【作者】 马云俊；

【导师】 王伟光；

【作者基本信息】 辽宁大学 ， 技术经济学， 2013， 博士

【摘要】 技术创新是企业得以生存和发展的动力源泉，是产业、区域乃至国家竞争力提升的根本保证。在当前资源约束、能源约束、环境约束的背景下，没有创新支撑的发展方式是不可持续的。创新活动是多主体参与，多投入、多产出、多阶段的资源转化过程。通过整合各种创新资源，实现创新思想的价值化，是创新的最终目标。然而，由于创新活动的复杂性，评价创新效率的方法和手段各异，导致不同的研究结果。结合我国大中型制造企业在国民经济中的重要地位以及创新发展现状，很多问题需要我们继续深入探讨，例如创新的价值实现过程包含哪些主体？创新价值实现的关键环节有哪些？我国大力提倡科技创新背景下，创新投入与产出是否匹配？影响创新效率的因素有哪些？如何提升我国大中型制造企业创新的整体效率和水平等等，都需要突破传统研究进行深入探讨。创新价值链（IVC）理论是研究创新过程以及创新效率的有力工具，本文在前人研究基础上，构建了全新的创新价值链模型，将创新的价值实现过程进一步的细化，有针对性的提出三次投入产出思想，并针对不同环节的投入产出，测量其创新效率与影响因素，从行业视角与区域视角分别对我国大中型制造企业的创新效率进行评价，并给出创新价值链从低效率型向高效率型延伸的不同模式，以及实现创新价值链延伸的保障措施，以此促进我国大中型制造企业创新效率的提升。具体研究内容主要包括：第一，创新价值链理论模型的构建。借鉴前人研究基础，结合大中型制造企业创新实际，构建了全新的创新价值链模式。新的创新价值链模型重点关注问题包括：（1）创新的利益相关者，不同创新参与主体，拥有不同的创新资源与创新动机，对创新效率有着重要的影响。（2）创新的投入和产出，本文从系统性、科学性、实用性、可行性等原则出发，将创新价值实现过程细分为三次投入产出，分别对应科技产出、物化产出、价值产出三个环节，研究结果更接近于现实，更有针对性。（3）创新价值实现的关键环节，即影响三次投入产出的关键要素有哪些，文中分别用创新组织模式、科技成果物化与物化产出价值化等来描述。（4）创新价值链的类型，针对不同环节的创新效率高低情况进行划分，将创新价值链划分为一体化型、研发主导型、商业化主导型、研发和商业化主导型、生产制造主导型等，用以结合实证分析进行创新价值链的延伸模式选择。第二，创新价值链各环节效率的评价。创新的价值实现过程可以细分为三个阶段，针对每一个阶段的多投入、多产出特征，本文采用数据包络分析（DEA）方法进行效率评价。针对不同环节的创新投入、产出特征，构建评价指标体系，数据均来自于《中国统计年鉴》、《中国科技统计年鉴》等官方统计资料。根据DEA分析结果，将我国大中型制造企业从行业视角和区域视角分别进一步划分为不同创新价值链类型。最后，针对不同环节的创新效率情况，采用多元回归分析方法以及超效率DEA（SE-DEA）模型，对影响创新效率的关键因素进行回归分析，验证影响因素与不同环节创新效率的相关性。第三，创新价值链延伸模式选择与保障措施。对我国大中型制造企业进行创新效率评价的目的，一方面了解现状，发现问题，另一方面就是针对问题，提供对策措施。实证分析结果给出了我国大中型制造企业行业视角和区域视角的创新效率现状，并结合创新价值链理论模型进行了分类。针对不同环节的创新效率差异情况，需要进行创新价值链的延伸，即从低效率型向高效率型的转化升级。最后，从不同角度提出了促进创新价值链的升级的对策措施，以此促进我国大中型制造企业创新效率的全面提升。通过对我国大中型制造企业创新效率的评价，一方面对创新价值链的理论模型加以验证，另一方面系统分析了我国大中型制造企业发展现状与行业间、区域间的差异情况，找到影响创新效率的因素，为全面提升产业创新效率提供了参考性意见，具有较强的理论与实践研究价值。更多还原

