我国科技成果转化绩效评价、影响因素分析及对策研究
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摘要
当今世界发展已进入了一个科技创新的重要时代，也步入了一个经济结构加快调整的重要时期。科学技术的重大发现发明和广泛应用，正在推动世界范围内生产力、生产方式、生活方式和经济社会发展观发生前所未有的深刻变革，也引起全球生产要素流动和产业转移加快，经济格局、利益格局和安全格局发生了前所未有的重大变化。加速科技成果转化已成为世界各国调整经济结构，转变增长方式，提高竞争力的重要举措。
然而，由于一些影响科技成果转化的因素存在，致使我国科技成果转化绩效不尽人意，对经济可持续增长和经济增长方式的转变还未做出应有的贡献。因此，通过研究我国科技成果转化绩效评价和影响因素，提出有效对策，引导推动我国未来的科技成果转化必须统一和落实于可持续的科学发展观的最终目标上来，即，走可持续的科技成果转化之路，实现绿色科技进步。
本文首先在梳理和总结国内外科技成果转化相关文献研究的基础上，对科技成果转化系统、现状及问题进行了理论上的分析，再对地区科技成果转化绩效进行了计算，最后运用计量方法对科技成果转化绩效的影响因素进行了实证分析，并提出了促进科技成果转化的对策及建议。
具体而言，本文的主要内容及结论包括：
第1章介绍了选题的依据、研究目的与意义、科技成果转化相关理论、国内外相关研究综述、研究方法及论文研究的技术路线，并指出了论文的创新点。
第2章研究我国科技成果转化的现状及存在的问题。首先，从科技成果总量和科技经费投入两个方面清晰地呈现了科技成果转化的现状，并对近年来我国在科技成果转化方面取得的成效进行了总结；然后，在此基础上，提出了科技成果转化所存在的问题：科研院所未能真正实现市场化转制，大学缺乏科技成果转化的积极性，企业缺乏与研发机构和大学合作的动力，金融机构缺乏科技成果相关信息的搜集渠道，科技中介机构有待进一步壮大等。
第3章研究科技成果转化绩效评价。本文的创新之处是构建科技成果转化绩效评价模型，从科技成果转化的产出结果及其对经济发展的贡献的角度建立包括了科技成果应用、科技成果商业化、科技成果产业化、科技成果国际化四个领域层的科技成果转化绩效评价指标体系；再次，搜集2005年-2010年的相关数据，并对指标数据进行标准化处理，利用主成分分析方法确定各指标的权重，并计算出了近6年全国30个地区的科技成果转化绩效值；最后，对科技成果转化绩效进行聚类分组，并从权重大小和聚类结果两个方面对全国30个地区进行了横向和纵向的对比及分析。结果显示：技术市场成交合同金额对科技成果转化绩效的贡献最大；我国科技成果转化绩效仍然不高，各地区存在较大的差异，东部地区的科技成果转化绩效值要明显高于中、西部地区，而且各地区在科技成果转化绩效方面的相对位置的变化不大。这个模型及评价指标体系的建立将为我国促进科技成果转化制定有关政策，提高科技成果的转化绩效提供有力的支撑。
第4章研究科技成果转化绩效的影响因素。将各地区科技成果转化绩效值视为被解释变量，将影响科技成果转化绩效的因素视为解释变量，运用数量经济学的回归分析法，找出了当前影响科技成果转化绩效的要素：科技资源投入、科技成果、区域经济环境。具体来讲，科技资源投入方面，相比整体投入，高技术产业的投入对科技成果转化绩效的正向影响更大；相比科技人力投入，科技财力投入对科技成果转化绩效的正向影响更大；研究与试验发展的三个阶段的科技资源投入都对科技成果转化绩效有显著的正向影响，且其影响有大小之别，按从大到小的顺序依次是：应用研究、试验发展、基础研究；研发主体的科技资源投入对科技成果转化绩效有显著正向影响，按从大到小的顺序依次是：研究与开发机构、大中型工业企业、高等学校；R&D经费内部支出中政府资金、企业资金和国外资金对科技成果转化绩效都有显著正向影响，按从大到小的顺序依次是：国外资金、企业资金、政府资金。科技成果方面，科技成果数量对科技成果转化绩效有显著正向影响；相对专利授权量，有效发明专利数对科技成果转化绩效的正向影响更大；相对科技论文数，有效发明专利数对科技成果转化绩效的正向影响更大。区域经济环境方面，地区经济发展水平和市场化程度都对科技成果转化绩效有显著正向影响。
第5章提出对策建议。基于以上研究，在战略层面，本文提出了加速科技成果转化的战略选择：深化科技体制改革，优化科技资源配置，着力构建以企业为主体、市场为导向、科技金融紧密结合的技术创新体系；在机制层面，本文提出了有针对性地提出了提升科技成果转化绩效、加强产学研合作、促进技术市场发展的有效途径；在政策层面，本文提出了优化科技成果转化的政策环境及搭建科技成果转化服务平台的政策建议。
The world development has entered an important era of science and technologyinnvation and a significant time of fast adjustment of economic structure in recentyears.The discoveries,inventions and extensive applications of sicence and technologyare pushig forward the deep reforms on productive force,mode,life style and economicand social development view in the world.As a result, it leads to the flow of globalproductive elements and fast transfer of industry. In the meantime, the structures ofeconomy,interest, and security have occurrd huge and unprecedent changes.Speedingup scientific and technological achievements transformation becomes a major measureto the adjustment of economic structure,change of growing mode,and increase ofcompetitive ability to every nation in the world.
