基于政策工具的公共科技政策分析框架研究

从政策工具的视角,并结合科技活动特点和科技政策作用领域等因素,构建公共科技政策分析的三维立体框架,着重阐述该框架的构成机理及政策含义,并利用此框架具体分析了《鼓励软件产业和集成电路产业发展若干政策》。     

The evolution of mission-oriented policies: Exploring changing market creating policies in the US and European space sector

Market creation is moving to the centre of mission-oriented innovation policy. This is particularly visible in the space sector. Agencies such as the National Aeronautics and Space Administration (NASA) and the European Space Agency (ESA) are developing market-creating innovation policies in response to (a) the increasing emphasis on societal grand challenges, (b) the rise of a new wave of space companies (often referred to as “New Space”) and (c) the global trend towards interconnecting and interlinking of industries (a trend referred to as Industry 4.0). In this paper we explore the changing nature of mission-oriented innovation policies for market creation for two agencies, NASA and ESA. For these agencies, earlier mission-oriented policies focused on clear challenges with identifiable concrete problems and directed by a strong centralized agency. Contrast this with today, with broadly defined grand challenges, decentralized innovation systems with mixed top-down and bottom-up problem definition. We describe the current drivers and pressures that are creating a window for policy change, and we present examples of how NASA and ESA are responding to these pressures and use this exploration to dig deeper into the evolving frames of market-creating innovation policy in the space sector to identify the challenges for such policies and to further articulate a research agenda.     

美国、欧盟、中国绿色电力产业政策比较分析

由于矿物能源资源的有限性和全球环境压力的增加，世界上许多国家都提高了对可再生能源发电重要性的认识，出台了不少新的政策和措施促进绿色电力的发展。本文通过对美国和欧盟国家绿色电力产业政策的系统描述，探寻其成功的经验，并以此为基础提出我国绿色电力产业发展的政策建议。     

Regulatory policy as innovation: Constructing rules of engagement for a technological zone of tissue engineering in the European Union

This paper addresses the question of the part that regulation plays in processes of innovation in sectors of technology. The politico-economic phenomenon of ‘Europe’ is partly constituted by regulatory regime-building, and new technologies are one of the major sites of regime-building. A constructionist social theory perspective shows that study of the conflictual processes of regulatory policymaking affords insights into the formation of the rules of engagement that constitute technology domains. Adopting the concept of emergent ‘technological zone’ in preference to industrial ‘sector’ or technoscientific network, the paper presents, using empirical research, a detailed account of the case of the debate and development of regulatory policy for therapeutic tissue engineering in the European Union's policy institutions and stakeholder networks. It describes how the jurisdiction of an emergent zone has been formed through such negotiations, providing a counter-example to the common view that regulation ‘lags behind’ innovation. The analysis takes account particularly of the part played by the malleability of the definition of the material technology itself in such constructive governance processes, and it also suggests various consequences for the array of producers of the technology, for market structuring and for the innovation pathways taken by tissue engineering technology. Concluding, the paper argues that there is conceptual advance to be made by bringing together constructionist social theory with innovation studies approaches that highlight the part played by non-firm, public institutions in shaping innovation ecologies.     

Rethinking the role of the state in technology development: DARPA and the case for embedded network governance

This paper explores the role of the state in re-architecting social networks and thereby new technology directions in the United States. It draws on a case study of DARPA's Microsystems Technology Office from 1992 to 2008. Leveraging one of the most radical directorships in DARPA's history, I argue that the perceived “death” of DARPA under Tony Tether was because past analyses, by focusing on the organization's culture and structure, overlooked a set of lasting, informal institutions among DARPA program managers. I find that despite significant changes in the recipients and outcomes of DARPA attentions, these same institutions for directing technology were in place both before and during Tether's directorship. Drawing on these results, I suggest that we must add to technology policy-making a new option—embedded network governance.     

我国“创业创新”系列政策实施效果研究：基于政策组合效应的视角

以“双创”政策为代表的系列政策是围绕特定主题制定和实施的复杂政策体系,本文提出政策组合效应是影响系列政策有效性的关键问题。利用模糊集定性比较分析（fsQCA）方法对2009-2018年我国“双创”政策样本的研究结果显示,高有效性的政策组合构型可归纳为环境平衡型、供给推动型和需求拉动型,且这三种政策组合分别与我国东、中、西部地区的政策效果匹配。对于政策组合效应的主要启示包括：（1）政策工具组合通过叠加方式更能提升政策效果;（2）政策区位组合的有效构型差异较大,政策制定要做到差异化供给;（3）政策时序组合方面则体现出政策连续性和政策创新性的不同适用性,需结合不同政策工具和适用地区具体施策。本研究为系列政策的制定、实施和评价提供新的思路。     

