基于ISM的我国战略性新兴产业创新绩效影响因素分析
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摘要
运用专家访谈和解释结构模型方法,对我国战略性新兴产业创新绩效影响因素的层级结构及逻辑关系进行分析,并以中国中车股份有限公司为例验证了结果的有效性。研究结果表明,我国战略性新兴产业创新绩效受多种因素影响,是一个复杂系统;创新绩效影响因素主要由企业知识(技术)吸收能力和研发(人员、费用)投入强度两大子因素系统构成;市场需求强度和宏观经济状况作为创新绩效影响因素系统的起点,是创新的重要动力源;政府和企业应全面系统地认识各影响因素及其相互之间的关系,合理配置创新资源,同时集焦于关键影响因素的提升和管理。
By using expert interviews and interpretative structural modeling methods, the paper analyzes the hierarchical structure and logical relationships of the influencing factors of China's strategic emerging industries innovation performance, and validates the effectiveness of the results using CRRC as an example. The research results show that China's strategic emerging industries innovation performance is a complex system influenced by many factors. The influencing factors of innovation performance are mainly composed of two sub-factors: enterprise knowledge(technology) absorption capacity and R&D(personnel, cost) input intensity; market demand intensity and macroeconomic situation as the starting point of the influencing factors system of innovation performance are important source of power for innovation; the government and enterprises should understand influencing factors and their mutual relationship comprehensively and systematically, allocate innovation resources rationally, and focus on the promotion and management of key influencing factors.
By using expert interviews and interpretative structural modeling methods, the paper analyzes the hierarchical structure and logical relationships of the influencing factors of China's strategic emerging industries innovation performance, and validates the effectiveness of the results using CRRC as an example. The research results show that China's strategic emerging industries innovation performance is a complex system influenced by many factors. The influencing factors of innovation performance are mainly composed of two sub-factors: enterprise knowledge(technology) absorption capacity and R&D(personnel, cost) input intensity; market demand intensity and macroeconomic situation as the starting point of the influencing factors system of innovation performance are important source of power for innovation; the government and enterprises should understand influencing factors and their mutual relationship comprehensively and systematically, allocate innovation resources rationally, and focus on the promotion and management of key influencing factors.
引文
[1]吴文华,姚丽华.战略性新兴产业上市公司核心骨干股权激励对创新绩效的影响研究[J].科技进步与对策,2014,31(5):75-79.
[2]付永萍,马永.对外直接投资对战略性新兴企业创新绩效的影响研究[J].湖南社会科学,2015(4):132-136.
[3]张敬文,谢翔,陈建.战略性新兴产业协同创新绩效实证分析及提升路径研究[J].宏观经济研究,2015(7):108-117.
[4]连远强,查耀华.新兴产业创新联盟的网络结构与创新绩效关系[J].科技管理研究,2016,36(19):129-135.
[5]赵玉林,胡燕.战略性新兴产业创新绩效的阶段性差异:基于超效率DEA模型[J].财会月刊,2017(15):70-75.
[6]孙莹,顾晓敏.中国创业板上市公司创新绩效及影响因素研究[J].华东经济管理,2013,27(9):59-63.
[7]朱晋伟,王杨阳,梅静娴.高技术产业间创新绩效及影响因素差异比较分析:基于面板数据的半参数模型[J].系统工程理论与实践,2015,35(12):3135-3143.
[8]张永安,沈建伟.基于SEM的北京电子信息企业创新绩效影响因素实证研究[J].情报杂志,2013,32(3):195-202.
[9]TSAI K,WANG H,et al.Does R&D performance decline with firm size?:are examination in terms of elasticity[J].Research policy,2005,34(6):966-976.
[10]LEE S,PARK G,YOON B,et al.Open innovation in SMEs:an intermediated network model[J].Research Policy,2010,39(2):290-300.
[11]陆国庆,王舟,张春宇.中国战略性新兴产业政府创新补贴的绩效研究[J].经济研究,2014,49(7):44-55.
[12]马忠民.政府统筹规划下我国战略性新兴产业供给侧融合创新绩效分析:以江苏企业数据为样本[J].商业经济研究,2017(20):183-186.
[13]HU A G.Ownership,government R&D,private R&D,and productivity in Chinese industry[J].Journal of comparative economics,2001,29(1):136-157.