However, due to the influnce factors on scientific and technological achievementstransformation,the performance of scientific and technological achievementstransformation has not been satisfied in our country,and the contributions have yet beenmade far enough to the sustainable ecnomic growth and the change of ecnomic growingmode.Therefore,this paper will guide and promote the future scientific andtechnological achievements transformation to be consolidated and practiced on the finalgoal of sustainable scientific outlook on development by proposing effectivecountermeasures and studying the evaluation of the performance and the influencefactors. It will make the scientific and technological achievements transformation tostep in a sustainable route and realize the green scientific and technological progress.
First of all, this paper makes a theoretical analsis on the problems,status andsystem of the scientific and technological achievements transformation on the basis of summing up the foreign and domestic relative literatures.Second, it calculates theperformance of regional scientific and technological achievements transformation.Final,it presents a demonstration analysis on the influnce factors of the perfomance ofthe scientific and technological achievement transformation trough metrology methodand puts forward some countermeasures and suggestions of promoting the scientificand technological achievements transformation.
In the detail,the primary coverage and conclusion of this paper are as follows:
First chapter introduces the ground of topic selection,the purpose and meaning ofthe study,the relative theories of scientific and technological achievementstransformation,the summary of relative foreign and domestic research. It describes theresearch method and technology road map and points out the innovation spots.
The status and problems of scientific and technological achievementtransformation in our country are researched in second chapter. Firstly, it presents thestatus from two aspects of scientific and technological achievement aggregation andscientific and technological financial input.Secondly, it summarizes the perfomace ofscientific and technological achievements transformation in recent years. Finally,on theabove basis it puts forward the obstacles to the scientific and technologicalachievements transformation as follows: the research institutes fail to realize themarket-based system reform,the universities are short of enthusiasm to transfertechnology,the enterprises lack the dynamic to collaborate with reaearch institutes anduniversities, the financial institutions do not have the channal to gather the informationof scientific and technological achievements, the scientific and technologicalintermediary organizations await to be further sthengthen.
The innovation of this paper is to construct a performance evaluation model ofscientific and technological achievements transformation. First of all,from the pointof view of the output of scientific and technological achievements transformation andcontributions to economic development it sets up a performance evaluation indexsystem of scientific and technological achievements transformation in four areas ofapplication, commercialization, industrialization and internationalization of scientificand technological achievements. Secondly,through the relevant data collected in2005-2010years and the index data processed by standardization, the weight of each index has been determined by using the principal components analysis method andcalculates the performance value of scientific and technological achievementstransformation of30provinces over the past6years. Finally, the performance valuesof transformation of scientific and technological achievements are clustered andgrouped, and a cross and longitudinal comparison and analysis to the30regions ofthe country from the weights and clustering results has been made. The results showthat the technology market turnover of the contract make a greatest contribution to theperformance of scientific and technological achievements transformation, theperformance of scientific and technological achievements transformation in ourcountry is still not high, there is a big difference in various regions, the performancevalue of scientific and technological achievements transformation in eastern region ismuch higher than that in the central and western regions, and the relative position ofeach region in the transformation of scientific and technological achievements changea little.The establishment of the model and the evaluation index system will help ourgovernment to formulate relevant policies for promoting the transformation ofscientific and technological achievements and to provide strong support to improvethe performance of scientific and technological achievements transformation.
