【作者】 曾建新；

【导师】 曹兴；

【作者基本信息】 中南大学 ， 管理科学与工程， 2013， 博士

【摘要】 近年来,随着世界核电的复兴和我国经济社会的快速发展对电力的需求,核电成为当今世界和我国能源发展中备受关注的一个热点和焦点,许多学者开始关注我国核电技术的创新与进步问题,核电技术创新也从自然科学领域向社会科学领域发展,从工程应用技术向技术经济管理方向发展。随着人们对世界和我国核电技术发展状况了解的深入,许多学者把眼光集中到核电产业发展管理上来,其中核电产业及企业的技术创新动力问题是其中的一个日显重要的方面。在已有研究文献评述的基础上,本文将产权结构因素对核电技术创新动力的影响问题分解为相互关联的三个方面问题：产权及其结构的演化和功能机制问题,即产权结构的形成和因素的作用问题；核电技术创新动力的形成机理和影响因素问题,以及它们与产权结构因素的关系问题；企业产权结构的主要因素对核电技术创新动力的影响机理、性质与评价问题。以上三个问题构成了研究产权结构因素影响核电技术创新动力的体系。在此基础上,本文以企业主体作为研究对象,首先深入分析了资源产权向企业法人产权演化的机理和产权内部结构关系。按照“产权界定、产权行使、行权结果”的思路,在委托代理方式下,由反映归属的权属结构、反映权能配置的权能结构、反映行权结果的收益结构组成。产权结构发生变化方式就存在主体变化、客体变化、行权方式变化和权能属性变化四种。其次,本文按照“行为动力、技术创新动力、核电技术创新动力”的逻辑,分析了技术创新动力的形成机制及其影响因素。技术创新动力是由主体的需求或欲望产生的目标,在内外部各激发因素和制约因素的综合作用下,形成创新的收益预期,最后以决策的形式表现出来。企业通过技术创新活动将各因素所蕴含或产生的收益(正或负的收益)内化于企业产权。深入探讨了核电技术创新的性质与特性,构建了企业核电技术创新动力的因素影响模型。然后,专门分析了企业产权结构在权属、权能和收益的三个方面具体结构组成要素,以及这些要素之间的相互关系。结合我国核电产业和企业状况,探讨了产权三方面的结构演变对企业相关主体技术创新决策影响机理,构建了企业核电技术创新动力的产权结构因素影响概念模型,并选取中核集团和中广核集团的核电反应堆技术创新两个案例,对理论分析进行了实证检验。在上述基础上,确定了产权结构主要影响因素及影响模型,提出了本文的假设。结合我国核电产业企业的特点和状况,对影响企业产权结构的因素,构建了测度的指标,采用Likert7.0量表测量方法；把政策环境、市场环境和企业非产权因素等三个方面的因素作为控制变量。在此基础上,设计了调查问卷和方案,对回收的问卷进行了数据收集与处理,采用AMOS7.0和SPSS for windows11.5软件工具,进行了回归分析、方差分析、因子分析、相关分析等进行检验分析。实证检验结果表明,假设都通过了检验。最后,本文考虑了核电技术自身演变规律和中国现实背景,并借鉴世界核电大国的核电产业发展与技术演变的经验,提出了促进我国核电技术创新的产权结构选择策略。更多还原

