基于DEA方法的环保行业上市企业创新效率评价
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摘要
通过收集我国环保行业61家上市企业2017年公布的财务数据,构建环保行业上市企业创新效率评价指标体系,运用数据包络分析(DEA)方法,从综合效率及纯技术效率、规模报酬、投影分析三方面分析企业的创新活动。研究结果表明,环保行业整体创新效率较低,纯技术效率偏低是主要因素,近2/3的上市企业存在投入冗余和产出不足的双重困扰;超五成企业呈现规模递增态势,创新投入不足是导致企业规模效率偏低的主要原因;技术人员与研发费用配置不合理是企业达不到DEA有效水平的重大障碍。最后,根据环保行业创新活动现状提出相关建议。
By collecting the financial data published by 61 listed enterprises in the environmental protection industry in2016 of China, this paper constructs the evaluation index system of the innovation efficiency of the listed enterprises in the environmental protection industry, and uses the data envelopment analysis(DEA) method to analyze the enterprises' innovation activities from three aspects: the comprehensive efficiency and pure technical efficiency, the scale reward and the projection analysis. The results show that the overall innovation efficiency of the environmental protection industry is low, and the low efficiency of pure technology is the main factor, nearly 2 to 3 listed enterprises of the listed enterprises have dual problems of redundant input and insufficient output; more than fifty percent of enterprises present an increasing trend of scale, and insufficient investment in innovation is the main reason leading to the low scale efficiency of enterprises; the unreasonable allocation of technicians and R&D expenditures is a major obstacle for enterprises to reach the effective level of DEA. Finally, the paper puts forward some suggestions according to the current situation of innovation activities in environmental protection industry.
By collecting the financial data published by 61 listed enterprises in the environmental protection industry in2016 of China, this paper constructs the evaluation index system of the innovation efficiency of the listed enterprises in the environmental protection industry, and uses the data envelopment analysis(DEA) method to analyze the enterprises' innovation activities from three aspects: the comprehensive efficiency and pure technical efficiency, the scale reward and the projection analysis. The results show that the overall innovation efficiency of the environmental protection industry is low, and the low efficiency of pure technology is the main factor, nearly 2 to 3 listed enterprises of the listed enterprises have dual problems of redundant input and insufficient output; more than fifty percent of enterprises present an increasing trend of scale, and insufficient investment in innovation is the main reason leading to the low scale efficiency of enterprises; the unreasonable allocation of technicians and R&D expenditures is a major obstacle for enterprises to reach the effective level of DEA. Finally, the paper puts forward some suggestions according to the current situation of innovation activities in environmental protection industry.
引文
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[11]张根文,李双双,曾行运.基于价值链视角对技术创新效率两阶段分析:以节能环保上市公司为例[J].工业技术经济,2015(8):108-116.
[12]WANG Q W,HANG Y,SUN L CH,et al.Two-stage innovation efficiency of new energy enterprises in China:a non-radial DEAapproach[J].Technological Forecasting&Social Change,2016,112:254-261.
[13]韩庆潇,杨晨,顾智鹏.高管团队异质性对企业创新效率的门槛效应:基于战略性新兴产业上市公司的实证研究[J].中国经济问题,2017(2):42-53.
[14]吴浩强,刘树林.并购对企业技术创新能力的影响:基于中国制造业分行业的视角[J].财会月刊,2018(1):130-134.
[15]韩晓杰.融资约束和R&D投资与企业创新效率的相关研究[J].经济研究参考,2017(32):72-78.
[16]黄晗,范婷婷.管理者背景特征与企业创新效率研究[J].财会通讯,2017(6):76-69.
[17]冯宗宪,王青,侯晓辉.政府投入、市场化程度与中国工业企业的技术创新效率[J].数量经济技术经济研究,2011(4):3-17.
[18]金宏春,曹芳萍.基于DEA方法的环保上市公司财务绩效评价研究[J].经济论坛,2016(2):64-71.
[19]严高剑,马添翼.关于DEA方法[J].科学管理研究,2005,23(2):54-56.
[2]DIEZ M A,COOKE P,ALBRECHTS L.The evaluation of regional innovation and cluster policies:towards a participatory approach[J].European Planning Studies,2001,9(7):907-923.
[3]WANG E C,HUANG W CH.Relative efficiency of R&D activities:a cross-country study accounting for environmental factors in the DEAapproach[J].Research Policy,2007,36(2):260-273.
[4]孙凯.基于DEA的区域创新系统创新效率评价研究[J].科技管理研究,2008,28(3):139-141.
[5]沈晓平,张红,潘锐焕,等.京津冀区域科技资源投入产出效率研究[J].情报工程,2017,3(6):81-89.
[6]LEE J,SHIM E.Moderating effects of R&D on corporate growth in U.S.and Japanese hi-tech industries:an empirical study[J].Journal of High Technology Management Research,1995,6(2):179-191.
[7]RAAB R A,KOTAMRAJU P.The efficiency of the high-tech economy:conventional development indexes versus a performance index[J].Journal of Regional Science,2006,46(3):545-562.
[8]桂黄宝.我国高技术产业创新效率及其影响因素空间计量分析[J].经济地理,2014,34(6):100-107.
[9]宇文晶,马丽华,李海霞.基于两阶段串联DEA的区域高技术产业创新效率及影响因素研究[J].研究与发展管理,2015,27(3):137-146.
[10]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,2013,34(2):36-43.
[11]张根文,李双双,曾行运.基于价值链视角对技术创新效率两阶段分析:以节能环保上市公司为例[J].工业技术经济,2015(8):108-116.
[12]WANG Q W,HANG Y,SUN L CH,et al.Two-stage innovation efficiency of new energy enterprises in China:a non-radial DEAapproach[J].Technological Forecasting&Social Change,2016,112:254-261.
[13]韩庆潇,杨晨,顾智鹏.高管团队异质性对企业创新效率的门槛效应:基于战略性新兴产业上市公司的实证研究[J].中国经济问题,2017(2):42-53.
[14]吴浩强,刘树林.并购对企业技术创新能力的影响:基于中国制造业分行业的视角[J].财会月刊,2018(1):130-134.
[15]韩晓杰.融资约束和R&D投资与企业创新效率的相关研究[J].经济研究参考,2017(32):72-78.
[16]黄晗,范婷婷.管理者背景特征与企业创新效率研究[J].财会通讯,2017(6):76-69.
[17]冯宗宪,王青,侯晓辉.政府投入、市场化程度与中国工业企业的技术创新效率[J].数量经济技术经济研究,2011(4):3-17.
[18]金宏春,曹芳萍.基于DEA方法的环保上市公司财务绩效评价研究[J].经济论坛,2016(2):64-71.
[19]严高剑,马添翼.关于DEA方法[J].科学管理研究,2005,23(2):54-56.
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