主要国家的公私合作创新

近年来，公私合营（PPP）模式，以其政府参与全过程经营的特点受到国内外广泛关注。PPP模式将部分政府责任以特许经营权方式转移给企业，政府与社会主体建立起“利益共享、风险共担、全程合作”的共同体关系，政府的财政负担减轻，社会主体的投资风险减小。本书对科技创新等领域国外PPP模式的类型、重点运作领域、操作流程、PPP模式效果进行了评价与分析等，结合丰富的案例分析，揭示国外PPP模式运作的经验。

第一章　公私合作创新的基本原理 .........................................................1 第一节　公私合作创新的内涵 ..........................................................................................1 一、概念和定义........................................................................................................1 二、主要特征............................................................................................................2 第二节　公私合作创新的政策原理 ..................................................................................2 一、工程目标............................................................................................................2 二、企业主导............................................................................................................3 三、多元投入............................................................................................................3 四、共同受益............................................................................................................4 第三节　公私合作创新的政策基础 ..................................................................................4 一、国家科技计划项目属于公共产品.....................................................................4 二、公共部门微观效果判断能力较弱.....................................................................4 三、企业等私营部门能够实现创新效率最大化.....................................................5 第四节　公私合作创新的治理类型 ..................................................................................5 一、单一伙伴型........................................................................................................5 二、复合伙伴型........................................................................................................6 三、转移伙伴型........................................................................................................6 四、用户伙伴型........................................................................................................6 第五节　公私合作创新的应用领域 ..................................................................................7 一、重大科技创新专项............................................................................................7 二、科技研发计划项目............................................................................................8 三、技术转移计划项目............................................................................................9 四、科技创业............................................................................................................9 五、中小企业创新..................................................................................................10 六、区域创新..........................................................................................................10 七、科技创新机构..................................................................................................11 八、人力资源..........................................................................................................11 九、创新采购..........................................................................................................12 第六节　公私合作创新项目流程 ....................................................................................12 一、项目形成..........................................................................................................12 二、项目实施..........................................................................................................13 三、项目完成..........................................................................................................13 第二章　公私合作创新的发展趋势 .......................................................14 第一节　主要国家公私合作最新进展 ............................................................................14 一、美英法等国最新进展与趋势...........................................................................14 二、日韩俄等国最新进展与趋势...........................................................................15 第二节　欧盟公私合作最新进展 ....................................................................................16 一、FP7中的5个JTI.............................................................................................16 二、“地平线2020”计划的公私合作..................................................................17 三、“欧洲创新伙伴关系”行动计划的公私合作................................................20 第三节　欧盟公私合作的评估 ........................................................................................21 一、FP7下JTI运行过程中存在的问题分析.........................................................22 二、FP7下JTI改进建议........................................................................................24 三、“地平线2020”计划下JTI的改进措施.......................................................26 第四节　中国科技创新领域运用公私合作的初步探索 ................................................27 一、中国总体应用现状..........................................................................................27 二、北京市大数据研究平台项目...........................................................................28 三、北京市协同创新研究院..................................................................................29 四、广东新型研发机构..........................................................................................29 五、国家集成电路产业投资基金...........................................................................30 六、创新券..............................................................................................................30 第三章　公私合作创新效果及其对中国的启示 .......................................32 第一节　公私合作创新的效果 ........................................................................................32 一、显著提高公共资金使用效率...........................................................................32 二、有效化解和分散创新风险...............................................................................34 三、增加社会对创新的投资..................................................................................34 第二节　国外主要国家公私合作的实践经验 ................................................................35 一、完善公私合作管理治理规则...........................................................................35 二、明确公私合作利益分配规则...........................................................................36 三、保证公私合作项目监督评估公开有效...........................................................37 第三节　对中国公私合作创新的政策建议 ....................................................................37 一、建立以企业为主体的公私合作项目机制.......................................................37 二、出台需求侧公私合作创新政策.......................................................................37 三、出台供给侧公私合作创新政策.......................................................................38 四、出台供给侧、需求侧相结合的公私合作政策................................................38 五、出台...........................................................................................234 二、使用领域........................................................................................................235 三、项目流程........................................................................................................237 四、资金配置........................................................................................................239 五、政策评价........................................................................................................240 第四节　中国浙江省创新券项目：以用户需求为基础立项 ......................................242 一、背景定位........................................................................................................242 二、治理架构........................................................................................................242 三、项目流程........................................................................................................243 四、资金配置........................................................................................................250 五、资源共享........................................................................................................250 六、政策评价........................................................................................................251 第五节　中国上海市创新券项目：创新资源向全国辐射 ..........................................252 一、背景定位........................................................................................................252 二、治理架构........................................................................................................252 三、基本流程........................................................................................................254 