制度逻辑视角下的《中长期科技规划》实施机制探究
杨培培1,2，柳卸林3
（1.中国科学院大学 中丹学院，北京100190;
2.中国—丹麦科研教育中心，北京100190；
3.中国科学院大学 经济与管理学院，北京100190)
摘要：在我国成为创新型国家的道路上，《国家中长期科学和技术发展规划纲要（2006—2020年）》起到了关键作用，提出的“自主创新”战略使国家创新体系发生了重要变化。本研究从制度逻辑视角出发归纳了政策中的三种主要制度逻辑，分别为科学逻辑、市场逻辑及政府逻辑，并探讨了多重逻辑在主要的创新主体，即大学和科研机构、私营企业和外资企业以及国有企业中产生的冲突。通过分析多重逻辑之间的兼容性以及实现次要逻辑所需支付的成本大小，将冲突分为了无冲突、微小冲突、中等冲突和较大冲突，并由此深入探究了创新主体在执行政策过程中产生绩效不足的原因。结果表明创新主体在各自的主导逻辑下均取得了一定成果，我国整体自主创新能力得到了显著提升；但在受到多重制度逻辑产生冲突的影响时，创新主体在部分领域效能低下。最后，针对我国现有的成效和不足，提出了减少逻辑冲突的路径，国家创新体系建设以及政策制定的启示。
关键词：自主创新；创新主体；制度逻辑；逻辑冲突；实施机制
主要研究结论：过去40年里，中国的快速发展离不开相关举措的提出以及国家创新体系的不断优化，其中2006年提出的《国家中长期科学和技术发展规划纲要》在历史上起到了至关重要的作用，旨在通过改善国内创新现状，使中国依靠自主创新逐渐步入创新型国家行列，成为全球科技领导者。政策中涉及了多重制度逻辑，而当创新主体面临的不同逻辑提出的需求不一致甚至相互冲突时，政策的执行效果也会被相应减弱。从兼容性和成本两个维度出发，本文将《中长期科技规划》中国的多重逻辑在创新主体内部产生的冲突分为了无冲突、较小冲突、中等冲突和较大冲突。主体通常会优先满足主导逻辑的需求，再根据逻辑间冲突的大小有选择的实施次要逻辑，例如对于高校或科研院所来说，在满足科学逻辑需求时还需满足政府逻辑需求，但两者在企业内部产生了中等冲突，使得研究人员仍然聚焦于全球科技前沿问题，而较少关注本国的科技发展。
对此，本文认为最大化实现政策目标需要将政策在组织内部产生的冲突最小化，在此过程中可以通过路径一，即降低实现次要逻辑所需的成本来实现；也可以通过路径二，即提高次要逻辑与主导逻辑在组织内的兼容性来实现。而当多重逻辑在组织内部产生较大冲突时，首先需要选择降低实现次要逻辑的成本（路径四）或提高次要逻辑与主要逻辑的兼容性（路径三）来减小冲突，然后再试图最小化或消除冲突。以私营企业实现政府逻辑，即自主研发为例，该逻辑与其主导逻辑（市场逻辑）产生了较大冲突。而随着近些年来国家一些普适性政策的提出和完善，如加计扣除费用从150%提升到175%，逐渐减少了企业实现政府逻辑的成本。企业进行自主创新的热情有了极大提高，逐渐从专注于渐进式创新转为自主研发和创新，并试图在追赶的道路上实现跨越。例如在芯片领域，华为从研发到制造实现了全自主研发；在清洁领域，小米生态链公司追觅科技通过自主研发将电机摩阻效率提升到了56%。
An analysis of the implementation mechanism of the Middle- and Long-Term Plan for Science and Technology from the perspective of institutional logics
Yang Peipei1,2, Liu Xielin3
(1. Sino-Danish College, University of Chinese Academy of Sciences, Beijing 100190, China;
2. Sino-Danish Center for Education and Research, Beijing 100190, China;
3. School of Economics and Management, University of Chinese Academy of Sciences, Beijing 100190, China)
Abstract:In the process of China′s striving for an innovative country, the National Middle- and Long-Term Plan for Science and Technology Development (2006-2020) plays a vital role, and in the plan "indigenous innovation" was proposed, which triggers a significant change in the national innovation system. Three types of institutional logics are concluded from the perspective of institutional logics, namely, academia logic, market logic and state logic. Conflicts aroused by the multiple logics within the main innovative actors in the national innovation system (including the universities and government research institutes, state-owned enterprises, private enterprises and foreign enterprises) are explored. By combining the logic compatibility and cost paying for achieving non-dominant logics′ requirements, the conflicts are divided into four types, namely no conflict, minimal conflict, moderate conflict, and extensive conflict. The causes leading to actors′ inefficient performance are analyzed subsequently.
The findings show that under the guidance of the dominant logics, the innovative actors have achieved great success and the indigenous innovation capability of China is also improved significantly. However, the innovative outcomes in some areas still need to be improved when innovative actors facing logic conflicts.
Under the academia logic, the universities and research institutes have promoted the development of basic science, which laid foundation of the improvement in China′s indigenous innovation capability. With the low compatibility between academia logic and market logic, as well as the low cost to meet the requirements of market logic, the conflict of the two logics within the universities and research institutes is moderate. The low compatibility between academia logic and state logic, and the low cost to meet the requirements of state logic also trigger moderate conflict in the universities and research institutes. As a result, the market transformation and application of their innovative outcomes still need to be improved.
The private and foreign enterprises have invested much in the R&D activities and gained lots of innovative outcomes under the guidance of market logic. Some enterprises have ranked at the forefront in the world. However, the cooperation with universities and research institutes needs to be improved due to the minimal conflict resulting from high compatibility between market logic and academia logic, and the high cost when achieving the goals of academia logic. Besides, due to the low compatibility between market logic and state logic, and high cost to realize indigenous innovation, which is required by state logic, the conflict of the two logics is extensive. Thus, only few enterprises have achieved indigenous innovation.
For the state-owned enterprises, under the guidance of state logic, significant breakthroughs have emerged in some sensitive and essential fields, which are related to the security of our country and interests of the whole society. Similar to the private and foreign enterprises, the conflict between state logic and academia logic is minimal, and the industry-university-research institute collaboration still needs to be enhanced. With the low compatibility between state logic and market logic, and the low cost of satisfying the needs of market logic, there emerges moderate conflict between these two logics, which lead to low efficiency and profitability of the enterprises.
Finally, based on the analysis and according to the findings, this paper also provides possible paths to mitigate conflicts according to different positionings. Besides, this paper also provides some suggestions of constructing national innovation system and formulating policies.
Key words:indigenous innovation; innovative actor; institutional logic; logic conflict; implementation mechanism
引用本文：杨培培,柳卸林.制度逻辑视角下的《中长期科技规划》实施机制探究[J].科研管理,2023,44(08):119-128.
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