新能源汽车推广应用的“非补贴型”政策作用及其差异

在新能源汽车“补贴型”政策逐步“退坡”的背景下,有效发挥“非补贴型”政策的作用具有重要的现实意义。选择中国目前实施的“路权优先”和“充电保障”两项主要“非补贴型”政策,以新能源汽车示范推广城市为例,应用双重差分模型从时间和区域两个维度分析了两项“非补贴型”政策作用的差异性。结果表明：从时间维度来看,新能源汽车“非补贴型”政策作用虽然稍低于“补贴型”政策,但是十分显著并呈现持续上升趋势,新能源汽车“非补贴型”政策可以成为“补贴退坡”后市场持续发展的重要政策支撑,其中,“路权优先”政策作用的增幅相对更大;从区域维度来看,“充电保障”政策作用的区域差异不明显,“路权优先”政策作用则存在比较明显的区域差异性,城市的交通承载压力越高,“路权优先”政策作用越强。在新能源汽车“补贴退坡”的情形下,应在快速推进充电桩等基础设施布局的同时,加大新能源汽车“路权优先”政策实施的力度,同时,要根据交通承载压力的区域差异性,因地制宜地实施差异化的“非补贴型”政策。     

中国科技创新政策协同演变及其效果：2006—2018

2006年以来伴随科技创新政策的密集推出,中国科技创新政策体系发生了影响深远的重大变化,但目前尚缺乏全面完整地针对2006年来科技创新政策的协同演变及其效果的定量研究。本文在借鉴前人政策测量方法的基础上,以2006—2018年中国科技创新政策为对象,对筛选出的科技创新政策进行量化分析,探索中国科技创新政策协同演变特征,并应用岭回归分析研究科技创新政策力度、协同度和可执行度与创新绩效的关系。研究发现：科技创新政策协同度自2006年始呈上升之势,总效力显著增强。科技创新政策对科技创新绩效产生正向显著影响。政策特征对科技创新绩效的影响存在差异性。越明确的政策方向指引越能促进应用型重大成果的产生,提高创新政策的协同有助于促进中国专利授权量的增长,而促进企业新产品销售收入增长则需相关创新政策在力度、协同度和可执行度三方面的结合。     

Motivating information security policy compliance: The critical role of supervisor-subordinate guanxi and organizational commitment

Employees’ non-compliance with organizational information security policy (ISP) when using informational resources has become the main reason for continuous security incidents. Drawing upon technology threat avoidance theory (TTAT) and social exchange theory (SET), our study investigates the influence of supervisor-subordinate guanxi (SSG) and organizational commitment in the information security management. Our hypotheses were tested using survey data from 235 Chinese government employees. Results not only confirm the direct effect of SSG on government employees’ ISP compliance but also suggest that SSG indirectly influences compliance behavior via the mediation of organizational commitment. Organizational commitment weakens the negative influence of perceived costs on compliance behavior and also weakens the positive effect of self-efficacy on employees’ ISP compliance. For low-commitment employees, the negative influence of perceived costs on compliance behavior is more significant than that of those with strong organizational commitment, and self-efficacy exerts a stronger effect on ISP compliance for low-commitment employees than it does for high-commitment employees. This study contributes to current literature on information systems (IS) by confirming the critical roles of SSG and organizational commitment in motivating employees’ compliance behavior.     

Fostering entrepreneurship: Changing role of government and higher education governance in Hong Kong

The rise of the knowledge economy has generated new global infrastructures with information technology playing an increasingly important role in the global economy. The popularity and prominence of information technology not only changes the nature of knowledge but also restructures higher education, research and learning. It is in such a wider policy context that an increasing number of institutions of higher learning are being established with new missions and innovative configurations of training, serving populations that previously had little access to higher education. Apart from accommodating a larger number of students, higher education institutions are required to improve their administrative efficiency and accountability in response to the demands of different stakeholders like government, business, industry, and labour organizations, as well as students and parents. The present article sets out in this wider context to examine how and what strategies universities in Hong Kong have adopted to promote entrepreneurial spirit and practices by encouraging academic staff to venture in industrial, business and commercial fields. In addition, this article examines how universities in Hong Kong reform their curricula to make students more creative, innovative and international. More specifically, this article reflects upon the role of the Government of the Hong Kong Special Administrative Region (HKSAR, hereafter) in promoting entrepreneurship, with particular reference to the interactions between the government, the private sector and the tertiary education sector in promoting a vibrant and dynamic economy.     

我国企业资产风险管理的评估及量化研究

已有的风险管理研究成果和企业风险管理实践,主要集中于经营风险(产品风险、价格风险等)、财务风险(支付风险等)和资本市场风险管理方面。本文独辟蹊径,从资产风险管理角度研究我国企业所面临的风险。首先,本文对资产的特性进行了辨析——收益性和风险性,其次进行了实证分析,界定了企业资产风险的概念和表现,构建了资产总风险计量模型,并阐述了该方法具体应用案例,最后有针对性地提出了资产风险规避方面的建议。     

自主创新人才队伍政策关联性研究

本文结合政策分析方法和调研数据,系统分析《国家中长期科学和技术发展规划纲要(2006-2020)》及其配套政策和实施细则中人才队伍建设部分的政策关联性。研究结果表明,我国已经初步建成自主创新人才队伍政策体系,但还存在部分配套政策与实施细则不一致、某些实施细则不能有效支撑配套政策等问题。为建立规模宏大的创新人才队伍,我国应该规范自主创新人才队伍政策相关概念和标准,培养并引导创新人才向企业和农村集聚,建立健全以自主创新为核心的人才激励机制,完善创新人才流动配置机制。     

