市场竞争日益复杂，企业要在严峻的市场中占据一席之地就需要进行不断的创 新。企业在创新过程中需要了解各种创新资源的使用情况，这就需要企业对技术创 新效率进行评估。因而，各个企业有必要建立一套有效的效率评估体系。各个企业 都有不同的发展方向，所以在制定技术创新效率评估体系时要根据自身情况设置标 准。从技术创新效率评估的角度来看，就是要通过科学方法，使绩效评价与创新管 理要求相匹配，搭建起效率与创新机制运行间的桥梁，实现企业技术创新目标和资 源有效利用。 本文首先回顾 H 公司经营方式和企业技术创新发展历程，综合现阶段企业技术 创新效率评估方法，随后在对企业技术创新效率体系理论进行简述的基础上，进行 数据收集、数据整理、模型计算、结果分析、发现问题，确定 H 公司基于创新投入、 产出等评估指标，建立合理、高效的评估体系。接着从 H 公司运营现状着手，对 H 公司效率低下以及评估体系设计出现的问题进行研究。然后，以四川省内 20 家制 造业企业为研究案例，通过研究企业投入产出等数据，利用企业技术创新效率评估 方法，分析企业数据，对企业技术创新效率评估体系运用于这些公司进行实证研究， 通过分析得出 H 公司在技术创新效率评估体系建立中存在的不足并给予相应的对 策。 论文研究以 H 公司技术创新效率评估体系为研究案例，在效率分析和投影分析 后发现 H 公司综合技术效率、纯技术效率和规模效率分别是 0.443、0.511 和 0.866， 在综合技术效率方面存在 55.7%的资源浪费。主要有以下几方面原因：一方面是 H 公司的投入方面出现冗余，各个投入指标的冗余率分别是：新产品研发费用的冗余 率是 68.87%、研发人员投入数量的冗余率为 55.73%、引入技术的消化吸收费的冗 余率是 64%，其中新产品研发费用的冗余情况最为严重，高达 68.87%的研发费用 产生浪费；另一方面，H 公司在产出方面除新产品项目数和专利申请量这两项指标 之外，其余指标均出现产出不足，这些指标分别是：主营业务收入和出口交货值， 它们的产出不足率分别达到 116.60%和 34.71%，其中主营业务收入的产出不足的情 况最为严重，高达 116.60%。在充分分析该公司这些问题之后，提出了优化技术创 新资金投入机制、完善研发人才管理机制、优化产业结构、拓展销售市场等相应的 管理意见，为 H 公司技术创新活动高效运行保驾护航。2 关键词：H 公司；技术创新；效率评估；体系构建；DEA 模型I ABSTRACT Market competition is becoming more and more complex, and companies need to continue to innovate in order to occupy a place in a tough market. In the process of innovation, enterprises need to understand the use of various innovative resources, which requires enterprises to evaluate the efficiency of technological innovation. Therefore, it is necessary for each enterprise to establish an effective efficiency evaluation system. Each company has a different development direction, so when formulating the technical innovation efficiency evaluation system, it is necessary to set standards according to its own situation. From the perspective of technical innovation efficiency assessment, it is necessary to match the performance evaluation with the innovation management requirements through scientific methods, build a bridge between efficiency and innovation mechanism operation, and realize the enterprise technology innovation goal and effective use of resources. This paper first reviews the development mode of H company and the development process of enterprise technology innovation, and comprehensively evaluates the method of enterprise technology innovation efficiency at the current stage. Then, based on the brief description of the theory of enterprise technology innovation efficiency system, data collection, data sorting, model calculation, The results of analysis, problem identification, determine H company based on innovation input, output and other evaluation indicators, establish a reasonable and efficient evaluation system. Then proceed from the current situation of H company's operation, and study the problems of H company's inefficiency and evaluation system design. Then, taking 20 manufacturing enterprises in Sichuan Province as a research case, through researching the input and output data of enterprises, using enterprise technology innovation efficiency evaluation methods, analyzing enterprise data, and applying empirical research on enterprise technology innovation efficiency evaluation system to these companies. Through analysis, the shortcomings of H company in the establishment of technological innovation efficiency evaluation system are given and corresponding countermeasures are given. The paper research takes H company's technology innovation efficiency evaluation system as the research case. After efficiency analysis and projection analysis, it is found that H company's comprehensive technical efficiency, pure technical efficiency and scale efficiency are 0.443, 0.511 and 0.866 respectively, and there is 55.7% in comprehensiveII technical efficiency. Waste of resources. There are mainly the following reasons: On the one hand, there is redundancy in the input of H company, and the redundancy rates of each input index are: the redundancy rate of new product R&D expenses is 68.87%, and the redundancy rate of R&D personnel input quantity 55.73%, the redundancy rate of the digestion and absorption fees of the introduced technology is 64%, among which the redundancy of new product research and development expenses is the most serious, and up to 68.87% of the research and development expenses are wasted; on the other hand, H company removes new output. In addition to the two indicators of product items and patent applications, the remaining indicators have insufficient output. These indicators are: main business income and export delivery value, and their under-output ratios are 116.60% and 34.71% respectively. Among them, the output of the main business income is the most serious, up to 116.60%. After fully analyzing the problems of the company, it puts forward corresponding management opinions such as optimizing the technology investment capital investment mechanism, perfecting the R&D talent management mechanism, optimizing the industrial structure, and expanding the sales market, and escorting the efficient operation of H company's technological innovation activities. Keywords ： H company; technology innovation; efficiency evaluation; system construction; DEAmodel1 目 录 第一章 绪论.........................................................................................................................................1 第一节 研究背景 ............................................................................................................1 