工业企业技术创新能力评价与波动性研究
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摘要
随着科学技术革命推动工业企业的发展,大多数的传统产业开始逐渐向知识密集型产业转型,与此同时科学技术和经济发展之间的配合显得更加亲密无间,企业产品的生命周期呈现级数倍衰减,高新技术替代传统技术的频率明显增加,这些都是这一场新革命的显著特点。从宏观角度来看,能否进行有效的知识积累和实施高效的技术创新是一个国家科技竞争能力强大与否的重要表征；从微观角度来看,其无疑是一个企业能否在激烈的国际化竞争中占有一席之地的关键所在。目前,我国工业企业所面临的国际竞争更是空前激烈,各国企业纷纷以进行技术创新活动并获得持续领先的技术创新能力作为自身的立命之本,技术创新能力已被公认为是提高企业综合竞争力的决定性因素。毫无疑问,一个国家整体经济水平的发展很大程度上有赖于国内工业企业的发展水平,从发达国家的发展实例来看,一个整体经济发达的国家必定具有坚实的工业企业基础。这是因为工业企业经常作为大型技术创新项目的创新主体,而这些国家级的大型创新项目往往会决定着一个国家在此方面的绝对领先优势,从而创造出国家“超额垄断利润”。因此,对国内工业企业的发展情况(特别是技术发展能力)进行准确的定位就显得尤为重要了。而如果想要达到这一目的就必须寻找到一条有效的途径,来科学、有效的评价工业企业技术创新能力,并结合相关理论分析技术创新能力在自身的发展过程中所表现出的独有特征。
第一,对本论文的研究背景、目的与意义进行了介绍,在此基础上,一方面从技术创新能力概念、结构界定、评价指标和方法、实证研究等方面对国内外关于技术创新能力方面的研究文献进行了梳理。
第二,对技术创新理论的研究现状进行整理,从而保证论文研究的前沿性,为论文的后续研究奠定了坚实的理论基础。其次,介绍了本论文用到的相关理论,主要包括：创新理论、技术创新理论以及企业技术创新能力等。
第三,对工业企业的概念进行了界定,对工业企业的特点进行了分析。同时,从企业规模、经济类型、产业特征、区域特征等方面,对工业企业的总体情况进行了分析。从技术创新的基础条件、资源投入、产出、外部环境等四方面,分析我国工业企业技术创新能力的现状。并结合我国实际国情,分析了工业企业技术创新能力的主要影响因素——环境因素、企业特性、技术创新动因、技术创新模式。
第四,在对技术创新能力评价指标的分类进行说明的基础上,指出指标体系构成的原则与思路,确定了评价指标体系的具体设置。综合考虑层次分析法和熵理论,构建了工业企业技术创新能力的评价模型,并结合数据进行了实证研究。在此基础上,对工业企业技术创新能力的波动进行界定,从内在规律、“人、财、政策”、所处环境等三方面对工业企业的技术创新能力波动的影响因素进行分析,运用三年移动平均法计算工业企业技术创新能力的波动周期进行实证研究。
第五,从经济环境、技术环境、制度环境、企业文化、资源投入、技术创新战略、波动特性等方面,提出促进我国工业企业技术创新能力的对策,为我国工业企业技术创新的发展奠定了基础。
With the development of the globalization of the world economy and the upsurge of knowledge economy, a new technological revolution will set off across the world. The characteristics of this worldwide trend embody the transformation from conventional industries to knowledge based industries, the closer combination of technology and economy, the shortening of product life cycle and the emergence of high technology one after another. The accumulation of knowledge and innovation of technology are becoming the keys to the success of enterprises in this global competition, and significant factors to measure the science and technology competitiveness of a country. After China joined WTO, the world has experienced an unprecedented fierce competition. The innovative capacities and activities of technology have become the impetus and source which determine the survival and development of enterprises. Technological innovation capacity has been considered publicly as a crucial factor of improving the enterprises'competitiveness. Industrial enterprise is the pillar of national economy and the main part of technological innovation, which indicates that the level of technological innovation capacity concerns the overall development of national economy. How to evaluate the technological innovation capacity in industrial enterprises objectively, scientifically and effectively with combination of relative theoretical analysis of its own development characteristics will be particularly important to those corporations that compete to comprehend their own technological innovation capacity in the industries with appropriate strategies, enhance their competitive advantages and gain the best economic and social benefits.
This dissertation begins with an introduction of the background, purpose and significance of this study. Based on the above introduction, a literature review on the one hand will be conducted about the domestic and overseas technological innovation capacity from the view of its conception, structure definition, evaluating indicators and methodologies, and empirical research, etc. On the other hand, current studies of technological innovation capacity will be classified to ensure the creativity of this research which establishes firm foundation for the follow-up studies. Finally, relative theories used in this dissertation are introduced including innovative theory, technological innovation theory and enterprises'technological innovation capacity, etc.
In the next section, the conception of industrial enterprise is defined and its features are analyzed. Meanwhile, the general situation of industrial enterprises is also analyzed from the aspects of corporate scale, economic grouping, industrial and provincial characteristics. To figure out the current state of the technological innovation capacity in industrial enterprises of our country, it is investigated from the aspect of basic conditions, inputs and outputs of resources and outside environment. Relating to the real national conditions, the main factors to be concerned are environment, corporate features, motivation and patterns of the technological innovation.
