中国经济高质量发展，对制造业企业提出了更高的要求。医药制造业作为我国高 新技术产业之一，创新是欧亿·体育（中国）有限公司发展的不竭动力，但在实现经济增长的同时也面临较大 的环境压力，成为了国家环保部确定的重点监控和治理的重污染欧亿·体育（中国）有限公司，绿色创新是突 破资源和环境约束、增强企业竞争力、实现可持续发展的不二之选。上市医药制造企 业作为规模化发展的代表，是绿色创新的重要主体，评价上市医药制造企业绿色创新 效率，对推动整个医药制造欧亿·体育（中国）有限公司向绿色创新发展具有重要作用。 本研究在效率理论、绿色创新和可持续发展理论基础的支撑下，选取A股沪深上 市医药制造企业为研究对象，首先使用超效率SBM-DEA方法，从静态的角度测算了 2015-2019年98家上市医药制造公司的绿色创新综合效率、纯技术效率和规模效率， 按欧亿·体育（中国）有限公司细分类别为化学类和中药类进行分析；其次通过K-means聚类分析归类企业， 并识别各类企业综合效率的典型特征和提升路径；然后结合Malmquist指数考察上市 医药制造企业全要素生产率的动态变化及分解情况，探究两类企业绿色创新管理能力、 投入能力和技术水平变化情况；最后为加强绿色创新、提高上市医药制造企业效率水 平提出合理有效建议，进而带动整个医药欧亿·体育（中国）有限公司的绿色转型，支持绿色生产制造体系建 设，加快生态文化建设。 通过实证本文得到以下结论：（1）从2015年到2019年绿色创新综合效率平均水 平来看，化学类制药企业表现优于中药类制药企业，但两类企业综合效率提升主要依 靠纯技术效率的提升，规模效率则相对偏低，资源存在极大的浪费（2）分析静态效率 值的变化，可以发现两类企业绿色创新综合效率呈现出缓步上升的态势，化学类企业 的绿色创新综合水平较高且进步明显，中药类企业的进步空间更大（3）依据绿色创新 综合效率均值和企业规模报酬情况，将两类制药企业分别归类到高效组、成熟组、潜 力组、低效组四个集合，化学类企业主要集中在成熟组和潜力组，中药类企业更多集 中在潜力组和低效组（4）动态效率评价结果表明两类上市医药制造企业绿色创新技术 水平、管理能力、投入规模及全要素生产率均有所提高，但对绿色创新资源的利用效 率还有待提升。 关键词：上市医药制造企业；效率评价；超效率SBM-DEA；绿色创新 论文类型：应用研究 ABSTRACT V ABSTRACT Currently,China'seconomyisdevelopingwithahighquality,whichhasputforward higherrequirementsformanufacturingcompanies.Thepharmaceuticalmanufacturing industryisoneofthehigh-techindustriesinChina,anditsinnovationistheinexhaustible drivingforceforthedevelopmentofthisindustry.However,thereisstillgreater environmentalpressurewhileachievingeconomicgrowth.Inthisway,thepharmaceutical manufacturingindustryhasbecomeaheavypollutionindustryidentifiedbytheMinistryof EnvironmentalProtectionasakeymonitoringandcontrolindustry.Greeninnovationisthe onlyselectiontobreakthroughtheconstraintsofresourcesandenvironment,enhancethe competitivenessofenterprises,andachievesustainabledevelopment.Astherepresentative ofthelarge-scaledevelopment,thelistedpharmaceuticalmanufacturingenterprisesarethe mainbodyofthegreeninnovation.Hence,theevaluationonthegreeninnovationefficiency ofthelistedpharmaceuticalmanufacturingenterprisesplaysasignificantroleinpromoting thedevelopmentofthewholepharmaceuticalmanufacturingindustrytowardgreen innovation. Underthesupportoftheefficiencytheoryaswellasthegreeninnovationand sustainabledevelopmenttheory,thisstudyselectsAlistedpharmaceuticalmanufacturing enterpriseinShanghaiandShenzhenastheresearchobject.Firstly,thesuper-efficiency SBM-DEAmethodisappliedtomeasurethegreeninnovation'scomprehensiveefficiency, puretechnologyefficiencyandscaleefficiencyfrom98listedpharmaceuticalmanufacturing companiesfrom2015to2019fromastaticperspective,andtheanalysisiscarriedout accordingtotheindustrysubdivisioncategories(chemistryandtraditionalChinese medicine);secondly,theenterprisesareclassifiedbyK-meansclusteringanalysis,andthe typicalcharacteristicsandpromotionpathsofcomprehensiveefficiencyfromvarious enterprisesareidentified；subsequently,theMalmquistindexiscombinedtoinvestigatethe dynamicchangesanddecompositionofthetotalfactorproductivityfromthelisted pharmaceuticalmanufacturingcompaniesandexplorethechangesinthegreeninnovation's managementcapabilities,investmentcapabilities,andtechnicallevelsfromthetwotypesof companies;finally,thereasonableandeffectivesuggestionstostrengthengreeninnovation andimprovetheefficiencylevelofthelistedpharmaceuticalmanufacturingenterprisesare proposed,soastopromotethegreentransformationofthewholepharmaceuticalindustry, supporttheconstructionofthegreenmanufacturingsystemandspeeduptheconstructionof theecologicalculture. Throughempiricalresearch,thisthesisobtainconclusionsasfollows:（1）Fromthe perspectiveoftheaveragelevelfromtheoverallefficiencyofgreeninnovationfrom2015to 2019,thechemicalpharmaceuticalcompaniesperformbetterthanthetraditionalChinese medicinepharmaceuticalcompanies.However,theoverallefficiencyfromthetwotypesof companiesmainlyreliesontheimprovementofpuretechnicalefficiency.Thescale 西南科技大学硕士论文 VI efficiencyisrelativelylow,thereisanenormouswasteinresources.