山西省煤基产业低碳科技创新的资金投入效率研究

发布时间：2018-01-18 13:30

本文关键词：山西省煤基产业低碳科技创新的资金投入效率研究　出处：《太原理工大学》2017年硕士论文　论文类型：学位论文

【摘要】：山西作为我国最重要的能源重化工基地,其煤基产业是经济的绝对支柱,煤基低碳科技创新是推动山西省资源经济综改试验区建设和国家科技体制机制改革的关键环节和核心领域。然而,当前山西省在配置煤基科研资金方面,面临着政府宏观调控与整体性组织协调度低、针对性不强、审批事项繁杂、条块分割和聚焦重大战略需求不足等现实问题。因此,研究山西省煤基产业科技创新的资金投入效率,不仅是山西省煤基产业突破不可持续发展瓶颈的迫切需求和适应经济转型综合配套改革的关键路径,更是加快建设创新体系的重要保证。本文针对资金支持科技创新这一关键命题,依托低碳经济、科技创新和科技金融理论,立足于当前山西省资金支持煤基产业低碳科技创新的现状与问题,运用超效率数据包络分析和曼奎斯特指数法,选取全国15个主要产煤省市区和山西煤基七大产业2011-2015年相关数据,从综合创新效率、效率分解、规模报酬和投影改进四个方面,深入剖析了三类创新主体的资金投入效率。主要内容有:(1)以煤基产业为实证分析对象,阐明了数据来源及处理方法,并对技术创新投入产出的滞后性及其处理方式进行了说明。(2)运用超效率数据包络分析法,基于区域视角对比山西省与其它省市低碳科技创新的水平,基于行业视角辨认煤基七大产业内部各自科技创新的优势及不足。(3)运用曼奎斯特指数法,基于时序视角测度山西省七大煤基低碳产业历年的科技创新效率变动趋势。研究发现:(1)山西省煤基科研资金呈现投入总量偏低、强度滞后和结构失衡的特征。财政经费分配不合理、市场化程度较低;企业自有资金投入不足、用于基础研究的比重低;商业银行信贷缺乏支持,低碳资本市场作用小。(2)区域静态效率比较方面:山西省创新综合效率居于主要产煤省市区之首,其技术效率较高,规模效率适当,规模报酬递增。行业静态效率比较方面:七大煤基产业有26.2%的资金形成浪费;煤基产业规模效率高于技术效率,存在重规模轻技术的问题;政府资金和企业自有资金的配置效率较低,金融机构贷款可稍做调整。(3)动态效率分析方面:山西省煤基七大产业低碳科技创新的资金效率水平较低,由高到低分别为:煤基新材料、煤焦化、煤机装备、煤化工、煤层气、煤炭生产及煤电;在综合技术效率变动恶化的情况下,全要素生产率仍能表现出强劲的上升趋势,主要在于技术进步的主导作用;政府资金的冗余最多,企业自有资金连续两年出现冗余,金融机构的支持力度相对较小。本文可能的创新之处:(1)研究对象方面。将“煤基产业”、“科技创新”和“资金效率”三者相结合,探讨煤基产业低碳科技创新的资金投入效率,弥补既有研究的空白。(2)指标选择的创新。本文从三阶段技术创新理论出发,将整个技术创新的价值实现过程细分为科技研发、成果转化和产业化三个密切联系的子阶段,分别对应着不同的投入产出评价指标。同时,基于低碳视角将环境绩效纳入评价框架内,实现对现有技术创新效率评价指标体系的改进。
[Abstract]:Shanxi as China's most important energy and heavy chemical industry base, the coal industry is the absolute pillar of the economy, coal based low carbon technology innovation is the key and core areas of Shanxi province to promote the resources economy comprehensive reform pilot area construction and the national science and technology system reform. However, the current Shanxi Province in the configuration of coal based scientific research funds, facing the government macro-control and overall coordination degree is low, the pertinence is not strong, approval complicated, major strategic needs of compartmentalization and insufficient focus and other practical problems. Therefore, the research of Shanxi province coal industry science and technology innovation investment efficiency, not only in Shanxi Province, coal based industry breakthrough the bottleneck of sustainable development urgently requirements and key path of economic transformation synthetically reform to adapt, it is an important guarantee for accelerating the construction of innovation system. Aiming at the capital to support technological innovation as the key concept, relying on low Carbon economy, scientific and technological innovation and financial theory, based on the current situation and problems of Shanxi province coal industry funds to support the low carbon technology innovation, using super efficiency data envelopment analysis and Man Quist index method, the selection of the national 15 major coal producing provinces and Shanxi coal base seven industry data for 2011-2015 years, from the comprehensive efficiency of decomposition four aspects, innovation efficiency, return to scale and projection improvement, depth analysis of the three types of innovation investment efficiency. The main contents are as follows: (1) the coal based industry as the empirical analysis object, the data sources and processing methods, and the input and output of technology innovation lag and its processing method are described. (2) using super efficiency data envelopment analysis, from the perspective of regional comparison of Shanxi province and other provinces of low carbon technology innovation level based on the industry perspective to recognize internal coal based seven industry, based on their respective The advantages and disadvantages of technological innovation. (3) using the Man Quist index method, the change trend of science and technology innovation efficiency over the years in Shanxi province from the perspective of timing measure seven coal based low carbon industry. Based on the study found: (1) Shanxi province coal based scientific research fund is the total investment is low, the characteristic strength lag and the structural imbalance of the allocation of financial funds. Reasonable, low degree of marketization; enterprises lack of own funds for basic research, the low proportion of commercial bank credit; lack of support, the role of low carbon capital market. (2) comparison of regional static efficiency: Shanxi Province, a new comprehensive efficiency in major coal producing provinces in the first, the higher technical efficiency, scale the proper efficiency, increasing returns to scale. Static industry efficiency: seven coal based industry 26.2% of the capital waste formation; coal based industrial scale efficiency is higher than the technical efficiency, the presence of heavy scale light technology; government Capital and enterprise's own funds allocation efficiency is low, financial institutions loans can be adjusted slightly. (3) the dynamic efficiency analysis of Shanxi province coal base seven industrial low carbon technology innovation level of financial efficiency is low, respectively, from high to low: coal based new materials, coal coking, coal mining equipment, coal the chemical, coal gas, coal production and coal; changes in technical efficiency deterioration situation, TFP can still exhibit a strong upward trend, mainly lies in the leading role of technological progress; redundant government funds up to their funds for two consecutive years appear redundant, the support of financial institutions may be relatively small. The innovation of this paper: (1) the object of study. The "coal industry", "technological innovation" and "capital efficiency" is the combination of the three, to investigate the coal based industry low carbon technology innovation investment efficiency, make up the existing research on the air White. (2) the innovation of index selection. This paper from the three stage of the theory of technological innovation, the technological innovation value realization process is divided into research and development of science and technology achievements transformation and industrialization, three closely related sub stages, corresponding to different input-output evaluation index. At the same time, based on the perspective of low-carbon environment included in the performance evaluation framework, realize the improvement of the existing evaluation index system of technology innovation efficiency.

【学位授予单位】：太原理工大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F426.21;F273.1;F406.7

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