在当前经济全球化以及市场竞争日益激烈的背景下，创新越来越成为推动企 业长足发展的动力和源泉，在推动经济发展的过程中扮演着重要角色。创新绩效 是企业发展创新状况的重要表征，提高创新绩效一直是我国高科技企业努力的目 标。然而，随着新产品的快速升级，创新知识迅猛增长，技术创新的困难程度不 断增加，单个企业创新资源和能力显示出许多不足，尤其是高新技术产业领域， 借助外部创新资源完成其创新活动更是企业不可或缺的创新方式。因此，越来越 多的企业认识到研发合作对于增强企业创新能力、提高企业创新绩效的重要价值。 而根据高阶梯队理论，企业家背景特征是企业管理中重要的内部资源要素，在企 业的实际经营过程中会对企业的战略决策产生很大影响，因而是影响企业研发合 作活动的重要因素。高新技术产业开发区是我国创新驱动发展的重要阵地，是高 科技企业的集聚地，其内部的高科技企业的技术创新问题长期受到广泛的关注。 为此，本文以国家高新区的高科技企业为样本，研究企业家背景特征、研发合作 与企业创新绩效的关系，对于促进高科技企业的创新发展至关重要。 本文首先对国内外学者的研究进行梳理和分析，对企业家背景特征、研发合 作、创新绩效的概念进行界定，紧接着对企业家背景特征、研发合作、创新绩效 的维度进行划分，确定背景特征为教育背景、职称背景、政治背景和学术背景。 其次，以高层梯队理论、资源基础理论、人力资本理论和技术创新理论为基础， 分析三者之间的内在联系，基于企业家在研发合作中的主导作用，构建了企业家 背景特征、研发合作对企业创新绩效影响的理论模型。再次，基于相关数据库和 手工收集的数据，获得了国家级高新区内242家上市和新三板的高科技企业数据， 采用多元回归分析方法，建立了三个回归模型对假设关系进行了实证检验。研究 结果发现：（1）企业家教育背景、政治背景、学术背景有助于企业对外开展研发 合作，并通过提高企业的创新数量和创新质量，综合提高企业的创新绩效；企业 家职称背景对企业创新绩效正向影响不显著。（2）研发合作有助于提升企业的创 新数量与创新质量。（3）研发合作在企业家教育背景、政治背景和学术背景与企 业创新绩效之间具有部分中介作用，表明企业家背景特征对企业创新绩效的影响 企业家背景特征、研发合作与企业创新绩效的关系研究-基于国家级高新区企业的实证分析 有直接作用和间接作用两种途径。最后，依据实证检验结果，提出企业家应重视 开展研发合作活动和增强创新意识，促进高科技企业创新绩效提高的相关对策。 关键词：企业家背景特征，研发合作，创新绩效，高新区 江苏大学硕士学位论文 III Abstract Underthebackgroundofthecurrenteconomicglobalizationandtheincreasingly fiercemarketcompetition,innovationhasincreasinglybecomethepowerandsource ofpromotingtherapiddevelopmentofenterprises,andplaysanimportantroleinthe processofpromotingeconomicdevelopment.Innovationperformanceisanimportant representationofthedevelopmentandinnovationofenterprises.Improving innovationperformancehasalwaysbeenthegoalofhigh-techenterprisesinChina. However,withtherapidupgradingofnewproducts,therapidgrowthofinnovation knowledge,andtheincreasingdifficultyoftechnologicalinnovation,theinnovation resourcesandcapabilitiesofasingleenterpriseshowmanydeficiencies,especiallyin thefieldofhigh-techindustry,itisanindispensableinnovationwayforenterprisesto completetheirinnovationactivitieswiththehelpofexternalinnovationresources. Therefore,moreandmoreenterprisesrealizetheimportantvalueofR&Dcooperation forenhancinginnovationabilityandimprovinginnovationperformance.Accordingto thetheoryofhighechelonteam,entrepreneurialbackgroundisanimportantinternal resourceelementinenterprisemanagement,whichwillhaveagreatimpactonthe strategicdecision-makingintheactualbusinessprocessoftheenterprise,soitisan importantfactoraffectingtheR&Dcooperationactivitiesoftheenterprise.Hightech IndustrialDevelopmentZoneisanimportantpositionofinnovationdriven developmentinChina,isthegatheringplaceofhigh-techenterprises,anditsinternal technologyinnovationofhigh-techenterpriseshasbeenwidelyconcernedforalong time.Therefore,thispapertakesthehigh-techenterprisesintheNationalHigh-tech Zoneasasampletostudytherelationshipbetweenthebackgroundcharacteristicsof entrepreneurs,R&Dcooperationandinnovationperformanceofenterprises,whichis essentialtopromotetheinnovationanddevelopmentofhigh-techenterprises. Firstly,thispaperdefinestheconceptofentrepreneurialbackground characteristics,R&Dcooperationandinnovationperformancebycombingand analyzingtheresearchofscholarsathomeandabroad,thendividesthedimensionsof 企业家背景特征、研发合作与企业创新绩效的关系研究-基于国家级高新区企业的实证分析 entrepreneurialbackgroundcharacteristics,R&Dcooperationandinnovation performance,anddeterminesthebackgroundcharacteristicsaseducationbackground, professionaltitlebackground,politicalbackgroundandacademicbackground. Secondly,basedonthehigh-levelechelontheory,resource-basedtheory,human