Interpretation of the Science and Technology Progress Law (7) How to analyze the "four modernizations" of new R&D institutions |?

Luo Xianfeng

【Editor's Note】 As the basic law in the field of science and technology in China, 28 years after its implementation, the Science and Technology Progress Law completed the second revision in December 2021 and came into effect on January 1, 2022. The interpretation series of the "Science and Technology Progress Law" was organized by the Shanghai Institute of Science and Technology to combine their own research results to write, and the surging science and technology authorized the publication.

·“ The flexibility of the employment mechanism not only requires the new R&D institutions to establish and improve the system of making good use of talents, but also requires the new R&D institutions to adhere to institutional innovation and cannot take the old road of "making up money".

Under the background of the rise of a new round of global science and technology industry revolution and the construction of a scientific and technological power in the mainland, the mainland's economic system and scientific and technological system are undergoing "mutational" evolution, and new research and development institutions have emerged as a "fresh force" to promote the mainland's implementation of innovation-driven strategies.

In 2021, the Science and Technology Progress Law ushered in the second revision, and new research and development institutions were written into law as a type of statutory innovation subject, and new research and development institutions that have been developed for more than 20 years have officially been explored by local governments and promoted nationwide.

The entry of the new R&D institution into the law basically absorbs the definition of the "four modernizations" of the new R&D institutions in the Guiding Opinions on Promoting the Development of New R&D Institutions (Guo Ke Fa Zheng [2019] No. 313, hereinafter referred to as "Circular 313") of the Ministry of Science and Technology, that is, "diversification of input subjects, modernization of management system, marketization of operating mechanisms, and flexibility of employment mechanisms", emphasizing that new R&D institutions should focus on the three R&D functions of "scientific research, technological innovation and R&D services".

Tracing back to the roots and grasping the "evolution" of new R&D institutions

Regarding the historical development source of the new R&D institution, the academic community recognizes the Shenzhen Tsinghua University Research Institute, which was jointly established by the Shenzhen Municipal People's Government and Tsinghua University in 1996.

The institute put forward the famous new type of R & D institution "four unlike" theory, that is, "both a university and not exactly like a university, both a scientific research institution and not exactly like a scientific research institute, both an enterprise and not completely like an enterprise, both a public institution and not completely like a public institution". It is necessary to have the functions of teaching and educating people and engaging in research like universities, but it cannot fully adhere to the pure academic culture and needs to face the market economy; Different from the traditional scientific research institutions that mainly focus on national topics and financial support in the past, they should face industrial services and realize the two-way link between research and development and industry; It is necessary to create value for socio-economic development while taking into account the public research and development function; Although public institutions can be registered, it is necessary to make a breakthrough in the management system and mechanism.

In 2000, Shanghai issued the "Shanghai Tenth Five-Year Plan for Key Special Plans for Science and Technology and Education Development", which for the first time proposed in the policy document to "gather the resources of scientific research institutes, universities and enterprises and vigorously develop various new research and development institutions", and included technical research institutes and engineering technology centers in key areas into the category of new research and development institutions. It can be seen that the development of Shanghai's "new R&D institutions" is not based on the "four unlikes" theory, but on the understanding of new R&D institutions as a carrier of "industry-university-research" cooperation.

In 2015, the CPC Central Committee and the State Council issued the Implementation Plan for Deepening the Reform of the Scientific and Technological System, which for the first time wrote new R&D institutions into the central policy documents. At that time, the reform of scientific research institutes adhered to the parallel "two roads", on the one hand, it insisted on "stock optimization" of traditional scientific research institutes and accelerated the reform of the classification of scientific research institutes; On the other hand, accelerate the "incremental breakthrough" of new R&D institutions, encourage socialized new R&D institutions to explore non-profit operation models, and include national laboratories, key laboratories, engineering laboratories, and engineering (technology) research centers into the scope of new R&D institutions. This provision further clarifies the support for new R&D institutions to be market-oriented, but needs to consider market-oriented operations in a non-profit manner.

In the same year, Guangdong Province issued the "Trial Measures on Supporting the Development of New R&D Institutions" (Yueke Industry-University-Research Zi [2015] No. 69), officially carried out the identification and management of new R&D institutions at the provincial level, and clarified that new R&D institutions refer to "diversified investment entities, internationalization of construction models, market-oriented operating mechanisms, modernization of management systems, combination of innovation and entrepreneurship and incubation and incubation, and close integration of production, education and research", and formally identified a number of typical provincial-level new R&D institutions. Such as the Shenzhen Institute of Advanced Technology, Chinese Academy of Sciences, Shenzhen Huada Gene Research Institute, etc.

