【作者】 王忠福；

【导师】 徐坡岭；

【作者基本信息】 辽宁大学 ， 转轨经济学， 2013， 博士

【摘要】 科技创新对一国的经济社会发展起到至关重要的作用，科技体制为科技创新提供了制度框架。科技体制的制度变迁带来了科技创新的制度基础、组织以及运行机制的变化，进而影响着科技创新的实现。中国正在进行科技体制改革，以促进创新型国家建设，如何通过科技体制改革促进科技创新的实现进而促进经济社会的发展，俄罗斯为我们提供的这方面的经验教训将具有重要的参考价值。前苏联在高度集中的计划经济模式下形成了科技资源单一计划配置、科技与经济、科学与教育、军民科技均分离的科技体制。随着市场化经济转型，俄罗斯的科技体制逐步发生变化。论文从创新经济学理论出发，结合新制度经济学、发展经济学以及转型理论，考察俄罗斯科技体制的制度变迁对科技创新的影响、科技创新组织、科技创新运行机制、科技创新效应及其深层次原因以及形成创新型国家的前景，以期从中获得对我国进行科技体制改革、建设创新型国家服务的有益启示。基于上述研究动因，论文围绕俄罗斯科技体制转型与科技创新展开论述，共由8章组成。第1章为绪论，第2至7章为论文正文部分；第8章为论文结论与启示。论文主要内容如下：第1章绪论部分主要介绍研究的背景、目的、意义、综述评价、思路、内容、方法、理论分析工具、创新之处和不足。第2章主要介绍科技体制转型与科技创新的理论问题与分析框架。这里分析了科技创新的类型、组织、特征以及科技创新发生的机制、制度基础；同时构建了科技体制转型与科技创新的分析框架。第3章研究俄罗斯科技体制转型的基本逻辑、简要历程与特征。俄罗斯的科技体制转型遵循了科技与经济、科学与教育、军民两用技术结合的基本逻辑；经历了危机动荡、缓解调整、转折完善三个阶段；体现了政府与市场相结合的科技创新制度基础得以确立、新的科技创新组织逐步创建、科技创新运行机制以政府为主导的特征。第4章研究俄罗斯科技体制的制度变迁及其对科技创新的影响。俄罗斯科技体制的制度变迁表现在科技领域市场机制的引入、科技创新制度基础的政府与市场的逐步结合、科技与经济融合、科教一体化、军民两用技术结合以及融入科技全球化。这带来了多种类型科技创新的实现，但是仍以科学知识创新为主，由于向商品生产转化存在着诸多问题，因此这也决定了其他类型的技术创新发展较慢。第5章研究俄罗斯科技体制转型中的科技创新组织、运行机制与模式。俄罗斯的科研组织、高校与企业发生了一定的积极变化，但是企业仍未真正成为技术创新的主体；俄罗斯的科技创新运行机制一定程度上促进了科技创新的实现，但是也存在诸多问题。转轨以来，俄罗斯形成了政府主导型科技创新模式，基础研究与高新技术创新占优势。第6章研究俄罗斯科技体制转型下的科技创新效应。通过定量分析，俄罗斯的科技创新一定程度上促进了经济增长，也在一定程度上促进了产业结构和贸易结构的优化，但是仍未从根本上改变资源型经济的增长模式。通过借助C-D函数采取索洛余值法并选取相关数据对俄罗斯的科技进步贡献率进行测算，同样验证了这一结论。第7章研究俄罗斯的科技创新效应深层次原因与创新型国家前景。俄罗斯科技创新效应的经济低效深层次原因主要表现在科技体制的路径依赖、转轨约束、资源诅咒以及经济全球化等多重约束。俄罗斯结合本国国情，准备走出一条由政府推动的再工业化的渐进型创新之路。俄罗斯有着发展创新经济的诸多有利条件，但也有多重的制约因素，要做出令人信服的预判尚需观察。第8章为研究结论与启示。论文总结了俄罗斯科技体制转型和科技创新全方位的发展战略基本形成、科技体制转型有充分的创新理论基础、基础知识创新为主而技术创新发展缓慢等六大基本结论；同时结合我国实际得出了科技体制改革要以保护科技潜力为出发点、科技创新应实现政府与市场的有机结合避免其双失灵等八项启示。更多还原

