模块化分工条件下网络状产业链中知识创新研究
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摘要
20世纪80年代以来,随着电子、通信、计算机等信息技术的不断创新和发展,模块化(modularity)的理念和方法逐渐引入企业的生产和管理,进而成为推动产业结构调整和升级的革命性力量。模块化是与分工相联系的经济现象,随着产业链的分解和模块化重构,不同的价值模块按照一定的界面标准重新耦合,形成一种新的产业链组织方式,即称之为“网络状产业链”。与传统产业链中基于工序和工艺的分工不同,模块化分工条件下,网络状产业链内部的联系则主要是知识的关联,产业链成员之间的关系主要表现为以知识关联为核心的松散的耦合关系。这时的产业链已经可以看作是一个知识链、一个创造递增报酬,从而使企业不断发展演化的网络价值链,知识成为主要关联要素,决定产业链的本质、运行和产业发展的核心。
网络状产业链中企业之间基于知识的关联形成了新的产业链结构,其间的知识创新及其规律是目前国内外学界非常关心的前沿问题。从已有文献来看,学者们分别从模块化理论、产业链理论和知识创新理论等不同视角对模块化时代产业链中的知识创新问题进行了研究,在每一个领域都取得了丰富的成果,然而也都存在不足。模块化分工的本质是知识的分工,而分工导致产业链的变革,在模块化分工条件下,最终形成网络状产业链;网络状产业链上的成员之间的关联是基于知识的关联,因而产业链上的主要活动是围绕知识创造、转移、共享和整合的知识活动。模块化、产业链、知识创新三个理论之间在逻辑上密切相关联,然而目前的研究或着重关注其中某个角度,缺乏将三者联系起来深入研究的统一的分析框架。特别是,在网络状产业链中,知识是如何创造、转移、共享和整合的?知识创新具有怎样的过程和运行机制?这些都有待我们深入思考。厘清网络状产业链的构造和运行机制不仅是前沿的理论问题也是重要的现实问题,亟待认真研究,并以此推动中国产业的发展和实践创新。
本论文是国家自然科学基金项目“基于模块化分工条件下的网络状产业链内知识创新研究”的子项目。以模块化理论、产业链理论和知识创新理论为基础,本论文的命题旨在解决三大问题,即网络状产业链的构造及运行机制;网络状产业链中知识创新的方式和过程;以及知识创新的运行需要的平台和支撑。这三大问题从逻辑上环环相扣,层层深入,可以阐述网络状产业链中知识创新的基本问题。
以此为命题展开,本文首先从模块化分工的原理、方法和特征着手,分析从工序分工到知识分工的分工形式的演变对于产业链变革的深入影响,指出网络状产业链形成的内在动力和本质。在阐述网络状产业链的形成、特点、构造的基础上,构建演化博弈分析框架,对网络状产业链的发展演化机制进行分析。伴随着产业链的变革,知识创新嵌入产业链的发展中,创新模式亦随之演变,体现在创新过程、创新主体以及创新方式等方面。基于网络状产业链构造及其内部特有的知识创新内容和方式的分析,本文提出了网络主导式独立创新模型,揭示了模块化时代网络状产业链中的知识创新理论模型,阐述了新的产业链构造下,知识创新的方式和运行过程。网络状产业链中的知识创新同样需要相应的平台和支撑。在知识创新基本模型的基础上,本文进而研究了有利于知识创新运行的平台机制,探讨了知识创新过程中的契约机制、社会资本和激励机制。这一系列理论研究,丰富和深化了产业链理论,有助于理解模块化时代企业的创新行为。
本文将产业链理解为一个知识体,以知识基础观为重要出发点,综合运用博弈论、实证研究和交叉研究等研究方法,从知识的角度研究了产业链的运行规律。主要的创新点在于以下几个方面:
第一,提出模块化分工条件下的网络状产业链的形成与基本构造,提出基于知识的关联是网络状产业链的实质。因而,深入分析知识的运行规律就等于把握了网络状产业链的本质。论文进而揭示了知识创新和产业链变革之间的互动关系。将知识创新纳入产业链变革的大背景中,讨论在模块化时代知识创新的运行规律。
第二,基于演化博弈的分析框架,提出了网络状产业链的演化发展模型。通过模型分析,阐述了网络状产业链的演化发展阶段,并对不同演化阶段上企业的发展速度和数量规模进行了数理模型分析。
第三,提出了网络状产业链中知识创新模型——网络主导式独立创新模型,对于分析模块化时代的知识创新问题提供了理论框架。论文区分了独立创新和协同创新这两种网络状产业链中基本的创新方式,并深入分析了在系统规则的指导下,知识创新是如何在不同的模块之间进行,并进而推动产业进步与发展的。
第四,借助相关领域中的模型与方法,提出了知识创新平台的构造,运用模型分析了创新平台上的R&D协作和技术标准化联盟的运行机制;提出了基于CSI的创新支撑体系,即以知识产权交易为核心的契约机制,以信誉和信任为核心的社会资本,以及以知识创新为目标的激励机制:并运用经济学的方法揭示了知识创新支撑体系的内在机理。
In the 1980's, with the rapid innovation and development of the technology, modularity, which is regarded as the new essence of industrial structure and one kind of new organization pattern, has been received increasing attention. Modularity is the economic phenomenon related with the division of lavor.Along with the deepening division of labor, and the disintegration of industry chain, different value modules are recombined according to the surface standard. Hence, a new organization mode of industry chain was formed, which is called "the network shape industry chain". Different from the division of labor in traditional industry chain, under the modular division of labor, the inner of network shape industry chain is knowledge connected, and the relationship between different players in the industry chain is loosely coupling relationship based on knowledge connection. Here, the industry chain is regarded as a knowledge chain, or a value chain. Knowledge plays an important role in the core essence and function of industry chain. Here comes the question, in the industry chain, how does knowledge been created, transferred, shared and integrated? What is the functional mechanism of knowledge innovation? These are not only theory frontier but also the important realistic questions, which urgently need to be further studied.
