Research on Technological Innovation Efficiency of National
High-tech Zone in Liaoning Province based on DEA Method
Jianbo Li
and Yue Yin
Dalian Polytechnic University, Shandong, Weifang, China
Dalian Polytechnic University, Anhui, Hefei, China
Keywords: National High-Tech Zone, Technological Innovation, Three-Stage DEA, Economic Growth.
Abstract: The national "14th five year plan" and the long-term goal of 2035 emphasize the implementation of innovation
driven strategy, and engineering technology innovation is an important part. The National High-tech Zone
has become an important carrier for Liaoning Province to implement innovation driven development strategy.
Through the Three-stage DEA method and SFA regression of input and output indicators, it is found that,
increasing the investment of R&D fund, the cultivation of R&D talents and the construction of R&D platform
have an important impact on improving the efficiency of engineering and technological innovation, which has
played an important role in improving the innovation ability of high-tech zones and promoting the economic
development of Liaoning Province.
China's national high-tech industrial development
zone (hereinafter referred to as high-tech zone) has
made important contributions to economic and social
development and the construction of national
innovation system. Up to now, Liaoning Province has
established 8 high-tech zones. In recent years, these
high-tech zones have developed rapidly in all aspects,
which has played a very important role in supporting
economic growth, promoting industrial upgrading
and transformation, promoting scientific and
technological innovation and developing strategic
emerging industries. At the same time, some
problems are increasingly emerging, such as the need
to strengthen independent innovation capacity,
insufficient R& D investment, low innovation
efficiency, and uneven development between regions.
Guangdong, Jiangsu and Shandong ranked the top
three in the list of 31 provinces and cities GDP 2020.
Comparing the national high-tech zones of Liaoning
Province with Guangdong, Jiangsu and Shandong is
conducive to solving the problem and promoting the
further development of the high-tech zones in
Liaoning Province, thus further enhancing the
regional technological innovation ability of Liaoning
Province and laying the driving force for economic
The theory of innovation, first put forward by
economist Schumpeter in 1912, has become a hot
topic around the world. Eugene M· Roger and Judy
K · Larson are the earliest scholars in foreign
countries to carry out empirical evaluation of high-
tech zones. Qualitative analysis and research reveal
the conditions for the formation of " condensed
economic effect" in Silicon Valley (Malecki 2008).
Lofsten and Lindelof point out that technological
innovation is indispensable to the development of
science and technology parks (Lofsten 2012).
LI Y analysis shows that foreign cooperation and
technology spillover can promote the cultivation of
innovative ecological efficiency in high-tech zones
(TIAN 2017). In comparison, the domestic research
started late, but the development trend is good. Sun
Qian and Wang Xia et al respectively established the
evaluation index system for evaluating the innovation
ability of national high-tech zones from three
modules and using factor analysis method (Sun 2018,
Wang 2019). By Yang Jie et al and Yuan Hang et al,
the SOM network topology model and the double
difference method are used to analyze the innovation
comprehensive efficiency of China's national high-
tech zones (Yang 2020, Yuan 2018). Tian Zhilong et
al, Xiong Bo et al, Zhang Jixin et al comprehensively
Li, J. and Yin, Y.
Research on Technological Innovation Efficiency of National High-tech Zone in Liaoning Province based on DEA Method.
DOI: 10.5220/0011176900003440
In Proceedings of the International Conference on Big Data Economy and Digital Management (BDEDM 2022), pages 330-334
ISBN: 978-989-758-593-7
2022 by SCITEPRESS – Science and Technology Publications, Lda. All rights reserved
evaluated the innovation efficiency and innovation
ecological efficiency of China's information
technology enterprises and the carrier of high-tech
zones, respectively (Tian 2019, Xiong 2019, Zhang
2019). Zheng Xuhui et al and Xiong Ran et al found
the influence of trade on the innovation ecological
efficiency of high-tech zones through the analysis of
two-stage DEA and dynamic super-efficiency SBM
model, respectively (Zheng 2018, Xiong 2019). As a
result, the three-stage DEA model will further
promote the economic development of Liaoning
3.1 Efficiency Measurement of
Technological Innovation in
National High-tech Zone in Four
3.1.1 Efficiency Measures
The innovation of high-tech zone is a dynamic and
complex system with multi-factor input and multi-
output, which involves many inputs of human,
material and financial resources in the whole process.
