【摘要】：21世紀是一個知識經(jīng)濟的時代，知識創(chuàng)新已經(jīng)成為生產(chǎn)力發(fā)展的決定性、主導(dǎo)性因素。高校在國家創(chuàng)新體系中扮演的重要作用，不僅僅是為社會供給人才，而更需要通過其科研創(chuàng)新活動來推動社會、產(chǎn)業(yè)科技進步。目前在我國與高校知識活動緊密相連的概念就是 科技成果轉(zhuǎn)化‖，并以 科技成果轉(zhuǎn)化率‖作為高校知識活動的中心評價指標(biāo)和政策導(dǎo)向，因此本文提出應(yīng)采用高校技術(shù)轉(zhuǎn)讓效率來反映高校對社會貢獻的指導(dǎo)，并以高校的技術(shù)轉(zhuǎn)讓角度作為切入點，通過對現(xiàn)狀的統(tǒng)計性描述、利用隨機前沿方法、以我國1997-2009年各地區(qū)高校的面板數(shù)據(jù)為對象來研究高�？蒲袆�(chuàng)新效率，并進一步探討各投入因素的單因素效率；進而對影響效率的各種內(nèi)外部因素進行深入分析，最終結(jié)合我國的現(xiàn)實情況，為提升高�？蒲行省l(fā)揮技術(shù)創(chuàng)新推動作用提出合理化建議。 本研究的結(jié)果顯示，在考察期內(nèi)我國高校技術(shù)轉(zhuǎn)讓效率均值僅為48.49%，資金效率與人員效率均值也保持在一個較低的水平（38.79%，48.66%），同時絕大部分區(qū)域的人員效率相對比資金效率要更高。從區(qū)域來看，在資金和人員單因素效率均超過全國均值的省市多集中于均我國的中部地區(qū)，并且這些省份的人員與經(jīng)費投入的絕對值與校均值均不高。并且聚類的結(jié)果也說明基于技術(shù)轉(zhuǎn)讓的高�？蒲袆�(chuàng)新效率提升，往往是一個管理技術(shù)逐漸完善、資金與人員效率差異逐漸減小的過程。此外由于高校RD人員的增加相對緩慢，而科研經(jīng)費的增長速度相對較快，在缺乏績效管理意識的前提下，很容易出現(xiàn)人員效率相對高于資金效率的現(xiàn)象。而在對影響高�？蒲行视绕涫羌夹g(shù)轉(zhuǎn)讓效率的因素分析中，通過計算說明了地區(qū)制度環(huán)境、高職人員比例、科研機構(gòu)數(shù)和科研項目數(shù)對于高校技術(shù)轉(zhuǎn)讓效率具有顯著的正影響，技術(shù)機會和企業(yè)自主創(chuàng)新水平對于效率值是一個負向的影響，地方發(fā)展水平和資金分配比例沒有通過檢驗，說明其與效率值的變化并無太大關(guān)系。同時，對這八個影響因素的分析也表明提高資金和人員等科研投入資源的管理水平，，對于提高高校的科研效率將具有極大的意義。 目前我國的企業(yè)自主創(chuàng)新能力較弱，同時國內(nèi)絕大多數(shù)優(yōu)質(zhì)的創(chuàng)新資源分布在高校與科研機構(gòu)。因此，高校、科研機構(gòu)應(yīng)通過有效的產(chǎn)學(xué)研合作與高效率的技術(shù)轉(zhuǎn)移機制，幫助企業(yè)搶占未來主流產(chǎn)品的上游，但現(xiàn)實情況并不容樂觀，我國高校在將其潛在科技成果轉(zhuǎn)化為現(xiàn)實生產(chǎn)力方面并沒有發(fā)揮出應(yīng)有的作用。本文研究也證實，我國高校提高其技術(shù)轉(zhuǎn)讓效率的空間還很大，國家繼續(xù)加大對高校投入的同時，還應(yīng)切實提高投入要素，尤其是資金要素的資源利用率。
[Abstract]:The 21st century is an era of knowledge economy, knowledge innovation has become the decisive and dominant factor in the development of productive forces. The important role played by colleges and universities in the national innovation system is not only to provide talents for the society, but also to promote the scientific and technological progress of society and industry through its scientific research and innovation activities. At present, the concept that is closely connected with the knowledge activities of colleges and universities in China is the transformation of scientific and technological achievements, and take the transformation rate of scientific and technological achievements as the central evaluation index and policy orientation of the knowledge activities of colleges and universities. Therefore, this paper proposes that the efficiency of university technology transfer should be adopted to reflect the guidance of colleges and universities' contribution to the society, and take the angle of technology transfer of colleges and universities as the starting point, through the statistical description of the present situation, and by using the stochastic frontier method, Taking the panel data of colleges and universities in China from 1997 to 2009 as the object, this paper studies the efficiency of scientific research and innovation in colleges and universities, and further discusses the single-factor efficiency of each input factor. Based on the analysis of the internal and external factors which affect the efficiency, finally, according to the reality of our country, some reasonable suggestions are put forward to improve the efficiency of scientific research in colleges and universities and give full play to the role of technological innovation in promoting the efficiency. The results of this study show that during the study period, the average efficiency of technology transfer in colleges and universities in China is only 48.49%, and the average value of capital efficiency and personnel efficiency is also maintained at a lower level (38.79%, 48.66%). At the same time, most of the region's personnel efficiency compared to the efficiency of funds to be higher. From the regional point of view, most of the provinces and cities in which the single factor efficiency of capital and personnel exceed the national average are concentrated in the central region of China, and the absolute value of personnel and funds input and the average value of school are not high in these provinces. The result of clustering also shows that the improvement of the efficiency of scientific research innovation based on technology transfer is often a process in which the management technology is gradually perfected and the difference between capital and personnel efficiency is gradually reduced. In addition, the increase of RD personnel is relatively slow, and the growth rate of scientific research funds is relatively fast. Under the premise of lack of performance management consciousness, it is easy to appear the phenomenon that the personnel efficiency is relatively higher than the fund efficiency. In the analysis of the factors affecting the efficiency of scientific research in colleges and universities, especially the efficiency of technology transfer, the paper explains the regional institutional environment and the proportion of personnel in higher vocational education through the calculation. The number of scientific research institutions and the number of scientific research projects have a significant positive impact on the efficiency of technology transfer in colleges and universities, and the technological opportunities and the level of independent innovation of enterprises have a negative impact on the efficiency value, and the level of local development and the proportion of funds allocated have not passed the test. It shows that it has little relation with the change of efficiency value. At the same time, the analysis of these eight factors also shows that it is of great significance to improve the management level of scientific research input resources, such as funds and personnel, for improving the efficiency of scientific research in colleges and universities. At present, the independent innovation ability of enterprises in our country is weak, at the same time, the vast majority of high-quality innovation resources in our country are distributed in universities and scientific research institutions. Therefore, universities and scientific research institutions should help enterprises seize the upstream of future mainstream products through effective industry-university-research cooperation and efficient technology transfer mechanism, but the reality is not optimistic. Colleges and universities in our country have not played a proper role in transforming their potential scientific and technological achievements into realistic productive forces. This paper also proves that there is still a lot of space for colleges and universities to improve the efficiency of technology transfer. While the state continues to increase its input to colleges and universities, it is also necessary to improve the utilization rate of investment elements, especially the resource utilization of capital elements.
【學(xué)位授予單位】：華南理工大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：G647

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