【作者】 胡军国；

【导师】 戴思锐；

【作者基本信息】 西南大学 ， 农业经济管理， 2005， 博士

【摘要】 系统研究高新技术产业发展公共政策选择问题是一个关系我国高新技术产业发展、关系整个经济结构调整和经济增长方式转变的重要课题。本文在系统探讨公共政策选择理论的基础上,从高新技术产业发展的必要性、发展高新技术产业需要公共政策支撑、高新技术产业公共政策选择需要考虑的对象特征等方面剖析了高新技术产业发展公共政策选择的社会支撑;从典型国家高新技术产业发展公共政策选择的政策结果及其带有共性特征的选择行为的评述入手,归纳总结了促进高新技术产业发展的公共政策及其选择行为;从我国高新技术产业现有公共政策绩效评价和政策选择面临的时代背景、基本国情分析入手,剖析了我国高新技术产业发展公共政策选择的原则、思路、目标和主要任务;以高新技术产业投融资、中小型高新技术企业、高新技术产品进出口三个重点领域的政策选择为案例,分析了主要公共政策选择取向;从目前我国高新技术产业发展公共政策选择的体制、选择的主体、选择的程序及其公共政策行为存在的问题,结合我国实际,明确了我国高新技术产业发展公共政策选择的主体及其应有的公共政策行为和选择方略;从完善公共政策程序出发,剖析了我国高新技术产业发展公共政策执行、监督、评估、调整和终止选择。 一、研究的基本结论 1、高新技术产业发展公共政策选择应针对产业发展的特征设计政策。高新技术产业发展涉及人才培养、科学发现、技术创新、技术工程试验和工程化研究、技术大规模产业化及市场开拓等环节,相关领域的多个政策选择主体形成了一个多中心政策选择体制,应更加充分考虑产业发展的特征。一方面,发展高新技术产业是可持续发展、产业结构高度化、提高国民经济运行质量和效益、扩大国际贸易、保障国家安全、迈向知识经济的要求,是落实“科学技术是第一生产力”的重要体现,面对世界各国竞相在财税、融资、贸易、政府采购、人才、知识产权保护等领域采取有力政策措施促进产业发展的压力,我国加快高新技术产业发展对公共政策选择提出了刻不容缓的要求,应系统运用公共政策对产业发展的引导、保障、规范和激励作用,促进产业快速发展。另一方面,开展高新技术产业发展公共政策选择应充分考虑产业发展四个方面的主要特征:一是科技创新的外部性、科学技术的垄断性、科学技术向“稀缺”的挑战性、人力资源的资本化特征、生产资料的智能化特征等产业发展要素的特征:二是技术进步中体现的多层技术并存规律、飞跃与连续并存规律、密集有序规律、科学技术创新绝对难度越大相对难度越小的普遍规律等;三是产业发展中体现的高投入、更高产出、高风险、高渗透、高聚集特征;四是产业发展趋势呈现出科技全球化、高新技术产业成为产业结构调整竞争的焦点、跨国投资成为技术和人才资源争夺的主要方式等特征。高新技术产业发展公共政策选择应针对这些特征,以及这些特征在产业发展各领域中演绎出的众多政策问题,进行政策设计。 2、高新技术产业发展公共政策选择必须着眼提高我国高新技术产业的整体竞争力和经济更多还原

【Abstract】 Nowadays, the research on the Choice of High-and-New Technology Industries Developing Public Policy is widely discussed, for it concerns the development of high-and-new technology industries, economic structure, and the way the economy grows. By analyzing the essence, function, procedure of public policy, and the connotation, necessity, object, theory and criterion, groups of public policy choice, this paper investigates the theoretical base of public policy selection. By introducing the necessity of high-and-new technology industries development, public policy’s support and the factors worth the considering, this paper discusses the social support to the development. By accounting on the result and general choosing behavior of the development in developed countries like America and Canada, this report recommends practical public policy and choosing behavior, which could boost the development of high-and-new technology industries. By analyzing the matter of quickening the pace to evaluate achievements of high-and-new technology industries developing public choice, and describing correct social background, basic national conditions, and strategy aims, this paper explains the principle, target, trait of thought clearly to introduce a public policy system. It also points out the orientation of public policy choice according to the research on invest and financing, small and medium-sized corporation, import and export of high-and-new technology industries. By combining China’s conditions with international experiences to solve the problems in the mechanism, body and procedure of selection, and exist of public policy behavior, this report specifies the body of development, the public policy behavior and general plan of public policy decision-making in China. And finally, by researching on how to better procedures, the report analyses how to execute, supervise, evaluate, adjust and finish the selection, and at the same time describes the mechanism, bearing the character of scientific, democratic, and being on the system of law.I Main ConclusionsTaking the path of sustainable development, highly centralized industrial structure, the improving of the quality and benefit in national economy activities, enlargement of international trade, the guarantee of national safety, and stepping into the Intellectual economy, all requires the development of high-and-new technology industries, which demonstrate the implementation under the guide of science and technology being a primary productive force. Accordingly, public choice is emergently needed to lead, protect, regulate and intimidate the industry.Meanwhile, four main factors must be concerned with: The first, features needed in the development of industry, including the externalism of technology innovation, the monopoly ofscience and technology, the challenge of science and technology transformation towards "scarcity," the capitalization of human resources, and the intellectualization of the means of production; The second, the general regulations related in advanced technology, such as the coexistence of multi-layer technology, the coexistence of leap and continuity, being concentrated and orderly; The third, the character of high input, higher output, high risk, high penetration, and high concentration showing in the industry development; The last, the trend of industry development taking on some characteristics, such as the technology globalization, the