产品创新压力下企业的替代性策略--以浙江民营企业为例的研究

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浙江财经学院硕士学位论文

I I

摘要

创新一直是国内外普遍关注的话题和研究的重点。到上世纪 70 年代末期，技

术创新已成为国际性的热门研究问题，受到人们的普遍关注，而作为其重要组成

部分的产品创新，也受到各国的广泛重视。

产品是企业的生命线，产品创新是企业生存发展的主题和决定性因素。我国

企业虽然越来越重视产品创新，但产品创新滞后和产品创新能力不强，仍是我国

企业特别是民营企业面临的突出问题。

正是在这个背景下，本文选取最具有典型意义的浙江民营企业作为研究对象，

分析浙江民营企业在产品创新压力下的行为，来揭示企业面对产品创新压力采取

创新策略的条件和选择创新替代性策略的原因，并从另一个角度对浙江民营企业

产品创新滞后提供一种新的解释，为推动浙江乃至全国企业产品创新提供参考。

本文首先对企业在产品创新压力下的策略选择进行理论分析。先是提出了企

业产品创新策略选择的行为空间的概念，提供了一个分析企业在创新压力下进行

策略选择行为的理论工具。接着借助这个理论工具，对企业在产品创新压力下的

策略选择进行一般分析，揭示企业选择创新策略的条件和选择创新替代策略的原

因。

接着以此为指导，具体分析了浙江民营企业面对产品创新压力采取替代性策

略的原因。首先分析了发展低端产品必须具备的三个条件和浙江民营企业走低端

路线取得成功的历史特殊性。然后详细分析了随着我国经济和社会发展，浙江民

营企业面临的三次产品创新压力，及其面对这些压力所采取的替代性策略。这首

先是短缺的结束，使低端市场萎缩，面对这个压力，浙江民营企业采取了市场平

移的替代性策略；随后是同质低价、过度竞争，使低价格优势受到威胁，面对这

个压力，浙江民营企业采取了在模仿基础上的产品改良的替代性策略；接着是高

成本时代的到来，低成本优势难以为继，浙江民营企业通过企业迁移的替代性策

略来应对产品创新压力。最后具体分析了浙江民营企业面对产品创新压力采取替

代性策略的原因。

浙江财经学院硕士学位论文

II II

本文创新之处在于：（1）从一个全新的角度来研究企业产品创新问题，即不

是从企业如何创新，而是从企业为什么不进行产品创新的角度来进行研究，从而

补充和扩展了企业创新研究的思路。（2）立足于企业本位论，从企业在面临产品

创新压力下的策略选择出发，对企业行为展开分析，是对目前产品创新的研究偏

重技术方面的一种纠正和促进经济分析深入的回归。（3）提出了企业产品创新选

择的行为空间的概念，提供了一个分析企业在面临创新压力下进行策略选择行为

的理论工具。（4）具体考察了浙江民营企业成长历程中出现的三次产品创新压力

和企业采取的三种替代性策略及其原因，对浙江民营企业创新动力不足的现象做

出了新的理论解释。

关键词：产品创新；浙江民营企业；替代性策略

浙江财经学院硕士学位论文

III III

ABSTRACT

Innovation has always been a topic of general concern and a focus of study at home

and abroad. By the end of the 1970s, technological innovation has become a hot

international study issue and a general concern by the people, product innovation, as an

important part of it, has also been paid extensive attention by all countries.

Product is the lifeblood of enterprises, product innovation is the theme and the

decisive factor of survival and development of enterprises. Although more and more

Chinese enterprises attach importance to product innovation, product innovation lags

behind and product innovation capacity is not strong, remains prominent problems

which China's enterprises, especially private enterprises facing.

It is in this context, this paper selects Zhejiang private enterprises, the most typical

of enterprises, as a research object, and analyzes their behavior under the pressure of

product innovation to reveal the conditions under which enterprises select product

innovation strategy and the reasons why they choose alternative strategies of innovation,

and from another angle, to provide a new explanation of the product innovation lag of

Zhejiang private enterprise, providing reference for promoting product innovation of

Zhejiang as well as national enterprises.

This paper firstly discusses the three necessary conditions for the development of

low-end products and the historical particularity of the success of Zhejiang private

enterprises following low-end line. Then it’s a detailed analysis that with China's

economic and social development, Zhejiang private enterprises have faced three

pressures of product innovation successively, and of the alternative strategy taken by

them facing these pressures. First of all, the end of the shortage made the low-end

market shrink, in the face of this pressure, Zhejiang private enterprises took market

translation for alternative strategy; Followed by similar low-cost, excessive competition,

which made the low-price advantage under threat, in the face of this pressure, Zhejiang

private enterprises took products improvement on the basis of imitation for alternative

浙江财经学院硕士学位论文

IV IV

strategy; followed by the arrival of the high-cost times which made low-cost advantage

is difficult, Zhejiang private enterprises took business relocation for alternative strategy

to deal with the pressure.

