本论文首先阐述了研究背景和研究目的，系统梳理了企业研发效率的国内外 文献，结合样本企业的投入产出情况，对新能源汽车产业上市公司研发现状进行 了统计分析。其次，通过对传统DEA模型和改进DEA模型进行对比分析，本论 文最终采用三阶段DEA模型和Malmquist指数模型的计量研究方法，选取投入 产出和环境变量构建研发效率指标体系。再次，利用146家新能源汽车产业上市 公司2013-2018年数据，分别从静态和动态两个维度实证分析了新能源汽车产业 上市公司的研发效率。 结果表明：经过SFA模型的调整后，研发规模效率的无效导致了部分新能 源汽车产业上市公司研发综合效率的低下，且相较于模型调整前，新能源汽车产 业上市公司的历年研发效率值达到DEA有效的公司数均有所减少。从全要素生 产率年度变动上看，我国的新能源汽车产业上市公司2013-2018年平均全要素生 产率提高7.9%，全要素生产率变化随着年度发展整体呈现“U”型的态势。通过 对我国新能源汽车产业三类上市公司的研发效率和全要素生产率进行对比，发现 新能源汽车产业一体化上市公司的研发效率最高，全要素增长率居中；新能源车 上市公司的研发效率次之，全要素增长率最高；锂电池上市公司的研发效率和全 要素增长率均最低。最后，根据对比和实证分析的结果提出了有利于提升我国新 能源汽车产业上市公司研发效率的具体对策和建议。 关键词：新能源汽车产业，研发效率，三阶段DEA，Malmquist指数模型 II Abstract Firstly,thispaperexpoundstheresearchbackgroundandresearchpurpose, systematicallysortsoutthedomesticandforeignliteraturesontheresearchand developmen(R&D)efficiencyofenterprises,andcombinestheinputandoutputof thesampleenterprisestostatisticallyanalyzetheR&Dstatusoflistedcompaniesin thenewenergyvehicleindustry.Secondly,throughacomparativeanalysisof traditionalDEAmodelandimprovedDEAmodel,thethree-stageDEAmodelandthe Malmquistindexmodelmethodsarefinallyadopted,thenbuildingtheR&D efficiencyindexsystembyselectinginputoutputandenvironmentalvariables. Thirdly,usingthedataof146newenergyvehicleindustrylistedcompaniesfrom 2013to2018,thispaperconductsanempiricalanalysisoftheR&Defficiencyof thesecompaniesfromstaticanddynamicdimensions. Theresultsshowthat,aftertheadjustmentoftheSFAmodel,theineffectiveR&D scaleefficiencyhasledtothelowR&Defficiencyofsomelistedcompaniesinthe newenergyvehicleindustryparedwiththeresultsbeforetheadjustment,the numberofcompaniesinthenewenergyvehicleindustrylistedcompaniesthathave reachedtheDEAeffectivevalueeachyeaarhasdecreased.Fromtheperspectiveof annualchangesintotalfactorproductivity(TFP),theaverageTFPoflistedcompanies inChina'snewenergyvehicleindustryincreasedby7.9%from2013to2018.The changeinTFPhasgenerallyshowna"U"shapewithannualdevelopment.By comparingtheR&DefficiencyandTFPofthreetypesoflistedcompaniesinthenew energyvehicleindustryinChina,itisfoundthatnewenergyvehicleindustry integratedlistedcompanieshavethehighestR&Defficiencyandthegrowthrateof TFPisinthemiddle,newenergyvehicleslistedcompanieshavethesecondhighest R&DefficiencyandthehighestTFPgrowthrate,theR&DefficiencyandTFPgrowth rateoflithiumbatterylistedcompaniesarethelowest.Finally,basedontheresultsof comparisonandempiricalanalysis,specificcountermeasuresandsuggestionsare proposedtoimprovetheR&DefficiencyoflistedcompaniesinChina'snewenergy vehicleindustry. III Keywords:Newenergyvehicleindustry,R&Defficiency,three-stageDEA, Malmquistindexmodel IV 目录 第一章绪论.........................................................................................................................................1 1.1研究背景..............................................................................................................................1 1.2研究意义..............................................................................................................................1 1.2.1理论意义..................................................................................................................1 1.2.2实践意义..................................................................................................................2 1.3研究内容与方法..................................................................................................................2 1.3.1研究内容..................................................................................................................2 1.3.2研究方法..................................................................................................................3 1.3.3技术路线图.............................................................................................................4 1.4研究的创新点......................................................................................................................5 第二章文献综述.................................................................................................................................6 2.1国内外企业研发效率综述..................................................................................................6 2.1.1基于科学知识图谱的国外企业研发效率研究.....................................................6 2.1.2基于科学知识图谱的国内企业研发效率研究.....................................................9 2.2国内新能源汽车企业效率综述.......................................................................................12 第三章我国新能源汽车产业上市公司研发现状..........................................................................16 3.1新能源汽车产业上市公司研发投入强度情况...............................................................16 3.1.1研发经费投入强度分析.......................................................................................16 3.1.2研发人员投入强度分析.......................................................................................18 3.2新能源汽车产业上市公司研发产出情况.......................................................................19 第四章研发效率指标体系构建.......................................................................................................23 4.1研发效率的评价模型........................................................................................................23 4.1.1三阶段DEA模型.................................................................................................24 4.1.2Malmquist指数模型.............................................................................................25 4.2研发效率评价指标............................................................................................................26 4.2.1投入产出变量.......................................................................................................26 4.2.2环境变量................................................................................................................26 4.3样本来源与数据处理........................................................................................................27 4.3.1数据来源................................................................................................................27 4.3.2数据处理................................................................................................................28 第五章研发效率实证分析...............................................................................................................30 5.1新能源汽车产业上市公司研发效率静态分析...............................................................30 5.1.1第一阶段DEA结果分析.....................................................................................30 5.1.2第二阶段SFA效率测算......................................................................................35 5.1.3第三阶段DEA分析.............................................................................................36 5.1.4第一三阶段对比分析...........................................................................................41 5.2新能源汽车产业研发效率动态分析...............................................................................42 5.2.1研发效率的动态测算...........................................................................................43 5.2.2基于企业群体细分研发效率变动分析...............................................................43 5.3本章小结........................................