创新价值链下新能源汽车产业技术创新效率研究 ——基于两阶段Super-DEA与Malmquist指数模型

Research on technological innovation efficiency of new energy automobile industry under innovation value chain:Based on Two-stage Super-DEA and Malmquist Index Modeling

摘要:

发展新能源汽车产业是我国实施绿色发展的战略举措，作为技术密集型产业，创新才能促进其高质量发展。基于创新价值链视角将新能源汽车产业技术创新过程分为技术成果生产与转化两阶段，运用Super-DEA和Malmquist指数模型测算不同产权企业2016-2022年两阶段创新效率、创新模式及动态变化趋势。研究表明：新能源汽车产业创新价值链两个阶段的创新效率均不高，绝大多数企业属于粗放型创新模式，但技术成果转化阶段创新效率显著优于生产阶段；不同产权性质及产业链不同环节的技术创新效率具有异质特征，非国有企业的技术生产效率高于国有企业，但成果转化效率则相对偏低，产业链各环节的技术生产效率差异更大；动态来看，生产阶段和转化阶段全要素生产率均呈现波动态势，创新价值链两阶段创新效率（TFP）变化的促增动力分别为技术效率变化（EC）和技术变化（TC）。研究结论为提升新能源汽车产业链技术创新效率和市场竞争力，推动新能源汽车产业链高质量协同发展提供了理论参考和政策启示。

Abstract:

The development of the new energy vehicle (NEV) industry in China is a strategic endeavor towards green development. As a technology-intensive industry, innovation is pivotal for the NEV industry to advance its high-quality development. From the innovation value chain perspective, the technological innovation process of the NEV industry is divided into two distinct stages: technology achievement production and technology achievement transformation. By employing the Super-DEA and Malmquist index models, this study quantifies the two-stage innovation efficiency, innovation patterns, and dynamic trends of firms with varying ownership structures from 2016 to 2022. The results show that: Firstly, the innovation efficiency in both stages of the NEV industry is generally low, with the majority of firms adhering to an extensive innovation model. However, the efficiency in the technology achievement transformation stage significantly is better than that in the production stage. Secondly, there exists notable heterogeneity in technological innovation efficiency across firms with different ownership structures and within distinct segments of the industrial chain. Specifically, non-state-owned enterprises demonstrate higher technology production efficiency compared to state-owned enterprises, albeit with relatively lower technology transformation efficiency. Additionally, there are more pronounced disparities in technology production efficiency among various segments of the industrial chain. Lastly, from a dynamic perspective, total factor productivity (TFP) in both the production and transformation stages exhibits fluctuating trends, with technical efficiency change and technical change serving as the primary catalyst for TFP growth in different stages respectively. The research findings provide theoretical references and policy insights for enhancing the technological innovation efficiency and market competitiveness of the new energy vehicle industry and promoting the high-quality synergistic development of the new energy vehicle industry chain.