科技金融资源配置机制与效率研究

发布时间：2018-07-05 03:09

  本文选题：科技金融资源 + 配置机制　； 参考：《哈尔滨工程大学》2014年博士论文

【摘要】：科技创新与金融资本的结合形成的科技金融是推动技术进步与促进经济发展的重要引擎,也是我国实施科教兴国战略、创新驱动发展战略,以及建设创新型国家的关键。科技金融的这种作用是通过科技金融资源的配置实现的。科技金融资源具有稀缺性、配置性与脆弱性等特征,是资源配置的对象,也是配置科技资源的手段,是促进技术进步与科技发展的核心战略资源。科技金融资源配置的合理与否及其配置效率的高低关系着我国科技创新的发展情况,尤其在我国经济转型期内,科技金融资源的有效配置对我国实现产业结构升级,建设创新型国家起着至关重要的作用。为此,本文对科技金融资源配置促进科技创新的机制及其效率进行了分析和评价,并提出了提高科技金融资源配置效率的对策以及相关协调和保障机制。首先,本文分析了科技金融资源及其促进科技创新的作用机理。在阐述科技创新及金融资源的内涵与特点的基础上,界定了科技金融资源的内涵和构成,主要包括科技贷款、创业风险投资、科技资本市场、科技财政及科技保险等,阐述了科技金融资源通过资本形成、风险管理、信息揭示和项目治理促进科技创新的作用机理。其次,本文分析了科技金融资源配置机制及其效率。首先分析了科技金融资源配置的主体与客体,以及科技金融资源配置的市场机制、政府机制及社会机制,阐述了市场、政府及社会机制的作用边界和相互关系;分析了科技金融资源配置机制及其效果的影响因素,主要包括金融生态环境、产业经济发展水平和经济体制、科技资源,以及国家的科技和经济发展战略;阐述了科技金融资源配置效率的内涵。第三,本文对我国科技金融资源配置效率进行了实证分析。首先,从科技贷款、科技财政、创业风险投资以及科技资本市场等方面分析了我国目前科技金融资源配置的现状和存在的问题,主要包括政府引导作用不足、科技金融的要素市场少、民间投资渠道单一等几个方面;其次,构建了从国家和区域层面评价科技金融资源配置效率的指标体系,并运用两阶段DEA评价模型对在不同阶段科技创新活动的全国范围内的科技金融资源配置效率和区域配置效率进行了实证分析,在此基础上,结合效率分析结果构建TOBIT模型,分析了我国科技金融资源配置效率的影响因素和影响效果。第四,本文对国外科技金融的发展经验进行了分析,并据此提出了完善我国科技金融资源配置机制的对策。以美国、日本和印度作为先发展国家与后赶超国家的典型代表,总结了三个国家科技金融发展的实践经验,分析了它们对我国科技金融发展的启示;在此基础上,本文提出了完善科技金融资源配置机制的对策建议,主要包括完善科技金融的要素市场、创新政府支持科技金融发展的制度安排和拓展民间资本的投资渠道等方面。最后,本文提出了提高科技金融资源效率的协调及保障机制,本文根据科技金融资源配置的整体效率、科技产出效率和经济产出效率的评价结果及相关问题,提出了提升我国科技金融资源配置效率的协调机制建设,主要包括科技金融资源增量与存量配置的协调、政府和市场与社会机制的协调、公共性科技金融与市场性科技金融的协调、科技金融资源配置的区域性协调等;分析了提升我国科技金融资源配置效率的保障机制,主要包括完善我国科技金融法律制度体系、促进科技金融中介机构发展、完善科技金融人才培养机制和完善社会信用体系等。
[Abstract]:The combination of scientific and technological innovation and financial capital is an important engine for promoting technological progress and promoting economic development. It is also the key to China's implementation of the strategy of rejuvenating the country by science and education, the innovation driven development strategy, and the key to the construction of an innovative country. The role of science and technology finance is realized through the allocation of scientific and technological financial resources. Resources have the characteristics of scarcity, disposition and vulnerability. It is the object of resource allocation and the means of configuring scientific and technological resources. It is the core strategic resource to promote technological progress and the development of science and technology. The rational allocation of scientific and technological financial resources and its allocation efficiency are related to the development of China's scientific and technological innovation, especially in China. During the transition period, the effective allocation of scientific and technological financial resources plays an important role in the upgrading of industrial structure and the construction of an innovative country. This paper analyzes and evaluates the mechanism and efficiency of scientific and technological financial resources allocation to promote scientific and technological innovation, and puts forward countermeasures to improve the efficiency of the allocation of scientific and technological financial resources. First, this paper analyzes the scientific and technological financial resources and the mechanism of promoting scientific and technological innovation. On the basis of the exposition of the connotation and characteristics of scientific and technological innovation and financial resources, the connotation and composition of scientific and technological financial resources are defined, including scientific and technological loans, venture capital investment, science and technology capital market, science and technology finance and the financial resources of science and technology. Science and technology insurance, etc., expounds the mechanism of scientific and technological financial resources through capital formation, risk management, information disclosure and project governance to promote scientific and technological innovation. Secondly, this paper analyzes the mechanism and efficiency of the allocation of scientific and technological financial resources. First, it analyzes the main body and object of the allocation of scientific and technological financial resources, and the market of the allocation of scientific and technological financial resources. The