[14]吕明洁,陈瑜,曹莉萍.中国新能源企业创新绩效的影响因素:基于产业政策视角[J].技术经济,2016,35(1):43-50.
[15]陈鲁夫,邵云飞.“钻石模型”视角下战略性新兴产业创新绩效影响因素的实证研究:以新一代信息产业为例[J].技术经济,2017,36(02):1-7,116.
[16]向永辉,曹旭华.创新绩效角度的战略性新兴产业发展实证研究:以新能源产业为例[J].商业经济与管理,2014(3):33-39.
[17]吴俊,张家峰,黄东梅.产学研合作对战略性新兴产业创新绩效影响研究:来自江苏省企业层面的证据[J].当代财经,2016(9):99-109.
[18]宋艳,邵云飞.企业创新绩效影响因素的动态研究:以九洲电器集团公司创新实践为例[J].软科学,2009,23(9):88-92.
[19]JAMES C.HAYTON.Competing in the new economy:the effect of intellectual capital on corporate entrepreneurship in high - technology new ventures[J].R&D management,2005,35(2):137-155.
[20]王婧,吴烨伟,蓝梦,等.基于高阶梯队理论的电子工业创新绩效影响因素研究:高管认知研究视角[J].工业技术经济,2018,37(3):20-27.
[21]耿慧芳,张杰,杨震宁.国有企业创新绩效、市场环境变化与政策冲击:基于创新战略和政治嵌入的调节作用[J].技术经济,2018,37(3):15-29.
[22]NARVER J C,SLATER S F,MAC L D L.Responsive and proactive market orientation and new product success[J].Journal of product innovation management,2004,21(5):334-347.
[23]王玉荣.竞争环境和技术战略对制造业创新绩效的影响[J].科研管理,2011,32(7):25-33.
[24]KANG K K,PARK P.Influence of government R&D support and Inter - firm collaborations on innovation in Korean biotechnology SMEs[J].Technovation,2012,32(1):68-78.
[25]刘和东.中国工业企业的创新绩效及影响因素研究:基于DEA-Tobit两步法的实证分析[J].山西财经大学学报,2010(3):68-74.
[26]柴玉珂,顾晓敏.科技型小微企业金融支持、资本结构与创新绩效研究[J].科技进步与对策,2014,31(2):98-103.
[27]ROBERT A B.The role of entrepreneurs in Korea firms innovation:joint effects of positive affect,creativity ,and environmental dynamism[J].Journal of business venturing,2011,26(1):49-60.
[28]安士伟,秦耀辰.河南省工业企业创新绩效及影响因素分析[J].人文地理,2017,32(2):118-121.
[29]杜志雄,肖卫东.农村中小企业技术创新绩效影响因素的实证分析[J].中国社会科学院研究生院学报,2012(2):34-41.
[30]FRANCESCA LOTTI,ENRICO SANTARELLI,MARCO VIVARELLI IV.The relationship between size and growth:the case of Italian newborn firms[J].Applied economics letters,2001,8(7):451-454.
[31]谭俊涛,张平宇,李静.中国区域创新绩效时空演变特征及其影响因素研究[J].地理科学,2016,36(1):39-46.
[32]LEE Y ,KIM S ,LEE H .The Impact of service R&D on the performance of Korean Information communication technology small and medium enterprises[J].Journal of engineering and technology management,2011,28(2) :77-92.
[33]CHUNG DOOHEE,KIM MARCO JINHWAN,KANG JINA.Influence of alliance portfolio diversity on innovation performance:the role of internal capabilities of value creation[J].Review of managerial science,2018 (2) :1-28.
[34]陈劲,邱嘉铭,沈海华.技术学习对企业创新绩效的影响因素分析[J].科学学研究,2007(6):1223-1232.
[35]ZAHRA S A,GEORGE G.Absorptive capacity:a review,reconceptualization,and extension[J].Academy of management review,2002,27(2):185-203.
[36]夏恩君,王素娟,张明,等.企业开放式创新社区网络创新绩效内部影响因素分析:NK模型视角[J].科技进步与对策,2014,31(18):80-84.
[37]杨林岩,赵驰.企业成长理论综述:基于成长动因的观点[J].软科学,2010(7):106-110.
[38]SADLER-SMITH E,SPICER D P,CHASTON I.Learning orientations and growth in smaller firms[J].Long range planning,2001,34(2):139-158.
[39]胡义东,仲伟俊.高新技术企业技术创新绩效影响因素的实证研究[J].中国科技论坛,2011(4):80-85.