四、资金配置........................................................................................................254 五、政策评价........................................................................................................254 第十四章　不成功的公私合作案例：欧洲伽利略全球卫星导航系统计划 ...256 第一节　背景定位 ..........................................................................................................256 第二节　治理架构 ..........................................................................................................257 第三节　资金构成与使用 ..............................................................................................258 第四节　政策评价 ..........................................................................................................259 附录A　治理架构图集 .......................................................................261 附录B　案例国别索引 .......................................................................262 附录C　 美国先进制造业国家计划办公室对国家制造业创新网络的知识 产权指导意见 .......................................................................265 附录D　法国卡诺研究所网络知识产权相关政策 ...................................270 附录E　创新四/五螺旋模式及智能专业化策略 ....................................274 参考文献 ..........................................................................................292公私合作的人才政策...............................................................................38 第四章　重大科技项目的公私合作 .......................................................39 第一节　欧盟联合技术计划：保持欧盟创新的世界领先地位 ....................................39 一、背景定位..........................................................................................................39 二、治理架构..........................................................................................................39 三、项目流程..........................................................................................................42 四、资金构成..........................................................................................................44 五、政策评价..........................................................................................................45 第二节　日本超大规模集成电路项目：全国范围推进半导体制造产业发展 ............46 一、背景定位..........................................................................................................46 二、治理架构..........................................................................................................46 三、资金使用..........................................................................................................48 四、收益与成果分配..............................................................................................49 五、政策评价..........................................................................................................49 第三节　韩国CDMA技术开发项目：主导研发新一代通信技术 ..............................51 一、背景定位..........................................................................................................51 二、治理架构..........................................................................................................51 三、项目流程..........................................................................................................51 四、资金构成与使用..............................................................................................54 五、收益与成效......................................................................................................55 六、政策评价..........................................................................................................57 第四节　美国“信息高速公路”计划：国家信息基础设施建设 ................................57 一、背景定位..........................................................................................................57 二、治理架构..........................................................................................................58 三、资金投入..........................................................................................................59 四、收益与知识产权..............................................................................................59 五、政策评价..........................................................................................................60 第五章　未来技术研发项目的公私合作 .................................................61 第一节　欧盟契约型公私合作专项：支持关键领域竞争前技术研发创新 ................61 一、背景定位..........................................................................................................61 二、治理架构..........................................................................................................64 三、项目流程..........................................................................................................64 四、资金成与使用..............................................................................................66 五、收益与知识产权..............................................................................................68 六、政策评价..........................................................................................................68 第二节　日本基础创新和创业计划：应对未来社会挑战重大任务 ............................69 一、背景定位..........................................................................................................69 二、治理架构..........................................................................................................70 三、项目流程..........................................................................................................71 四、评审标准..........................................................................................................72 五、资金构成与使用..............................................................................................73 六、收益与知识产权..............................................................................................73 七、政策评价..........................................................................................................74 第三节　新千年印度技术领先计划：高风险高收益的技术研发 ................................74 一、背景定位..........................................................................................................74 二、治理架构..........................................................................................................75 三、运作过程..........................................................................................................76 四、资金投入..........................................................................................................78 五、收益与知识产权..............................................................................................79 六、政策评价..........................................................................................................79 第四节　爱尔兰颠覆性技术创新基金：加速颠覆性技术研发和转化 ........................80 一、背景定位..........................................................................................................80 二、治理架构..........................................................................................................81 三、项目流程..........................................................................................................81 四、资金构成与使用..............................................................................................85 五、收益与成效......................................................................................................87 六、政策评价..........................................................................................................87 第六章　赋能技术研发的公私合作 .......................................................89 第一节　法国科技研究与创新网络计划：探索关键领域的研发网络构建 ................89 一、背景定位..........................................................................................................89 二、治理架构..........................................................................................................89 三、运作流程..........................................................................................................90 四、资金构成与使用..............................................................................................92 五、具体案例..........................................................................................................94 六、政策评价..........................................................................................................95 第二节　俄罗斯国家技术计划：未来公私合作领域的长期计划 ................................96 一、背景定位..........................................................................................................96 二、治理架构..........................................................................................................96 三、项目流程..........................................................................................................97 