Based on the theories of modularity, industry chain, and knowledge innovation, the purpose of this paper is to slove three major questions, which are, what is the network shape industry chain and what its charactor? In the network shape industry chain, how does knowledge innovation take place? What kinds of platform and sustention system are required to smooth the function of knowledge innovation? These three questions are logically connectd and embedded, which could answer the basic questions of knowledge innovation in the network shape industry chain. Follow this logic diagram, firstly, this dissertation studied the change on the principle, methord, and character of division of labor in a modular age. The fundamental generative imptus and essence were studied. Secondly, this dissertation analysed form, character, structure and evolvement of the network shape industry chain to answer the question of what is the network shape industry chain. Accompanied by the reform of industry chain, knowledge innovation is embedded into the development of industry chain. The innovation mode is envloved accordingly, which is represented in the process of innovation, principal part of innovation and the mode of innovation. Then, in the network shape industry chain, how does knowledge innovation take place? Based on the analysis on the structure and character of network shape industry chain, this dissertation established the network dominate independent innovation model, which reveals the theoretical knowledge innovation model in network shape industry chain in the age of modularity. This model also answerd the question of how does knowledge innovation take place in network shape industry chain. Similar with the traditional theory, knowledge innovation in network shape industry chain also requires platform and sustention system accordingly. Based on the general model established, this dissertation studied on the mechanism of platform which will smooth the function of knowledge innovation in network shape industry chain. The mechanism of contract, social capital and incentive were also analised. These series of theoretical researches, enriched and improved the theory on industry chain, which will contribute to the understanding of the innovation behavior of enterprises in a modular age.
From the approach of knowledge, the industry chain is regarded as knowledge integrity. The major innovative points of this dissertation are as follows.
Firstly, this paper proposed the general structure of the network shape industry chain, which reveales that the core character is the knowledge based connection. Therefore, it is very important to analyze the functional principle of the knowledge innovation.
Secondly, based on the evolutionary game analysis, this paper analyzed the evolutionary development model of the network shape industry chain. Defferent evolutionary development chapters of the network shape industry chain are also analyzed.
Thirdly, this paper proposed the knowledge innovation model in the network shape industry chain, which is the network oriented independent innovation model, to provide a theoretical model of knowledge innovation in the modular age. Two types of knowledge innovation are specified, one is independent innovation, the other is collaborative innovation.
