中小企业的创新发展对于淮南这座能源城市有着重要的意义，尤其在当前煤电产业 去产能、减排放，发展受到严峻挑战的大环境下。近年来，淮南市中小企业在管理创新、 产品创新以及科技创新方面取得了一定的成绩，有力地推动了地方企业的技术进步和社 会经济的发展。但与同为资源型城市的马鞍山市对比来看，淮南市中小企业总体自主创 新能力依然十分薄弱，成果较少。从外部环境来看，扶持、激励中小企业自主创新的各 种要素，如，政策、资金、人才等供给不足；从内外部环境来看，依然存在着企业家精 神缺失、企业创新文化建设不足等各种因素制约着中小企业自主创新活力的释放和能力 的提升。 对于淮南市中小企业来说，唯有从企业外部和内部路径建设同时着手，充分发挥各 个主体的职责功能，才能逐步提升自主创新能力和竞争力。 外部路径建设方面，加大资金投入，完善公共服务平台建设，积极推进政策制度创 新，营造良好的政府服务、社会文化及教育科技等创新环境，积极引导、鼓励、保护中 小企业自主创新，促进全市中小企业平衡发展；银行、风险投资机构等金融主体应切实 转变经营观念，积极推进金融创新；高校、科研机构必须主动服务于中小企业的创新发 展，为中小企业提供充分的智力支持；社会大众积极接纳、宣传本土中小企业创新产品， 扩大创新产品的传播效果和影响力；家庭和基础教育中突出创新意识的教育培养，为企 业培养未来的创新人才。 内部路径建设方面，着力培养领导者的企业家精神，提升企业家的创新意识和管理 能力；构建科学完善的人才引进、培养与激励机制，创新型文化培育机制，营造良好的 内部创新文化；构建多元协同创新机制，充分利用资源；与时俱进地创新企业管理机制， 营造良好的内部环境；建立健全信息传递和反馈机制，有效把握市场动向；采取多元化 的渠道宣传、推广企业创新，实现创新接受程度最大化。 文章将系统阐述中小企业自主创新的理论基础，自主创新的内容、过程及途径；系 统分析淮南市中小企业自主创新的现状和马鞍山市推进中小企业构自主创新的先进经 验，努力构建促进淮南市中小企业自主创新能力整体提升的机制策略，具有较强的现实 意义。研究将为淮南市中小企业在我国经济新常态下，地方经济结构调整的情况下，不 断开展自主创新，培养核心竞争力，赢得持续竞争优势，从而有效应对市场激烈竞争提 供新的途径和启示。 关键词：淮南市；中小企业；自主创新；路径淮南市中小企业自主创新能力提升路径研究 1 ABSTRACT The innovation and development of small and medium-sized enterprises is of great significance to Huainan, an energy city, especially under the current environment of general depression of coal and electricity industry. In recent years, SMEs in Huainan have made some achievements in product innovation, science and technology innovation, which has effectively promoted the development of local economy and the progress of technology. However, compared with Maanshan, the overall independent innovation ability of small and medium-sized enterprises in Huainan City is still weak, with less achievements. From the perspective of external environment, the supply of various factors to support and encourage SMEs to innovate independently is insufficient, such as policies, funds, talents, etc. From the perspective of internal environment, there are still various factors, such as lack of entrepreneurship, lack of innovation culture and so on, which restrict the further development of independent innovation vitality and capabilities. It is necessary to start from both the external and internal path of the enterprise to improve the independent innovation ability of SMEs, only in this way can we continuously enhance the overall independent innovation capability and competitiveness of SMEs in Huainan. In terms of external path construction, the local governments should increase capital investment and improve the construction of legal policy system and the public service platform, promote the innovation of policy system, create a good environment for innovation including government services, social culture and education to Guide, encourage and protect the independent innovation of SMEs in Huainan. Financial entities such as banks and venture capital institutions should change their management concepts and promote financial innovation. Colleges and universities should provide adequate intellectual support for SMEs. The public should positively accept and publicize innovation, and expand the influence of innovation. The family and basic education should highlight the training of innovative consciousness to cultivate future innovative talents for the enterprise. In terms of internal path construction, the SMEs itself should cultivate the enterpriser spirit of the owner of the enterprise, construct scientific and rational mechanism of talent introduction, training and incentive, construct innovation culture cultivation mechanism to create a good internal innovation culture, build multiple cooperative innovation mechanismABSTRACT 2 to make full use of resources, innovate enterprise management mechanism with the times to release all potentiality and create a good internal environment, establish and improve the mechanism of information transmission and feedback to grasp the market trend effectively, take diversified channels to publicize and promote enterprise innovation to achieve maximum acceptance of innovation. This article will systematically explain the theoretical foundation of the independent innovation, the content, process and way of independent innovation and systematically analyze the status quo of independent innovation of SMEs in Huainan and the advanced experience of promoting the independent innovation of SMEs in Maanshan. We Strive to build a mechanism to improve the independent innovation ability of SMEs in Huainan. The research has strong realistic significance. The research will provide new ways and theoretical guidance for our SMEs to carry on independent innovation and develop their own competitiveness, win the sustainable competitive advantage and effectively compete in the global market under the background of the new normal of China’s economy and the adjustment of local economic structure. KEYWORDS: Huainan;Small and Medium Enterprises; independent innovation; path淮南市中小企业自主创新能力提升路径研究 1 目 录 第一章 绪论.................................................................................................... 1 第一节 研究背景和研究意义........................................................................................1 一、研究背景.................................................................................................................1 二、研究意义.................................................................................................................2 第二节 文献综述............................................................................................................2 一、国内研究现状.........................................................................................................2 