基于两阶段 DEA 模型的煤炭行业上市公司科技效率研究∗

摘要

将煤炭行业的科技创新过程分解为科技研发和科技转化两个子过程，构建链式两阶段数据包络分析(DEA)模型，针对每个子过程设置具体的投入产出观测指标，收集煤炭行业上市公司2013年数据，计算其整体科技创新效率及分阶段的科技研发效率和科技转化效率，并与经典的数据包络分析 CCR 模型结果进行对比分析。结果表明，尽管科技转化效率较高，但是由于低效的科技研发投入使得科技资源运用仍然处于无效状态，因此，煤炭行业上市公司的整体科技效率比较低。%The process of technology innovation is decomposed into two sub-processes,in-cluding process of technology research & development (R&D)and process of technology trans-formation,based on the existing research results,in order to build two-stage tandem data enve-lope analysis model.Then the specific inputs and outputs are set up corresponding to each stage to calculate efficiency of the whole system and the two sub-processes independently including effi-ciency of technology R&D as well as efficiency of technology transformation,after collecting the datum from annual reports of listed companies.The results are also made a comparative analysis with those from the classical data envelope analysis CCR model,which shows that although tech-nology transformation efficiencies of listed companiesare generally high,consumption of technol-ogy resources are still in invalid state due to inefficient technology R&D inputs.As a result,the overall technology efficiency of coal industry is still low.