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基于两阶段DEA模型研究我国生物制药上市企业技术创新效率 Δ

郝本超 ，阮娴静 （1.广东药科大学医药商学院，广州 510006；2.广东省药品监管科学研究基地，广州
1＊
1，2 #
510006）

中图分类号 R95 文献标志码 A 文章编号 1001-0408（2022）01-0007-07
DOI 10.6039/j.issn.1001-0408.2022.01.02

摘 要 目的 为促进我国生物制药企业技术创新效率的提升提供参考。 方法 本研究将生物制药企业技术创新过程分解成技术
开发与成果转化两个子阶段，在充分考虑子阶段间关联性的前提下构建两阶段数据包络分析（DEA）模型，并基于滞后效应对我国
23家生物制药上市企业2016－2020年两阶段的技术创新效率进行评价。结果与结论 我国生物制药上市企业两阶段的技术创新
效率皆处于较低水平，技术开发和成果转化阶段的综合效率均值仅为0.377、0.347。当前制约我国生物制药上市企业两阶段技术
创新效率提升的主要因素是纯技术效率不足。在技术开发阶段，研发经费投入冗余和专利产出不足是导致生物制药上市企业
DEA无效的主要原因；而在成果转化阶段，发明专利投入冗余则是造成生物制药上市企业DEA无效的主要原因。从区域视角来
看，在技术开发阶段，东部地区生物制药上市企业的综合效率与纯技术效率均值分别为0.378、0.603，皆高于中西部地区生物制药
上市企业；而在成果转化阶段，中西部地区生物制药上市企业的综合效率与纯技术效率均值分别为0.361与0.548，皆高于东部地
区生物制药上市企业。据此，笔者建议生物制药企业要增强技术成果转化能力，积极优化科技资源配置，重视区域间合作交流，推
动我国生物制药产业创新效率整体提升。
关键词 生物制药企业；技术创新效率；两阶段数据包络分析模型

Research on the technological innovation efficiency of Chinese listed biopharmaceutical enterprises based
on the two-stage DEA model
HAO Benchao ，RUAN Xianjing （1. School of Medical Business，Guangdong Pharmaceutical University，
1，2
1
Guangzhou 510006，China；2. Guangdong Research Base for Drug Regulatory Science，Guangzhou 510006，
China）

ABSTRACT OBJECTIVE To provide reference for improving the technological innovation efficiency of biopharmaceutical
enterprises in China. METHODS In this research，the technological innovation process of the biopharmaceutical enterprises was
divided into two stages：the technological development and the achievement transformation. Two-stage data envelopment analysis
（DEA） model was established under the premise of considering the two-stage correlation，and the two-stage technological
innovation efficiency of 23 listed biopharmaceutical enterprises in China was evaluated from 2016 to 2020 on the basis of
hysteresis effect. RESULTS & CONCLUSIONS The two-stage technological innovation efficiency of listed biopharmaceutical
enterprises in China was at a relatively low level，and the average overall efficiency of the technological development stage and the
achievement transformation stage were only 0.377 and 0.347. At present，the low efficiency of technology is the main factor
restricting the improvement of the two-stage technological innovation efficiency of listed biopharmaceutical enterprises in China. In
the technology development stage，redundant investment in R&D funds and insufficient patent output are the main reasons for the
invalid DEA of listed biopharmaceutical enterprises，while in the achievement transformation stage，the redundant input of
invention patents is the main reason for the invalid DEA of listed biopharmaceutical enterprises. From a regional perspective，in the
technology development stage，the average overall efficiency and technical efficiency of listed biopharmaceutical enterprises in the
eastern region are 0.378 and 0.603， which are higher than the central and western regions. In the stage of achievement
transformation，the average values of comprehensive efficiency and technical efficiency of listed biopharmaceutical enterprises in
the central and western regions are 0.361 and 0.548，which are higher than those in the eastern region. It is suggested that
biopharmaceutical enterprises should enhance their ability to transform technological achievements，optimize the allocation of
scientific and technological resources， attach importance to
Δ 基金项目：2021年度广东省教育科学规划课题（高等教育专项）
（No.2021GXJK332） regional cooperation and exchanges， promote the overall
＊硕士研究生。研究方向：医药企业管理。E-mail：1003743039@ innovation efficiency of biopharmaceutical industry in China.
qq.com KEYWORDS biopharmaceutical enterprise；technological
# 通信作者：副教授，硕士生导师，博士。研究方向：技术创新、产 innovation efficiency；two-stage data envelopment analysis model
业经济。E-mail：53156692@qq.com

中国药房 2022年第33卷第1期 China Pharmacy 2022 Vol. 33 No. 1 ·7 ·