Furthermore, on the basis of illustrating the classification of the evaluating indicators, it also identifies the principals and approaches to construct the evaluating system and determine the specific settings of the system. With a comprehensive consideration of the analytic hierarchy process and entropy theory, it constructs the evaluating model of the technological innovation capacity in industrial enterprises and conducts an empirical research with data. Based on the above illustration, the fluctuation of the capacity is defined and the affecting factors will be discussed from the aspect of its intrinsic patterns, 'people, wealth and policy'and outside environment. The algorithm'triennium weighted moving average method is adopted to calculate the cycle of fluctuation for the empirical research.
At last, it proposes the strategies to promote the technological innovation capacity of industrial enterprises in our country from the view of economic environment, technological environment, regulatory environment, corporate culture, resource inputs, technological innovation strategies and fluctuation feature. These strategies can provide some references for these industrial organizations.
第一,对本论文的研究背景、目的与意义进行了介绍,在此基础上,一方面从技术创新能力概念、结构界定、评价指标和方法、实证研究等方面对国内外关于技术创新能力方面的研究文献进行了梳理。
第二,对技术创新理论的研究现状进行整理,从而保证论文研究的前沿性,为论文的后续研究奠定了坚实的理论基础。其次,介绍了本论文用到的相关理论,主要包括：创新理论、技术创新理论以及企业技术创新能力等。
第三,对工业企业的概念进行了界定,对工业企业的特点进行了分析。同时,从企业规模、经济类型、产业特征、区域特征等方面,对工业企业的总体情况进行了分析。从技术创新的基础条件、资源投入、产出、外部环境等四方面,分析我国工业企业技术创新能力的现状。并结合我国实际国情,分析了工业企业技术创新能力的主要影响因素——环境因素、企业特性、技术创新动因、技术创新模式。
第四,在对技术创新能力评价指标的分类进行说明的基础上,指出指标体系构成的原则与思路,确定了评价指标体系的具体设置。综合考虑层次分析法和熵理论,构建了工业企业技术创新能力的评价模型,并结合数据进行了实证研究。在此基础上,对工业企业技术创新能力的波动进行界定,从内在规律、“人、财、政策”、所处环境等三方面对工业企业的技术创新能力波动的影响因素进行分析,运用三年移动平均法计算工业企业技术创新能力的波动周期进行实证研究。
第五,从经济环境、技术环境、制度环境、企业文化、资源投入、技术创新战略、波动特性等方面,提出促进我国工业企业技术创新能力的对策,为我国工业企业技术创新的发展奠定了基础。
With the development of the globalization of the world economy and the upsurge of knowledge economy, a new technological revolution will set off across the world. The characteristics of this worldwide trend embody the transformation from conventional industries to knowledge based industries, the closer combination of technology and economy, the shortening of product life cycle and the emergence of high technology one after another. The accumulation of knowledge and innovation of technology are becoming the keys to the success of enterprises in this global competition, and significant factors to measure the science and technology competitiveness of a country. After China joined WTO, the world has experienced an unprecedented fierce competition. The innovative capacities and activities of technology have become the impetus and source which determine the survival and development of enterprises. Technological innovation capacity has been considered publicly as a crucial factor of improving the enterprises'competitiveness. Industrial enterprise is the pillar of national economy and the main part of technological innovation, which indicates that the level of technological innovation capacity concerns the overall development of national economy. How to evaluate the technological innovation capacity in industrial enterprises objectively, scientifically and effectively with combination of relative theoretical analysis of its own development characteristics will be particularly important to those corporations that compete to comprehend their own technological innovation capacity in the industries with appropriate strategies, enhance their competitive advantages and gain the best economic and social benefits.
This dissertation begins with an introduction of the background, purpose and significance of this study. Based on the above introduction, a literature review on the one hand will be conducted about the domestic and overseas technological innovation capacity from the view of its conception, structure definition, evaluating indicators and methodologies, and empirical research, etc. On the other hand, current studies of technological innovation capacity will be classified to ensure the creativity of this research which establishes firm foundation for the follow-up studies. Finally, relative theories used in this dissertation are introduced including innovative theory, technological innovation theory and enterprises'technological innovation capacity, etc.
In the next section, the conception of industrial enterprise is defined and its features are analyzed. Meanwhile, the general situation of industrial enterprises is also analyzed from the aspects of corporate scale, economic grouping, industrial and provincial characteristics. To figure out the current state of the technological innovation capacity in industrial enterprises of our country, it is investigated from the aspect of basic conditions, inputs and outputs of resources and outside environment. Relating to the real national conditions, the main factors to be concerned are environment, corporate features, motivation and patterns of the technological innovation.
Furthermore, on the basis of illustrating the classification of the evaluating indicators, it also identifies the principals and approaches to construct the evaluating system and determine the specific settings of the system. With a comprehensive consideration of the analytic hierarchy process and entropy theory, it constructs the evaluating model of the technological innovation capacity in industrial enterprises and conducts an empirical research with data. Based on the above illustration, the fluctuation of the capacity is defined and the affecting factors will be discussed from the aspect of its intrinsic patterns, 'people, wealth and policy'and outside environment. The algorithm'triennium weighted moving average method is adopted to calculate the cycle of fluctuation for the empirical research.
At last, it proposes the strategies to promote the technological innovation capacity of industrial enterprises in our country from the view of economic environment, technological environment, regulatory environment, corporate culture, resource inputs, technological innovation strategies and fluctuation feature. These strategies can provide some references for these industrial organizations.
引文
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