二、国外研究现状.........................................................................................................5 三、研究现状评析.........................................................................................................6 第三节 研究目的和主要内容........................................................................................6 一、研究目的.................................................................................................................6 二、研究内容.................................................................................................................7 第四节 研究思路和方法................................................................................................7 第二章 相关概念及理论基础........................................................................8 第一节 相关概念............................................................................................................8 一、创新的含义.............................................................................................................8 二、自主创新的含义.....................................................................................................9 三、中小企业的含义及界定.......................................................................................11 第二节 相关理论基础.................................................................................................. 11 一、熊彼特的现代创新理论.......................................................................................11 二、埃弗雷特·罗杰斯创新扩散理论..........................................................................12 三、彼得·德鲁克创新思想..........................................................................................13 四、创新驱动发展战略...............................................................................................14 第三章 淮南市中小企业自主创新发展概况..............................................15 第一节 淮南市中小企业自主创新现状......................................................................15 一、中小企业自主创新成效.......................................................................................15 二、区域中小企业自主创新概况...............................................................................16第一章 绪论 2 三、中小企业自主创新资金的运用情况...................................................................16 第二节 淮南市中小企业自主创新环境分析..............................................................17 一、淮南市中小企业自主创新内部环境...................................................................17 二、淮南市中小企业自主创新外部环境...................................................................18 第四章 马鞍山市中小企业自主创新经验借鉴..........................................20 第一节 马鞍山市中小企业自主创新概况..................................................................20 第二节 马鞍山市提升中小企业自主创新能力的经验做法......................................21 一、良好的区位优势...................................................................................................21 二、积极的创新精神...................................................................................................22 三、坚定的开发意识...................................................................................................22 四、大力推进产业转型升级.......................................................................................22 五、完善的政策服务体系...........................................................................................22 六、大量的资金投入...................................................................................................23 七、完善的创新平台...................................................................................................23 第五章 淮南市中小企业自主创新存在的问题与分析............................. 25 第一节 区域中小企业自主创新水平不平衡..............................................................25 一、区域企业自主创新能力不平衡差异...................................................................25 二、区域中小企业自主创新能力差异原因分析.......................................................25 三、中小企业自主创新过度依赖传统支柱产业.......................................................26 第二节 外部、内部因素限制了中小企业自主创新能力的提升..............................27 一、外部限制性因素...................................................................................................27 二、内部限制性因素...................................................................................................28 第六章 淮南市中小企业自主创新能力提升路径..................................... 30 第一节 建立完善企业自主创新能力外部提升路径..................................................30 一、强化政府职能，完善公共服务...........................................................................30 二、推进产业转型与区域协调发展...........................................................................32 三、加快金融创新与完善金融服务...........................................................................32 四、高校、科研机构加强技术人才服务...................................................................33 五、积极传播企业创新...............................................................................................33淮南市中小企业自主创新能力提升路径研究 3 六、突出创新意识的培养...........................................................................................33 第二节 建立完善企业自主创新能力内部提升路径..................................................34 一、加强自身能力提升，培养企业家精神...............................................................34 二、构建科学合理的人才引进、培养与激励机制...................................................34 三、构建创新型企业文化培育机制...........................................................................35 四、构建多元协同创新机制.......................................................................................35 五、创新企业运行管理机制.......................................................................................35 六、建立健全信息传递、反馈机制...........................................................................36 七、采用多元渠道，促进创新的传播.......................................................................36 第七章 结论..................................................................................................37