摘 要
自“十二五”规划实施以来，国家愈加重视自主创新能力的提高及协同创新
模式的推广，推出了众多政策以大力扶持各地区、各行业的协同创新发展，近
年来更是陆续成立了几十个国家级协同创新中心。产业集群作为协同创新实施
的主要载体，是协同创新发展的重要平台，也是国家的重点建设项目。但从各
创新中心与产业集群的实际情况来看，协同创新的实施并未取得预期的效果，
协同创新效率过低成为影响协同创新发展的主要原因。因此要进一步推动协同
创新发展，就有必要分析造成协同创新效率过低的主要因素，并提出有针对性
的改进建议

文章在已有研究的基础上，主要分析了企业技术生态位和利益分配关系对
集群企业协同创新效率的影响。采用理论与实证分析相结合的方法，以协同创
新、技术生态位以及契约关系理论作为理论基础，研究发现在外部环境基本满
足协同创新实施条件的前提下，协同创新合作的资源配置是影响协同创新效率
的根本原因，而合作企业之间的地位关系及利益分配关系会直接影响到合作企
业的参与热情与投入程度，进而影响资源配置的合理性。通过建立博弈模型研
究发现，在特定的技术生态位和分配方式下，集群企业协同创新效率会达到均
衡状态下的最大化。最后，文章给出了具体建议，提出应推广互补技术生态位
下的协同创新合作；同时，政府应在政策、资源以及资金上给予适当的支持，
增强企业的创新能力，提高创新资源配置的合理性，从而提高集群企业的协同
创新效率

关键字：协同创新；协同创新效率；技术生态位；利益分配-II-
ABSTRACT
Since the beginning of the implementation of the 12th five-year plan, the
government put more emphasis on the improvement of the capacity for
independent innovation and the popularization of collaborative innovation model,
put forward many policies to support the collaborative innovation development of
various regions and trades, especially that there were dozens of national
collaborative innovation center have been set up. And as the main carrier of the
implement of collaborative innovation, industry cluster is an important platform of
the development of collaborative innovation ,and is also a key construction project
of the country. But known from the actual situation of innovation center and
industry cluster, the implementation of collaborative innovation did not achieve
the desired effect, low collaborative innovation efficiency is the main factor
affecting the development of collaborative innovation. Thus to further promote the
development of collaborative innovation, it is necessary to analyze the reason that
caused low innovation efficiency, and put forward targeted suggestions.
On the basis of previous studies, this paper mainly analyzes the influence of
the enterprise technology niche and cooperative surplus distribution contract on
the efficiency of cluster enterprise cooperative innovation. By adopting the
combination of theory and empirical analysis method, using collaborative
innovation, technology niche and the contractual relationship theory as the
theoretical basis, the study found that under the premise that the external
environment meet the basic requirement of the implementation of collaborative
innovation, the resource allocation of collaborative innovation cooperation is the
fundamental factor affecting the efficiency of collaborative innovation, and the
status relationship and interest distribution relationship between cooperative
enterprises will directly affect the participation passion and commitment level of
cooperative enterprises, thereby affecting the reasonableness of the allocation of
resources. Through the establishment of game model ,the paper found that in the
particular technology niche and distribution method, the collaborative innovation-III-
efficiency of enterprise cluster will be maximized in equilibrium state. At last, the
article gives concrete suggestions, putting forward that enterprises should carry
out collaborative innovation under complementary technology niche; and the
government should give appropriate support in terms of policy, resource and
funding to improve enterprises’ innovation ability and reasonable allocation of
innovation resources, thereby enhancing the efficiency of collaborative innovation
of cluster enterprises.
Key Words: collaborative innovation ； collaborative innovation efficiency ；
technology niche； benefit distributioni
目 录
摘 要 ........I
ABSTRACT.. II
目 录 .......... i
第一章 绪论 .. 1
1.1 研究背景 ........ 1
1.2 研究意义 ........ 2
1.3 国内外研究文献综述 . 3
1.3.1 协同创新相关研究 ........ 3
1.3.2 技术生态位相关研究 .... 5
1.3.3 契约理论相关研究 ........ 7
1.3.4 文献评述 .......... 8
1.4 研究框架与研究方法 . 9
1.4.1 研究框架 .......... 9
1.4.2 研究方法 ........ 10
1.5 创新之处 ...... 10
第二章 理论研究基础 ..........11
2.1 协同创新相关理论 ... 11
2.1.1 协同创新理论 . 11
2.1.2 产学研协同创新理论 .. 11
2.1.3 政产学研协同创新理论 ........... 12
2.2 产业集群创新相关理论 ........ 12
2.2.1 “新产业区 ”学派与产业集群创新 ........ 12
2.2.2 区域创新系统理论与产业集群创新 .... 13
2.2.3 区域网络理论与产业集群创新13
2.3 协同创新效率相关理论 ........ 13
2.3.1 效率研究的相关理论 .. 13
2.3.2 创新效率及其影响因素 ........... 14
第三章 集群企业协同创新效率影响机理研究........ 15
3.1 技术生态位对集群企业协同创新效率的影响 . 15
3.1.1 技术生态位宽度对集群企业协同创新效率的影响 ........ 16ii
3.1.2 技术生态位重叠度对集群企业协同创新效率的影响 ..... 20
3.2 利益分配对集群企业协同创新效率的影响 .... 24
3.3 协同创新利益分配博弈分析 .. 25
3.3.1 基本模型设定 ... 25
3.3.2 合作剩余的形成机理 .... 27
3.3.3 长期利益分配契约对协同创新效率的影响 ....... 27
3.3.4 短期利益分配契约对协同创新效率的影响 ....... 28
3.3.5 不同利益分配契约的效率比较 . 30
3.4 技术生态位、利益分配与协同创新效率 ........ 31
第四章 湖南工程机械产业集群协同创新案例分析33
4.1 湖南工程机械产业集群发展现状 ....... 33
4.2 技术生态位影响集群企业协同创新效率案例分析 ..... 34
4.2.1 技术生态位宽度影响协同创新效率实例 ........... 34
4.2.2 技术生态位重叠度影响协同创新效率实例 ....... 40
4.3 利益分配影响集群企业协同创新效率案例分析 ......... 41
4.3.1 短期一次性支付契约影响协同创新效率实例 ... 41
4.3.2 长期复合支付契约影响协同创新效率实例 ....... 44
4.4 本章小结 ........ 47
第五章 结论与提升机制建议 .......... 48
5.1 结论 ... 48
5.2 提升机制建议49
参 考 文 献50
致 谢 ........... 53
附录 A：攻读学位期间发表的论文及科研情况 ...... 55
1. 发表论文： ...... 55
2. 科研情况： ...... 55-1-
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