第二节 研究目的及意义 ................................................................................................2 一、研究目的................................................................................................................2 二、研究意义................................................................................................................2 第三节 国内外研究现状 ................................................................................................3 一、技术效率研究........................................................................................................3 二、评估体系研究........................................................................................................3 三、评估方法研究........................................................................................................4 第四节 研究的内容及方法 ............................................................................................7 一、研究内容................................................................................................................7 二、研究方法................................................................................................................8 1、文献收集与实地调研..............................................................................................8 2、实例分析法..............................................................................................................8 3、数据包络分析法......................................................................................................8 第二章 技术创新效率理论基础与评估方法...............................................9 第一节 相关理论基础 ....................................................................................................9 一、技术创新效率概念................................................................................................9 二、投入产出理论概念................................................................................................9 第二节 技术创新效率的影响因素 ..............................................................................10 一、创新机制因素......................................................................................................10 二、政府支持度因素..................................................................................................11 三、企业技术水平......................................................................................................11 四、企业管理水平......................................................................................................12 第三节 企业技术创新效率评估方法—数据包络分析法（DEA）............................12 第三章 H 公司技术创新效率评估体系的构建.........................................142 第一节 H 公司的现状分析.......................................................................................... 14 一、H 公司发展背景分析及组织架构...................................................................... 14 二、H 公司技术创新效率评估体系的研究意义...................................................... 15 第二节 H 公司评估体系存在的问题.......................................................................... 16 一、技术创新评价系统本身的不足.......................................................................... 16 二、评估指标和评估结果的不足.............................................................................. 17 第三节 H 公司技术创新效率评估体系的影响因素确定.......................................... 18 一、影响企业技术创新效率的外部因素.................................................................. 18 二、影响企业技术创新效率的内部因素.................................................................. 18 第四节 H 公司技术创新效率评估体系的构建.......................................................... 20 一、构建评估指标体系的基本原则和思路.............................................................. 20 二、评估指标与评估标准的确定.............................................................................. 21 第四章 H 公司技术创新效率评估实证研究.............................................22 第一节 H 公司技术创新效率评估模型...................................................................... 22 一、DEA 的模型......................................................................................................... 22 二、投影分析方法...................................................................................................... 24 第二节 指标的选取和数据分析.................................................................................. 25 一、指标数据的选取.................................................................................................. 25 二、结果数据分析...................................................................................................... 27 第三节 H 公司技术创新效率投影分析...................................................................... 28 一、投入冗余和产出不足分析.................................................................................. 29 二、投影改进分析...................................................................................................... 30 第五章 管理启示.........................................................................................33 第一节 优化技术创新资金投入机制.......................................................................... 33 第二节 完善研发人才管理机制.................................................................................. 34 第三节 优化产业结构.................................................................................................. 35 第四节 拓展销售市场.................................................................................................. 35 第六章 结语.................................................................................................37