历经20余年的发展，国内钢铁业的产量、发展规模已经跃居全球首位，成为钢 铁大国，但在快速发展的同时，也出现了很多发展弊端，如偏低的创新能力、集中发 展能力、资源利用能力等等，影响到新形势下国内钢铁欧亿·体育（中国）有限公司的发展。在国内钢铁业中， 占据国内排行第一、世界第二的河北钢铁集团，企业从成立至今，在发展上长期坚持 以科技技术为发展动力，进行自主创新，重视产品研发，不断提升市场竞争力。但在 发展的同时也表现出一定的不足，为此，本文选择该企业作为研究对象，针对其存在 的问题展开研究，发现该企业在发展中，初级产品占比过重，缺少高附加值的产品创 新，存在严重的产能失衡和低集中度，市场竞争力弱。为此，该企业要改变目前的发 展窘境，只能通过技术创新，增强企业的创新实力，提升市场竞争力，才能得到较好 的发展。 在研究中，本文首先结合国内外钢铁业的技术创新现状以及技术创新效率评价指 标和方法展开文献研究，深入了解其发展形势，解析存在的影响因素，同时以河北钢 铁集团作为研究对象，通过其2008年至2019年期间的现状调研，进行技术创新效率 投入评价指标、产出评价指标的合理选择及DEA分析模型的运用，深入分析该企业 的技术创新效率发展现状，结合国内外技术创新效率影响因素，采用对比分析方法， 同比国内2018年十大钢铁企业技术创新效率的发展及影响，并进行影响因素的回归 分析，通过分析对河北钢铁集团的技术创新效率改进、提升提出了本文的研究策略及 措施。 关键词：河北钢铁集团；技术创新效率；DEA；影响因素 III ABSTRACT Afternearly20yearsofrapiddevelopment,China'sironandsteelindustryhasbecome asteelcountryworthyofthename,withtheoutputofcrudesteelrankingfirstintheworld. However,therearealsomanyproblemsinthesteelindustry,suchassevereovercapacity, weakinnovationability,unreasonableindustrialdistribution,lowindustrialconcentration andunreasonableresourceallocation.Asthesecondlargestironandsteelgroupinthe worldandthelargestinChina,HebeiIronandSteelGrouphasnotonlymadegreat progress,butalsoaccumulatedsomedeep-seatedproblemsintheprocessofrapid development.Forexample,industrialconcentrationislow,theproportionofprimary productsislarge,theproportionofhighvalue-addedproductsissmall,andtheratioof backwardproductioncapacityissignificant.Therefore,inordertoimprovethemarket competitivenessofHebeiIronandSteelGroup,scientificandtechnologicalinnovation shouldbevigorouslydevelopedtoenhancethetechnicalstrengthandproduct competitivenessofthegroup. Sinceitsestablishment,HebeiIronandSteelGrouphasbeenadheringto innovation-drivendevelopment,scienceandtechnologyleadingthefuturedevelopment ideas,increaseinvestmentinresearchanddevelopment,inordertoimprovethemarket competitivenessofHebeiIronandSteelGroup.Basedonthis,thisarticlethroughaccessto informationabouttheefficiencyoftechnologicalinnovationathomeandabroad, understandthetechnologyinnovationefficiencyevaluationmethodsbothathomeand abroadandtheresearchstatusandresearchtrendofindexselection,in-depthanalysisof factorsthatinfluenceefficiencyoftechnologicalinnovation,combinedwiththepresent situationofhebeiironandsteelgroup,selecttheappropriateinputandoutputindicators, usingtheDEAmodelmoretohebeiironandsteelgroup,2008-2019tostudytheefficiency oftechnologicalinnovation,tocometohebeiironandsteelgroupinthepresent developmentsituationoftechnologyinnovationefficiency;Atthesametime,the technologicalinnovationefficiencyof10keydomesticironandsteelenterprisesin2018is comparedtoobtaintherankingofhebeiIronandSteelGroupintechnologicalinnovation efficiencyamongkeydomesticironandsteelenterprises.Finally,byreferringtothe selectionofinfluencingfactorsoftechnologicalinnovationefficiencyathomeandabroad, IV thefactorsaffectingtechnologicalinnovationefficiencyofHebeiIronandSteelGroup wereselectedandtheregressionanalysismethodwasadoptedtoanalyzetheinfluencing factorsoftechnologicalinnovationefficiencyofHebeiIronandSteelGroup.Accordingto theanalysisresults,thecorrespondingcountermeasuresandSuggestionsonhowtoenhance andenhancethetechnologicalinnovationefficiencyofHebeiIronandSteelGroupareput forward. KEYWORDS:HebeiIronAndSteelGroup；Technologicalinnovationefficiency； DEA；Influencingfact 河北地质大学硕士学位论文 V 目录 摘要......................................................................................................................................I ABSTRACT...........................................................................................................................III 第一章绪论...........................................................................................................................1 1.1研究背景..................................................................................................................1 1.2研究的目的及研究的意义......................................................................................1 1.2.1研究目的.......................................................................................................1 1.2.2研究意义.......................................................................................................2 1.3技术创新效率研究概述..........................................................................................2 1.3.1国外研究现状...............................................................................................3 1.3.2国内研究现状...............................................................................................3 1.3.3国内外的研究方法概述...............................................................................4 1.4研究的内容及方法..................................................................................................5 1.4.1研究内容.......................................................................................................5 1.4.2研究方法.......................................................................................................6 1.5研究的创新点..........................................................................................................7 1.6本章小结..................................................................................................................8 第二章钢铁企业技术创新效率相关理论基础...................................................................9 2.1技术创新效率相关概念..........................................................................................9 2.1.1技术创新.......................................................................................................9 2.1.2效率.............................................................................................................10 2.1.3技术创新效率.............................................................................................10 2.2技术创新效率相关理论.........................................................................................11 2.2.1技术创新理论..............................................................................................11 2.2.2技术创新效率评价.....................................................................................12 2.3技术创新效率的主要度量方法............................................................................12 2.4钢铁欧亿·体育（中国）有限公司技术创新效率研究................................................................................13 2.5本章小结................................................................................................................14 第三章河北钢铁集团技术创新效率的评价指标及方法.................................................15 河北钢铁集团技术创新效率研究 VI 3.1构建评价的指标体系............................................................................................15 3.1.1构建原则.....................................................................................................15 3.1.2构建思路.....................................................................................................16 3.1.3技术创新效率评价体系的构建.................................................................17 3.2DEA及Malmquist指数分析模型.......................................................................17 3.2.1数据包络法.................................................................................................18 3.2.2Malmquist指数评价模型................................................................