高校技术转移对科研产出的影响效应研究——科研资助的中介作用与调节作用

技术转移作为高校社会服务职能的重要体现形式，对高校科研活动究竟产生了何种影响是学术界关注的热点问题。本文以2008-2014年中国106所“211”及省部共建高校为样本，研究了高校技术转移对其论文产出和专利产出的影响效应，并对不同来源的科研资助（政府资助和企业资助）在高校技术转移与科研产出关系中的中介作用和调节作用分别进行了实证检验。结果表明：（1）高校技术转移对论文产出的影响不显著，而对专利产出具有显著正向影响；（2）高校技术转移对其获取政府资助和企业资助均具有显著的正向影响，政府资助和企业资助在高校技术转移与专利产出关系中发挥积极的中介作用；（3）政府资助对高校技术转移与论文产出的关系具有显著的负向调节作用，而企业资助对高校技术转移与专利产出的关系具有显著的负向调节作用。     

Who owns what? Private ownership and the public interest in recombinant DNA technology in the 1970s

This essay analyzes how academic institutions, government agencies, and the nascent biotech industry contested the legal ownership of recombinant DNA technology in the name of the public interest. It reconstructs the way a small but influential group of government officials and university research administrators introduced a new framework for the commercialization of academic research in the context of a national debate over scientific research's contributions to American economic prosperity and public health. They claimed that private ownership of inventions arising from public support would provide a powerful means to liberate biomedical discoveries for public benefit. This articulation of the causal link between private ownership and the public interest, it is argued, justified a new set of expectations about the use of research results arising from government or public support, in which commercialization became a new public obligation for academic researchers. By highlighting the broader economic and legal shifts that prompted the reconfiguration of the ownership of public knowledge in late twentieth-century American capitalism, the essay examines the threads of policy-informed legal ideas that came together to affirm private ownership of biomedical knowledge as germane to the public interest in the coming of age of biotechnology and genetic medicine.     

早期阶段创新项目的财政资助政策研究

在激励理论的分析框架下对早期阶段创新项目的财政资助政策进行了研究,主要结论包括:1)为担保创业企业家的努力投入,创新企业必须投入足够的自有资本才能吸引创业资本的进入,因此政府的财政资助可以弱化创新企业的财富约束,从而激励更多的创新活动;2)要求按比例分享项目收益的有偿资助方式帕累托劣于无偿资助,而仅要求固定回报的有偿资助则是激励中性的。根据上述结论进一步解释了创业投资家在投资项目选择上的阶段偏好现象,并分析了天使投资的矛盾性,证明了在对早期阶段创新项目的扶持中,公共资本起着不可替代的作用。     

Government centrality to university–industry interactions: University research centers and the industry involvement of academic researchers

This paper uses data from a national survey of academic researchers in the US to detect how different types of university research centers affect individual-level university–industry interactions. The results suggest that while affiliation with an industry-related center correlates positively with the likelihood of an academic researcher having had any research-related interactions with private companies, affiliation with centers sponsored by government centers programs correlates positively with the level of industry involvement, no matter whether these centers additionally have ties to private companies. The analysis takes the “scientific and technical human capital” approach, which draws from theories of social capital and human capital and proves useful for framing the institutional and resource-based perspectives that characterize much of the literature on university–industry interactions. The scientific and technical human capital approach is taken because its emphasis on the research capacities of individual academic researchers provides a more direct explanation of government centrality to academic researchers’ industry involvement than provide either the resource-based or institutional views. Implications for policy and management as well as for future applications of the scientific and technical human capital approach are discussed.     

基于科学的创业企业发展与演化研究

随着生物制药、纳米、新材料等领域的崛起,一种新的基于科学的创业企业随之诞生。这类企业与基础科学研究紧密相连,推动着科学的创新。本文以诺奖科学家参与创建,旨在商业化其研究成果的企业为案例,从管理团队、资金来源、企业合作及产品研发四个纬度研究了基于科学的创业企业发展与演化特征。通过分析此类企业管理团队发现,基于科学的创业企业管理层通常由“前沿科学家+商业人士”的组合,既能使企业处于科研前沿面,又有效地保障了企业资源获取及运营管理;从资金来源看,创业初期的资金来源主要有政府基金和风险投资,政府资助支持了企业早期研发并降低了私人投资的风险;企业发展阶段的主要资金来源主要有风险投资、公开募股、商业合作以及运营知识产权等,多元化的资金来源有效支撑了企业巨大的研发支出;企业合作主要有学术合作与商业合作两类,学术合作保持企业处于科学前沿同时获得最新专利;商业合作缩短了产品的研发周期,加快产品上市,巩固了市场地位;基于科学的创业企业其产品研发周期长,风险大;此外这类企业不仅研发面向消费者的商业产品,还研发商业技术,为科研机构或企业提供技术平台。     

