【作者】 王卉珏；

【导师】 谢科范；

【作者基本信息】 武汉理工大学 ， 管理科学与工程， 2005， 博士

【摘要】 为了更好地促进科技发展,各国越来越重视对科技政策的制定与实施。本文综合运用管理科学、系统论、政策科学、科学技术哲学、博弈论等多种学科理论和方法,对科技政策制定的理论和方法进行了较系统的研究。全文的研究是从以下五个方面展开的。 第一,界定了科技政策的本质和特征;分析了科技政策的内容和形式;探讨了科技政策的结构和功能。 第二,将系统论运用于对科技政策体系的总体特征分析,以促使科技政策体系更好地发挥整体功能。首先具体描述了科技政策体系中非线性特征的各种表现和涨落作用的基本形式,然后运用协同学原理,确认科技政策体系内的各序参量,指出科技政策体系必须层次分明、整体协调、反馈控制、逐步完善。 第三,在明确科技政策制定主体和客体的基础上,分析了科技政策制定的环境和原则,论述了科技政策制定的程序及模型。科技政策制定的程序包括确认科技政策问题、建立科技政策议程、科技政策规划及科技政策合法化。科技政策制定模型主要包括有限理性决策模型、渐进决策模型、精英决策模型和集团决策模型。 第四,分析了科技政策制定的风险及其防范。首先对科技政策制定的风险进行了分析,分别讨论了科技政策制定的风险源、信息风险和纯粹风险。然后研究了科技政策制定过程中存在的博弈问题,通过构建数学模型分析了几种主要博弈类型:国家与国家之间存在的博弈、中央政府与地方政府之间存在的博弈、政府与企业之间存在的博弈。提出了科技政策制定风险的防范方法,具体有:遵守科技政策制定的规划原则;明确权责、及时调整;兼顾差异原则;培养科技政策制定人才。 第五,对科技政策的制定进行了实证研究。首先,剖析了美国、日本、英国、德国等发达国家的科技政策制定实际,归纳出对我国科技政策制定有启示作用的若干经验,即顺应时代,调整科技政策目标;完善科技立法;优化科技体制,发挥中小企业作用;加大科技投入,协调发展R&D;科技政策制定趋向公众选择决策模型,我国要逐渐提高群众的科技素养。其次,对若干具体科技政策制定进行分析:研究了在跨国公司R&D国际化的新形势下,我国R&D政策应如何调整;总结归纳了发达国家技术扩散政策的演化阶段和分类特点,在更多还原

【Abstract】 In order to accelerate the development of S&T, every country is attaching more and more importance to research on S&T policymaking and S&T policy implementation. This paper made integrative use of management theory, systematology, policy science, S&T philosophy, and game theory to systematically study the theory and method of S&T policymaking. This research work includes the following five parts.Firstly, this paper defines the essence and features of S&T policy, analyses the content and form of S&T policy, and discusses the structure and function of S&T policy.Secondly, in order to give full play to the function of S&T policy system, this paper use systematology to analyze the features of S&T policy system. First this paper thoroughly describes the display of nonlinear feature and basic form of fluctuation motion in S&T policy system; then after using synergenics to realize rank parameters in S&T system, this paper points out that S&T policy system should posses the characteristics of distinct hierarchy, coherent holistic, feedback control and improving day by day.Thirdly, on the basis of acknowledging the S&T policymaking’s subject and object, this paper analyses the S&T policymaking environment, rules, procedure, and models. S&T policymaking procedure includes S&T policy problem acknowledgement, S&T policy agenda setting, S&T policy planning, and S&T policy legitimatizing. S&T policymaking models include bounded rationality decision model, incremental decision model, elite decision model, and. group decision model.Fourthly, this paper discusses risk of S&T policymaking and inquires into how to avert risk. First of all, this paper discusses risk of S&T policymaking, which includes risk source, information risk, and pure risk. After that, this paper researches on the game problems existing in the procedure of S&T policymaking by forming mathematical models. There are some main types of game, which includes game between countries, game between central government and local government, and game between government and enterprise. This paper puts forward methods to avert risk, which means S&T policymaking should comply with the program principles, distinguish power from responsibility, regulate in time, consider the diversity feature, and train people for this profession.Fifthly, this paper researches on S&T policymaking by valuative approach.First this paper analyses practical S&T policymaking in developed countries, such as USA, Japan, England, German, etc. Then China can draw inspiration from experience concluded from developed countries, which includes goal adjustment of S&T policymaking according to times change, improvement of S&T legislation, S&T system reform to give full play to small and medium-sized firms, increase of investment in S&T, coordinated growth of R&D, and improvement of Chinese people’s S&T consciousness when the S&T policymaking model tends to be public selection decision model. After that, this paper makes a study of specific S&T policymaking as follows. How to adjust Chinese R&D policy when the internationalization time of transnational corporation R&D is coming? Based on the summary of technology diffusion policy’s development phases and classification characters in developed countries, this paper discusses Chinese technology diffusion policy’s shortcoming, and identify the focal point of technology input policy in new period. Based on the classification criterion of S&T policy paradigm in developed countries, this paper analyses Chinese important S&T programs and puts forward classification characters according to Chinese national conditions.更多还原