【作者】 陈强；

【导师】 薛恒新；

【作者基本信息】 南京理工大学 ， 管理科学与工程， 2005， 博士

【摘要】 中国以政府为主导的科技体制，曾经对我国科学技术发展、科学技术体系的建立起到了至关重要的作用。但是，随着市场经济的发展，这种高度听命于计划的科技体制越来越显露其弊端。主要表现在：科技与经济脱节，科技力量重复分散，研究机构运行机制单一，缺乏活力。改革开放以来，我国的科技体制进行了以改革拨款制度、建立技术市场、推动科技成果产业化为主的运行机制的改革，使我国的科技事业有了长足的发展，科学技术面向经济建设的良好局面已基本形成。但从总体上看，仍未能完全摆脱旧有体制的束缚。科技资源配置不合理，科技与社会、经济发展脱节的问题依然存在。鉴于发展中国家实现科技跨越式发展的迫切要求，以及保护某些重大科技成果的”外部性”(即公共产品的特性)对提高我国经济增长质量的重要作用，政府在科技领域中的主导作用仍然是不可替代的。在某些特殊的战略性科技领域，甚至还需政府来直接组织科学研究和技术创新活动。但是，必须承认的是，大多数的国有科研院所必须走向市场，只有在市场的竞争中，才能最大程度地提高科研院所的研发水平，也才能更好地使科研成果与市场相结合。随着科研院所改革的全面展开，科技体制改革已经进入了一个关键阶段。科技体制改革的目的就是提高我国科研机构的创新能力。本文从科技体制的创新对现实经济增长的促进作用入手，先后对科技创新理论、制度变迁理论以及国家竞争优势理论进行了理论文献的综述，从中看出若想保持持续高效的增长就必须坚持改革交易成本高的制度安排。进而，本文分析了中国科技创新体制变迁的历程，分析了在这一变化的过程中对国有科研院所的改制起着重要作用的外部环境以及内在的推动力。本文对国有科研院所改制中的产权界定及其运营，给以详细的分析，并通过国际比较的方法对改制的结构调整和制度创新建立了目标模式。在产权界定及其运营的介绍，确定了改革的目标模式之后，本文又对改制后的国有科研院所，应该在公司治理结构和融资结构上的优化进行了详实的分析。论文在案例分析的基础上，对国有军工科研院所的改制进行了研究。论文以规范与实证的研究方法为主，并适当采取历史、比较以及数理的方法，以我国科技体制的改革为制度背景，从理论和实践上深入分析了中国国有科研院所在改制过程中可能出现的各种问题，并提出相应的政策建议。更多还原

【Abstract】 The S&T activities, directed by the government, had once made essential contributions to the country’s S&T structure construction and development. However, with the development of market economy, this highly concentrated and planned system was gradually revealed its deficiencies and disadvantages. After China adopted the reform and opening policy, the Chinese S&T system experienced operational improvements in such aspects like appropriation reform, technology market establishment, and industrialization of S&T achievements. The reform pushed the Chinese S&T striding forward and made the System economically oriented. But viewed as a whole, the S&T system has not been completely free from old fetters. There were problems left unsettled such as unreasonably allocated S&T resources, S&T activities being divorced from social and economic development. Because the developing country wants to realize the great scientist development, and protect some great science achievement to be important to our country economical development, the government also plays the essential role in science field. On some special strategy science field, the government needs also directly organize science research and technology innovation conduct. But the paper thinks that most nation-owned science research institution must go into the market. Only when they are in the market, they can improve the research level and match the research conduct with the market need. With the process of nation-owned science research institution’s reform, the reform of science research system has entered into a key phrase. The aim of reform of science research system is to improve the innovation capability of our nation-owned science research institutions.The paper first analyses the effect of science system on economics development, and then review relevant literal view about science innovation theory, institution change theory, nation competitive advantage theory and so on. The paper thinks that we must reform the institution, which leads to high transition cost if the economy wants to keep high development rate. Secondly, the paper analyzes the process of Chinese science innovation system change, and the internal and external condition to push the Chinese nation-owned institution reform. The paper analyzes the proper right problem in the process of Chinese nation-owned institution reform, and concludes the object mode of Chinese nation-owned institution reform through international comparison research method. Thirdly, the paper demonstrates how to optimize corporation govern structure and financial structure of Chinese nation-owned institutions. Finally, based on the case study, the paper research on the nation-owned science research institution in war industry.The paper mainly takes the empirical and normative research method, combining with historical, comparative, and mathematical method. Under the background of Chinese S&T system reform, The paper analyzes all kinds of problems from the theory and practice, and concludes countermeasure and suggestion that the government and nation-owned research institution should take in the process of nation-owned science research institution reform.更多还原