This paper select the performance value of scientific and technologicalachievements transformation of each area as explained variable and the influentialfactors of the performance of scientific and technological achievementstransformation as the explaining variable. It finds out the factors to the performanceof scientific and technological achievements transformation by using regressionanalysis method of quantitative economics as follows: Science and technologyresources, scientific and technological achievements, the regional economicenvironment. Specifically, in the aspect of the science and technology input resources,the investment in high technology industry has a greater positive effect onperformance of scientific and technological achievements transformation incomparing with the overall investment. Compared with the manpower input, financialinvestment makes more positive influence on the performance of scientific andtechnological achievements transformation. The science and technology inputresources for the transformation of scientific and technological achievements in three stages of research and development have a significant positive effect which isdifferential in size, the order from big to small is applied research, development, basicresearch. The resources of science and technology investment from the research anddevelopment main bodys have a significantly positive impact on the performance ofscientific and technological achievements transformation, the order from big to smallis research and development institutions, large and medium-sized industrialenterprises, institutions of higher learning. In R&D internal expenditure,governmentfunds, enterprise funds and foreign funds have significant positive effect on theperformance of scientific and technological achievements transformation,the orderfrom big to small is foreign funds, enterprise funds, government funds. In the aspectof science and technology achievements, the number of technological achievementshas significant positive influence on the performance of scientific and technologicalachievements transformation. Compared with the number of granted patent, thenumber of invention patent has more effective positive effect on performance ofscientific and technological achievements transformation. Compared with papers, theeffective number of invention patent has more positive effect on performance ofscientific and technological achievements transformation. In the aspect of the regionaleconomic environment, the level of regional economic development and the degree ofmarketization have a significantly positive impact on the performance of scientificand technological achievements transformation.In this chapter, the innovation is tohelp each province to take pertinence measures to improve the performance ofscientific and technological achievements transformation through the quantitativeanalysis of influence factors.
Based on the above research, at the level of strategy, this paper puts forward aseries of strategic choices to accelerate the transformation of scientific andtechnological achievements as follows: Deepening the reform of science andtechnology system, optimizing the allocation of relevant resources, putting forthefforts on building the technology innovation system of enterprise as the main body,the market as the guidance, close integration of finance and science and technology;at the level of mechanism, this paper presents some effective avenues in a pertinence manner to elevate the performance of scientific and technological achievementstransformation, strengthen the cooperation among research institutes, enterprises,universities, and promote the development of technology market; at the level ofpolicy, this paper makes some proposals to optimize the policy environment ofscientific and technological achievements transformation and to build the serviceplatforms for scientific and technological achievements transformation.
然而，由于一些影响科技成果转化的因素存在，致使我国科技成果转化绩效不尽人意，对经济可持续增长和经济增长方式的转变还未做出应有的贡献。因此，通过研究我国科技成果转化绩效评价和影响因素，提出有效对策，引导推动我国未来的科技成果转化必须统一和落实于可持续的科学发展观的最终目标上来，即，走可持续的科技成果转化之路，实现绿色科技进步。