University-industry relationships in the life sciences: Implications for students and post-doctoral fellows

Growth in the industrial support of university research in the life sciences and more specifically in biotechnology has raised questions concerning its effects, both positive and negative, on the educational experiences of graduate students and post-doctoral fellows. A survey of 693 graduate students and post-doctoral fellows at six research intensive universities in the United States reveals that 19 percent of the responding students and fellows receive direct industry support for their research or training and that another 15 percent work with faculty advisors supported by industrial funds. On average students and fellows in this sample believe that the benefits of relationships with private firms outweigh the risks. In addition, students funded by private firms are more likely than those without industry connections to report patents resulting from their research. No relationship is found between industry support and young scientists' career plans or their rating of the quality of their educational experiences. However, the data suggest the existence of some risks: industry support is associated with fewer or delayed publications, inhibition of scientific communication on the part of some trainees, and some restrictions on students' and fellows' research. In a few cases, students are supported by funds from companies in which faculty advisors hold equity, a situation that creates potential conflicts of interest for students' mentors. To protect students, university administrators must monitor the relationships with industry that give rise to these potential problems. Future research into industrial support of research and training is needed to extend these results.     

A helping hand from the government? How public research funding affects academic output in less-prestigious universities in China

Universities play an important role in any scientific and technological innovation system. Previous studies have indicated that more generous public research funding resulted in higher research output in universities. Our study, however, proposes that the positive impact of public funds is much weaker in less-prestigious universities than in prestigious ones, and that overdependence on public research funding in fact even hurts academic output quality in less-prestigious universities. We find evidence for this claim in a dataset from among Chinese 622 universities in the period 2010–2017. The negative correlation between high dependence on public research funding and academic output quality is not uniform but depends on specific conditions. It is likely to be weaker in less-prestigious research-oriented universities and in less prestigious universities dedicated to fundamental research. Moreover, we find that for them collaboration with top universities and a high proportion of senior scientists can mitigate the negative impact that high dependence on public research funding has on academic output quality and improve the efficiency in the spending of public funds. Our study contributes to the literature by highlighting differences between prestigious and less-prestigious universities in terms of how public funds affect academic output and by evaluating the impact of government involvement in scientific research at the university-level and it is the first study globally to do so.     

Impact of public and private research funding on scientific production: The case of nanotechnology

This article measures the impact of public grants, private contracts and collaboration on the scientific production of Canadian nanotechnology academics. The paper estimates a time-related model of the impact of academic research financing and network structure on the research output of individual academics measured by the number of papers. Results suggest that the effect of individual public funding follows a J-shaped curve. Although contracts have no effects, the impact of patenting follows an inverted-U shaped curve. In addition, a strong central position in the past collaborative network has a positive effect on research output.     

单项科研项目经费资助强度越大越好吗？——以人文社科项目为例

最近10多年来,我国人文社科单项项目经费资助强度稳步增长,但是项目经费资助强度的绩效问题目前研究比较缺乏。本文以教育部双一流建设高校为例,综合采用联立方程模型、面板门槛回归模型进行了深入研究。研究结果表明：项目经费强度对科研成果具有保障和激励机制;项目经费强度对学术论文的绩效总体较差,对学术著作的绩效尚可;近年来项目经费强度的绩效呈下降趋势;当科研成果较高时项目经费强度的绩效总体良好;学术论文和科研人员数量与项目经费强度负相关;人文社科研发人员的贡献大于研发经费。     

University research funding and publication performance—An international comparison

In current science policies, competition and output incentives are emphasized as a means of making university systems efficient and productive. By comparing eight countries, this article analyzes how funding environments of university research vary across countries and whether more competitive funding systems are more efficient in producing scientific publications. The article shows that there are significant differences in the competitiveness of funding systems, but no straightforward connection between financial incentives and the efficiency of university systems exists. Our results provoke questions about whether financial incentives boost publication productivity, and whether policy-makers should place greater emphasis on other factors relevant to high productivity.     

