【作者】 赵红梅；

【导师】 魏晓平；

【作者基本信息】 中国矿业大学 ， 管理科学与工程， 2010， 博士

【摘要】 能源资源是经济发展的重要保障。现代经济是建立在煤、石油、天然气、水电和核能等能源基础之上的。对处于工业化进程中的中国而言,能源对支撑中国经济持续高速发展起到了关键的、不可或缺的作用。然而我国人均石油储量只有世界人均值的1/10,人均天然气储量是世界人均值的23%,我国每发一度火电要比别人多消耗20%的煤,每年燃煤排放的硫和每年生产硫酸的用硫量一样大。面对日益严重的能源危机,我国如何实现能源和经济的可持续发展,是我们迫切需要解决的问题。只有挖掘储量,提高能源开采效率和各环节利用效率,大力开发核电、风电等新能源和再生能源,才能实现能源的可持续发展。作为创新主体,能源企业的技术创新是解决这些问题的关键。只有加快技术进步和能源企业的技术创新才能解决我国能源发展的瓶颈问题,保证能源的可持续供给。因此,找出影响能源企业技术能力和创新绩效的关键因素,研究它们对能源企业的作用机理,采取有效途径和措施来促进能源企业技术创新,提升创新绩效是迫切需要解决的关键问题。因此,本论文以能源企业技术创新绩效影响因素作为研究对象,借鉴技术经济学、系统工程等理论对各关键因素的作用机理进行了剖析,并运用模型推导、实证分析、系统仿真等方法,研究了各因素对能源企业技术创新绩效影响的路径和强度。研究主要有以下内容:首先,在对国内外相关研究动态进行梳理的基础上,对影响能源企业技术创新的关键因素创新文化、网络能力、产权激励、市场结构、政府政策制度、技术能力的作用机理进行了分析。具有创新精神的企业家们,他们洞察市场机会、制定创新决策、组织实施创新并通过制度创新、管理创新和文化创新来促进技术创新;创新的文化氛围对企业、员工具有导向、约束、激励、凝聚功能;以利用创新网络整合资源的能力和企业组织学习的能力为核心的网络能力对技术创新至关重要;技术创新活动的水平在很大程度上归于产权激励功能的发挥和激励机制的不断完善;技术能力包括研发能力、营销能力、技术学习能力是技术创新得以实现的基础。市场对创新具有自组织的机制,是一个实施费用低,效率高的激励制度,最有利于实现技术创新的市场结构是以大企业为主导、大中小企业协作共生的市场结构;能源企业关键技术的开发政府起着关键作用;技术创新离不开必要的制度条件,技术创新步伐的加快,要以制度创新为前提。其次,根据影响能源企业技术创新关键因素分析,以技术创新绩效为结果变量,技术能力和创新意愿为中介变量,构建了能源企业技术创新关键影响因素作用机理的概念模型,提出了12个研究命题。对不同能源行业的361个企业进行了能源企业技术创新影响因素问卷调查,运用结构方程模型对相关研究命题进行了实证研究,11个研究命题得到验证。研究表明这些关键因素通过技术能力、创新意愿对能源企业技术创新绩效产生影响;技术能力对能源企业技术创新绩效具有直接正向影响,创新意愿对能源企业技术创新绩效产生正向影响。然后,运用系统动力学方法(SD),构建了能源企业技术创新作用机理系统动力模型,利用仿真模型中影响因素变量,通过测试函数模拟了不同因素变化对系统的冲击效应。研究表明:能源企业技术创新绩效在不采取任何政策调控或其它促进措施情况下,在可预期的未来时期内呈缓慢增长趋势。提高政府政策制度的影响力后系统发展趋势变化幅度最大,其次为加强市场环境和寡占型的市场结构的促进作用、提升企业网络能力、改善产权激励合理性及提高企业家精神和创新文化水平。最后,提出提升能源企业技术创新绩效的策略途径。提升能源企业技术创新绩效是一项复杂的系统工程,应建立创新文化,营造自主创新氛围;完善市场环境和寡占型的市场结构;以产权激励为核心,实施积极有效的人才激励政策;加强政府对技术创新的引导;利用创新网络,提升能源企业的网络能力几个方面有机融合起来,共同发挥作用。更多还原

