长江经济带“双一流”建设高校科技成果转化效率测度及影响因素

Measurement and Influencing Factors of Transformation Efficiency of Scientific and Technological Achievements of "Double First-class" Construction Universities in the Yangtze River Economic Belt

为弥补现有关于我国高校科技成果转化效率研究中将转化过程单一化以及未剔除环境因素和随机变量的不足,充分揭示高校科技成果转化效率的静态差异、动态变化规律和影响因素,结合科技成果转化链条和创新链,将高校科技成果转化过程划分为科技研发、基础研究和科技价值创造阶段,以长江经济带的28所“双一流”建设高校作为研究对象,采用数据包络分析(DEA)-随机前沿分析(SFA)模型、核密度估计、托宾(Tobit)模型等方法测算其2014—2018年的科技成果转化效率,并分阶段、分流域进行对比分析。结果表明:(1)28所高校的科技成果转化综合效率主要由规模效率拉动,并呈现“基础研究>应用研究>科技价值创造”阶段递减的趋势,基础研究阶段与应用研究阶段的效率值逐渐提高,但科技价值创造阶段的效率值逐渐降低;(2)长江经济带下游区域高校的效率较中上游地区高校存在更明显的两级或多级分化态势;(3)效率影响因素存在阶段性差异,高校科研人员素质在各阶段的影响正向显著,产业结构在基础研究和科技价值创造阶段有正向影响,对外开放水平在基础研究阶段有显著负向影响。由此提出长江经济带内高校要重视理论性研究成果向应用性成果转化、提高纯技术效率,发挥政府作用促进缩小区域内部差距,重视人力资本,并鼓励外资投向先进制造业等对策建议,以促进高校科技成果转化效率提升。

In order to make up for the shortcomings of the existing research on the effective transformation of scientific and technological achievements(STA)in universities in China,which singularizes the transformation process and does not exclude environmental factors and random variables,and fully reveal the static differences,dynamic changes and influencing factors of the transformation efficiency of STA in universities,the transformation process of STA in universities is divided into the stages of basic research,applied research,scientific and technological value creation by combining the transformation chain of STA and innovation chain.This paper takes the"double first-class"universities in the Yangtze River Economic Belt as the research object,uses data envelopment analysis(DEA)-stochastic frontier analysis(SFA)model,kernel density estimation,Tobit model and other methods to measure and calculate the transformation efficiency of STA in various universities from 2014 to 2018,compares them in stages and basins.The results show that:(1)The comprehensive efficiency of the transformation of STA of 28 universities is mainly driven by scale efficiency,and presents a decreasing trend of"basic research>applied research>scientific and technological value creation",the transformation efficiency of basic research and applied research gradually increases,but the efficiency values of scientific and technological value creation gradually decreasing.(2)The conversion efficiency of STA of universities in the lower reaches of the Yangtze River Economic Belt has a more obvious two-level or multi-level differentiation trend than that in the middle and upper reaches.(3)There are staged differences in the factors affecting the transformation efficiency of STA in universities,the quality of scientific research personnel in universities has a significant positive impact on the transformation efficiency of STA at each stage,the industrial structure has a positive influence in the stages of basic research and technological value creation,while the level of openness has a significant negative impact in the basic research stage.Thus,it is proposed that universities in the Yangtze River Economic Zone should pay attention to the transformation of theoretical research results into applied results,improve pure technical efficiency,play the role of government to narrow the intra-regional gap,pay attention to human capital,and encourage foreign investment in advanced manufacturing industries,so that promote the efficiency of the transformation.