资源型企业技术创新贡献度评价研究
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摘要
目前我国已经把科技创新提到了国家战略的高度,提出了要在2020年左右把我国建设成创新型国家的宏伟目标,科学技术的重要性得到了高度重视。在国家科技创新实施战略中,企业特别是支柱企业的技术创新程度是关键中的关键。国内外实践表明,企业是技术创新的主体,是技术创新的创造者、创新活动的推进者和创新成果的使用者,技术创新也是企业实现可持续发展的不竭动力之一。
作为一类最古老、最基础的企业类型,资源型企业有其独特的行业特点和资源配置特点。技术创新带来的新成果,不仅可以提高资源型企业的经济效益,增强企业在激烈的市场竞争中的竞争能力和自我发展能力,同时也能不断提高人民生活水平、改善生活质量,带来良好的社会效益。在国家大力推行资源节约型和环境友好型社会建设的大背景下,对于作为国民经济基础的资源型企业而言,目前发展过程中遇到了许多困难,加快技术创新、提高技术创新效率和效果显得更为重要。
本文主要以技术创新理论、创新系统理论、协同学理论为基础,综合运用定性分析与定量分析相结合的研究方法,对资源型企业的技术创新理论与评价方法进行了系统、深入研究,并以具有重要代表意义的资源型企业之一—中国铝业公司的电解铝行业为例,对其技术创新的贡献度及协同度进行了实证研究,对如何提高资源型企业的技术创新效果提出了相应的对策建议,这些研究成果具有较大的理论意义和现实意义。
本文的研究内容主要包括：
1、在国内外学者既有研究成果基础上,对技术创新理论、创新系统理论、协同学理论的产生和发展进行了系统阐述,就企业技术创新评价中引入协同思想的必要性进行了探讨。
2、资源型企业的产品成本构成中,以自然资源为主体或其生产要素的构成中自然资源占核心地位,资源型企业最突出的特征就是自然资源对企业的贡献大,企业对自然资源的依赖性强。资源型企业有其资源配置特点,这在一定程度上影响着企业的技术创新力度与效果。资源型企业必须在产业链延伸、产业竞争规则创新和产业转型等方面开展技术创新,以提高企业的可持续发展能力。
3、结合资源型企业的特点,设计了资源型企业技术创新贡献度评价指标体系,通过建立主成分分析模型、因子分析模型识别企业技术创新主要投入、产出因素,通过建立数据包络分析DEA模型有效识别同类型企业技术创新贡献度大小,便于决策者在今后的决策中优化技术创新资源配置,实现整体效率最高。本文主要以中国铝业公司技术创新实践为研究对象,详细描述了该公司的技术创新体制,通过设计评价指标体系、数据收集,选择相应的模型,对该公司下属的电解铝分子公司的技术创新贡献度进行了实际评价,发现不同的企业技术创新贡献度差异很大。
4、以协同理论为指导,建立了资源型企业多要素协同技术创新模型,构建了包括3个一级指标,7个二级指标,19个三级指标的资源型企业技术创新系统协同度评价指标体系。运用协同度测度模型对中国铝业公司旗下的电解铝分子公司的企业技术创新系统协同度进行了实证分析。
5、对现行三种传统的企业技术创新模式--以高校(科研院所)为主导的技术创新模式、传统的产学研技术创新模式、企业内部集成式技术创新模式的局限性进行了深入分析,提出了建立以资源型企业为主体的资源集成技术创新新模式的新思路,认为该模式是现阶段改进企业技术创新效果的可行之路。论文还从信息化创新、绿色化创新和循环化创新三个方面探讨了资源型企业技术创新的未来发展方向,就如何切实提高我国资源型企业持续科技创新能力提出了自己的见解。
本文研究内容是国家科技部软科学课题《资源型企业科技创新的贡献度实证研究(2008GXS5B090)》的重要成果,相信本文的研究结论对评价、指导其他资源型企业的技术创新实践有一定的作用。
Technological innovation has been included within our national strategy, and an ambitious goal to finish the conversion of our country into an innovative country by 2020 has been set. In the implementation strategy of this national technological innovation, the technological innovation degree of mainstay enterprises is the key. Both foreign and domestic practices manifest that enterprises are the main part of technological innovation, which act as the creator of technological innovation, the impeller of innovation processions and the user of innovation achievements. And at the same time technological innovation is also an inexhaustible motive force for enterprises to realize sustainable development.
