【作者】 李苗苗；

【导师】 肖洪钧；

【作者基本信息】 大连理工大学 ， 企业管理， 2013， 博士

【摘要】 关于创新环境要素对企业技术创新的影响,国内外学者已开展了大量研究,也取得了一定的研究成果,但至少还存在以下几个需要解决的问题。首先,国内外学者关于政府激励政策对企业技术创新影响的研究结论存在冲突性,如果政府激励政策对企业技术创新存在非线性影响,那么可能造成研究结论的冲突性。然而,目前关于这一问题的研究相对较少,且缺乏企业层面的实证检验。其次,在探讨区域环境与企业技术创新之间关系研究方面,学者们通常采用格兰杰(Granger)因果关系检验方法来探讨,但这一检验方法往往容易形成虚假性系,因此,需要引入新的研究方法来进一步探讨二者之间的同期因果关系。最后,关于供应链关系对企业技术创新影响的研究焦点是供应商参与、客户参与对企业技术创新的影响,缺乏“关系”社会中国背景下,企业与供应商或客户之间的关系对企业技术创新的影响。基于此,以我国284家战略性新兴产业企业为研究样本,分别探讨政府激励政策、区域环境和供应链关系等创新环境要素对企业技术创新的影响。不仅有助于进一步丰富和深化创新经济学理论、增加新兴经济体国家微观企业层面的经验证据,而且有助于出台相关政府激励政策、提升企业技术创新水平。本研究主要完成的工作内容如下：(1)通过运用非平衡面板数据的回归分析方法探讨了政府激励政策对企业技术创新的影响,结果表明,无论是政府补贴还是税费返还并不是越多越有利于企业的R&D投资和创新产出的提高,而是分别存在一个确定的正向区间范围；若政府补贴或税费返还在这一个区间范围内,则他们对企业R&D投资和创新产出都具有积极的正向影响,否则将产生消极的负面影响；也即政府刺激政策对企业技术创新确实存在非线性的影响。(2)引入有向无环图(DAG)分析方法来探讨了区域内对外开放程度、金融发展、科教和经济发展水平等区域环境与企业技术创新之间的同期因果关系。研究表明：区域对外开放程度与企业技术创新之间的同期关系因指标的选取不同而存在差异性；金融发展水平、科教事业发展水平等都是通过对企业R&D投资和R&D波动性的作用来间接地影响企业创新产出的；然而,地区经济增长是企业技术创新的必要而非充分条件。(3)提出供应商集中度、客户集中度等概念来度量企业与供应商／客户之间关系的紧密程度——供应链关系。通过采用非平衡面板数据的计数回归分析方法,探讨了供应链关系对企业技术创新的影响,实证分析表明：供应商集中度和客户集中度对企业技术创新产出和连续性R&D投资都存在显著地负向作用,并且二者对企业技术创新产出和连续性R&D投资的影响都具有相互替代性的作用。更多还原

【Abstract】 Many scholars in domestic and foreign have done a lot of research about the impact of innovation environmental factors on enterprises technological innovation. However, there are still some problems to be solved at least. Firstly, there is a conflicting conclusions about the study both at home and abroad that is the impact of government policy on enterprise technological innovation. The conflicting conclusions for these studies may be caused by the nonlinear effects of the government incentives on enterprise technological innovation. However, the current research on this issue is relatively few, and also lack of empirical test in micro-enterprise level. Secondly, using the Granger causality to explore the relationship between the regional environment and enterprise technological innovation in the last few decades is the common method. However, this is tend to easily form a false relationship between the regional environment and technological innovation by Granger causality. Therefore, the new methods need to be introduce to further explore the contemporaneous causality between regional environment and enterprise technological innovation. Finally, study on the relationship between the supply chain and enterprise technological innovation in both domestic and foreign which are mostly focus on the impact of supplier involvement, or customer involvement on technological innovation. Ignoring the relationship between enterprises and suppliers or customers has effect on enterprise technological innovation in the "relationship" of Chinese society. Based on this, taking284enterprises in China’s strategic emerging industries as the study sample to solve these above three research problems. For this purpose, this study not only helps to enrich and deepen the innovation theory, adding the firm-level empirical evidence on emerging economies, but also to introduce appropriate policies and improve the enterprise technological innovation.The major completed work in this paper as follows:(1) Using nonlinear regression analysis of the unbalanced panel data, shows that government stimulus policies does exist the nonlinearity impact on the enterprise technological innovation. The more government subsidies and tax refunds are not more conducive to increase enterprise R&D investment and innovation output. There is a certain positive range for the government subsidies and tax refunds; if the government subsidies or tax refunds in the interval range, they will have positive impact on the enterprise R&D investment and innovation output, otherwise will have a negative impact. (2) Introducing a directed acyclic graph (DAG) to respectively investigate the contemporaneous causality between the openness, financial development, science-education development, economic development and enterprise technological innovation in this paper. Research shows that:the contemporaneous causality between regional openness and technological innovation depending on the differently selected indicators. The regional financial development, science and education development have the indirectly impact on innovation output by directly effect on enterprise R&D investment and R&D volatility. However, the economic growth of a region is a necessary condition of enterprise technological innovation, but not sufficient condition.(3) Proposing the concept of supplier concentration, customer concentration et al. in order to measure the enterprises’supply chain relationships which is representing the degree of close relationship between enterprise and supplier/customer. And then, exploring the impact of supply chain relationships on enterprise technological innovation by the regression of counting statistical analysis based on the unbalanced panel data. Empirical study shows that:the supplier concentration and customer concentration are both have significantly negative impact on enterprise technological innovation. And also the impact of the supplier concentration and customer concentration on technological innovation are mutually substituted of each other.更多还原