摘要
随着知识经济的到来，世界全球化正在加速，技术创新已经成为经济发展的关键引
擎。企业基于市场需求不断推出新产品或新服务来打造核心竞争力，而开展研发活动则
需立足于技术创新能力，特别是对于赋有成长潜力中小规模的高新技术企业来说，强大
的技术创新能力是其赖以生存的法宝。企业技术创新能力一方面受到企业内部创新投入
的影响，另一方面也和所处行业环境相关，每个行业都有其自身的发展规律，对于技术
创新能力的要求也不尽相同。基于此，本文研究创业板不同行业技术创新绩效的影响因
素存在哪些差异？产生差异的原因有哪些？企业和政府针对不同行业特点采取哪些相
应措施？
本文基于理论与文献总结—概念模型建立—实证检验—结果分析的逻辑框架对创
业板不同行业技术创新绩效的影响因素进行研究。首先基于技术创新理论，对技术创新
绩效影响因素的相关文献进行梳理和总结，在已有模型的基础上建立了本文的研究模型，
从创新要素、企业特征与政府行为三个方面探究各影响因素与企业技术创新绩效的关系；
其次，根据概念模型提出了本文的研究假设，具体包括研发人员投入、研发费用投入、
技术能力、企业规模、出口水平与政府补助对创业板不同行业技术创新绩效的影响；最
后，选取 2010-2015 年创业板医药制造业、信息技术服务业、电子及通信设备制造业、
通用及专用设备制造业和仪器设备及仪表制造业五个行业 108 家上市公司为样本，通过
建立面板数据模型与半参数模型得到了五个行业技术创新绩效影响因素方程式，并对五
个行业展开了深入分析，发现了相同与差异之处，进而将五个行业归纳为知识导向型行
业与技术导向型行业，并对原因进行阐述

实证研究结果表明：（1）企业内部创新要素对技术创新要素的影响最为明显，研
发费用投入成为最普遍的影响因素；（2）企业特征变量对不同行业技术创新绩效影响
效果不同，出口比例、企业规模分别与电子及通信设备制造业和通用及专用设备制造业
技术创新绩效之间呈倒 U 型关系；（3）政府补助作为外部影响因素在特定的行业中起
到了促进作用，对医药制造业与信息技术服务业技术创新绩效成显著正相关；（4）知
识导向型行业与技术导向型行业技术创新影响因素存在显著差异

基于研究结论，并联系创业板上市企业的实际情况，为加强企业技术创新能力提出
以下对策建议：（1）加强企业创新要素的投入积累；（2）发挥企业经营战略的促进作
用；（3）完善政府技术创新的支持机制；（4）促进同类行业知识技术的交流合作

关键词：技术创新绩效；高技术行业；比较分析；创业板上市公司；半参数模型III
Abstract
With the advent of the knowledge economy, global globalization is accelerating,
technological innovation has become the key engine of economic development. Enterprises
based on the market demand for the introduction of new products or new services to build the
core competitiveness, and R&D activities need to be based on technological innovation,
especially for the growth potential of small and medium-sized high-tech enterprises. The
ability of these enterprises to innovate on the one hand by the impact of internal innovation
investment, on the other hand and the environment in which the industry. Based on this, this
paper examines the differences in the factors affecting the technological innovation
performance of different industries in the industry What are the reasons for the difference
What are the corresponding actions taken by enterprises and governments for different
industry characteristics
This paper studies the influencing factors of technological innovation performance of
different industries on the basis of the logical framework of theory and literature
summarization - conceptual model establishment - empirical test - result analysis. First of all,
based on the theory of technological innovation, the existing literature on the factors of
technological innovation performance are reviewed and summarized. The innovation factors,
the nature of enterprises and government behavior are explored and discussed. Lastly, taking
108 listed companies in the pharmaceutical manufacturing industry, information technology
service industry, electronic and communication equipment manufacturing industry, general
and special equipment manufacturing industry and instrumentation and instrument
manufacturing industry in 2010-2015 as the sample, The panel data model and the
semi-parametric model are established.
The empirical results show that: (1) the factors of innovation are the most influential
factors of technological innovation, and R & D expenditure is the most common factor; (2)
The effect of firm variables on technological innovation performance of different industries is
different; (3) government subsidies as an external influence factors in a specific industry
played a catalytic role in the pharmaceutical manufacturing industry (4) There are significant
differences in the influencing factors of technology innovation between knowledge-oriented
and technology-oriented industries. (4) There is a significant positive correlation between
technological innovation performance and IT performance.
Based on the conclusion of the research and the actual situation of the enterprises listed
on the GEM, the following countermeasures and suggestions are put forward: (1) to
strengthen the accumulation of innovation elements; (2) to build the strategic mechanism of R
& D innovation; (3) to promote the industry Knowledge and technology exchanges and
cooperation (4) to improve the government technical innovation support mechanism
Keywords: Technological innovation performance; High-tech industry; Comparative analysis;
GEM companies; Semi-parametric modelIII
目 录
摘要.....I
AbstractIII
目 录..III
第一章 绪论....1
1.1 研究背景与问题提出 ..... 1
1.1.1 研究背景....... 1
1.1.2 问题提出....... 2
1.2 研究目的与研究意义 ..... 2
1.2.1 研究目的....... 2
1.2.2 研究意义....... 2
1.3 研究框架与研究内容 ..... 3
1.3.1 研究框架....... 3
1.3.2 研究内容....... 3
1.4 研究方法与研究特色 ..... 4
1.4.1 研究方法....... 4
1.4.2 研究特色....... 4
1.5 本章小结 . 5
第二章 文献综述与理论基础6
2.1 技术创新理论的研究综述 ......... 6
2.1.1 技术创新的概念与分类....... 6
2.1.2 技术创新的过程模型........... 8
2.1.3 技术创新绩效的评价体系... 9
2.1.4 技术创新研究述评. 11
2.2 技术创新绩效影响因素的综述 11
2.2.1 技术创新绩效内部影响因素.......... 11
2.2.2 技术创新绩效外部影响因素.......... 14
2.2.3 技术创新绩效影响因素研究述评.. 15
2.3 本章小结 ...........
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