【作者】 张健华；

【导师】 沈亚平；

【作者基本信息】 南开大学 ， 政治学理论， 2010， 博士

【摘要】 伴随着知识经济时代的来临,科技已经成为支撑和引领人类经济发展及社会进步的主要动力。一个国家科技创新能力已经成为决定其综合国力和国际地位最为重要的因素。高校作为知识创新的主力军,不断生产出大量的科技成果,能否有效提高高校科技成果转化率,成为大多数国家及政府关注的热点。然而,政府职能转变虽然是学术界研究的一个热点问题,大多数文献却都是从经济和社会的宏观层面分析政府职能,从微观层面研究具体领域的政府职能的成果并不多,特别是直接针对高校科技成果转化过程中的政府职能的研究成果较少。本文采用比较分析、文献分析、问卷调查及数量分析等方法,在跨学科思想的指导下,综合应用行政生态理论、复杂适应系统理论(CAS理论),一方面,在规范研究和实证研究的基础上,就政府职能及其转变展开跨学科的理论分析；另一方面,通过问卷调查,在定量分析的基础上,分析我国高校科技成果转化领域的政府职能转变需求；同时,在借鉴发达国家相关经验的基础上,探讨我国高校科技成果转化过程中政府职能的定位和设计问题。通过梳理发达国家促进高校科技成果转化的具体活动和措施,本文归纳出发达国家在高校科技成果转化领域政府职能的三大特征：“服务性”、“相机性”和“双强格局”。第一,服务性,即发达国家注意防范科技成果转化过程中的市场和政府双重失灵问题,其职能具有明显的服务性。第二,相机性,即发达国家常常根据本国高校科技成果转化的具体情况,相机确定阶段性的工作重点,适时调整政府职能,以适应经济和社会发展的需要。第三,“双强格局”,即在高校科技成果转化过程中,发达国家及其政府都无一例外地选择了干预,积极提升政府的服务能力,设立精干的主管高校科技成果转化的职能部门,加强科技中介服务机构建设,形成了“强政府、强社会”的双强格局。本文借助CAS理论,对政府和政府职能及其转变作了理论分析。首先,借助CAS理论,采用“隐喻”的方式,把政府看成一个复杂适应系统,并分析了政府的动态变化性、开放性以及内部各要素的非线性互动性。其次,本文借助生物学和复杂适应系统的隐喻,把政府职能看作是一个动态的“连续统”,指出政府职能转变主要是政府内部文化制度与外部环境双重选择的过程和结果。在文献分析的基础上,本文指出,我国高校科技成果转化中的政府职能具有鲜明的时代特征,其演变历史是一个从集中控制型政府职能向干预型政府职能的转变过程。在定性与定量相结合的基础上,本文得出我国高校科技成果转化工作近年来一直徘徊不前的结论,并通过调查问卷,从宏观和微观两个层面分析了制约因素和政府职能转变的需求。借鉴发达国家政府在高校科技成果转化中的职能,针对我国高校科技成果转化中的制约因素,本文提出我国政府在高校科技成果转化中的职能定位：“强政府、强社会”和“督导-服务型”。在上述定位的基础上,本文从角色的角度指出了政府职责：高校科技成果转化制度的供给者、市场秩序的维护者和公共服务的提供者；同时,从宏观层面指出了我国政府在高校科技成果转化中的五个总体功能：法规驱动功能、利益协调功能、激励导向功能、有效制衡功能、中介服务建设功能。在微观层面,本文指出,为促进我国高校科技成果转化领域中的政府职能转变,需要做好以下几方面工作：改革政府的科技管理体制,完善有关高校科技成果转化的法律法规,建立高校科技成果转化的多渠道投资体系,建立公正合理的评估机制,加强高校科技成果转化中的知识产权管理,积极加强高校科技成果转化的服务体系建设。更多还原