[40]赵文红,周密.R&D团队人力资源管理实践对企业创新绩效的影响研究[J].研究与发展管理,2012,24(4):61-70,102.
[41]HAGEDOORN,CLOODT.Measuring innovative performance:is there an advantage in using multiple indicators[J].Research policy,2003(32):1365-1379.
[42]SPYROS A,URSINA K,MARTIN W.University industry knowledge and technology transfer in Switzerland:what university scientists think about cooperation with private enterprises[J].Research policy,2008,37(10):1865-1883.
[43]沈建伟,张永安.基于ISM的北京电子信息企业创新绩效影响因素分析[J].情报杂志,2012(11):201-207.
[44]张永安,朱圣伟.企业技术中心创新绩效影响因素研究[J].工业技术经济,2013,43(12):19-24.
[45]张玉臣,吕宪鹏.高新技术企业创新绩效影响因素研究[J].科研管理,2013,34(12):58-65.
[46]粟进,宋正刚.科技型中小企业技术创新的关键驱动因素研究:基于京津4家企业的一项探索性分析[J].科学学与科学技术管理,2014,35(5):156-163.
[2]付永萍,马永.对外直接投资对战略性新兴企业创新绩效的影响研究[J].湖南社会科学,2015(4):132-136.
[3]张敬文,谢翔,陈建.战略性新兴产业协同创新绩效实证分析及提升路径研究[J].宏观经济研究,2015(7):108-117.
[4]连远强,查耀华.新兴产业创新联盟的网络结构与创新绩效关系[J].科技管理研究,2016,36(19):129-135.
[5]赵玉林,胡燕.战略性新兴产业创新绩效的阶段性差异:基于超效率DEA模型[J].财会月刊,2017(15):70-75.
[6]孙莹,顾晓敏.中国创业板上市公司创新绩效及影响因素研究[J].华东经济管理,2013,27(9):59-63.
[7]朱晋伟,王杨阳,梅静娴.高技术产业间创新绩效及影响因素差异比较分析:基于面板数据的半参数模型[J].系统工程理论与实践,2015,35(12):3135-3143.
[8]张永安,沈建伟.基于SEM的北京电子信息企业创新绩效影响因素实证研究[J].情报杂志,2013,32(3):195-202.
[9]TSAI K,WANG H,et al.Does R&D performance decline with firm size?:are examination in terms of elasticity[J].Research policy,2005,34(6):966-976.
[10]LEE S,PARK G,YOON B,et al.Open innovation in SMEs:an intermediated network model[J].Research Policy,2010,39(2):290-300.
[11]陆国庆,王舟,张春宇.中国战略性新兴产业政府创新补贴的绩效研究[J].经济研究,2014,49(7):44-55.
[12]马忠民.政府统筹规划下我国战略性新兴产业供给侧融合创新绩效分析:以江苏企业数据为样本[J].商业经济研究,2017(20):183-186.
[13]HU A G.Ownership,government R&D,private R&D,and productivity in Chinese industry[J].Journal of comparative economics,2001,29(1):136-157.
[14]吕明洁,陈瑜,曹莉萍.中国新能源企业创新绩效的影响因素:基于产业政策视角[J].技术经济,2016,35(1):43-50.
[15]陈鲁夫,邵云飞.“钻石模型”视角下战略性新兴产业创新绩效影响因素的实证研究:以新一代信息产业为例[J].技术经济,2017,36(02):1-7,116.
[16]向永辉,曹旭华.创新绩效角度的战略性新兴产业发展实证研究:以新能源产业为例[J].商业经济与管理,2014(3):33-39.
[17]吴俊,张家峰,黄东梅.产学研合作对战略性新兴产业创新绩效影响研究:来自江苏省企业层面的证据[J].当代财经,2016(9):99-109.
[18]宋艳,邵云飞.企业创新绩效影响因素的动态研究:以九洲电器集团公司创新实践为例[J].软科学,2009,23(9):88-92.
[19]JAMES C.HAYTON.Competing in the new economy:the effect of intellectual capital on corporate entrepreneurship in high - technology new ventures[J].R&D management,2005,35(2):137-155.
[20]王婧,吴烨伟,蓝梦,等.基于高阶梯队理论的电子工业创新绩效影响因素研究:高管认知研究视角[J].工业技术经济,2018,37(3):20-27.
