【作者】 孙绪华；

【导师】 程国强；

【作者基本信息】 华中农业大学 ， 农业经济管理， 2011， 博士

【摘要】 进入21世纪以来,科技资源作为科学技术的基本要素,已经成为国家战略资源；国与国之间的竞争,也逐渐从一般资源配置竞争上升到了科技资源配置的竞争。不断加大对科技资源的投入,已经成为世界各国的战略选择。当前,我国正处于工业化转型的关键时期,科技体制的深层次矛盾在改革进程中同益显露,突出地表现在：国家宏观科技管理体制政出多门、管理部门各自为政,权力高度分散和过分集中的双重矛盾并存；科技项目名目繁多,产学研联系不紧,科技资源配置缺乏整体布局；科技政策法规的效力等级较低,统筹协调力较弱等；科技资源配置主体权责不明,科技资源投入结构不合理,配置与使用效率低下。鉴此,本研究在对我国科技管理政策进行系统回顾和总结的基础上,通过对科技财力和人力资源配置格局的认识和配置效率评价,进一步认识我国科技资源配置现状及变动规律,查找存在的问题,并在借鉴国外经验的基础上,提出针对性的政策建议。论文包括六个部分：一是运用资源配置、新制度经济学、产权和公共选择等相关理论和分析方法,对科技资源及其配置的基本概念和研究范畴进行了界定,构建了科技资源配置研究的理论分析框架；二是在基本概念界定和理论分析的基础上,着重对我国科技管理体制、配置机制和政策体系进行系统的梳理和评价；三是基于相关统计数据,运用集中度测算指数,对我国科技财力资源和人力资源配置的总量、区域及部门等布局情况进行分析；四是通过科技投入产出比率分析和构建“科技投入产出多元回归模型”,对我国科技资源投入产出的绩效进行系统评估；五是运用数据包络分析方法(DEA)中的Malmquist指数对1999-2007年全国和30个省(自治区、直辖市)科技资源配置和研发投入中的全要素生产率指数(TFPch)及其分解指标进行测算,多层次、多角度地对我国科技资源配置效率及其影响因素进行深度剖析；六是在总结发达国家科技资源配置主要做法及经验的基础上,研究提出优化科技资源配置的政策建议。研究表明,虽然我国目前设立了国家科技教育领导小组,在一定程度上使过去政府科技政策或计划决策分散、各自为政的矛盾有所缓解,但并没有从根本上解决我国科技管理体制的平行式组织架构和混合型资源配置模式所导致的资源配置结构不合理、使用效率低下、科技政策难以有效落实等问题。其次,我国财政科技投入存在非常明显的地区差异和不均衡性,主要体现在：国家财政科技投入主要流向那些科技基础条件完善、科技力量雄厚和产业基础较好的经济发达地区,而经济不发达区域和少数民族及贫困地区由于基础较弱而很难得到财政科技投入支持。与此同时,我国科技研发持续投入战略尚不明朗,科技投入没有形成稳定增长机制,投入结构不尽合理,特别是对基础研究的投入明显不足,严重制约了我国原始创新能力的提升。第三,当前企业已成为我国科技活动的主体,近半数以上的科技人员来自企业；但我国科技人员主要分布在广东、江苏和北京、上海等东部发达地区；而在中西部欠发达地区,由于经济发展水平较低,企业创新意识淡薄,科技人员的工资待遇、科研环境和创新氛围较差,科技人力资源特别是高端科技人才十分缺乏。总体上,我国R&D人员的学历结构仍然偏低,高层次科技人才严重缺乏,已经成为当前制约我国企业提升自主创新能力的主要障碍。第四,从科技资源投入产出角度来看,基础研究的R&D人员投入、财政资金投入和企业资金投入对我国科技创新能力和产出绩效的影响显著；其中,特别是基础研究领域的R&D人员投入成为当前影响和制约我国科技创新能力与产出绩效的核心要素。应用研究领域的R&D人员投入、试验与发展研究领域的R&D人员投入及金融机构贷款对我国科技创新能力及产出绩效的影响相对较小。第五,1999-2007期间,随着科技人才队伍的不断壮大和科技投入的不断增加,我国科技资源配置效率和研发效率不断提高,这种提高主要源于技术进步加快和技术效率改善的双重作用,但技术效率改善的作用要大于技术进步加强的效果。同时,我国科技资源配置过程中仍然存在大量的重复投入和资源浪费,投入结构不尽合理,资源配置方式仍然以计划为主导,市场对科技资源的基础性配置作用难以充分发挥,科技资源配置效率仍有较大提升空间。基于研究,论文最后针对我国科技资源配置从八个方面提出了有针对性的政策建议。一是理顺管理体制,加强科技资源配置的统筹与协调,合理界定各涉科管理部门职能,强化中观层面科技资源配置主体的职能。二是以现代院所制度建设为中心继续深化科研机构改革,优化科研力量布局和结构调整,加快科研机构的整合与重组,进一步明确科技成果权益的分配及归属。三是加强科技立法和制度规范建设,提升科技资源配置工作的战略性、权威性和规范性。四是建立多元化经费投入机制,要在确保科技经费两个法定增长的基础上,优化科技经费投入结构,强化科技经费的监管,并妥善解决科技经费使用中的现实问题。五是实施人才战略工程,加强创新型人才队伍建设,以实施高层次人才战略为抓手加大对青年科技人才、重点科研人才和团队的支持与培养,支持企业培养和引进科技人才。六是以科技资源共建共享为核心,加强科技基础条件平台建设要健全和完善科技基础条件平台共享机制。七是建立以企业为主体,以产业发展为导向,产学研紧密结合的创新体系,为企业创新营造良好的环境。八是建立区域创新中心和创新联盟,推动中西部欠发达地区创新能力建设和科技成果转化。论文的主要创新点在于：一是对科技资源及其特点进行了深入研究,首次提出了科技资源流变性、衍生性、再生性、系统性和层次性的特点,为深化对科技资源配置及其流动规律提供了科学的理论基础；二是通过对现行科技管理体制和配置机制及相关政策进行系统梳理与评价,深入探讨了当前影响我国科技资源配置效率提升的制度阻碍和机制缺陷,从而使研究更具体、更有针对性；三是运用集中度指标和基尼系数,重点对我国科技财力资源和人力资源配置的总量、区域及部门特征等进行了分析；同时,结合多元回归模型和科技资源投入产出效率评价两阶段模型对我国科技资源配置的投入产出绩效和配置效率进行了不同层面的分析,这使研究的视角更加多维化,解剖更加全面,论证更加充分。更多还原

【Abstract】 Since the 21st century, knowledge has become important strategic resources, which determined the development of economy and society.The core content of knowledge is science and technology(S&T). As the basic elements of S&T, S&T resources have become national strategic resources, and the competition among countries has gradually turned to S&T resources allocation from the general ones. Therefore, increasing investment in S&T resources has become the common strategic choice of all nations in the world. Now China is in the critical transition period, and many problems about scientific and technological system are exposed gradually during the reform process. The most prominent aspects are as following. First, there is a dual contradiction between decentralization and excessive concentration since the national macro-management system of S&T policies has been made by different departments, and the management department is separate rather than together. Second, the technology projects are too multiple, and the research cooperation among industries, universities and institutes is too weak. The allocation of S&T resources is lack of integral layout. Third, the hierarchy of S&T policy is quite low and lack of coordinate cohesive affinity, etc. Fourth, the consequent problems include the unidentified duty and right of the subject of S&T allocation, irrational structure of S&T resources, and inefficient allocation etc. In view of this, the study summarized the systematic and structural defects of current S&T resources in the aspect of management and allocation through depth analysis of China’s institutions and mechanisms of S&T resources allocation and allocative efficiency. It also put forward targeted and constructive policies and advices on the