汽车工业对于我国整体工业的发展有着重要意义，发达的汽车工业能够带动国家整 体制造业的全面发展。同时随着全世界范围内的环境问题以及能源危机愈发尖锐，越来 越多的国家开始投入了巨大资源在新能源汽车的研究开发。相关统计数据显示我国已经 成为了世界第一汽车及新能源汽车市场，但是目前新能源汽车在核心技术突破方面尚未 取得突破性进展，电池续航能力较弱、能量利用率低等问题依然没有得到解决。技术创 新能力是企业提高自身核心竞争力的重要保证，因此提高技术创新水平，改善技术创新 效率是解决上述问题的唯一途径。目前国内外学者对各类型工业企业的技术创新效率均 有很多研究，却较少以新能源汽车企业作为研究对象进行研究分析。因此本文以我国16 家新能源汽车企业作为研究对象，对其技术创新效率及影响因素进行了深入的研究。 首先，本文总结梳理了现有的国内外相关文献，接着对新能源汽车企业技术创新效 率相关概念进行了界定，然后详细的分析了新能源汽车的各个关键部件的技术创新现状 及新能源汽车相关专利申请情况。构建了基于SBM模型的网络DEA模型对我国16家 新能源汽车企业整体技术创新效率及分阶段效率进行了测算，并将其与Malmquist指数 模型相结合分析了我国16家新能源汽车企业在2012-2018年间的技术水平和技术效率 变化情况；引入Tobit回归模型，对我国新能源汽车企业技术创新效率影响因素进行了 实证检验，结果显示，企业规模对我国新能源汽车企业的技术创新效率有显著的正向作 用，技术人员占比及劳动力投入对技术创新效率存在显著的负向影响，股权集中度对新 能源汽车企业的技术创新效率无显著关系，最后从加大研发投入强度、加强人才队伍建 设、合理配置创新资源、加大产学研合作力度、加强企业间资源共享及完善政策体系等 六个方面给出了提高新能源汽车企业技术创新效率的对策建议。 本文的研究成果对完善企业技术创新效率评价领域的学术成果具有一定的学术意 义，同时又能够对促进我国新能源汽车产业发展产生正向作用，提升我国汽车工业整体 技术水平，改善新能源汽车技术研发效率，进而带动我国整体工业的全面发展。 关键词：新能源汽车企业；技术创新效率；网络DEA；Malmquist指数；Tobit 我国新能源汽车企业技术创新效率评价及影响因素研究 ABSTRACT VehicleindustryplaysanimportantroleinthedevelopmentofChina'soverallindustry. Acompletevehicleindustrycanpromotetheoveralldevelopmentofthecountry'soverall manufacturingindustry.Atthesametime,withtheworldwideenvironmentalproblemsand theincreasinglyacuteenergycrisis,moreandmorecountriesbegantoinvesthugeresources intheresearchanddevelopmentofnewenergyvehicles.RelevantstatisticsshowthatChina hasbecometheworld'sfirstvehicleandnewenergyvehiclemarket.Atpresent,newenergy vehicleshavenotmadebreakthroughinthecoretechnologybreakthrough,andtheproblems ofweakbatteryenduranceandlowenergyutilizationratehavenotbeensolved.Theabilityof technologicalinnovationisanimportantguaranteeforenterprisestoimprovetheircore competitiveness,sotheonlywaytosolvetheaboveproblemsistoimprovethelevelof technologicalinnovationandimprovetheefficiencyoftechnologicalinnovation.Atpresent, scholarsathomeandabroadhavealotofresearchonthetechnologicalinnovationefficiency ofvarioustypesofindustrialenterprises,buttheyseldomtakethenewenergyvehicle enterprisesastheresearchobject.Therefore,thispaperchoosesChina'snewenergyvehicle enterprisesastheresearchobject,andmakesanempiricalstudyonthetechnological innovationefficiencyof16newenergyvehicleenterprisesinChina. Firstofall,thispapersummarizesandcombstheexistingdomesticandforeignrelated literature,thendefinestheconceptoftechnologicalinnovationefficiencyofnewenergy vehicleenterprises,andthenanalyzesthetechnologicalinnovationstatusofeachkey componentofnewenergyvehicleandthepatentapplicationofnewenergyvehicleindetail. ThenetworkDEAmodelbasedonSBMmodelisconstructedtomeasuretheoverall technologicalinnovationefficiencyandstagedefficiencyof16newenergyvehicleenterprises inChina,andthetechnicallevelandtechnicalefficiencychangeof16newenergyvehicle enterprisesinChinaduring2012-2018areanalyzedbycombiningitwithMalmquistindex model;TobitregressionmodelisintroducedtocreatenewenergyvehicleenterprisesinChina Theresultsshowthatthescaleofenterpriseshasasignificantpositiveeffectontheefficiency oftechnologicalinnovationofnewenergyvehicleenterprisesinChina.Theproportionof technicalpersonnelandlaborinputhaveasignificantnegativeimpactontheefficiencyof technologicalinnovation.theownershipconcentrationhasnosignificantrelationshipwiththe 哈尔滨工程大学硕士学位论文 efficiencyoftechnologicalinnovationofnewenergyvehicleenterprises.Finally,weshould increasetheintensityofR&DinvestmentThecountermeasuresandsuggestionstoimprove