【作者】 寇琳琳；

【导师】 姜继忱；

【作者基本信息】 东北财经大学 ， 技术经济与管理， 2013， 博士

【摘要】 提高企业自主创新能力,不仅是事关提高企业长期盈利能力和竞争力的重大发展问题,而且也是我国经济结构调整、技术进步等经济发展方式转变的关键内容。鉴于中国国情,政府资金和政策支持在企业自主创新能力的提高过程中发挥着重要作用。在目前中国市场作用的发挥还受到国家行政机构多方控制和掣肘的情况下,影响发展方式转变的最重要的体制性障碍是长期形成的政府行政管理体制。这种“政府主导”型行政管理体制,决定了中国企业自主创新能力的提升在很大程度上要受到政府政策的影响。随着中国市场经济体制的初步建立以及整体社会进入中等收入的发展阶段,国家迫切需要实现由政府主导的经济增长,向政府对市场进行宏观调控、市场价格变动引导企业、企业主导技术进步和创造价值的新的经济增长方式转换,使中国能够顺利的迈向高收入社会。经过30多年的改革开放,虽然中国企业自主创新能力有了很大提高,但一些制约技术创新和新技术产业化的障碍仍然严重存在。与创新型国家相比,中国的差距表现在很多方面,包括自主创新能力特别是企业核心竞争力较弱、高新技术产业在整个经济中所占的比例不高、关键技术自主研发比例较低、科研实力不强、优秀拔尖人才比较缺乏、产业技术的一些关键领域存在较大的对外依赖型、科技投入不足以及体制机制还存在不少弊端等方面。一个国家没有经济独立,就不会有政治独立。提高企业的自主创新能力已经成了中国经济发展过程中的当务之急。在发达国家,具有规模经济优势的跨国大企业集团必须持续实现技术创新的产业化以保持其国际竞争力。而成千上万的中小企业,却是技术创新的主要来源。在当下中国,一些国有企业缺乏创新动力,而广大中小企业的创新潜力也没有得到充分的挖掘。提高企业自主创新能力是增长方式转变的关键,推动国有企业和中小企业的自主创新,对于推动中国经济发展具有巨大的意义。基于这些背景,企业自主创新以及测度的研究,对于中国未来经济发展具有重大的理论和现实意义。本文共分七章,主要内容概括如下：第一章,绪论。首先提出问题,从实践价值和理论意义两个方面说明了本文研究的目的；对与本研究内容相关的国内外文献进行分析评价,并列举了众多学者对自主创新能力指标的阐述；说明了本文的框架结构和主要研究内容,并归纳了本文的创新与不足。第二章,企业自主创新的一般分析。界定了自主创新的基本内涵以及企业自主创新的基本模式和主要功能,并指出中国企业自主创新的模式选择；说明了企业自主创新的基本属性以及政府为什么介入自主创新,并揭示了政府作用于企业自主创新的关键点。第三章,影响企业自主创新及测度的主要因素分析。该章从内生因素和外生因素两个方面分析了对企业自主创新及测度的影响。其中内生因素主要包括企业的自主创新意识与企业家精神、创新利益目标与创新收益、创新能力及企业盈利水平和投入能力、创新权利的合理配置与创新人才及企业创新文化氛围等,外生因素主要从工业化和产业发展阶段的本质要求、技术推动力与技术链和创新链的制约、需求拉动与市场竞争力等方面进行分析。第四章,中国企业自主创新的现状分析。本章对中国企业自主创新进行了较为客观的描述。首先,肯定了中国自主创新的成效,包括创新发展战略更加明确,自主研发能力持续增强、创新产出成果丰硕等方面；其次,从总体上描述了中国企业的自主创新,当前中国自主创新投入的总量不断增长,但是相对于经济增长的速度,幅度较小,并面临着国际上其他国家技术追赶的挑战,所以提高自主创新能力已经成为了中国高新技术产业面临的核心问题；最后,指出了中国企业自主创新能力的主要障碍因素,并分析了这些障碍因素的成因。第五章,政府支持企业自主创新的国际比较分析。首先,‘比较分析了研发创新绩效,并指出了数据分析归纳和结论；其次,探讨了支持企业自主创新的财税政策体系,通过横向对比的方法,归纳了支持自主创新的财税政策选择经验,并结合中国实际,找出了中国财税支持体系中存在的问题；最后,说明了支持企业自主创新的金融体系,进一步借鉴国际经验,指出中国新金融体系支持企业自主创新过程中存在的主要问题。第六章,企业自主创新评价指标体系构建及测度。首先,设计了企业自主创新评价指标体系,从其遵循的原则出发,将企业自主创新的评价指标分为内部评价指标和外部评价指标；其次阐述了企业自主创新的主要测度方法及应用思路；最后是企业自主创新的测度和实证检验,并运用因子分析法,分别以大中型工业企业和辽宁工业企业为例,测度了企业的自主创新。第七章,促进企业自主创新的资金和政策举措。在前几章分析的基础上,提出了促进企业自主创新的政策举措。首先,应完善促进企业自主创新的财税政策,从财政、税收、政府采购和信贷四个方面进行了分析；其次,应鼓励企业成为自主创新的主体,加强企业自身创新能力建设,充分发挥企业家在自主创新中的作用,加强企业自主创新人才队伍建设,并加强企业的文化建设；再次,构建产学研相结合的体制平台,指出了产学研相结合的具体措施,并指出了优化产学研相结合的要素环境；最后,明确健全企业自主创新能力评价的指标体系,包括健全企业综合绩效评价指标,健全企业自主创新依存度指数及其指标体系,建立健全测度企业自主创新的主要指标体系等。基于政府资金和政策支持角度的企业自主创新及测度研究,对于提高中国企业整体的自主创新能力具有重大的理论和现实意义。健全企业自主创新评价指标体系,是促进企业自主创新能力的关键因素。提高自主创新能力,建设创新型国家,是国家发展战略的核心,是提高综合国力的关键。促进企业的自主创新,是国家整体经济发展的有力保障。在当前的转轨时期,中国应完善促进企业自主创新的财税政策,鼓励企业成为自主创新的主体,构建产学研相结合的体制平台,同时,健全企业自主创新能力评价的指标体系。从政府资金和政策支持方面,为企业自主创新能力的提高创造了一个良好的政策环境。更多还原

【Abstract】 To improve the independent innovation ability of enterprises is not only the key to solve the enterprise’s long-term development problem, but also the key to change the way of economic development in our country. Given the special national conditions of China, government funds and policy support play an important role in the process of raising the independent innovation capability of corporations. At present, the role of market mechanism in china is controlled by state administrative agencies, and the most important system obstacle to transform development patterns is the government administrative system, which has been shaped over a long period of time. The government leading administrative system determined that the ability of the enterprise independent innovation in China was largely influenced by government policy. As China’s market economy system has been established preliminarily, and the society are entering the middle-income stage of development, it is in urgent need of transformation, from governmental dominant economic growth pattern, to the pattern of market price change guide companies and companies dominate the technological progress, and the new economy growth pattern will make China enter into a high-income society successfully.After more than30years of reform and opening up, the enterprise’s capacity for independent innovation in China has greatly improved, but some factors hindering technology innovation and new technology industrialization still exist. Compared with innovative countries, the