mechanism, government mechanism and social mechanism expounded the boundary and interaction of the market, government and social mechanism, analyzed the mechanism of the allocation of scientific and technological financial resources and the influencing factors of its effect, including the financial ecological environment, the development level of industrial economy, the economic system, the scientific and technological resources, and the national science and technology and economic development strategy. This paper expounds the connotation of the efficiency of the allocation of scientific and technological financial resources. Third, this paper makes an empirical analysis of the efficiency of the allocation of scientific and technological financial resources in China. First, the present situation and problems of the allocation of science and technology financial resources in China are analyzed from the aspects of scientific and technological loans, scientific and technological finance, venture capital investment and scientific and technological capital market. The leading role of the government is insufficient, the factor market of science and technology finance is few, the private investment channel is single and so on. Secondly, the index system is constructed to evaluate the efficiency of the allocation of scientific and technological financial resources from the national and regional levels, and the two stage DEA evaluation model is used to configure the national scientific and technological financial resources at different stages of scientific and technological innovation activities in different stages. The efficiency and the efficiency of regional allocation are empirically analyzed. On this basis, the TOBIT model is constructed with the results of efficiency analysis, and the influencing factors and effects are analyzed. Fourth. This paper analyzes the development experience of foreign science and technology finance in China, and proposes to perfect our country's scientific and technological financial resources. Taking the United States, Japan and India as the typical representative of the first developing countries and the post surpassing countries, this paper summarizes the practical experience of the three countries' scientific and technical financial development and analyzes their enlightenment to the development of science and technology finance in China. On this basis, this paper puts forward the Countermeasures and suggestions to improve the allocation mechanism of scientific and technological financial resources, the main package. In the end, this paper puts forward the coordination and guarantee mechanism for improving the efficiency of scientific and technological financial resources. This paper is based on the overall efficiency of the allocation of scientific and technological financial resources, the efficiency of scientific and technological output and the efficiency of economic output. The results and related problems of the rate are proposed, and the coordination mechanism for improving the efficiency of the allocation of scientific and technical financial resources in China is put forward, including the coordination of the increment of scientific and technological financial resources and the allocation of the stock, the coordination of the government and the market and the social mechanism, the coordination of the public science and technology finance and the market science and technology finance, and the regional characteristics of the allocation of scientific and technological financial resources. It also analyzes the guarantee mechanism for improving the efficiency of China's scientific and technological financial resources allocation, including perfecting the system of the legal system of science and technology finance in China, promoting the development of science and technology financial intermediaries, perfecting the training mechanism of scientific and technical financial personnel and perfecting the social credit system.
【学位授予单位】：哈尔滨工程大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F832
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本文编号：2098656