Hebei GEO University, Department of science and technology, Shijiazhuang, Hebei, China

Transcription

1 2017 Iteratioal Semiar o Artificial Itelligece, Networkig ad Iformatio Techology (ANIT 2017) A Study o the Techological Iovatio Efficiecy ad Ifluecig Factors of Iro ad Steel Eterprises Based o DEA - Tobit Two-step Method Baihua Li1,a, Juyi Ya1,b, Gag Wag2,c 1 Hebei GEO Uiversity, Departmet of sciece ad techology, Shijiazhuag, Hebei, Chia 2 Faculty of Graduate Studies, Shijiazhuag Tiedao Uiversity, Shijiazhuag, Hebei, Chia a libaihua09@163.com, byajy@sjzedu.c, c @qq.com Keywords: Iro ad steel eterprises, Techological iovatio efficiecy, DEA, Tobit model. Abstract: The article aalyzes the resource iput of iro ad steel eterprises i their techological iovatio process by settig the iput-orieted DEA effective frotier with the DEA method. O this basis, the regressio aalysis is carried out with respect to the ifluecig factors of the techological iovatio efficiecy i iro ad steel eterprises with the Tobit regressio aalysis method. The study results show that ① the averaged techological iovatio efficiecy of 12 eterprises is oly 0.774, idicatig the overall techological iovatio efficiecy of iro ad steel eterprises is low; ②Overall, the cotributio of the pure techical efficiecy is greater tha the scale efficiecy, ad the scale efficiecy of iro ad steel eterprises is geerally low; ③ There is a big differece i the techological iovatio efficiecy of differet iro ad steel eterprises;④ The idustrial structure ad the overall iovatio eviromet of the regio where a eterprise is located play a importat promotig role i the improvemet of the techological iovatio efficiecy of iro ad steel eterprises; ⑤ Icreasig the cocetratio of productio capacity, improvig the iovatio ad resource allocatio i the process of techological iovatio, ad optimizig the regioal idustrial structure ad regioal iovatio eviromet, is the effective way to effectively improve the techological iovatio efficiecy of iro ad steel eterprises. 1 DEA-Tobit Two-step Method The DEA-Tobit two-step aalysis method is a evaluatio method derived from DEA aalysis, which icludes two-step exteded aalysis. The first step is to evaluate the techological iovatio efficiecy of each evaluatio uit (DMU) through use of the DEA model; ad the secod step is to carry out the regressio aalysis by takig the DEA efficiecy as the depedet variable, ad the selected ifluecig factors as the idepedet variables, ad to determie the ifluece degree o the efficiecy value ad chage directio of all the ifluecig factors accordig to the measured idepedet variables, ad idetify the sesitive factors of the techological iovatio efficiecy, so as to provide guidace for the scietific plaig of correspodig policies ad recommedatios. The Data Evelopmet Aalysis (DEA) ca directly calculate the relative effective frotier of multiple decisio uits (DMUs) by usig the evaluatio data ad mathematical programmig model, thus achievig the effective evaluatio o the relative efficiecy of DMUs. After may years of research ad developmet, the DEA model has evolved from the iitial CCR model to BCC, ad the exteded to the super efficiecy model ad other models. Differet models have differet applicatio coditios ad assumptios, thus, ca reflect differet evaluatio aspects of a evaluatio object. Whe calculatig the efficiecy frotier with DEA, two methods may be used, i.e. the iput-orieted method ad the output-orieted method. Cosiderig the productio characteristics of iro ad steel eterprises, we choose the iput-orieted DEA model to study the iovatio efficiecy. Copyright 2018, the Authors. Published by Atlatis Press. This is a ope access article uder the CC BY-NC licese ( 215