As the oldest and basic form of business enterprise, resource enterprises have their own industry specific features. New achievements produced by technological innovation, not only can increase resource enterprises' economic benefits, enhance their competitive power and development capability, but also can improve the people's quality of life and bring about favorable social effects. In the context of our country vigorously promoting building resource-saving and environment-friendly society, resource enterprises have encountered many difficulties in their developing procession and thus it's of great significance to speed up technological innovation and improve the efficiency and effectiveness.
Mainly based on technological innovation theory, innovation system theory and synergetic theory, this paper extends systematic and deep research into the resource enterprises'technological innovation theory and evaluation method through combining qualitative analysis and quantitative analysis. Furthermore, electrolytic aluminium industry of Aluminum Corporation of China Limited, which is one of the most representative resource enterprises, is taken as an example and empirical study on its technological innovation's contribution degree and synergy degree is finished. Based on that, some countermeasures and suggestions are put forward with regard to how to improve resource enterprises' technological innovation effects, all of which have grand theoretical significance and practical significance.
This paper's research contents are presented as following:
(1) By referring to foreign and domestic research achievements, systematic elaboration on the emergence and development of the three theories stated above is presented, and the necessity to introduce synergetic thought into the evaluation of enterprises'technological innovation is discussed afterwards.
(2) Natural resources take core places in the production factors structure of resource enterprises, which influences the level and effect of its technological innovation. Thus resource enterprises should promote technological innovations, such as extending industrial chain, innovating industrial rules of competition and industry conversion, in order to boost their sustainability.
(3) Following the analysis on features of resource enterprises, an index system aimed at evaluating the contribution degree of these enterprises'technological innovation is proposed. PCA (Principal Component Analysis) is applied in identifying the main input and output factors of technological innovation, and DEA (Data Envelopment Analysis) is used to obtain the contribution degree of those enterprises' technological innovation of the same type. In order to put it more unassailably, this paper employs Aluminum Corporation of China Limited as the object of empirical study. After elaborating on its technological innovation system, designing the evaluating index system and data collection, we evaluate the technological innovation contribution degree of its 7 subordinate electrolytic aluminum factories and find out that there exist great differences among the contribution degree of different enterprises' technological innovation.
(4) Guided by synergetic theory, we have established a multifactor model of synergistic innovation procession for resource enterprises, and built an index system to evaluate the synergy degree of their technological innovation system, which consists of 3 first-class,7 second-class and 19 third-class indexes. Then factors that influence enterprises' synergistic innovation are analyzed. Empirical study regarding the synergy degree of 7 subordinate electrolytic aluminum factories'technological innovation system is presented with this model. The comparative analysis of comprehensive evaluating results has verified the validity of the established evaluation system for the contribution degree of technological innovation system.
(5) Furthermore, deep discussion about the limitations of three traditional technological innovation models is presented, and a new model of resource integration technological innovation with the resource enterprises as the subject is proposed, which is thought to be a feasible way out to improve enterprises' technological innovation effectiveness currently. Besides, this paper also discusses the future development of resource enterprises' technological innovation from three aspects, and raises some suggestions about how to improve the technological innovation ability of our domestic resource enterprises effectively.
This paper's research contents are main achievements of the project supported by Ministry of Science and Technology of China—Empirical Study on the Contribution Degree of Resource Enterprises' Technological Innovation (2008GXS5B090) and it's reasonable to assert that our conclusions are beneficial to the evaluation and conduction of other resource enterprises' technological innovation practice.
