【作者】 雷彦斌；

【导师】 欧国立；

【作者基本信息】 北京交通大学 ， 产业经济学， 2012， 博士

【摘要】 在中国,以行业科研院所为骨干力量的科学技术创新体系具有鲜明的中国特色,是中国攀登世界科学技术革命制高点的主力军。作为一种特殊的产业组织形式,中国行业科研院所是中国国家科学技术创新系统的重要组成部分,承担着国民经济中各行业的科学技术进步和发展职责,直接关系到中国经济社会的可持续发展和行业核心竞争能力；特别是原国务院各部委所属的中央级转制科研院所,作为国民经济中各行业科研院所的“国家队”,始终处于行业价值链的最高端,在中国参与世界产业分工的过程中占据着举足轻重的地位。因此,科学评价中国行业科研院所的效率水平,优化配置相对有限的科技资源,对中国的经济发展和产业结构调整及升级具有十分重要的理论意义与现实意义。本文较为系统地梳理了效率理论、科技资源配置理论及效率与科技资源配置的关系,明确界定了效率、科技资源配置等概念和研究范畴,结合中国国情构建了颇具特色的中国行业科研院所效率评价指标体系,并在此基础上搜集大量数据,运用包括数据包络分析方法、Malmquist指数分析方法等数理经济学和应用统计学工具,实证分析了中国行业科研院所的效率和科技资源配置现状。研究发现：中国行业科研院所的整体效率较低、科技资源配置较不合理；发展中还存在一些不利因素,例如：经营粗放、规模较小、市场结构和产权结构不合理、创新不足、资金运用效率低以及风险管控机制不健全等现实问题。作者认为,可以通过改善中国行业科研院所的内外部科技资源配置状况,从而提高其效率水平,主要方法和路径归纳为“一个优化、五个提升”。一是建立科技资源配置的统筹管理体制,优化创新环境。主要措施有：统一编制科技预算、统筹管理科研经费,合理布局国家产业研发网络,建立多元化的科研经费投入体系,完善科技创新的金融支持体系,规范知识产权保护体系,以及健全科技成果转化服务体系。二是构建垄断竞争型科技市场结构,提升市场效率。主要措施有：科技资源适度集中和相对分散并重,建立以大型科研院所为主导、中小型科研院所并存的垄断竞争型市场结构；消除壁垒、建立高效率的科技市场,让行业科研院所在市场机制下“优胜劣汰”,优化科技资源的配置,提高科技资源的运用效率。三是发挥行业大院大所的骨干作用,提升规模效率。主要措施有：增强中国行业科研院所的科技创新能力,改革中国行业科研院所的产权制度,推动中国行业科研院所的并购重组。四是改善经营模式和人力资源配置,提升管理效率。主要措施有：推进中国行业科研院所的集约化经营,培育中国行业科研院所的综合经营,强化科研经费管理、减少资金浪费,以及整合行业科技人力资源、优化科技人力资源配置。五是促进产学研合作和科技成果转化,提升交易效率。主要措施有：促进产学研在科技市场上的合作,加大科技经费投入、面向市场设立科研项目,利用政府采购制度等优惠政策引导和支持科技成果产业化。六是调整科技资源重点投入方向,提升生产效率。主要措施有：优先发展信息产业,扶持行业科研院所的科技主导地位；加强基础设施建设,鼓励行业科研院所掌握核心技术；促进高技术产业发展,发挥行业科研院所的科技主力军作用。在论文研究过程中,作者始终坚持以中国行业科研院所在国家、行业中的特殊定位和功能为出发点,以提升中国国民经济各行业和行业科研院所自身的科技创新能力为目标,结合中国特色的科学技术管理体制改革实践和最新进展情况,构建了与众不同的中国行业科研院所效率评价指标体系,并通过对中央级转制科研院所进行实证分析和研究,得出相关结论,提出相应的对策和建议。这是对中国行业科研院所的效率评价及科技资源配置研究的一次有益探索和创新。更多还原

