摘 要 中共、中央国务院发布的战略纲要中提出依靠创新打造发展新引擎、培育发展新动力是推进产业升级、跨越中等收入陷阱的关键。而这个发展新引擎、培育新动力的创新形式就是突破性技术创新。河南省作为中部经济第一大省，其民营企业对经济发展有着较高的贡献率。然而，河南省民营企业的突破性技术创新水平较低，创新能力不足、缺乏完善的创新发展体系，因此提升河南省民营企业整体的突破性技术创新水平已迫在眉睫。基于此，本文展开了研究。 本文介绍了突破性技术创新的研究背景，理清了国内外突破性技术创新的研究成果，以及民营企业突破性技术创新的理论综述；在文献研究及数据搜集并结合民营企业特征的基础上介绍了河南省民营企业突破性技术创新的发展现状，其中主要从河南省民营企业所处的制度环境、企业自身的发展现状以及技术创新发展现状等三个方面展开分析；根据相关文献对民营企业创新过程的研究并结合河南省民营企业突破性技术创新的发展现状筛选出外部环境、组织结构、人力资本、社会资本和知识整合等5个自变量，对相关文献的梳理确定创新能力和创新意向等2个中介变量，参考突破性技术创新的定义及特点对测量题项进行解释；根据筛选出的影响因素提出研究假设，构建理论模型；运用结构方程对理论模型进行验证，得出各影响因素的路径分析，深入探讨河南省民营企业突破性技术创新影响因素的作用机理并提出相应的对策建议。 研究结论如下：外部环境、结构资本、人力资本、社会资本和知识整合对河南省民营企业的创新意向具有显著正向影响，社会资本对创新意向的影响效应最强；组织结构、人力资本、社会资本和知识整合对河南省民营企业的创新能力具有正向影响，知识整合对创新能力的影响效应最强；创新能力和创新意向直接影响突破性技术创新。研究结果可以为河南省民营企业提高突破性技术创新提供有针对性的路径参考和方式借鉴。

The strategic outline issued by the CPC and the State Council proposes that relying on innovation to create a new engine for development and fostering new development momentum is the key to promoting industrial upgrading and crossing the middle-income trap. And this innovative form of developing new engines and nurturing new dynamics is breakthrough technological innovation. As the largest province in the central and western economy, Henan Province has a high contribution rate to the economy. However, the breakthrough level of breakthrough technology innovation of private enterprises in Henan Province is low, the innovation ability is insufficient, and the perfect innovation development system is lacking. Therefore, it is extremely urgent to improve the level of breakthrough technological innovation of private enterprises in Henan Province. Based on this, the research of this paper is carried out. This paper introduces the research background of breakthrough technological innovation, clarifies the research results of breakthrough technology innovation at home and abroad, and the theoretical summary of breakthrough technological innovation in private enterprises; on the basis of literature research and data collection combined with the characteristics of private enterprises The development status of breakthrough technological innovation of private enterprises in Henan Province is analyzed from three aspects: the institutional environment of private enterprises in Henan Province, the development status quo of private enterprises themselves, and the status quo of technological innovation development. According to relevant literature, the innovation process of private enterprises The research combines the development status of breakthrough technology innovation of private enterprises in Henan Province to screen out five independent variables such as external environment, organizational structure, human capital, social capital and knowledge integration, and combs relevant literature to identify innovative capabilities and innovative intentions. Variables, with reference to the definition and characteristics of breakthrough technological innovations, explain the measurement items; propose research hypotheses based on the selected influencing factors, construct theoretical models; use structural equations to verify the theoretical models, and obtain path analysis of each influencing factors, In-depth discussion of private enterprises in Henan Province The mechanism of the influencing factors of breakthrough technology innovation in enterprises and the corresponding countermeasures and suggestions. The conclusions are as follows: external environment, structural capital, human capital, social capital and knowledge integration have a significant positive impact on the innovation intention of private enterprises, and social capital has the strongest effect on innovation intention; Structural capital, human capital, social capital and knowledge integration have a positive impact on innovation ability, knowledge integration has the strongest effect on innovation ability, innovation ability and innovation intention have a direct impact on breakthrough technology innovation. The results can be used for reference and ways of improving breakthrough technology innovation in private enterprises.