基于有中介的调节模型的科研合作影响研究

科研合作对促进科技创新和发展具有重要作用，高校作为汇聚、培养和发挥高层次人才的战略高地，如何避免身陷科研合作的“盘丝洞”是学界普遍关注的重要课题。聚焦微观层面高校学者的科研合作，以中介、调节的研究视角为切入点，针对合作范围与科研产出之间的关系，分析位置嵌入、关系嵌入、结构嵌入三种网络嵌入的调节作用和国家级基金资助的中介作用，构建有中介的调节模型。以上海市8所研究型大学被SCIE收录的2018-2020年Web of Science类别为“Nanoscience&Nanotechnology”的4365篇合作论文中1292位作者为样本，开展实证研究，结果表明：(1)国际合作更有利于学者提升科研产出；(2)国家级基金资助在合作范围与科研产出之间起部分中介作用；(3)网络嵌入调节合作范围与科研产出之间的关系，当学者网络嵌入处于较高水平时，强化了合作范围对科研产出的影响，其中位置嵌入、结构嵌入的调节作用部分通过国家级基金资助的中介实现。     

政策效应是否等同?——基于所有制的比较分析

政府资助是企业创新活动的重要资金来源，不同所有制的企业在政府资助下的绩效是否表现出差异性？本文建立回归函数与向量自回归（VAR）模型，研究政府直接资助和税收优惠两种资助方式对不同所有制企业创新产出的影响。结果发现，政府直接资助对我国内陆企业的创新产出未表现出明显促进作用；国有企业的创新产出与政府直接资助和税收优惠的关系不显著；私营企业等的创新产出对税收优惠表现出更大的响应。     

Performance-based university research funding systems

The university research environment has been undergoing profound change in recent decades and performance-based research funding systems (PRFSs) are one of the many novelties introduced. This paper seeks to find general lessons in the accumulated experience with PRFSs that can serve to enrich our understanding of how research policy and innovation systems are evolving. The paper also links the PRFS experience with the public management literature, particularly new public management, and understanding of public sector performance evaluation systems. PRFSs were found to be complex, dynamic systems, balancing peer review and metrics, accommodating differences between fields, and involving lengthy consultation with the academic community and transparency in data and results. Although the importance of PRFSs seems based on their distribution of universities’ research funding, this is something of an illusion, and the literature agrees that it is the competition for prestige created by a PRSF that creates powerful incentives within university systems. The literature suggests that under the right circumstances a PRFS will enhance control by professional elites. PRFSs since they aim for excellence, may compromise other important values such as equity or diversity. They will not serve the goal of enhancing the economic relevance of research.     

政府经费资助结构对高校科研创新的非对称性影响研究

基于2008—2017年115所“双一流”建设高校面板数据，运用动态面板数据模型，实证分析政府经费资助结构与高校科研创新间的关系。研究结果显示：（1）政府竞争性科技经费对高校科研创新产生倒“U”型影响；（2）政府非竞争性科技经费对高校科研创新产生正向影响；（3）高校类型对二者关系具有异质性调节作用；（4）不同地理区位下，政府经费资助结构对高校科研创新的影响强度以及高校类型的调节作用均存在差异。     

Industry funding and university professors’ research performance

University research is to an increasing extent funded by industry, and the share of basic funding is decreasing. In the literature, there are optimistic and pessimistic views on the implication of this development. Based on data from a questionnaire study among all tenured university professors in Norway (N = 1967) we find that there is a significant relationship between industry funding and research performance: professors with industrial funding describe their research as applied to a greater extent, they collaborate more with other researchers both in academia and in industry, and they report more scientific publications as well as more frequent entrepreneurial results. There is neither a positive nor negative relationship between academic publishing and entrepreneurial outputs.     

启示与思考:英国大学科研的政府资助体系

英国政府通过"双重资助系统"对大学科研提供基础条件拨款和项目拨款,保持和提升大学进行科学研究的实力。上世纪90年代以来,大学科研投入的多样化改变了大学科研投入结构原有的平衡,威胁到大学科研的可持续发展。为了改变这种局面,英国政府大幅增加了对大学的科研投入,并改革了科研拨款办法。研究英国政府对大学科研的资助体系,对于改革和完善我国现有的大学科研拨款体制和经费管理体制具有积极的意义。     

以双层治理推动基础研究类院所改革

为了加快建设创新型国家和世界科技强国,我国迫切需要提升原创性基础研究水平。近几年我国基础研究财政投入持续增加,但现行竞争项目制的科研组织方式与基础科研规律不匹配,阻碍了基础研究整体水平的提升。本文从整体治理的角度构建基础研究院所双层治理理论体系,从政府外层治理和院所内层治理两个方面阐述了双层治理体系的理论逻辑。双层治理体系包括政府外层治理明晰院所独立法人权责,院所内层治理建立以人才为核心的治理机制,二者优势互补,内外联动,有效促进了基础研究院所发展。在此基础上,以北京生命科学研究所的成功经验为典型案例,分析政府和院所主体分别在治理体系中的职能和作用,验证了基础研究院所双层治理体系的有效性。本文在总结制约基础研究发展的突出问题基础上,构建与基础研究科研规律相匹配的院所双层治理理论体系,以北生所为例验证了双层治理体系的有效性,为我国新时代基础研究院所治理改革提供了一定的政策启示。     