In 2017, Shenzhen formulated the "Opinions on Standardizing the Management of Public Institutions, Social Groups and Enterprises and Other Organizations using State-owned Assets to Set Up Public Institutions" (Shenzhen Compilation Office [2017] No. 59), pioneering the "indefinite institutional specifications, uncertain administrative management post levels, uncertain establishment, the implementation of socialized employment and autonomous management and operation" public institutions organized by other organizations and new R & D institutions to creatively combine, forming a Pengcheng laboratory aimed at national strategic tasks, as well as a number of relying on the "Peacock Plan" Established a new type of R & D institution throughout all walks of life.

In 2019, the Ministry of Science and Technology issued Document No. 313 on the basis of comprehensive local development experience, which clarified that the new R&D institutions are "independent legal entities that focus on the needs of scientific and technological innovation, mainly engage in scientific research, technological innovation and R&D services, diversify investment entities, modernize the management system, market-oriented operation mechanisms, and flexible employment mechanisms", and basically determine the "four modernizations" characteristics of new R&D institutions. Under the guidance of Document No. 313, a number of new R&D institutions facing the emerging frontier and strategic needs have emerged across the country, such as the Beijing Brain Science and Brain-like Research Center and the Institute of Quantum Information Science.

From the perspective of development history, although the connotation of new R&D institutions is constantly enriched, there is not much consensus on "new type", and it is urgent to further clarify the specific meaning of "four modernizations".

Multi-party cooperation to promote the diversification of investment entities

The focus of "diversification of investment subjects" lies in the understanding of "investment" and "diversification". At present, local governments have set more thresholds for the identification of new R&D institutions, but lack specific provisions and quantitative standards for "diversification of investment entities".

"Investment" is generally understood as an investor who invests a certain amount of money in the current period and expects to receive a return in the future. Among the three types of new R&D institutions of public institutions, enterprises, and civil non-governmental (social service institutions), investment is more applicable to new R&D institutions of enterprise type in law, and for public institutions and civil non-type new R&D institutions, generally only government appropriations and property donations are generally provided. And in practice, intangible assets and resources such as talents and intellectual property rights can also become an "investment". Therefore, the essence of investing in new R&D institutions is to participate in the management of tangible and intangible assets and be responsible for institutional development.

Specifically, it can be understood from the following three aspects:

First, in terms of investment entities, governments at all levels, natural persons, legal persons and unincorporated organizations can become the investment entities of new R&D institutions;

Second, in terms of investment form, the investment entity can invest in tangible or intangible assets, and can also include some substantive participation behaviors, such as resource tilt support, personnel participation in management, and in-depth cooperation between the two sides;

Third, in terms of investment rights and responsibilities, through the investment in new R & D institutions, the right to participate in management and joint decision-making is obtained, and the legal responsibility for the development of new R & D institutions is not "one donation" or "one investment", and all kinds of invalid participation and nominal participation should be prevented.

The Science and Technology Progress Law requires that the main body of investment in new R&D institutions should be diversified, but the dimension and nature of "pluralism" are not specified. Referring to the establishment of traditional scientific research institutions, the Science and Technology Progress Law stipulates two ways of establishing them.

First, in terms of capital dimension, it is divided into the use of fiscal funds and the use of non-fiscal funds. According to the Provisions of the Budget Law, the Regulations for the Implementation of the Government Procurement Law, etc., financial funds mainly come from the government, state-owned enterprises and public institutions, and non-financial funds mainly come from private units or individuals such as enterprises and social organizations;

Second, in the main dimension, governments at all levels, natural persons, legal persons and unincorporated organizations have the right to set up scientific research institutions. These two dimensions intersect with each other, taking the Research Institute of Tsinghua University in Shenzhen as an example, which is established with financial funds from Tsinghua University and the Shenzhen Municipal Government, and according to the Interim Regulations on the Registration and Management of Public Institutions and the Interim Measures for the Management of State-owned Assets of Public Institutions, it should belong to the management of public institutions, rather than the so-called new research and development institutions. Even if the Research Institute of Tsinghua University in Shenzhen adopts a new management method, it is essentially a continuation of the reform of traditional scientific research institutes, rather than the construction of new research and development institutions. Only when multiple types of funding sources jointly establish new R&D institutions can they have the legitimacy to break through the original institutional mechanisms.

Based on the above analysis, "diversification of investment entities" should refer to the joint participation, joint establishment and joint responsibility of the public sector and private units or individuals, so as to achieve and drive the remaining "three modernizations" reform. Of course, in the early stage of construction, a single force should be allowed to build first, and other forces should be encouraged and guided to participate in the construction, while retaining institutional channels for other forces to participate in construction.

