【作者】 肖科；

【导师】 王仁祥；

【作者基本信息】 武汉理工大学 ， 产业经济学， 2010， 博士

【摘要】 本文从研究政策性金融的定义、功能及其实现机理出发,对中国支持自主创新的政策性金融结构进行分析,在此基础上,运用灰色关联分析法、计量回归分析法和数据包络分析法(DEA),构建分析政策性金融促进自主创新有效性的实证模型组,从关联性、总体效应和结构效应三个方面检测我国政策性金融促进自主创新有效性,通过测度政策性金融与自主创新直接和间接关联度、政策性金融对自主创新的直接和间接促进效应及贡献度,探讨了政策性金融对自主创新的直接与间接促进作用；最后,根据有效性检验的结果,对我国政策性金融促进自主创新的现状进行系统分析,并以此为依据,就政策性金融促进自主创新的平台构建和机制设计,提出对策建议。本文主要分为六大部分：第1部分主要分析政策性金融的功能及实现机理,是全文的理论基础。本部分首先对政策性金融的定义进行再界定,提炼出政策性金融的四大特征：公共性、财政性、市场性、金融性,以及两大特定功能：资金支持功能和投资引导功能。在此基础上,对政策性金融的两大特定功能的实现机理进行全面分析,确定了两大特定功能的关键传导变量,理清了两大特定功能的传导过程。为后文研究提供对象、渠道和方向。第2部分主要是对中国支持自主创新的政策性金融结构进行分析。这一部分首先从功能观角度,根据政策性金融功能发挥的途径,确定了我国科技政策性金融的范围,在此基础上,对我国科技政策性金融的工具结构进行系统分析。其次,根据工具结构分析的结果,从项目安排结构、资金投入和科研人员投入情况、主要实施成效等三个方面对科技政策性金融工具在“十一五”前中期的实施情况进行初步实证分析,在分析过程,还对科技政策性金融工具的投入和产出指标进行了初步筛选,根据初选出的指标,对相关研究数据进行挑选和梳理。第3部分是研究我国政策性金融与自主创新的关联性。这一部分从政策性金融的定义与功能出发,运用灰色关联分析方法,结合我国实际情况,建立起自主创新的投入、产出指标体系,在此基础上,借助MATLAB 7.6 R2008a数学分析软件,构建政策性金融与自主创新的关联度程序化测算模型,计算出两者之间的直接关联度和间接关联度,最后,根据计算结果,结合图表趋势分析,对我国政策性金融对自主创新的直接促进作用与间接促进作用做出一个初步判定。第4部分是中国政策性金融促进自主创新的总体效应分析。这一部分在相关研究的基础上,选择计量回归分析方法,构建政策性金融促进自主创新的总体效应分析模型,从成果产出和成果转化两个方面,测算出我国政策性金融对自主创新的直接和间接促进效应及贡献度,进一步研究我国政策性金融对自主创新直接与问接促进作用的发挥情况。第5部分是中国政策性金融促进自主创新的结构效应分析。根据政策性金融科技投入绩效具有“3E”特征,这一部分在检测政策性金融促进自主创新的总体效应基础上,运用数据包络分析法(DEA),构建起政策性金融促进自主创新结构效应的评价指标体系和评价模型,从效率的角度分析我国政策性金融促进自主创新的结构效应,测度和评价各种科技政策性金融工具的技术效率、规模效率和规模报酬,并进行比较分析。为探讨我国政策性金融科技资金投入的合理配置和提高资金利用率提供实证依据。第6部分主要是对我国政策性金融促进自主创新的平台构建与机制设计的提出对策建议。这一部分首先对我国政策性金融促进自主创新的现状进行了分析,揭示出现状中存在的问题,在此基础上,提出政策性金融促进自主创新的平台构建与机制设计的对策建议。未来我国科技政策性金融改革策略是实现“四化”,即政策化、市场化、专业化和规范化。我国政策性金融促进自主创新的平台建设的总体目标是建立起统一的支持自主创新的专门化综合性政策性金融服务平台。政策性金融促进自主创新的机制设计以保障支持自主创新的政策性金融高效运行和功能的充分发挥为目标,其设计体现了内外因关系的哲学原理,主要考虑了三个因素：内部因素、外部因素、内外因共同作用因素,由三大保障机制构成,即内部保障机制——协调激励机制,外部保障机制——立法保障机制,内外结合的保障机制——政商融合机制。更多还原

【Abstract】 The dissertation firstly analyzes definition, functions and its implementation mechanism of policy-oriented finance in order to study the structure of policy-oriented finance supporting independent innovation in China. Based on it, the empirical model group is built to research the effectiveness of policy-oriented finance to promote independent innovation by means of grey relational analysis, quantitative regression analysis and data envelopment analysis. Next, from three aspects of relation, overall effect and structure effect, the dissertation makes use of this model group to investigate the effectiveness of policy-oriented finance to promote independent innovation in China by way of measuring direct and indirect relational grade of policy-oriented finance and independent innovation, direct and indirect effects and contributions of policy-oriented finance to promote independent innovation.Last but not least, according to the effectiveness measure, the dissertation analyzes present situation, direct and indirect role of policy-oriented finance in promoting independent innovation, and puts forward suggestions to construct platform and design mechanism on policy-oriented finance in promoting independent innovation in China. The following six parts are included:Part 1:the functions and its implementation mechanism of policy-oriented finance. This part firstly redefines definition of policy-oriented finance, extracts the four features of policy-oriented finance, including public, fiscal, market, financial nature, and two specific functions, including financial support function and investment guidance function. Based on it, this part analyzes implementation mechanism of policy-oriented finance functions.Part 2:the structure of policy-oriented finance supporting independent innovation in China. First of all,from the functional point of view, this part determines the scope of policy-oriented finance supporting science and technology on the basis of the ways of the functions of policy-oriented finance, and studys the structure of policy-oriented finance supporting science and technology in China. Next, this part analyzes implementation of policy-oriented finance supporting science and technology in China.Part 3:the relation of policy-oriented finance and independent innovation in China. According to the actual situation in China, this part establishes input and output index system of independent innovation.Based on it, the model is built to measure relational grade of policy-oriented finance and independent innovation by use of grey relational analysis and MATLAB 7.6 R2008a. Next, the part makes use of this model to calculate direct and indirect relational grade of policy-oriented finance and independent innovation. Finally, according to the results, combined with chart trend analysis, this part makes a preliminary determination on direct and indirect role of policy-oriented finance in promoting independent innovation.Part 4:the overall effect of policy-oriented finance supporting independent innovation in China. By means of quantitative regression analysis, the part sets up the empirical model in order to measure the overall effect of policy-oriented finance supporting independent innovation in China. Next, from two aspects of outputs and application of outputs, the part makes use of this model to measure direct and indirect effects and contributions of policy-oriented finance to promote independent innovation in China. Last but not least, the paper further analyzes direct and indirect role of policy-oriented finance in promoting independent innovation in China.Part 5:the structure effect of policy-oriented finance supporting independent innovation in China. By use of data envelopment analysis, the part establishes the index system and the model in order to evaluate the structure effect of policy-oriented finance supporting independent innovation in China. Next, from the perspective of efficiency, the part uses this model to measure technical efficiency, scale efficiency and returns to scale on policy-oriented financial instruments supporting science and technology in China, and does comparative analysis.Part 6:the suggestions on constructing platform and designing mechanism on policy-oriented finance in promoting independent innovation in China. According to the effectiveness measure, the part analyzes present situation of policy-oriented finance in promoting independent innovation, and puts forward suggestions to construct platform and design mechanism on policy-oriented finance in promoting independent innovation in China.更多还原