2 As for the CCR model, it is assumed that each DMU has a fixed Returs to Scale, ad its iput-orieted model ca be expressed as: miθ Xjλj θx0 j=1 Yjλj Y0 j=1 λj 0 j = 1,, Where, θ is the effective value of the decisio uit, ad if θ = 1, the the DEA of the decisio uit is valid. DEA is i the CCR, but the further aalysis o the effective uit caot be achieved, which shows certai limitatios of evaluatio. The Super Efficiecy is the expaded model of DEA evaluatio, accordig to which, the DMU efficiecy rakig may be achieved. The efficiecy value of the super-efficiecy model may be greater tha 1, idicatig the maximum ratio of the DMU iput whe the validity is maitaied, while the efficiecy value of the ieffective DMU i the super efficiecy is the same as the efficiecy value i the DEA basic model [4]. The differece betwee the super-efficiecy model ad the stadard model is that durig the efficiecy evaluatio of DMU i all the other DMU iputs ad outputs are liearly combied, to substitute DMU i, thus excludig the same. I this case, the super-efficiecy model ca be expressed as: The Tobit model, also kow as cesored regressio model, is proposed for the depedet variables that are partially cotiuously distributed or partially dispersedly distributed. The model ca be expressed as: miθ Xjλj θxk j=1 j k Yjλ j Yk j=1 j k λ j 0 j =1,, Where, Y i is a depedet variable, i.e. the efficiecy value of DEA ; X i is a depedet variable, i.e. the explaatory variable that iflueces the efficiecy value; ad ε is the radom error vector. Sice the efficiecy value of DEA is a discrete value greater tha 0, if the ordiary least square method is used to estimate the model parameters, there will be a certai error. Therefore, the maximum likelihood method should be used to estimate the Tobit model parameters, ad the more accurate fittig result ca be obtaied. 2 Idicator System Based o the aalysis ad evaluatio of techological iovatio efficiecy of micro-iro ad steel eterprises, a total of 12 domestic represetative iro ad steel eterprises are selected this time, icludig Ayag Iro & Steel Ic., Asha Iro & Steel Corp, Baotou Steel Uio Co., Ltd., Baosha Iro & Steel Co., Ltd., Jia Iro & Steel Corp, Maasha Iro & Steel Corp, Shougag Group, Taiyua Iro & Steel (Group) Co., Ltd., Tagsha Iro & Steel Group, Wuha Iro ad Steel Compay Limited ad Chogqig Iro & Steel Compay Limited. The data is from the 2012 aual report of these eterprises productio ad busiess activities. Based o the combiatio of studies of all the relevat scholars o the evaluatio idicator 216

3 system of techological iovatio efficiecy, this article fully cosiders the factors closely related to the techological iovatio efficiecy of iro ad steel eterprises, focusig o the presetatio of techological iovatio effects of iro ad steel eterprises while takig ito accout the ecoomic beefits of the eterprises, to determie the evaluatio idicator system for the techological iovatio efficiecy of iro ad steel eterprises. Iput idicators: 1 Proportio of R & D iput i the sales reveue of products; 2 Number of R & D staff; 3 Amout of ivestmet i techological trasformatio; output idicators: 1 Proportio of ew product output i the sales reveue; 2 Number of eterprise patets;3number of published papers. 3 DEA Evaluatio of Techological Iovatio Efficiecy of Iro ad Steel Eterprises Based o the iput-orieted aalysis method, the techological iovatio efficiecies of all the iro ad steel eterprises are aalyzed ad evaluated through the CCR, BCC ad super-efficiecy models of DEA, via the DEA software MaxDEA, combied with the characteristics of iro ad steel eterprises ad accordig to the selected evaluatio idicator system. Table 1 Efficiecy Values of CCR Model for Techological Iovatio Efficiecy of Iro ad Steel Eterprises Eterprise Ayag Asha Baotou Baosha Jia Maasha Efficiecy Value Eterprise Pazhihua Shougag Taiyua Tagsha Wuha Chogqig Efficiecy Value Accordig to the efficiecy values of the CCR model (Table 1), it ca be see that oly the techological iovatio efficiecies of Pazhihua Steel Group Co.,Ltd., Shougag Group, Wuha Iro ad Steel Compay Limited ad Chogqig Iro & Steel Compay Limited of all the selected 12 domestic iro ad steel eterprises, have realized the DEA is valid i the techological iovatio efficiecy, thus achievig the effective couplig betwee the iovatio iput ad output, ad the rest of the iro ad steel eterprises have show varyig degrees of iefficiecy. From the average value of the efficiecy poit of view, the average efficiecy of the 12 selected domestic iro ad steel eterprises is A total of seve eterprises have a efficiecy value above the average, accoutig for about 58.3%, ad all the remaiig five eterprises have a techological iovatio below the average, showig the techological iovatio efficiecy of domestic iro ad steel eterprises is ot optimistic. The super efficiecy value refers to the value at which the efficiecy is maitaied as relatively effective whe all the iput factors are icreased by a equal ratio. For the eterprises whose DEA is ot ivalid i the super-efficiecy model, their super efficiecy values are the same as the efficiecies evaluated i the basic DEA model. While for the iro ad steel eterprises that realize the validity of DEA, the super efficiecy value may be used to calculate their super efficiecy value (greater tha 1). O this basis, the differece betwee the iro ad steel eterprises whose DEA is valid may be further aalyzed. Table 2 Efficiecy Values for Techological Iovatio Efficiecy Model Eterprise Ayag Asha Baotou Baosha Jia Maasha Super Rakig Eterprise Pazhihua Shougag Taiyua Tagsha Wuha Chogqig Super Rakig

