CAJ | 학술논문

本文从价值链角度出发,构建关联型两阶段DEA模型,测度和比较2005-2010年中国不同性质工业企业、内资等3类企业的科技研发和成果转化效率及差异,给出创新资源利用的4种模式,并利用Tobit模型检验了效率的影响因素。研究表明：（1）考察期内工业企业创新整体效率均值为0.694,科技研发和成果转化阶段效率偏低成为制约效率提升的共同因素。（2）中国内资、港澳台商投资企业和外商投资企业创新效率依次递增,效率差异明显。国有或国有控股企业由于创新剩余控制权和索取权的分离,缺乏有效的创新激励和监督。而外资企业利用母国技术、品牌等优势,在科技成果转化领域较为成功。属于高研发高转化的企业仅占33.3%,主要来自港澳台商和外资企业。（3）企业规模的壮大有利于科技研发效率的提升,而科学家和工程师数与科技研发效率负相关。企业规模对科技成果转化效率和整体效率具有显著正向影响,政府支持和金融支持则对二者有明显负作用。最后,给出了一些政策建议。
본문종개치련각도출발,구건관련형량계단DEA모형,측도화비교2005-2010년중국불동성질공업기업、내자등3류기업적과기연발화성과전화효솔급차이,급출창신자원이용적4충모식,병이용Tobit모형검험료효솔적영향인소。연구표명：（1）고찰기내공업기업창신정체효솔균치위0.694,과기연발화성과전화계단효솔편저성위제약효솔제승적공동인소。（2）중국내자、항오태상투자기업화외상투자기업창신효솔의차체증,효솔차이명현。국유혹국유공고기업유우창신잉여공제권화색취권적분리,결핍유효적창신격려화감독。이외자기업이용모국기술、품패등우세,재과기성과전화영역교위성공。속우고연발고전화적기업부점33.3%,주요래자항오태상화외자기업。（3）기업규모적장대유리우과기연발효솔적제승,이과학가화공정사수여과기연발효솔부상관。기업규모대과기성과전화효솔화정체효솔구유현저정향영향,정부지지화금융지지칙대이자유명현부작용。최후,급출료일사정책건의。
Analyzing the technology innovation efficiency of the enterprises in different property can help the domestic enterprise to find efficiency gap compared with foreign investment enterprise, and it can make the enterprise＇s technology innovation model as intensive pattern, so as to enhance the efficiency of utilizing the resource. And catch up the technology of foreign investment enterprise. The traditional researches pay less attention on the innovation efficiency variance of the enterprises in different property, and mainly based on the DEA model and SFA model. The technology innovation activity seen as a black box, we don＇t know the internal structure and operation mechanism of the innovation system. Based on the angle of value chain in two stages, we divide the technology innovation activity into the two relational sub-progresses： R＆D and S＆T convention. And then, the relational two stage DEA model is constructed to compute the industrial enterprises＇ total and two stages innovation cfficiencics in different property. We explore the efficiency variety of Chinese industrial enterprises, domestic enterprises and other two enterprises, and build up the four models of using innovation resource. At last, we examine the affecting factor of efficiency by the Tobit model. The results show that：（i） the average of the industrial enterprises＇ total innovation efficiency is 0.694 during the examined period. R＆D efficiency and S＆T convention efficiency were both low, which were the important reasons for influencing the efficiency. （ii） Chinese domestic enterprises, Hong Kong, Macao and Taiwan investment and foreign investment enterprises＇ efficiencies were decreasing in turn. There were obvious differences in the efficiencias. In the State-owned or state-contrellad enterprises, the right of innovation residual control and the fight of obtain are not consistent, so they are lack in the effective innovation incentive and supervision. Foreign investment enterprises can utilize the technology and brands of home country＇s enterprises, they appearance more successful in the stage of S＆T conversion. Enterprises belonging to the high R＆D and high conversion accounted for only 33.3%, they mainly came from the Hong Kong, Macao and Talwan investment and foreign investment enterprises. （iii） It is clear that enhancing the firm size have remarkable facilitation for improving the R＆D efficiency, the number of Scientists ＆ Engineers was negative relate to the R＆D efficiency. Firm size had a significant positive influence on S＆T convention efficiency and the total efficiency, but the support effects of government and financial were significant negative. Finally, we propose some suggestion. For example ：（i） We should enhance the technology innovation efficiency fi＇om the two aspects of R＆D and S＆T inversion, and make it as the strategic focus of industrial enterprises. （ii） We should continue to promote the reform of shareholding system in state-owned enterprises, make the right of innovation residual control and the right of obtain be consistent. Try our best to break the industrial monopoly system, and introduce the competition mechanism, strengthen the supervision and management of state assets. （iii） We should encourage enterprises to expand the scale, build up the mechanisms of introducing scientific and technology personnel to and venture investment. Government support and loans from financial institutions need to pay more attention to start-ups and high-tech SMEs, for most enterprises, the government mainly play the role of guiding and supervising. Scientist ＆ Engineer is a valuable asset, we should establish an scientific and rational assessment method and incentive mechanism for research staffs.