天津市科研机构科技投入产出相对效率的评价研究
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摘要
科研机构是一个国家和地区科技创新体系中不可或缺的重要组成部分,它作为科技活动的源头和基地,既是科学原理、自然规律的探索者,也是将科技转化为现实生产力的中坚力量。因此,对科研机构科技投入产出效率开展分析,一直是学术界和科技管理部门共同关注的热点问题。
论文以纳入天津市科研序列管理的县级以上、独立的民口科研机构为研究对象,以2005‐2009年科技统计年报数据为基础,综合运用文献分析与社会调查、统计分析与运筹分析等研究方法对天津市社会公益类和技术开发类科研机构科技投入产出效率、产出绩效进行了系统性地分析和研究。
首先,根据2005-2009年天津市科研机构科技统计数据,对科研机构的总体发展状况、驻津科研机构特点、社会公益类院所和技术开发类机构进行了描述性统计分析。其次,针对社会公益类和技术开发类两类不同的科研机构从科技投入和产出两个方面,分别构造了相对效率评价的指标体系。第三,运用多元线性回归分析法,确定了天津市科研机构的科技投入和科技产出变量之间的滞后周期为2年。第四,利用相关系数计算指标之间的相关性,以精简指标体系,形成分别用于实证分析的社会公益类和技术开发类科研机构科技投入产出效率分析指标体系。第五,利用两套指标体系,分别对天津市社会公益类和技术开发类科研机构进行了科技投入产出DEA效率分析。与此同时,应用综合评价法对两类科研机构开展了绩效评价,试图通过这两种评价方法,从不同侧面客观、真实、准确地反映天津市科研机构投入产出现状。第六,根据评价结果,分析找出科研机构在科技投入产出中存在的主要问题。最后,针对天津市科研机构科技投入产出中存在的问题,结合“十二五”科技工作和发展战略规划,提出了6点具有可操作性的政策建议:发挥政府宏观调控功能,营造科技发展和创新创意的良好环境;充分利用驻津科研机构科技资源优势,积极服务天津经济发展;加速产权制度改革,建立完善的现代企业制度;提高科技含量,加快推进科研院所向知识密集型服务业发展;加强原创性研究,提升自主研发能力;强化平台载体建设,促进产学研结合。
Scientific research institutions play an essential role in the national and regional technology innovation system. As the source and the base of the technology activities, they are not only the explorers of scientific principles and the laws of nature, but also the main conductors to apply scientific technology into economics. Therefore, the efficiency analysis of scientific research institution has always been a hot issue to the academic and scientific management.
Independent nongovernmental scientific research institutions which are registered in government administrations at or above the county level in city of Tianjin are analysis in this paper. The data is from 2005-2009 technology statistical yearbooks. We taking integrated use of multiply research methods including literature analysis, surveys, statistical analysis and operation research to study the input-output efficiency and output performance of public welfare oriented and technology development oriented scientific research institutions in Tianjin.
First of all, according to the science and technology statistical data of Tianjin scientific research institutions in 2005-2009, this paper gives a descriptive statistical analysis of the scientific research institution's overall development situation, the characteristics of scientific research institutions in Tianjin and the public welfare oriented institutions and technology development oriented scientific research institutions. Secondly, construct the output performance scales for public welfare oriented and technology development oriented institutions respectively. Thirdly, identify that there are two years’delay period between the science and technology input and output for Tianjin scientific research institutions by applying multiple regression analysis. Fourth, simplify the output performance scales for public welfare oriented and technology development oriented institutions by calculating correlation coefficients between variables. Fifth, based on the two scales, use DEA efficiency analysis and comprehensive evaluation method to public welfare oriented and technology development oriented institutions respectively, in order to reflect the Tianjin scientific research institution input-output status objectively, realistically and accurately. Finally, in view of the problems existing in technology input-output of Tianjin scientific research institutions, combined with "the 12th 5-year-plan of science and technology work and development strategy”, we propose six feasible policy recommendations: A. Give full play to the government macro-control function, create a good environment for technology development and innovation. B. Make full use of resources advantage for scientific research institutions in Tianjin. C. Accelerate the property rights system reform, establish a healthy modern enterprise system. D. Promote the technology content and accelerate the development of the research institutes to knowledge intensive industry. E. Put more effort on the original research to support management decision making and improve independent research and development capacity. F. Strengthen platform construction and promote university-industry cooperation.
