中国高校科技创新效率及影响因素的实证分析——科技成果产出和转化两阶段视角  

Empirical Analysis of the Efficiency and Influencing Factors of Scientific and Technological Innovation in Chinese Universities:A Two-stage Perspective of Scientific and Technological Output and Transformation

作　　者：郭金忠 刘成勇 刘晓玲 金腾飞 Guo Jinzhong;Liu Chengyong;Liu Xiaoling;Jin Tengfei(College of Information Management,Xinjiang University of Finance and Economics,Urumchi 830012,China)

机构地区：[1]新疆财经大学信息管理学院,新疆乌鲁木齐830012

出　　处：《科技管理研究》2024年第6期97-106,共10页Science and Technology Management Research

基　　金：国家自然科学基金地区科学基金项目“科研人员校友网络对高校科技成果转化的影响及机制研究”(72264036);新疆维吾尔自治区高校科研计划项目“包含企业生命周期的企业规模分布影响因素及演化的多主体模拟分布”(XJEDU20210014);新疆财经大学高水平人才专项项目“高校科研成果转化视角下高管校友网络对企业创新的影响及路径研究”(XJCD200014)。

摘　　要：鉴于高校科技创新活动具有明显的两阶段链式过程特征,同时其科技投入和产出在时间上具有滞后性,因此将高校科技创新分阶段研究其创新效率以及内外部因素对不同阶段投入产出效率的影响。将高校科技创新划分为科技成果产出阶段和科技成果转化阶段,运用中国31个省份高校2009—2020年的数据,采用串联式两阶段数据包络分析(DEA)模型分别测算其两阶段效率,并进一步应用面板托宾(Tobit)模型研究两种效率的影响因素。结果显示:第一,31个省份高校的科技创新综合效率偏低,科技成果产出效率并未形成上升趋势,而科技成果转化效率在2016年后得到迅速提升并超过了科技成果产出效率,但高校科技创新整体上呈现向高转化阶段的发展趋势;第二,东部高校科技创新综合效率和两阶段效率上升速度相对放缓,有被其他地区赶超的趋势;第三,人力资本结构、物质资本结构、政策环境、地区经济实力、对外交流等因素对高校两阶段效率的影响存在显著的差异。据此,提出可通过优化资源配置方式和科技创新评价体系,以及加强区域协调配合等方式来提升中国高校的科技创新整体水平。In view of the fact that the scientific and technological innovation activities of universities have obvious characteristics of two-stage chain process,and the scientific and technological input and output have a lag in time,the innovation efficiency of universities and the influence of internal and external factors on the input and output efficiency in different stages are studied in stages.The process of scientific and technological innovation in colleges and universities is divided into the output stage of scientific and technological achievements and the transformation stage of scientific and technological achievements,using the data of universities in 31 Chinese provinces from 2009to 2020,the tandem two-stage data envelope analysis(DEA) model is used to calculate the two-stage efficiency,and the Tobit model is further applied to study the influencing factors of the two efficiency.The results show as follows:First,the comprehensive efficiency of scientific and technological innovation in universities in 31 provinces is low,the output efficiency of scientific and technological achievements is not on the rise,while the transformation efficiency of scientific and technological achievements is rapidly improved after 2016.However,the scientific and technological innovation in universities shows a development trend to the high transformation stage.Second,the overall efficiency and two-stage efficiency of scientific and technological innovation in the universities of eastern region are relatively slow,and there is a trend of being overtaken by other regions.Third,human capital structure,physical capital structure,policy environment,regional economic strength,and external exchange have significant differences in their effects on the efficiency of the two stages of the scientific and technological innovation in universities.Therefore,this paper puts forward accordingly,the overall level of scientific and technological innovation in universities of China can be improved by optimizing the allocation of resources,optimiz

关 键 词：高校科技创新效率 科研效率 科技成果产出 科技成果转化 两阶数据包络分析(DEA)模型 TOBIT 

分 类 号：F124.3[经济管理—世界经济] F244.2[文化科学—高等教育学] G640[文化科学—教育学] G311G301