【作者】 冷俊峰；

【导师】 李明生；

【作者基本信息】 中南大学 ， 管理科学与工程， 2008， 博士

【摘要】 高新技术产业是以新的科技成就为基础的产业,具有高知识和智力密集等特征,其发展必须要有良好的制度保障,以促进人才、技术、资金等要素的有机结合。发展高新技术产业对产业结构优化升级、增强综合经济实力等方面具有重大作用。我国高新技术产业在取得很大成绩的同时,存在效益不高、创新能力不强等问题,除了和我国经济发展阶段有关之外,其深层次的原因是支持高新技术产业发展的制度不完善或缺失。论文以新制度经济学等为理论基础,结合系统科学和管理学等方法,研究我国高新技术产业制度创新问题,为其提供理论依据和相应的建议。论文阐述了高新技术产业制度创新的相关理论,包括制度的均衡和非均衡理论、制度的供给和需求理论、产权理论和国家理论等。总结了美国、日本、印度以及我国台湾地区的高新技术产业发展的制度经验。认为高新技术产业制度是一个系统,并对其进行了解释结构模型ISM分析,得到一个三层次的制度系统结构,即社会行为规范准则等非正式制度处于系统的第一层,法律环境和管理制度处于第二层,其它具体的制度安排处于第三层。提出了高新技术产业制度创新机制是一个周期性过程,是制度从均衡到不均衡,再到均衡的循环。考虑各类制度的性质和国家的优势地位,通过论证和对创新主体博弈分析,得出社会行为规范准则等非正式制度和法律环境及管理制度创新是国家主导模式,具体制度安排由于其多样性和复杂性,其制度创新是国家供给主导和微观主体需求诱导相结合的模式。论文分析了我国高新技术产业的制度变迁过程及其绩效,验证了制度创新模式。制度变迁的效果可用制度效率来反映,对制度效率进行了数据包络分析(DEA),结果表明我国历年高新技术产业制度效率变化较大,呈现制度效率递减趋势,需要不断调整和创新,同时也间接验证了制度创新机制。从现实情况来看,我国高新技术产业制度系统存在的一系列问题,例如创新文化建设不足,法律环境不完善,管理制度不健全,财政税收等具体制度安排不到位等。最后,提出了我国高新技术产业制度创新的对策建议。制度创新需要遵循突出文化等非正式制度创新和以人为本、制度创新国家供给主导和微观主体的有效参与相结合、借鉴式制度创新和自创式制度创新相结合等三项原则。高新技术产业制度创新首先要创造有利于高新技术产业发展的创新文化,充分认识市场对高新技术产业发展的作用和正确定位政府的作用,其次要创新法律环境和建立以市场为基础以及充分发挥政府作用的管理制度,再次财政税收制度等具体制度安排也要进行一系列的创新,并加以实施。更多还原

【Abstract】 The high and new technology industry, which features high-tense of knowledge and intelligence, is based on new achievements of science and technology. Its development depends on good institutions so as to promote the integration of factors of talent, technology, capital, etc.. The high and new technology industry plays an important role to optimize and upgrade the industry structure and to increase comprehensive economic strength. As China’s high and new technology industry is making great progress, but problems such as low efficiency and weak innovation capability still exist. Besides the primary stage of economic development in China, the deep-seated cause for these problems is the lack or faultiness of supporting institutions for the high and new technology industry. The dissertation, based on neo-institutional economics theory and integrating methods of system science and management science, studies the institutional innovation of high and new technology industry to supply a theoretical basis and corresponding suggestions.The dissertation discusses correlative theories of institutional innovation of high and new technology industry including the equilibrium and non-equilibrium theories of institution, the supply and demand theory of institutions, the theory of property rights and the theory of state, and summarizes experiences in institutional innovation of high and new technology industries in United states, Japan, Indian and China’s Taiwan.The dissertation regards the institutions of high and new technology industry as a system, analyzes it with Interpretive Structure Model(ISM), and concludes a three-layer institutional systematic structure. Informal institutions such as social behavior norms are at the first layer. Legal environment and management institutions are at the second layer, and other specific institutional arrangements are at the third layer. The dissertation puts forward a cycle course of institutional innovation mechanism of high and new technology industry, that changes from equilibrium to non- equilibrium and then recycles. The property of different institutions and advantage position is considered, and demonstration as well as game theory analysis is done. The conclusion is obtained that the innovation of social behavior norms, legal environment and management system is a mode of state domination. Because specific institutional arrangements are diversified and complicated, their institutional innovation is a combined mode of both state supply domination and micro-subjective demand inducement.The dissertation examines the course of institutional changes of high and new technology industry in China and its performance. It verifies the mode of institutional innovation of high and new technology industry mentioned before. The performance of institutional change can be reflected by institutional efficiency. The institutional efficiency with Data Envelope Analysis (DEA) is analyzed. The results show that the institutional efficiency varies largely in serial years and indicates a diminishing trend. Therefore, the institution needs continuous adjustment and innovation. The institutional innovation mechanism of high and new technology industry is also tested indirectly, which is described before.According to factual situation, there are a series of problems in China’s high and new technology industry institutional system, such as lack of innovative culture, faulty legal environment and management system, inefficient specific institutional arrangements such as finance and taxation rules, and so on.Finally, the dissertation presents countermeasures and proposals of intuitional innovation of China’s high and new technology industry. The institutional innovation must follow three principles: emphasizing on informal institutions innovation such as culture and putting people first; combining state supply domination with effective participate of micro-subject; combining institutional innovation internally generated with institutional innovation externally enlightened.As for the contents of China’s high and new technology industry institutional innovation, first, the innovative cultures that benefit development of high and new technology industry must be created and the market and government role on the development of high and new technology industries must be recognized fully. Second, the legal environment must be innovated and a market-based management system which can fully exert governmental function must be established. At last, specific institutional arrangements such as finance and taxation institutions also needs a range of innovations and then be implemented.更多还原