Fourthly, with the application of methodoligy and models in related aspects, this paper suggests the build-up of knowledge innovation platform and analyzes, with models, the operation institution of R&D cooperation and technology standaralization union on the creation platform. The paper also suggests the system to uphold creation based on CSI, which is the contract mechanism with transaction of copyrights, social capital with credit, and incentives for the purpose of network creation, and reveals the inner logic of knowledge creation supporting system with methods of economics
The achievements of this study not only have theoretical contributions to the enrichment and improvement of the theory on industry chain, but also will shed a light on the understanding of enterprises behavior in the age of knowledge economy, and providing theoretical and practical suggestion on the strategical development of China's enterprises.
网络状产业链中企业之间基于知识的关联形成了新的产业链结构,其间的知识创新及其规律是目前国内外学界非常关心的前沿问题。从已有文献来看,学者们分别从模块化理论、产业链理论和知识创新理论等不同视角对模块化时代产业链中的知识创新问题进行了研究,在每一个领域都取得了丰富的成果,然而也都存在不足。模块化分工的本质是知识的分工,而分工导致产业链的变革,在模块化分工条件下,最终形成网络状产业链;网络状产业链上的成员之间的关联是基于知识的关联,因而产业链上的主要活动是围绕知识创造、转移、共享和整合的知识活动。模块化、产业链、知识创新三个理论之间在逻辑上密切相关联,然而目前的研究或着重关注其中某个角度,缺乏将三者联系起来深入研究的统一的分析框架。特别是,在网络状产业链中,知识是如何创造、转移、共享和整合的?知识创新具有怎样的过程和运行机制?这些都有待我们深入思考。厘清网络状产业链的构造和运行机制不仅是前沿的理论问题也是重要的现实问题,亟待认真研究,并以此推动中国产业的发展和实践创新。
本论文是国家自然科学基金项目“基于模块化分工条件下的网络状产业链内知识创新研究”的子项目。以模块化理论、产业链理论和知识创新理论为基础,本论文的命题旨在解决三大问题,即网络状产业链的构造及运行机制;网络状产业链中知识创新的方式和过程;以及知识创新的运行需要的平台和支撑。这三大问题从逻辑上环环相扣,层层深入,可以阐述网络状产业链中知识创新的基本问题。
以此为命题展开,本文首先从模块化分工的原理、方法和特征着手,分析从工序分工到知识分工的分工形式的演变对于产业链变革的深入影响,指出网络状产业链形成的内在动力和本质。在阐述网络状产业链的形成、特点、构造的基础上,构建演化博弈分析框架,对网络状产业链的发展演化机制进行分析。伴随着产业链的变革,知识创新嵌入产业链的发展中,创新模式亦随之演变,体现在创新过程、创新主体以及创新方式等方面。基于网络状产业链构造及其内部特有的知识创新内容和方式的分析,本文提出了网络主导式独立创新模型,揭示了模块化时代网络状产业链中的知识创新理论模型,阐述了新的产业链构造下,知识创新的方式和运行过程。网络状产业链中的知识创新同样需要相应的平台和支撑。在知识创新基本模型的基础上,本文进而研究了有利于知识创新运行的平台机制,探讨了知识创新过程中的契约机制、社会资本和激励机制。这一系列理论研究,丰富和深化了产业链理论,有助于理解模块化时代企业的创新行为。
本文将产业链理解为一个知识体,以知识基础观为重要出发点,综合运用博弈论、实证研究和交叉研究等研究方法,从知识的角度研究了产业链的运行规律。主要的创新点在于以下几个方面:
第一,提出模块化分工条件下的网络状产业链的形成与基本构造,提出基于知识的关联是网络状产业链的实质。因而,深入分析知识的运行规律就等于把握了网络状产业链的本质。论文进而揭示了知识创新和产业链变革之间的互动关系。将知识创新纳入产业链变革的大背景中,讨论在模块化时代知识创新的运行规律。
第二,基于演化博弈的分析框架,提出了网络状产业链的演化发展模型。通过模型分析,阐述了网络状产业链的演化发展阶段,并对不同演化阶段上企业的发展速度和数量规模进行了数理模型分析。
第三,提出了网络状产业链中知识创新模型——网络主导式独立创新模型,对于分析模块化时代的知识创新问题提供了理论框架。论文区分了独立创新和协同创新这两种网络状产业链中基本的创新方式,并深入分析了在系统规则的指导下,知识创新是如何在不同的模块之间进行,并进而推动产业进步与发展的。
第四,借助相关领域中的模型与方法,提出了知识创新平台的构造,运用模型分析了创新平台上的R&D协作和技术标准化联盟的运行机制;提出了基于CSI的创新支撑体系,即以知识产权交易为核心的契约机制,以信誉和信任为核心的社会资本,以及以知识创新为目标的激励机制:并运用经济学的方法揭示了知识创新支撑体系的内在机理。
In the 1980's, with the rapid innovation and development of the technology, modularity, which is regarded as the new essence of industrial structure and one kind of new organization pattern, has been received increasing attention. Modularity is the economic phenomenon related with the division of lavor.Along with the deepening division of labor, and the disintegration of industry chain, different value modules are recombined according to the surface standard. Hence, a new organization mode of industry chain was formed, which is called "the network shape industry chain". Different from the division of labor in traditional industry chain, under the modular division of labor, the inner of network shape industry chain is knowledge connected, and the relationship between different players in the industry chain is loosely coupling relationship based on knowledge connection. Here, the industry chain is regarded as a knowledge chain, or a value chain. Knowledge plays an important role in the core essence and function of industry chain. Here comes the question, in the industry chain, how does knowledge been created, transferred, shared and integrated? What is the functional mechanism of knowledge innovation? These are not only theory frontier but also the important realistic questions, which urgently need to be further studied.