论文以纳入天津市科研序列管理的县级以上、独立的民口科研机构为研究对象,以2005‐2009年科技统计年报数据为基础,综合运用文献分析与社会调查、统计分析与运筹分析等研究方法对天津市社会公益类和技术开发类科研机构科技投入产出效率、产出绩效进行了系统性地分析和研究。
首先,根据2005-2009年天津市科研机构科技统计数据,对科研机构的总体发展状况、驻津科研机构特点、社会公益类院所和技术开发类机构进行了描述性统计分析。其次,针对社会公益类和技术开发类两类不同的科研机构从科技投入和产出两个方面,分别构造了相对效率评价的指标体系。第三,运用多元线性回归分析法,确定了天津市科研机构的科技投入和科技产出变量之间的滞后周期为2年。第四,利用相关系数计算指标之间的相关性,以精简指标体系,形成分别用于实证分析的社会公益类和技术开发类科研机构科技投入产出效率分析指标体系。第五,利用两套指标体系,分别对天津市社会公益类和技术开发类科研机构进行了科技投入产出DEA效率分析。与此同时,应用综合评价法对两类科研机构开展了绩效评价,试图通过这两种评价方法,从不同侧面客观、真实、准确地反映天津市科研机构投入产出现状。第六,根据评价结果,分析找出科研机构在科技投入产出中存在的主要问题。最后,针对天津市科研机构科技投入产出中存在的问题,结合“十二五”科技工作和发展战略规划,提出了6点具有可操作性的政策建议:发挥政府宏观调控功能,营造科技发展和创新创意的良好环境;充分利用驻津科研机构科技资源优势,积极服务天津经济发展;加速产权制度改革,建立完善的现代企业制度;提高科技含量,加快推进科研院所向知识密集型服务业发展;加强原创性研究,提升自主研发能力;强化平台载体建设,促进产学研结合。
Scientific research institutions play an essential role in the national and regional technology innovation system. As the source and the base of the technology activities, they are not only the explorers of scientific principles and the laws of nature, but also the main conductors to apply scientific technology into economics. Therefore, the efficiency analysis of scientific research institution has always been a hot issue to the academic and scientific management.
Independent nongovernmental scientific research institutions which are registered in government administrations at or above the county level in city of Tianjin are analysis in this paper. The data is from 2005-2009 technology statistical yearbooks. We taking integrated use of multiply research methods including literature analysis, surveys, statistical analysis and operation research to study the input-output efficiency and output performance of public welfare oriented and technology development oriented scientific research institutions in Tianjin.
First of all, according to the science and technology statistical data of Tianjin scientific research institutions in 2005-2009, this paper gives a descriptive statistical analysis of the scientific research institution's overall development situation, the characteristics of scientific research institutions in Tianjin and the public welfare oriented institutions and technology development oriented scientific research institutions. Secondly, construct the output performance scales for public welfare oriented and technology development oriented institutions respectively. Thirdly, identify that there are two years’delay period between the science and technology input and output for Tianjin scientific research institutions by applying multiple regression analysis. Fourth, simplify the output performance scales for public welfare oriented and technology development oriented institutions by calculating correlation coefficients between variables. Fifth, based on the two scales, use DEA efficiency analysis and comprehensive evaluation method to public welfare oriented and technology development oriented institutions respectively, in order to reflect the Tianjin scientific research institution input-output status objectively, realistically and accurately. Finally, in view of the problems existing in technology input-output of Tianjin scientific research institutions, combined with "the 12th 5-year-plan of science and technology work and development strategy”, we propose six feasible policy recommendations: A. Give full play to the government macro-control function, create a good environment for technology development and innovation. B. Make full use of resources advantage for scientific research institutions in Tianjin. C. Accelerate the property rights system reform, establish a healthy modern enterprise system. D. Promote the technology content and accelerate the development of the research institutes to knowledge intensive industry. E. Put more effort on the original research to support management decision making and improve independent research and development capacity. F. Strengthen platform construction and promote university-industry cooperation.