The input index selects the full-time equivalent of
R&D personnel, the number of enterprises, the
internal expenditure of R&D funds, the funds for
scientific and technological activities, the assets at the
end of the year, the product sales income, the
technical income, the patent authorization, the export
earning foreign exchange and the total industrial
output value as the output index.
Environmental variables are variables that are
outside the observation sample and are not controlled
by the sample, but have an impact on the
technological innovation efficiency of the sample.
When carrying out SFA modeling, the attributes and
development characteristics of technological
innovation in high-tech zones are taken into account,
the macroeconomic environment is measured by the
per capita gross domestic product (GDP) of the
region, the degree of opening to the outside world is
measured by the total amount of foreign direct
investment, the level of scientific education in the
region is measured by the number of college students
in ordinary colleges and universities, and the level of
local policy support for technological innovation is
expressed by the expenditure of finance on science
and technology.
3.1.2 Phase I: DEA Model before
Table 1: The First Stage Measurement of Technological
Innovation Efficiency in High-tech Zone.
[1] High-
tech Zones
Name of Index
Shenyang 0.315 0.392 0.805
Dalian 0.401 0.426 0.942
Nanjing 0.596 1 0.596
Suzhou 1 1 1
Guangzhou 0.45 1 0.45
Shenzhen 0.445 1 0.445
Jinan 0.459 1 0.459
Qingdao 0.469 0.675 0.695
As shown in Table 1, considering the influence of
environmental factors and random factors, the
average comprehensive technological innovation
efficiency of Liaoning High-tech Zone in
2018 is 0.65,
the average pure technical efficiency is 0.79, and the
scale efficiency is 0.83. From the point of view of
pure technical efficiency, Liaoning High-tech Zone is
lower than the other three provinces, but the scale
efficiency is generally superior to the other three
provinces except Benxi Hi-tech Zone.
It can be seen from the above table that the
provincial capital cities and cities with better
economic development are selected from the four
provinces for DEA analysis. The innovation
efficiency indicators of the two cities in Liaoning
Province are lower than those of the other three
provinces, indicating that there is room to improve
the overall innovation ability of Liaoning Province.
The reason is that the economic development of
Jiangsu, Guangdong and Shandong is good, and the
investment in the related elements of technological
innovation is much, which leads to the improvement
of pure technical efficiency, but it can also reflect that
the utilization rate of the elements is not enough, so
the scale efficiency is low.
3.1.3 Phase II: SFA Regression Analysis
Regression found that the LR values of the five inputs
were greater than the critical value, which indicated
Research on Technological Innovation Efficiency of National High-tech Zone in Liaoning Province based on DEA Method
that it was suitable for random frontier analysis. The
regression coefficient of the relaxation variables of
the per capita GDP to all input elements is positive,
which indicates that the per capita GDP has a
stimulating effect on input redundancy. It can explain
that the high-tech zones in some well-developed
cities in China, such as Nanjing, Guangzhou, Jinan
and Qingdao, have strong economic strength, rich
innovation resources and large support and
investment in the high-tech zones, but because they
are not properly allocated, the comprehensive
efficiency of innovation technology is not high. Both
the regression coefficient of regional openness to the
number of enterprises in the high-tech zone and the
relaxation variable of the internal expenditure of
R&D funds are negative, which indicates that the
more foreign capital is used in the region, the less the
number of enterprises and capital investment in the
high-tech zone. For example, the higher the opening
degree of Suzhou and Shenzhen, the stronger the
ability of the region to absorb foreign science and
technology, and the faster the development of science
and technology, thus reducing the number of
enterprises in high-tech zones and the investment of
state financial funds. With the improvement of
science education level, the higher the quality of
graduates, which stimulates the redundancy of
enterprises in high-tech zones. The government's
financial expenditure on technology innovation will
reduce the manpower and capital investment of high-
tech zones. The government's financial expenditure
on technology innovation will reduce the manpower
and capital investment of high-tech zones. For
Anshan, Jinzhou, Benxi, Fuxin national high-tech
zones in the development stage, the government
needs more support.
