我国装备制造业技术创新模式研究
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摘要
08年爆发的全球金融危机倒逼着我国经济增长模式和产业结构的转型,“工欲善其事,必先利其器”,产业升级也即意味着我国装备制造业振兴和崛起的机遇。作为制造业基础和创新载体的装备制造业,其技术创新能力的建立是我国经济从投资导向发展到创新导向阶段的重要基础。以美国、德国、日本为代表的发达国家,其经济发展、国际地位的崛起无一不是以装备制造业的发展作为其发展前提。因此,这也是选择装备制造业技术创新作为本论文主题的意义所在。
改革开放三十多年来我国经济保持快速增长的势头,但是在一定程度上是依靠资金、劳动力和自然资源等生产要素的粗放投入实现的。我国装备产业国家竞争优势演进路径恰恰是中国经济增长方式的具体体现。目前我国在装备子行业竞争力较强的行业,往往是并非高精尖的机械装备行业,譬如造船、铁路车辆、集装箱、工程机械,这些大多归属运输设备的范畴；而我国所需的精密数控机床、高档轻工设备、高端冶金化工能源设备等大多依赖进口设备。未来我国工业化深化的内涵体现为装备工业由初级层次向纵深发展、由追求数量的投资驱动粗放式增长到以技术创新为核心的产业升级。
根据国内外学者的观点总结和我国经济发展的内在特征,傅家骥(1998)指出企业技术创新包括推出新的产品、新的生产(工艺)方法、开辟新的市场、获得新的原材料或半成品供给来源或建立企业的新的组织,技术创新是包括科技、组织、商业和金融等一系列活动的综合过程。技术创新不仅仅包括企业产品和工艺的创新,还包括了相应的管理、组织、市场等方面的成功创新。大量研究表明,许多技术创新项目不成功的一个重要原因,就是产品创新缺乏与市场、组织、制度、文化、战略等软技术因素方面的协同匹配。而当企业在产品、管理、市场、制度等多维度的创新同时出现时,就产生了商业模式的创新,这在成熟阶段的创新中大量出现。
尽管经济生活中创新很重要,但是在学术研究方面,过去在很长一段时间内创新一直未得到主流的经济学家的重视。传统上,经济学主要研究创新资源配置及其经济效果,而创新究竟是如何发生的这一过程本身一直被视为难以捉摸的“黑匣子”。尽管经过了大量对创新的研究,但了解得更多的是创新能带来什么,对它为什么发生、如何发生了解甚少。而如果刺激创新以及创新的模式这一问题对于我国这样的新兴工业化国家和追赶特征的经济体却极为重要。技术创新课题具有较强的实践特征,企业是技术创新的主体,因此,笔者通过调研了上百家各具代表性的装备制造企业,访问了大量的行业专家,获取我国装备企业技术创新实践的第一手资料；以此为基础,本文将研究视角聚焦于我国装备制造企业的技术创新模式、装备子行业层面的技术创新比较分析、以及装备企业技术创新绩效的因素分析,从而为研究我国装备制造业创新方向、产业支持政策提供深度的视角。
本文共分为六章,其中第一章为绪论,第二章到第六章是本文的主体部分。
第一章是绪论,介绍本文的研究背景、目的、方法、内容和主要创新点,以及相关文献的综述,重点介绍了技术创新的概念、技术创新模型、创新系统理论以及装备制造业技术创新的主要研究成果。
第二章回顾了技术创新在全球工业化过程各个主要阶段的发展特征,梳理了我国以及主要发达国家在全球创新竞争中的地位；并揭示了在本轮全球金融危机的背景下,我国装备产业所面临的历史性机遇。应当积极抓住全球经济格局调整、技术经济范式更迭的历史性机遇,实现我国装备制造业和整个经济发展的“后来居上”。
第三章介绍了装备制造业的范畴和产业发展特征,我国装备制造企业技术创新能力方面,仍存在工艺装备水平低、产品结构集中在中低端、机械基础件和核心零部件制造能力差、重大装备项目的成套设备系统集成与工程技术能力薄弱等方面的问题。本章进一步从微观企业的角度出发,精选了低压电器、机床、专用设备、大型成套装备的优秀企业技术创新案例进行研究,从而归纳出我国装备制造业内处于上下游产业链不同位置的企业技术创新模式和未来创新方向。未来我国投资拉动带来的装备市场增长空间有限,装备制造业未来将逐步面临着成长的“天花板”。提供完整的产品线,创新资源集成化,各个创新行为主体协同化,技术、组织制度与组织文化创造性整合,构造一体化解决方案,是装备制造业技术创新的根本途径。
第四章回顾了我国装备制造行业竞争优势的演进过程,归纳出了我国装备制造产业竞争优势的演进路径是我国工业化发展进程和经济增长方式的具体体现；本章还从中观层面出发,从创新成效的差异、产业的劳动资本密集程度的差异角度,精选了我国装备制造不同子行业进行比较研究。从产业角度,本章对于我国重点装备子行业--机床行业、工程机械行业的技术创新特征进行多维度比较分析；从空间角度,本章分析了我国机床工具产业集群、船舶产业集群的案例,尝试探讨我国产业集群创新动力机制、产业结构升级的方式方法。
第五章以我国装备类上市公司群体为样本,进行了我国装备制造业创新绩效的因素分析。通过在装备企业的创新投入—创新产出—创新绩效之间建立起联系,构建多函数结构方程模型,从而进一步我国装备企业技术创新过程的黑箱。结构方程模型回归结果验证了我国装备企业研发投入带来了新产品较高定价能力、工艺效率的提升,最终对于劳动生产率具有显著正向影响,企业的现金流状况、人均固定资产投入、人力资源结构、企业固定资产和运营资产的周转能力、外部需求推动对于企业劳动生产率也具有显著影响。
