Third Plenary Session Analysis: Seeking Breakthroughs in the Field of Technology Through Reform and Greater Autonomy for Scientists (AI Translation)
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文｜财新周刊 徐路易
By Caixin Weekly's Xu Luyi
《决定》在“构建支持全面创新体制机制”一节中，包含了深化教育综合改革、深化科技体制改革和深化人才发展体制机制改革三部分内容，指出教育、科技、人才是中国式现代化的基础性、战略性支撑，必须深入实施科教兴国战略、人才强国战略、创新驱动发展战略，统筹推进教育科技人才体制机制一体改革，健全新型举国体制，提升国家创新体系整体效能。“《决定》在‘构建支持全面创新体制机制’部分对‘深化科技体制改革’做出系统部署，是激发全社会创新创造活力的关键举措。”科技部部长阴和俊在解读《决定》时表示，统筹推进教育科技人才体制机制一体改革，能够促进科技与教育、人才的良性循环，建立科技发展、国家战略需求牵引的学科设置调整机制和人才培养模式，着力加强创新能力培养。
The "Decision," in the section on "Establishing a Supportive System for Comprehensive Innovation," includes three parts: deepening comprehensive education reform, deepening scientific and technological system reform, and deepening reform of the talent development system and mechanisms. It points out that education, science and technology, and talent are foundational and strategic supports for Chinese-style modernization. It is vital to thoroughly implement the strategies of invigorating the country through science and education, strengthening the nation with talent, and driving development through innovation. There must be coordinated efforts to promote the integrated reform of education, science and technology, and talent systems, improve the new nationwide system, and enhance the overall efficiency of the national innovation system. "The 'Decision' systematically deploys 'deepening scientific and technological system reform' within the 'Establishing a Supportive System for Comprehensive Innovation' section, marking a crucial step to unleash societal innovation and creative vitality," said Yin Hejun, Minister of Science and Technology, in his interpretation of the "Decision." Coordinated efforts to promote the integrated reform of education, science and technology, and talent systems can foster a virtuous cycle between science and technology, education, and talent. They can establish a mechanism for adjusting discipline settings and talent training models driven by scientific development and national strategic needs, focusing on strengthening innovation capacity cultivation.
《决定》从改进科研计划管理、强化企业创新主体地位、完善中央财政科技经费分配和管理使用机制，以及深化科技成果转化机制改革等方面，明确了科技体制改革的方向。
The "Decision" outlined the direction for the reform of the science and technology system by improving the management of research plans, strengthening the role of enterprises as the main drivers of innovation, perfecting the allocation and management mechanisms of central financial funds for science and technology, and deepening the reform of the mechanisms for transforming scientific and technological achievements.
“原则性的东西都具体化，也是因为现在包括科技成果转化在内的改革已经进入深水区，大家的认识也越来越具体化，因此需要明确操作，突破原有体制机制束缚。”上海市委党校经济学部教授陈勇鸣向财新表示。
"The reason for concretizing principled matters is that reforms, including the transformation of scientific and technological achievements, have now entered a deep-water zone," said Chen Yongming, a professor in the Economics Department at the Party School of the Shanghai Committee. "As our understanding becomes increasingly specific, we need clear operations to break through the constraints of the original systems and mechanisms," he added in an interview with Caixin.
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- The "Decision" emphasizes reforms in education, scientific and technological systems, and talent development to strengthen China's innovation capacity and modernization efforts.
- It encourages financial support and tax incentives for basic research, innovation by SMEs, and the commercialization of state-owned scientific achievements.
- The policy highlights the need for a supportive technology finance system, enhancing roles for the government, enterprises, universities, and research institutions in driving technological development.
The “Decision” focuses on establishing a supportive system for comprehensive innovation, highlighting the complementary roles of education, science and technology, and talent development. The three-part system aims to deepen reforms in education, scientific and technological systems, and talent development, emphasizing their foundational and strategic importance for Chinese-style modernization. It underscores the need to implement national strategies related to science, education, and talent, promoting synergistic reforms, improving nationwide systems, and enhancing the efficiency of the national innovation system [para. 1].
Yin Hejun, Minister of Science and Technology, interprets the "Decision" as a structured effort to reform the science and technology system. The focus is on integrating reforms across education, science, technology, and talent systems to boost innovation capacity and establish adaptive discipline and talent training models aligned with national strategic needs [para. 3][para. 5]. Key reform directions include improving the management of research plans, strengthening the role of enterprises in innovation, refining funding mechanisms, and transforming scientific and technological achievements [para. 5].
Addressing funding mechanisms, the "Decision" proposes a hybrid model combining competitive and stable support, encouraging localities, enterprises, social organizations, and individuals to diversify funding sources and support high-risk, high-value research. It also calls for optimizing institutional frameworks and policy guidance to enhance basic research outputs, advocating for increased financial investment and societal contributions through various incentives [para. 7].
Tax incentives and financial support mechanisms have been expanded to encourage R&D investment among enterprises, especially small and medium-sized enterprises (SMEs). The "Decision" introduces a corporate R&D reserve system allowing firms to deduct R&D expenses before tax, thus reducing their tax burden and promoting technological innovation [para. 13]. It also permits universities and research institutions to license technologies to SMEs on a "use first, pay later" basis to expedite the commercialization of state-owned intellectual property [para. 13][para. 14].
Reform measures also aim to enhance the autonomy of researchers by granting them greater control over technical routes, budgets, and resource allocation, and implementing more flexible management systems to motivate researchers better. This includes shifting from traditional, less efficient project funding directly managed by the government to a strategic, policy-oriented approach focusing on major services and planning [para. 19].
The "Decision" emphasizes the separate management of job-related technological achievements, recognizing them as distinct from traditional state-owned assets. This approach encourages flexibility and efficiency in the commercialization of such assets, piloted in several high-tech zones and institutions like Shanghai, Shaanxi and Henan [para. 23].
Further, institutions like Shanghai Jiao Tong University are addressing the gap between research labs and the market by establishing concept validation centers, aiding project teams in refining products before market launch. This effort aims to overcome the commercialization challenges by bolstering researcher energy, enhancing service capacities of transfer personnel, and mobilizing market financial resources [para. 29].
The "Decision" also seeks to build a compatible technology finance system, providing support through capital markets, insurance policies, and facilitating foreign capital engagement. This includes strengthening financial backing for major projects and SMEs, enhancing risk dispersion mechanisms, and supporting long-term, high-risk investments necessary for groundbreaking technologies [para. 31].
Thus, the "Decision" aims to foster a supportive environment for innovation by aligning education, scientific advancement, and talent cultivation with strategic national goals, leveraging financial incentives and modern management practices to propel China towards a leading position in global innovation.
- Starting from 2023：
- According to policy from the Ministry of Finance and the State Administration of Taxation, enterprises can deduct R&D expenses incurred during their R&D activities before tax.
- February 2023：
- During the third collective study session of the Politburo of the CPC Central Committee, President Xi Jinping pointed out the need to strengthen basic research.
- March 2023：
- Reforms were conducted on the Ministry of Science and Technology to separate specific projects and focus on four main tasks: major strategy, major policies, major planning, and major services.
- Issue 23, 2024：
- Caixin Weekly published the cover story '100% Allocation to Research Teams'.
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