经济学院知识库

“十四五”时期，我们要坚定不移贯彻创新、协调、绿色、开放、共享的新发展理念，创新发展居于首要位置，是引领发展的第一动力。其中，创新型城市建设是我国大力发展科技创新的一个有效途径，通过改善创新资源的配置效率以及使用效率，达到提升区域和城市创新能力的目的。在此背景下，建立创新型试点城市的创新效率评价体系，分析城市创新效率差异，探究影响创新效率的因素，对提升城市的创新效率及创新能力，引领城市创新驱动发展，建设创新型国家具有重要意义。
在吸纳国内外学者创新理论及研究成果的基础上，本文运用三阶段超效率SBM-DEA模型，测度我国75座创新型试点城市的创新效率，并借助自然断裂法，分析城市创新效率在2010-2019年之间的时空变化与差异。在此基础上，通过建立固定与随机模型进一步探究城市创新效率的影响因素，旨在为提高城市创新效率、建设创新型城市、促使经济高质量发展提供理论借鉴和现实指导。研究结果发现：（1）运用三阶段超效率 SBM-DEA 模型测算创新型试点城市的创新效率，城市创新效率的变化波动较大。经过三阶段计算后的效率值与第一阶段的效率值差异显著，且创新效率有不同幅度的提升，表明对环境因素与随机误差项进行排除后的三阶段计算是有必要的。环境因素中，产业结构、政府支出会造成创新效率的投入冗余，对外开放程度则会减少创新投入的冗余。（2）创新型试点城市的创新效率在时间和空间方面存在着明显差异。从时间上看，城市创新效率的变化波动比较大，2010-2019年，城市创新效率整体基本呈上升趋势，但在2017年，创新效率有明显下降；从空间上看，创新型试点城市创新效率区域差异明显，创新效率在东部地区增长速度处于领先地位，西部地区在后期增速快于中部地区。由此可见，城市创新效率有了显著提升，且高效率城市大都集中于东部城市、省会城市和直辖市。（3）对外投资额对创新型试点城市创新效率的提升存在负向影响，人才集聚和金融发展水平有显著的正向影响，政府职能作用发挥不明显。该结果表明人力资本和金融发展水平是影响创新效率的重要因素，高素质人才可以推动区域创新系统创新活动的成功开展与顺利实施，成熟的金融市场环境利于企业以较小成本与风险获得资金，越来越多的金融机构开始将资金向高新技术企业倾斜，同样有利于倒逼企业技术进步，提升城市创新效率。基于上述结论，本文提出挖掘中效率城市和低效率城市潜力、加强区域间交流与合作、积极利用国外先进知识和技术、培养高素质研发人才、增强政府资金使用效率、大力发展金融科技等政策措施，促进城市创新效率提升。

During the "14th Five-Year Plan" period, we must unswervingly implement the new development concepts of innovation, coordination, greenness, openness and sharing. Innovation and development are at the forefront and are the primary driving force for development. Among them, the construction of innovative cities is an effective way for China to vigorously develop scientific and technological innovation. By improving the allocation efficiency and utilization efficiency of innovation resources, it can achieve the purpose of enhancing regional and urban innovation capabilities. In this context, it is important to establish the innovation efficiency evaluation system of innovative pilot cities, analyze the differences in innovation efficiency of cities, and explore the factors affecting innovation efficiency, so as to improve the innovation efficiency and innovation capability of cities, lead the innovation-driven development of cities, and build an innovative country.
On the basis of absorbing the innovation theories and research results of domestic and foreign scholars, this paper uses the three-stage super-efficiency SBM-DEA model to measure the innovation efficiency of 75 innovative pilot cities in China. With the help of the natural fracture method, the spatial and temporal changes and differences of urban innovation efficiency between 2010 and 2019 are analyzed. On this basis, by establishing fixed and stochastic models to further explore the influencing factors of urban innovation efficiency, it aims to provide theoretical reference and practical guidance for improving urban innovation efficiency, building innovative cities, and promoting high-quality economic development. The research results show as followed. (i) Using the three-stage super-efficiency SBM-DEA model to calculate the innovation efficiency of innovative pilot cities, the changes in urban innovation efficiency fluctuate greatly. The efficiency value after the three-stage calculation is significantly different from the efficiency value of the first stage, and the innovation efficiency has been improved in different degrees, indicating that the three-stage calculation after excluding environmental factors and random error terms is necessary. Among the environmental factors, the industrial structure and government expenditure will cause the redundancy of innovation efficiency input, and the degree of opening to the outside world will reduce the redundancy of innovation input. (ii) The innovation efficiency of innovative pilot cities has obvious differences in time and space. From the perspective of time, the fluctuation of urban innovation efficiency is relatively large. From 2010 to 2019, the overall urban innovation efficiency basically showed an upward trend. However, in 2017, the innovation efficiency dropped significantly; from a spatial point of view, the regional differences in innovation efficiency of innovative pilot cities are obvious. The growth rate of innovation efficiency in the eastern region is in a leading position, and the growth rate of the western region is faster than that of the central region in the later period. It can be seen that the efficiency of urban innovation has been significantly improved, and most of the high-efficiency cities are concentrated in eastern cities, provincial capitals and municipalities directly under the Central Government. (iii) The amount of foreign investment has a negative impact on the improvement of innovation efficiency in innovative pilot cities, and has a significant positive impact on talent agglomeration and financial development level, and the role of government functions is not obvious. The results show that human capital and financial development level are important factors affecting innovation efficiency. High-quality talents can promote the successful development and smooth implementation of innovation activities in the regional innovation system. A mature financial market environment is conducive to enterprises to obtain funds with less cost and risk. More and more financial institutions have begun to tilt their funds to high-tech enterprises, which is also conducive to forcing technological progress of enterprises and improving the efficiency of urban innovation. Based on the above conclusions, this paper proposes policies and measures to tap the potential of medium and low-efficiency cities, strengthen inter-regional exchanges and cooperation, actively utilize foreign advanced knowledge and technology, cultivate high-quality R&D talents, enhance the efficiency of government capital use, and vigorously develop financial technology. , to promote the improvement of urban innovation efficiency.