基于两阶段DEA的高技术企业技术创新绩效研究
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摘要
高技术企业具有知识密集、技术密集等特点,是促进我国经济与社会发展的重要部分,在国家发展中占据极其重要的地位。根据高技术企业技术创新的特点,在考虑时滞效应的基础上构建高技术企业技术创新的两阶段投入产出指标体系,应用动态两阶段DEA模型对两个阶段的绩效进行评价,通过对我国27个省域2012-2015年高技术企业技术创新绩效的评价,全面分析各省高技术企业在技术研发以及技术转化两个阶段的效率。研究表明:我国各省之间的高技术企业在技术创新水平上存在很大差距,而且大部分地区的高技术企业存在重视中间成果而忽略商品化产出的问题,需针对不同地区企业技术创新的差异性提出更具针对性的对策。研究成果为更客观的评价我国不同地区间高技术企业技术创新水平提供了工具,为不同地区制定相应的高技术企业技术创新政策提供了决策依据。
The high-tech enterprise,which is knowledge-intensive and technology-intensive,is not only a necessary element to promote the development of economy and society,but also plays an important role in national development. According to the characteristics of technological innovation of high-tech enterprises as well as the time lag effect,we construct the two-stage input-output index system of technological innovation of high-tech enterprises. Then we evaluate the two-stage performance by using the two-stage DEA model. Through the evaluation of the technological innovation performance of high-tech enterprises in27 regions of China from 2012 to 2015,this paper comprehensively analyzes the efficiency of the high-tech enterprises in the technology research stage and technology transform stage. It is found that from the perspective of technological innovation level,there is a big gap among the high-tech enterprises in our country. Moreover,the high-tech enterprises in most areas tend to focus on the intermediate achievements and ignore the commercialization of production. Therefore,aimed at the differences of technological innovation of enterprises in different regions,we need to put forward more targeted measures. The research results provide a tool for a more objective evaluation of the technological innovation level of high-tech enterprises in different regions in China. Meanwhile,they also provide a decision-making basis for formulating the corresponding high-tech enterprise technological innovation policies.
The high-tech enterprise,which is knowledge-intensive and technology-intensive,is not only a necessary element to promote the development of economy and society,but also plays an important role in national development. According to the characteristics of technological innovation of high-tech enterprises as well as the time lag effect,we construct the two-stage input-output index system of technological innovation of high-tech enterprises. Then we evaluate the two-stage performance by using the two-stage DEA model. Through the evaluation of the technological innovation performance of high-tech enterprises in27 regions of China from 2012 to 2015,this paper comprehensively analyzes the efficiency of the high-tech enterprises in the technology research stage and technology transform stage. It is found that from the perspective of technological innovation level,there is a big gap among the high-tech enterprises in our country. Moreover,the high-tech enterprises in most areas tend to focus on the intermediate achievements and ignore the commercialization of production. Therefore,aimed at the differences of technological innovation of enterprises in different regions,we need to put forward more targeted measures. The research results provide a tool for a more objective evaluation of the technological innovation level of high-tech enterprises in different regions in China. Meanwhile,they also provide a decision-making basis for formulating the corresponding high-tech enterprise technological innovation policies.
引文
[1]李伟民,张颖.东北地区技术创新竞争力评价与对策建议[J].辽宁大学学报(哲学社会科学版),2016(5):90-97.Li Weimin,Zhang Ying.Assessment and strategies of regional technological innovation competitiveness of northeast area[J].Journal of Liaoning University(Philosophy and Social Sciences Edition),2016(5):90-97.
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[5]王杰,姜伊琼.区域创新系统绩效评价研究评述[J].工业技术经济,2010(5):139-142.Wang Jie,Jiang Yiqiong.Review of the research on the regional innovation system's performance evaluation[J].Industrial Technology&Economy,2010(5):139-142.
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[7]刘慧,陈晓华,吴应宇.基于异质性视角的中国企业创新决策机制研究[J].中南财经政法大学学报,2013(3):143-150.Liu Hui,Chen Xiaohua,Wu Yingyu.Research on innovation decision mechanism of Chinese enterprises based on heterogeneity[J].Journal of Zhongnan University of Economics and Law,2013(3):143-150.