On this basis, this paper provides a theoretical analysis for the strategic options of

enterprises under the pressure of product innovation. first of all, the paper puts forward

the concepts of “strategy choice space”, which provides a theoretical tool to analyze

enterprise’s strategic options under the pressure of product innovation, Then using this

theoretical tool, the paper analyzes the strategic options of enterprises under the

pressure of product innovation generally. Finally, it’s a specific analysis the reasons why

Zhejiang private enterprises selected alternative strategies under the pressure of product

innovation

The innovations of this paper are: (1) To research the product innovation of

enterprise from a new perspective , that is not how enterprises innovate, but why they

don’t do it, which thus complements and expands the research ideas of the innovation of

enterprises; (2) Based on enterprise-based theory, the paper analyzes the behavior of

enterprise from the strategic options of enterprises under the pressure of product

innovation, which is a correct of the current research of product innovation ,which

biased towards technical aspects of ,and is a promotion of regression.of in-depth

economic analysis ;(3) The paper puts forward the concepts of “strategy choice space”,

which provides a theoretical tool to analyze enterprise’s strategic options under the

pressure of product innovation;(4) The paper in specialty inspectes the three pressures

of product innovation which arised in the course of the growth of Zhejiang private

enterprises, and the three alternative strategies took by them as well as the reasons,

which provides a new theoretical explanation for the phenomenon that Zhejiang private

enterprises lack impetus to innovation.

Key words： Product innovation；Zhejiang private enterprises；Alternative strategies

浙江财经学院硕士学位论文

V V

第一章导论 ··········································································································································1

第一节问题及其意义.....................................................................................................................1

第二节文献综述 ..............................................................................................................................3

第三节本文的研究思路和方法............................................................................................... 13

第二章企业在产品创新压力下策略选择的理论分析·····················································16

第一节企业选择创新策略的行为空间 ................................................................................ 16

第二节企业面对产品创新压力的策略选择：创新策略和替代策略 ....................... 25

第三章浙江民营企业面临的产品创新压力及其替代性策略 ······································29

第一节浙江民营企业走低端路线取得成功的历史特殊性 .......................................... 29

第二节短缺结束与市场平移 ................................................................................................... 31

第三节过度竞争与产品改良 ................................................................................................... 36

第四节高成本时代与企业迁移............................................................................................... 43

第五节浙江民营企业在产品创新压力下采取替代性策略的原因分析 .................. 49

结论 ·························································································································································55

参考文献················································································································································58

致谢············································································································································· 61

浙江财经学院硕士学位论文

1 1

第一章导论

第一节问题及其意义

一、背景和问题的提出

自从 1912 年美籍奥地利经济学家熊彼特提出“创新”的概念以来，创新便成

为社会各界普遍关注的话题和研究的重点。到 20 世纪 70 年代末期，技术创新已

成为国际性的热门研究问题，受到人们的普遍关注，而作为其重要组成部分的产

品创新，也受到各国的广泛重视。企业要赢得市场，获得生存和发展，就必须不

断地创新，及时开发生产新产品来适应市场的变化，更好的满足用户需求，取得

市场竞争的有利地位。因此，产品创新是企业的活力之源与生存之本。

产品创新是企业的生命线，西方企业普遍重视产品创新。有的企业把销售收

入的 3%-4%作为产品开发费，而德国最大的 10 家公司，近年研究开发投资占到新

投资的 40%。

我国企业从建国到上世纪九十年代初，技术进步一直以引进为主。目前，我

国企业虽然在产品创新中的地位得到了加强，企业虽然具备一定的创新实力，但

仍未扭转以引进技术为主的局面。

作为民营经济大省的浙江，众多的民营企业中虽然出现了像万向集团、正泰

集团这样一批产品和技术档次高的民营企业，但多数民营企业仍处于产品档次低、

科技含量低的阶段。随着市场化改革的不断深入，国内市场环境由卖方市场向买

方市场转变，而国际市场上贸易摩擦不断，针对我国产品的反倾销案件频繁发生，

并且浙江作为资源小省，资源瓶颈日益严重，因此，继续走低端路线难以为继。

特别是面临我国加入世界贸易组织后大量跨国公司、国外企业及其产品涌入国门

的严峻形势，不改变长期坚持的低端路线，就难以在更进一步优胜劣汰的竞争环

境中立足生存。因此，改变传统低端路线，进行产品创新是浙江民营企业一项紧

迫的工作。

短缺结束、过度竞争和高成本时代到来一次又一次对我国民营企业提出挑战，

我国民营企业能否以及如何保持原先的发展势头成为世人关注的焦点。浙江是民

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摘要：

浙江财经学院硕士学位论文II摘要创新一直是国内外普遍关注的话题和研究的重点。到上世纪70年代末期，技术创新已成为国际性的热门研究问题，受到人们的普遍关注，而作为其重要组成部分的产品创新，也受到各国的广泛重视。产品是企业的生命线，产品创新是企业生存发展的主题和决定性因素。我国企业虽然越来越重视产品创新，但产品创新滞后和产品创新能力不强，仍是我国企业特别是民营企业面临的突出问题。正是在这个背景下，本文选取最具有典型意义的浙江民营企业作为研究对象，分析浙江民营企业在产品创新压力下的行为，来揭示企业面对产品创新压力采取创新策略的条件和选择创新替代性策略的原因，并从另一个角度对浙江民营企业产品创新滞后提...

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