英国公共科研机构私有化改革后管理运行模式探析——以英国物理、化学、洛桑实验室为例

英国作为一个具有悠久科学传统、重视基础研究和学术自由的国家,长期以来一直重视科研机构机制体制、管理模式的不断创新.20世纪80年代私有化改革后,英国公共科研机构出现三种管理运行模式,论文就这三种模式演变中具有代表性的科研机构的最新发展进行跟踪研究,从中分析出对我国公共科研机构改革、创新基地建设可借鉴的方面,以促进我国的科技体制创新,提高科技竞争力.     

The contribution of (not so) public research to commercial innovations in the field of combinatorial chemistry

This paper examines the roles that publicly funded research play in the process of combinatorial drug discovery. It is shown that firms rely heavily on public research knowledge and, even more so, on education in organic chemistry, genomics and biochemistry. Publicly funded research also led to the creation of dozens of chemical-based companies, provided firms with an access to a larger network of innovators and generated important instruments and methods that are being used throughout the value chain of combinatorial drug discovery. The effects of public research, however, often look different depending on whether one sees them through the prism of larger or smaller firms, EU15 countries or the US, universities or other PROs.     

美国大学科研项目间接成本补偿机制研究

文章分析了由美国联邦政府资助、由大学承担的科研项目的间接成本补偿机制,包括间接成本补偿机制的历史演变、间接成本的构成与核算方法、间接成本率的谈判机制等,并结合我国科研项目间接成本管理现状提出政策建议。     

Policy orientation effects on performance with licensing to start-ups and small companies

This study empirically tests a model of a university's selectivity and support policy orientation for technology licensing and its interaction with the external environment for entrepreneurship. Using a sample of 134 US research universities, we investigate main, two-way and three-way interaction effects for two measures of technology transfer performance—licenses with companies that subsequently go public and product royalties. Results indicate both main and moderating effects for both measures of performance. Implications for practice and policy are offered, with special attention to public universities.     

论高等学校科研经费的财务管理

近年来,由于高校对科研工作的高度重视和广大教职工的积极参与,高校科研水平逐年提高,新的科研成果不断增加,来自国家和企业等各个方面的科研经费也在不断增多。如何管好用好高校科研经费,充分发挥财务管理在科研活动中的重要作用,杜绝科研经费在管理中存在的许多漏洞和弊端,关系到学校科研水平的提高和学校整体工作的开展。     

Has the Bayh-Dole act compromised basic research?

We examine three hypotheses regarding the effects of the Bayh-Dole Act on research effort of faculty. The first hypothesis we call the status quo hypothesis and it asserts that there has been no effect on research profiles. The second hypothesis, which we call the negative hypothesis, asserts that faculty have been diverted from their traditional role in basic research toward research with more commercial potential. Our final hypothesis is derived from prior theoretical work that suggests that both basic and applied research is greater when faculty can benefit from commercialization of their research effort; we refer to this as the positive hypothesis. The data we examine are the research and invention disclosure of faculty at 8 US universities over the period 1983–1999. Using a citation based measure of basic research publications we relate basic research effort to invention disclosures. Our findings are clear in that they do not show any support for the negative hypothesis and they show substantially greater support for the positive hypothesis than for the status quo hypothesis.     

海外人才引进计划提升了我国大学科研产出吗？——以“211”工程大学化学学科为例

“海外高层次人才引进计划青年项目”是我国引进海外优秀青年人才的重要举措。本文以“211”工程大学为样本,运用双重差分法分析实施该项目与科研产出的关系。结果表明：（1）“青年项目”显著提升了大学科研产出数量和质量,对科研产出质量的提升作用更大。（2）“青年项目”对大学科研产出的促进效应呈“边际效用递减”规律,与高学术水平大学相比,“青年项目”对低学术水平大学科研产出的提升更大。（3）大学科研经费投入在“青年项目”和大学科研产出之间起部分中介作用。研究结论从组织层面丰富并拓展了“青年项目”政策研究,为青年入选者政策实施提供了理论和经验支撑。     

Role of public research institutes in national innovation systems in industrialized countries: The cases of Fraunhofer,NIST, CSIRO,AIST, and ITRI

Public Research Institutes (PRIs) were established for many reasons, such as to promote defence related research and health related research. Helping domestic industries remains one of the important missions for public research institutes even when the countries have industrialized and firms’ technological capabilities are high. PRIs aim to upgrade existing industries, especially SMEs, as well as spearheading new ones. They can conduct research to solve today’s problems of existing industries and those of next generation technologies which might lead to creation of new industries. Moreover, relationship between PRIs and firms and non-firm actors like universities became more intense, open, horizontal, international, and longer term. To reduce risk and uncertainty inherent in research mentioned above, intermediary roles of PRIs are increasingly important. The emphasis and the ways PRIs help industry change over time and vary across countries as they are integral part of national innovation systems. This makes generalization difficult, but the experiences of five leading PRIs in Germany, Taiwan, Japan, Australia, and the US shows that, the balances between contract research vs. longer term research with own initiative, mobility of researchers vs. retaining core researchers, and competitive grants and funds from industry vs. block grants from government are important to keep PRIs relevant to industry needs and maintain research standards. The governance of PRIs is of particular importance to maintain proper balances.     