【Abstract】 With the advent of knowledge economy era, Sci-tech has become the main drive to support and lead the humanity economic development and social progress. One country’s Sci-tech innovation ability has become the most important factors to decide its comprehensive national power and international status. As the mainstay of knowledge innovation, the universities have produced large amounts of Sci-tech achievements every year. Whether or not can it effectively promote the transformation of the universities’Sci-tech achievements, and improve the ratio of the universities’Sci-tech achievements, has become a hot issue of the most countries in the world, and has been the important function of the government. Although the government function transformation is a hot issue of academic research, yet most of the literatures are described from the macroscopic level of social and economic analysis of government functions, the ones focus on the government functions in the universities’transformation of Sci-tech achievements directly are of few.Based on comparison analysis, literature analysis, questionnaire survey and quantitative analysis; Under the guidance of the concept of interdisciplinary, comprehensive application of administrative ecology theory, complex adaptive system theory(CAS theory), on one hand, based on normative research and empirical study, the paper did a interdisciplinary analysis on the government function and its conversion; on the other hand, on the basis of quantitative research, the paper analysed the government function transformation demand of the universities’ transformation of Sci-tech achievements in China through questionnaire; in the end, on the basis of relevant experiences in the developed countries for reference, the paper discussed the government function orientation and design problems of the universities’transformation of Sci-tech achievements in China.By analyzing the specific activities and measures for the transformation of Sci-tech achievements in the the developed countries, the paper summarized three features of government functions in the universities’transformation of Sci-tech achievements in the developed countries:"service properties ","flexible properties" and "sagacious-mighty pattern". Firstly, "service properties "means that, the developed countries pay attention to the prevention of the market and the government dual failure problems in the process of the transformation of Sci-tech achievements, so the government function has obvious service properties. Secondly, "flexible properties" means that, the developed countries often determine the key task periodically according to the domestic universities’ transformation of Sci-tech achievements and adjust the functions of the government accordingly, so that they can adapt to the needs of the social development. Thirdly, " sagacious-mighty pattern " means that, in the process of the universities’ transformation of Sci-tech achievements, the governments in the developed countries are no exception to choose the intervention means, actively advance the government service function, establish the sagacious functional departments which are on charge of the universities’ transformation of Sci-tech achievements, and strengthen the construction of the technology intermediary service organization, and so forms the " sagacious-mighty " pattern.Based on CAS theory, the paper made a theoretical analysis on the government and the government function change. Firstly, by means of CAS theory, using "metaphor". The paper considered the government as a complex adaptive system, and analysed the dynamic changes, the openness and the nonlinear interaction of the internal factors of the government. Secondly, based on the metaphor of the complex adaptive system and the biology science, the paper consedered the government function as a dynamic continuum, argued that the transformation of the government functions is of double choice process and is the result of the cultural system and the external environment of the government.By reference to the government’s function transformation of Sci-tech achievements in the developed countries in colleges and universities, aiming at the restricting factors in the transforming Sci-tech achievements in the universities, the paper pointed out the function orientation of the government in China to the transformation of Sci-tech achievements in the universities:"big government, big society" and "supervise-service". Based on that, the paper pointed out five overall functions in the transformation of Sci-tech achievements in universities in China from the macroscopic level:Regulations drive function, interest coordination function, incentive guided function, effectively balance function, and intermediary service work function; meanwhile, it pointed out the roles and responsibilities of the government from the angle of role:the provider of the transformation of the Sci-tech achievements system, defenders of the market order and the public service providers. From the microcosmic angle, the paper pointed we should do the following respects of work in the field of the transformation of the Sci-tech achievements in the universities:The reform of government management system of Sci-tech, Perfecting the relevant laws and regulations in the transformation of the Sci-tech achievements of the universities, establishing the multi-channel investment system of the transformation of the universities’ Sci-tech achievements, the establishment of a fair and reasonable evaluation mechanism, strengthening the intellectual property management of the transformation of Sci-tech achievements in universities, and actively strengthening the service system construction of the transformation of the Sci-tech achievements.更多还原