【作者】 史历仙；

【导师】 魏晓平；

【作者基本信息】 中国矿业大学 ， 工程管理， 2010， 博士

【摘要】 目前我国的能源产业形势仍然十分严峻,要实现我国能源产业可持续发展需要依靠技术创新。迄今为止,关于能源产业技术创新的研究主要集中在新能源技术、技术创新投入强度、某一具体行业技术创新能力评价等方面,而少有的关于能源产业技术创新影响因素的研究也仅限于定性分析的层面。本文以我国五大基础能源行业为样本,通过理论研究系统地归纳出影响我国能源产业技术创新的内外部因素,并由内而外逐层解剖我国能源产业技术创新的内在机制。论文在对国内外相关文献进行综述的基础上,通过对技术创新模式、动力来源及技术创新影响因素的分析,建立了我国能源产业技术创新影响因素分析的理论框架,并分别构建了我国能源产业技术创新动态评价模型、内部影响因素理论模型和外部影响因素理论模型。理论分析得出:内部影响因素包括研发投入、制度因素、非研发投入;外部影响因素包括对外开放度、产业竞争度和进入壁垒。在理论分析的基础上,本文进行了实证研究,第一,对我国能源产业技术创新进行了综合评价,本部分首先对我国能源产业技术创新能力的评价方法、评价模型的选择、评价指标体系的建立的方面进行了详尽的分析,在此基础上利用五大基础能源行业的数据对我国能源产业技术创新进行了综合评价,发现我国能源产业技术创新自2001年开始稳步提高,而从各自行业来看只有煤炭产业保持了稳定提高的趋势,其他四个行业不稳定。第二,利用我国能源产业相关数据对内部影响因素理论模型和外部影响因素理论模型分别进行了实证检验。内部影响因素的实证分析表明:(1)研发投入中研发费用投入仍然是能源产业技术创新的主要正影响因素;(2)制度因素对能源产业技术创新的影响不显著;(3)经费来源类型不同,对技术创新产生的效应也不同;(4)总体上非研发投入对技术创新的新产品产值有正影响。外部影响因素的实证分析表明:(1)对外开放度的提高有利于我国能源产业技术创新;(2)我国能源产业的产业竞争度与技术创新负相关;(3)我国能源产业的进入壁垒与技术创新负相关。通过理论分析和实证检验,本文认为我国能源产业技术创新能力的提高主要还是要依靠自主研发投入,加大研发费用投入迫在眉睫;技术引进改造应该采取审慎地态度,适当控制和有选择地进行技术引进,注重有效地消化吸收。同时,充分调动外资能源企业在我国进行技术创新的主动性;推进能源企业的兼并和联合;进一步推动能源企业的规模化和集团化强化新建大中型能源企业的审批制度,对大中型商业企业实行数量控制。更多还原

【Abstract】 As the severe situation of China’s energy industry, its sustainable developmentdepends on technology innovation. So far, studies about energy industry technologyinnovation focus on new energy technology, technology innovation input intensity,evaluationofsomeenergybusinesss,etc,whilethereisonlyalittlequalitativeresearchon influence factors of energy industry technology innovation. The dissertation takeChina’s five basic energy businesses as the research objects to systematically sum uptheinternalandexternalinfluencefactors,andanalyzeitsactionmechanisminside-out.Through analyzing the modes of technologyinnovation, the motion of technologyinnovation and the factors influencing technology innovation, the dynamic evaluationmodel,thetheoreticalmodelofinternalinfluencingfactors andthetheoreticalmodelofexternal influencing factors of China’s energy industry technology innovation areconstructed. The theoretical model of internal influencing factors analyzed the factorsofresearchanddevelopmentinput,systemfactors,nonresearchanddevelopmentinputand different types of research and development expenditures and deduced the internalinfluencing factors function mechanism. The theoretical model of external influencingfactors analyzed the factors of industry competition and entering industry bulwark anddeducedtheexternalinfluencingfactorsfunctionmechanism.On the basis of theoretical analysis, the dynamic evaluation about industrialtechnologyinnovation of China’s energyindustry is brought out. The empirical studieson internal influencing factors theoretical model and external influencing factorstheoretical model are based on the data of China’s energy industry and research anddevelopment institution. The empirical studies on internal influencing factorstheoreticalmodelindicate:(1) Research and development expense input is still the main influencing factorsofChina’sEnergyIndustrytechnologyinnovation;(2) The factor of industry system is not significant for China’s energy industrytechnologyinnovation;(3) The function of different types of research and development expenditure isdifferentforChina’senergyindustrytechnologyinnovation;(4) The influention of non-research and development expenditure on technologyinnovationisnegativeforChina’senergytechnologyinnovation. Theempiricalstudiesonexternalinfluencingfactorstheoreticalmodelindicate:(1) At present, foreign direct investment didn’t play role on China’s technologyinnovation;(2) The factor of industry competition has negative influence on technologyinnovationexpenseinputandtechnologyinnovationpersonnelinput.(3) The factor of entering industry bulwark has negative influence on technologyinnovationexpenseinputandtechnologyinnovationpersonnelinput.Theoretical analysis and empirical test have made the conclusions in thisdissertation. Increasing of non research and development expense input can notimprove the industrial technology innovation capability in China and research anddevelopment expense input can enhance the industrial technologyinnovation capability.It is not necessary for industrial technology innovation to increase the energy industrymarket orientation extent and non nationalization of energy industry in China shouldnot be considered at present. Energy industry competition and entering industrybulwark have made against industrial technology innovation capability and restrictionof energy industry competition and enhancement of entering industry bulwark arepropitioustotheenergyindustrialtechnologyinnovationcapability.更多还原