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在全球价值链重构背景下，文章聚焦中西方高研发投入采矿业企业的创新绩效差异，基于技术追赶与路径依赖双重视角展开分析，具有重要的理论与现实意义。文章选取2013—2021年中国及德日英美上榜EIS的高研发投入采矿业企业为样本，运用DEA-BBC模型评估其综合技术效率、纯技术效率及规模效率，并通过Tobit回归分析探讨外部因素对创新绩效的影响。文章发现，中国采矿业企业在规模效率上取得显著增长，但综合技术效率相对滞后，陷入“规模效率驱动陷阱”;而德日英美企业则展现出更高的综合技术效率。进一步分析表明，制度锁定、市场约束和文化惯性是制约中国采矿业企业创新绩效的主要路径依赖因素。具体而言，地方政府在追求短期经济增长过程中，可能忽视长期技术创新，导致创新资源错配；同时，标准壁垒、资源约束和专利悬崖等问题也增加了企业技术创新与产业升级的难度。文章同时得出结论：中国采矿业企业需突破路径依赖，优化国内创新资源配置，构建产学研深度融合的技术创新体系；同时，深化国际循环，推动技术标准互认，积极参与全球技术合作与交流，提升在全球价值链中的地位。文章为理解中西方采矿业创新绩效差异提供了新视角，对推动中国采矿业高质量发展具有实践指导意义。
Abstract：In the context of global value chain restructuring, this paper focuses on the differences in innovation performance between Chinese and Western high R&D-invested mining firms, and analyzes them based on the dual perspectives of technological catch-up and path dependence, which is of great theoretical and practical significance. The paper selects a sample of Chinese, German, Japanese, British, and American EIS-listed high-R&D-invested mining firms from 2013 to 2021, evaluates their comprehensive technological efficiency, pure technological efficiency, and scale efficiency by using the DEA-BBC model, and examines the impact of external factors on innovation performance by using the Tobit regression analysis. The study finds that Chinese mining firms have achieved significant growth in scale efficiency, but their technical efficiency lags behind, and they are caught in the “scale efficiency-driven trap”, while German, Japanese, British, and American firms show higher technical efficiency. Further analysis shows that institutional lock-in, market constraints and cultural inertia are the main path-dependent factors constraining the innovation performance of Chinese mining firms. Specifically, local governments may neglect long-term technological innovation in the pursuit of short-term economic growth, leading to a mismatch of innovation resources; meanwhile, standard barriers, resource constraints, and patent cliffs increase the difficulty of technological innovation and industrial upgrading for firms. This study also concludes that Chinese mining enterprises need to break through the path of dependence, optimize the allocation of domestic innovation resources, and build a technological innovation system that integrates industry, academia, and research; at the same time, they need to deepen the international cycle, promote the mutual recognition of technological standards, and actively participate in the global technological cooperation and exchanges, so as to enhance their position in the global value chain. This study provides a new perspective for understanding the differences in innovation performance between Chinese and Western mining industries, and is of practical guidance for promoting the high-quality development of China's mining industry.
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基本信息:
DOI：10.19868/j.cnki.gylgl.2025.12.001
中图分类号:F416.1;F273.1
引用信息:
[1]周鹏,黄远祥.全球价值链重构下中西方采矿业创新绩效差异研究——基于技术追赶与路径依赖的双重视角[J].供应链管理,2025,6(12):5-23.DOI:10.19868/j.cnki.gylgl.2025.12.001.
基金信息:
中国社会科学院智库基础研究项目“特殊类型地区创新体系建设与提升路径研究”(ZKC250808)