作为一类最古老、最基础的企业类型,资源型企业有其独特的行业特点和资源配置特点。技术创新带来的新成果,不仅可以提高资源型企业的经济效益,增强企业在激烈的市场竞争中的竞争能力和自我发展能力,同时也能不断提高人民生活水平、改善生活质量,带来良好的社会效益。在国家大力推行资源节约型和环境友好型社会建设的大背景下,对于作为国民经济基础的资源型企业而言,目前发展过程中遇到了许多困难,加快技术创新、提高技术创新效率和效果显得更为重要。
本文主要以技术创新理论、创新系统理论、协同学理论为基础,综合运用定性分析与定量分析相结合的研究方法,对资源型企业的技术创新理论与评价方法进行了系统、深入研究,并以具有重要代表意义的资源型企业之一—中国铝业公司的电解铝行业为例,对其技术创新的贡献度及协同度进行了实证研究,对如何提高资源型企业的技术创新效果提出了相应的对策建议,这些研究成果具有较大的理论意义和现实意义。
本文的研究内容主要包括：
1、在国内外学者既有研究成果基础上,对技术创新理论、创新系统理论、协同学理论的产生和发展进行了系统阐述,就企业技术创新评价中引入协同思想的必要性进行了探讨。
2、资源型企业的产品成本构成中,以自然资源为主体或其生产要素的构成中自然资源占核心地位,资源型企业最突出的特征就是自然资源对企业的贡献大,企业对自然资源的依赖性强。资源型企业有其资源配置特点,这在一定程度上影响着企业的技术创新力度与效果。资源型企业必须在产业链延伸、产业竞争规则创新和产业转型等方面开展技术创新,以提高企业的可持续发展能力。
3、结合资源型企业的特点,设计了资源型企业技术创新贡献度评价指标体系,通过建立主成分分析模型、因子分析模型识别企业技术创新主要投入、产出因素,通过建立数据包络分析DEA模型有效识别同类型企业技术创新贡献度大小,便于决策者在今后的决策中优化技术创新资源配置,实现整体效率最高。本文主要以中国铝业公司技术创新实践为研究对象,详细描述了该公司的技术创新体制,通过设计评价指标体系、数据收集,选择相应的模型,对该公司下属的电解铝分子公司的技术创新贡献度进行了实际评价,发现不同的企业技术创新贡献度差异很大。
4、以协同理论为指导,建立了资源型企业多要素协同技术创新模型,构建了包括3个一级指标,7个二级指标,19个三级指标的资源型企业技术创新系统协同度评价指标体系。运用协同度测度模型对中国铝业公司旗下的电解铝分子公司的企业技术创新系统协同度进行了实证分析。
5、对现行三种传统的企业技术创新模式--以高校(科研院所)为主导的技术创新模式、传统的产学研技术创新模式、企业内部集成式技术创新模式的局限性进行了深入分析,提出了建立以资源型企业为主体的资源集成技术创新新模式的新思路,认为该模式是现阶段改进企业技术创新效果的可行之路。论文还从信息化创新、绿色化创新和循环化创新三个方面探讨了资源型企业技术创新的未来发展方向,就如何切实提高我国资源型企业持续科技创新能力提出了自己的见解。
本文研究内容是国家科技部软科学课题《资源型企业科技创新的贡献度实证研究(2008GXS5B090)》的重要成果,相信本文的研究结论对评价、指导其他资源型企业的技术创新实践有一定的作用。
Technological innovation has been included within our national strategy, and an ambitious goal to finish the conversion of our country into an innovative country by 2020 has been set. In the implementation strategy of this national technological innovation, the technological innovation degree of mainstay enterprises is the key. Both foreign and domestic practices manifest that enterprises are the main part of technological innovation, which act as the creator of technological innovation, the impeller of innovation processions and the user of innovation achievements. And at the same time technological innovation is also an inexhaustible motive force for enterprises to realize sustainable development.