basis of foreign experiences.The research includes six parts. Firstly, it re-defines the basic concept of S&T resources allocation and its study scope, and build the theoretical framework of S&T resources allocation through relevant theories and analytical methods, such as theory resources allocation, new institutional economics, property rights theory and the theory of public choice. Secondly, on the basis of concepts definition and theoretical analysis, this study focused on the evaluation of current S&T management system, allocation mechanism and policy system, and identified the institutional and structural defects, so that to provide guidelines for the optimization of S&T resources allocation. Thirdly, this study made empirical analyses on the characteristics of total amount, regional and sectoral of the allocation of S&T financial resources and human resources by using the relative statistical data and measured concentration index, and analysed the status of spatial and regional distribution of technological resources in China. Fourthly, this study made a systematic evaluation on the performance of China’s input and output of S&T resources by analyzing technology input-output ratio and building the technology input-output multiple regression model. Fifthly, based on DEA model and the Malmquist index, this study made a depth analysis on national S&T resources allocation efficiency and its influencing factors from multi-level and multi-angle, and estimated the total factor productivity index (TFPch) and its decomposable indicator of S&T resources allocation and R&D investment in the whole nation and 30 provinces (cities, districts) from 1999 to 2007. Finally, the paper proposed to optimize the principles, objectives, the general concepts and important points, also including relevant policies and advices by learning the good experiences from developed countries.The research result shows that:in the new period, China has established Science and Technology Education Leading Group Office of the State Council, and to some extent have corrected the defects that government’s S&T policy or program always concentrate on one sector or scattered in various departments, and improved position of S&T in government decision-making. However, it is hard to fundamentally resolve the problems that parallel management structure and hybrid resource allocation model of China’s S&T system, which made the resource allocation structure irrational and inefficient. The technology policy is also hard to work. At the same time, due to the limitations of the inherent management system and operation mechanism, the stability and constraint force of S&T policy are weak, and evaluation and monitoring mechanism is not perfect, etc., S&T resource allocation efficiency of China is restricted to be improved. Secondly, it has remarkable regional differences and unbalance in state-owned S&T financial resources allocation. For example, those developed areas where basic conditions of S&T are perfect have more state-owned S&T financial resources than those undeveloped or minority areas for the weaken basis. Although the flow direction of S&T financial resources allocation based on market may help to improve the resource utilization efficiency, but it may also lead to the’vicious circle’of’poor getting poorer, the rich getting richer’, thus makes the regional economic and social development gap more obvious. At the same time, R&D investment in China still lacks a clear strategy for sustainable development, and steady growth mechanism of S&T investment has not been formed, and the investment structure is also not reasonable, especially basic and applied research input is obviously insufficient, and the above situations have already influenced the development of original innovation ability. Thirdly, the current enterprises have become main activities of China’s S&T activities, and more than half of China’s S&T staffs are distributed in enterprises. But S&T staffs are mainly distributed in Guangdong, Jiangsu, Beijing, Shanghai and other eastern developed cities, while S&T staffs, especially high-end talents, in less developed central and western region are deficient due to lower level of economic development, and the innovation consciousness of enterprise, scientific and technical staff wage, research