摘要
技术创新作为当今企业发展的重要动力，已然成为企业增强核心竞争力的关键因素
之一。石油企业资源密集型的特点要求企业必须对技术掌握有严格的要求，技术创新直
接影响企业的产出效率和经济效益。我国石油企业已加大对技术创新的研究和投入并取
得了不错的成绩，但我国石油企业技术创新效率水平远不及国外先进石油企业，严重阻
碍了企业可持续发展。如何提升石油企业技术创新效率现已成为石油企业亟待解决的问
题。实证分析石油企业技术创新效率，对于发现企业在技术创新活动中存在的问题并提
出科学有效的对策建议具有重要意义

通过对相关文献的梳理，分析总结国内外技术创新现状及石油企业技术创新特点，
对比各类技术创新效率评价方法的基础上，采用 DEA 中的 BCC 模型和 Malmquist 指数
模型相结合的方法，以 R&D 人员投入、R&D 经费投入及非 R&D 经费投入和创新产品
专利率、创新产品销售率和创新产品市场占有率 6 项指标作为投入产出参数，构建石油
企业技术创新效率评价指标体系。并以大庆石油企业 10 家采油厂作为决策单元，选取
2012-2015 年数据对大庆石油企业技术创新现状进行静态和动态评价，找出企业技术创
新效率变化的特征，并对评价结果进行参数灵敏度分析和分布特征分析，对影响企业技
术创新效率的重要参数排序。根据石油企业技术创新效率的影响因素，从优化技术创新
系统、完善技术创新运行机制和建立技术创新动力机制三个角度找到大庆石油企业技术
创新效率提升的策略

关键词：石油企业；BCC 模型；Malmquist 指数模型；大庆石油；技术创新效率评
价东北石油大学硕士研究生学位论文
III
Based on the BCC and Malmquist index model of oil enterprises
technological innovation efficiency evaluaion
ABSTRACT
Technological innovation as an important driving force for the development of today&39;s
enterprises, have become one of the key factors to enhance core competitiveness. The
resource-intensive characteristics of petroleum enterprises require enterprises to have strict
requirements for technical mastery, and technological innovation directly affects the output
efficiency and economic efficiency of enterprises. China&39;s oil companies have increased the
research and investment in technological innovation and achieved good results, but the level
of efficiency of China&39;s oil enterprises technological innovation is far less than foreign
advanced oil companies, seriously hindering the sustainable development of enterprises. How
to improve the efficiency of technological innovation of petroleum enterprises has become an
urgent problem to be solved in petroleum enterprises. It is of great significance to find out the
problems in the technological innovation activities and put forward the scientific and effective
countermeasures and suggestions to analyze the efficiency of technological innovation of
petroleum enterprises.
Through analyzing related literature, summarizes the domestic and foreign current
situation and characteristics of the petroleum enterprise technology innovation, technology
innovation in the comparison of various kinds of technological innovation efficiency
evaluation method on the basis of the BCC model of DEA and Malmquist index model is
adopted the method of combining with R&D personnel investment, R&D expenditure and
non-R&D investment and innovation product rate, innovative product sales rate and product
market share 6 indicators as input and output parameters, to build oil enterprises technological
innovation efficiency evaluation index system.With 10 production plants in Daqing Oil
Company as the decision-making unit, to select data from 2012 to 2015 about the present
situation of daqing petroleum enterprise technology innovation for static and dynamic
evaluation, find out the change characteristics of enterprises technological innovation
efficiency, and the evaluation results of parameter sensitivity analysis and distribution
analysis, important parameters affecting the efficiency of the enterprise technology innovation.
According to the influencing factors of the efficiency of technological innovation of
petroleum enterprises, the strategies to improve the efficiency of technological innovation of
Daqing oil enterprises are found from the three perspectives of optimizing the efficiency of东北石油大学硕士研究生学位论文
IV
technological innovation, improving the mechanism of technological innovation and
establishing the dynamic mechanism of technological innovation.
Key Words: oil companies; BCC model; Malmquist index model; daqing petroleum；
technology innovation efficiency evaluation东北石油大学硕士研究生学位论文
V
创新点摘要
本文在查阅国内外有关技术创新效率相关理论及研究成果的基础上，对石油企业技
术创新效率进行评价，并实证分析了大庆石油企业技术创新效率，主要创新点如下：
（1）将 DEA-BCC 模型和 Malmquist 指数模型结合，分别从静态和动态两个角度分
析大庆石油企业技术创新效率值及变化趋势

（2）从微观角度重点分析某个石油企业内部技术创新效率，并根据评价结果进行
分布特征分析和参数灵敏度分析。东北石油大学硕士研究生学位论文
VI
目 录
学位论文独创性声明.. VI
学位论文使用授权声明.......... VI
摘要....II
ABSTRACT.....III
创新点摘要........V
目 录.. VI
第 1 章 绪 论...1
1.1 论文研究背景..1
1.2 研究意义..........2
1.2.1 理论意义...........2
1.2.2 实践意义...........2
1.3 国内外研究现状..........3
1.3.1 层面应用研究...3
1.3.2 评价方法应用研究.......5
1.3.3 影响因素研究...6
1.4 研究思路及主要研究内容......7
1.4.1 研究思路...........7
1.4.2 主要研究内容...8
第 2 章 相关理论基础.10
2.1 石油企业........10
2.1.1 石油企业的概念.........10
2.1.2 石油企业经营业务.....10
2.2 技术创新理论11
2.2.1 技术创新的内涵.........11
2.2.2 技术创新的类型.........12
2.2.3 技术创新的特点.........12
2.3 技术创新效率理论....13
2.3.1 效率..
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