新能源企业技术创新效率及收敛性研究

发展新能源产业是国家提高环保能力的重要举措，新能源企业是实施相应战略的载体。基于2014—2018年78家新能源企业面板数据，采用DEA—RAM模型对其技术创新效率进行测量，并应用经济收敛理论，分析新能源企业技术创新效率的收敛性。结果表明：新能源企业技术创新效率水平不高，三大区域间差异明显，整体仍具有较大发展空间；全国以及东部地区新能源企业技术创新效率δ收敛性不显著，但存在绝对β收敛及条件β收敛；中部地区新能源企业技术创新效率δ收敛性以及绝对β收敛性并不显著，而条件β收敛性显著；西部地区新能源企业δ、绝对β以及条件β收敛性均不显著。最后，从提升新能源企业投入水平、提高新能源企业产出质量、适度提升新能源企业规模、优化新能源企业股权集中度等方面，提出提升新能源企业技术创新效率实际增长率的建议。

The Efficiency and Convergence of Technological Innovation in New Energy Enterprises

New energy is an important way to alleviate the consumption of energy resources and environmental pollution. New energy development strategies based on their own resources and national conditions have been formulated by regional and national governments. To give full play to the role of new energy enterprises, it is practical to measure the efficiency of enterprise technology innovation and promote the development of new energy enterprises accordingly. The existing research on technological innovation efficiency is mainly focused on three aspects: research methods, research dimensions and influencing factors. First, there are two main research methods: parametric and nonparametric methods. The representative of parametric approach is the SFA model, and the representative nonparametric approach is the DEA model. Second, the research level is focused on the enterprise, industry and regional levels. Finally, the influencing factors can be divided into endogenous and exogenous factors. The endogenous factors are mainly the company's own characteristics, and the exogenous factors are mainly the external environment in which the company is located. The existing research on the efficiency and convergence of technological innovation is rich, but microscopic research on new energy and high-tech emerging fields needs to be further deepened and the previous evaluation methods should be improved. In addition the mutual influence of technological innovation efficiency at the individual level is worthy of attention. This paper aims to address two basic questions: first, what is the actual level of technological innovation efficiency of new energy enterprises and its convergence? second, what factors affect the convergence of technological innovation efficiency? The DEA-RAM model and economic convergence theory can meet the needs of this study.#br#This paper selects data from 2014-2018, with 78 new energy listed enterprises were collated as the research sample. Considering that some new energy listed enterprises have missing R&D personnel data in 2014, this paper makes reference to the common method of scholars to infer and interpolate the missing data in 2014.#br#The research results show that, on the whole, the technological innovation efficiency values of 78 new energy enterprises in the past five years are between 0.708 and 1, and the average technological innovation efficiency is 0.819, which means that the technological innovation efficiency level of new energy enterprises in China is not high and there is still much room for improvement. Second, the technological innovation efficiency of new energy enterprises in 2014 is the highest level in 5 years reaching at 0.844, which may be because new energy enterprises have invested more innovation resources, thus reducing the future profit level. The results of convergence analysis of technological innovation efficiency of new energy enterprises show that the convergence of technological innovation efficiency of new energy enterprises in the national and eastern regions is not significant, but there is absolute β convergence and conditional β convergence; the convergence of technological innovation efficiency of new energy enterprises in the central region is not significant for δ convergence and absolute β convergence, but significant for conditional β convergence; the convergence of new energy enterprises in the western region is not significant for δ, absolute β and conditional β convergence. The convergence of δ, absolute β and conditional β is not significant.#br#Compared with the existing literature, the main contributions of this paper are as follows. First, an improved DEA-RAM model is constructed to avoid setting direction vectors subjectively and make the evaluation results more accurate. Second, the convergence analysis model of technological innovation efficiency based on the individual level rather than the regional level is constructed to expand the scope of convergence research. In the past, the research mainly focused on the convergence of technological innovation efficiency between regions, but few scholars studied the convergence of technological innovation efficiency based on new energy enterprises. As individuals are the basic elements of the region, the analysis of individuals can not only grasp the convergence effect of individual technological innovation, but also explore the convergence of technological innovation at the regional level. Finally, based on the results of technological innovation efficiency measurement and convergence of new energy enterprises, it is suggested to promote the real growth rate of technological innovation efficiency of new energy enterprises from the input-output perspective and the perspective of influencing factors.#br#