我国政府财政科技投入的绩效评价研究
摘要
当今世界,随着经济的发展,技术进步逐渐成为发展一国经济、提升国际竞争力和综合国力的重要影响因素。众所周知,政府是科技投入的两大主体之一,在我国,作为政府科技投入的国家财政科技拨款,是我国科技投入的重要组成部分。当前我国政府财政科技投入的绩效到底如何?是否达到最大产出?都需要在政府实际决策时得到回答。因此,分析政府财政科技投入的数量和绩效,使有限的资金发挥最大的效益具有重要的理论意义和现实意义。
本文从现实状况出发,以我国政府财政科技投入的绩效评价研究为题,结合技术创新理论和内生增长理论,梳理了国内外关于政府财政科技投入及其绩效评价的文献,分析了我国政府财政科技投入的总量和结构现状及其必要性,收集数据并运用协整理论从宏观上对我国政府财政科技投入与经济增长的关系进行了研究,运用数据包络分析方法从微观上对我国政府财政科技投入——产出绩效进行了评价,最后结合实际状况给出了相关政策建议。
论文的主要贡献和创新之处有以下几点:
第一,从总量和结构两方面对我国政府财政科技投入的现状进行了分析,得出以下结论:我国政府财政科技投入虽然在绝对数额上持续增加,但在相对比重上却出现了下降的趋势;我国政府财政科技支出的增长速度低于财政总支出的增长速度;我国政府财政用于“基础研究”的投入过少。
第二,以现实状况和相关理论为基础,分析了政府财政科技投入的必要性,以科技投入与科技成果之间的正相关关系为出发点,从鼓励多样化科技活动和增加科学技术知识的供应量两个角度分析了政府财政科技投入的作用机理,指出政府财政对科技的投入主要起补充作用。
第三,通过运用相关模型从宏观上对我国政府财政科技投入与经济增长的关系进行研究,从微观上对我国政府财政科技投入——产出绩效进行了评价,得出以下结论:政府财政科技投入在一定程度上促进了我国经济的发展,但其促进作用并不显著;我国政府财政科技投入绩效总体相对无效:我国政府财政科技投入的力度不够。
最后,结合实际状况和实证分析结果,提出了相关政策建议,希望能对政府财政科技投入相关政策的制定,财政科技资金效应的充分发挥提供借鉴。
Nowadays, with the development of economy, technology progress has gradually been an important influencing factor in developing a country's economy, enhancing a country's power in the fierce international competition and overall national strength. As we all know, government is one of the main investment parts in science and technology. The financial science and technology funds are also an important input of the investment. How about the performance of our government in the investment and whether it could reach the maximum output are required to be answered in the actual decision-making. Therefore, it has significant theoretical and practical meaning to analyze the performance of government's investment in science and technology and to maximize the effectiveness of the limited funds.
Starting from the realistic situation and making the performance of government's investment in science and technology as the subject, the paper combines Technological Innovation Theory and Endogenous Growth Theory, organizes the home and abroad literature about the government's financial investment in science and technology, then analyzes the amount and structure status quo and the necessity of government's investment in these fields. From the macro perspective, the paper researches the relationship between economic growth and government's financial investment in science and technology using the Co-integration Theory, and from the micro perspective, it evaluates the performance of the government using the Data Envelopment Analysis Method. Finally it provides the relevant policies and recommendations according to reality.
The main contribution and innovation of the paper are as follows:
Firstly, through analyzing the amount and structure of status quo, the paper comes to the following conclusion: our government's finance investment in science and technology continued to increase by the absolute amount; however, the relative weight was on a downward trend; the growth speed of our government's finance investment in science and technology was below the financial total expenditure's and the input in basic research was too little.
Secondly, the paper analyzes the necessity of government's investment in science and technology on the basis of reality and related theory. And then starting from the positive correlation between the investments and achievements of science and technology, the paper analyzes the mechanism from two perspectives. They are encouraging diversified activities and increasing the supply of scientific and technical knowledge. And it points out that government's finance investment in science and technology plays a complementary role.
Thirdly, from the macro perspective the paper researched the relationship between economic growth and government's financial investment in science and technology and evaluated the performance of our government's financial investment and output from a micro perspective through the relevant model, and came to the following conclusion: government's financial investment in science and technology promoted the economic growth of our country at a certain extent, but it was not significant; the overall performance was relatively ineffective; government's financial investment in science and technology was not enough.
Finally, in light of the actual situation reality and the empirical results of the analysis, the paper put forward some related policies and recommendations hoping to provide useful experiences and lessons for the formulation of relevant policies and the full play of government's financial investment in science and technology.
