Innovation Policy And Its Synergy With Innovation Mode In China’s National Scientific Research Institutions

National scientific research institutions are research facilities that are established and funded by a country, they stand for the country’s will, and systematically carry out large scale scientific research activities. The government’s role is inevitably involved, either explicitly or implicitly, in the innovation policies and modes of the national scientific research institutions, and hence will cause many problems. To address this, an urgent need is to promote the synergy between innovation policies, which support the institutions’ innovation activities, and innovation modes, which manifest the content of the innovation activities.In this dissertation, content analysis method is used to make a thorough study over a total number of294innovation policies in China, the study is focused on the positioning of national scientific research institutions, their policy tools and policy functions. The analysis result shows that the innovation policies for national scientific research institutions are distributed in a shattered way. All policies are aimed at various objects, rather than solely aiming at national scientific research institutions itself. Furthermore, a subset of89highly correlated policies is selected for text content analysis. It is found out that most of these policies either belong to government-supply-type, or the environment-security-type, while the demand-type policies account for relatively small proportion. This finding indicates that the government has an outstanding role in the innovation activities of the national scientific research institutions, leaving the market very little space to show its value. From a perspective of innovation mode, so far they represent the "management dominant" much more than the "innovation dominant" mode.To take a look into the detailed policies, the rights rules of government funded technology projects are studied next. These rules are in accordance with the characteristics of national scientific research activities, they belong to the core content of innovation policies, as well they form the foundation of technology transfer. The "Bayh-Dole rules" act as critical ones among the right rules system, and their content and implement directly relate to the national scientific research institution’s innovation activities, therefore are chosen as specific cases to be studied. Although "Bayh-Dole rules" in China have made breakthroughs by granting more rights to researchers who are in charge of projects and clarifying technological achievement ownerships, they still meet with obstacles during their implementations. They do not hold sufficient synergic innovation concepts, and are restricted by the state-owned assets management system, hence the ownership, disposition and usufruct of the achievements are limited, which hindered the innovation of national scientific research institutions.Innovative activities in national scientific research institutions in China are struggling, as the facts that the transformation of scientific and technological achievement are hard to implement. By diagnosing innovation policies, it is found out that several key problem are: the unclear right ownership due to institutional barrier of state-owned assets management systems; deformed innovation caused by government-led investment policies; flawed innovation main body benefit distribution mechanism; one-way knowledge and technology output mode guided by the policies, etc. The national scientific research institutions need to be modified in their innovation modes, including the objects, subjects, processes and evaluation mechanisms during innovative activities.There is also a lack of synergy between innovation policies and innovation modes inside national scientific research institutions. Existing policy supply has hindered the innovation process, partly shown as the absence of effective feedback analysis tools for policy demand based on already shifted innovation modes. This thesis introduces the ROCCIPI model, which is a legislative analysis tool with seven elements:rule, opportunity, capacity, communication, interest, process, ideology to integrate policy requirements together and give advices to the addition and modification of policies, thus will help build the policy support of national scientific research institutions. Once the synergy mechanism of innovation policy and innovation mode are formed, the problems existing in the innovation can be effectively diagnosed, policies flaws like randomness and decentralization caused by institutional inertia could be avoided. Finally the synergy will make policies more executable and performable, improve the policy system, and promote the innovative activities of national scientific research institutions.