（2）Bymeansof analyzingthechangeofstaticefficiencyvalue,itisfoundthatthecomprehensiveefficiency ofthegreeninnovationfromtwokindsofenterprisesshowagradualincrease.The comprehensivelevelofthegreeninnovationfromchemicalenterprisesishighwithapparent progress,Chinesemedicinecompanieshavemoreroomforimprovement.（3）Accordingto thegreeninnovation'saveragevalueofthecomprehensiveefficiencyandthecompensation oftheenterprisescale,thetwotypesofpharmaceuticalenterprisesareclassifiedintofour setsasfollows:thehigh-efficiencygroup,thematuregroup,thepotentialgroup,andthe low-efficiencygroup.Thechemicalenterprisesaremainlyconcentratedinthematuregroup andthepotentialgroup,andChinesemedicineenterprisesaremoreconcentratedinthe potentialgroupandthelow-efficiencygroup（4）Theresultsofthedynamicefficiency evaluationrevealthatthegreeninnovationtechnologylevel,themanagementability,the investmentscale,andthetotalfactorproductivityofthetwokindsfromthelisted pharmaceuticalmanufacturingenterpriseshavebeenimproved,whiletheutilization efficiencyofthegreeninnovationresourcesstillneedstobeimproved. KEYWORDS:Listedpharmaceuticalmanufacturingenterprises；Efficiencyevaluation；Super SBM-DEA；Greeninnovation TYPEOFTHESIS:ApplicationResearch 目录 VII 目录 摘要.........IV ABSTRACT.......V 1绪论...........1 1.1研究背景..........................1 1.1.1宏观背景..................1 1.1.2欧亿·体育（中国）有限公司背景..................1 1.2研究意义..........................3 1.2.1理论意义..................3 1.2.2现实意义..................3 1.3文献综述..........................3 1.3.1绿色创新效率影响因素研究综述.........3 1.3.2绿色创新效率评价指标综述.................5 1.3.3绿色创新效率评价方法综述.................6 1.3.4医药制造企业绿色创新效率评价综述.7 1.3.5研究现状评述..........9 1.4研究内容与框架..............9 1.5研究方法........................11 1.6研究创新点....................12 2概念界定及理论基础............13 2.1概念界定........................13 2.1.1医药制造企业........13 2.1.2绿色创新效率........13 2.2理论基础........................14 2.2.1效率理论................14 2.2.2绿色创新理论........15 2.2.3可持续发展理论....17 3上市医药制造企业绿色创新效率评价指标体系..............................18 西南科技大学硕士论文 VIII 3.1上市医药制造企业绿色创新效率评价指标选取原则..............18 3.1.1科学性原则............18 3.1.2针对性原则............18 3.1.3可行性原则............18 3.1.4可比性原则............19 3.2上市医药制造企业绿色创新效率评价指标体系......................19 3.2.1投入指标选取........19 3.2.2产出指标选取........19 4上市医药制造企业绿色创新效率评价模型.......22 4.1DEA评价的基本原理.....22 4.2静态效率评价模型—超效率SBM-DEA........24 4.3动态效率评价模型—Malmquist指数........25 5上市医药制造企业绿色创新效率评价实证研究..............................27 5.1样本分析........................27 5.2数据来源与描述统计....29 5.2.1数据来源与处理....29 5.2.2描述统计................29 5.3基于超效率SBM模型的静态效率评价.......31 5.3.1化学类企业绿色创新静态效率评价...32 5.3.2中药类企业绿色创新静态效率评价...37 5.3.3化学类与中药类企业整体状况对比分析..........................42 5.3.4上市医药制造企业绿色创新效率聚类分析......................44 5.4基于Malmquist指数模型的动态效率评价..............................46 5.4.1化学类企业绿色创新动态效率评价...47 5.4.2中药类企业绿色创新动态效率评价...48 6结论与展望...................