三重螺旋视域下中国大学创新效率及其影响因素研究——基于两阶段DEA与Tobit模型的实证分析

University Innovation Efficiency and Its Influencing Factors From the Perspective of Triple Helix:An Empirical Analysis Based on the Two-stage Model of DEA and Tobit

基于Griliches-Jaffe知识生产函数和三重螺旋理论,以2009—2019年30个省域高校面板数据为研究对象,采用DEA-SBM静态与Malmquist指数动态模型实证研究高校科研成果产出与成果转化两阶段创新效率,并进一步采用Tobit回归模型重点分析政府支持力度、企业支持力度、产业结构、经济环境、制度环境以及区位环境对于两阶段创新效率的影响。结果表明:(1)我国科研成果产出与转化效率普遍较低,但前者效率略大于后者。(2)科研产出阶段全要素生产率呈下降趋势,科研成果转化阶段则几乎保持不变,技术进步效率对两阶段创新效率影响程度最大。(3)政府支持力度对科研成果产出阶段创新效率影响呈U型,而企业支持力度对科研成果产出和转化两阶段创新效率影响均呈倒U型,产业结构对科研创新成果产出效率有显著负向影响,区位环境对于高校成果转化创新效率的提升有显著正向影响。最后从服务型政府、创业型大学、校企合作为提升高校创新效率以及缩小区域差异提出一些引领性建议和可能性举措。

Based on the Griliches-Jaffe knowledge production function and triple helix theory, and with the panel data of 30 provincial universities from 2009 to 2019 as research object, this paper uses the DEA-SBM static and Malmquist index dynamic models to empirically study the innovation efficiency of the output and transformation of scientific research in universities. Then it uses the Tobit regression model to analyze the influence of government support, enterprise support, industrial structure, economic environment, policy environment, institutional environment and location environment on innovation efficiency. The results show that, firstly, the output and transformation efficiency of scientific research in our country are generally lower, with the former slightly more efficient than the latter;secondly, the total factor productivity in the scientific research output tends to decline, while that in the stage of transformation remains almost unchanged. The efficiency of technological progress is the greatest impact on the innovation efficiency of both stages;thirdly, the impact of government support on innovation efficiency in the output stage is U-shaped, while the impact of corporate support on innovation efficiency in both stages is like an inverted U-shape. Industrial structure has a significant negative impact on the output efficiency of scientific research, and the location environment has a significant positive impact on the transformation efficiency of universities.The paper makes some suggestions for improving the innovation efficiency of universities and narrowing regional differences through service-oriented government, entrepreneurial universities, and school-enterprise cooperation.