国家创新体系对企业创新能力及创新绩效影响研究

【作者】 吴晓松；

【导师】 段万春；

【作者基本信息】 昆明理工大学 ， 管理科学与工程， 2012， 博士

【摘要】 创新是民族进步的灵魂、国家前进的不竭动力、企业成长的源泉,是实现经济转型,经济、社会、科学协调、持续发展的重要因素。在创新的理论研究体系中,国家创新体系理论作为重要的内容,被用来解释对区域、产业、企业创新的促进和推动作用及技术创新与经济发展的关系。作为推动现代技术革命运行机制,国家创新体系的建立可以有效解决市场失灵,政府失灵,系统失灵等问题,是一种制度安排,国家创新体系为创新主体间的互动和主体与创新环境间的互动机制的形成提供了基础。国家层面上的创新制度、创新政策、创新环境及创新要素的流动与配置对促进地区、企业创新能力的提升发挥重要的支撑作用。因此,本论文以国家创新体系及其最为重要的创新主体-企业作为研究对象,应用经济学、管理学等理论,以国家创新体系的框架为基础,研究创新行为主体、创新环境要素和创新制度对企业创新能力和创新绩效的影响。论文主要围绕以下内容展开：(1)归纳文献和理论基础。在对企业创新理论、国家创新体系理论、企业创新能力等相关研究成果进行综述的基础上,厘清了相关理论的发展脉络,从而明确本研究切入点并为全文的研究奠定理论和文献基础。(2)分析国家创新体系对企业创新能力影响机理。主要阐述了影响企业创新能力形成的内部因素和外部因素。内部因素主要有：企业家精神、企业文化、企业研发投入、组织学习能力；外部因素主要有：创新制度、市场结构、FDI知识溢出、政府的政策法规和创新基础设施等。接着从创新行为主体、创新环境要素、创新制度和产官学研合作机制四个方面分析了对企业创新能力的作用机理。(3)构建国家创新体系对企业创新能力及创新绩效影响的概念模型并提出研究假设。首先,分析了国家创新体系与创新制度、企业创新能力和创新绩效之间,创新制度与企业创新能力之间、创新制度与创新绩效之间,企业创新能力和创新绩效之间的关系,并将国家创新体系分为创新行为主体和创新环境要素,探讨了创新行为主体互动与企业创新能力、创新环境要素与企业创新能力以及创新能力与创新绩效之间的关系,提出研究假设,构建了全文的理论概念模型。(4)进行实证研究,主要包括研究设计与实证分析。在研究设计部分对问卷的设计、变量的操作性定义、数据的收集分析方法进行了说明；其次,依据理论基础和文献综述,借鉴前人取得的研究成果和自己访谈调研的结果,对本文的研究变量提出了测度的指标,包括被解释变量、中介变量和解释变量。构建相关变量的测量题项和测量量表；最后,根据理论研究所提出的概念模型,采用实证研究方法,在资料分析部分,应用SPSS统计软件和结构方程模型对所收集的样本数据进行了分析,包括信度和效度检验；检验了理论模型,包括设定初始模型、对模型进行拟合、对模型进行评价和对初始模型的修正,并对本文所提出的理论假设进行验证说明,进一步验证了国家创新体系对企业创新能力和创新绩效的作用机理；最后对该部分研究结果加以描述和讨论。(5)根据实证研究结果,从创新行为主体和创新环境层面提出提升企业创新能力的相关政策建议。通过研究得出以下主要结论：(1)国家创新体系的构成要素包括创新行为主体和创新环境要素两部分。创新行为主体主要包括企业、教育与培训机构、科研机构、政府、中介服务机构等。创新环境要素主要包括行为主体的内部运行机制、创新基础设施、创新政策、市场环境、国际联系等。环境要素是国家创新体系能否实施,能否取得成效的调控和制约因素。国家创新体系中,企业是创新投入、产出的主体,在创新中起着关键作用,但企业创新活动仅靠自身是很难完成的,尤其是在开放创新的环境中,企业的创新活动还涉及政府、科研机构、中介服务机构、金融机构等共同作用所组成的制度构架的支持。国家创新体系制度构架就是促进和支持创新的各种不同地位和作用的正式制度与非正式制度的制度体系。国家创新体系中应形成创新主体与创新环境之间的互动机制,不同的创新主体之间以及主体与创新环境之间的互动合作体系对促进企业创新具有积极的推动作用。而创新基础设施、创新制度、市场机制、创新政策及创新要素的流动和配置体系,对提升企业创新能力产生关键的支撑作用。(2)对企业创新能力产生影响的内部因素和外部因素包括企业家精神、企业文化、企业研发投入、组织学习能力、创新制度、政府的政策法规和创新基础设施等。国家创新体系对企业创新能力的作用机理表现在创新行为主体、创新环境、创新制度和产官学研合作对企业创新能力的影响上。(3)在作用机理分析的基础上,本研究提出了12个研究假设,通过实证研究得出,除了国家创新体系与企业创新绩效的直接关系、国家创新体系通过创新制度的中介作用等的间接作用没有通过验证外,其他的研究假设均得到了验证。得到验证的假设有：国家创新体系对创新制度和企业创新能力有直接正向影响。创新制度对企业创新能力、企业创新能力对企业创新绩效有直接正向影响；创新制度对企业创新绩效有直接正向影响；国家创新体系通过创新制度和企业创新能力的中介作用对企业创新绩效有间接的正向影响。(4)根据实证研究结果,国家创新体系与企业创新能力存在显著正向关系,同时国家创新体系中的创新行为主体和创新环境要素以及创新制度对企业创新能力具有同样重要的影响。因此完善我国的国家创新体系对增强企业的创新能力具有非常重要的作用。建议政府在国家创新体系建设中,加快完善创新制度和创新政策,改善创新环境,加大对研发投入,推进企业与大学、科研机构之间的创新互动合作,加强知识产权保护和技术创新的法律保障。更多还原

