【作者】 杨洋；

【导师】 余晓钟；

【作者基本信息】 西南石油大学 ， 石油工程管理， 2018， 博士

【摘要】 油气行业属于技术密集型行业,具有较高的市场集中度,垄断特征明显。我国油气垄断企业正面临低油价的冲击,存在常规油气采收率低,非常规油气田的开采难度大等问题。在创新驱动发展的时代旋律下,油气垄断企业如何高效地开展技术创新活动,实现创新驱动发展,是油气垄断企业经营面临的重要课题之一。现有国内外文献对油气垄断与技术创新效率的研究主要基于行业或产业层面,将垄断属性与油气企业技术创新效率结合在一起的研究较少。基于此,本文以具有垄断属性的油气企业为研究对象,以市场结构理论和技术创新理论为基础,利用分析归纳、实证分析、比较研究等有关研究方法,围绕油气垄断企业技术创新效率,对我国油气垄断企业的垄断属性、影响油气垄断企业技术创新效率的因素、我国油气垄断企业技术创新效率水平、提升我国油气垄断企业技术创新效率的策略和建议等四个方面的问题进行研究。本文的总体逻辑思路是:通过研究我国油气垄断的属性、油气垄断的市场集中度,分析确定我国油气垄断的市场结构,考虑到我国油气垄断的特殊性,研究企业技术创新效率时,将垄断作为单独的一类影响因素,与企业内部影响因素和外部影响因素共同研究,发现各类影响因素对油气垄断企业技术创新效率影响的方式和程度。根据各类影响因素对企业技术创新投入和产出的影响,参考现有研究,构建油气垄断企业技术创新效率的评价指标体系,并对我国三家油气垄断企业的技术创新效率进行多角度评价和比较分析,提出提升油气垄断企业技术创新效率的策略和建议。主要取得了以下研究成果:一是研究借鉴市场结构、技术创新有关理论,界定了我国油气垄断存在自然垄断、经济垄断、行政垄断三重属性,分析了我国油气行业和国外油气行业的市场结构类型,分析描述了我国油气企业在垄断经营前提下的技术创新现状、特点和存在的问题。二是采用系统工程理论方法,分析垄断属性、油气企业内部和外部存在的诸多不同因素对技术创新效率的影响,利用ISM模型分析多因素的影响作用方式和层级结构,利用DEMATEL模型分析各类因素的影响强弱关系。三是以中国石油、中国石化、中国海油三大油气垄断企业2005-2017年的数据为依托,对我国油气垄断企业技术创新效率进行实证评价。基于改进时间序列DEA模型,以投入为导向分析油气垄断企业技术创新的投入效率;基于BP神经网络模型,从整体出发评价三大油气垄断企业的综合技术创新效率。最终发现我国油气垄断企业技术创新投入利用效率处于中等偏上或较高水平,整体技术创新效率处于中等水平并具有不断提升的发展趋势。四是基于比较视域,采用DEA-Malmquist模型对我国油气垄断企业与10家代表性国有大型工业企业的技术创新效率进行比较评价,采用同期横向比较方法对比分析我国油气垄断企业与国外三家大型跨国石油公司的技术创新效率,发现我国油气垄断企业技术创新效率水平与国内代表性企业相比具有一定优势,但与国外代表性企业相比偏低。五是基于油气垄断企业技术创新影响因素分析,依托实证评价结果,从政府层面和企业层面两种视角,从国家创新政策、油气经营管理体制、企业创新管理和创新文化等诸多方面,为我国油气垄断企业技术创新效率的提升提出了策略与建议。本文的研究丰富完善了油气垄断企业技术创新效率方面的理论研究,对未来我国油气行业的改革方向提供了一定的理论依据,以期对油气垄断企业在今后的技术创新活动中调整技术创新战略,降低经营活动和技术创新过程的成本,提高技术创新效率提供指导和参考。更多还原

