I 摘要 随着科技革命的更迭，传统的经济模式已经无法再解释当今经济的快速增长， 由此产生了新的经济理论，将创新列为经济发展的关键因素之一。加快产业结构升 级是新常态经济下的促进经济发展的主要方式，如何加快产业结构的转化升级，在 产业结构升级的过程中，科技金融和市场化水平又扮演者怎样的角色，是探索产业 结构升级的关键之处。同样的，市场化水平的高低对科技金融的发展和产业结构的 升级都有一定的影响，那么在科技金融作用于产业结构升级时，市场化水平又扮演 着怎样的角色，都是值得思考的问题。因此，构建一个合理的研究体系，探索科技 金融对产业结构升级的影响关系，以及市场化在这个过程中所起到的作用，是一项 具有一定理论意义和现实意义的重要课题。 纵观现有的相关研究，科技金融的专项研究多集中于国内，且多以测算科技金 融效率为主要研究目标，然而科技金融的最终目的却是要在产业结构升级的进程 中起到一定的作用，关于这方面的研究，目前来看，还相对较少。因此，本文将科 技金融作为影响产业结构升级的关键因素之一，囊括在探索的目标之中，并选取了 全国30个省、直辖市、自治区2007年至2017年11年间的面板数据为研究样本。 结合前人的相关研究，以及科技金融的自身特点，选取相对科学的共享投入两阶段 DEA，对科技金融效率进行测算，并借鉴其他学者的相关研究，选取市场化指数作 为调节变量，并计算产业结构升级指数，用来表示产业结构升级，以此为基础，进 行了实证研究。 研究结果表明：（1）科技金融效率和科技金融指数的结果显示，目前我国科技 金融发展趋势相对比较平稳，但仍存在一定的地域差异。说明发展良好的地区，相 关政策和科技金融体系相对比较完善，这些都可以在科技金融发展的过程中起到 积极有效的作用。（2）产业结构升级指数整体上也是呈现出稳定的上升趋势，其中 第三产业的增幅要大于第二产业和第一产业。（3）实证的结果表明，在市场化的调 节作用下，科技金融对产业结构升级存在负向的影响，对制造业产业结构升级的影 响并不显著，对服务业产业结构升级有着显著的正向影响关系。 关键词：共享投入关联DEA;科技金融效率;产业结构升级 Abstract II Abstract With the change of the scientific and technological revolution, the traditional economic model can no longer explain the rapid growth of today ’s economy, resulting in a new economic theory that lists innovation as one of the key factors in economic development. And the result of innovation is the change that affects the industrial structure. Accelerating the upgrading of industrial structure is the main way to promote economic development under the new normal economy. How to accelerate the transformation and upgrading of industrial structure, and in the process of upgrading industrial structure, what role do technology finance and marketization play，All of these are the key factors for upgrading. Similarly, there is a certain impact between the development of technology finance and the upgrading of industrial structure. So, when the technology finance does impact the upgrading of industrial structure, what role the marketization level play. All of these are worth to explore. Therefore, constructing a reasonable research system to explore the impact of technological finance on the upgrading of industrial structure and the role of marketization in this process is an important subject with certain theoretical and practical significance. Looking at the existing related research, the special research on technology finance is mostly concentrated in China, and the main research objectives are to measure the efficiency of technology finance. However, the ultimate purpose of technology finance is to play a certain role in the process of upgrading the industrial structure. There is relatively little research on this aspect. Therefore, this paper regards technology finance as one of the key factors affecting the upgrading of the industrial structure, including it in the goal of exploration, and selected panel data from 30 provinces, municipalities and autonomous regions in China from 2007 to 2017 as the research sample. Combined with the related research of the predecessors and the characteristics of science and technology finance, the two-stage DEA of relatively scientific shared investment was selected to measure the efficiency of technology finance. Drawing on the relevant research of other scholars, the marketization index was selected as the adjustment variable and the industry. The structural upgrading index is used to indicate the upgrading of industrial structure. Based on this, empirical research has been conducted. The research results show that: (1) The results of technology finance efficiency and technology finance index show that the current development trend of China's Abstract III technology finance is relatively stable, but there are still certain regional differences. It shows that in well-developed areas, relevant policies and the technology financial system are relatively complete, which can play an active and effective role in the development of technology finance. (2) The industrial structure upgrade index also showed a steady upward trend, and the growth rate of the third industry was greater than that of the secondary industry and the primary industry. (3) The empirical results show that under the regulatory role of marketization, technology finance has a negative impact on the upgrading of industrial structure, the impact on the upgrading of the manufacturing industry structure is not significant, and there is a significant positive impact on the upgrading of the service industry structure. Key words: DEA with Shared Input; Technology Finance Efficiency; Industrial Structure Upgrade 目 录 IV 目 录 第1章 引言......................................................... 1 1.1 选题背景与研究意义 ............................................ 1 1.1.1选题背景................................................... 1 1.1.2 研究意义 .................................................. 2 1.2 研究目的 ...................................................... 3 1.3 国内外文献综述 ................................................ 4 1.3.1科技金融效率相关研究....................................... 4 1.3.2 科技金融对产业结构升级作用的相关研究 ...................... 5 1.3.3 市场化水平的相关研究 ...................................... 6 1.4 研究思路与技术路线 ............................................ 7 1.5 主要内容 ...................................................... 8 1.6 研究方法 ...................................................... 9 1.7 创新与不足 ................................................... 10 1.7.1 创新之处 ................................................. 10 1.7.2 不足之处 ................................................. 10 第2章 相关概念和理论基础 ............................................... 11 2.1 相关概念界定 ................................................. 11 2.1.1 科技金融的定义 ........................................... 11 2.1.2 市场化水平的定义 ......................................... 11 2.1.3 产业结构升级的定义 ....................................... 12 2.2 相关基础理论 ................................................. 12 2.2.1 科技创新理论 ............................................. 12 2.2.2 产业结构演变理论 ......................................... 13 2.3 科技金融、市场化水平和产业结构升级的机理分析 ................. 13 第3章 科技金融现状分析 ................................................. 15 3.1 科技金融效率 ................................................. 15 3.1.1 理论模型 ................................................. 15 3.1.2 指标选取及数据来源 ....................................... 16 3.1.3 测算结果 ................................................. 18 3.2 本章小结 ..................................................... 20 第4章 回归的变量选取及指标测算 ........................................ 22 目 录 V 4.1 产业结构升级指数 ............................................. 22 4.1.1 三次产业结构升级指数 ..................................... 22 4.1.2 制造业产业结构升级指数 ................................... 25 4.1.3 服务业产业结构升级指数 ................................... 27 4.2 其他变量 ..................................................... 29 第5章 回归的结果分析及相关检验 ........................................ 31 5.1 回归分析 .........................................