4 Fig.1 Aalysis Results Chart for Techological Iovatio Efficiecy Model of Iro ad Steel Eterprises From Table 2 ad Fig.1, it ca be see that Shougag Group has the highest techological iovatio efficiecy value, i.e , which meas that the iput factors of Shougag Group have bee icreased by a equal ratio of 437.8%, ad it ca still maitai the relative validity of the efficiecy, idicatig it still has a large developmet potetial i terms of techological iovatio; Wuha Iro ad Steel Compay Limited is secodary to Shougag Group, the super efficiecy value is Through the super efficiecy value, the 12 iro ad steel eterprises may be further raked i terms of the efficiecy. The results show that Shougag Group raked first, Wuha Iro ad Steel Compay Limited raks secod, Ayag Iro & Steel Ic., Asha Iro & Steel Corp ad Baotou Steel Uio Co.,Ltd. rak the last. There is a big gap compared to Shougag Group, Wuha Iro ad Steel Compay Limited, Chogqig Iro & Steel Compay Limited ad Pazhihua Steel Group Co.,Ltd.. 4. Tobit Aalysis o the Ifluecig Factors of the Techological Iovatio Efficiecy of Iro ad Steel Eterprises 4.1. Selectio of Ifluecig Factors By summarizig relevat literature, ad combiig with the Aual Report of Regioal Iovatio Capability of Chia (2012), this article selects the ecoomic scale, idustrial structure, iovatio base ad iovatio eviromet as the factors ifluecig the techological iovatio efficiecy of iro ad steel eterprises, from the perspectives of ecoomic operatio ad regioal eviromet. Where, the proportio of GDP of the provice i which the iro ad steel eterprise is located relative to the atioal GDP (X 1 ) idicates the ecoomic scale; the proportio of the idustrial output of the provice i which the iro ad steel eterprise is located relative to the regioal GDP (X 2 ) idicates the idustrial structure; the proportio of the iovatio expediture of the provice where the iro ad steel eterprise is located relative to GDP (X 3 ) as well as the proportio of the people havig the educatio of juior college ad above i every 100,000 people (X 4 ) idicate the iovatio eviromet; ad the proportio of the regioal techology turover of the provice i which the iro ad steel eterprise is located relative to the atioal turover (X 5 ) idicates the iovatio base. 218

5 4.2 Tobit regressio aalysis The Tobit regressio aalysis is carried out o ifluecig factors of the techological iovatio efficiecy of eterprises by takig factors by takig the techological iovatio efficiecy value of iro ad steel eterprises as the depedet variable ad the selected ifluecig factors o the above-metioed five aspects, based o the data from the Chia Statistical Yearbook ad the Aual Report of Regioal Iovatio Capability of Chia (2012)(Table 5). Table 3 Tobit Regressio Aalysis Results of Ifluecig Factors for the Techological Iovatio Efficiecy of Eterprises Variable Coefficie Std. z-statistic Prob. t Error C X * X X X * 1 3 X * Log likelihood 4 Note: * idicates that the estimated coefficiet is sigificat at the cofidece level of 5%. From the results of Tobit aalysis, it ca be see that amog the five factors that ifluece the techological iovatio efficiecy of iro ad steel eterprises, the regioal ecoomic scale factor reflected by the proportio of GDP of the provice i which the iro ad steel eterprise is located i (X 1 ) is egatively correlated to the techological iovatio efficiecy at the sigificat level of 5%, idicatig that the expasio of ecoomic scale will reduce the level of techological iovatio efficiecy to a large extet. I terms of iovatio eviromet, the proportio of the people havig the educatio of juior college ad above i every 100,000 people (X 4 ) is positively correlated to the techological iovatio efficiecy at the sigificat level of 5%, idicatig that the improvemet of regioal labor quality is coducive to promotig techological iovatio efficiecy of iro ad steel eterprises, ad also idicatig that the labor quality will have a large ifluece o the eterprises techological iovatio activities as the result of developmet i the kowledge-itesive techological iovatio efficiecy. The proportio of the regioal techology turover of the provice i which the iro ad steel eterprise is located relative to the atioal turover (X 5 ) is egatively correlated with the techological iovatio efficiecy at the sigificat level of 5%, idicatig that the existig iovatio base ca ehace the awareess of techological iovatio efficiecy of iro ad steel eterprises, but which ofte results i the iput redudacy i the productio process, causig the reductio of efficiecy, ad affectig the improvemet of the overall techological iovatio efficiecy. I additio, the proportio of the idustrial output of the provice i which the iro ad steel eterprise is located relative to the regioal GDP (X 2 ) as well as ad the proportio of the iovatio expediture of the provice where the iro ad steel eterprise is located relative to GDP (X 3 ) have a certai positively-correlated ifluece o the improvemet of 219