high technology industry becoming the focus of industrial structure adjustment, and the transnational overseas investment being the main means to compete for technology and human resources.The relevant theory formulation is lagged behind, with the problems such as groups’ duty vacancy, irrational and unregulated behavior, imperfect mechanism and procedure, non-effective execution. The policy of restricting the market order is in want, with weak systematicness and coordinating ability. In addition, the problem of Undeveloped Supporting Policy exclusively exists in areas of talents, education, finance, banking, market and technology. On the development of industry, it is ambiguous about what the policy is aimed at on the effect coverage and profundity. Besides, when compared with international practice, China has a long way to go, with overemphasis on short-term profit, the powerlessness of law, etc.With the general background of informaziation and globalization, and the national condition of a modernized and high-and-new technology industrial country, the clearer distinction between public area and private area, the disintegration and enforced restriction of public power institutions, highly increased international focus, ever-developing force of public opinion, and violet impact from diversification thoughts on mainstream ideology, it must be made clear to follow the guidance of correct theory , and continue to follow the Principle of Matter of Fact ,and the Doctrine of Development, Democracy, and legal system, with a view of making public policy choice high-efficient, scientific, democratic, and on the system of law.The particularity of high-and-new technology industries makes new demands to invest and financing construction. In China, due to the institutional barrier, for instance, the entering mechanism, the functioning mechanism, the withdrawing mechanism of undertaking capital, the credit financing mechanism, the stock financing mechanism, and the bond financing mechanism, the industries’ development encounters a series problems, including government’s duty vacancy and being offside, simplistic financing source, few professional talents on the area of undertaking investment, the lack of supporting intermediary organizations, and unsupportive financing.Small and medium-sized high-and-new technology enterprises play the most active role in the high-and-new technology industries, and are of great significance for the rapid development of supporting the rapid and continuous development. With problems such as unhealthful judicial system, stringent culture environment, financing environment needing improving, and service system lacking cultivation existing on the innovational and innovation-supporting area, small and medium-sized technology enterprises enjoy little drive and vigor. All those cannot give full rein to the innovational edge.Import and export is the important dictator, demonstrating a country’s high-and-new technology industries’ international integration and competitiveness. Currently the infrastructure of high-and-new technology industries has been further improved, however, we must bear in mind the rapid increase of import and export amount is based on the international industry transfer and the direct foreign investment. In order to keep the continuous increase, it is required for the industries to improve supporting competence of import and export, to lower the reliance on outside factors, and to strengthen competitiveness of making independent innovations.II Main ViewpointsThe development issue of high-and-new technology industries has hooked no delay, for it is the inevitable choice to step up the cause of modernization in an all-round way, and fundamentally ensure the Chinese nation standing independently among all the other nations.We should deeply analyze the peculiarity of high-and-new technology industries’ development, and exactly meet the requirements made by the development to the public policy.When learning from the advanced foreign policies, it is necessary to take in selectively after full interpretation, integrating the strong points with China’s Reality, to go further about the investigation of new theory, ideology, and method of the choice.With the efficiency rising, it is more meaningful to give a full and deep survey about the selection’s essence, connotation, theoretical frame, and the effective combination with the conditions.In order to improve the, system, it is required to establish the supporting public policy system.The investing and financing of high-and-new technology industries, small and medium-sized high-and-new technology corporations, the import and export of high-and-new technology