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在研究过程中，本文在阅读了大量相关文献研究的基础上，共选取了 10 个
指标数据，包括 6 个投入指标和 4 个产出指标，构建了区域工业企业科技创新
效率的评价指标体系。同时采用数据包络分析 DEA 方法，横向分析了 2014 年
各省市和地区工业企业科技创新活动的效率值，得出各个省市科技创新效率的
排名情况。并利用 Malmquist 指数结合 2009-2014 年评价指标体系的面板数据，
对各地区工业企业的科技创新效率进行了纵向的对比研究，探讨其科技创新效
率的发展现状和整体变化趋势
结果显示，我国工业企业总体科技创新效率有所增长，但是区域间差异比
较明显，而各效率值在观察期内出现不同程度的波动。各地区科技创新效率均
实现了増长，只有少数地区出现下降，中西部地区的增长最为明显，东部地区
发展比较稳定，东北地区出现一定的衰退等。出现这种差异主要由于各个地区
自身经济、技术和地理位置等因素的限制，以及不同的政策措施影响了区域科
技创新的发展。根据研究结果，本文提出了如下针对性的对策建议：（1）建设
区域特色的科技创新体系：优化科技创新投入，提高资源利用率，优化科技创
新资源配置结构，积极引进高新企业、人才和技术；（2）优化区域科技创新环
境：完善产学研合作，大力发展科技中介机构，完善科技创新保护制度；（3）
促进区域科技创新均衡发展：加强区域之间科技创新协同发展等
关键词：科技创新效率；区域工业企业；数据包络分析；Malmquist 指数ABSTRACT
II
ABSTRACT
Since the 21st century, China&39;s economy has entered into a new normal. The
rapid of Economic growth has gradually changed from high-speed to medium-speed.
China is in an important strategic period of building an all-round construction of an
innovative country. Economic structure has constantly been optimized and upgraded.
Strengthening the development of science and technology innovation has become the
core content of China&39;s development. But at the same time to improve the scientific
and technological innovation ability, we should not only pay attention to the scale and
quantity of input and output of scientific and technological innovation resources, but
also pay attention to the efficiency in the process of scientific and technological
innovation. The core component of regional innovation system is industrial enterprise.
The development level of the scientific and technological innovation determines the
level of the development of the regional science and technology innovation.
Therefore, it is very important to improve the scientific and technological innovation
efficiency of regional industrial enterprises to promote the development of science
technology and economy. Under the background of this research, this paper puts
forward the innovative development of regional science and technology innovation
efficiency of industrial enterprises of our country.
In the course of the research, this paper chooses 10 index data, including six
input indicators and four output indicators, and constructs the evaluation index
system of the efficiency of science and technology innovation of regional industrial
enterprises on the basis of reading a large number of relevant literatures. Using data
envelopment analysis, this paper analyzes the efficiency of scientific and
technological innovation activities of industrial enterprises in different regions in
2014. And this article gets the ranking of science and technology innovation
efficiency in each province and city. By using the Malmquist index combined with
the panel data of many years, this paper makes a longitudinal comparative study on
the efficiency of scientific and technological innovation of industrial enterprises in
different regions, and discusses the present situation and the trend of the innovationABSTRACT
III
efficiency of science and technology.
The results show that the overall efficiency of scientific and technological
innovation of industrial enterprises in China has increased. But the difference
between regions is obvious. And the efficiency values in different degrees of
fluctuations in the observation period. Regional science and technology innovation
efficiency have achieved growth. Only a few areas have declined. The growth of the
central and western regions is the most obvious. The development of the eastern
region is relatively stable. There is a certain decline in the northeast. This difference is
mainly due to the regional economic, technical and geographical factors such as
restrictions. And different policy measures affect the development of regional
scientific and technological innovation. According to the research results, this paper
puts forward some countermeasures and suggestions. (1) Building regional
technological innovation system. We should optimize the investment in scientific and
technological innovation, improve resource utilization, optimize the structure of
scientific and technological innovation resource allocation, and actively introduce
high-tech enterprises, talents and technology. (2) Optimizing the regional science and
technology innovation environment. We should improve the production and research
cooperation, vigorously develop science and technology intermediaries, and improve
the scientific and technological innovation protection system. (3) Promoting the
balanced development of regional scientific and technological innovation. We should
strengthen the collaborative development of science and technology between regions.
Key Words: Science and technology innovation efficiency; Regional industrial
enterprises; Data envelopment analysis; Malmquist index目录
IV
目 录
第 1 章 绪论.....1
1.1 研究背景与意义 ........ 1
1.1.1 研究背景 ......... 1
1.1.2 研究意义 ......... 2
1.1.2.1 理论意义 .2
1.1.2.2 现实意义 .3
1.2 国内外研究现状 ........ 4
1.2.1 国外研究现状 . 4
1.2.1.1 关于国家创新系统的研究 .........4
1.2.1.2 关于区域创新系统的研究 .........5
1.2.1.3 关于企业科技创新的研究 .........6
1.2.2 国内研究现状 . 6
1.2.2.1 关于科技创新能力的研究 .........6
1.2.2.2 关于科技创新效率的研究 .........7
1.2.2.3 关于科技创新分析方法的研究 .....
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