As the oldest and basic form of business enterprise, resource enterprises have their own industry specific features. New achievements produced by technological innovation, not only can increase resource enterprises' economic benefits, enhance their competitive power and development capability, but also can improve the people's quality of life and bring about favorable social effects. In the context of our country vigorously promoting building resource-saving and environment-friendly society, resource enterprises have encountered many difficulties in their developing procession and thus it's of great significance to speed up technological innovation and improve the efficiency and effectiveness.
Mainly based on technological innovation theory, innovation system theory and synergetic theory, this paper extends systematic and deep research into the resource enterprises'technological innovation theory and evaluation method through combining qualitative analysis and quantitative analysis. Furthermore, electrolytic aluminium industry of Aluminum Corporation of China Limited, which is one of the most representative resource enterprises, is taken as an example and empirical study on its technological innovation's contribution degree and synergy degree is finished. Based on that, some countermeasures and suggestions are put forward with regard to how to improve resource enterprises' technological innovation effects, all of which have grand theoretical significance and practical significance.
This paper's research contents are presented as following:
(1) By referring to foreign and domestic research achievements, systematic elaboration on the emergence and development of the three theories stated above is presented, and the necessity to introduce synergetic thought into the evaluation of enterprises'technological innovation is discussed afterwards.
(2) Natural resources take core places in the production factors structure of resource enterprises, which influences the level and effect of its technological innovation. Thus resource enterprises should promote technological innovations, such as extending industrial chain, innovating industrial rules of competition and industry conversion, in order to boost their sustainability.
(3) Following the analysis on features of resource enterprises, an index system aimed at evaluating the contribution degree of these enterprises'technological innovation is proposed. PCA (Principal Component Analysis) is applied in identifying the main input and output factors of technological innovation, and DEA (Data Envelopment Analysis) is used to obtain the contribution degree of those enterprises' technological innovation of the same type. In order to put it more unassailably, this paper employs Aluminum Corporation of China Limited as the object of empirical study. After elaborating on its technological innovation system, designing the evaluating index system and data collection, we evaluate the technological innovation contribution degree of its 7 subordinate electrolytic aluminum factories and find out that there exist great differences among the contribution degree of different enterprises' technological innovation.
(4) Guided by synergetic theory, we have established a multifactor model of synergistic innovation procession for resource enterprises, and built an index system to evaluate the synergy degree of their technological innovation system, which consists of 3 first-class,7 second-class and 19 third-class indexes. Then factors that influence enterprises' synergistic innovation are analyzed. Empirical study regarding the synergy degree of 7 subordinate electrolytic aluminum factories'technological innovation system is presented with this model. The comparative analysis of comprehensive evaluating results has verified the validity of the established evaluation system for the contribution degree of technological innovation system.
(5) Furthermore, deep discussion about the limitations of three traditional technological innovation models is presented, and a new model of resource integration technological innovation with the resource enterprises as the subject is proposed, which is thought to be a feasible way out to improve enterprises' technological innovation effectiveness currently. Besides, this paper also discusses the future development of resource enterprises' technological innovation from three aspects, and raises some suggestions about how to improve the technological innovation ability of our domestic resource enterprises effectively.
This paper's research contents are main achievements of the project supported by Ministry of Science and Technology of China—Empirical Study on the Contribution Degree of Resource Enterprises' Technological Innovation (2008GXS5B090) and it's reasonable to assert that our conclusions are beneficial to the evaluation and conduction of other resource enterprises' technological innovation practice.
引文
1见胡锦涛在2006年1月9日召开的全国科技大会上的讲话
2见王志珍委员在2010年全国两会上的发言稿《深化改革进一步提高自主创新能力》
1数据来源于中国科技部《中国科技统计数据2008》
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2见王志珍委员在2010年全国两会上的发言稿《深化改革进一步提高自主创新能力》
1数据来源于中国科技部《中国科技统计数据2008》
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参见刘海涛、孙明贵,企业技术创新能力评价方法的综合分析(J),纺织导报,2009.4
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