引文
[1]古景亮,贾培民,钟彩霞等,科研机构创新能力综合评价指标应用研究[J],医学信息学, 2007(6):565-567
[2]任飏,李田田,陈安,结构方程模型在科研机构评价中的的应用[J],实验技术与管理,2007(8):131-135
[3]张义芳,政府科研机构绩效评估及相关制度分析[J],科技进步与对策,2006(12):5-7
[4]赵红专,翟立新,李强,公共科研机构绩效评价的指标与方法[J],科学学研究,2006(2):85-90
[5] Griliches Z. Research costs and social returns:Hybrid corn and related innovations[J],Journal of Political Economy,1958,66:419-431
[6] Nelson R R,The simple economics of basic scientific research[J],Journal of Political Economy,1959,67:297-306
[7] Benoit Godin,Outline for a History of Science Measurement[R],Project on the History and Sociology of S&T Statistics,Canada,2002
[8]孟溦，李强，刘文斌,基于3E理论构建科研机构评价指标体系,科学学研究, 2007(10):908-914
[9]Hauser J.Katz Metrics , You are what you measure[J],European Management Journal, 1998,16(5):517-528
[10]Eliezer Geisler,The metrics of science and technology[M], Greenwood Publishing Group Inc.2000.
[11] P. Vinkler, General performance indexs calculated for research institutes of the Hungarian Academy of sciences based on Scientometrics indicators [ J ] , Scientometrics ,1998 ,41 (1)
[12]Mario Coccia,, A sciento metric model for the assessment of scientific research performance within public institutes[J ] . Scientomet rics ,2005 ,65 (3) :3072321
[13]P. S. Nagpaul , Santanu Boy, Constructing a multi-objective measure of research performance [ J ] ,Sciento metrics ,2003 ,56 (3) :3832402
[14]Campbell D F J, The evaluation of university research in the United Kingdom and the Netherlands, Germany and Austria[A], Shapira P, Kuhlmann S. Learning from Science and Technology Policy Evaluation[C]. Edward Elgar, 2003. 98-131
[15]Lyall C, Bruce A, Fim J, Fim M, tait J, Assessing end-use relevance of public sector research organizations[J],Research Policy, 2004, 33(1): 73-87.
[16]Jordan G B, Streit D, Recognizing the competing values in science and technology organization: implications for evaluation[A], Shapira P, Kuhlmann S. Learning from Science and Technology Policy Evaluation [C], Edward Elgar, 2003. 316-338
[17]李晓轩,杨国梁,中国科学院研究所评价的逻辑模型研究[J],科学学与科学技术管理,2009, (4): 5-8
[18]朱少强,国外学术机构评价的研究进展[J],重庆大学学报:社会科学版, 2008, 14(1): 72-75
[19]李晓轩,德国科研机构的评价实践与启示[J],中国科学院院刊,2004(4):274-277
[20]洪学海,王琴,国立科研机构科研评价指标体系赋权方法研究[J],管理观察,2009(8):26-29
[21]全国科技进步统计监测及综合评价课题组,2000全国科技进步统计监测报告,2000:12
[22]魏权龄,数据包络分析[M],科学出版社,2004.
[23]文庭孝,科学评价的理论基础研究[J],科学学研究,2007(12):1032-1040
[24] Farrell,M.J, The Measurement of Production Efficiency [J].Journal of Royal Statistical Society, Series A, General, 1957,120(3):253-281
[25] Leibenstein H. Allovative Efficiency vs“X-efficiency”, Am.Econ.Rev.56,392-415.
