上海高校科研创新效率与影响因素的实证研究——基于DEA-Tobit模型

An Empirical Study on the Efficiency and Influencing Factors of Scientific Research & Innovation in Shanghai Universities-Based on the DEA-Tobit model

摘要:

本文基于知识生产理论，采用DEA-Tobit两步法对2012-2016年上海17家高校的科研创新效率进行了比较，发现尽管上海市高校科研创新效率总体稳中有升，但处于效率最优状态的高校数量仍较少；其中，上海市属高校与教育部直属高校的技术效率存在显著差距，绝大多数上海高校长期处于规模报酬递增阶段，未来可以通过加大要素的投入来扩大产出。进一步分析发现，近年来上海市高校科研资源配置“抓大放小、重点倾斜”的政策导致了除上海大学外，上海市属高校科研要素投入的整体不足限制了其科研创新产出及效率提升的问题。其次，根据DEA效率评价结果构建多元线性Tobit回归模型，分析上海高校科研创新效率的影响因素。计量分析结果表明，无论是总体还是分类而言，现阶段上海高校科研创新的特点是人力资本的投入能显著的推动高校科研创新效率提升，而物质资本的继续投入却对高校科研创新效率产生了显著的抑制效应，亦表明物质资本对科研创新效率的倒“U”型影响已经显现，资本拥挤问题亟待引起重视。通过比较研究发现，上海市属高校进一步提升技术效率的“短板”主要在于其人力资本积累水平的不足，这一点上与教育部直属高校具有显著的差距。

Abstract:

Based on the theory of Knowledge Production, the DEA-Tobit’s two-step method is used to compare the efficiency of scientific research and innovation in 17 universities in Shanghai from 2012 to 2016. We found that despite the overall efficiency of scientific research and innovation in Shanghai University steadily, but the number of universities in the most efficient state is still less. There is a significant gap between the Shanghai municipal colleges and directly affiliated to the ministry of education in the field of technical efficiency, and most universities in Shanghai are still in the stage of increasing returns to scale, which reflects that we could expand the output and the technical efficiency by more elements investment in the future. Through further analysis, we found that except the Shanghai University, in other Shanghai municipal universities the insufficiency of the inputs limits their improvement of output and efficiency in scientific research and innovation which due to the policy of ‘Grasp the big, release the little, and the focus of tilt” in the aspect of universities research resource allocation. Then, according to the DEA efficiency evaluation results, we construct a multi-linear Tobit regression model and analyzes the factors influencing the efficiency of scientific research innovation. The results of Metrological analysis show that the new characteristic of scientific research in Shanghai universities is that compared to the remarkable boost of human capital, the material capital has a strong inhibition effect. The inverted "U" curve’s impact of material capital on the universities efficiency of scientific research and innovation has been shown, which should be taken seriously. Through comparative study, it is found that "short board" to further enhance the technical efficiency of municipal colleges and universities in Shanghai is mainly due to the insufficient level of human capital accumulation, which has a significant gap with the universities directly affiliated to the Ministry of Education.