本文首先在梳理和总结国内外科技成果转化相关文献研究的基础上，对科技成果转化系统、现状及问题进行了理论上的分析，再对地区科技成果转化绩效进行了计算，最后运用计量方法对科技成果转化绩效的影响因素进行了实证分析，并提出了促进科技成果转化的对策及建议。
具体而言，本文的主要内容及结论包括：
第1章介绍了选题的依据、研究目的与意义、科技成果转化相关理论、国内外相关研究综述、研究方法及论文研究的技术路线，并指出了论文的创新点。
第2章研究我国科技成果转化的现状及存在的问题。首先，从科技成果总量和科技经费投入两个方面清晰地呈现了科技成果转化的现状，并对近年来我国在科技成果转化方面取得的成效进行了总结；然后，在此基础上，提出了科技成果转化所存在的问题：科研院所未能真正实现市场化转制，大学缺乏科技成果转化的积极性，企业缺乏与研发机构和大学合作的动力，金融机构缺乏科技成果相关信息的搜集渠道，科技中介机构有待进一步壮大等。
第3章研究科技成果转化绩效评价。本文的创新之处是构建科技成果转化绩效评价模型，从科技成果转化的产出结果及其对经济发展的贡献的角度建立包括了科技成果应用、科技成果商业化、科技成果产业化、科技成果国际化四个领域层的科技成果转化绩效评价指标体系；再次，搜集2005年-2010年的相关数据，并对指标数据进行标准化处理，利用主成分分析方法确定各指标的权重，并计算出了近6年全国30个地区的科技成果转化绩效值；最后，对科技成果转化绩效进行聚类分组，并从权重大小和聚类结果两个方面对全国30个地区进行了横向和纵向的对比及分析。结果显示：技术市场成交合同金额对科技成果转化绩效的贡献最大；我国科技成果转化绩效仍然不高，各地区存在较大的差异，东部地区的科技成果转化绩效值要明显高于中、西部地区，而且各地区在科技成果转化绩效方面的相对位置的变化不大。这个模型及评价指标体系的建立将为我国促进科技成果转化制定有关政策，提高科技成果的转化绩效提供有力的支撑。
第4章研究科技成果转化绩效的影响因素。将各地区科技成果转化绩效值视为被解释变量，将影响科技成果转化绩效的因素视为解释变量，运用数量经济学的回归分析法，找出了当前影响科技成果转化绩效的要素：科技资源投入、科技成果、区域经济环境。具体来讲，科技资源投入方面，相比整体投入，高技术产业的投入对科技成果转化绩效的正向影响更大；相比科技人力投入，科技财力投入对科技成果转化绩效的正向影响更大；研究与试验发展的三个阶段的科技资源投入都对科技成果转化绩效有显著的正向影响，且其影响有大小之别，按从大到小的顺序依次是：应用研究、试验发展、基础研究；研发主体的科技资源投入对科技成果转化绩效有显著正向影响，按从大到小的顺序依次是：研究与开发机构、大中型工业企业、高等学校；R&D经费内部支出中政府资金、企业资金和国外资金对科技成果转化绩效都有显著正向影响，按从大到小的顺序依次是：国外资金、企业资金、政府资金。科技成果方面，科技成果数量对科技成果转化绩效有显著正向影响；相对专利授权量，有效发明专利数对科技成果转化绩效的正向影响更大；相对科技论文数，有效发明专利数对科技成果转化绩效的正向影响更大。区域经济环境方面，地区经济发展水平和市场化程度都对科技成果转化绩效有显著正向影响。
第5章提出对策建议。基于以上研究，在战略层面，本文提出了加速科技成果转化的战略选择：深化科技体制改革，优化科技资源配置，着力构建以企业为主体、市场为导向、科技金融紧密结合的技术创新体系；在机制层面，本文提出了有针对性地提出了提升科技成果转化绩效、加强产学研合作、促进技术市场发展的有效途径；在政策层面，本文提出了优化科技成果转化的政策环境及搭建科技成果转化服务平台的政策建议。
The world development has entered an important era of science and technologyinnvation and a significant time of fast adjustment of economic structure in recentyears.The discoveries,inventions and extensive applications of sicence and technologyare pushig forward the deep reforms on productive force,mode,life style and economicand social development view in the world.As a result, it leads to the flow of globalproductive elements and fast transfer of industry. In the meantime, the structures ofeconomy,interest, and security have occurrd huge and unprecedent changes.Speedingup scientific and technological achievements transformation becomes a major measureto the adjustment of economic structure,change of growing mode,and increase ofcompetitive ability to every nation in the world.
However, due to the influnce factors on scientific and technological achievementstransformation,the performance of scientific and technological achievementstransformation has not been satisfied in our country,and the contributions have yet beenmade far enough to the sustainable ecnomic growth and the change of ecnomic growingmode.Therefore,this paper will guide and promote the future scientific andtechnological achievements transformation to be consolidated and practiced on the finalgoal of sustainable scientific outlook on development by proposing effectivecountermeasures and studying the evaluation of the performance and the influencefactors. It will make the scientific and technological achievements transformation tostep in a sustainable route and realize the green scientific and technological progress.
First of all, this paper makes a theoretical analsis on the problems,status andsystem of the scientific and technological achievements transformation on the basis of summing up the foreign and domestic relative literatures.Second, it calculates theperformance of regional scientific and technological achievements transformation.Final,it presents a demonstration analysis on the influnce factors of the perfomance ofthe scientific and technological achievement transformation trough metrology methodand puts forward some countermeasures and suggestions of promoting the scientificand technological achievements transformation.
In the detail,the primary coverage and conclusion of this paper are as follows:
First chapter introduces the ground of topic selection,the purpose and meaning ofthe study,the relative theories of scientific and technological achievementstransformation,the summary of relative foreign and domestic research. It describes theresearch method and technology road map and points out the innovation spots.