theefficiencyoftechnologicalinnovationofnewenergyvehicleenterprisesareputforward fromsixaspects:strengtheningtheconstructionoftalentteam,reasonableallocationof innovativeresources,strengtheningthecooperationofindustry,Universityandresearch, strengtheningtheresourcesharingamongenterprisesandimprovingthepolicysystem. Theresearchresultsofthispaperhavecertainacademicsignificanceforimprovingthe academicachievementsinthefieldofevaluationoftechnologicalinnovationefficiencyof enterprises.Atthesametime,itcanplayapositiveroleinpromotingthedevelopmentof China'snewenergyvehicleindustry.Itcanhelptoimprovetheoveralltechnicallevelof China'svehicleindustry,improvetheR&Defficiencyofnewenergyvehicletechnology,and furtherpromotetheoveralldevelopmentofChina'soverallindustry. Keywords:newenergyvehicleenterprise;technologicalinnovationefficiency;network DEA;Malmquistindex;Tobit 我国新能源汽车企业技术创新效率评价及影响因素研究 目录 第1章绪论...............................................................................................................................1 1.1论文的研究背景、目的及意义...................................................................................1 1.1.1论文研究背景....................................................................................................1 1.1.2论文研究的目的及意义....................................................................................2 1.2国内外研究现状...........................................................................................................3 1.2.1国外研究现状....................................................................................................3 1.2.2国内研究现状....................................................................................................6 1.2.3国内外研究现状评述......................................................................................11 1.3论文的研究内容与研究方法.....................................................................................12 1.3.1论文的研究内容..............................................................................................12 1.3.2论文的研究方法..............................................................................................13 1.4论文的创新之处.........................................................................................................14 第2章我国新能源汽车企业技术创新现状研究及相关概念界定.....................................15 2.1相关概念的界定.........................................................................................................15 2.1.1新能源汽车的定义..........................................................................................15 2.1.2技术创新的内涵..............................................................................................15 2.1.3技术创新效率的内涵......................................................................................16 2.2我国新能源汽车发展概况.........................................................................................16 2.2.1我国新能源汽车发展历程..............................................................................16 2.2.2我国新能源汽车的市场现状..........................................................................17 2.3我国新能源汽车企业技术创新现状分析.................................................................19 2.4我国新能源汽车企业技术创新存在的问题及成因分析.........................................24 2.5本章小结.....................................................................................................................26 第3章我国新能源汽车企业技术创新效率评价指标体系构建.........................................27 3.1我国新能源汽车企业技术