environment and atmosphere of innovation is not so good. At the same time, the R&D staff is less educated, especially in the enterprises compared to R&D institutions and colleges, and this has become a barrier to advance the ability of the independence and innovation of enterprises in China. In addition, in recent years the allocation ratio of R&D staff in the field of basic research and applied research has continuously decreased, which greatly affected the optimization and improvement of the S&T allocation efficiency. Fourthly, from the view of S&T resources input and output, R&D staff inputs, government funding and corporate capital investment in basic research had good effect on S&T innovation capacity and output performance, especially, R&D staff inputs in basic research are the core elements which influence and constrain China’s technological innovation capacity and output performance. While R&D staff inputs in applied research and experimental research and development research and the loans from financial institutions has little influence on S&T innovation ability and output performance in China. Fifthly, from 1999 to 2007, China’s S&T resource allocation efficiency and research efficiency were keeping improvement with growth of scientific and technological staff and increased investment inS&T. Growth of the nation’s S&T resource allocation and R&D efficiency is mainly due to the dual impact of technological progress and technical efficiency improvement, but the latter is greater than the former. However, the capacity of original innovation of China’s S&T research is still inadequate, there still exists a lot of problems in the progress of S&T resource allocation, such as repeated investment, waste of resources, unreasonable investment structure, the resource allocation is still dominated by plan, and the market is difficult to play full role as basic S&T resources allocation, which leads to the technology resource allocation inefficient.Based on the above conclusions and the foreign experiences of S&T resource allocation in the typical market economy countries, the paper proposes some practical strategies and recommendations:it is possible to establish the highest decision-making bodies of technology management and make the functions of co-ordination of scientific and technological work centralized; enhance specifications and stability of scientific and technological project and strengthen the coordination and convergence between central and local S&T management; deepen reform of scientific research institutions, optimize scientific research layout and its structural adjustment; promote public R&D resources integration, strengthen the continued support of key areas such as basic research, common industrial technology and key technologies; establish a more flexible funding system and improve the related policy evaluation mechanisms of S&T investment of government; develop the basic role of market of the allocation of resources and set the dominant position of enterprises in technological innovation.The main innovations of this thesis are as follows: Firstly, the state-owned S&T resources and their derived types were clearly defined and divided, which can provide us a scientific and detailed theory basis for the whole society to deepen the understanding of S&T resource allocation and its flow pattern as well as related characteristics. Secondly, this study also discussed obstruction and mechanisms defects which affect the efficiency of S&T resource allocation, which makes the research more specific and the practice more targeted through sorting out and evaluating current technology management system and configuration mechanisms and related policies.Thirdly, using the concentration index and Gini coefficient, this study had an empirical study on total of the financial resources of technology and human resources, regional and sectoral characteristics. Meanwhile, analyzed the performance of the input and output and the allocation efficiency of the nation’s S&T resource at different levels by combining multiple regression model with evaluation of technology resources input and output efficiency of two-stage model were also analyzed, which makes the study more multidimensional, and the analysis more comprehensive, and the demonstration more sufficient.更多还原