行业特色型高校基础科研成效研究——以北京交通大学为例

创新引领发展,科技改变生活。党的十九大报告强调了创新的重要性,它是引领发展的第一动力。强大的基础科学研究作为建设世界科技强国的基石也占据着举足轻重的地位。在创新驱动发展的新时代,只有科技强才能国家强,只有基础强才能科技强。基础研究是推进科学技术进步的关键所在,基础研究的累积性进步和突破性发展能够引领带动科学、技术和创新发生整体性、格局性的深刻变化,进而对经济社会全面发展产生基础性、决定性和长期性影响及推动作用。高校是我国基础研究的生力军,其应当承担起国家基础研究的重任,作为基础研究的主要执行者和推动者。在我国,基础研究的主要资助渠道之一是国家自然科学基金委员会。教育部作为高校的上级主管部门,加强对中央高校自主开展科学研究的稳定支持,每年划拨经费支持高校基础研究,重点支持40周岁以下青年教师提升基本科研能力;支持在校优秀学生提升科研创新能力;支持优秀创新团队建设;开展多学科交叉的基础性、支撑性和战略性研究;加强科技基础性工作。在高校基础科研活动中,中央高校基本科研业务费、国家自然科学基金等基金类项目为高校基础研究提供强大的支持,高校也在其资助下取得了较大的成果。目前,针对科研成效评价有许多的研究,比如按照论文、奖励、专利等成果产出方式进行分析研究。针对科研成效评价研究可以对本单位的科研活动进行系统的梳理和对比,更好的服务于科研活动。因此,行业特色型高校基础科研成效分析因而意义重大。北京交通大学是教育部直属,教育部、北京市人民政府、中国铁路总公司共建的全国重点大学。北京交通大学是交通大学的三个源头之一,有着强烈的铁路行业特色。作为行业特色院校,在行业内有着较大影响力。本文以北京交通大学为例对行业特色高校基础研究项目成效进行了比对分析,为行业特色高校的基础研究提供建议与借鉴。     

行业特色型高校基础科研成效研究——以北京交通大学为例

创新引领发展，科技改变生活。党的十九大报告强调了创新的重要性，它是引领发展的第一动力。强大的基础科学研究作为建设世界科技强国的基石也占据着举足轻重的地位。在创新驱动发展的新时代，只有科技强才能国家强，只有基础强才能科技强。基础研究是推进科学技术进步的关键所在，基础研究的累积性进步和突破性发展能够引领带动科学、技术和创新发生整体性、格局性的深刻变化，进而对经济社会全面发展产生基础性、决定性和长期性影响及推动作用。高校是我国基础研究的生力军，其应当承担起国家基础研究的重任，作为基础研究的主要执行者和推动者。在我国，基础研究的主要资助渠道之一是国家自然科学基金委员会。教育部作为高校的上级主管部门，加强对中央高校自主开展科学研究的稳定支持，每年划拨经费支持高校基础研究，重点支持40周岁以下青年教师提升基本科研能力；支持在校优秀学生提升科研创新能力；支持优秀创新团队建设；开展多学科交叉的基础性、支撑性和战略性研究；加强科技基础性工作。在高校基础科研活动中，中央高校基本科研业务费、国家自然科学基金等基金类项目为高校基础研究提供强大的支持，高校也在其资助下取得了较大的成果。目前，针对科研成效评价有许多的研究，比如按照论文、奖励、专利等成果产出方式进行分析研究。针对科研成效评价研究可以对本单位的科研活动进行系统的梳理和对比，更好的服务于科研活动。因此，行业特色型高校基础科研成效分析因而意义重大。北京交通大学是教育部直属，教育部、北京市人民政府、中国铁路总公司共建的全国重点大学。北京交通大学是交通大学的三个源头之一，有着强烈的铁路行业特色。作为行业特色院校，在行业内有着较大影响力。本文以北京交通大学为例对行业特色高校基础研究项目成效进行了比对分析，为行业特色高校的基础研究提供建议与借鉴。     

公安科技领域科学基金申报及资助情况研析

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