3.1.4 Phase III: Adjusted DEA Model
Table 2: The Third Stage Measurement of Technological
Innovation Efficiency in High-tech Zone.
Name of Index
0.999 1 0.999
Dalian 1 1 1
1 1 1
Suzhou 1 1 1
Guangzhou 1 1 1
Shenzhen 1 1 1
Jinan 1 1 1
Qingdao 1 1 1
The comprehensive efficiency of most high-tech
zones is 1, located on the front of production, but
compared with the other three provincial capital high-
tech zones, the scale compensation of Shenyang
National High-tech Zone is decreasing, so it is
necessary to make more rational use of human and
capital factors in the park, to improve the scale
efficiency of high-tech zones by increasing
government support, expanding the level of
utilization of foreign capital, improving the quality of
workers and speeding up the progress of science and
technology, and to pay close attention to the
utilization efficiency of resources while increasing
the input factors of technological innovation.
3.2 Findings
3.2.1 In Comparison with Provincial
Shenyang, Nanjing, Guangzhou and Jinan are the
provincial capitals of their respective provinces.
From the above table, we can see that the scale
efficiency of Shenyang Hi-tech Zone is better than
that of the other three cities. From the second stage
SFA regression table, we can see that the
macroeconomic environment promotes the
redundancy of input elements. On the other hand, the
pure technical efficiency of Shenyang High-tech
Zone is lower than that of the other three urban high-
tech zones, for the following reasons:
Nanjing Hi-tech Zone focuses on cultivating
innovative leading enterprises and promotes the
development of overall technological innovation
through the policies of enterprise R&D organization
performance, high recognition and storage reward,
industrial technological innovation alliance, R&D fee
of small and medium-sized scientific and
technological enterprises. Shenzhen Hi-tech Zone
allows innovative subjects that meet the conditions of
industrial access to temporarily change the existing
building use functions for innovative activities on the
premise of safe structure, good appearance, no impact
on the use of surrounding buildings, no change in the
main structure, and no increase in the volume ratio.
The layout of Jinan Hi-tech Zone is to build a number
of international scientific and technological
achievements transfer and transformation centers that
integrate technological achievements trading,
offshore incubation, high-level talent exchange, joint
tackling, enterprise investment and cooperation
between industry, education and research, so as to
create a new highland for export-oriented regional
scientific and technological innovation and
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achievements transformation, and to raise the level of
open innovation and development.
For example, promoting the cooperation between
enterprises and intermediary service institutions in
Liaoning High-tech Zone. On the other hand,
promoting the cooperation between enterprises and
financial institutions such as banks, and jointly carry
out services such as science and technology low
interest credit, science and technology capital pool,
science and technology loan discount, etc. Promote
enterprises and accurately select high growth
technology-based enterprises such as eagles, gazelles
and unicorns, continue to carry out listing cultivation,
implement reward and subsidy policies and provide
full-cycle services. Promote the cooperation between
enterprises and intermediaries such as securities
companies and firms, accurately screen high-growth
scientific and technological enterprises such as
chicks, gazelles and unicorns, continue to carry out
listing cultivation, implement reward and subsidy
policies and provide full-cycle services, so as to
continuously improve the innovation ability of
national High-tech Zone in Liaoning Province.
