政策趋同与效能分化视域下的科技成果转化测度研究OA

Against the backdrop of a profound restructuring in the global automotive indus-try,new energy vehicles(NEVs)have become a strategic focal point of China's technological revolution.However,a critical challenge persists in many regions,including Henan Province:the deep disconnection between"policy alignment"and"substantive innovation",where local R&D activities often superficially comply with policy directives but lack genuine technological breakthroughs and market value.This study aims to address the core question of"how to pre-cisely identify genuine innovation versus pseudo-convergence,and how to diagnose different types of transformation bottlenecks within the NEV industry."Adopting a research approach that integrates natural language processing(NLP),quantitative evaluation,and spatial matrix analy-sis,this paper first reveals the limitations of traditional macro-level indicators in capturing the micro-semantic relationship between policy guidance and technological output.Second,it inno-vatively constructs a two-dimensional spatial diagnostic matrix of"policy convergence degree-transformation efficacy degree",using Henan Province's NEV industry as the empirical object.The methodology involves three key steps:①collecting provincial and municipal policy texts and micro-level technical texts from 2019 to 2025;②employing the BERT pre-trained lan-guage model to perform deep semantic alignment and cosine similarity calculation for measuring policy convergence;and ③applying the CRITIC objective weighting method to comprehensively evaluate transformation efficacy based on indicators such as the number of patent claims,cita-tion frequency,and patent family size.The empirical findings reveal three main results.First,there is significant spatial polarization and subject path differentiation.The"Zhengzhou-Luoyang-Xinxiang"core area is identified as a"high-synergy demonstration zone"with high convergence and high efficacy,but its technology spillover effects remain limited.Second,sev-eral prefecture-level cities have fallen into a"high-convergence low-transformation zone",char-acterized by high convergence but low efficacy,displaying obvious"arbitrage-style innovation"where R&D activities are designed to capture policy rents rather than create substantive techno-logical value.Third,university research institutions and certain niche technology fields are pri-marily located in a"non-synergy high-value zone",exhibiting low policy convergence but high transformation efficacy,indicating their potential for frontier disruptive innovation,yet lacking a"semantic channel"to connect with current policies.Based on these three diagnostic insights,this paper creatively proposes a targeted policy intervention framework.Its core implications in-clude:①for the"high-synergy demonstration zone",enhancing technology spillover mecha-nisms through collaborative platforms and industry chains;②for the"high-convergence low-transformation zone",reforming evaluation criteria to penalize low-quality,arbitrage-oriented patents and redirecting resources toward genuine innovation;and ③for the"non-synergy high-value zone",establishing a"weak signal scanning mechanism"to incorporate high-potential,policy-orphaned technologies into future policy support.The two-dimensional matrix model thus provides a quantitative tool for local governments to accurately identify transformation bottlenecks,optimize the allocation of scientific and technological resources,and bridge the"industry-university-research-government"transformation gap,offering robust empirical sup-port for improving regional technology governance systems.