[8]赵晖.高技术企业的R&D投入与组织绩效关系的实证分析[J].生产力研究,2010(5):218-219.Zhao Hui.The empirical analysis of the relationship between R&D investment and organizational performance of high-tech enterprises[J].Productivity Research,2010(5):218-219.
[9]Nelson Oly Ndubisi,Celine Marie Capel,Gibson C Ndubisi.Innovation strategy and performance of international technology services ventures[J].Journal of Service Management,2015(4):548-564.
[10]严焰,池仁勇.R&D投入、技术获取模式与企业创新绩效——基于浙江省高技术企业的实证[J].科研管理,2013(5):48-55.Yan Yan,Chi Renyong.R&D investment,technology acquisition pattern and enterprise innovation performance Based on a demonstration of high—Tech enterprises in Zhejiang Province[J].Science Research Management,2013(5):48-55.
[11]孙国锋,张婵,姚德文.大中型高技术企业创新效率测度与分解——基于DEA模型的实证分析[J].审计与经济研究,2016(3):111-119.Sun Guofeng,Zhang Chan,Yao Dewen.The measure of China’s large and medium-sized hi-tech enterprises efficiency and decomposition:An empirical analysis based on DEA model[J].Journal of Audit&Economics,2016(3):111-119.
[12]姜波.中国区域大中型工业企业技术创新效率变动的实证研究[J].情报杂志,2012(2):81-86.Jiang Bo.Empiricalstudy on technological innovation efficiency change of Chinese regional large and medium industrial enterprises[J].Journal of Information Science,2012(2):81-86.
[13]郑美群,蔡莉,周明霞.高技术企业绩效评价指标体系的构建研究[J].科学学与科学技术管理,2004(7):68-72.Zheng Meiqun,Cai Li,Zhou Mingxia.Study on the construction of performance evaluation index system of high-tech enterprises[J].Science of Science and Management of S.&T,2004(7):68-72.
[14]赵树宽,余海晴,巩顺龙.基于DEA方法的吉林省高技术企业创新效率研究[J].科研管理,2013(2):36-43.Zhao Shukuan,Yu Haiqing,Gong Shunlong.The innovation efficiency of hi-tech enterprises in Jilin province based on DEA method[J].Science Research Management,2013(2):36-43.
[15]龚光明,单虹.基于动态网络DEA的中国高技术企业创新效率研究[J].科学管理研究,2015(1):60-63.Gong Guangming,Shan Hong,Study on the innovation efficiency of Chinese high-tech industry based the method of dynamic network DEA[J].Scientific Management Research,2015(1):60-63.
[16]苏屹,喻登科,李柏洲.基于改进DEA的我国高技术企业技术创新绩效研究[J].科学学与科学技术管理,2012(6):71-76.Su Yi,Yu Dengke,Li Baizhou.An analysis on the performance of China's high-tech enterprise technology innovation based on improved DEA[J],Science of Science and Management of S.&T,2012(6):71-76.
[17]Charnes A,Cooper W W,Rhodes E.Measuring the efficiency of decision making units[J].European Journal of Operational Research,1978(2):429-444.
[18]Banker R D,Charnes A,Cooper W W.Some models for estimating technical and scale inefficiencies in DEA[J].Management Science,1984(9):1078-1092.
[19]Sueyoshi T,Goto M.Undesirable congestion under natural disposability and desirable congestion under managerial disposability in U.S.electric power industry measured by DEA environmental assessment[J].Energy Economics,2016(1):173-188.
[20]杨敏.基于DEA理论的固定产出DMU评价与满意度分摊方法研究[D].合肥:中国科学技术大学,2014.Yang Min.Research on fixed output DMU evaluation and satisfaction allocation method based on DEA theory[D].Hefei:University of Science&Technology China,2014.
[21]谭瑾,罗正英,徐光伟.基于CCR、BCC与SE-DEA模型的科技创新投入绩效评价研究[J].科技与经济,2017(1):36-40.Tan Jin,Luo Zhengying,Xu Guangwei.Evaluation on input performance of based on CCR,BCC and technological innovation SE-DEA Models[J].Science&Technology and Economy,2017(1):36-40.
