模型对技术重构的理论完善有较大的促进作用,对STEM企业的管理实践具有较大的借鉴意义。
Nowadays, with the equipment manufacturing becoming a cornerstone industry, the significant technological equipment manufacturing (STEM) have accounted for one-third of equipment manufacturing. STEM is also the main force to innovate because the ratio of sales revenue of new products in main business is very bigger than other industries. STEM has the comprehensive effects in ensuring the security of nation and solving the problems of unemployment cause STEM is the basis for development of hi-technical industries and IT industry, and is the important guarantee for economy's development and military security, and is the main way to solving the unemployment. The main problems which Chinese STEM companies have been confronted with are the high dependents for foreigner companies in technologies, the low competitive capability in market, and the blockade on techniques of the international companies. It is the crucial period for Chinese STEM companies. Under this background, this research chooses the STEM as the studying objective.
Focusing on the STEM, this research has reviewed and concluded the theories before. At first, through studying the literatures of knowledge integration (KM), this paper studied the conception, evolution, factors, paths and frameworks of KM. Secondly, borrowing the CoPS' theories, this research compared the STEM and the CoPS to conclude the basic characters and hackle the framework of CoPS theories. At last, the theories of technology integration (TI) have been analyzed which include the relationship between KI and TI, concept, evolutions, objectives and paths of TI.
This research believes that the main important task for Chinese STEM is to integrate the all kinds of technical resources effectively. Otherwise, the technology from abroad with high cost will enter the endless loop of import and lagging. And if the domestic technical resources will not be used sufficiently, the resources will be become more and more exhausted. So this paper takes the technology integration of STEM as the question to study.
Through the survey in Zhejiang, Shanghai, Sichuan and Shannxi, 19 TI projects of STEM companies have been gotten. With these materials: (a) the analysis for the TI efficiency has been done with the DEA Frontier software; (b) the foresight model about the technical selection has been setup with the MATLAB R2007 software; (c) the measurement of STEM technology has been achieved with the Ucinet 6 software; (d) the technical rebuild model has been created and imitated with the Repast software.
After the theoretical study and the empirical analysis, the main results have been concluded as follows: (a) a systemic and perfect theoretical framework of TI has been made; (b) a clear and reasonable factors analysis model has been summarized; (c) with DEA method, the multi-input and multi-output evaluation of efficiency of TI has been studied; (d) with the neural network method, the foresight model of technical selection has been made; (e) from the case analysis, three modes of technical transfer are concluded which include 'parallel mode', 'broadcasting mode', and 'postal mode'; (f) using the complex system theories, a technical rebuild model has been made, and the model has been simulated and verified with the Repast software.
Compared with the existing achievements in TI area, the innovations and the developments of this study are embodied in four aspects as follows:
(1). from an absolute new angle of view, this study setups a theoretical framework of TI. The present studies about TI have a very big lack on the framework of TI. By analyzing the existing achievements, and using the empirical survey, this study setup and perfect the theoretical framework of STEM'S TI which will have a very good effect to improve the theories' development.
(2). the foresight model of technical selection which has been created by this study, has both the theoretical and practical values. In this foresight model, there is a factors analysis framework which could make the relative theories consummate, and could instruct the enterprise to solve the factors problems in TI. At the same time, the foresight model which has been trained well could be a good support to the technical strategic decision.
(3). there are three modes of technical transfer which have been proposed in this study. From the theoretical analysis, some dimensions to analyze the technology transfer are created which could be used to setup a model to distinguish the different technical transfer modes. Three universal and distinctive modes are abstracted from the cases. The new modes have innovations in both technical transfer and TI areas.
(4). based on the complex system theory, an imitating model of technical rebuild has been created. Referring to the actual situation of STEM companies and the existing theories, a theoretical model of technical rebuild has been created. By adjusting the parameters of this model, the total characters and some details of this model have become more and more clear and familiar. This model could accelerate the theoretical development of the technical rebuild, and could be very useful to instruct the practice of the companies of STEM.
引文
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