中国科研院所改革政策工具选择变迁研究

Research on the Changes of Policy Tool Choice in the Reform of Chinese Scientific Research Institutes

中国科研院所改革历时多年,其政策过程障碍有待明晰。政策工具是实现政策目标的手段,其选择变迁反映政策演化逻辑,优化政策绩效的关键在于政策工具选择与政策目标适配。对1984—2018年间中央与30个副省级以上地方政府发布的770件科研院所改革政策文件进行内容分析,通过频数统计描述政策工具选择特点与变化,借助政策主题共词聚类分析解释其成因。研究发现,中国科研院所改革以自上而下的方式推进,中央与地方政府主要政策工具选择均历经由行政工具向市场工具转变。因产权制度以及相关配套制度改革滞后导致市场化改革受阻,技术交易、税收优惠等市场工具未能充分使用,未能完全适配政策目标。籍此相应提出突破产权制度改革瓶颈,推动统一开放的技术交易市场建设,强化事前事中税收政策等建议。

The Chinese research institute system was formed in the era of planned economy.With the development of market economy,the disconnection between science and technology and economy in scientific research institutes has become increasingly prominent.For this reason,China initiated market-oriented reform of scientific research institutes in1984.The reform of scientific research institutes is accompanied by the process of marketization.The profound changes in the market economy environment and the increasing role of the market in allocating resources require further deepening of the market-oriented reform of scientific research institutes.Exploring the reform of scientific research institutes is of great significance for optimizing the allocation of scientific and technological resources,promoting the deep integration of technology and economy,and building a national innovation system.However,the process of deepening the reform of scientific research institutes which lasted for many years was obviously hindered,and there were policy obstacles.Existing research on the reform of scientific research institutes mainly focuses on policy goals and policy implementation paths,but its evolutionary characteristics and internal logic need to be discussed in depth,especially the basic contradictory relationship between the government and the market.Policy tools are the means to achieve policy goals,and changes in policy tool selection preferences reflect the logic of policy evolution.At present,there is still a lack of policy tools classification methods that match the reform of scientific research institutes.According to the reality of the reform of scientific research institutes,the research designs a three-level classification framework of administrative tools and market tools.The article analyzes the content of 770 reform policy texts of scientific research institutes of the central and local governments from 1984 to 2018,and describes the preference of the central and local government policy tools and their phase changes through frequency statistics.With the help of the co-word cluster analysis of policy themes,the reasons for the changes in the selection of tools are explained,and the obstacles restricting the deepening of the development of reforms are discovered and policy recommendations are made.The research results show that:(1)The reform of scientific research institutes has promoted marketization from top to bottom,and both the central and local government’s policy tool preferences have undergone a shift from administrative tools to market tools.(2)The logic of the choice of policy tools for scientific research institutions is to cultivate market players first,then reform the property rights system,and then use the market mechanism.However,due to the lag of property rights system and related supporting system reform,market-oriented reform is hindered,and some market-oriented policy tools are not effectively used,such as the proportion of preferential tax tools is lower than that of financial subsidies tools,and technology trading tools are not fully used.(3)The enthusiasm for streamlining administration and delegating power in the reform of local government research institutes has been fully mobilized,preferring to choose administrative guidance tools,while the central government prefers to choose administrative order tools.In order to promote the deepening of the reform of scientific research institutes,the following policy recommendations are put forward.First,break through the bottleneck of the reform of the property rights system and innovate the property rights system arrangements for scientific and technological achievements based on China’s national conditions.Second,cultivate and develop market entities and market mechanisms.Deepen the classification reform of scientific research institutes and promote the construction of a unified and open technology trading market to reduce the operating costs of market mechanisms.Third,improve the matching degree between the choice of policy tools and the direction of market-oriented reforms.Strengthen the use of market tools,increase tax incentives,increase policy inclusiveness,and strengthen ex-ante and in-process tax policies.