创新驱动的发展模式通常是以技术进步为核心的发展模式，技术进步能够促 使创新体系完善，进而实现技术进步和技术创新，促进管理效率提升，工业经济 向知识经济转变、工业社会向知识社会转变，为经济结构转型奠定基础 [1] 。结合中 国经济发展的实际情况，分析地市层面的高新开发区技术效率，研究技术效率的 决策单元生产非有效的根本原因，能为高新技术开发区技术效率的提升、获取较 大的产出，提供理论依据和发展策略，促使高新技术产业成为经济结构转型的重 要依托和必要路径，具有非常重要的实践意义和现实意义。 首先，本文归纳总结了国内外关于技术效率的相关文献及理论方法，发现现有 的成果研究中关于地市层面（尤其是非省会城市）高新区技术效率研究较少，用 三阶段 DEA 模型研究地市层面（尤其是非省会城市）高新区技术效率更是少之又 少，从而引出了本文的研究内容。 然后，从高新技术开发区的概念定义出发，将高新技术开发区综合技术效率认 为是一个多投入多产出的科技活动，从人力、资本、技术、垄断（优先权）等因 素构建高新技术开发区综合技术效率评价体系，选取了 R&D 人员全时当量、科技 活动人员数量、R&D 经费内部支出三个投入指标，选取了出口总额、营业收入和 年末资产与负债之和作为产出指标，选取了年末从业人员、高新技术企业数、人 均净利润三个指标环境指标，并利用三阶段 DEA 对 2014-2017 年 113 个地市高新 区的技术效率进行了测度，对测度的实证结果进行横纵向对比分析，得出五个结 论，一是地市高新技术开发区的数量逐年增长；二是地市高新技术开发区的技术 效率逐年提升；三是沿海经济发达地市和内陆欠发达地市高新区的技术效率存在 较大的差异；四是环境变量对效率有着重要的影响；五是整体测算的效率值偏低， 规模效率大多处于规模递减阶段。 最后，结合理论分析和实证结果，提升地市层面高新区技术效率的发展对策建 议分别是，一是各地市应当结合纯技术效率、规模效率以及规模收益的差异采取 不同的政策和措施；二是政府应当进行统筹考虑各地市、省域之间的实际并进行 因地制宜进行差异化政策实施；三是各地市之间应该结合自身效率损失的原因采 取不同的措施；四是壮大高新技术开发区高新企业规模；五是政府应当优化资金 投入，重点向人才、技术创新倾斜。 关键词，技术效率；三阶段 DEA；高新技术开发区II Abstract Innovation-driven development mode with technological progress as the core can form a perfect innovation system quickly, thus realizing the transformation of technological progress and innovation, industrial economy to knowledge economy and industrial society to knowledge society, thus realizing the transformation of technological progress and innovation, industrial economy to knowledge economy and industrial society to knowledge society. Therefore, in light of the actual situation of China's economic development, this paper analyses the measurement of innovation efficiency of high-tech development zones at the prefectural and municipal levels, and studies the root causes of ineffective production of decision-making units of innovation efficiency, which can provide theoretical basis and development strategies for the improvement of innovation efficiency of high-tech development zones, and promote high-tech industries to become an important support for economic restructuring. And the necessary path, has very important practical significance and practical significance. This paper summarizes the relevant literature and theoretical methods on innovation efficiency at home and abroad, and finds that there are few studies on innovation efficiency of high-tech zones at the municipal level (especially in non-provincial capital cities) in existing research results, and even fewer studies on innovation efficiency of high-tech zones at the municipal level (especially in non-provincial capital cities) using three-stage DEAmodel, which leads to the content of this study. Then, starting from the concept definition of high-tech development zones, the innovation efficiency of high-tech development zones is regarded as a multi-input and multi-output scientific and technological activity. Based on this, the objectives and principles of the evaluation system of innovation efficiency are analyzed. Three input indices, namely, the full-time equivalence of scientific and technological personnel, the internal expenditure of R&D