科技评价是否有效促进了区域科技创新？——基于政策驱动的视角

李胜会; 朱绍棠

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科研管理 ›› 2021, Vol. 42 ›› Issue (7) : 11-21.

论文

科技评价是否有效促进了区域科技创新？——基于政策驱动的视角

李胜会，朱绍棠

作者信息 +

Has S&T evaluation effectively promoted regional S&T innovation?——A study from the policy-driven perspective

Li Shenghui, Zhu Shaotang

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文章历史 +

摘要

当前，科技创新能力提升和科技创新高质量发展成为时代主题，科技评价政策引导科技创新高质量发展的“指挥棒”作用日益突显。本文通过搜集2006—2018年各省市的科技评价政策文件，在优化科技评价政策量化量表的基础上，分别从政策力度、政策目标和政策措施三个层次对政策文本进行量化分析。研究发现：我国科技评价政策总体上呈现“起步晚发展快”的特点，政策目标主题向创新人才培育、区域创新扶持与知识产权保护转变，同时，科技评价政策的作用机理呈现“非线性”特征，政策目标的作用方向正由“数量制胜”向“质量取胜”转变。从科技评价政策与区域科技创新能力发展的关系看，科技评价政策虽然在一定程度上促进了科技创新能力的发展，但是其直接政策效力明显薄弱；科技评价政策的多重目标导致政策的协同效应不足，同时，政策目标与政策实施之间的不协调也削弱了政策效力，导致其“指挥棒”作用仍然有限。

Abstract

As innovation′s capability has improved remarkably, the development of innovation′s capability and the implementation of innovation-driven strategy become the key themes. To build up China′s strategic capacity in S&T, the research on the effectiveness of S&T policies has received extensive attention and has become an important topic. However, the role of China′s S&T innovation system in promoting innovation capability is still questioned by foreign scholars, who believe that the conflict between policy objectives and policy implementation is influencing policy effectiveness. As a basis for the adjustment and optimization of innovation performance, it is of great theoretical significance to make an intensive study of S&T evaluation policies. From the perspective of policy text quantification, this paper uses content analysis and OLS models to test the relationship between S&T evaluation policies and regional innovation capability. Furthermore, this paper examines the mechanism of policy objectives from the stages of innovation output and achievement transformation respectively.
Focusing on the guidance of S&T evaluation policies, we take the quantification and measurement as the breakthrough points and designs a research framework from institutional strategy theory. On the one hand, this paper collects 563 S&T evaluation policies of 2006-2018 from the policy database of various provinces, using terms such as "S&T", "innovation", and "evaluation", with the method of skimming and intensive reading. This paper then constructs a three-dimension quantitative evaluation framework to calculate the score of S&T evaluation policies. On the other hand, we conduct an indicator system of regional scientific and technological innovation capability from three aspects, including innovation inputs, innovation performance, and innovation environment. Combined with the quantitative results and OLS models, this paper studies the impact of S&T evaluation policies on regional innovation capability and analyzes its mechanism.
According to the quantitative analysis results, the regional scientific and technology innovation capabilities of all provinces tend to be in a "pyramid" distribution pattern. There is still a significant "disconnection" between innovation output and achievement transformation, manifested as a more substantial lag in the capacity of research output. The development trajectory of S&T evaluation policy shows a trend of "late start and rapid development", and the focus of its policy objectives has changed from the traditional goal of "evaluation funding". To some extent, S&T evaluation policies can promote scientific technology innovation capability, but its positive effect is weak. Furthermore, innovation subjects and innovative talents are the core driving forces and exert main effects. From the perspectives of scientific research output and achievement transformation, the effectiveness of various policy objectives is practical and shows a more substantial role in promoting achievement transformation. However, the direction of policy objectives has been alienated, indicating that the reality of scientific research problems and barriers still exist.
After the robustness test, this paper made a further discussion about policy effectiveness and policy objectives. It is believed that the weak effect of S&T evaluation policies can be attributed to three levels: "implementation deviation", "departmental game" and "policy barrier". Meanwhile, there is a gap between policy objectives and policy implement, resulting in insufficient effectiveness.
The study found that: (1) The distribution of regional scientific and technology innovation capability is manifested in regional diversity. The policy objective of the S&T evaluation policy is shifting from investment-driven to innovation-driven. (2) Although the current "baton" role of S&T evaluation policy is limited, its mechanism has changed from "winning by quantity" to "winning by quality". (3) There are weak points among S&T evaluation policy system and a deviation between policy objectives and policy implementation.
In combination with the research conclusions, we put forward the following policy recommendations. (1) The government needs to emphasize the strength of policy and reduce the gap between the evaluation department′s responsibility and power. (2) It has to strengthen the dominant position of problem-oriented policy objectives and clear the research target of S&T innovation activities. (3) It is necessary to deepen the coordination of policy implementation departments and avoid the inaction of executive departments.

导出引用

李胜会, 朱绍棠. 科技评价是否有效促进了区域科技创新？——基于政策驱动的视角[J]. 科研管理. 2021, 42(7): 11-21

Li Shenghui, Zhu Shaotang. Has S&T evaluation effectively promoted regional S&T innovation?——A study from the policy-driven perspective[J]. Science Research Management. 2021, 42(7): 11-21

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