defects of China perform in many ways, including the independent innovation ability, especially the core competition of the enterprise is weak, the share of high and new technology industries in the economy is not high, the R&D ratio of key technologies is low, the scientific research capabilities is not strong, lack of excellent professionals, the investment in R&D is insufficient, and the system still has some disadvantages, etc. If there is no economic independence in a country, there will be no political independence. It becomes imperative for China to improve the capacity for independent innovation.In developed countries, multinational conglomerates must continue to realize the industrialization of technology innovation in order to maintain its international competitiveness. However, tens of thousands of small and medium-sized enterprises are actually the main source of technology innovation. In China, now some state-owned enterprises are lack of innovation power and the innovative potential of small and medium-sized enterprises have not been fully tapped. Improving enterprise’ independent innovation ability is the key to the change of the pattern of economic growth. Also, promoting independent innovation of state-owned enterprises and small and medium-sized enterprise has great significance for promoting China’s economic development. Based on this background, the research of enterprise independent innovation has important theoretical and practical significance on China’s future economic development. This article’ main content is listed as follows.Chapter one is introduction. The first part raised questions, and illustrated the purpose of this study according to the practical value and theoretical significance. Also, it analyzed and evaluated the related researches, and cited numerous scholars on the analysis of the independent innovation ability index. In addition, it pointed out that the frame structure and the main research content about this this paper, and indicated the innovation and deficiency of this article.Chapter two is the general analysis of enterprise independent innovation. It not only analyzed the basic connotation of independent innovation, but also analyzed the basic model and main functions of enterprise independent innovation. And it pointed out that Chinese enterprises independent innovation pattern choice. Moreover, it analyzed the basic attributes of enterprise independent innovation and government intervention in the independent innovation, and pointed out the government role in the enterprise independent innovation point.Chapter three is about the main factors which influence the enterprise independent innovation and measure. This chapter pointed out the influence of enterprise independent innovation and measure from two aspects. Endogenous factors mainly include the independent innovation and entrepreneurship, innovation goals of profit and revenue, innovation ability and level of corporate earnings and investment ability, reasonable allocation of rights and enterprise innovation culture and innovation talents, exogenous factors mainly include the stage of industrialization and industry development requirements, technical force and the nature of the restriction of technique and the innovation chain, demand analysis and market competitiveness, and so on.Chapter four is about the status quo of China’s enterprise independent innovation. It described China’s enterprise independent innovation objectively. Firstly, it affirmed the results of China’s independent innovation, including innovation development strategy had become more clearly, the ability of R&D was increasing, the innovation output was fruitful, etc. Secondly, it described the Chinese enterprises’ independent innovation on the whole. At present, compared to the speed of economic growth, the amount of independent innovation input was increasing but within a small range, and it also faced the challenge of international technology catch from