产业类科研院所发展定位研究.docx

1、产业类科研院所发展定位研究产业类科研院所发展定位研究 硕士学位论文 THESIS OF MASTER DEGREE论文题目:产业类科研院所发展定位研究(英文):The Orientation Study of IndustrialResearch Institutes 作 者: 林万舟指导教师:司岩 教授2005年11月29日论文题目: (中文)产业类科研院所发展定位研究(外文)The Orientation Study of Industrial Research Institutes 所在院、系、所 :商学院 专 业 名 称:企业管理 指 导 教 师 姓 名、职 称 :司岩教授 论 文 主

2、 题 词 :科研院所 发展定位 学 习 期 限 2002 年 10 月至 2005 年 11 月 论文提交时间: 2005 年 11 月独 创 性 声 明本人郑重声明:所呈交的论文是我个人在导师指导下进行的研究工作及取得的研究成果。尽我所知,除了文中特别加以标注和致谢的地方外,论文中不包含其他人已经发表或撰写的研究成果,以不包含为获得中国人民大学或其他教育机构的学位或证书所使用过的材料。 与我一同工作的同志对本研究所做的任何贡献已在论文中作了明确地说明并表示了谢意。签名:林万舟日期: 2005 年 11 月 16 日关于论文使用授权的说明本人完全了解中国人民大学有关保留、使用学位论文的规定,即

3、:学校有权保留送交论文的复印件,允许论文被查阅和借阅;学校可以公布论文的全部或部分内容,可以采用影印、缩印或其他复制手段保存论文。签名: 林万舟导师签名:司岩 日期:2005 年 11 月 16 日中国人民大学 硕士学位论文摘要 (中外文合订)论文题目: (中文) 产业类科研院所发展定位研究(英文) The Orientation Study of Industrial Research Institutes作 者: 林万舟指导教师:司岩 教授摘要改革开放以来,我国始终坚持把促进科技与经济结合作为科技工作的基本方针,根据经济社会发展的实际需求不断深化科技体制改革,先后推动了科研院所转制和中国科

4、学院的改革,基本形成了三个层次的创新支撑体系:一是以中科院、大学为主体的,以人才培养和基础研究开发为主要目标的院校创新体系,成为产业进行高级人才培养、基础理论创新的基础支撑平台;二是以产业系统应用开发型院所为主体的,以进行行业共性、关键性及前瞻性应用技术研究开发为主要目标的应用型院所创新体系,成为推动我国产业整体技术进步,实现技术成果工程化、集成化、产业化的技术成果工程化放大支撑平台;三是以生产企业为主体的,以服务企业自身发展为主要目标的企业创新体系,成为行业骨干企业参与市场竞争的技术开发服务支撑平台。 我国的产业类研究院所大多建立于五、六十年代,经过 50 年的发展,国家投入了数以万亿的资金

5、,是我国重要的科研力量,它们为我国工业发展起到了不可估量的历史作用,特别是中央直属大型产业类研究院所,拥有不可替代、难于模仿的科研开发经验、科研技术储备、深厚的创新、钻研文化底蕴、科学研究氛围以及独特的研究人员价值体现方式,这是现阶段我国企业无法获得的比较优势。以国资委管理的 16 家科研院所为例,这 16 家分属于 11 个行业,基本覆盖了我国产业系统的主要行业,据不完全统计截至 2003年,16家转制科研院所共取得授权专利 7500余项,获得国家级奖励 4000多项,省部级奖励 12000多项。目前,依托这 16家院所设立国家工程(技术)中心 23个,国家质监、质量认证及测试中心 67个,

6、被认定为相关行业技术创新基地 11个。设有研究生部及博士后工作站 45 个。同时,拥有 28 位院士、7000 余名高级专业技术人员,具有博士、硕士学位人员 4000 余名。从我国国家科技创新体系的分类来看,技术应用类(产业类)科研院所担负着发展应用基础研究,研究和推广行业共性技术的使命。特别是国资委管理的这 16 家科研院所作为国家产业技术创新体系的主力军之一,肩负着产业共性技术供给的责任,在产业技术创新体系中已初步建立起市场化的产业技术创新机制,为我国产业共性技术和国防尖端技术的发展做出了重要贡献。 产业类研究院所改制后,从法律性质上已经成为自主经营、自负盈亏的法人企业,中央直属的十六家大

7、型产业类研究院所为例,其隶属关系归国务院国有资产监督管理委员会,其主体目标由科研开发,为行业提供经济及社会效益为主,转变为国有资产保值增值,追求企业利润昀大化,导致行为短期化,无法集中优势资源开展基础性、前沿性技术研究,产业导向性基础研究力量被削弱,甚至出现了基础研究?产业共性技术衔接断裂、产业共性技术的供给能力降低局面;效益昀大化的导向,使研发人员不得不将主要精力用于经营创收,难于坐在实验室里苦心钻研,造成人力资源的极大浪费。 世界近代发展的历史表明,一个国家能否根据自身的国情和发展的需求,正确地制定科技发展战略和政策,直接地影响到本国的前途和命运。研究及正确定位产业类研究院所的发展方向,继

8、续发挥转制科研院所,特别是中央大型产业类科研院所的科技创新积极性,加速我国产业自主创新能力,提高产业竞争力,是我国产业创新的现实选择。 本论文在对我国产业发展及其创新能力现状、国外产业创新体系建设的主要经验、我国产业类科研院所转制后的发展状况及其在我国产业发展、创新中的地位、作用及历史使命分析论述的基础上,提出了产业类研究院所,特别是中央直属大型产业类研究院所三种可能的发展定位建议: 1、产业类研究院所与行业大型企业集团组建战略联盟是各方共赢的可能性选择。 2、在我国行业龙头企业基本上属国有独资或控股的有利条件下,发挥国家行政调控优势,将行业大型企业进行合并重组,改变行业企业散、全、小问题,提