[22]Charnes A,Cooper W W,et al.Cone ratio data envelopment analysis and multiobjective programming[J].International Journal of Systems Science,1989(8):1099-1118.
[23]胡学刚.高技术企业的界定[J].安徽农业大学学报(社会科学版),2000(4):27-29.Hu Xuegang.The definition of high-tech enterprises[J].Journal of Anhui Agriculture University(Social Sciences Edition),2000(4):27-29.
[24]冯缨,滕家佳.江苏省高技术产业技术创新效率评价[J].科学学与科学技术管理,2010(8):107-112.Feng Ying,Teng Jiajia.Evaluation on technology innovation efficiency of high-tech Industry in Jiangsu province[J].Science of Science and Management of S.&T,2010(8):107-112.
[25]唐未兵,傅元海,王展祥.技术创新、技术引进与经济增长方式转变[J].经济研究,2014(7):31-43.Weibing Tang,Fu Yuanhai,Wang Zhanxiang.Technology innovation,technology introduction and transformation of economic growth pattern[J].Economic Research Journal,2014(7):31-43.
[26]刘乃全,吴友,赵国振.专业化集聚、多样化集聚对区域创新效率的影响—基于空间杜宾模型的实证分析[J].经济问题探索,2016(2):89-96.Liu Naiquan,Wu You,Zhao Guozhen.The influence of specialized agglomeration and diversification agglomeration on regional innovation efficiency based on the empirical analysis of spatial bin model,[J].Inquiry into Economic Issues,2016(2):89-96.
[27]王黎萤,王佳敏,虞微佳.区域专利密集型产业创新效率评价及提升路径研究—以浙江省为例[J].科研管理,2017(3):29-37.Wang Liying,Wang Jiamin,Yu Weijia.A regional study patent of innovation efficiency intensive industries by evaluation and promotion path of taking Zhejiang province as an example[J].Science Research Management,2017(3):29-37.
[28]王燕玲.基于专利分析的行业技术创新研究:分析框架[J].科学研究.2009(4):622-628.Wang Yanling.Technology innovation research in particular technology on the basis of patent analysis:Analysis framework[J].Studies in Science of Science,.2009(4):622-628.
[29]段云龙,王荣党.我国省区大中型工业企业技术创新效率差异的实证分析[J].经济问题探索,2010(8):109-112.Duan Yunlong,Wang Rong Dang.Empirical analysis of technological innovation efficiency differences between China's large and medium-sized industrial enterprises[J].Inquiry into Economic Issues,2010(8):109-112.
[30]冯梅,于可慧,杨洁冰.我国钢铁产业技术创新对绩效影响的实证分析[J].科学管理研究,2015(2):36-39.Feng Mei,Yu Kehui,Yang Jiebing.Empirical analysis about the impact of Chinese iron and steel industry technology innovation on the Performance[J].Scientific Management Research,2015(2):36-39.
[2]蒋键,张成科,郑刚.企业战略业务单元的技术创新相对绩效评价—基于行业技术特征视角[J].技术经济,2016(12):21-28.Jiang Jian,Zhang Chengke,Zheng Gang.Evaluation on relative performance of technological innovation of enterprise's strategic business unit:Based on perspective of industrial technology characteristic[J].Technology Economics,2016(12):21-28.
[3]许敏,谢玲玲.基于DEA的我国大中型工业企业技术创新效率评价研究[J].科学管理研究,2012(3):74-76.Xu Min,Xie Lingling.Evaluation on technology innovation efficiency of large and medium industrial enterprises in china based on DEA[J].Science Management Research,2012(3):74-76.
[4]邵云飞,詹坤,汪腊梅.中国医药产业创新效率的BCCMalmquist时空差异研究[J].科研管理,2016(S1):32-39.Shao Yunfei,Zhan Kun,Wang Lamei.Space and time differences in innovation efficiency of Chinese pharmaceutical industry based on BCC-Malmquist method[J].Science Research Management,2016(S1):32-39.
