【摘要】：在知識經(jīng)濟時代,科技創(chuàng)新對一國經(jīng)濟增長和社會發(fā)展至關(guān)重要。大學(xué),尤其是研究型大學(xué),作為知識生產(chǎn)、傳播和應(yīng)用的主體,是國家創(chuàng)新系統(tǒng)的重要組成部分,在科學(xué)研究、技術(shù)開發(fā)以及科技成果轉(zhuǎn)化等方面發(fā)揮著重要作用,但同時也存在著不少問題。因此,社會各界普通關(guān)注大學(xué)科技創(chuàng)新活動的績效評價及影響因素分析,探尋提升大學(xué)科技創(chuàng)新績效的途徑。本文在國家創(chuàng)新系統(tǒng)的視角下,探討研究型大學(xué)科技創(chuàng)新活動及其績效影響因素,換言之,把研究型大學(xué)科技創(chuàng)新活動視為國家創(chuàng)新系統(tǒng)中的一個子系統(tǒng),分析其科技創(chuàng)新績效的內(nèi)外部影響因素。在實證研究部分,首先運用傳統(tǒng)DEA和超效率DEA方法,測度了在2007-2010年我國50所教育部直屬研究型大學(xué)的科技創(chuàng)新相對效率。然后,通過(super efficiency) DEA-Tobit兩階段法,對研究型大學(xué)科技創(chuàng)新總體效率的影響因素進行實證分析。此外,建立關(guān)于論文和專利的多元線性回歸模型,進一步檢驗和分析這些因素對我國研究型大學(xué)RD活動投入產(chǎn)出效率的影響。 結(jié)果表明：(1)50所教育部直屬研究型大學(xué)構(gòu)成的評價體系中,12所大學(xué)處于DEA效率前沿面,在科技資源配置和整體規(guī)模上均達到了相對最優(yōu)水平。其余38所大學(xué)基本上都處于規(guī)模報酬遞增階段,同時其中有30所大學(xué)在科技資源配置上是相對低效率的。(2)我國研究型大學(xué)科技創(chuàng)新績效,主要受到內(nèi)部科研人員素質(zhì)以及大學(xué)與外部機構(gòu)相互聯(lián)系質(zhì)量的影響�，F(xiàn)階段,區(qū)域市場化程度對我國研究型大學(xué)科技創(chuàng)新績效的積極作用還未充分體現(xiàn)。(3)在各種外部因素中,國際科技交流活動、國家扶持力度以及國家工程(技術(shù))研究中心對我國研究型大學(xué)的基礎(chǔ)研究起著積極作用,可顯著提高論文的產(chǎn)出效率。(4)在各種外部因素中,區(qū)域市場化程度、大學(xué)接受產(chǎn)業(yè)資助開展合作研究的強度、大學(xué)參與技術(shù)交易的活躍程度、國家扶持力度以及國家工程(技術(shù))研究中心,對我國研究型大學(xué)的應(yīng)用研究和試驗發(fā)展有積極的影響,可顯著提高專利的產(chǎn)出效率。(5)現(xiàn)階段,國家大學(xué)科技園對我國研究型大學(xué)科技創(chuàng)新績效的積極作用尚不明顯。
[Abstract]:In the era of knowledge economy, scientific and technological innovation is of great importance to a country's economic growth and social development. As the main body of knowledge production, dissemination and application, universities, especially research universities, play an important role in scientific research, technological development and transformation of scientific and technological achievements. But at the same time there are many problems. Therefore, the society generally pays attention to the performance evaluation and the influence factor analysis of the university science and technology innovation activity, and explores the way to promote the university science and technology innovation performance. From the perspective of the national innovation system, this paper discusses the scientific and technological innovation activities of research universities and the factors affecting their performance. In other words, the scientific and technological innovation activities of research universities are regarded as a subsystem of the national innovation system. This paper analyzes the internal and external factors affecting the performance of scientific and technological innovation. In the part of empirical research, the relative efficiency of scientific and technological innovation in 50 research universities directly under the Ministry of Education in 2007-2010 is measured by using traditional DEA and super-efficiency DEA methods. Then, through the (super efficiency) DEA-Tobit two-stage method, the paper makes an empirical analysis on the influencing factors of the overall efficiency of scientific and technological innovation in research universities. In addition, a multivariate linear regression model of papers and patents is established to further test and analyze the effect of these factors on the input-output efficiency of RD activities in research universities in China. The results show that: (1) among the evaluation system of 50 research universities directly under the Ministry of Education, 12 universities are at the front of DEA efficiency, and reach the relative optimal level in the allocation of scientific and technological resources and the overall scale. The other 38 universities are basically in the stage of increasing returns on scale, and 30 of them are relatively inefficient in the allocation of scientific and technological resources. (2) the performance of scientific and technological innovation of research universities in China. It is mainly influenced by the quality of internal researchers and the quality of the relationship between universities and external institutions. At present, the positive effect of regional marketization on the scientific and technological innovation performance of research universities in China has not been fully reflected. (3) among various external factors, international scientific and technological exchange activities, State support and national engineering (technology) research center play a positive role in the basic research of research universities in China, which can significantly improve the efficiency of the paper output. (4) among various external factors, the degree of regional marketization, The intensity of cooperative research, the degree of university involvement in technology transactions, the degree of state support, and the National Engineering (Technology) Research Center, It has a positive effect on the applied research and experimental development of research universities in China and can significantly improve the output efficiency of patents. (5) at the present stage, the positive effect of National University Science and Technology Park on the performance of scientific and technological innovation of research universities in China is not obvious.
【學(xué)位授予單位】：南京大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：G647

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