中国石墨烯产业技术创新效率及创新系统优化研究
摘要
2004年，石墨烯的问世引起了全世界的广泛关注。凭借极好的物理与化学特性，石墨
烯成为战略性新兴产业中新材料领域的重要组成部分。石墨烯不仅深刻影响着电子信息、新
能源、航空航天、海水淡化等领域，更有可能在“硅时代”后，引起一场颠覆性的技术革
命。相较于其他发达国家，中国虽然石墨资源丰富，但起步较晚，在技术创新与产品转化、
产业规模化与商业化发展、宏观环境改善等方面都存在一定的不足。因此，分析石墨烯产业
技术创新现状，探究石墨烯产业技术创新发展方向意义重大。
本文首先运用数据包络分析方法结合 Malmquist指数对 2016—2020年 14家沪、深两市
上市公司的技术创新效率进行测算，从综合技术效率、纯技术效率、规模效率、Malmquist
指数四个方面进行分析，从而了解石墨烯产业技术创新效率现状；进一步，构建中国石墨烯
产业技术创新系统 SD模型，从系统性、动态性视角分析影响产业技术创新发展的关键性因
素，探究石墨烯产业技术创新系统优化方向。
研究结果表明：（1）我国石墨烯产业技术创新效率存在巨大的提升空间，产业中部分企
业技术创新效率较低，企业间存在技术创新效率不均衡的问题，但差距出现逐渐缩小的趋势；
（2）产业政策方面，财政扶持政策与税收政策对于中国石墨烯产业发展具有显著正向作用，
资金仍是影响石墨烯产业技术创新的核心因素；（3）宏观环境方面，金融环境与法制环境的
改善对于推动石墨烯产业发展具有显著正向作用，相比而言，金融环境作用更为明显；（4）
石墨烯产业创新主体方面，技术转换能力与产学研融合程度的提高对于推动石墨烯产业发展
具有显著正向作用，相比而言，产学研融合程度作用更为明显。
关键词：石墨烯产业；技术创新；DEA；Malmquist指数；系统动力学
RESEARCH ON TECHNOLOGICAL INNOVATION
EFFICIENCY AND INNOVATION SYSTEM
OPTIMIZATION OF CHINA'S GRAPHENE INDUSTRY
ABSTRACT
In 2004, the advent of graphene attracted worldwide attention. With its excellent physical and
chemical properties, graphene has become an important component in the field of new materials in
strategic emerging industries. Graphene not only has a profound impact on electronic information,
new energy, aerospace, seawater desalination and other fields, but also is more likely to cause a
disruptive technological revolution after the "Silicon Age". Compared with other developed countries,
although China is rich in graphite resources, it started late, and there are certain deficiencies in
technological innovation and product transformation, industrial scale and commercial development,
and macro environment improvement. Therefore, it is of great significance to analyze the status quo
of graphene industry technological innovation and explore the development direction of graphene
industry technological innovation.
This paper firstly uses the data envelopment analysis method combined with the Malmquist
index to measure the technological innovation efficiency of 14 listed companies in Shanghai and
Shenzhen from 2016 to 2020, from four aspects: comprehensive technical efficiency, pure technical
efficiency, scale efficiency and Malmquist index. Conduct analysis to understand the status quo of
technological innovation efficiency of graphene industry; further, build an SD model of China's
graphene industry technological innovation system, analyze key factors affecting the development of
industrial technological innovation from a systematic and dynamic perspective, and explore graphene
industry technological innovation System optimization direction.
The research results show that: (1) There is huge room for improvement in the technological
innovation efficiency of my country's graphene industry. Some enterprises in the industry have low
technological innovation efficiency, and there is a problem of unbalanced technological innovation
efficiency among enterprises, but the gap is gradually narrowing; ( 2) In terms of industrial policy,
financial support policies and tax policies have a significant positive effect on the development of
China's graphene industry, and capital is still the core factor affecting technological innovation in the
graphene industry;(3) In terms ofmacro environment, thefinancial environment andlegal
environment Improvement has a significant positive role in promoting the development of the
graphene industry. In comparison, the financial environment has a more obvious role; (4) In terms of
the mainbody of grapheneindustry innovation, theimprovement oftechnology conversion
capabilities and the degree of integration of production, education and research will promote the
graphene industry. Development has a significant positive effect, in comparison, the degree of
industry-university-research integration plays a more significant role.
KEYWORDS: grapheneindustry; technological innovation;DEA; Malmquist index;System
dynamics