Clarify the concept and deeply interpret the modernization of the management system

Articles 51 and 52 of the Science and Technology Progress Law combine the experience of modern institute management and give part of the answer - "modern institute system".

It stipulates that "scientific and technological research and development institutions shall formulate charters in accordance with law" and "shall establish a modern institute system with clear responsibilities, scientific evaluation, openness and orderliness, and standardized management". As early as 1994, the State Science and Technology Commission and the Structural Reform Commission jointly issued the "Key Points for The Implementation of Adapting to the Development of the Socialist Market Economy and Deepening the Reform of the Scientific and Technological System", which proposed to "implement the modern scientific research institute system in the pilot units, implement the responsibility system of the director of the institute, the decision-making system of the board of directors, and the supervision system of the board of supervisors, and try to implement a two-tier personnel system and distribution system that combines fixed establishment with personnel mobility and job salaries with subject wages." However, the application object of the reform of the modern institute system is only "national scientific research institutions", and the core reform measures are "de-administrativeization". From the perspective of the practice of new R&D institutions, new R&D institutions not only include public institutions, but also include organizational forms such as enterprises, civil non-governmental organizations and internal institutions. Therefore, compared with the reform of the modern institution system, the "modernization of the management system" not only includes the reform of the modern institution system of the institution, but also includes the reform of the enterprise de-profit, the improvement of the internal control system of the people, and the independent operation of the internal institutions.

Judging from the research literature of various scholars in China, the interpretation of modernization is mainly divided into two ways: case analysis and comprehensive analysis. However, whether it is a case study or a comprehensive analysis, the ultimate direction is the legal person system and the corporate governance structure. The Science and Technology Progress Law does not mandate independent legal personality. From the perspective of the practice of the construction of new R&D institutions, whether it is registered as a public institution, an enterprise or a private non-governmental organization, it is necessary to make a breakthrough in the original legal person system, and strictly emphasize that the legal personality of new R&D institutions is not conducive to the development of new things, and even hinders a more extensive and diversified practice exploration.

Based on the above analysis, the modernization of the management system needs to pay attention to the following points:

First, "modernization of the management system" is not the same as the legal person system or legal person governance structure, and there should be sufficient room for the development of new research and development institutions. Encourage new R&D institutions to further explore virtualized and networked organizational forms around digital development and cross-regional and cross-field development trends;

Second, the "modernization of the management system" needs to be understood as a management system that is compatible with the law of institutional development and scientific research. Based on this, on the one hand, the state guides all kinds of new R&D institutions, especially public institutions and civil non-type new R&D institutions, to improve the governance structure of charter-style management, the responsibility of the director of the institute, and the decision-making of the board of directors (managers). On the other hand, encourage new R&D institutions to dare to explore and break through the shackles of the original institutional mechanisms;

The third is to further explore the party's leadership system that is compatible with the new type of research and development institutions, adhere to the party's overall leadership, and organically combine the party's organizational strength with institutional innovation.

Because of the "city" benefit, the operation mechanism is guided to marketization

"Marketization of operating mechanism" mainly refers to the input, output, revenue and distribution of new R&D institutions operating in accordance with the enterprise model to achieve "independent accounting, independent operation, self-responsibility for profit and loss, and sustainable development". The "marketization of the operating mechanism" of the new R&D institutions should not only achieve limited profits in the market, but also meet the "self-hematopoietic" and "self-circulation", and seek a balance between market-oriented and public services.

New R&D institutions need to be market-oriented, but there is currently no conclusion in the theoretical and practical circles on the degree of market-orientedness, and there is a dispute over whether to use technology as a product or directly participate in the final production of goods. Judging from the third paragraph of article 55 of the "Science and Technology Progress Law", the state encourages scientific research institutions built by social forces to implement non-profit operation, which means that there are still some scientific research institutions engaged in for-profit work, whose research and development goals are subordinated to the pursuit of maximum profits and economic benefits, and give these institutions policy preferences, and there is a problem of interfering with normal market competition. In practice, local governments usually guide new R&D institutions to carry out non-profit operations by not paying equity dividends, increasing the proportion of R&D investment, and setting the income ratio threshold of "four technology contracts". The "marketization of the operating mechanism" of the new R&D institutions is not equivalent to directly participating in market competition, but emphasizes that scientific research and technological research and development provide services for the market, and pure market behavior should be handed over to market entities for operation.