【Abstract】 Innovation is a spirit for growing of a nationality, a power for a nation developing, a source for a enterprise growing and technology progressing, that could be realization of changing on style of economy, be importance factors to steady to promote economics and society growth in scientific, harmonization and sustaining. In relevant research about innovation, Theories of National Innovation System has been acceptance widely, using it to explanation relations of innovation and economic developing, setting up NIS can promote enterprises innovation activity infinitely. NIS is an internal structure and mechanism of modern technology revolution, in which the problem on failure on market, governance and system that will be solved effectively, it is arrangement of institution for promotion to innovation ability growth among countries, region and firm. NIS formed mechanism interaction between innovation behavior unit and elements of innovation environment, particularly the interaction in different innovation unit to product positively promotion of enterprise innovation ability go to on the high level. To make innovation policy, innovation institute and flow of innovation element match with in NIS, it is that could be produce important promotion for supporting enterprise ability of innovation in country level.Hence, Thesis put NIS and it’s most important units for innovation that is enterprise as research objects in which use the theory lens of economics, management so on that base on the framework of NIS, it study the affect onto innovation ability and innovation achievement, which is come from innovation behavior units, innovation environment elements and the innovation institutions.Thesis around research content as follows:(1) Theory’s summary and Literature’s review. Base on the summary about innovation theory for enterprise, innovation theory for NIS, innovation theory for ability of enterprises so on relevant result from research, find out the venation for relevant development of theory, clarify the key point on research of dissertation and put down a base of theory and literature for whole dissertation.(2) Analysis affect mechanism of NIS on enterprises’ability. Expounding focus on affects factors from internal and external parts which is about enterprise’s innovation ability. There are internal factors, such as spirits of entrepreneur, culture of enterprise, R&D investment for enterprises, learning and organization ability; external factors including innovation institute, construction of market, spill over of FDI, policy, rule, law of governance and innovation infrastructure. Sequence, from behavior units, environments element for innovation, innovation institute and coordination mechanism from firm, college, governance, which four aspects could be so as to analysis action of mechanism.(3) To build concept model for NIS respond affection on enterprise ability and innovation achievement, and put up with study hypothesis. First of all, analysis relationship NIS and innovation institute, innovation ability of firm and achievement for innovation, innovation institute and enterprise’s ability of innovation, enterprise’s ability of innovation and achievement for innovation, what’s more, put NIS divide two parts of behavior units of innovation and environment factors of innovation, discuss the relationship among interaction about behavior units and innovation ability of firm, environment factors of innovation and innovation ability of firm, others relationship is about innovation ability of firm and achievement for innovation, put forward with studying hypothesis, make up a concept model of theory for dissertation.(4) For empirical research, including research design mainly and empirical analysis. The research design of questionnaire design, data collection are described; secondly, on the basis of the relevant theory, the results of previous studies and field survey, the study variables included by explanatory variable, the intermediary variable and explanatory variables, respectively, put forward measure index, make study related to the measurement of variables scale; finally, according to the theory of conceptual model, presents an empirical research methods used. In data analysis, to collect sample data analysis, including the reliability and validity of the test; then applying structural equation model to examine the model theory, including the initial model, model fitting, model evaluation and model modification, and the proposed hypotheses, farther clear national innovation system of enterprise innovation capability and innovation performance; finally the research results are described and discussed.