建立基于效率的高校科研管理体系与运行机制

为了促进高校科技创新系统的高效运行,提出应该逐步建立基于效率的高校科研管理体系与运行机制：①为了提高我国知识生产的效率,应该继续加大对高校科研的投入力度,进一步强化高校在我国知识生产中的中心地位;②为了使有限的公共高等教育资源发挥更大的效益,在配置公共高等教育资源时应从高校科研的投入产出效率出发,建立基于效率的拨款新机制;③依据高校科研的特点,目前提高高校科研效率应以扩大高校科学研究规模为主,以改善高校科学研究生产力及其管理水平为辅;④应进一步加强高校与其他部门尤其是产业部门之间的合作,促进高校科技成果的转化,     

高校二级科研管理体制构建的一点思考

随着国家高等教育体制改革的不断深化,在高校的发展中,科研工作已经占据重要地位,为了促进高校科研管理工作的发展和进步,高校二级科研管理体系应运而生,并随之发展。本文作者结合所在高校的现状及今年开展校院两级管理体制和运行机制的调研工作,从高校二级科研管理的必要性,现状及构建策略单个方面,阐述了一些高校二级学院科研管理的建议和思路。     

我国研究型大学跨学科研究组织建制、问题及对策

以我国42所“双一流”建设高校作为高水平研究型大学的代表，从组织发展趋势、聚焦领域等方面分析跨学科研究组织的建设现状，从组织目标、组织形态、组织管理维度剖析其组织建制。当前我国研究型大学跨学科研究组织建设存在数量不足、质量参差、建制形式不灵活、管理机制薄弱等问题，因此，我国研究型大学应制定专门的跨学科发展战略规划，拓展多元化的组织形式，建立完备的制度保障体系。     

Australian Universities in Crisis

That this book, having been recommended for publication by the editors of Melbourne University Press, was subsequently rejected through the intervention of the University authorities, is a symptom of the very malaise which the contributors address. Since the Dawkins 'reforms' to Australian higher education the university system has come under increasing surveillance by government functionaries, and university 'managements' have been subverted through their desire to win favour from government and to display their 'competitive edge' against other 'institutions'. The 'reforms' have mandated the wholesale introduction of business techniques, and a pervading business ethos, which is quite inappropriate to the traditional function of universities. The very word 'traditional' is rejected as contrary to the commitment to change required of expanding businesses. That universities have a role in conserving and transmitting a public culture is all but repudiated by university managements in their desire to appear at the 'cutting edge' of government privatization agenda. The authors of this book affirm a public role for universities, and reassert the conviction that they must protect a threatened independence in the search for truth, and in the responsibility to 'speak truth to power'. Since 'managements' are now unlikely to uphold these duties, it becomes the responsibility of the members of the community of scholars to maintain independence of thought and to expound the truth.     

Performance-based research funding: Evidence from the largest natural experiment worldwide

A performance-based research funding system (PRFS) is a nationwide incentive scheme that promotes and rewards university research performance through competition for government funding. The UK’s PRFS, currently the Research Excellence Framework (REF), is considered the oldest, largest and most developed payment-by-results system in academia worldwide. Surprisingly, and despite the strong criticisms, little has been done to quantitatively and casually evaluate the intended and unintended effects of the PRFSs. In this paper, we evaluate the incremental impact of the REF 2014 in the fields of Economics and Business. We use a synthetic control method to compare the performance of UK universities with their artificial counterfactual units constructed using data from US universities. Our analysis shows, on the whole, that the introduction of the REF had a significant and positive impact on the quantity and quality of the scientific research produced at UK universities. However, we do not find a significant effect on the per author measures, suggesting that the REF did not result in an increase in research productivity. We also show that the effects are more heterogeneous across universities than across academic disciplines. We do not find evidence of a shift of research focus from Economics to Business topics, as some feared. But our analysis indicates that the REF 2014 may have contributed to the concentration of research excellence in elite institutions.     