【Abstract】 Science&technology innovation plays a significant role for a country’s economicand social development, and science&technology System provides institutionalframework for Science&technology innovation. The institutional change of the science&technology System evokes the responding change in the system base, organization andoperational mechanism of Science&technology innovation, as well as its realization.Now China is in the process of the reform of science&technology System in order topromote the construction of a innovative country, and how to promote the economic andsocial development through reforming the science&technology System and realizingScience&technology innovation. In this aspect, Russia might provide us with valuableexperiences and lessons.With highly centralized planned economy model, the former Soviet Uniondeveloped its special science&technology System, in which the science&technologyresources were only distributed according to the plan, science&technology wasseparated with economy, science was separated with education, and military technologywas separated with civil technology. With the transition of the market economy, Russian’sscience&technology system changed correspondingly. On the basis of innovationeconomic theories, as well as the new institutional economics, development economicsand transition theories, this paper studied the influence of Science&technologyinnovation on Russian science&technology System, its organization, operationmechanism, its effects, deep reasons and the prospects of the innovative country with thepurpose of getting some helpful implications for Chinese science&technology Systemreform and the construction of innovative country service.This paper consists of8chapters focuses on Russian science&technology Systemtransition and Science&technology innovation. Chapter1is the introduction; Chapter2-7is the main body; the conclusion and revelation are in Chapter8.Chapter1includes the research background, research goals, research significance,literature review, evaluation, research method, research content, research methods,theoretical analysis tools and the innovative aspects and shortage of this paper. In Chapter2, the author introduces theoretical issues and analyzing framework ofthe science&technology System transition and the Science&technology innovation.In this chapter, the types, organization and traits of science&technology innovation areanalyzed and the analyzing structure of the science&technology System transition andScience&technology innovation is constructed.In Chapter3, the basic logic, brief process and features of Russian science&technology System transition are discussed. Russian science&technology Systemtransition followed the basic logic of the combination of science&technology andeconomy, science and education, and military and civil technology, which experiencedthree stages: turbulence, adjustment and improvement and presented many newcharacteristics: science&technology innovation system’s foundation of a combination ofgovernment and market has been established，new science&technology innovationorganization has been gradually created, and science&technology innovationoperational mechanism led by government.Chapter4focuses on the changes of Russian science&technology System and itsinfluence on Science&technology innovation. The transition of Russian science&technology System manifested in the following aspects: the introduction of the marketmechanism in science&technology field, the combination of government and market,science&technology and economy, science and education, military technology and civiltechnology, as well as the integration in technological globalization, which resulted in therealization of various types Science&technology innovations. However, scientificknowledge innovation was till the leading place, due to many problems in converting tocommodity production which led to the relatively slow development of the other types ofScience&technology innovation.Chapter5mainly concerns the Science&technology innovation organization,operation mechanism and mode of Russian science&technology System transition. Thescientific research institutions, colleges and universities, and the enterprises in Russia hadplayed new roles in Russian Science&technology innovation, while the enterprises didnot become the main body of the Science&technology innovation; the operatingmechanism of the Science&technology innovation in Russia to some extent promotedthe realization of the Science&technology innovation, but many problems still existed. Since the transition, Russia has formed a government-led technological innovation mode,and basic research and high-tech innovation are dominant.Chapter6focuses on the effects of Russian Science&technology innovation in thetransition of Russian science&technology System. Through quantity analysis, it can beconcluded that Russian Science&technology innovation to some extent promoted itseconomic increase and the optimization in industrial structure and trade structure, but thegrowth pattern of the resource economy could not be altered essentially. C-D functionand Solow residual value method were used to measure the ratio of Russian scientific andtechnological contribution and it also verifies such a conclusion.Chapter7focuses on the deep reason of Russian Science&technology innovationeffect and the prospects of a innovative country. The reason to the low economic effect ofRussian Science&technology innovation lied in the path-dependence of its science&technology System, transition restraint, resource curse, economic globalization and themultiple restraints. Based on its own conditions, Russia intended to pave a gradual andinnovative way to reindustrialization promoted by Russian government. In the aspect ofdeveloping its innovative economy, Russia had lots of advantages, as well as multiplerestraint factors. Therefore it needs further observation to make convincing prediction.Chapter8includes the conclusion and revelation. This paper draws the following sixconclusions: the all-around developmental strategy in Russian science&technologySystem transition and Science&technology innovation has preliminarily made; itsscience&technology System transition is in accordance with the basic innovationtheories; basic knowledge innovation is in the central place while technologicalinnovation is sluggish. Moreover, according to the conditions of China, this paper alsopoints out that Chinese science&technology System reform should begin with theprotection of technological potential, the government and the market should have anorganic combination in case both will be out of order, and the other revelation.更多还原