[5]王杰,姜伊琼.区域创新系统绩效评价研究评述[J].工业技术经济,2010(5):139-142.Wang Jie,Jiang Yiqiong.Review of the research on the regional innovation system's performance evaluation[J].Industrial Technology&Economy,2010(5):139-142.
[6]郑烨,杨若愚,姬晴晴.企业创新绩效国内外研究文献的十五年述评与展望[J].中国科技论坛,2017(3):73-80.Zheng Ye,Yang Ruoyu,Ji Qingqing.The present research situation and prospect of enterprise innovation performance:A literature review Based on the domestic and foreign research from 2000 to 2015[J].Forum on Science and Technology in China,2017(3):73-80.
[7]刘慧,陈晓华,吴应宇.基于异质性视角的中国企业创新决策机制研究[J].中南财经政法大学学报,2013(3):143-150.Liu Hui,Chen Xiaohua,Wu Yingyu.Research on innovation decision mechanism of Chinese enterprises based on heterogeneity[J].Journal of Zhongnan University of Economics and Law,2013(3):143-150.
[8]赵晖.高技术企业的R&D投入与组织绩效关系的实证分析[J].生产力研究,2010(5):218-219.Zhao Hui.The empirical analysis of the relationship between R&D investment and organizational performance of high-tech enterprises[J].Productivity Research,2010(5):218-219.
[9]Nelson Oly Ndubisi,Celine Marie Capel,Gibson C Ndubisi.Innovation strategy and performance of international technology services ventures[J].Journal of Service Management,2015(4):548-564.
[10]严焰,池仁勇.R&D投入、技术获取模式与企业创新绩效——基于浙江省高技术企业的实证[J].科研管理,2013(5):48-55.Yan Yan,Chi Renyong.R&D investment,technology acquisition pattern and enterprise innovation performance Based on a demonstration of high—Tech enterprises in Zhejiang Province[J].Science Research Management,2013(5):48-55.
[11]孙国锋,张婵,姚德文.大中型高技术企业创新效率测度与分解——基于DEA模型的实证分析[J].审计与经济研究,2016(3):111-119.Sun Guofeng,Zhang Chan,Yao Dewen.The measure of China’s large and medium-sized hi-tech enterprises efficiency and decomposition:An empirical analysis based on DEA model[J].Journal of Audit&Economics,2016(3):111-119.
[12]姜波.中国区域大中型工业企业技术创新效率变动的实证研究[J].情报杂志,2012(2):81-86.Jiang Bo.Empiricalstudy on technological innovation efficiency change of Chinese regional large and medium industrial enterprises[J].Journal of Information Science,2012(2):81-86.
[13]郑美群,蔡莉,周明霞.高技术企业绩效评价指标体系的构建研究[J].科学学与科学技术管理,2004(7):68-72.Zheng Meiqun,Cai Li,Zhou Mingxia.Study on the construction of performance evaluation index system of high-tech enterprises[J].Science of Science and Management of S.&T,2004(7):68-72.
[14]赵树宽,余海晴,巩顺龙.基于DEA方法的吉林省高技术企业创新效率研究[J].科研管理,2013(2):36-43.Zhao Shukuan,Yu Haiqing,Gong Shunlong.The innovation efficiency of hi-tech enterprises in Jilin province based on DEA method[J].Science Research Management,2013(2):36-43.
[15]龚光明,单虹.基于动态网络DEA的中国高技术企业创新效率研究[J].科学管理研究,2015(1):60-63.Gong Guangming,Shan Hong,Study on the innovation efficiency of Chinese high-tech industry based the method of dynamic network DEA[J].Scientific Management Research,2015(1):60-63.
[16]苏屹,喻登科,李柏洲.基于改进DEA的我国高技术企业技术创新绩效研究[J].科学学与科学技术管理,2012(6):71-76.Su Yi,Yu Dengke,Li Baizhou.An analysis on the performance of China's high-tech enterprise technology innovation based on improved DEA[J],Science of Science and Management of S.&T,2012(6):71-76.