本文从现实状况出发,以我国政府财政科技投入的绩效评价研究为题,结合技术创新理论和内生增长理论,梳理了国内外关于政府财政科技投入及其绩效评价的文献,分析了我国政府财政科技投入的总量和结构现状及其必要性,收集数据并运用协整理论从宏观上对我国政府财政科技投入与经济增长的关系进行了研究,运用数据包络分析方法从微观上对我国政府财政科技投入——产出绩效进行了评价,最后结合实际状况给出了相关政策建议。
论文的主要贡献和创新之处有以下几点:
第一,从总量和结构两方面对我国政府财政科技投入的现状进行了分析,得出以下结论:我国政府财政科技投入虽然在绝对数额上持续增加,但在相对比重上却出现了下降的趋势;我国政府财政科技支出的增长速度低于财政总支出的增长速度;我国政府财政用于“基础研究”的投入过少。
第二,以现实状况和相关理论为基础,分析了政府财政科技投入的必要性,以科技投入与科技成果之间的正相关关系为出发点,从鼓励多样化科技活动和增加科学技术知识的供应量两个角度分析了政府财政科技投入的作用机理,指出政府财政对科技的投入主要起补充作用。
第三,通过运用相关模型从宏观上对我国政府财政科技投入与经济增长的关系进行研究,从微观上对我国政府财政科技投入——产出绩效进行了评价,得出以下结论:政府财政科技投入在一定程度上促进了我国经济的发展,但其促进作用并不显著;我国政府财政科技投入绩效总体相对无效:我国政府财政科技投入的力度不够。
最后,结合实际状况和实证分析结果,提出了相关政策建议,希望能对政府财政科技投入相关政策的制定,财政科技资金效应的充分发挥提供借鉴。
Nowadays, with the development of economy, technology progress has gradually been an important influencing factor in developing a country's economy, enhancing a country's power in the fierce international competition and overall national strength. As we all know, government is one of the main investment parts in science and technology. The financial science and technology funds are also an important input of the investment. How about the performance of our government in the investment and whether it could reach the maximum output are required to be answered in the actual decision-making. Therefore, it has significant theoretical and practical meaning to analyze the performance of government's investment in science and technology and to maximize the effectiveness of the limited funds.
Starting from the realistic situation and making the performance of government's investment in science and technology as the subject, the paper combines Technological Innovation Theory and Endogenous Growth Theory, organizes the home and abroad literature about the government's financial investment in science and technology, then analyzes the amount and structure status quo and the necessity of government's investment in these fields. From the macro perspective, the paper researches the relationship between economic growth and government's financial investment in science and technology using the Co-integration Theory, and from the micro perspective, it evaluates the performance of the government using the Data Envelopment Analysis Method. Finally it provides the relevant policies and recommendations according to reality.
The main contribution and innovation of the paper are as follows:
Firstly, through analyzing the amount and structure of status quo, the paper comes to the following conclusion: our government's finance investment in science and technology continued to increase by the absolute amount; however, the relative weight was on a downward trend; the growth speed of our government's finance investment in science and technology was below the financial total expenditure's and the input in basic research was too little.
Secondly, the paper analyzes the necessity of government's investment in science and technology on the basis of reality and related theory. And then starting from the positive correlation between the investments and achievements of science and technology, the paper analyzes the mechanism from two perspectives. They are encouraging diversified activities and increasing the supply of scientific and technical knowledge. And it points out that government's finance investment in science and technology plays a complementary role.
Thirdly, from the macro perspective the paper researched the relationship between economic growth and government's financial investment in science and technology and evaluated the performance of our government's financial investment and output from a micro perspective through the relevant model, and came to the following conclusion: government's financial investment in science and technology promoted the economic growth of our country at a certain extent, but it was not significant; the overall performance was relatively ineffective; government's financial investment in science and technology was not enough.
Finally, in light of the actual situation reality and the empirical results of the analysis, the paper put forward some related policies and recommendations hoping to provide useful experiences and lessons for the formulation of relevant policies and the full play of government's financial investment in science and technology.
引文
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[3]科技部统计[N].科技日报,2006年12月15日报道
[4]Dominique Guellec,Bruno van Pottelsberghe de la Potterie(2001).The Internationalization of Technology Analyzed with Patent Data[J].Research Policy:2001(3):1253-1266
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[7]Riccardo Leoncini.The nature of long-run technological change:innovation,evolution and technological systems[J].Research Policy,V27(1):75-93
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[9]Kerssens,Cook.Design Principles for the Developing of Measurement Systems for R&D Processes[J].R&D Management,1997(4):345-357
[10]Dominique,Bruno.The Impact of Public R&D Expenditure on Business R&D[J].Research Policy,2001,V30(8):1253-1266
[11]Salter A'J.The economic benefits of publicly funded basic research:a critical review[J].Research Policy,2001,V30(3):509-532
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[13]Zollo Winters.Understanding Dynamic Capabilities[J].Strategic Management Journal,2005(24):997-1010
[14]林涛.欧盟的14项科技评价指标[J].全球科技经济瞭望,2002(12):7-9
[15]曹晟,田大山.美国科技评估立法实践及其对中国的借鉴意义[J].自然辩证法通讯,2004(6):57-61
[16]张平.日本科技评估及对我国的借鉴[J].中国科技论坛,2005(2):142-144
[17]Freeman C.Technology Policy and Economic Performance:Lessons from Japan[M].London:Printer Publishers,1978(8):50-55
[18]李志军.强化政府科技经费管理[J].科学与管理,2001(1):26-28
[19]吴学梯.公共财政框架下国家财政科技投入研究[J].中国财政,2003(11):51-54
[20]方新,柳卸林.我国科技体制改革的回顾及展望[J].求是,2004,(5):43-45
[21]房汉廷,金延新.WTO规则对我国财政科技投入的影响及应对措施[J].财政研究,2003(7):53-56
[22]董书礼,刘彦.WTO规则对我国国家财政科技投入的影响研究[J].科技进步与对策,2004(1):4-6
[23]彭鹏,李丽亚.我国财政科技投入现状分析和对策研究[J].中国科技论坛,2003(6):83-86
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