“双一流”目标下一流大学科研效率评价

“双一流”建设是我国高等教育强国建设的战略安排,是我国高等教育发展的必由之路。“双一流”建设之一流大学建设高校,是高等教育强国建设的“领头雁”,研究一流大学建设高校科研创新效率,加快提升科学研究水平具有重大现实意义。本文以一流大学高校为研究对象,构建了突出科研产出质量和服务的综合效率评价指标体系,在传统DEA模型基础上运用随机前沿分析理论,通过三阶段DEA模型方法测度一流大学建设高校的科研效率,并进一步分析环境因素对科研效率的影响差异。研究结果表明：(1)环境变量和随机误差是影响一流大学科研效率的重要因素,我国一流大学整体科研效率存在虚高现象,剔除环境因素后样本高校综合效率和纯技术效率均值都明显下降。(2)地区经济水平、居民受教育程度和政府扶持力度对各个高校科研效率存在差异性影响,并据此将高校分为稳定型、发展型和改进型三类。(3)一流大学建设高校科研效率存在分化倾向,规模收益递减现象突出,其科研效率提升的关键是缩减规模、完善内部治理结构、优化资源配置,持续深化科研体系改革。     

Public research institutions and economic catch-up

Public research institutions, often but not always connected with universities, have been in the past important elements of the structures supporting economic catch-up. Recent changes in the international economic environment, and the growing scientific basis for contemporary technologies, will make those institutions even more important in the future. Universities and public labs have contributed to the development of technological capabilities in different forms across countries and economic sectors. In contrast with current emphasis on university-based embryonic inventions and fundamental research, effective research programs have predominantly occurred in the application-oriented sciences and engineering, and have been oriented towards problem-solving, and the advancement of technologies of interest to a well-defined user-community.     

Simultaneous pursuit of discovery and invention in the US Department of Energy

There is a sharp boundary between basic and applied research in the organizational structure of the US Department of Energy (DOE). In this work, we consider a branch of DOE that was designed to operate across this boundary: the Advanced Research Projects Agency – Energy (ARPA-E). We hypothesize that much of energy research cannot be neatly categorized as basic or applied and is more productive outside of the confines of the basic/applied dichotomy; ARPA-E gives us an opportunity to test that hypothesis. We construct a novel dataset of nearly 4000 extramural financial awards given by DOE in fiscal years 2010 through 2015, primarily to businesses and universities. We collect the early knowledge outputs of these awards from Web of Science and the United States Patent and Trademark Office. Compared to similar awards from other parts of DOE, ARPA-E awards are significantly more likely to jointly produce both a publication and a patent. ARPA-E has been highly productive in creating new technology, while also contributing new scientific knowledge. This observation points to the productive overlap of science and technology in energy research and, more generally, for mission-oriented research funding organizations.     

双元性创新视角下高校科学研究对成果转化的影响

传统的双元悖论认为高校中的科学研究与成果转化两者不可兼得。为了研究高校科学研究与成果转化之间的关系,本文基于双元性创新的动态视角,运用面板负二项随机效应模型,以2009—2016年间64所教育部直属高校为样本,进行了实证分析。研究结果表明：高校过去在科学研究成果上的表现,正向加强了当前时点的成果转化;当外部竞争程度越高时,这种边际作用将会增强,但是对于更知名的高校来说,这种边际作用将会被削弱。此外,成果转化的商业化渠道对两个不同时间点的科学研究成果产生了积极的中介作用,使高校科学研究与成果转化之间形成了良性的动态循环。 〖HT5”H〗关键词：     

论我国研究型大学建设的两个宏观必要条件——适度的科技投入规模和有序的公平竞争

通过借鉴OECD国家的经验及美国与欧盟的比较,阐述了适度的科技投入规模和有序的公平竞争是研究型大学建设的两个宏观必要条件,指出我国存在的相关问题,进而提出政策建议.     

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。     

产学研合作对广东高校高层次科研能力的影响研究

利用2006~2013年度广东省高校科技统计相关数据,对产学研合作在广东高校高层次科研能力方面的影响进行了研究和分析。结果表明,在众多控制变量中,对广东高校高层次科研能力影响最大的是人力资源因素,产学研合作因素和政府支持因素的影响几乎持平。产学研合作对广东高校高层次科研能力有显著的正面提升效应,其产出弹性为人力资源因素产出弹性的55%,最显著的影响主要体现在对收录工程技术类论文的EI索引论文方面。进一步分析表明,科研实力较高的博士点授权高校的高层次科研能力由政府支持力度决定,产学研合作对科研实力较弱的其他高校有一定的提升。