基于网络DEA和Shapley值的产学研科技创新效率研究  

Research on the Innovation Efficiency of Industry-University-Research Based on Network DEA and Shapley Value

作　　者：李影 张鹏 Li Ying;Zhang Peng(School of Economics and Management,South China Normal University,Guangzhou 510006,China)

机构地区：[1]华南师范大学经济与管理学院,广东广州510006

出　　处：《科技管理研究》2022年第5期93-103,共11页Science and Technology Management Research

基　　金：广东省软科学项目“粤港澳大湾区金融集聚对科技创新效率的影响研究”(2019A101002052);“广东省科技金融与科技创新协同发展研究”(2019A101002066);广东省社会科学研究项目“粤港澳大湾区金融支持对科技创新效率的影响研究”(GD19CGL32)。

摘　　要：将合作博弈方法与网络DEA相结合,构建合作前和合作后的效率评价模型,证明该博弈是超可加的,并采用Shapley值分配合作收益,对中国30个省区市的产学研科技创新系统进行实证分析。结果表明:(1)产学研创新主体中任意两方合作或三方合作时的产学研科技创新效率高于或至少等于合作前的产学研科技创新效率,且在大联盟状态下,系统效率最高。(2)产学研创新主体以R&D资金为基础建立合作,在提高产学研科技创新效率的同时,通过合作资源的再分配,优化系统资源配置。(3)在未损害任何一方利益情况下,优化资源的合作联盟使效率提升,是一种有效的帕累托改进,产生的合作收益以其在合作中的边际贡献为原则进行分配,使参与合作博弈的主体受益。This paper combines the cooperative game method with network DEA, constructs the efficiency evaluation model before and after cooperation, proves that the game is super additive, and uses Shapley value to distribute the cooperation income to make an empirical analysis on the industry-university-research scientific and technological innovation system in 30 provinces and cities in China. The results show that:(1) when any two or three parties cooperate, the scientific and technological innovation efficiency of industry-university-research is higher than or at least equal to the scientific and technological innovation efficiency of industry-university-research before cooperation,and the system efficiency is the highest in the state of large alliance.(2)The cooperation based on R&D funds will improve the efficiency of industry-university-research scientific and technological innovation, and it optimizes the allocation of system resources through the redistribution of cooperative resources.(3) Without harming the interests of any party, optimizing the cooperative alliance of resources to improve the efficiency is an effective Pareto improvement. The cooperation income generated is distributed according to the principle of its marginal contribution in the cooperation, so as tobenefit the subjects participating in the cooperative game.

关 键 词：网络DEA 合作博弈 科技创新效率 SHAPLEY值 

分 类 号：F49[经济管理—产业经济] F224.32