战略性新兴产业研发创新效率研究——基于两阶段DEA效率评估模型

Research on Innovation Efficiency of Emerging Strategic Industries—Based on Two-stage DEA Efficiency Assessment Model

基于研发创新活动的两阶段DEA效率评估模型,将研发创新活动的总体过程分解为创新专利研发阶段和研发成果经济效益转化阶段,使用战略性新兴产业上市公司样本,通过DEA-Malmquist指数法测算我国31个省(自治区、直辖市)战略性新兴产业的全要素生产率变化以及分解效率值,并从时间和省份个体的角度分析创新活动各个阶段的效率值特征。研究发现:样本期内我国战略性新兴产业创新活动的全要素生产率总体呈上升趋势;创新专利研发效率总体处于较低水平,创新成果的经济效益转化效率总体处于中高水平;研发创新活动规模报酬递增,创新成果经济效益转化规模报酬不变;战略性新兴产业创新研发活动存在“高效应用,低效研发”的现象。最后,提出我国战略性新兴产业研发创新活动的政策建议。

This paper establishes a two-stage DEA efficiency assessment model of innovation activity which divides the overall process of innovation activity into the patents production stage and the economic benefit transformation stage.Listed companies are used as the samples of emerging strategic industries to measures the TFP changes and the decomposed TFP efficiency values of emerging industries in each province with DEA-Malmquist index,and the characteristics of TFP efficiency values of each stage of innovation activity from both time and provinces perspectives are analyzed.The results show that:TFP of innovation activity in emerging strategic industries generally shows an increasing trend during the sample period.The efficiency of patent production is generally at a low level,and the efficiency of economic benefit transformation is generally at a medium to high level.R&D innovation activity shows increasing return to scale,and economic benefit transformation activity shows constant return to scale.There is a“high-efficiency application and low-efficiency R&D”phenomenon in the innovation activities of emerging strategic industries.Finally,policy suggestions for innovation activities in China s emerging strategic industries are put forward.