[26]徐琼,技术效率与前沿面理论评述[J],财经论丛,2005(3):29-34
[27]史君卿,李媛媛,窦以文,技术效率理论及其研究方法述评[J],农村经济与科技,2009(12):125-126
[28]顾海兵,王宝艳,中国国立研究机构:问题与出路[J],学术界,2004(3):50-65
[29]师萍,张蔚虹,中国R&D投入的绩效分析与制度支持研究[M],科学出版社,2008.
[30]科学技术部,中国科学技术指标2002[M],北京:科学技术文献出版社,2003:52-54
[31]肖利,科学研究机构评价的理论与实践[J],科学对社会的影响,2002(2):14-17
[32]王俭,科研机构专家评价方法研究[J],科研管理,2005(4):152-155
[33]胡振华,刘笃池,我国区域科技投入促进经济增长绩效评价——基于滞后性的绩效分析[J],中国软科学,2009(8):94-100
[34]李俊杰,区域科技投入产出相对效率研究:[硕士学位论文],天津大学,2010:32
[35]贾俊平,统计学(第二版)[M],北京:中国人民大学出版社.2007:205
[36]翟立新,韩伯棠,李晓轩,基于知识生产函数的公共科研机构绩效评价模型研究[J],中国软科学,2005(8):76-80
[37]杨洪涛,基于DEA的科研机构科技资源配置效率评价[J],科技进步与对策,2009(2) : 115-118
[38]何榕,成邦文,研究机构人员流动分析[J],科技指标研究,2007.1:15-19
[39]中国R&D投入状况分析研究课题组,中国R&D资源投入状况研究报告,2003:198
[40]高文,天津市研究机构科技人力资源的流动分析[J],科学学与科学技术管理.2007增刊
[41]雷彦斌,李徽,欧国立,基于政府科技投入的中国转制科研机构效率评价与研究[J],科学学与科学技术管理,2010(7):34-37
[42]骆珣,卢婵君,基于DEA的北京市转制科研机构投入产出效率评价[J],生产力研究,2007(9):75-76
[43]邓慢,颜佳华,公益类科研机构创新绩效评价[J],求索,2008(7):89-90
[44]杨文明,高文,唐洁等,区域科技视角下的滨海新区R&D资源投入优化研究[J],科学学研究,2009[6]:876-880
[45]高文,张明,中央驻津科研机构创新能力现状分析[J],科技指标研究,2009(2):21-24
[46]黄荣顺,揭筱纹,基于DEA方法的转制科研院所运营效率研究[J],中国行政管理,2010(6):108-113
[47]天津市科学技术委员会,关于支持科研院所做大做强的实施意见(初稿),2010.
[48]天津市人民政府,天津市科技小巨人成长计划,2010.9
[2]任飏,李田田,陈安,结构方程模型在科研机构评价中的的应用[J],实验技术与管理,2007(8):131-135
[3]张义芳,政府科研机构绩效评估及相关制度分析[J],科技进步与对策,2006(12):5-7
[4]赵红专,翟立新,李强,公共科研机构绩效评价的指标与方法[J],科学学研究,2006(2):85-90
[5] Griliches Z. Research costs and social returns:Hybrid corn and related innovations[J],Journal of Political Economy,1958,66:419-431
[6] Nelson R R,The simple economics of basic scientific research[J],Journal of Political Economy,1959,67:297-306
[7] Benoit Godin,Outline for a History of Science Measurement[R],Project on the History and Sociology of S&T Statistics,Canada,2002
[8]孟溦，李强，刘文斌,基于3E理论构建科研机构评价指标体系,科学学研究, 2007(10):908-914
[9]Hauser J.Katz Metrics , You are what you measure[J],European Management Journal, 1998,16(5):517-528
[10]Eliezer Geisler,The metrics of science and technology[M], Greenwood Publishing Group Inc.2000.