第六章为我国装备制造产业发展政策建议。综合本论文对于我国装备制造业技术创新模式和产业竞争优势的分析,以及技术创新绩效的因素分析结果,提出振兴我国装备制造产业和提升技术创新能力的政策建议,包括政府积极促进经济转型、扶持新兴产业、培育具有系统集成能力的装备龙头企业、优化装备制造和下游用户的协同创新机制、鼓励装备产业集群、扶持民营中小企业和先进制造服务业的发展、完善人才和资金要素市场机制。
本文主要有以下创新点：
1、本论文综合了经济学、管理学、技术创新理论、装备制造技术及工程理论等等,从多学科、多领域的视角探讨我国装备制造的产业竞争特征、技术创新机制和未来发展趋势。
2、技术创新课题具有较强的实践特征,企业是技术创新的主体,为此笔者调研了上百家各具代表性的装备制造企业,访问了大量的行业专家,通过获取技术创新实践的第一手资料,为研究我国装备制造业创新方向提供深度的视角。
3、本文理论研究中,从微观和中观的层面,采用分析与归纳、系统分析与比较分析相结合的方法,打开我国装备制造业技术创新过程的“黑匣子”。通过研究我国装备制造行业竞争优势建立、技术创新模式、技术创新绩效,从而为如何引导产业创新和提升创新绩效提供思路。
4、实证分析方面,构建多函数结构方程模型,把创新过程分解成“创新投入-创新产出—创新绩效”,以我国装备制造类上市公司群体为对象,对于我国装备制造业创新绩效的影响因素进行实证分析。
5、对推动我国装备制造业技术创新能力提出政策建议。
The global financial crisis of2008forced the transformation of China's economic growth mode and the industry structure. Industrial upgrading in China also means that the revitalization of the equipment manufacturing industry and the rise of opportunities. As the innovation vector of every industry of the country, the manufacturing industry has to build its technical innovation ability, which is an important foundation for our economy to grow from investment-driven stage to innovation-driven stage. In the United States, Germany and Japan, the economic development and rising international status is based on the equipment manufacturing industry development as the premise. Therefore, it is of significant value to choose the equipment manufacturing industry technological innovation as the theme of the dissertation.
During the past30years since the economic reform, China's economy has maintained rapid growth momentum, but to some extent, is to rely heavily on extensive inputs of production factors such as capital, labor and natural resources. The evolution of the competitive advantage of China's equipment industry is a concrete manifestation of the mode of economic growth in China. The highly competitive equipment sub-sectors of China, such as shipbuilding, railway vehicles, containers, construction machinery, are generally not sophisticated machinery and equipment industries, and these sectors mostly belong to the transportation equipment category. Meanwhile, the precision CNC, high-grade light industry equipment, and high-end metallurgy chemical energy equipment, are heavily dependent on imports. Deepening of China's industrialization means the industrial upgrading and technological innovation of the equipment industry.
