中国高技术产业研发创新效率研究——基于资源约束型两阶段DEA模型的新视角

冯志军, 陈伟

系统工程理论与实践 ›› 2014, Vol. 34 ›› Issue (5) : 1202-1212.

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中国科学院数学与系统科学研究院期刊网
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系统工程理论与实践 ›› 2014, Vol. 34 ›› Issue (5) : 1202-1212. DOI: 10.12011/1000-6788(2014)5-1202
论文

中国高技术产业研发创新效率研究——基于资源约束型两阶段DEA模型的新视角

    冯志军1,2, 陈伟2
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R&D innovation efficiency of Chinese high-tech industries——Based on two-stage network DEA model with constrained resources

    FENG Zhi-jun1,2, CHEN Wei2
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文章历史 +

摘要

针对传统数据包络分析（DEA）模型的不足，结合高技术产业研发创新过程的特征，将其研发创新过程分解为技术开发和经济转化两个前后相续的子阶段，考虑“子阶段之间的关联关系”和“初始投入在两个子阶段间的分配结构”，构建了资源约束型两阶段DEA模型，从而实现了对高技术产业研发创新效率测算方法的改进，运用该模型实证测评了中国高技术产业17个细分行业研发创新的整体及各子阶段的效率，并同时得到初始投入的配置信息. 与现有研究相比，该模型突破了传统DEA模型无视高技术产业研发创新系统内部组织结构的限制. 实证结果表明：中国高技术产业17个细分行业不论是从研发创新整体上，还是从研发创新的两个子阶段，效率值都偏低，均有很大的提升空间；根据高技术产业研发创新两阶段效率矩阵图可知，除了电子计算机外部设备制造业等3个细分行业属于高效集约型研发创新，大部分行业表现为两个子阶段效率双差或一强一差；根据17个细分行业所隶属的5个产业大类来分析，电子计算机及办公设备制造业研发创新过程的整体效率最高、航空航天器制造业最低.

Abstract

Aiming at the deficiency of traditional data envelopment analysis (DEA) model, combined with the characteristics of high-tech industry R&D innovation process, the R&D innovation process is decomposed into technological development and economic transformation sub stage, considering "relationship of the sub stage" and "distribution structure of the initial input in the sub stage", this paper constructs two-stage network DEA model with constrained resources, so it realizes the improvement of high-tech industry R&D innovation efficiency measurement method, and this model is applied to empirically evaluate the efficiency of R&D innovation and sub stage for 17 Chinese high-tech industries, and get initial input configuration information. Compared with the existing researches, this model breaks through constraints which traditional DEA models ignore the high-tech industry R&D innovation system internal structure. The empirical results show that: From both the whole and two sub stage, the efficiency of 17 Chinese high-tech industries are low, which have considerable improvement room; according to efficiency matrix diagram, only ECPEM 3 subdivision industries belong to efficient intensive innovation, the most industries are characterized by double weak or a strong and a weak; according to the 5 kinds which 17 industries belong to, the overall R&D innovation efficiency of ECOEI is the highest, AAMI is the lowest.

关键词

高技术产业 / 研发创新效率 / 两阶段DEA模型 / 资源约束 / 效率矩阵图

Key words

high-tech industries / R&D innovation / two-stage network DEA model / constrained resources / efficiency matrix

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冯志军 , 陈伟. 中国高技术产业研发创新效率研究——基于资源约束型两阶段DEA模型的新视角. 系统工程理论与实践, 2014, 34(5): 1202-1212 https://doi.org/10.12011/1000-6788(2014)5-1202
FENG Zhi-jun , CHEN Wei. R&D innovation efficiency of Chinese high-tech industries——Based on two-stage network DEA model with constrained resources. Systems Engineering - Theory & Practice, 2014, 34(5): 1202-1212 https://doi.org/10.12011/1000-6788(2014)5-1202
中图分类号： F276.44   

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基金

国家软科学基金（2010GXS513173）；高等学校博士点基金（20102304110008）；广东高校优秀青年创新人才培养计划项目（2013WYM_0081）；教育部人文社科青年基金（13YJC790002）
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