9、高行业骨干企业的国际竞争实力,同时也为骨干企业开展自主创新工作、敢于承担创新风险奠定财力、物力基础,在此基础上将行业研究院纳入企业集团,弥补企业集团创新人才、科研经验不足、钻研氛围不强的弱点,从而缩短企业真正成为自主创新主体的时间。 3、在以中央直属的工业类科研院所的现有力量为基础,联合成立国家工业研究院,实行企业化单位事业化管理,国家给予税收、研发性非经营资产考核等方面的优惠政策,同时从国家层面上由国家、企业共同设立工业技术研发基金,用于行业共性技术、竞争性前沿技术的开发研究。AbstractSince the reform and opening up to the outside wor

10、ld, China has been upholding the science and technology works basic guideline of promoting the combination of science and technology with the economy. According to the requirement of the development of the economy and the society, our country has further deepened the S&T system reform, and promoted

11、the transformation of S&T research institutes and the reform of Chinese Academy of Sciences, and then formed the following three creative support systems: 1 University system, with the main body as Chinese Academy of Sciences and universities, and the main goal as talents cultivation and basic resea

12、rch and development, is the basic support platform for professional talents cultivation and basic theory innovation. 2 Application system, with the main body as universities of application type, and the main goal as research and development of the generic, crucial and foresight applied technology in

13、 the industry, is the technology output system to drive the technology advancement in the whole industry and realize the engineering, integralization and industrialization of technology output. 3 Enterprise system, with the main body as productive enterprises, and the main goal as the self developme

14、nt of enterprises, is the technology development service platform for backbone industrial enterprises participating the competition in the marketMost of our countrys industrial research institutes were established in 1950s or 1960s. With the development of the past 50 years and the countrys trillion

15、s investment, they are our countrys important scientific research strength, and play an immeasurable role in the industrial development. Especially the large-scale industrial research institutes directly under the leadership of the central government have inimitable scientific research experience, t

16、echnology equipments, profound innovation and hard work spirits, scientific research atmosphere and researchers unique value, which are the comparative advantages that our countrys enterprises cannot have now. Take the 16 scientific research institutes managed by State-owned Assets Supervision and A

17、dministration Commission of the State Council for exampleThey belong to 11 kinds of industries, and almost cover the most industriesAccording to the incomplete statistics, till 2003, the 16 transformed scientific research institutes have had 7500 plus patents, over 4000 national awards, more than 12

18、000 provincial awards. At present, with the support of the 16 institutes, there are 23 national engineering technology centers, 67 national quality supervision, certification, and testing centers, 11 technology innovation bases, 45 graduate schools and doctor workstations, and 28 academicians, 7000

19、plus senior professional personnel, 4000 doctors and masters as well. From the view of the classification of national S&T innovation systems, industrial scientific research institutes shoulder the tasks of basic research on technology application, research and popularize the industrial generic techn

20、ologies. In particular, as one main force of national industrial technology innovation system, the 16 scientific research institutes managed by State-owned Assets Supervision and Administration Commission of the State Council have assumed the responsibility of supplying the industrial generic techno

21、logy, initially set up the market-oriented industrial technology innovation system, and made an important contribution to the development of our countrys industrial generic technology and advanced national defense technologyAfter the transformation, the industrial institutes become enterprises as le

22、gal persons making their own management decisions and taking full responsibility for their own profits and losses. Take the 16 large-scaled industrial research institutes directly under the leadership of the central government for example. They are subject to State-owned Assets Supervision and Admin

23、istration Commission of the State Council. Their main goal turns from providing economic and social benefits by scientific research and development for the industry, to maintaining and increasing the value of national assets, pursuing the enterprise profit imization, which causes their short-term co

24、nduct. They cannot concentrate their advantaged resource on the basic, cutting-edge technology research, which weakens the industrial research power, even breaks the link between basic research and generic technology and reduces the supply of generic technology. At the same time, the orientation of

25、benefit imization forces the researchers to focus on bringing the most benefit to institutes and pay little attention to the research, which results in the great waste of human resourceThe world modern development history shows that, whether a country correctly constitutes its S&T development strate

26、gy and policies according to the requirement of the situation and development of the country, directly influences the future and fate of the country. The practical choice of industrial innovation in our country is to research and identify the right development approach of industrial institutes, cont

27、inue to give full play to the S&T innovation advantage of the transformed scientific research institutes and the large-scale industrial institutes directly under the central government in particular, enhance our countrys independent innovation and industrial competitivenessBased on the analysis of o

28、ur countrys industrial development and present situation of industrial innovation, experience of foreign industrial innovation system construction, and the transformed industrial scientific research institutes in our countrys development, position and role in the industrial development and innovatio

29、n, and historic mission, the thesis puts forward the following advices on the three possible development orientations of our countrys industrial research institutes and the large-scale industrial institutes directly under the central government in particular: The strategic alliance between industria

30、l research institutes and large-scaleEnterprise groups is a possible win-win choice2. To give play to the administrative control of the country, and integrate the large-scale enterprises since the state owns the sole ownership or controlling stake of the leading industrial enterprises in our country

31、. This way can solve the problems of enterprises with scattering location, complete function and small size, enhance the international competitiveness of backbone enterprises, and at the same time lay a finance and resource foundation for backbone enterprises to carry out the innovation work and bea

32、r the innovation risk. Then the industrial institutes are taken into the enterprise group to make up the disadvantages of enterprises lacking creative talents, scientific research experience and hard work atmosphere, and thereby shorten the time of enterprises realizing their independent innovation3. To establish a national industrial institute t