According to the summary of the view of the domestic and foreign scholars and intrinsic characteristics of China's economic development, Fu Jiaji (1998) pointed out that the enterprise technology innovation includes the introduction of new products, new production (process) method, new markets, new sources of raw materials or semi-finished products, or a new organization, and technological innovation is a comprehensive process including a series of technological, organizational, commercial and financial activities. Technological innovation includes not only the product and process innovation, and also includes the management, organization, market success of innovation. A large number of studies have shown that an important reason of many unsuccessful cases of product innovation is the lack of coordination of the soft technical factors such as the marketing, organizational, institutional, cultural, strategic aspects. As the outcome of the multi-dimensional innovations including the products, management, market and institutions, an innovation of business model rises, which appears in large numbers in the mature stage of the enterprise innovation.
Innovation in economic life is very important, but it didn't get the attention of mainstream economists for a long period. Traditionally, economists pay much attention to the resource allocations and economic effects, while how the innovations exactly occur has been regarded as an elusive "black box". Despite of a large number of innovation research, we understand more about what innovation can bring, but little about why it happens, how it happens. However, to stimulate innovation and understand the innovation patters is extremely important to the emerging and less-industrialized countries. Technological innovation has a strong practical features, and enterprises are the center of technological innovation. I visited hundreds of equipment manufacturing enterprises and questioned lot of industry experts. Based on these plentiful first-hand information of innovation practices, this paper will analyze the technological innovation patterns of the equipment enterprises, compare the innovation characteristic of different sub-sectors, and perform the factor analysis of innovation performance factor analysis, so as to study the future direction of the equipment manufacturing innovation, and provide insight for the policy makers of the government.
Based on the innovation pattern analysis and factor analysis of the equipment manufacturing industry, the dissertation proposes the policy suggestion to improve the innovation capabilities. The suggested polices includes speeding up economic restructuring, developing emerging industries, supporting the leading equipment enterprises with system integration abilities, facilitating the collaborative innovation mechanism between the equipment manufacturing and downstream users, encouraging equipment industry clusters, improving improve the market mechanism of human and capital resources.
改革开放三十多年来我国经济保持快速增长的势头,但是在一定程度上是依靠资金、劳动力和自然资源等生产要素的粗放投入实现的。我国装备产业国家竞争优势演进路径恰恰是中国经济增长方式的具体体现。目前我国在装备子行业竞争力较强的行业,往往是并非高精尖的机械装备行业,譬如造船、铁路车辆、集装箱、工程机械,这些大多归属运输设备的范畴；而我国所需的精密数控机床、高档轻工设备、高端冶金化工能源设备等大多依赖进口设备。未来我国工业化深化的内涵体现为装备工业由初级层次向纵深发展、由追求数量的投资驱动粗放式增长到以技术创新为核心的产业升级。
根据国内外学者的观点总结和我国经济发展的内在特征,傅家骥(1998)指出企业技术创新包括推出新的产品、新的生产(工艺)方法、开辟新的市场、获得新的原材料或半成品供给来源或建立企业的新的组织,技术创新是包括科技、组织、商业和金融等一系列活动的综合过程。技术创新不仅仅包括企业产品和工艺的创新,还包括了相应的管理、组织、市场等方面的成功创新。大量研究表明,许多技术创新项目不成功的一个重要原因,就是产品创新缺乏与市场、组织、制度、文化、战略等软技术因素方面的协同匹配。而当企业在产品、管理、市场、制度等多维度的创新同时出现时,就产生了商业模式的创新,这在成熟阶段的创新中大量出现。