capitaltheoryandtechnologyinnovationtheory,thispaperanalyzestheinternal relationshipamongthethree,andconstructsatheoreticalmodelofentrepreneurs' backgroundcharacteristicsandtheimpactofR&Dcooperationoninnovation performancebasedontheleadingroleofentrepreneursinR&Dcooperation.Thirdly, basedontherelevantdatabaseandthedatacollectedbyhand,242listedandnew thirdboardhigh-techenterprisesinthenationalhigh-techzoneareobtained.Using multipleregressionanalysismethod,threeregressionmodelsareestablishedtotest thehypothesis.Theresultsshowthat:(1)theeducationbackground,political backgroundandacademicbackgroundofentrepreneursarehelpfulforenterprisesto carryoutR&Dcooperationwithforeigncountries,andthroughimprovingthe quantityandqualityofinnovation,theinnovationperformanceofenterprisescanbe improvedcomprehensively;thebackgroundofentrepreneur'stitlehasnosignificant positiveimpactontheinnovationperformanceofenterprises.(2)R&Dcooperation helpstoimprovethequantityandqualityofinnovation.(3)R&Dcooperationplaysa partofintermediaryrolebetweenentrepreneur'seducationbackground,political background,academicbackgroundandenterpriseinnovationperformance.Itshows thattherearetwowaystoinfluenceenterpriseinnovationperformance:directand indirect.Finally,accordingtotheempiricaltestresults,thepaperputsforwardthe relevantcountermeasurestoenhancetheentrepreneurs'awarenessofR&D cooperationactivitiesandinnovation,andpromotetheinnovationperformanceof high-techenterprises. Keywords:Entrepreneurbackgroundcharacteristics,R&Dcooperation,Innovation quality，newandhigh-techindustrialdevelopmentzone 江苏大学硕士学位论文 V 目录 第1章绪论..........................................................................................................1 1.1研究背景、目的及意义............................................................................................1 1.1.1研究背景........................................................................................................1 1.1.2研究目的........................................................................................................2 1.1.3研究意义........................................................................................................3 1.2国内外研究现状.........................................................................................................3 1.2.1有关企业家背景特征与创新绩效的研究综述............................................4 1.2.2有关企业家背景特征与创新决策的研究综述............................................7 1.2.3有关研发合作与创新绩效的研究综述........................................................9 1.2.4国内外研究述评及本文研究视角..............................................................10 1.3研究内容和研究方法...............................................................................................11 1.3.1研究内容.......................................................................................................11 1.3.2研究方法......................................................................................................13 1.4研究创新点...............................................................................................................14 第2章相关概念与理论基础............................................................................15 2.1相关概念...................................................................................................................15 2.1.1企业家背景特征..........................................................................................15 2.1.2研发