我国工业企业绿色技术创新 效率及其区域差异研究 ——基于共同前沿理论和DEA模型
RESEARCH ON THE INDUSTRIAL ENTERPRISES TECHNOLOGY INNOVATION EFFICIENCY AND REGIONAL DISPARITIES IN CHINA ——Based on the Theory of Metafrontier and DEA Model

摘要 在引入工业“三废”和CO2等指标的情况下，本文基于共同前沿理论，利用规模报酬不变和可变的DEA模型测度分析2003—2010年各省份企业绿色科技研发、成果转化效率以及区域间的技术差距，并对无效率值进行分解，最后检验两阶段效率的影响因素。研究表明：①考察期内中国企业两阶段绿色创新效率偏低，且均呈现下降趋势，各阶段纯技术效率持续减少是其主要原因。与传统效率相比，绿色效率值更低，绿色与传统成果转化效率省际排名间呈现显著的正相关性，表明经济效率不高省份在技术环境效应转化中依然落后。②各省份、区域间效率差异明显，TGR值显示，东部地区两阶段创新技术水平均高于中西部，且存在差距继续扩大的风险。大多数东部省份两阶段无效率主要受制于企业管理水平低下，而生产技术差距和管理无效率则是中西部省份的共同制约因素。③国有经济比重、外商投资和技术交易环境对科技研发效率的提升具有积极影响，企业规模则起阻滞作用。技术交易环境优化显著促进成果转化效率的提升，而企业规模和国有经济比重具有负影响。
Abstract： By introducing the index of the industrial “three wastes” and carbon dioxide，this paper studies the theory of metafrontier and DEA model and analyzes the provincial enterprises green R&D achievement conversion efficiency and the technology gap between regions from 2003 to 2010This paper decomposes provincial innovation inefficiency and examines the two stages of efficiency affecting factorsThe results show as follows：(1) During the period，Chinese enterprises two stages of efficiency both are low with decline trends due to the decreasing of pure technology efficiencyGreen efficiency is lower than the traditional efficiency，the two provincial ranks of efficiency show strong correlation，which indicates that low economic efficiency province still falls in the technological environment effect transformation(2)There are significant differences in all provinces and major regionsTGR value shows that the eastern innovation technology level is the highest in the two stages，there is a risk that the gap may continue to be expandedThe two stages inefficiency in most eastern mainly comes from the low management level，but the inefficiency in middle and western areas mainly subjects to the backward regional production technology and enterprise management(3) The proportion of stateowned economy，foreign investment and technology trading environment enhancing have significant positive influence on improving the R&D efficiency，but enterprise scale has negative influenceTechnology trading environment is helpful to improving the S&T achievement conversion efficiency，but the enterprise scale and the proportion of stateowned economy have a negative impact