【作者】 刘井建；

【导师】 陈伟；

【作者基本信息】 哈尔滨工程大学 ， 管理科学与工程， 2008， 博士

【摘要】 研究与开发(Research and Development,R&D)不仅是企业技术创新的核心环节,也是企业竞争优势的源泉与持续发展的动力。企业高新技术创新项目R&D活动在企业发展中具有举足轻重的作用,同时也是一项高风险、高收益的投资活动。近年来,无论是政府还是企业自身都纷纷加大了对企业高新技术创新项目R&D活动的投资力度,由于风险大,成功率不高,使企业高新技术创新项目R&D投资绩效成为关注的焦点之一,而如何有效地测度与评价(测评)企业高新技术创新项目R&D绩效也成为当前亟待解决的问题。对企业高新技术创新项目R&D绩效进行测评是高新技术创新项目实施后期工作的关键,科学地测评企业高新技术创新项目R&D绩效,对降低企业高新技术创新项目R&D投资风险、提高经济效益具有重要意义。本文主要针对以下几个方面进行了研究:系统综述了R&D绩效测度与评价理论方法的相关研究成果;阐析了企业高新技术创新项目R&D绩效测评的现状,指出了存在的问题与不足;提出了包含R&D效率和R&D效力的企业高新技术创新项目R&D绩效评价的内容体系,并分析了二者的区别和联系,据此构建了包含R&D效率和R&D效力的企业高新技术创新项目R&D绩效评价指标体系;运用解释结构模型(ISM)建立了企业高新技术创新项目R&D效率和R&D效力的关联耦合模型;运用数据包络分析(DEA)的基本原理,构建了两阶段-DEA的企业高新技术创新项目R&D效率评价模型,考虑到时间因素,将Malmquist指数引入企业高新技术创新项目R&D效率变动评价,构建了基于等产量线的企业高新技术创新项目R&D技术变动预测模型;针对企业高新技术创新项目R&D效力测评中存在的主观性和不确定性,运用未确知数学的基本原理,与未确知数学中盲数相结合,建立了不确定结论合成模型和企业高新技术创新项目R&D效力的未确知测度评价模型;利用调研数据对调研企业高新技术创新项目R&D绩效进行综合评价,并对企业高新技术创新项目R&D效率和R&D效力进行关联检验;结合我国企业高新技术创新项目R&D活动的实际,从R&D、企业和政府三个层面提出了提高企业高新技术创新项目R&D绩效水平的对策和建议,为提升企业高新技术创新项目R&D绩效水平、增强企业核心竞争力提供发展思路。本论文的研究具有重要的理论意义和实践价值。本论文的研究不仅丰富和完善企业高新技术创新项目R&D绩效评价的内容体系,拓展了企业高新技术创新项目R&D绩效评价方法与模型,促进R&D绩效测评理论和方法的科学性和规范性,而且有利于政府、企业甚至R&D部门准确掌握企业高新技术创新项目R&D活动的总体趋势,识别企业高新技术创新项目R&D活动的优劣势,从而能够制定出有效的企业高新技术创新项目R&D发展政策,提高R&D能力,增强企业的竞争优势。更多还原

【Abstract】 Research and Development (R&D) is not only the core tach of technology innovation, but also the headspring of enterprises’ competitive advantage and drive of continuous development. Enterprise high-tech innovative project R&D plays an important role in enterprise development, which is also a high-risk and high-profit activity. In recent years, government and enterprises themselves have paid more attention to the investment of enterprise high-tech innovative project R&D, which is of greater risk and lower success rate, and that results in that enterprise high-tech innovative project R&D investment performance has naturally highlighted the attention, and that how to measure and evaluate enterprise high-tech innovative project R&D performance effectively becomes an urgent problem to solve.How to accurately measure and evaluate enterprise high-tech innovative project R&D performance is the key issue of post-implementation of high-tech innovation projects. Accurate measurement and evaluation R&D performance is of great value for reducing the risk of enterprise high-tech innovative project R&D and increasing economic benefits. This dissertation has deeply studied these aspects purposefully:This dissertation systematically summarizes the theory and method of R&D performance measurement and evaluation. Then, this dissertation defines R&D performance content of enterprise high-tech innovative project, and based on this establishes enterprise high-tech innovative project R&D performance index system, which includes two aspects, namely R&D effectiveness and R&D efficiency. And then, this dissertation establishes the coupling mechanism of enterprise high-tech innovative project R&D effectiveness and R&D efficiency using the method of Interpretative Structural Modeling (ISM), which provided a scientific basis of theory and practice to improve the performance of R&D strategy from inside. Next, this dissertation adopts Data Envelopment Analysis (DEA) method to establish a two-stage DEA enterprise high-tech innovative project R&D efficiency evaluation model, which include two aspects, namely R&D process efficiency and R&D result traslation, to ensure the comprehensiveness of R&D efficiency evaluation. Taking into account the time factor, this dissertation introduces Malmquist index into enterprise high-tech innovative project R&D efficiency change evaluation, and establishes a R&D technical movement prediction model based on eqo-quanlity line. Aiming at the problems of objeveness and uncertainty of R&D performance measurement and evaluation of enterprise high-tech innovative project, this dissertation uses the principle of unascertained mathmatics and builds a synthetic model combined uncertain number. On the other hand, this dissertation combines blind data, which ensures the results of unascertained model more scientific, and is contributed to the accuracy and precision of enterprise high-tech innovative project R&D effectiveness. Using the data and method, this dissertation makes a comprehensive experiential analysis. Finaly, this dissertation puts forward the countermeasures to improve the level of enterprise high-tech innovative project R&D performance from three aspects, namely internal R&D, enterprise and government, which provides some new thought for enhancing R&D performance level and enterprise core competitiveness.In this dissertation, the study has important theoretical and practical value, which not only enriches and consummates the content of R&D performance evaluation, and develops the methods and models of R&D performance evaluation, which are redounds to the scientificalness and standardization, but also helps govement, enterprises and R&D departments to know the main condition and recognize the dis- and advantages of enterprise high-tech innovative project R&D, which contributes to make the development policies of enterprise high-tech innovative project R&D, and helps to increase R&D capability and competitiveness of enterprises.更多还原