6 the eterprises techological iovatio efficiecy, but this ifluece is ot sigificat. The adjustmet ad upgradig of idustrial structure, especially the promotio ad developmet of high-tech idustry, is coducive to promotig the ehacemet level of the regioal techological iovatio, ad the developmet of techological iovatio capability of iro ad steel eterprises. However, this kid of ifluece o the idustrial structure geerally plays a basic promotig role, ad caot form sigificat ifluece; the icliatios i policies ad fuds brought by the govermet support ca provide a good policy eviromet for the improvemet of the eterprises techological iovatio efficiecy. Similarly however, this kid of policy support factor caot have a key ifluece o the developmet ad breakthrough of the techological iovatio of iro ad steel eterprises. 5 Coclusio ad Coutermeasures With the DEA ad Tobit regressio methods, this article carried out a systematic aalysis o the techological iovatio efficiecy ad its ifluecig factors domestic iro ad steel eterprises, ad has draw the followig coclusios:1 Of the 12 selected domestic iro ad steel eterprises, oly the techological iovatio efficiecy of Pazhihua Steel Group Co.,Ltd., Shougag Group, Wuha Iro ad Steel Compay Limited, Chogqig Iro & Steel Compay Limited is valid i DEA, accoutig for oe-third of all the evaluated objects. The averaged techological iovatio efficiecy of the 12 eterprises is oly 0.774, idicatig the overall techological iovatio efficiecy of Chia s iro ad steel eterprises is low; 2 Through the further aalysis o the super efficiecy model, it is foud there is a big differece i the techological iovatio efficiecy of the iro ad steel eterprises, with the highest value of ad the lowest value of oly The overall efficiecy of Shougag Group, Wuha Iro ad Steel Compay Limited, Chogqig Iro & Steel Compay Limited ad Pazhihua Steel Group Co.,Ltd. is sigificatly higher tha the other eterprises;3 ad the Tobit regressio aalysis shows that the idustrial structure ad the overall iovatio eviromet of the regio where the eterprise is located play a high promotig role i the improvemet of the techological iovatio efficiecy of iro ad steel eterprises, while the regioal overall ecoomic scale ad iovatio base have o sigificat ifluece. I view of the above coclusios, the followig coutermeasures ad suggestios are put forward: Firstly, optimize the productivity layout of the iro ad steel idustry ad cotiuously improve the cocetratio of productio capacity. Take the macro-cotrol o the productio capacity of the iro ad steel as a opportuity to help excellet eterprises ad elimiate iferior oes, so that the cocetratio of the productio capacity of iro ad steel eterprises is cotiuously improved, ad the scale efficiecy is fully achieved; Secodly, stregthe the eterprise maagemet, optimize the iovative resources allocatio i the eterprise s productio process, ad actively carry out the maagemet ad cotrol o the iovatio resources i the eterprise s iovatio process, improvig the overall techological iovatio efficiecy; ad thirdly, adjust the regioal relevat policy system, ad costatly optimize the regioal idustrial structure ad iovatio eviromet. As the supportig coutermeasures, develop the regioal relevat policies ad perfect the same systematically o the basis of trasformig the ecoomic developmet form, with improvig the regioal iovatio capacity as the goal, optimize the idustrial structure ad regioal iovatio eviromet, build good techological iovatio coditios ad iovatio eviromet, to provide the guaratee for the ehacemet of techological iovatio efficiecy of iro ad steel eterprises [8] ; Ackowledgemet Fudig:Youth Foudatio Project of HeBei GEO uiversity (201711) 220

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