基于双目标DEA模型的中国省级高技术产业的创新效率评价  

Innovation Efficiency Evaluation of China’s Provincial High-tech Industry Based on Bi-objective DEA Model

作　　者：魏方庆 储军飞 杨锋[3] WEI Fangqing;CHU Junfei;YANG Feng(School of Economics,Hefei University of Technology,Hefei 230009,China;School of Business,Central South University,Changsha 410083,China;School of Management,University of Science and Technology of China,Hefei 230026,China)

机构地区：[1]合肥工业大学经济学院,安徽合肥230009 [2]中南大学商学院,湖南长沙410083 [3]中国科学技术大学管理学院,安徽合肥230026

出　　处：《运筹与管理》2024年第4期174-180,I0053-I0059,共14页Operations Research and Management Science

基　　金：国家自然科学基金资助项目(72101246,71901225,71631006)。

摘　　要：科学合理地评价高技术产业的创新效率,对于提升其国际科技竞争力具有重要意义。基于创新价值链理论,高技术产业创新活动一般被划分为研发和商业化两个前后连续的子阶段。本文基于合作共赢的思想,从研发子阶段和商业化子阶段合作视角出发,建立双目标DEA模型。然后对中国高技术产业在2013—2015年(包括三个连续的创新周期,即2013年代表2013—2015年;2014年代表2014—2016年;2015年代表2015—2017年)的整体创新效率、研发效率和商业化效率进行评价。实证结果表明:中国高技术产业的整体创新效率偏低,具有较大的改进空间;高技术产业的研发效率远大于商业化效率,较低的商业化效率是导致整体创新效率偏低的主因;高技术产业的整体创新效率、研发效率和商业化效率存在省际和地区之间的差异。最后,根据研发效率和商业化效率,本文将29个省级高技术产业划分为四类,为每个省级高技术产业创新效率的提升提出具体策略。本文丰富了评价理论与方法,为高技术产业的创新效率评价提供了一个新的视角,具有重要的理论价值和实践意义。Innovation is a core driving force of economic growth and a critical factor to promote national competitiveness.High-tech industry,based on knowledge-intensive technologies and the integration of multi-disciplinary technological achievements,is a main source of innovation,an important pillar industry for China’s economic development,and an important force to enhance national scientific and technological competitiveness and industrial core competitiveness.To scientifically and reasonably evaluate the innovation efficiency of high-tech industry is of great significance for optimizing the allocation of innovation resources of high-tech industry,enhancing its innovation competitiveness,and promoting its position in the global industrial chain and supply chain.Based on the innovation value chain theory,the high-tech industry innovation activity is generally divided into two successive sub-processes:R&D process and commercialization process.To be specific,R&D process measures the ability to transform R&D inputs into scientific and technological outputs,and commercialization process measures the ability to marketize the scientific and technological achievements.The two-stage data envelopment analysis(DEA)model has been widely used in innovation efficiency evaluation of high-tech industry.Previous studies usually portray the relationship between the two sub-processes of R&D and commercialization according to the assumption of“leader-following”,and then evaluate the innovation efficiency and sub-process efficiency of high-tech industry,ignoring the cooperative relationship between the R&D and commercialization sub-processes.Strengthening the mutual cooperation between the two sub-processes of R&D and commercialization is important to enhance the innovation efficiency and innovation capacity of high-tech industry,and maintain its sustainable and efficient development.Incorporating the idea of win-win cooperation,this study extends the traditional two-stage DEA model and develops a bi-objective DEA model from the pers

关 键 词：高技术产业 创新效率 双目标DEA模型 两阶段 数据包络分析 

分 类 号：C934[经济管理—管理学]