(5) According to the results of empirical research, from the innovation behavior subjects and innovation environment proposed the related policy suggestion for the promotion of enterprise innovation ability.Through the research we can draw the following main conclusions:(1) The national innovation system consists of innovation behavior subjects and innovation environment elements. Innovation behavior subjects include business, University, scientific research institutions, government, intermediary institutions. Innovation environment factors mainly include investment in innovation, innovation infrastructure and innovation policy. In National innovation system, the enterprise is the main body of innovation, but innovation is not only relies on its own can be completed, but also relates to the government, research institutions, intermediary organizations, financial institutions jointly composed of innovation policy system and system framework. National innovation system is to promote and support innovation in the framework of different status and the role of the formal system and informal system of institution system. National innovation system should form the interactive mechanism between innovation subjects and innovation environment, among different innovation main body interactive collaboration system on enterprise innovation ability promotion have stimulate positive and effect. On the national level to establish the innovation system, innovation policy and innovation element flow and configuration system, which is to the enterprise innovation ability promotion have important supporting role.(2) Effects of enterprise innovation ability formation of internal factors and external factors including entrepreneurship, enterprise culture, enterprise R&D investment, organizational learning capability, innovation system, government policy and innovation infrastructure. The national innovation system of enterprise innovation ability mechanism in innovation behavior subject, innovation environment, innovation system and industry, academic and research cooperation of enterprise’s innovation capability influence.(3) In the mechanism of action on the basis of the analysis, this study proposed12research hypothesis, through empirical studies, in addition to the national innovation system and enterprise innovation performance of the direct relations, national innovation system through innovation system of the intermediary role of indirect effects could not be verified, other research hypotheses are verified. Validating the hypothesis of National innovation system, Innovation system and enterprise innovation ability has a direct positive influence. Innovation system of enterprise innovation ability, the innovation ability of enterprises to the enterprise innovation performance has a direct positive impact on innovation performance of enterprise; innovation system had a direct positive influence; national innovation system through the both intermediary of innovation system and enterprise innovation ability effect to the enterprise innovation performance has an indirect positive effect.(4) According to the results of empirical research, the national innovation system and enterprise innovation ability have significant positive relationship, at the same time in the national innovation system with the innovation behavior subjects and innovation environment and innovation system to the enterprise innovation ability is the same important influence. So, perfecting national innovation system to enhance the innovation ability of the enterprise has a very important role. Suggested that the government in the construction of national innovation system, accelerate perfect innovation system and innovation policy, improve innovation environment, to increase R&D investment, promote enterprise and University, scientific research institution among innovation interactive cooperation, strengthen the protection of intellectual property rights and technology innovation legal safeguard.更多还原