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多层次冲突模型:科技政策执行梗阻问题分析框架

  • 段屹东 ,
  • 李杨
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  • (华东师范大学 公共管理学院,上海 200062)
段屹东(1993—),男,辽宁铁岭人,华东师范大学公共管理学院博士研究生,研究方向为科技治理与科技政策;李杨(1993—),男,满族,河北承德人,华东师范大学公共管理学院博士研究生,研究方向为科技治理、科技评价与科技政策。本文通讯作者:李杨。

收稿日期: 2023-02-18

  修回日期: 2023-05-25

  网络出版日期: 2024-06-11

基金资助

上海市“科技创新行动计划”软科学研究重点项目(20692117100);华东师范大学“优秀博士生学术创新能力提升计划项目”(YBNLTS2022-025)

A Multi-level Conflict Model: An Analytical Framework for Science and Technology Policy Implementation Obstruction

  • Duan Yidong ,
  • Li Yang
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  • (School of Public Administration ,East China Normal University,Shanghai 200062,China)

Received date: 2023-02-18

  Revised date: 2023-05-25

  Online published: 2024-06-11

摘要

科技政策是驱动科技创新战略有序开展的重要保证,而科技政策的执行具有多主体性、多面性和联动性等特点,使得在科技政策执行过程中容易产生各种冲突进而引发政策执行梗阻。通过调研收集相关案例,以高校科技成果转化政策、新型研发机构建设政策以及科技人才引进政策三类科技政策执行过程为研究对象,发现科技政策执行在价值层、制度层、行动层产生的冲突会形成政策执行梗阻。政策执行的三层冲突彼此之间有紧密联系并存在传导效应,其主要原因是各部门与各主体之间存在广泛的自我保护和避责倾向,导致执行主体不愿意在政策执行中涉险,并且,整体制度设计不完善易产生制度缺失、空白以及相互冲突,在执行上形成“空子”和漏洞,加剧各部门趋利避害行为。

本文引用格式

段屹东 , 李杨 . 多层次冲突模型:科技政策执行梗阻问题分析框架[J]. 科技进步与对策, 2024 , 41(11) : 152 -160 . DOI: 10.6049/kjjbydc.2023020353

Abstract

Science and technology policy is an important guarantee to steadily advance science and technology innovation strategies. The implementation of science and technology policy has the characteristics of multi-subjectivity,multi-dimensionality,and linkage,which makes it easy to produce various conflicts and obstruction in the policy implementation. Specifically,the demands of policy implementation subjects are different,as are the relationships among resources,information,action,and other elements in the policy implementation process,presenting a random multi-path feedback morphology,which often makes policy implementation a nonlinear process. This leads to a high degree of complexity and uncertainty in policy implementation in practice. In theory and practice,policy implementation obstruction mainly include conflicts at three levels: the value level,the institutional level,and the action level. However,the specific relationship mechanism of these three levels of conflict is not clear. Some obstruction only contain one or two of them,while others reflect all three. Therefore,it is particularly important to sort out the relevant relationships and inherent mechanism linkages among the three levels of conflict.#br#Through investigation and the collection of relevant cases,this paper focuses on the implementation process of science and technology achievement transformation policies in colleges and universities,new R&D institution construction policies,and scientific and technological talent introduction policies. By comparing the performance of conflicts at different levels in the implementation obstruction of three kinds of science and technology policies,it is found that the conflicts at the value level,institutional level,and action level in the implementation of science and technology policies become obstacles to policy implementation. Among them,the three levels of conflict in policy implementation are closely linked and have a transmission effect. To be more specific,in the process of policy implementation,the first case is that when there are conflicts at the value level,conflicts at the institutional level and action level will be gradually aroused step by step in the follow-up implementation process. Furthermore,when there is no conflict at the value level of policy implementation but conflicts at the institutional level,conflicts at the action level will be aroused through conflicts at the institutional level. Lastly,when there are no conflicts at both the value level and institutional level of policy implementation and at the same time the policy implementation shows a single conflict at the action level,this will not "upwardly" arouse conflicts at both the value level and institutional level. Therefore,it can be concluded that in the process of science and technology policy implementation,there is "multi-level transmission",that is,higher-level conflicts often unidirectionally arouse lower-level conflicts,but lower-level conflicts will not affect higher-level conflicts. One major reason is that the inevitable traditional division of labor in bureaucracy leads to the splitting of the main goals,so that there is incompatibility between the goals of horizontal inter-departments during the process of step-by-step decomposition along the bureaucracy system. This further evolves into "departmentalism". Moreover,departmentalism and the splitting of goals lead to widespread tendencies toward self-protection and responsibility avoidance in those corresponding departments and subjects,as well as the unwillingness of executive subjects to "take risks" in policy implementation. The other main reason is that the overall imperfect institutional design,resulting in institutional deficiencies,blanks,and conflicts with each other,forms "loopholes" in implementation. Under this circumstance,the power and affairs of each department are disproportionate,and the behavior of taking undue advantages of the loopholes in the rules and regulations to seek profits and avoid risks is aggravated.#br#According to the analysis hereinbefore,this study explores the relationship between conflicts at three levels: value level,institutional level and action level,as well as the mechanism of the interrelationships among conflicts at these three levels,and proposes a multi-level science and technology policy implementation conflict framework with transmission as the basic feature,so as to provide a feasible analysis framework for the research of science and technology policies.#br#

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