数控机床上市公司技术创新效率评价及国家科技重大专项政策的影响分析——基于三阶段DEA模型和Malmquist生产率指数  

Evaluation of Technological Innovation Efficiencies of CNC Machine Tools Listed Enterprises and the Impact of National Science and Technology Major Projects:Based on Three-Stage DEA Model and Malmquist Productivity Index

作　　者：张赤东 刘文婕 邱雨荷 谢雯 ZHANG Chidong;LIU Wenjie;QIU Yuhe;XIE Wen(Institutes of Science and Development,Chinese Academy of Sciences,Beijing 100190,China;School of Public Policy and Management,University of Chinese Academy of Sciences,Beijing 100049,China)

机构地区：[1]中国科学院科技战略咨询研究院,北京100190 [2]中国科学院大学公共政策与管理学院,北京100049

出　　处：《科学学与科学技术管理》2024年第1期47-61,共15页Science of Science and Management of S.& T.

基　　金：科技部科技创新战略研究专项(ZLY202007,ZLY202127)。

摘　　要：数控机床企业创新发展受创新政策影响较大,尤其是重大专项政策。以企业技术创新效率为切入点,基于技术创新与专利的双重属性特征,构建了企业技术创新效率评价指标体系,采用三阶段DEA模型与Malmquist生产率指数对2015—2019年中国数控机床上市公司的创新效率进行动静态评价,并引入政策分析变量进行比较。结果显示,地区经济发展水平对企业创新效率提升有正向作用;超半数样本企业综合创新效率值在0.8~1的范围内,而少数龙头企业的无效率表现不利于企业及机床产业整体的产品结构创新升级;在2015—2019年期间,中国数控机床企业全要素生产率水平整体呈上升趋势,主要由技术进步推动;考虑政策作用的对比分析结果显示,政策支持企业的创新效率水平呈现上升趋势,其他企业创新效率水平呈现下降趋势,肯定了国家科技重大专项政策支持对于企业创新效率提升的促进作用。The market size of China's CNC machine tool industry ranks among the top in the world.However,the industry is"big but weak".There are facts that domestic products mainly occupy the middle and low-end market in the industry,enterprises lag behind in the development of cutting-edge technology,and the development of leading enterprises has entered a trough,etc.The current research on China's CNC machine tool industry lacks empirical view on the performance of enterprise innovation efficiency under the influence of policies,and the understanding and measurement of technological innovation efficiency in existing research are mostly the adoption of common indicators,lacking the analysis of index construction based on theoretical thinking.Especially for the application of patent indicators,most existing studies only adopt the number of patent applications or patent authorizations as the measurement indicators of technological innovation,which leads to the deficient of analysis dimensions.For key industries such as CNC machine tools,which are included into core tasks of the national strategy,the impact of national science and technology major project on the innovation and development of enterprises makes great sense.Empirical analysis considering the impact of policies can not only illustrate the characteristics of technological innovation efficiency more precisely,but also provide feedback and suggestions for related policies.This research conducted the dynamic and static evaluation analysis of the innovation efficiency during 2015-2019 of 25 Chinese CNC machine tool listed enterprises based on the theoretical connotation of technological innovation,and introduced the policy variable as the analysis dimension.In terms of indicators,patent indicators such as"patented technology breadth"and"patented technology depth"are innovatively introduced into the evaluation system,and the indicators of economic benefits are introduced as well to enrich the connotation of indicators.In terms of the model,on the one hand,the three-sta

关 键 词：数控机床企业 技术创新效率评价 重大专项政策 三阶段DEA模型 MALMQUIST生产率指数 

分 类 号：F272[经济管理—企业管理] F273.1[经济管理—国民经济]