3.2.2 In Comparison with Cities with Better
Economic Development
Suzhou, Dalian, Shenzhen and Qingdao occupy an
important position in the economic development of
their respective provinces. It can be found that the
comprehensive efficiency of Dalian Hi-tech Zone is
lower than that of the other three cities, mainly due to
the low efficiency of pure technology. Specifically:
Suzhou Independent Innovation Square
Development Co. Ltd held 2019 science and
technology service industry innovation and
development exchange. By increasing the investment
in science and technology activities, the exchange of
science and technology service institutions, new
R&D institutions, science and technology enterprises
and technology brokers has been promoted, thus
enhancing the technological innovation and
development ability of Suzhou Hi-tech Zone. In
2019, the Shenzhen Science and Technology
Innovation Commission, together with the Municipal
Finance Bureau, revised the "Measures for the
Management of Science and Technology Research
and Development Funds in Shenzhen ", such as
raising the separate amount of equipment,
instruments and software purchase fees. In 2019,
Huang Hai led the "National Marine Aquatic
Germplasm Resources Bank" to be selected as the
National Science and Technology Resources sharing
Service platform. This is another national scientific
research and innovation platform added by Huang
Hai after the Ministry of Science and Technology
Marine Fisheries International Science and
Technology Cooperation Base, Mariculture
equipment and Biological breeding Technology
National Local Joint Engineering Research Center
(Qingdao) and so on. Dalian east of Huang Hai, west
of Bohai Sea, can learn from the development of
Qingdao high-tech zone to use the advantages of
characteristic industries to promote the innovation of
science and technology efficiency.
Increasing the precise support for scientific and
technological enterprises and high-tech enterprises in
the National High-tech Zone of Liaoning Province,
promote transformation and industrialization of high-
tech achievements, further improve the financial
environment through preferential tax policies,
strengthen investment attraction, and pay more
attention to research and development investment.
Through tax policies, increasing support for
advantageous industries in Liaoning Province, further
use advantageous industries to drive economic
transformation and upgrading, besides, using
innovation to drive the revitalization of old industrial
bases, develop emerging scientific and technological
innovation industries, and speed up the process of
transformation of old and new kinetic energy. To
strengthen the government's R&D investment, we
should also pay attention to improving the
sustainability of innovation investment and
strengthening regional coordination and linkage,
which is conducive to the realization of innovation
driven development.
By using the DEA model, the external environmental
factors of different regions are eliminated, and the
sample data of the 19 yearbook are collected, so as to
compare and analyze the gap between the 8 national
high-tech zones in Liaoning Province and the
advanced high-tech zones in Jiangsu, Guangdong and
Shandong in terms of technological innovation
efficiency. Empirical results show that: (1) after
considering environmental factors, there are
generally problems of redundant investment,
insufficient product research and development and
sales; (2) the technological innovation efficiency of 8
state-level high-tech zones in Liaoning Province is
generally low, and the DEA of the first stage is not
effective except Yingkou and Liaoyang high-tech
zones, which reflects that the overall innovation
ability of the national high-tech zones in Liaoning
Research on Technological Innovation Efficiency of National High-tech Zone in Liaoning Province based on DEA Method
Province is quite weak after the standard is advanced;
(3) the overall innovation ability of the advanced
high-tech zones in Jiangsu, Guangdong and
Shandong is close to the of innovation and
effectiveness, while the innovation ability of 8
national high-tech zones in Liaoning Province is far
from the effective frontier. It is possible to establish
or introduce R&D institutions with strong influence
through multiple channels, encourage enterprises to
combine R&D, strengthen cooperation with well-
known colleges and universities inside and outside
the province, and speed up the gathering of a group
of highly qualified talents to enhance the ability of
technological innovation. At the same time, it is
necessary to clarify its own advantages, and then
according to the action mechanism and influence path
of relevant innovation elements, implement the
differentiated innovation ability promotion strategy,
promote the transformation of scientific and
technological achievements and stimulate economic
I would like to thank my tutor, Mr. Li Jianbo, for his
help and guidance in the process of writing my paper.
In the process of writing the paper, the tutor gave me
patient guidance and inspiration. Put forward a lot of
constructive advice, gave great help and
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