【Abstract】 Oil and gas industry is a technology-intensive industry,has high market concentration and monopoly.The oil and gas monopoly enterprises in China are facing the impact of low oil price,low oil and gas recovery,the difficulties in the exploitation of unconventional oil and gas fields.In an age of innovation-driven development,to carry out technological innovation efficiently,to promote the realization of innovation-driven development are important studies facing by the oil and gas monopoly enterprises in China.At present,research and literature on technological innovation efficiency of oil and gas monopoly enterprises are focus on industries other than enterprises.Thus,this paper sets oil and gas enterprises with monopoly property as the research object,base on the market structure theory and technological innovation theory,use induction analysis,empirical analysis,comparative research and other related methods,to research on the oil and gas monopoly enterprises technological innovation efficiency.This paper studies four questions about the monopoly attribution to China’s oil and gas enterprises,the technological innovation influencing factors,the technological innovation efficiency evaluation,and the strategy for enhancing the technological innovation efficiency of China’s oil and gas monopoly enterprises.The overall logic of this paper is,by studying the monopoly attribution and the market concentration of oil and gas monopoly,to determine the market structure of China’s oil and gas industry.Considering the particularity of China’s oil and gas monopoly,when studying the efficiency of technological innovation in enterprises,monopolization is considered as a separate type of influencing factor,as well as internal and external influencing factors,to discover the ways and degrees of the impact of the three types of factors on the technological innovation efficiency of oil and gas monopoly enterprises.Base on the input and output of technological innovation,according to the existing research,to build an evaluation index system and to implement a multi-angle evaluation of the technological innovation efficiency of the three oil and gas monopoly enterprises in China.Through comparative analysis,we can propose strategies and suggestions for improving the efficiency of technological innovation.This paper obtained the following research results:Firstly,this paper draws on the related theories,defines the three attributes of natural monopoly,economic monopoly,and administrative monopoly in China’s oil and gas monopoly,analyzes the types of market structure of China’s and foreign oil and gas industries,and describes the status,characteristics and exsisting problems of technological innovation under the premise of the monopoly operation of China’s oil and gas enterprises.Secondly,this paper uses system engineering theory through the methods of expert opinion to analyze the influence mechanism of the monopoly,internal and external factors of oil and gas monopoly enterprises.The ISM model analyzes the hierarchical structure among multiple factors.The DEMATEL model further analyzes the strengths and weaknesses of the multiple factors.Thirdly,based on the 2005-2017 data of three major oil and gas monopoly enterprises,named PetroChina,Sinopec and Cnooc,empirically evaluates the technological innovation efficiency.Based on the improved time series DEA model and input-oriented,this paper analyzes the input utilization efficiency of the oil and gas monopoly enterprises’ technological innovation.Based on the BP neural network model,this paper effectively evaluates the overall technological innovation efficiency of the three major oil and gas monopoly enterprises.Finally,it was found that the technological innovation input utilization efficiency of China’s oil and gas monopoly enterprises are in an above medium or higher level;technological innovation efficiency is in the medium level with a development trend.Fourthly,based on a comparative perspective,this paper uses DEA-Malmquist model to compare and evaluate the technological innovation efficiency of China’s oil and gas monopoly enterprises and other 10 large state-owned industrial representative enterprises,uses the horizontal comparison method to compare the technological innovation efficiency of oil and gas monopoly enterprises in China with the three foreign large multinational oil and gas enterprises.This paper found out the technological innovation efficiency of China’s oil and gas monopyly enterprises has certain advantages compare with representative state-owned enterprises,but are lower than foreign oil and gas enterprises.Last but not the least,based on the analysis of the influencing factors of technological innovation in oil and gas monopoly enterprises,relying on empirical evaluation results,this paper analyzes the causes of the technological innovation efficiency of China’s oil and gas monopoly enterprises,and provides strategies and suggestions for the improvement of technological innovation efficiency from the national innovation policy,the oil and gas operation management system,and the internal innovation management and mechanism,innovation culture and many other aspects.The research of this paper enriches and refines the theoretical research,and provides a theoretical basis for the future direction of China’s oil and gas industry reforms.This paper provides a view to adjusting the strategy and reducing business cost of technological innovation activities and processes for oil and gas monopoly enterprises in future,and provides guidance and reference for improving the efficiency of technological innovation.更多还原