The "non-profit" restriction is mainly aimed at new R&D institutions of the enterprise category to prevent excessive pursuit of economic benefits. The realization of "self-hematopoiesis" is mainly aimed at new research and development institutions of public institutions and civil non-categories. According to the current regulations on the management of public institutions and civil non-governmental organizations, public institutions mainly rely on government financial appropriations, and civil non-governmental institutions mainly rely on various types of property donations. The research and development work itself has the characteristics of large risk, small return and long process. Therefore, for the new R&D institutions of the public institution category and the civil non-category, the so-called "marketization of the operating mechanism" essentially requires these two types of new R&D institutions to gradually form the ability of "self-financing and sustainable development", and to use financial allocations and property donations as the starting capital for the operation of the institution, rather than long-term dependence. In addition, for some new R&D institutions with internal institutions, "self-hematopoiesis" is conducive to reversing the plight of internal institutions as a "cost department" for a long time, and at the same time, it is conducive to the internal R&D institutions of enterprises going outside and strengthening scientific research exchanges and cooperation.

The personnel are suitable for each other and the employment mechanism is flexible

In order to achieve "flexible employment mechanism", it is necessary to understand the connotation and basic system composition of "employment mechanism" in a broad sense, and at the same time clarify the goal and value orientation of "flexible employment".

In 2020, General Secretary Xi Jinping stressed at the 21st collective study of the Politburo of the Central Committee that "it is necessary to deepen the reform of the system and mechanism of talent development, and break down the institutional and institutional obstacles in the introduction, training, use, evaluation, mobility, and incentive of talents." General Secretary Xi Jinping's speech provides guidance for the good use of talents and the construction of a basic employment system, combined with the provisions of Chapter VI of the Science and Technology Progress Law, new R&D institutions should implement more active, more open and more effective talent introduction measures in the introduction of talents, and gather talents from all over the world to use them; In terms of talent training, it is necessary to pay attention to the training reserves of strategic scientific and technological talents and young scientific and technological talents; In the use of talents, it is necessary to give scientific and technological talents greater power to decide on technical routes, greater control of funds, and greater power to dispatch resources; In the evaluation of talents, it is necessary to highlight the value, ability and contribution orientation of innovation, and form an evaluation system conducive to the research and innovation of scientific and technological talents; In terms of talent mobility, it is necessary to encourage the reasonable flow of scientific and technological talents through academic leave, part-time part-time salary, two-way employment, etc.; In terms of talent incentives, it is necessary to improve the income distribution mechanism that reflects the value of innovative elements such as knowledge and technology, improve the salary and treatment level of scientific and technological talents, and give preferential treatment and honorary incentives to scientific and technological talents who have made outstanding contributions.

Flexibility is a special requirement of the Science and Technology Progress Law for the employment mechanism of new R&D institutions, and it needs to reflect the unique value of new R&D institutions. On the one hand, flexibility requires new R&D institutions to focus on breaking through the shackles of employing people in the original institutional mechanisms, preventing the re-taking of the "old way" and "managing new institutions in the old way". For example, in the "three noes and one comprehensive" reform of new research and development institutions in Shanghai, after the abolition of the approved number of personnel, how to approve the number of financial allocations has become a problem. Traditional public institutions use the number of personnel as the basic accounting basis, but the new R & D institutions do not have the number of personnel, resulting in a lack of basic accounting basis. Therefore, in practice, alternative measures of "fixed but not used" have been adopted, and there is even a need to give a certain number of staff. In order to solve this problem, Shanghai has adopted the "contract funding + negative list" support model in the construction of R&D and transformation functional platforms to break the problem of linking personnel and support of new R&D institutions. On the other hand, flexibility requires the construction of an employment mechanism that is compatible with the development law of new R&D institutions around the basic value orientation of giving full play to the enthusiasm and creativity of talents. For example, in terms of giving full play to the leading role of talents, Beijing requires that the construction of new R&D institutions must be led by the world's top scientists, innovative entrepreneurs and other talents, and to ensure that talents can always implement the mission of institutional construction; In terms of fully stimulating the enthusiasm of talents, Jiangsu Institute of Industry and Research adopts the asset-light operation mode of "team holding", controls the operation company through the team, and gives the talent team the right to ownership, disposal and income of the results, and fully mobilizes the enthusiasm of talents; In terms of flexible introduction of talents, in order to avoid the "zero-sum game" in talent competition with traditional colleges and universities, Zhejiang Zhijiang Laboratory and colleges and universities adopt flexible talent introduction mechanisms such as joint introduction of talents and double employment of personnel.

(The author is Luo Xianfeng, assistant researcher of Shanghai Institute of Science)

Editor-in-Charge: Wu Yuewei Photo Editor: Shi Jiahui

Proofreader: Liu Wei