中国战略性新兴产业上市企业的创新效率评价研究——基于三阶段DEA模型

摘要/Abstract

摘要： 为有效和快速地提升当前我国战略性新兴产业企业的创新投入产出效率，并找出导致产业技术创新效率整体不高、不同细分产业技术创新效率产生差异的主要原因，本文采用三阶段DEA模型，综合从区域差异、产业差异和外部环境影响等层面对225家战略性新兴产业企业的创新效率进行了分析研究。研究结果表明，剔除外部环境影响因素后，我国战略性新兴产业企业的创新综合技术效率、规模效率出现降低，而纯技术效率有所提高，即纯技术效率对综合技术效率的影响力大于规模效率，这说明我国战略性新兴产业创新发展主要是由管理与技术要素驱动，并非简单依赖于规模经济模式。分产业分析表明，综合效率上，新能源汽车产业、新能源产业和新材料产业占据前三；在技术效率方面，绿色环保产业、高端装备产业和生物技术产业占据前三；在规模效率方面，新能源汽车产业、新能源产业和新材料产业占据前三。由此可知，我国在新能源汽车、新能源和新材料三个产业的综合效率提升主要是由于规模效率所推动，这可能意味着国家相继出台的各项促进新能源汽车和新材料发展的政策，有效刺激了企业的投资热情。但是，总体而言，还需要完善技术性创新投入，进而提升创新技术效率。

关键词: 战略性新兴产业, 企业创新效率, 外部环境因素, 三阶段DEA

Abstract: To effectively and rapidly improve the input and output efficiency of innovation of strategic emerging enterprises in China, and find out the main reasons that lead to the overall low efficiency of industrial technological innovation and the differences in the efficiency of technological innovation in different sectors, this paper uses the three-stage DEA model to analyze and study the innovation efficiency of 225 strategic emerging enterprises from the perspectives of regional differences, industry differences, and external environmental impacts. The research results show that after removing the external environmental factors, the comprehensive technical efficiency and scale efficiency of China’s strategic emerging industries’ innovation decrease, while the pure technical efficiency improves, that is, the impact of pure technical efficiency on the comprehensive technical efficiency is stronger than the scale efficiency, which shows that the innovation and development of China’s strategic emerging industries are mainly driven by management and technology factors, not simply dependent on the scale economy model. The analysis by industry shows that in terms of comprehensive efficiency, the new energy automobile industry, the new energy industry, and the new material industry rank the top three; In terms of technical efficiency, the green environmental protection industry, high-end equipment industry, and biotechnology industry rank the top three; In terms of scale efficiency, new energy vehicles, new energy industry, and new materials industry rank the top three. It can be seen that China’s comprehensive efficiency in the three industries of new energy vehicles, new energy, and new materials is mainly driven by scale efficiency, which may mean that various policies issued by the government in recent years to promote the development of new energy vehicles and new materials have effectively stimulated the investment enthusiasm of enterprises. In general, however, it is also necessary to strengthen technological innovation resources and improve the efficiency of innovative technology.

Key words: strategic emerging industries, enterprise innovation efficiency, external environmental factor, three-stage DEA

李秀峰, 李波. 中国战略性新兴产业上市企业的创新效率评价研究——基于三阶段DEA模型[J]. 管理评论, 2025, 37(7): 77-89.

Li Xiufeng, Li Bo. The Evaluation of Innovation Efficiency of Listed Enterprises in China’s Strategic Emerging Industries—Based on the Three-stage DEA Model[J]. Management Review, 2025, 37(7): 77-89.

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