【Abstract】 The energy resource is an important guarantee of economic development. The development of modern economics is based on such resources like coal, oil, natural gas, hydropower and nuclear power, etc.. In the process of industrialization in China, the energy has played a crucial and indispensable role for supporting sustained and rapid development of China’s economy. However, Chinese people’s oil reserve every person only takes up 1/10 of the world’s average, and for natural gas, 23%. Every thermal power can exhaust more 20% coal than the other countries. The emission of sulfur per year because of the coal burning is as much as the production of sulfuric acid. With an increasingly serious energy crisis, how can we China achieve the goal of sustainable development of energy and economics? That’s an urgent problem needing to be resolved. To achieve the goal, China should try to explore the energy as much a possible, improve the efficiency of energy exploration and utilization, and make great efforts to develop nuclear power, wind power and the other new and renewable energies. As the innovation subject, technological reform of energy enterprises is the key to solving these problems. Only through accelerating technological progress and technological innovation of energy enterprises can solve the bottleneck problems of China’s energy development and ensure sustainable supply of energies. Therefore, it is important to find out the key factors influencing on the technological capability and innovation performance of energy companies, study their effects on the mechanism, take effective means and measures to promote technological innovation of energy enterprises, and enhance innovation performance.Therefore, this thesis, taking the influencing factors of technological innovation performance in energy enterprises as its study objects, analyzes the mechanism of the key factors based on the theories of technical economics, engineering, etc., and studies various factors affecting the path and intensity of technological innovation performance by means of the model derivation, empirical analysis, and system simulation. The main contents are as the following: Firstly, based on the studies at home and broad, the thesis analyzes the mechanism of cultural innovation, network capacity, incentives of property rights, market structure, institutional innovation and technological capability, which affect technological innovations of energy enterprises. Those entrepreneurs, who have initiative spirits, have a keen insight into market opportunities, make innovative decisions and organize the implementation of innovation. Moreover, they promote technological innovations through system innovation, management innovation and cultural innovation. The cultural atmosphere of innovation has the function of guidance, constraints, motivation and cohesion for the enterprises and their employees. The network capacity, taken the capabilities of integration of innovative network resources and that of the enterprises’organization as the core, is essential for the technological innovation. The level of technological innovation activities in large part attributes to the function of property rights and the improvement of incentive mechanism. Technical capabilities include research and development ability and marketing ability, while technology learning capacity is the basis for the realization of technological innovation. The market has the mechanism of self-organization, which is an incentive system of low implementation cost and high efficiency. The market structure, which helps the best to realize technological innovation, is the structure dominated by large enterprises and cooperated together by large, medium and small enterprises. The government plays an important role in developing the key technologies of energy enterprises.Technological innovation can not do without the necessary institutional conditions. The system innovation should be the premise of the acceleration of technological innovation. Secondly, according to the analysis of key factors influencing technological innovations, taking technological innovation performance as outcome variables, technical ability and innovation will as intermediary variables, the thesis constructs the conceptual model, and presents 12 research propositions. The author studies influencing factors of technological innovation in 361 different energy enterprises through the questionnaire, and makes an empirical study on related propositions by using Structural Equation Model. Finally, 11 propositions have been tested. The research shows that, these key factors affect Technological Innovation Performance through technological capabilities and innovation wills. The technical capacity has a direct positive effect on performance, and the innovation will has positive effects on performance.Thirdly, the thesis, by using system dynamics, constructs the system dynamic model of influencing factors of Technological Innovation Performance in energy enterprises. According to the variable factors in simulation model, it simulates impact effect on the system of the different factors through the relevant test functions. The research shows that, in the foreseeable future, Technological Innovation Performance of energy enterprises develops slowly without using any policy controls and other promotion measures. However, system development grows fast after government policies and systems. Next, the thesis proposes to strengthen the market environment and the promotional function of oligopoly market structure, strengthen enterprise network capacity, improve the rationality of the property incentives, enhance entrepreneurship and cultural level of business innovations.Finally, the thesis proposes strategies of improving Technological Innovation Performance of energy enterprises. It is a complicated system. It should establish innovative culture, create an atmosphere of independent innovation, perfect the market environment and the oligopoly type of market structure, implement of active and effective incentive policies taking equity incentives as the core, strengthen the Government’s guidance on technological innovation, and improve network capacity of energy enterprises by using innovative network.更多还原