我国高校科技创新效率及影响因素研究—— 基于两阶段DEA和Tobit模型分析

Empirical Research on Scientific Research Efficiency and Influencing Factors for University in China：Based on Tow-Stage DEA Model and Tobit Model

摘要:

根据高校科技创新产生过程特征,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,采用串联式两阶段DEA模型分别测算了高校科技成果产出效率和科技成果转化效率,并进一步应用面板Tobit模型研究了两种效率的影响因素。结果显示:第一,2009-2020年我国31个省(自治区、直辖市)高校科技创新综合效率偏低,研究期内科技成果过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,高校科技创新整体上呈现向高转化阶段的发展趋势。第二,东部地区科技创新综合效率和两阶段效率上升速度相对放缓,有被其它地区赶超的趋势。第三,人力资本结构、物质资本结构、政策环境、地区经济实力、对外交流影响因素对两阶段效率的影响存在显著的差异。据此可通过优化资源配置方式、优化科技创新评价体系以及加强区域协调配合等方式来提升高校科技创新整体水平。

Abstract:

According to the characteristics of the process of scientific and technological innovation in universities, 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, and the output efficiency and transformation efficiency of scientific and technological achievements in colleges and universities are respectively measured by using the two-stage DEA model, and the influencing factors of the two efficiencies are further studied by using the panel Tobit model. The results show: First, the comprehensive efficiency of scientific and technological innovation in universities in 31 provinces (autonomous regions and municipalities directly under the Central Government) was low from 2009 to 2020, and the over-output efficiency of scientific and technological achievements did not form an upward trend during the study period, while the transformation efficiency of scientific and[ ]technological achievements was rapidly improved after 2016, and exceeded the output efficiency of scientific and technological achievements, and the provinces as a whole showed adevelopment trend towards a high transformation stage. Second, the overall efficiency and two-stage efficiency of scientific and technological innovation in the 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. Therefore, the overall level of scientific and technological innovation in universities can be improved by optimizing the allocation of resources, optimizing the evaluation system of scientific and technological innovation and strengthening regional coordination and cooperation.