Industrial R&D as a national policy: Horizontal technology policies and industry-state co-evolution in the growth of the Israeli software industry

The Israeli software industry has been an indisputable success since the 1990s. This paper utilizes the development of the Israeli industry to empirically explore the argument of the horizontal technology policies (HTP) framework on the impact of neutral science and technology policies on industrial development. The paper micro-analyzes the Israeli software industry and compares its unique historical development pattern with other emerging countries. It describes (1) the rise of this industry as one outcome of the development of the entire IT industry in Israel; (2) the reasons behind the industry's ability to conduct and focus on intensive R&D activities; (3) the industry's success in becoming an integral part of the American financial and IT industrial sector. It argues that only by understanding the intricate co-evolution of state-industry relations and the specific HTP regime employed in Israel can we understand the current behavior, conditions, business models, and capability of the industry. Therefore, the argument is that Israel's industrial science and technology developmental agencies did not aim at creating a software industry, but rather at the development of novel products R&D-based industry. However, the software industry has been significantly influenced throughout its development by the specific system of innovation which these policies fostered. Thus, the paper argues that public policy is one of the main reasons why the industry has focused almost entirely on product R&D activities. In addition, the paper suggests that the state's science and technology industrial policy has propelled the industry into its intimate relationship with the American financial sector.     

发达国家中小企业技术创新税收实践及其启示

主要从小企业和企业家税收、无形资产投资、股票期权三类措施方面总结发达国家(尤其是OECD国家)实行的对中小企业技术创新及创业的税收优惠政策实践,并对这些实践成果进行深入分析,总结几点针对中小企业税收优惠政策的启示。     

The mobility of economists and the diffusion of policy ideas: The influence of economics on national policies

Economic policies are innovations that have important effects on countries and their social welfare. Far from being simply technical in nature, such policies are often ideological innovations. This paper examines three economic policy innovations (privatization, central bank independence, and pension reform) and shows how the diffusion of these policies depended not only upon the mobility of American-trained Ph.D. economists to adopting countries, but also the state of agreement among economists on the value of these policy innovations. By estimating hazard models for adoption times, the effects of mobility and policy agreement are shown to explain the adoption patterns. The implications of this analysis are to treat the creation and diffusion of economic policies as innovations that are subject to trial and error revision as well as to the changing consensus within an academic community.     

企业研发费加计扣除政策实施问题及对策研究

对企业研发费用实行税前加计扣除,是我国通过税收杠杆鼓励和支持企业技术创新的一项重要优惠举措。本文结合最新调查情况,概括反映了企业研发费用加计扣除政策的实施现状,分析指出了研发领域受限、研发费归集难、研发项目认定管理不完善、企业享受面小、区域落实不平衡等主要问题,并提出了有针对性的对策建议,希冀为推动该政策的深入落实提供有益参考。     

网络型产业规制政策演变与影响——基于中美有线电视产业的比较分析

将媒体市场政策演变的连续模型作为分析框架的基础,采用产业组织理论的SCP范式作为描述工具,通过对有线电视政策的演变进行跟踪,评估了在面对不同的市场压力,采用不同市场结构的两个国家有线电视产业从"旧规则"向"新规则"转变时,规制政策对市场的影响。研究发现,仅仅倡导竞争的规制政策并不一定就会为有线电视产业带来积极的改变,由于竞争所导致的大规模的兼并与并购,反而会造成更高的市场势力。另一方面,规制政策必须对同一市场层面内的竞争者一视同仁,才能达到规制政策的目标。此外,不同的政治体制、意识形态以及不同的价值体系的国家,不论在规制思想和规制方式上存在怎样的差异,有线电视产业的发展方向均会出现趋同。     

中美同行评议公正性政策比较研究

同行评议是科学评价的重要方式,也是政府基础科学资助机构资源配置的主要方式之一,公正高效的同行评议是保证科学质量的基础。本文通过比较美国国家科学基金会(NSF)与中国国家自然科学基金委员会(NSFC)的同行评议公正性政策,分析其政策实施的背景和制度条件,进而提出改进NSFC评议公正性的建议。     

Foresight for public procurement and regional innovation policy: The case of Lombardy

Public procurement can be a major source of innovation. The potential benefits of public procurement might be fully exploited through the acquisition not only of appliances which are already available in the market, but also of new appliances which are tailored to the specific needs of the local community and might be exported as well to the international markets. In this way, public procurement might allow to improve the services delivered to the local community and to increase the technological competitiveness of the local industrial and research system. In this context, regional foresight might help identify both long-term societal needs and the patterns of evolution of emerging technologies that can match these needs. The purpose of this paper is to illustrate, trough the recent experience of the regional government of Lombardy, the role of foresight for enhancing public procurement and innovation policy at the regional level.