基于技术转让视角的高校技术创新效率研究

发布时间：2019-03-04 13:59

【摘要】：21世纪是一个知识经济的时代，知识创新已经成为生产力发展的决定性、主导性因素。高校在国家创新体系中扮演的重要作用，不仅仅是为社会供给人才，而更需要通过其科研创新活动来推动社会、产业科技进步。目前在我国与高校知识活动紧密相连的概念就是科技成果转化‖，并以科技成果转化率‖作为高校知识活动的中心评价指标和政策导向，因此本文提出应采用高校技术转让效率来反映高校对社会贡献的指导，并以高校的技术转让角度作为切入点，通过对现状的统计性描述、利用随机前沿方法、以我国1997-2009年各地区高校的面板数据为对象来研究高校科研创新效率，并进一步探讨各投入因素的单因素效率；进而对影响效率的各种内外部因素进行深入分析，最终结合我国的现实情况，为提升高校科研效率、发挥技术创新推动作用提出合理化建议。本研究的结果显示，在考察期内我国高校技术转让效率均值仅为48.49%，资金效率与人员效率均值也保持在一个较低的水平（38.79%，48.66%），同时绝大部分区域的人员效率相对比资金效率要更高。从区域来看，在资金和人员单因素效率均超过全国均值的省市多集中于均我国的中部地区，并且这些省份的人员与经费投入的绝对值与校均值均不高。并且聚类的结果也说明基于技术转让的高校科研创新效率提升，往往是一个管理技术逐渐完善、资金与人员效率差异逐渐减小的过程。此外由于高校RD人员的增加相对缓慢，而科研经费的增长速度相对较快，在缺乏绩效管理意识的前提下，很容易出现人员效率相对高于资金效率的现象。而在对影响高校科研效率尤其是技术转让效率的因素分析中，通过计算说明了地区制度环境、高职人员比例、科研机构数和科研项目数对于高校技术转让效率具有显著的正影响，技术机会和企业自主创新水平对于效率值是一个负向的影响，地方发展水平和资金分配比例没有通过检验，说明其与效率值的变化并无太大关系。同时，对这八个影响因素的分析也表明提高资金和人员等科研投入资源的管理水平，，对于提高高校的科研效率将具有极大的意义。目前我国的企业自主创新能力较弱，同时国内绝大多数优质的创新资源分布在高校与科研机构。因此，高校、科研机构应通过有效的产学研合作与高效率的技术转移机制，帮助企业抢占未来主流产品的上游，但现实情况并不容乐观，我国高校在将其潜在科技成果转化为现实生产力方面并没有发挥出应有的作用。本文研究也证实，我国高校提高其技术转让效率的空间还很大，国家继续加大对高校投入的同时，还应切实提高投入要素，尤其是资金要素的资源利用率。
[Abstract]:The 21st century is an era of knowledge economy, knowledge innovation has become the decisive and dominant factor in the development of productive forces. The important role played by colleges and universities in the national innovation system is not only to provide talents for the society, but also to promote the scientific and technological progress of society and industry through its scientific research and innovation activities. At present, the concept that is closely connected with the knowledge activities of colleges and universities in China is the transformation of scientific and technological achievements, and take the transformation rate of scientific and technological achievements as the central evaluation index and policy orientation of the knowledge activities of colleges and universities. Therefore, this paper proposes that the efficiency of university technology transfer should be adopted to reflect the guidance of colleges and universities' contribution to the society, and take the angle of technology transfer of colleges and universities as the starting point, through the statistical description of the present situation, and by using the stochastic frontier method, Taking the panel data of colleges and universities in China from 1997 to 2009 as the object, this paper studies the efficiency of scientific research and innovation in colleges and universities, and further discusses the single-factor efficiency of each input factor. Based on the analysis of the internal and external factors which affect the efficiency, finally, according to the reality of our country, some reasonable suggestions are put forward to improve the efficiency of scientific research in colleges and universities and give full play to the role of technological innovation in promoting the efficiency. The results of this study show that during the study period, the average efficiency of technology transfer in colleges and universities in China is only 48.49%, and the average value of capital efficiency and personnel efficiency is also maintained at a lower level (38.79%, 48.66%). At the same time, most of the region's personnel efficiency compared to the efficiency of funds to be higher. From the regional point of view, most of the provinces and cities in which the single factor efficiency of capital and personnel exceed the national average are concentrated in the central region of China, and the absolute value of personnel and funds input and the average value of school are not high in these provinces. The result of clustering also shows that the improvement of the efficiency of scientific research innovation based on technology transfer is often a process in which the management technology is gradually perfected and the difference between capital and personnel efficiency is gradually reduced. In addition, the increase of RD personnel is relatively slow, and the growth rate of scientific research funds is relatively fast. Under the premise of lack of performance management consciousness, it is easy to appear the phenomenon that the personnel efficiency is relatively higher than the fund efficiency. In the analysis of the factors affecting the efficiency of scientific research in colleges and universities, especially the efficiency of technology transfer, the paper explains the regional institutional environment and the proportion of personnel in higher vocational education through the calculation. The number of scientific research institutions and the number of scientific research projects have a significant positive impact on the efficiency of technology transfer in colleges and universities, and the technological opportunities and the level of independent innovation of enterprises have a negative impact on the efficiency value, and the level of local development and the proportion of funds allocated have not passed the test. It shows that it has little relation with the change of efficiency value. At the same time, the analysis of these eight factors also shows that it is of great significance to improve the management level of scientific research input resources, such as funds and personnel, for improving the efficiency of scientific research in colleges and universities. At present, the independent innovation ability of enterprises in our country is weak, at the same time, the vast majority of high-quality innovation resources in our country are distributed in universities and scientific research institutions. Therefore, universities and scientific research institutions should help enterprises seize the upstream of future mainstream products through effective industry-university-research cooperation and efficient technology transfer mechanism, but the reality is not optimistic. Colleges and universities in our country have not played a proper role in transforming their potential scientific and technological achievements into realistic productive forces. This paper also proves that there is still a lot of space for colleges and universities to improve the efficiency of technology transfer. While the state continues to increase its input to colleges and universities, it is also necessary to improve the utilization rate of investment elements, especially the resource utilization of capital elements.
【学位授予单位】：华南理工大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：G647

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