【Abstract】 ABSTRACT:In China, with distinct Chinese characteristics, Industry Research Institutes (IRIs) is the backbone of Chinese scientific and technological innovation system and the main force for China to climb the peak of science and technology. As a special form of industrial organization, Chinese IRIs is an important part of China National Science and Technology Innovation System, it also bears responsibility of industrial progress and development in science and technology and is directly related to China’s economic and social sustainable development and core competitive ability of every industry. In particular Central Industry Research Institutes (CIRIs), formerly belonged to ministries and commissions of the State Council of China, as the "national team" among IRIs, always in the most high-end of industries value chain, play a decisive role in the process of Chinese occupying position in world industry division. Therefore, it has very important theory and practical significance for China’s economic development, industrial structure adjustment and upgrade to scientificly evaluate efficiency level of Chinese IRIs and optimize allocation of relatively limited resources of science and technology.This paper systematically summarizes theories of efficiency and scientific and technological resource allocation, relationships of efficiency and scientific and technological resource allocation; define concepts of efficiency and scientific and technological resource allocation, and scope of this study. With combined with China’s national conditions, the author constructs a distinctive efficiency evaluation index system for Chinese IRIs. And on this basis the author collects a large number of data, using methods of data envelopment analysis and Malmquist index analysis, makes an empirical analysis on efficiency and scientific and technological resource allocation of Chinese IRIs. Study found that:overall efficiency of Chinese IRIs is low, scientific and technological resource allocation is unreasonable; there also exists some negative factors in development of Chinese IRIs, such as:management extensive, smaller scale, market structure and property rights structure is unreasonable, lack of innovation, efficiency of capital use is low, and risk control mechanism is not perfect, etc..The author thinks, improving scientific and technological resources allocation both inside and outside of Chinese IRIs can improving their efficiency level, the main methods and paths are summed up as "an optimization, five upgrades".First is to optimize innovative environment by establishing unified management system of scientific and technological resources. The main measures are:to unify budget preparation of science and technology, to co-ordinate management of scientific and technological research funds, to reasonably layout of national and industrial research and development network of China, to establish investment systems from multiple sources for scientific and technological research projects, to strengthen financial support for scientific and technological innovation system, to standardize intellectual property rights protection system, and to build a sound service system for scientific and technological achievement transformation.Second is to upgrade market efficiency by constructing a market structure of monopolistic competition. The main measures are:to make scientific and technological resources both moderately concentrated and relatively dispersed, to build a monopolistic competition market structure of the large IRIs as the dominant, the small and medium-sized IRIs to coexist; to eliminate barriers of entry for establishment of an efficient market of science and technology, make overall IRIs under the market mechanism of "survival of the fittest", enhance efficiency of scientific and technological resources both in utilization and allocation.Third is to upgrade scale efficiency by developing the backbone role of large IRIs. The main measures are:to enhance scientific and technological innovation ability of Chinese IRIs, reform property right systems of Chinese IRIs, promote Chinese IRIs in mergers and acquisitions.Fourth is to upgrade management efficiency by making management mode and human resources allocation better. The main measures are:to promote Chinese IRIs of intensive management, cultivation Chinese IRIs of comprehensive management, strengthen management of scientific and technological research funds, reduce waste of money, as well as integration and improvement of human resources allocation both in science and technology. Fifth is to upgrade transaction efficiency by promoting cooperation and transformation of scientific and technological achievements. The main measures are:to promote cooperation of IRIs, universities and enterprises in science and technology market; to increase scientific and technological research funds and establish scientific and technological research project of market oriented; use the system of government procurement and other preferential policies to guide and support industrialization of scientific and technological achievements.Sixth is to upgrade production efficiency by adjusting focus investment directions of scientific and technological resources. The main measures are:to give priority to development of information industry, support IRIs of leading position in science and technology; to strengthen infrastructure construction, encourage IRIs master industrial core technologies; promote development of high-tech industry, develop main force effect of IRIs in science and technology.In the process of research, the author has always adhered to proceed from special position and functions both in nation and industry of Chinese IRIs. In order to promote scientific and technological innovation ability of every industry in China’s national economy and IRIs of its own as the goal, combined with Chinese characteristics of scientific and technological management system reform and the newest progress situation, the author constructes an ordinary Chinese IRIs efficiency evaluation index system, and through empirical research and analysis of Chinese CIRIs, finally reaches relevant conclusion and proposes corresponding countermeasures and suggestions. The paper is an useful exploration and innovation on efficiency evaluation and scientific and technological resource allocation of Chinese IRIs.更多还原