尽管经济生活中创新很重要,但是在学术研究方面,过去在很长一段时间内创新一直未得到主流的经济学家的重视。传统上,经济学主要研究创新资源配置及其经济效果,而创新究竟是如何发生的这一过程本身一直被视为难以捉摸的“黑匣子”。尽管经过了大量对创新的研究,但了解得更多的是创新能带来什么,对它为什么发生、如何发生了解甚少。而如果刺激创新以及创新的模式这一问题对于我国这样的新兴工业化国家和追赶特征的经济体却极为重要。技术创新课题具有较强的实践特征,企业是技术创新的主体,因此,笔者通过调研了上百家各具代表性的装备制造企业,访问了大量的行业专家,获取我国装备企业技术创新实践的第一手资料；以此为基础,本文将研究视角聚焦于我国装备制造企业的技术创新模式、装备子行业层面的技术创新比较分析、以及装备企业技术创新绩效的因素分析,从而为研究我国装备制造业创新方向、产业支持政策提供深度的视角。
本文共分为六章,其中第一章为绪论,第二章到第六章是本文的主体部分。
第一章是绪论,介绍本文的研究背景、目的、方法、内容和主要创新点,以及相关文献的综述,重点介绍了技术创新的概念、技术创新模型、创新系统理论以及装备制造业技术创新的主要研究成果。
第二章回顾了技术创新在全球工业化过程各个主要阶段的发展特征,梳理了我国以及主要发达国家在全球创新竞争中的地位；并揭示了在本轮全球金融危机的背景下,我国装备产业所面临的历史性机遇。应当积极抓住全球经济格局调整、技术经济范式更迭的历史性机遇,实现我国装备制造业和整个经济发展的“后来居上”。
第三章介绍了装备制造业的范畴和产业发展特征,我国装备制造企业技术创新能力方面,仍存在工艺装备水平低、产品结构集中在中低端、机械基础件和核心零部件制造能力差、重大装备项目的成套设备系统集成与工程技术能力薄弱等方面的问题。本章进一步从微观企业的角度出发,精选了低压电器、机床、专用设备、大型成套装备的优秀企业技术创新案例进行研究,从而归纳出我国装备制造业内处于上下游产业链不同位置的企业技术创新模式和未来创新方向。未来我国投资拉动带来的装备市场增长空间有限,装备制造业未来将逐步面临着成长的“天花板”。提供完整的产品线,创新资源集成化,各个创新行为主体协同化,技术、组织制度与组织文化创造性整合,构造一体化解决方案,是装备制造业技术创新的根本途径。
第四章回顾了我国装备制造行业竞争优势的演进过程,归纳出了我国装备制造产业竞争优势的演进路径是我国工业化发展进程和经济增长方式的具体体现；本章还从中观层面出发,从创新成效的差异、产业的劳动资本密集程度的差异角度,精选了我国装备制造不同子行业进行比较研究。从产业角度,本章对于我国重点装备子行业--机床行业、工程机械行业的技术创新特征进行多维度比较分析；从空间角度,本章分析了我国机床工具产业集群、船舶产业集群的案例,尝试探讨我国产业集群创新动力机制、产业结构升级的方式方法。
第五章以我国装备类上市公司群体为样本,进行了我国装备制造业创新绩效的因素分析。通过在装备企业的创新投入—创新产出—创新绩效之间建立起联系,构建多函数结构方程模型,从而进一步我国装备企业技术创新过程的黑箱。结构方程模型回归结果验证了我国装备企业研发投入带来了新产品较高定价能力、工艺效率的提升,最终对于劳动生产率具有显著正向影响,企业的现金流状况、人均固定资产投入、人力资源结构、企业固定资产和运营资产的周转能力、外部需求推动对于企业劳动生产率也具有显著影响。
第六章为我国装备制造产业发展政策建议。综合本论文对于我国装备制造业技术创新模式和产业竞争优势的分析,以及技术创新绩效的因素分析结果,提出振兴我国装备制造产业和提升技术创新能力的政策建议,包括政府积极促进经济转型、扶持新兴产业、培育具有系统集成能力的装备龙头企业、优化装备制造和下游用户的协同创新机制、鼓励装备产业集群、扶持民营中小企业和先进制造服务业的发展、完善人才和资金要素市场机制。
本文主要有以下创新点：
1、本论文综合了经济学、管理学、技术创新理论、装备制造技术及工程理论等等,从多学科、多领域的视角探讨我国装备制造的产业竞争特征、技术创新机制和未来发展趋势。
2、技术创新课题具有较强的实践特征,企业是技术创新的主体,为此笔者调研了上百家各具代表性的装备制造企业,访问了大量的行业专家,通过获取技术创新实践的第一手资料,为研究我国装备制造业创新方向提供深度的视角。
3、本文理论研究中,从微观和中观的层面,采用分析与归纳、系统分析与比较分析相结合的方法,打开我国装备制造业技术创新过程的“黑匣子”。通过研究我国装备制造行业竞争优势建立、技术创新模式、技术创新绩效,从而为如何引导产业创新和提升创新绩效提供思路。
4、实证分析方面,构建多函数结构方程模型,把创新过程分解成“创新投入-创新产出—创新绩效”,以我国装备制造类上市公司群体为对象,对于我国装备制造业创新绩效的影响因素进行实证分析。
5、对推动我国装备制造业技术创新能力提出政策建议。
The global financial crisis of2008forced the transformation of China's economic growth mode and the industry structure. Industrial upgrading in China also means that the revitalization of the equipment manufacturing industry and the rise of opportunities. As the innovation vector of every industry of the country, the manufacturing industry has to build its technical innovation ability, which is an important foundation for our economy to grow from investment-driven stage to innovation-driven stage. In the United States, Germany and Japan, the economic development and rising international status is based on the equipment manufacturing industry development as the premise. Therefore, it is of significant value to choose the equipment manufacturing industry technological innovation as the theme of the dissertation.
During the past30years since the economic reform, China's economy has maintained rapid growth momentum, but to some extent, is to rely heavily on extensive inputs of production factors such as capital, labor and natural resources. The evolution of the competitive advantage of China's equipment industry is a concrete manifestation of the mode of economic growth in China. The highly competitive equipment sub-sectors of China, such as shipbuilding, railway vehicles, containers, construction machinery, are generally not sophisticated machinery and equipment industries, and these sectors mostly belong to the transportation equipment category. Meanwhile, the precision CNC, high-grade light industry equipment, and high-end metallurgy chemical energy equipment, are heavily dependent on imports. Deepening of China's industrialization means the industrial upgrading and technological innovation of the equipment industry.