funds, and business income, total export volume, are selected. The three output indicators of assets and liabilities at the end of the year are selected as three environmental indicators: employees at the end of the year, the number of high-tech enterprises and net profit per capita. The innovation efficiency of 113 high-tech zones in cities from 2014 to 2017 is measured by three-stage DEA. The empirical results of the measurement are analyzed horizontally and vertically. Five conclusions are drawn: First, the number of high-tech development zones in cities. TheIII quantity increases year by year; the innovation efficiency of high-tech development zones in prefectures and cities increases year by year; the innovation efficiency of coastal economically developed cities and inland underdeveloped cities is quite different; the environmental variables have an important impact on the efficiency; and the overall efficiency is low, and the scale efficiency is mostly in the stage of scale decline. Finally, combined with the theoretical analysis and empirical results, the development countermeasures and suggestions to improve the innovation efficiency of high-tech zones at the prefecture-city level are as follows: firstly, different cities should adopt different policies and measures according to the differences of pure technical efficiency, scale efficiency and scale income; secondly, the government should take into account the actual situation of different cities and provinces as a whole and carry out differentiated policies according to local conditions. Fifth, the government should optimize capital investment, focus on training high-end talents and innovative technology, give more support policies to enterprises'innovation, enhance enterprises' enthusiasm for independent innovation, and promote the efficiency of technological innovation. Rise. Key words: Technical efficiency; Three-stage DEA; High-tech Development Zone1 绪论 1 1 绪论 1.1 选题背景 改革开放以来，历经多年的发展，中国的经济发展进入了稳定时期，但同时 面临着经济结构转型的问题。经济结构转型通常是以技术进步为核心驱动的，技 术进步能够促使创新体系完善，进而实现技术进步和技术创新，促进管理效率提 升，工业经济向知识经济转变、工业社会向知识社会转变，为经济结构转型奠定 基础 [1] 。研究如何实现技术进步和创新的提升成为经济结构转型的重要依托和必要 路径，能为我国经济转型寻找新的要素驱动和新的发展模式。 1.2 研究目的与意义 1.2.1 研究目的 20 世纪后期，高新技术产业发展迅速，技术取得了巨大进步，带动了产业结 构调整和经济发展，成为国民经济的新引擎，成为经济转型的重要依托和必要路 径。因此，结合中国经济发展的实际情况，分析地市层面的高新开发区技术效率 测度，研究技术效率的决策单元生产非有效的原因，通过这一系列问题的研究， 以期能为地市层面的高新技术开发区技术效率的提高、获取较大的产出，提供理 论依据和发展策略。 1.2.2 研究意义 （1）实践意义 首先，对研究高新技术产业（高新开发区）技术效率的研究成果进行了梳理， 对今后研究高新技术产业（高新区）的技术效率提供参考和借鉴； 其次，通过理论分析，构建高新技术开发区技术效率评价指标，研究技术效 率的投入产出指标和环境变量指标，有助于实践过程对投入产出变量和环境变量 的调节，为区域内提高技术效率提供一种方案； 最后，提出提升地市层面的高新开发区技术效率政策建议，对促使高新技术 开发区的产业结构调整和管理效率提升有重要的意义，能够为经济转型寻找新驱 动。 （2）学术价值 首先，建立地市层面的高新技术开发区技术效率评价指标体系，能为其他学 者后续研究技术效率提供借鉴； 其次，运用三阶段DEA方法对技术效率进行测度，测度不同阶段技术效率值基于三阶段 DEA 模型的 113 个地市高新区技术效率测度及对策研究 2 并分析环境指标的影响，能够为技术效率的提升提供基础依据； 最后，通过理论分析，结合实证方法研究地市层面的高新开发区技术效率影 响因素进行了原因分析，提出地市层面的高新开发区技术效率提升解决方案，具 有很好的借鉴意义。 1.3 研究内容、方法与技术路线 1.3.1 研究内容 本文对地市层面高新开发区技术效率的研究，从投入产出的角度构建技术效 率的评价指标，运用三阶段 DEA 方法对技术效率的投入产出指标以及环境指标进 行测度，给出了三个不同阶段 113 个地市层面的高新开发区技术效率测度结果， 并根据结果对不同区域提升技术效率给出了政策建议。研究框架