[21]耿慧芳,张杰,杨震宁.国有企业创新绩效、市场环境变化与政策冲击:基于创新战略和政治嵌入的调节作用[J].技术经济,2018,37(3):15-29.
[22]NARVER J C,SLATER S F,MAC L D L.Responsive and proactive market orientation and new product success[J].Journal of product innovation management,2004,21(5):334-347.
[23]王玉荣.竞争环境和技术战略对制造业创新绩效的影响[J].科研管理,2011,32(7):25-33.
[24]KANG K K,PARK P.Influence of government R&D support and Inter - firm collaborations on innovation in Korean biotechnology SMEs[J].Technovation,2012,32(1):68-78.
[25]刘和东.中国工业企业的创新绩效及影响因素研究:基于DEA-Tobit两步法的实证分析[J].山西财经大学学报,2010(3):68-74.
[26]柴玉珂,顾晓敏.科技型小微企业金融支持、资本结构与创新绩效研究[J].科技进步与对策,2014,31(2):98-103.
[27]ROBERT A B.The role of entrepreneurs in Korea firms innovation:joint effects of positive affect,creativity ,and environmental dynamism[J].Journal of business venturing,2011,26(1):49-60.
[28]安士伟,秦耀辰.河南省工业企业创新绩效及影响因素分析[J].人文地理,2017,32(2):118-121.
[29]杜志雄,肖卫东.农村中小企业技术创新绩效影响因素的实证分析[J].中国社会科学院研究生院学报,2012(2):34-41.
[30]FRANCESCA LOTTI,ENRICO SANTARELLI,MARCO VIVARELLI IV.The relationship between size and growth:the case of Italian newborn firms[J].Applied economics letters,2001,8(7):451-454.
[31]谭俊涛,张平宇,李静.中国区域创新绩效时空演变特征及其影响因素研究[J].地理科学,2016,36(1):39-46.
[32]LEE Y ,KIM S ,LEE H .The Impact of service R&D on the performance of Korean Information communication technology small and medium enterprises[J].Journal of engineering and technology management,2011,28(2) :77-92.
[33]CHUNG DOOHEE,KIM MARCO JINHWAN,KANG JINA.Influence of alliance portfolio diversity on innovation performance:the role of internal capabilities of value creation[J].Review of managerial science,2018 (2) :1-28.
[34]陈劲,邱嘉铭,沈海华.技术学习对企业创新绩效的影响因素分析[J].科学学研究,2007(6):1223-1232.
[35]ZAHRA S A,GEORGE G.Absorptive capacity:a review,reconceptualization,and extension[J].Academy of management review,2002,27(2):185-203.
[36]夏恩君,王素娟,张明,等.企业开放式创新社区网络创新绩效内部影响因素分析:NK模型视角[J].科技进步与对策,2014,31(18):80-84.
[37]杨林岩,赵驰.企业成长理论综述:基于成长动因的观点[J].软科学,2010(7):106-110.
[38]SADLER-SMITH E,SPICER D P,CHASTON I.Learning orientations and growth in smaller firms[J].Long range planning,2001,34(2):139-158.
[39]胡义东,仲伟俊.高新技术企业技术创新绩效影响因素的实证研究[J].中国科技论坛,2011(4):80-85.
[40]赵文红,周密.R&D团队人力资源管理实践对企业创新绩效的影响研究[J].研究与发展管理,2012,24(4):61-70,102.
[41]HAGEDOORN,CLOODT.Measuring innovative performance:is there an advantage in using multiple indicators[J].Research policy,2003(32):1365-1379.
[42]SPYROS A,URSINA K,MARTIN W.University industry knowledge and technology transfer in Switzerland:what university scientists think about cooperation with private enterprises[J].Research policy,2008,37(10):1865-1883.
[43]沈建伟,张永安.基于ISM的北京电子信息企业创新绩效影响因素分析[J].情报杂志,2012(11):201-207.
[44]张永安,朱圣伟.企业技术中心创新绩效影响因素研究[J].工业技术经济,2013,43(12):19-24.
[45]张玉臣,吕宪鹏.高新技术企业创新绩效影响因素研究[J].科研管理,2013,34(12):58-65.
[46]粟进,宋正刚.科技型中小企业技术创新的关键驱动因素研究:基于京津4家企业的一项探索性分析[J].科学学与科学技术管理,2014,35(5):156-163.