【Abstract】 In recent years, with the revival of the world’s nuclear power and the rapid development of China’s economic and social demand for electricity, nuclear power becomes a hot focus in the energy development of today’s world and China. Especially the gap between the development of China’s nuclear power and the world’s nuclear power, and the current situation of the gap historical trajectory of the development of nuclear power technology draw the attention and consideration of the society, and more and more business managers and researchers begin to focus on the innovation and progress of China’s nuclear power technology. In China, Knowledge of nuclear power technology has developed from the original mysterious stage to the universal stage, and nuclear power technology innovation from the natural sciences to the social sciences, from engineering application technology management direction to the technical and economic development.With in-depth understanding of the development of nuclear power technology in China and the world, many researchers gradually changes their attention from dissatisfaction with phenomenon to the exploration of the phenomenon. Deep-seated problems continue being put forward, and more and more centralized on the development and management of the nuclear power industry, among which technological innovation power problem of nuclear power industry is an increasingly important aspect.On the basis of existing research literature review, the paper divides the influences that property rights structure factors has on nuclear power technology innovation power into three interrelated aspects:(1) the evolution of property rights and its structure and functional mechanism, namely property rights structure formation and the role of the factors;(2) the formation mechanism and influence factors of the power of nuclear technology innovation, and their relationship with the property rights structure factors;(3) the influences, nature and evaluation of main factors of the corporate structure of property rights on the mechanism of nuclear power technology innovation power. They constitute the complete system of the influences the property rights structure factors has on nuclear power technology innovation.Based on the framework of this system, the paper explores the enterprise as the main object. First it deeply analyzes the evolution procedure from the resource property rights to the enterprise property as well as structural relations of the internal property. The structure of property rights, which is based on the process of defining property rights→exercising property rights→getting results and acts in a principal-agent way, is consists of the ownership structure which reflects the vest, the revenue structure which reflects the power configuration, and the power structure which reflects the results of the exercise. Changing ways of the structure of property rights are subject changes, object changes, changes of the way to exercise rights and the power property changes. Factors of the structure of property rights are in these four changes.Secondly, in accordance with the logic of the behavioral power→technical innovation power→nuclear power technology innovation power, this paper starts from the general behavior of power mechanism, and analyzes the formation mechanism of the technological innovation power and its influencing factors. Technological innovation power is driven by the needs or desires of the main objectives, under the combined effect of both its internal and external excitations and constraints to form innovative revenue expectations, thus it is finally manifested in the form of decision-making.There are plenty of driving forces of enterprise technology innovation power and a large number of influencing mechanisms of complex factors on power. According to the logical explanation of property rights, through technical innovation activities the enterprise transfers various revenue (positive or negative) concluded or generated to the enterprise property rights. On this basis, the nuclear power, nuclear power technology and innovative nature and characteristics are deeply studied, and the enterprise model of nuclear power technology innovation driving forces is build by combining with the common dynamic influencing factors.Then the paper is devoted to the enterprise property rights structure in the elements of specific structure of the three aspects of ownership, empowerment and income, as well as their mutual relationships. On this basis, combined with the situation of China’s nuclear power industry and enterprise, the paper investigates the mechanism of the property rights structure evolution related to the main technical innovation decisions of enterprises, then, a conceptual model of enterprise property right structure factors connected with nuclear power technology innovation power is built.Based on the above, the aspects, nature and manner of how the structural factors in three aspects of the enterprise property rights affect the main aspects of the innovative power of nuclear power technology are analyzed, and main factors and models of the structure of property rights, as well as assumptions are put forward.Next, the paper takes the references of the existing literature, combining with innovative features and condition of the nuclear power industry and nuclear power technology enterprise, and puts forward measure indicators and methods for the influencing factors of enterprise property right structure. It mainly adopt Likert7.0Scale measurements and right-wrong methods; At the same time, it takes the five important factors of the three aspects of the policy environment, market environment and corporate non-equity factors as control variables. Based on this, it designs a questionnaire and survey program, and conducts data collection and processing of the returned questionnaires, then employs AMOS7.0and SPSS for windows11.5software tools, using regression analysis, analysis of variance, factor analysis, correlation analysis to test and analyze. The empirical results show that the hypotheses have passed the test. Lastly, in this paper, we take the specificity of nuclear power technology evolution scenarios and the situation of our country into consideration, and learn from the experience of the world’s nuclear power development and technology evolution, putting forward the structure of property rights selection strategy which can promote the technological innovation of China’s nuclear power.更多还原