【Abstract】 Technology innovation is the power of survival and development for enterprise, andthe guarantee of promoting industry, regional, and national competitiveness. Under thebackground of resource constraints, energy constraints and environmental constraints, thedevelopment mode of no innovation support is unsustainable. Innovation is multiplemain body participation, and the resources transformation process of multiple input,output and phase. By integrating various resources, to achieve innovative ideas to value,is the ultimate goal of innovation. However, because of the complexity of the innovationactivities, differences of evaluation methods and means, lead to different results.Combined with the important position in national economy of the large andmedium-sized manufacturing enterprises in our country and the innovation developmentpresent situation, a lot of problems we need to continue to explore, such as how manyparticipants and key links are there in the innovation process? Under the background ofour country vigorously promote scientific and technological innovation, do they match ofinnovation input and output of? What are factors that influence innovation efficiency?How to improve the innovation efficiency and level of China’s large and medium-sizedmanufacturing enterprises, etc., all need to break through the traditional research.Innovation value chain (IVC) theory is a powerful tool to research the innovationefficiency and innovation process. On the basis of predecessors’ research, constructs thenew model of innovation value chain, disconnect the value realization process, proposethree input and output, and according to different links of input and output, measuring theinnovation efficiency and the influence factors, from the perspective of industry andregional respectively to evaluate the innovation efficiency of large and medium-sizedmanufacturing enterprises in our country, and gives the different modes of innovationvalue chain from low efficiency to high efficiency, as well as the safeguard measures ofrealizing the extent of the IVC, to promote the innovation efficiency of large andmedium-sized manufacturing enterprises in our country. The research content mainlyincludes:First, the construction of innovation value chain model. Reference to previous research foundation, combining the innovation reality of large and medium-sizedmanufacturing enterprise, constructed the new value chain model. The new innovationvalue chain model focus on:(1) Different stakeholders of innovation, different innovationmain body, have different innovation resources and innovation motivation, has animportant influence on the innovation efficiency.(2) Inputs and outputs of innovation.base on systematic, scientific, practicability, feasibility, innovation value realizationprocess is subdivided into three input and output, respectively corresponding to theoutput of science and technology, materialized output, and value output, the results aremore close to the reality, more targeted.(3) The key link in the process of innovationvalue realization. That is key elements affect three times of the input and output. Thispaper respectively with innovation organization pattern, the transformation of scientificand technological achievements, commercial efficiency.(4)The type of innovation valuechain. According to different areas of innovation efficiency high and low condition,could be divided into complete innovation value chain model,research and developmentleading commercialization,leading, development and commercialization of leading,manufacturing leading, etc., for the innovation combined with empirical analysis of thevalue chain extension mode selection.Second, the efficiency evaluation of each link to innovation value chain. Theimplementation process of innovation value can be subdivided into three phases, for eachphase of the input and output characteristics, efficiency evaluation uses the dataenvelopment analysis (DEA) method of. According to different links of innovation inputand output characteristics, constructing evaluation index system, data from Chinastatistical yearbook, China statistical yearbook of science and technology and otherofficial statistics. According to the results of the DEA analysis, divided our country largeand medium-sized manufacturing enterprises from the perspective of industry andregional perspective into different type of innovation value chain. Finally, according todifferent areas of innovation efficiency, using multiple regression analysis method forregression analysis on the key factors that influence efficiency of innovation, verifycorrelation of the influencing factors and the innovation efficiency of different link.Third, the mode selection of innovation value chain extension and safeguardmeasures. For the purpose of innovation efficiency evaluation of large and medium-sized manufacturing enterprises in our country, on the one hand, to understand the status quo,found the problem, on the other hand is in view of the problem, provides thecountermeasures. Empirical analysis results given China’s large and medium-sizedmanufacturing enterprises innovation efficiency status of industry and regionalperspective, and classify combining the theory of innovation value chain model.According to different areas of innovation efficiency, need to extend innovate value chain,that is, upgrade from low efficiency to high efficiency model. Finally, puts forward themeasures to promote innovation value chain upgrade from different angles, to promotethe innovation efficiency of large and medium-sized manufacturing enterprises all-roundin China.Based on the evaluation of the innovation efficiency of large and medium-sizedmanufacturing enterprises in our country，on the one hand, the innovation value chainmodel is verified, on the other hand, analyzes the current situation and industry, regionaldifferences of the large and medium-sized manufacturing enterprises in our country, andfind the factors that influence innovation efficiency, provides the reference opinions tomaximize the industry innovation efficiency, has strong theoretical and practicalresearch value.更多还原