【作者】 赵建强；

【导师】 刘凤朝；

【作者基本信息】 大连理工大学 ， 科学学与科技管理， 2009， 博士

【摘要】 地方政府是创新型国家建设的重要参与者,其功能的合理定位和有效实现对处于转轨时期的我国尤显重要,长期以来国内外学者对于地方政府在科学技术创新中的功能定位及其实现机制并未给予足够的重视。为了更好地发挥地方政府在建设创新型国家中的作用,有必要从理论上探讨地方政府科技投入行为的内在逻辑和演化轨迹,以便为地方政府科技投入行为调整提供科学依据。论文构建了地方政府科技投入行为的动力—模式—行为合理性分析框架,以地方政府科技投入动力机制分析为切入点对地方政府科技投入行为的模式形成以及行为合理性展开研究。论文以系统科学方法作为理论工具,在分析政府权利结构的基础上,利用成本收益方法对地方政府科技投入的收益实现路径与影响因素进行了研究。研究发现,地方政府科技投入主体的获益渠道为地方收益和上级政府认可,对地方收益产生影响的因素包括环境和个体条件,上级政府通过考核机制发挥作用。国家科技战略导向作为系统环境发挥作用;行为个体的影响因素主要包括产业发展水平和科技资源集聚程度两方面。由于各地区经济发展水平不同,以及科技资源空间分布不均衡,地方政府科技投入的行为动机和导向存在差异。论文依据行为导向差别对我国地方政府科技投入的行为模式进行了分类,分为企业导向、院所导向和混合导向三种类型。在此基础上,利用统计数据对我国各地区地方政府科技投入行为模式进行了初步划分,对不同行为模式下地方政府科技投入效应进行了计量检验,验证了本文所提出的理论假设。论文对地方政府科技投入行为合理性的内涵进行了界定,提出地方政府科技投入行为合理性的判断标准,从规模和结构两个维度对我国省级地方政府科技投入合理性进行了初步分析。研究发现,院所导向型省区科技投入规模大,而企业导向型省区地方政府科技投入尚存不足,其效应没有得到充分释放;地方政府科技投入执行结构呈现倒挂现象,院所导向型地区地方政府科技投入投向基础研究的比例高于企业导向型和混合型地区。论文认为,地方政府官员的短期行为、政府科技投入的层级职责不清以及科技工作绩效考核的制度缺陷导致我国地方政府科技投入行为扭曲。基于上述分析,提出改进地方政府科技工作绩效考核体系,理清中央政府与地方政府科技投入的责任边界,推动地方科技体制创新的具体建议。更多还原

【Abstract】 The local government is an important player in building an innovative state.Reasonable positioning and effective realization of its function are especially important to China during the transitional period.Domestic and international scholars haven’t paid enough attention to the positioning and realization mechanism of local government’s function in S&T innovation for a long period.To give better play of local government in building an innovative state,it is necessary to examine theoretically the inherent logic and footprint of evolution of local government’s S&T investment and provide scientific basis for local government to adjust its S&T investment.The paper builds a framework for analysis of local government’s S&T investment: motivation—model—behavior reasonableness,and examines the model formation and behavior reasonableness of local government in S&T investment by analyzing the motive mechanism of local government’s S&T investment.The paper takes the systemic scientific methodology as the theoretical tool and studies the benefit-realizing path and influential factors of local government’s S&T investment by analyzing the government’s right structure and adopting the cost-benefit method.The study has found that the S&T investors in local government obtain local benefits and are recognized by the upper-level government.Factors that influence local benefits include environmental and individual conditions.The upper-level government plays its role through the review mechanism.The national S&T strategy serves as the systematic environment.Influential factors of individuals include mainly the level of industrial development and cluster extent of S&T resources.Due to different level of regional economic development and unbalanced spatial distribution of S&T resources,local government has different motives and orientations in S&T investment,divided into three types:enterprise-oriented,university/institute-oriented and mixed-oriented.On such a basis,local government’s behavior models of S&T investment are primarily divided with statistical data.The effect of local government’s S&T investment under different behavior models has been measured and examined to validate the theoretical assumption proposed in this paper.The paper defines the connotation about reasonableness of local government’s S&T investment,proposes the criteria to judge local government’s reasonableness in S&T investment and carries out the primary analysis from two dimensions:scale and structure.The study has found that the provincial and regional S&T investment is large for university/institution oriented,but inadequate for enterprise-oriented and the latter’s effect isn’t fully released yet.Local government’s R&T investment execution structure is unbalanced.The percentage of fundamental researches where the local government has university/institute-oriented S&T investment is higher than enterprise-oriented and mixed-oriented regions.The paper concludes that the local officials’ short-termism,unclear responsibilities between levels of government in S&T investment and defective mechanism of S&T work performance result in distortion of local government’s S&T investment.Based on above analysis,this paper proposes advice to promote the system to examine local governments’ S&T work performance,define the responsibilities between central and local government in S&T investment and enhance the innovation of local S&T system.更多还原