[11] P. Vinkler, General performance indexs calculated for research institutes of the Hungarian Academy of sciences based on Scientometrics indicators [ J ] , Scientometrics ,1998 ,41 (1)
[12]Mario Coccia,, A sciento metric model for the assessment of scientific research performance within public institutes[J ] . Scientomet rics ,2005 ,65 (3) :3072321
[13]P. S. Nagpaul , Santanu Boy, Constructing a multi-objective measure of research performance [ J ] ,Sciento metrics ,2003 ,56 (3) :3832402
[14]Campbell D F J, The evaluation of university research in the United Kingdom and the Netherlands, Germany and Austria[A], Shapira P, Kuhlmann S. Learning from Science and Technology Policy Evaluation[C]. Edward Elgar, 2003. 98-131
[15]Lyall C, Bruce A, Fim J, Fim M, tait J, Assessing end-use relevance of public sector research organizations[J],Research Policy, 2004, 33(1): 73-87.
[16]Jordan G B, Streit D, Recognizing the competing values in science and technology organization: implications for evaluation[A], Shapira P, Kuhlmann S. Learning from Science and Technology Policy Evaluation [C], Edward Elgar, 2003. 316-338
[17]李晓轩,杨国梁,中国科学院研究所评价的逻辑模型研究[J],科学学与科学技术管理,2009, (4): 5-8
[18]朱少强,国外学术机构评价的研究进展[J],重庆大学学报:社会科学版, 2008, 14(1): 72-75
[19]李晓轩,德国科研机构的评价实践与启示[J],中国科学院院刊,2004(4):274-277
[20]洪学海,王琴,国立科研机构科研评价指标体系赋权方法研究[J],管理观察,2009(8):26-29
[21]全国科技进步统计监测及综合评价课题组,2000全国科技进步统计监测报告,2000:12
[22]魏权龄,数据包络分析[M],科学出版社,2004.
[23]文庭孝,科学评价的理论基础研究[J],科学学研究,2007(12):1032-1040
[24] Farrell,M.J, The Measurement of Production Efficiency [J].Journal of Royal Statistical Society, Series A, General, 1957,120(3):253-281
[25] Leibenstein H. Allovative Efficiency vs“X-efficiency”, Am.Econ.Rev.56,392-415.
[26]徐琼,技术效率与前沿面理论评述[J],财经论丛,2005(3):29-34
[27]史君卿,李媛媛,窦以文,技术效率理论及其研究方法述评[J],农村经济与科技,2009(12):125-126
[28]顾海兵,王宝艳,中国国立研究机构:问题与出路[J],学术界,2004(3):50-65
[29]师萍,张蔚虹,中国R&D投入的绩效分析与制度支持研究[M],科学出版社,2008.
[30]科学技术部,中国科学技术指标2002[M],北京:科学技术文献出版社,2003:52-54
[31]肖利,科学研究机构评价的理论与实践[J],科学对社会的影响,2002(2):14-17
[32]王俭,科研机构专家评价方法研究[J],科研管理,2005(4):152-155
[33]胡振华,刘笃池,我国区域科技投入促进经济增长绩效评价——基于滞后性的绩效分析[J],中国软科学,2009(8):94-100
[34]李俊杰,区域科技投入产出相对效率研究:[硕士学位论文],天津大学,2010:32
[35]贾俊平,统计学(第二版)[M],北京:中国人民大学出版社.2007:205
[36]翟立新,韩伯棠,李晓轩,基于知识生产函数的公共科研机构绩效评价模型研究[J],中国软科学,2005(8):76-80
[37]杨洪涛,基于DEA的科研机构科技资源配置效率评价[J],科技进步与对策,2009(2) : 115-118
[38]何榕,成邦文,研究机构人员流动分析[J],科技指标研究,2007.1:15-19
[39]中国R&D投入状况分析研究课题组,中国R&D资源投入状况研究报告,2003:198
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