Based on the theories of modularity, industry chain, and knowledge innovation, the purpose of this paper is to slove three major questions, which are, what is the network shape industry chain and what its charactor? In the network shape industry chain, how does knowledge innovation take place? What kinds of platform and sustention system are required to smooth the function of knowledge innovation? These three questions are logically connectd and embedded, which could answer the basic questions of knowledge innovation in the network shape industry chain. Follow this logic diagram, firstly, this dissertation studied the change on the principle, methord, and character of division of labor in a modular age. The fundamental generative imptus and essence were studied. Secondly, this dissertation analysed form, character, structure and evolvement of the network shape industry chain to answer the question of what is the network shape industry chain. Accompanied by the reform of industry chain, knowledge innovation is embedded into the development of industry chain. The innovation mode is envloved accordingly, which is represented in the process of innovation, principal part of innovation and the mode of innovation. Then, in the network shape industry chain, how does knowledge innovation take place? Based on the analysis on the structure and character of network shape industry chain, this dissertation established the network dominate independent innovation model, which reveals the theoretical knowledge innovation model in network shape industry chain in the age of modularity. This model also answerd the question of how does knowledge innovation take place in network shape industry chain. Similar with the traditional theory, knowledge innovation in network shape industry chain also requires platform and sustention system accordingly. Based on the general model established, this dissertation studied on the mechanism of platform which will smooth the function of knowledge innovation in network shape industry chain. The mechanism of contract, social capital and incentive were also analised. These series of theoretical researches, enriched and improved the theory on industry chain, which will contribute to the understanding of the innovation behavior of enterprises in a modular age.
From the approach of knowledge, the industry chain is regarded as knowledge integrity. The major innovative points of this dissertation are as follows.
Firstly, this paper proposed the general structure of the network shape industry chain, which reveales that the core character is the knowledge based connection. Therefore, it is very important to analyze the functional principle of the knowledge innovation.
Secondly, based on the evolutionary game analysis, this paper analyzed the evolutionary development model of the network shape industry chain. Defferent evolutionary development chapters of the network shape industry chain are also analyzed.
Thirdly, this paper proposed the knowledge innovation model in the network shape industry chain, which is the network oriented independent innovation model, to provide a theoretical model of knowledge innovation in the modular age. Two types of knowledge innovation are specified, one is independent innovation, the other is collaborative innovation.
Fourthly, with the application of methodoligy and models in related aspects, this paper suggests the build-up of knowledge innovation platform and analyzes, with models, the operation institution of R&D cooperation and technology standaralization union on the creation platform. The paper also suggests the system to uphold creation based on CSI, which is the contract mechanism with transaction of copyrights, social capital with credit, and incentives for the purpose of network creation, and reveals the inner logic of knowledge creation supporting system with methods of economics
The achievements of this study not only have theoretical contributions to the enrichment and improvement of the theory on industry chain, but also will shed a light on the understanding of enterprises behavior in the age of knowledge economy, and providing theoretical and practical suggestion on the strategical development of China's enterprises.
引文
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