【作者】 艾冰；

【导师】 陈晓红；

【作者基本信息】 中南大学 ， 管理科学与工程， 2009， 博士

【摘要】 近年来,随着财政收入规模的逐步扩大和公共财政框架的确立,我国财政管理进入了以支出管理为重点的新阶段。政府采购作为财政支出的一个重要方面,其规模和质量不仅对政府运行效率具有重要影响,而且对社会产业结构的调整、市场经济主体的发展、企业自主创新能力的提升起到了重要的经济杠杆和推动作用。西方发达国家已将政府采购作为政府调整产业结构,促进自主创新的重要手段之一,理论和实践已经相当成熟。在我国,政府采购的研究起步较晚,对政府采购促进自主创新的作用认识不足;目前诸多产业创新能力薄弱、核心技术受制于人的局面,使我国在发展中难以掌握战略主动权。要保障国家经济安全和国防安全,就必须不断增强自主创新能力,扭转我国在重要领域的关键技术上依赖国外的状况。因此,研究和完善政府采购制度,以加大对自主创新的政策支持是摆在我们面前的重要课题和迫切需要。本文基于政府采购对自主创新具有巨大促进作用这一核心认知,确立了本文的立意和主旨,清晰了本文的论证思路,并以此形成了由四个层次、五个有机部分组成的框架体系。具体来说,本文首先全面回顾了中外政府采购促进自主创新的研究概况,以政府采购促进自主创新的基本理论为切入点,利用公共管理理论、技术创新理论、经济学等理论深入分析了政府采购促进自主创新的存在和发展的客观性和必然性;通过对政府采购促进自主创新的现状和主要问题分析,剖析我国传统政府采购制度的主要弊端,揭示我国政府采购促进自主创新向纵深推进的限制因素,将立足点置于社会主义市场经济和我国加入政府采购协议(GPA)的大环境之中,分析创新我国政府采购制度以支持自主创新的必要性;创造性地建立起政府采购促进自主创新的理论模型,对政府采购促进自主创新进行实证分析,从实证角度验证了政府采购对自主创新的巨大推动作用;通过对中西方政府采购制度进行比较分析,得出了有益的借鉴,针对目前我国政府采购促进自主创新急待解决的主要问题,提出完善与优化政府采购支持自主创新体系的选择和建议。即按照“构建分析框架——分析中国现状——解析中外例证——提出改革观点”的思路分四个层面对政府采购促进自主创新进行阐述。五个部分是:本文以政府采购促进自主创新为主线,以国内外理论分析为指导(第2章),以找出我国现存问题为提前(第3章),以研究国外做法为借鉴(第4章),以模型分析为手段(第5章),最终找到符合我国国情的做法(第6章)。根据重点研究内容的撷取和研究论证的逻辑路径,本文采用规范分析与实证分析相结合,历史分析与比较分析相结合,理论阐述与政策制定相结合,并将多种理论融合到问题的分析与研究中,试图较好地实现论文的立意和主旨,并有所创建。更多还原

【Abstract】 In recent years, with the steady expansion of the scale of financial revenue and establishment of the framework for public expenditure, china’s fiscal management has entered a new stage where expenditure management has become the focus. As an important aspect of fiscal expenditure, government procurement’s scale and quality not only have a great impact on the government operating efficiency ,but also play an important role in promoting the adjustment of social industrial structure, the development of the main part in market economy and the enterprises’ ability of independent innovation. Government procurement has been seen as one of some important methods to adjust the structure of the industrial construction and to promote independent innovation in Western countries. Some theories and practices about that are quite mature. But in our countries the research on government procurement was fall behind, and the government didn’t fully aware of the government procurement’s function on the independent innovation. At present, China’s innovation abilities in many industries are poorly weak and their core technologies are greatly controled by foreign countries, which cause China having great difficulties in acquiring the initiative right in development. In order to ensure the country’s economic security and defense security, we must continuously enhance the ability of independent innovation, and reverse china’s dependence of key technology on foreign countries in some important areas. So it is a great issue and imperative necessity for us to research and improve the government procurement institution according to the realities in china.On the basis of the core cognition that government procurement has greatly impulse the independent innovation, this thesis establishes its general idea, and gives us a clear idea of demonstration. Because of that this thesis forms a framework system which is made of four levels and five organic parts. Specifically speaking, this paper first comprehensively reviews the general researching conditions about the government procurement’s promotion to independent innovation in china and foreign countries, then it uses the basic theories of the government procurement’s promotion to independent innovation as its starting point and deeply analyses the objectivity and necessity of the existence and development of the government procurement’s promotion to independent innovation using public expenditure theory, technological innovation theory and conditional theories of economics. Through the analysis on the current status and the main problems of the government procurement’s promotion to independent innovation, this paper analyses the main shortcomings of China’s conditional government procurement institution, reveals the limited factors of depth promotion about China’s government procurement’s promotion to independent innovation, and then analyses the necessity of innovating our government procurement institution to support independent innovation under the environment of socialist market economy and China’s entrance to GPA. It establishes a theoretical model of government procurement’s promotion to independent innovation, uses positive analysis to analyze the government procurement’s promotion to independent innovation and reveals the government procurement’s tremendous role in promoting independent innovation by positive analysis. It acquires some useful references by the comparative analysis on the Chinese and foreign government procurement institution. Also it raises some choices and suggestions to improve and optimize the government procurement’s promotion to independent innovation system according to some main problems in urgent need of resolving. That is, this thesis defers to "building an analytical framework—analyzing China’s present situation—explaining China and foreign countries’ illustration—proposing some viewpoints about reformation" to define the government procurement’s promotion to independent innovation through four levels. This thesis has five parts. It makes government procurement’s promotion to independent innovation as its main line and makes the analysis of domestic and foreign theories as a guide (chapter 2). Its precondition is finding out problems in China at present (chapter 3), and studies from foreign countries’ experience (chapter 4). It employs an approach of model analysis (chapter 5) to find ways to fit our country’s current situation (chapter 6).According to the selection of the important research contents and the logical way of investigative demonstration, this thesis combines normative analysis with positive analysis, historical analysis with comparative analysis, theoretical definition with policy establishment, tries to merge many kinds of theories into the analysis of problems, realizes this thesis’ general idea and makes some achievements.更多还原