中国国家重点实验室的研发效率与影响因素

R&D Efficiency and Its Influencing Factors of State Key Laboratories in China

基础研究是当今科技竞争的前沿,国家重点实验室是组织高水平基础研究的重要基地,测算国家重点实验室的研发效率并分析其影响因素,对于优化国家重点实验室布局、提高研发效率具有重要的指导意义。采用DEA-Tobit和PP-SFA两种互补性方法研究发现:中国国家重点实验室的研发效率还存在较大提升空间;依托高校的实验室研发效率显著高于依托科研院所的实验室;1990~2007年全国实验室研发效率波动幅度较大,2008~2018年较为平稳且稳中有降;人员流动性强、实验室竞争程度高显著提高研发效率,但学术开放程度、资金管理水平低则抑制研发效率。为了提高国家重点实验室研发效率,要进一步增强科研人员流动性、完善优胜劣汰机制,改革学术开放机制、构建以研究人员为核心的研发资源配置机制。

Basic research is at the forefront of today’s technological competition,we must break through the constraints of basic research.The state key laboratory is an important base for organizing high-level basic research.Estimating the R&D efficiency of the state key laboratory and identifying the influencing factors can guide to optimize the layout of the state key laboratories and improve the R&D efficiency.In this paper,two complementary models,namely,DEA-Tobit and PP-SFA,are used to study the R&D efficiency of China’s state key laboratory.And the results contain that there exists a large space for improvement,the R&D efficiency of laboratory relying on universities is significantly larger than those relying on scientific institutes.From 1990 to 2007,the R&D efficiency of national laboratory fluctuates greatly,and it has a moderate decline from 2008 to 2018.Mobility of staff and laboratory’s competition significantly increase R&D efficiency,but academic openness and fund management level has a poor effect on R&D efficiency.In order to improve the R&D efficiency of state key laboratory,it is necessary to enhance the mobility of researchers and improve the mechanism of survival of the fittest.Furthermore,it is of vital significance to reform the mechanism of academic opening and construct the mechanism of researcher-centered R&D resource allocation.