other countries, improving the independent innovation ability had become the core problem of China’s hi-tech industry. At last, the chapter pointed out the main obstacles to Chinese enterprise independent innovation ability, and analyzed the causes of these obstacles.Chapter five is the international comparison and analysis about governmental support enterprise independent innovation. First of all, it compared and analyzed the R&D innovation performance, as well as pointed out the data analysis and the conclusion. Secondly, it analyzed the support enterprise independent innovation system of fiscal and taxation policy, through crosswise contrast, to analyze the international fiscal and taxation support independent innovation experience, and combining the reality of China, pointed out the existing problems in China’s fiscal and taxation support system. Finally, it analyzed the support enterprise independent innovation of the financial system, and learned from international experience, pointed out the comparative analysis of China’s new financial system, which aimed to support enterprise independent innovation.The sixth chapter builds up and measures the index system of enterprise independent innovation. First of all, it pointed out the index system of enterprise independent innovation. From the principle which it was following, the internal evaluation and external evaluation index were put forward. Secondly, it described the main measure and application of enterprise independent innovation. Lastly, it put forward the measure and empirical test of the enterprise independent innovation, and measured the independent innovation of enterprises though using the factor analytic method.Chapter seven is policies and measures to promote enterprise independent innovation. Based on the analysis of previous chapters, this chapter proposed policies and measures. First of all, enterprises should improve the fiscal and taxation policies to promote the enterprise independent innovation from different aspects, such as financial, taxation, government procurement and credit. Secondly, enterprises should be encouraged to become the main body of independent innovation, to strengthen the ability of enterprise independent innovation, to give full play to the role of entrepreneurship in independent innovation, and to strengthen enterprise culture construction. Thirdly, it pointed out that enterprises should build a platform of producing-studying-researching, and offered some related measures. Finally, it pointed that the enterprise independent innovation ability evaluation index system should be clear, including improves the enterprise integrated performance evaluation indicators, and improves the enterprise independent innovation dependence index and index system, to establish and improve the measure enterprise independent innovation is the main index system, etc.Based on the government funds and policy support, the research of enterprise independent innovation and measure has important theoretical and practical significance to China’s enterprises. And enhance the evaluation index system of enterprise independent innovation is the key factor to promote enterprise independent innovation. Improving self-directed innovation capability and building an innovative country are critical factors of national development strategy. Promoting the independent innovation of enterprises is effective guarantee to the national overall economic development. During the transitional period, China should perfect the fiscal and taxation policies to promote the enterprise independent innovation, to encourage enterprises to become the main body of independent innovation, to build the combination of system platform, at the same time, to improve the enterprise independent innovation ability evaluation index system. From the aspect of government funds and policy support, it is urgent to create a favorable policy environment to improve the self-directed innovation capability.更多还原