基于三阶段DEA-Malmquist模型的稀土产业技术创新效率评价

Technological Innovation in Rare Earth Industry Based on Three-Stage DEA-Malmquist Modeling Efficiency Evaluation

摘要: 文章运用三阶段DEA模型与Malmquist生产率指数模型，从静态和动态两个维度对稀土产业上市公司2017~2023年的技术创新效率进行综合评估，并划分稀土产业前后端企业进行对比分析。结果发现，目前稀土产业技术创新效率水平有较大提升空间，前端与后端企业技术创新效率相差巨大，其中后端企业的纯技术效率显著低于前端企业，是制约稀土产业技术创新效率提升的关键因素。技术效率变革和技术进步的共同推动，使稀土产业上市公司的全要素生产率水平整体呈上升态势；技术进步层面前端企业优于后端企业，而技术效率层面后端企业优于前端企业。依据分析结论，提出完善创新激励政策、促进稀土产业整体协同与优化的相关策略建议。

Abstract: The article applies the three-stage DEA model and Malmquist productivity index model to comprehensively assess the technological innovation efficiency of listed companies in the rare earth industry from 2017~2023 in both static and dynamic dimensions and divides the front-end and back-end enterprises in the rare earth industry for comparative analysis. The results found that the current level of technological innovation efficiency in the rare earth industry has a large room for improvement, and there is a huge difference between the technological innovation efficiency of front-end and back-end enterprises, in which the pure technological efficiency of the back-end enterprises is significantly lower than that of the front-end enterprises, and it is a key factor restricting the improvement of technological innovation efficiency in the rare earth industry. The total factor productivity level of listed companies in rare-earth industry is on the rise as a whole due to the joint promotion of technological efficiency changes and technological progress; the front-end enterprises are better than the back-end enterprises at the level of technological progress, while the back-end enterprises are better than the front-end enterprises at the level of technological efficiency. Based on the conclusions of the analysis, relevant strategies are proposed to improve the innovation incentive policy and promote the synergy and optimization of the rare earth industry as a whole.