industries, all are the weakest sector of the relevant public system formulation, new progress should be made on them.The choice groups and its behavior should be regulated, with the government functioning effectively.Concerning the intact public policy selection predecessor, it is possible to strengthen the procedure construction in each period, form the complete behavior regulation, and finally carry the policy choice through to the end.ID Main innovationSeeing from the angle of the combination of perfecting public policy system and completing public policy process, the paper analyses the issue of high-new technology industries developing public policy.The paper brings the surrounding factors and the decision body and behavior into the choice frame of high-new technology industries developing public policy.The paper puts forwards the weak link and the relative tactics for advancing to make up the system of high-new technology industries developing public policy.IV Main SuggestionsThe establishment of public policy department: Guided by the integration of national macro-policy system theory, and by showing the character of regional policies, coordinating the diversify public policy department and the policy system and ensuring the high-efficiency of its function, we should establish a public policy department who is responsible for coordinating the choice of high-new technology industries developing public policy.The communication of invest and financing system: While regulating and properly locating the public investing behavior, reforming the commercial banks system and accelerating the securities market system, and improving the common banking market system, we should establish and improve system formulation of strategy organization and law regulations. All these contribute to the gradual formation of multi-level undertaking capital market, with the undertaking investment andundertaking corporative stock market as the core. In particular, we should accelerate the development the high-and-new technology industries’ investing system, an effective combination of government’s regulation and market’s function, and investigate how to set up a debt financing system, in order to create a favorite outside environment for the instinctive innovation.The development of small and medium-sized high-new technology industries enterprises: We should communicate the policy of encouraging the enterprise’s development, and promotes the establishment of country’s innovational system, with enterprises as the main body, while continuing to implement the current policies, and maintaining the continuance, we should focus on how to better the government services, open up the new sources of financing, and strengthen the new high-and-new technology industries’ districts’ ability of promoting service level by industry.The enforcement of the export competence: We should foster the R&D of proprietary intellectual property rights, to strengthen core competitiveness. We should utilize the foreign capital effectively, to create the Spillover Effect, favoring China’s economy development. We should accelerate the local development of infrastructure in processing commences, to speed up the transformation and upgrading. By stimulating the vigor of private-owned enterprises, we could create the new drive of import and export. By establishing and improving healthy banking supporting system, we could increase the support at the source. By accelerating the "go abroad" strategy, we could actively participate in the international economic cooperation. By boosting the regional economic cooperation we could develop new industry with great demand potential.The regulation to the body and behavior: While specifying body’s responsibilities and rights, we should fully stimulate the participation of these non-final-decision-markers, to form a decision-making mechanism, by which decision-makers will go deep among the people, and get to know how they are faring, reflect their will, pool their wisdom and value their resources, with the result of strengthening the mass base of selection. In addition, we should continue to act at the guide of principles, to raise public policy decision-making’s efficiency and correspond with public policy decision-making’s conditions, and meet the requirement made by industrial development, with the general plan of step-by-step dominating and optimization and satisfaction following.The consummation of procedure: In order to keep the behavior intact and continuous, we must better the development of relevant procedures and details about the public execution choice, public supervision choice, public evaluation choice, public adjustment choice, and public ending-up choice.更多还原