【作者】 管仕平；

【导师】 朱卫东；

【作者基本信息】 合肥工业大学 ， 企业管理， 2012， 博士

【摘要】 研究基础研究的地区差距,提升落后地区的基础研究能力,有助于提高落后地区技术吸收能力,增强科技援助的效应,缩小地区社会经济的发展差距。基于国家自然科学基金视角,本文以地区基础研究为研究对象,探讨了我国基础研究的地区差距及其变化趋势、基础研究援助对象的识别模型以及落后地区基础研究的资助方式,目的在于提升落后地区的基础研究能力,增强落后地区的技术创新能力,从而为社会经济协调发展,制定科技发展规划和政策提供依据。论文的主要研究工作和创新点如下：1.系统分析了国家援助落后地区开展基础研究的理论基础；阐述了基础研究对于缩小地区发展差距的作用和意义,并明确了基础研究援助机制的主要内容。2.定量研究了基础研究能力的地区差距及其演变情况。基于国家自然科学基金资助主体的视角,以地区获得资助主体的竞争性基础研究项目作为地区基础研究能力的衡量指标,基于基尼系数和泰尔指数思想,构建了基于项目类别和区域类别的地区基础研究能力差距指数模型,测量了我国各省区基础研究能力的地区差距及其变化趋势。测量结果表明我国基础研究能力在全国各省区的总体差距呈下降趋势。从项目类别分解指数的结果看,普通科技工作者的基础研究能力的地区差距与总差距呈现一致的特征,但是青年科技工作者的基础研究能力的地区差距呈波动下降趋势,说明一些地区不具有稳定的从事基础研究的青年科技人才队伍；区域分解能力差距指数的地区分解表明东部和中部地区的内部差距呈下降趋势,东北地区的内部差距基本保持稳定,但是西部地区的内部差距却呈现上升态势。3.通过采用Panel Data变截距模型,分析了影响上述地区基础研究能力的因素。计量结果表明,SCI论文数、EI论文数、国家重点实验室、教育部重点实验室、高校和科研机构R&D人员、高校和科研机构R&D经费这些因素与地区获取基础研究项目的多少有显著正相关关系。从地区固定效应系数看,北京、广东及上海等发达地区的基础研究资源转化为能力的效率更高。4.构建了地区基础研究援助对象评价和遴选的二维矩阵评价模型。对落后地区开展援助,要解决的一个核心问题就是对哪些地区进行援助,即援助对象的选择问题。本文提出从地区基础研究资源和基础研究能力两个维度开展对地区的评价,以更好地刻画地区的特征。构建了以研究基础资源(SCI论文数、EI论文数、国家重点实验室、教育部重点实验室、高校和科研机构R&D人员、高校和科研机构R&D经费)为指标的综合评价体系,采用综合评价方法,建立了基础研究资源指数；然后以各地区获得的竞争性基础研究项目的比例份额为基础研究能力指标,构建了基础研究能力指数；同时每个维度都将地区分为强、较强、中等、较弱、弱五类地区,建立了“基础研究资源——基础研究能力”二维矩阵评价模型来评价地区的基础研究状况。5.针对援助对象的特征,构建了落后地区基础研究的“项目—设施—合作网络”三位一体的资助方式。从科研项目、科研基础设施及科研网络关系三方面对落后地区的基础研究开展援助,其中科研项目是核心,是拉动落后地区开展基础研究的首要因素,科研基础设施是落后地区开展基础研究的基本条件,而通过建立网络关系,使落后地区的科研人员得到发达地区高水平研究人员的支持,提高落后地区科研人员的研究能力。6.最后是依据国家自然科学基金的实际运作模式,重点分析了国家自然科学基金对基础研究落后地区的资助工具,针对不同地区的特征,“项目—设施—合作网络”三位一体资助方式在不同地区应有不同的实施侧重点。更多还原

【Abstract】 It is helpful to improve the ability to absorb technology, enhance the effects of S&T aid and narrow the regional disparity through improving the backward areas’ basic research capacity. From the perspective of the National Natural Science Foundation of China, this article investigates the basic research disparity of China’s regions and its trends, the model how to identify the aid objects, and aid patterns. The followings are the major research work and innovation of this article:1. This article systematic analysis the role and significance of basic research and the the theoretical foundation of aid the basic research. At the same time, this paper describes the basic research how to narrow the regional disparty and the main elements of aid mechanism.2. The ability disparty of basic research and its evolution have been studied. From the the perspective of funding agency, taking use the basic research projects obtained by a region as index measuring the ability, this paper measured the ability disparty and its trend using the Gini Coefficient and Theil index model separately. No matter by Gini Coefficient or Theil index model, the ability disparty of basic research decrease constantly. The decomposition of Gini Coefficient explains that the ability disparity of general researcher decrease constantly, but the ability of youth researcher is decreasing but still fluctuating. It explains that some areas remain the problem of the reserve of young talents, lacking of the stable young researcher. According to the decomposition of Theil index, the internal disparities between eastern and middle China is declining, the internal disparities of northeastern China is almost stable. Worth noting is the "increase—to maintain---and then rise" trend of the internal disparities in western China, the disparities are expanding.3. Through the Panel Data model, this paper analyzed the factor which influence the ability of regional basic research. The result shows that the SCI papers, El papers, State Key Laboratory, Key Laboratory of Ministry of Education, R&D personnel and funds possessed by colleges and universities in a region has a significant positive correlation with the regional ability of basic research. From the fixed-effect coefficient of the Panel Data model, the conversion efficiency of source of basci research to the ability is higher at those developed regions such as Beijing, Guangdong, and Shanghai.4. The model of evaluating regions and selecting regongs as aid target was builded. The key problem of aid to underdeveloped regions is what regions should be aided. The resource and ability of basic research was been put forward to evaluate the regions in order to picture the regional status of basic research. At first, the evaluation index system of basic research source and ability index of basic research were established. Then the five grades including better, good, medium, poor, and poorer was classified to describe a region on the basis of source and ability. So the two-dimensional model based on source and ability was builded to evaluate regions and select regongs as aid target.5. The mode od aid basic research was established acoording to the characteristic of the aid regions. This paper builded a trinity model of research project, facilities of research and scientific research networks to aid the backward regions to develop basic research where the research project is the key factor, the facilities is the basis of carring research and network is object to encourage the cooperations among the developed and under-developed regions.6. Finally, based on the operational mode of the National Natural Science Foundation of China, this paper analyzed by the assistance model to support the basic research. For the backward areas. Characteristics of different regions, the implementation of Trinity assistance mode,"project-Facilities-Network", should be different in different regions.更多还原