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业主风险厌恶下重大装备制备造业技术创新模式选择研究

Study of Technological Innovation Mode Selection of Important Manufacturing Industry under the Constraint of Owner Risk Averse

作者: 专业:产业经济学 导师:孙晓华 年度:2010 学位:硕士  院校: 大连理工大学

Keywords

Risk avers ion, Important equipment manufacturing, Technology Innovation Model

        重大装备制造业是我国经济发展和国防建设的基础性产业,是决定一国在经济发展中保持自主地位的关键因素和战略性产业。90年代以来,我国开始实施“以市场换技术”战略,希望藉此提高重大装备制造业的自主创新能力,然而该战略并没有达到预期的效果,重大技术装备依然高度依赖进口。目前,学者们主要从供给角度分析重大装备制造业技术创新的制约因素和模式选择问题,很少关注买方行为特征对上游厂商技术创新的影响。本文以业主购买的风险厌恶特征为切入点,分析风险厌恶对业主购买决策的作用机制,以及业主风险厌恶下重大装备企业技术创新模式的选择问题,具有重要的理论价值和现实意义。本文首先根据重大装备制造业的产品属性,研究了信息不对称下的业主风险厌恶特征,通过构建纳入风险厌恶的购买决策模型,讨论了风险厌恶对业主购买的影响。然后,以企业技术创新模式的比较为基础,构建了创新模式选择的动态博弈模型,进而将业主风险厌恶纳入其中,分析了业主的不同风险偏好对企业技术创新模式的影响,得到在极强的风险厌恶约束下,理性企业会放弃自主创新而选择合作创新的结论。实证研究中,根据国内轨道装备制造业技术能力现状和内燃机车的产品特性,考察了青藏铁路内燃机车业主风险厌恶的特征及表现,以戚墅堰机车厂为例讨论了业主风险厌恶下企业技术创新模式的选择过程,检验了理论研究所得结论的正确性。
    Important equipment manufacturing industry is the economic development and basic industry of national defense construction, it also determines a country in economic development, the key factor of maintain independent status and strategic industries. In the 1990s, China began implementing the "market for technology" strategy, hoping to improve the important equipment manufacturing capability of independent innovation, but the strategy did not achieve the desired results, important technology and equipment is still highly dependent on imports. Currently, scholars mainly from the perspective of the supply of important equipment manufacturing constraints and technological innovation mode selection problems, little attention to behavioral characteristics of the buyer on the upstream manufacturers technical innovation. In this paper, the risk aversion characteristics of the owners to purchase as a starting point of risk aversion on the owners to purchase decision-making mechanisms, and risk aversion constraints owners technological innovation of important equipment selection model has important theoretical and practical significance.Firstly, this paper bases on important equipment manufacturing industry product attributes, under asymmetric information of the risk aversion characteristics of the owners, and discussed the impact on the owners to purchase. by building into the purchase decision models risk aversion, risk aversion.Then, this paper bases on an innovative model of the dynamic game model of choice on comparison of technological innovation model, then risk aversion will be incorporated owners, owners of the different risk preferences on the impact of technological innovation model is obtained in the strong risk aversion constraints, rational companies will choose to give up independent innovation cooperation and innovation in the conclusion. In empirical study, this paper bases on technical capabilities of domestic rail equipment manufacturing status and diesel product features, visit the owners of the Qinghai-Tibet railway locomotive and performance characteristics of risk aversion, Qishuyan Locomotive Works as an example to discuss the owners risk aversion constraints technological innovation model selection process to examine the correctness of the theoretical studies conclusions.
        

业主风险厌恶下重大装备制备造业技术创新模式选择研究

摘要4-5
Abstract5
1 绪论8-15
    1.1 问题的提出8-9
    1.2 相关研究综述9-12
        1.2.1 国外相关研究综述9-11
        1.2.2 国内相关研究综述11-12
    1.3 论文结构与技术路线12-13
    1.4 论文的主要创新点13-15
2 基于风险厌恶的业主购买决策模型15-25
    2.1 重大装备制造业的产品属性与信息不对称问题15-18
        2.1.1 重大装备制造业的范围界定15
        2.1.2 重大装备制造业的产品属性15-17
        2.1.3 重大技术装备购买中的信息不对称17-18
    2.2 信息不对称条件下业主的风险厌恶特征18-21
        2.2.1 信息不对称与业主购买决策过程18-19
        2.2.2 业主购买的风险问题19
        2.2.3 业主风险厌恶的表现19-21
    2.3 风险厌恶对业主购买决策的影响:理论模型21-25
        2.3.1 基本假设21
        2.3.2 模型构建21-23
        2.3.3 模型分析23-25
3 业主风险厌恶下企业技术创新模式的选择25-36
    3.1 企业技术创新模式的比较25-27
        3.1.1 自主创新模式25-26
        3.1.2 模仿创新模式26
        3.1.3 合作创新模式26-27
    3.2 企业技术创新模式选择的动态博弈27-34
        3.2.1 基本假设27-28
        3.2.2 技术创新模式选择的博弈过程28-31
        3.2.3 技术创新模式选择博弈结果31-34
    3.3 业主风险厌恶对技术创新模式选择的影响34-36
4 实证研究:以青藏铁路内燃机车采购为例36-45
    4.1 我国内燃机车的技术能力状况36-37
        4.1.1 国内内燃机车现状36-37
        4.1.2 国内内燃机车存在的问题37
    4.2 青藏铁路内燃机车采购中的风险厌恶及其表现37-41
        4.2.1 青藏铁路内燃机车采购中的风险厌恶问题37-38
        4.2.2 内燃机车业主的风险厌恶的表现38-41
    4.3 风险厌恶下戚墅堰机车厂技术创新模式的选择41-45
        4.3.1 自主创新模式面临的制约41
        4.3.2 由自主创新向合作创新的转换41-43
        4.3.3 风险厌恶对国内企业技术创新的影响43-45
5 结论与政策建议45-48
    5.1 研究结论45-46
    5.2 政策建议46-48
参考文献48-52
攻读硕士学位期间发表学术论文情况52-53
致谢53-55
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