当今企业要想在如此激烈的市场竞争中稳定地发展下去，就要具备一定的核心竞 争力，而核心竞争力最主要的还是企业的核心技术。随着社会经济的高速发展，企业 也更加重视技术创新能力。但是很多企业在技术创新过程中都会受到一些因素的影响 和制约。而具体到新乐市，其影响企业技术创新能力的主要因素仍是人才和资金；企 业多以技术引进和模仿为主，缺乏关键核心技术；多数企业自身没有专利，但多数企 业认为知识产权很重要；企业管理层虽然有意识开展技术创新，但战略管理水平仍较 低等。 企业技术创新的实现过程是一项复杂的系统工程，涉及技术创新的资源投入、技 术信息获取、过程管理、新产品营销等各方面，对其创新能力进行综合评价和测度是 对企业技术创新本质和规律的充分认识和把握。首先通过阅读大量国内外相关研究文 献和统计报告，了解新乐市工业企业技术创新能力实际现状，总结新乐市企业技术创 新的特征及发展规划，通过超效率DEA分析法，建立了包括创新资源投入、创新资 源产出等两大类及R&D人员、R&D经费内部支出、新产品开发经费支出、技术改造 经费支出、专利申请量、有效发明专利、新产品开发项目数、新产品产值、新产品销 售收入共9个指标的技术创新能力评价体系。在此基础上，从时间序列的角度分析其 演化趋势，并运用Tobit回归模型探索影响新乐市企业技术创新能力发展的主要因素， 通过以上实证分析，探求新乐市企业技术创新能力的提升策略。研究结论显示，新乐 市企业技术创新能力呈现出较大的波动性，整体表现出稳步提升的趋势，其中企业创 新倾向、市场化水平、经济开放程度三个指标对技术创新水平的影响较显著，而技术 人才投入力度、企业盈利能力、现代化程度的影响在当前市场环境下较不显著。新乐 市企业技术创新能力的提升需要从企业内部提升和企业外部环境优化两方面推进，主 要包括创新意识、创新战略、资金投入、人才培养、创新管理、产学研合作、制度支 撑、法律保障等方面进行考虑。 关键词：新乐市；工业企业；技术创新能力；超效率DEA模型；Tobit回归模型 新乐市企业技术创新能力评价及提升策略研究 II ABSTRACT If enterprises want to develop steadily in such fierce market competition, they must have certain core competitiveness, the core competitiveness of enterprises is still the core technology. With the rapid development of social economy, enterprises also attach more importance to technological innovation capability. However, many enterprises will be affected and restricted by some factors in the process of technological innovation. Specific to Xinle City, the main factors of the technological innovation ability of enterprises are still talents and capital; Enterprises mainly rely on technology import and imitation and lacking key core technologies; most enterprises do not have patents themselves, but most companies believe that intellectual property rights are very important; Although the enterprise management has consciously carried out technological innovation, but the level of strategic management is still low. The realization process of technological innovation is a complicated systematic project, resources involved in technological innovation, technological information acquisition, process management, new product marketing and so on, comprehensive evaluation and measurement of innovation capability is a full understanding and grasp of the essence and law of enterprise technological innovation. First of all, I read a lot of relevant research literature and statistical reports at home and abroad, Understand the actual situation of Xinle's technological innovation capability, the characteristics and development plan of technological innovation in Xinle enterprises are summarized, by factor analysis, the R&D personnel, R&D internal expenditure, new product development expenditure, technical transformation expenditure, patent application amount, effective invention patent, new product development project number, new product output value and new product sales income were all set up in evaluation system of technological innovation capability, furthermore, the data envelopment analysis (DEA) is applied to make a comprehensive evaluation. On this basis, the evolution trend is analyzed from the perspective of time series, and the main factors affecting the development of Xinle's technological innovation capability are explored by using Tobit regression model, through the above empirical analysis, the strategy of improving the technological innovation ability of enterprises in Xinle is explored. Research findings show, the technological innovation ability of enterprises in Xinle shows 河北地质大学硕士学位论文 III greater volatility, the overall trend of steady improvement, among them, enterprise innovation tendency, marketization level and economic opening degree have significant influence on technological innovation level, however, the influence of technical personnel input, enterprise profitability and modernization degree is not significant under the current market environment. The promotion of enterprises' technological innovation ability in Xinle City needs to be promoted from two aspects of internal upgrading and external environment optimization, mainly including innovation consciousness, innovation strategy, capital investment, personnel training, innovation management, industry-university-research cooperation, system support, legal protection and other aspects of consideration. KEYWORDS: Xinle City; Industrial Enterprise; Technological innovation capability; Super efficiency DEA model; Tobit regression model 新乐市企业技术创新能力评价及提升策略研究 目 录 摘要 ...................................................................................................................................................I ABSTRACT .............................................................................................................................................. II 第一章 绪论 ........................................................................................................................................ 1 1.1 研究背景及意义 ......................................................................................................................................... 1 1.1.1 研究背景 ........................................................................................................................................... 1 1.1.2 研究意义 ........................................................................................................................................... 2 1.2 研究思路与方法 ......................................................................................................................................... 3 1.2.1 主要研究内容与基本思路 ........................................................................................................ 3 1.2.2 研究方法 ........................................................................................................................................... 4 1.2.3 本文的创新之处 ............................................................................................................................ 5 第二章 企业技术创新理论 ............................................................................................................ 7 2.1 企业技术创新能力的内涵 ..................................................................................................................... 7 2.2 企业技术创新能力的构成 ..................................................................................................................... 8 2.3 企业技术创新能力的评价 ..................................................................................................................... 9 2.4 技术创新对企业长期发展的重要性 ............................................................................................... 10 第三章 新乐市企业技术创新发展现状 .................................................................................... 13 3.1 新乐市经济发展现状、机遇与挑战 ............................................................................................... 13 3.2 新乐市企业技术创新发展情况 ......................................................................................................... 14 3.3 新乐市企业技术创新发展特点 ............................................................................