The status and problems of scientific and technological achievementtransformation in our country are researched in second chapter. Firstly, it presents thestatus from two aspects of scientific and technological achievement aggregation andscientific and technological financial input.Secondly, it summarizes the perfomace ofscientific and technological achievements transformation in recent years. Finally,on theabove basis it puts forward the obstacles to the scientific and technologicalachievements transformation as follows: the research institutes fail to realize themarket-based system reform,the universities are short of enthusiasm to transfertechnology,the enterprises lack the dynamic to collaborate with reaearch institutes anduniversities, the financial institutions do not have the channal to gather the informationof scientific and technological achievements, the scientific and technologicalintermediary organizations await to be further sthengthen.
The innovation of this paper is to construct a performance evaluation model ofscientific and technological achievements transformation. First of all,from the pointof view of the output of scientific and technological achievements transformation andcontributions to economic development it sets up a performance evaluation indexsystem of scientific and technological achievements transformation in four areas ofapplication, commercialization, industrialization and internationalization of scientificand technological achievements. Secondly,through the relevant data collected in2005-2010years and the index data processed by standardization, the weight of each index has been determined by using the principal components analysis method andcalculates the performance value of scientific and technological achievementstransformation of30provinces over the past6years. Finally, the performance valuesof transformation of scientific and technological achievements are clustered andgrouped, and a cross and longitudinal comparison and analysis to the30regions ofthe country from the weights and clustering results has been made. The results showthat the technology market turnover of the contract make a greatest contribution to theperformance of scientific and technological achievements transformation, theperformance of scientific and technological achievements transformation in ourcountry is still not high, there is a big difference in various regions, the performancevalue of scientific and technological achievements transformation in eastern region ismuch higher than that in the central and western regions, and the relative position ofeach region in the transformation of scientific and technological achievements changea little.The establishment of the model and the evaluation index system will help ourgovernment to formulate relevant policies for promoting the transformation ofscientific and technological achievements and to provide strong support to improvethe performance of scientific and technological achievements transformation.
This paper select the performance value of scientific and technologicalachievements transformation of each area as explained variable and the influentialfactors of the performance of scientific and technological achievementstransformation as the explaining variable. It finds out the factors to the performanceof scientific and technological achievements transformation by using regressionanalysis method of quantitative economics as follows: Science and technologyresources, scientific and technological achievements, the regional economicenvironment. Specifically, in the aspect of the science and technology input resources,the investment in high technology industry has a greater positive effect onperformance of scientific and technological achievements transformation incomparing with the overall investment. Compared with the manpower input, financialinvestment makes more positive influence on the performance of scientific andtechnological achievements transformation. The science and technology inputresources for the transformation of scientific and technological achievements in three stages of research and development have a significant positive effect which isdifferential in size, the order from big to small is applied research, development, basicresearch. The resources of science and technology investment from the research anddevelopment main bodys have a significantly positive impact on the performance ofscientific and technological achievements transformation, the order from big to smallis research and development institutions, large and medium-sized industrialenterprises, institutions of higher learning. In R&D internal expenditure,governmentfunds, enterprise funds and foreign funds have significant positive effect on theperformance of scientific and technological achievements transformation,the orderfrom big to small is foreign funds, enterprise funds, government funds. In the aspectof science and technology achievements, the number of technological achievementshas significant positive influence on the performance of scientific and technologicalachievements transformation. Compared with the number of granted patent, thenumber of invention patent has more effective positive effect on performance ofscientific and technological achievements transformation. Compared with papers, theeffective number of invention patent has more positive effect on performance ofscientific and technological achievements transformation. In the aspect of the regionaleconomic environment, the level of regional economic development and the degree ofmarketization have a significantly positive impact on the performance of scientificand technological achievements transformation.In this chapter, the innovation is tohelp each province to take pertinence measures to improve the performance ofscientific and technological achievements transformation through the quantitativeanalysis of influence factors.
Based on the above research, at the level of strategy, this paper puts forward aseries of strategic choices to accelerate the transformation of scientific andtechnological achievements as follows: Deepening the reform of science andtechnology system, optimizing the allocation of relevant resources, putting forthefforts on building the technology innovation system of enterprise as the main body,the market as the guidance, close integration of finance and science and technology;at the level of mechanism, this paper presents some effective avenues in a pertinence manner to elevate the performance of scientific and technological achievementstransformation, strengthen the cooperation among research institutes, enterprises,universities, and promote the development of technology market; at the level ofpolicy, this paper makes some proposals to optimize the policy environment ofscientific and technological achievements transformation and to build the serviceplatforms for scientific and technological achievements transformation.
引文
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