[17]Charnes A,Cooper W W,Rhodes E.Measuring the efficiency of decision making units[J].European Journal of Operational Research,1978(2):429-444.
[18]Banker R D,Charnes A,Cooper W W.Some models for estimating technical and scale inefficiencies in DEA[J].Management Science,1984(9):1078-1092.
[19]Sueyoshi T,Goto M.Undesirable congestion under natural disposability and desirable congestion under managerial disposability in U.S.electric power industry measured by DEA environmental assessment[J].Energy Economics,2016(1):173-188.
[20]杨敏.基于DEA理论的固定产出DMU评价与满意度分摊方法研究[D].合肥:中国科学技术大学,2014.Yang Min.Research on fixed output DMU evaluation and satisfaction allocation method based on DEA theory[D].Hefei:University of Science&Technology China,2014.
[21]谭瑾,罗正英,徐光伟.基于CCR、BCC与SE-DEA模型的科技创新投入绩效评价研究[J].科技与经济,2017(1):36-40.Tan Jin,Luo Zhengying,Xu Guangwei.Evaluation on input performance of based on CCR,BCC and technological innovation SE-DEA Models[J].Science&Technology and Economy,2017(1):36-40.
[22]Charnes A,Cooper W W,et al.Cone ratio data envelopment analysis and multiobjective programming[J].International Journal of Systems Science,1989(8):1099-1118.
[23]胡学刚.高技术企业的界定[J].安徽农业大学学报(社会科学版),2000(4):27-29.Hu Xuegang.The definition of high-tech enterprises[J].Journal of Anhui Agriculture University(Social Sciences Edition),2000(4):27-29.
[24]冯缨,滕家佳.江苏省高技术产业技术创新效率评价[J].科学学与科学技术管理,2010(8):107-112.Feng Ying,Teng Jiajia.Evaluation on technology innovation efficiency of high-tech Industry in Jiangsu province[J].Science of Science and Management of S.&T,2010(8):107-112.
[25]唐未兵,傅元海,王展祥.技术创新、技术引进与经济增长方式转变[J].经济研究,2014(7):31-43.Weibing Tang,Fu Yuanhai,Wang Zhanxiang.Technology innovation,technology introduction and transformation of economic growth pattern[J].Economic Research Journal,2014(7):31-43.
[26]刘乃全,吴友,赵国振.专业化集聚、多样化集聚对区域创新效率的影响—基于空间杜宾模型的实证分析[J].经济问题探索,2016(2):89-96.Liu Naiquan,Wu You,Zhao Guozhen.The influence of specialized agglomeration and diversification agglomeration on regional innovation efficiency based on the empirical analysis of spatial bin model,[J].Inquiry into Economic Issues,2016(2):89-96.
[27]王黎萤,王佳敏,虞微佳.区域专利密集型产业创新效率评价及提升路径研究—以浙江省为例[J].科研管理,2017(3):29-37.Wang Liying,Wang Jiamin,Yu Weijia.A regional study patent of innovation efficiency intensive industries by evaluation and promotion path of taking Zhejiang province as an example[J].Science Research Management,2017(3):29-37.
[28]王燕玲.基于专利分析的行业技术创新研究:分析框架[J].科学研究.2009(4):622-628.Wang Yanling.Technology innovation research in particular technology on the basis of patent analysis:Analysis framework[J].Studies in Science of Science,.2009(4):622-628.
[29]段云龙,王荣党.我国省区大中型工业企业技术创新效率差异的实证分析[J].经济问题探索,2010(8):109-112.Duan Yunlong,Wang Rong Dang.Empirical analysis of technological innovation efficiency differences between China's large and medium-sized industrial enterprises[J].Inquiry into Economic Issues,2010(8):109-112.
[30]冯梅,于可慧,杨洁冰.我国钢铁产业技术创新对绩效影响的实证分析[J].科学管理研究,2015(2):36-39.Feng Mei,Yu Kehui,Yang Jiebing.Empirical analysis about the impact of Chinese iron and steel industry technology innovation on the Performance[J].Scientific Management Research,2015(2):36-39.