According to the summary of the view of the domestic and foreign scholars and intrinsic characteristics of China's economic development, Fu Jiaji (1998) pointed out that the enterprise technology innovation includes the introduction of new products, new production (process) method, new markets, new sources of raw materials or semi-finished products, or a new organization, and technological innovation is a comprehensive process including a series of technological, organizational, commercial and financial activities. Technological innovation includes not only the product and process innovation, and also includes the management, organization, market success of innovation. A large number of studies have shown that an important reason of many unsuccessful cases of product innovation is the lack of coordination of the soft technical factors such as the marketing, organizational, institutional, cultural, strategic aspects. As the outcome of the multi-dimensional innovations including the products, management, market and institutions, an innovation of business model rises, which appears in large numbers in the mature stage of the enterprise innovation.
Innovation in economic life is very important, but it didn't get the attention of mainstream economists for a long period. Traditionally, economists pay much attention to the resource allocations and economic effects, while how the innovations exactly occur has been regarded as an elusive "black box". Despite of a large number of innovation research, we understand more about what innovation can bring, but little about why it happens, how it happens. However, to stimulate innovation and understand the innovation patters is extremely important to the emerging and less-industrialized countries. Technological innovation has a strong practical features, and enterprises are the center of technological innovation. I visited hundreds of equipment manufacturing enterprises and questioned lot of industry experts. Based on these plentiful first-hand information of innovation practices, this paper will analyze the technological innovation patterns of the equipment enterprises, compare the innovation characteristic of different sub-sectors, and perform the factor analysis of innovation performance factor analysis, so as to study the future direction of the equipment manufacturing innovation, and provide insight for the policy makers of the government.
Based on the innovation pattern analysis and factor analysis of the equipment manufacturing industry, the dissertation proposes the policy suggestion to improve the innovation capabilities. The suggested polices includes speeding up economic restructuring, developing emerging industries, supporting the leading equipment enterprises with system integration abilities, facilitating the collaborative innovation mechanism between the equipment manufacturing and downstream users, encouraging equipment industry clusters, improving improve the market mechanism of human and capital resources.
引文
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