中国产学研三大部门技术创新经费投入产出效率评估研究

高校、科研单位与企业三大部门是我国应用研究和试验发展环节的重要技术创新主体，亟需评估其效率。采用“经费支出—专利产出—预期收益—实现收益”三步骤分析框架，利用已有统计调查数据，对三大部门技术创新经费投入产出效率进行测算。结果表明，三大部门技术创新经费投入产出效率都偏低，企业部门每亿元经费投入实现的收益约为9733万元，科研单位约为1331万元，高校约为1166万元。该测算值是真实产出价值的下限，但真实产出不会高太多。产出效率低的主要原因在于，高校和科研单位技术创新的产业应用目标指向性不明确、存在科技成果转化难题以及企业能力制约等。最后，建议加快政府相关科技计划制定、加强成果评价过程中产业部门的参与、优化高校和科研单位科研评价体系、加大企业研发费用加计扣除力度等。

The Input-output Efficiency Evaluation of Technological Innovation Funds in the Universities,Scientific Research Institutions and Enterprises in China

To implement the innovation-driven development strategy is to enhance the contribution of scientific and technological progress to economic development. Universities, scientific research institutions, and enterprises are all important technological innovation undertakers which are involved in applied research and experimental development. In recent years, China's research, experiment and development funds have been increased significantly, and most were used for applied research and experimental development. How much such a high investment contributes to economic development is a major question that needs to be answered urgently. Relevant studies on the evaluation of technological innovation efficiency in China are abundant, but there are two deficiencies. First, the evaluation objects are mostly on the micro or meso levels, such as a single or regional university or scientific research institution, and the evaluation of the input-output efficiency of technological innovation funds of Chinese universities, scientific research institutions and enterprises as a whole is less involved. Second, the actual yield of economic benefits are still relatively few.#br#This paper makes input-output analysis. It mainly uses the fund expenditure as the input index, and takes patents as the direct output of applied research and experimental development activities. But obtaining patents is not the ultimate goal, it is more an intermediate output. Based on the availability of data, this paper also takes the expected patent income as an intermediate analysis, and finally discusses the final realizable value of the expected patent income. Therefore, this paper adopts the three-step calculation method of "expenditure-patents-expected income-realized income".#br#The results show that the economic contribution of technological innovation activities in applied research and experimental development of universities, scientific research institutions, and enterprises in China is low, and the benefits that can be realized per 100 million yuan of funds are only about 11.66 million, 13.31 million and 97.33 million respectively. The estimated value should be the lower limit of the real output value, but the real output should not be too high. The reasons for the low output efficiency mainly lie in the insufficient application objective orientation of the technological innovation activities sponsored by governments in universities and scientific research institutions, the difficulties in the transformation of scientific and technological achievements, and the constraints on the ability of enterprises.#br#This paper estimates the input-output efficiency of every 100 million yuan of funds for technological innovation in universities, scientific research institutions, and enterprises as a whole. The results also show that in absolute terms, the output of 100 million yuan of funds for technological innovation in universities and scientific research institutions is far lower than the input and lower than that of enterprisess. This requires a policy discussion, that is, should the government vigorously fund the technological innovation activities of universities and scientific research institutions? In some cases, the government needs to support the technological innovation of universities and scientific research institutions because of the importance, scarcity, and irreplaceability of their capabilities. Therefore, this paper provides three suggestions. First it is necessary to improve the application target orientation of technology R&D activity in universities and scientific research institutions, give full play to the role of enterprise problem setters and potential users, as well as the role of venture capital as forward-looking judgment and potential follow-up investors, and allow them participate more actively and deeply in the formulation of national or local government science and technology plans and achievement evaluation. Second, it is essential to keep improving the scientific research evaluation of universities and scientific research institutions, and promoting the transfer and transformation of technical achievements. Qualified universities should speed up the establishment of pre-patent application evaluation system, reduce the unnecessary loss of resources in patents without commercial value, and effectively improve the quality of patent applications. Moreoverthe classified evaluation system of universities and scientific research institutions should be improved to strengthen the contribution evaluation of achievement transformation. Third, the government should encourage and support enterprises to continuously improve their technology R&D capabilities,which means encouraging and supporting enterprises' long-term technology investment and accumulation by further tax deduction of enterprises and the tax reduction or exemption of key R&D personnel.#br#