四、评审标准..........................................................................................................98 五、资金构成与使用..............................................................................................99 六、政策评价........................................................................................................100 第三节　美国先进技术计划：加速通用性竞争前技术的研发应用 ..........................100 一、背景定位........................................................................................................100 二、治理架构........................................................................................................102 三、项目流程........................................................................................................103 四、评审标准........................................................................................................105 五、资金构成与使用............................................................................................106 六、知识产权........................................................................................................107 七、政策评价........................................................................................................107 第四节　以色列研究与开发支持基金：普惠型科技创新基金 ..................................108 一、背景定位........................................................................................................108 二、治理架构........................................................................................................108 三、项目流程........................................................................................................109 四、资金构成........................................................................................................110 五、政策评价........................................................................................................111 第五节　巴西工业创新研究院：“小中心、大外围”的组织方式 ..........................112 一、背景定位........................................................................................................112 二、治理架构........................................................................................................112 三、资金构成与使用............................................................................................113 四、收益与成效....................................................................................................113 五、政策评价........................................................................................................114 第七章　技术转移项目的公私合作 ......................................................115 第一节　加拿大商业化和研究卓越中心计划：推进科研与产业力量有效匹配 ......115 一、背景定位........................................................................................................115 二、治理架构........................................................................................................115 三、项目流程........................................................................................................117 四、资金构成与使用............................................................................................118 五、收益与成效....................................................................................................118 六、政策评价........................................................................................................119 第二节　加拿大商业导向卓越中心网络计划：构建大规模协同创新网络 ..............119 一、背景定位........................................................................................................119 二、治理架构........................................................................................................120 三、资金构成与使用............................................................................................121 四、评审标准........................................................................................................121 五、收益与成效....................................................................................................121 六、政策评价........................................................................................................122 第三节　日本研究成果最佳支援计划：分阶段精准扶植技术转移 ..........................122 一、背景定位........................................................................................................122 二、治理架构........................................................................................................123 三、项目流程........................................................................................................123 四、资金利用........................................................................................................128 五、实施成效........................................................................................................129 六、政策评价........................................................................................................129 第四节　澳大利亚合作中心：促进高校与产业界紧密合作 ......................................130 一、背景定位........................................................................................................130 二、治理架构........................................................................................................131 三、资金构成与使用............................................................................................132 四、收益与成效....................................................................................................133 五、政策评价........................................................................................................134 第五节　以色列-美国双边产业研发基金：以国际合作助力产业创新发展 ..........135 一、背景定位........................................................................................................135 二、治理架构........................................................................................................137 三、项目流程........................................................................................................137 四、评审标准........................................................................................................138 五、资金构成与使用............................................................................................138 六、收益与知识产权............................................................................................140 七、政策评价........................................................................................................141 第八章　公私合作科技创业 ................................................................142 第一节　以色列技术孵化器计划：支持高风险科技项目创业 ..................................142 一、背景定位........................................................................................................142 二、治理架构........................................................................................................143 三、项目运作........................................................................................................144 四、资金构成与使用............................................................................................145 五、具体案例........................................................................................................146 六、政策评价........................................................................................................147 第二节　以色列YOZMA计划：重点为创业初期企业提供支持 ..............................148 一、背景定位........................................................................................................148 二、治理架构........................................................................................................149 三、运作过程........................................................................................................149 四、收益与成效....................................................................................................151 五、政策评价........................................................................................................152 第九章　中小企业创新项目的公私合作 ................................................153 第一节　以色列科技创新计划：面向中小企业的共性技术研发 ..............................153 一、背景定位........................................................................................................153 二、治理架构........................................................................................................154 三、项目流程........................................................................................................154 四、评审标准........................................................................................................154 五、资金构成与使用............................................................................................155 六、收益与知识产权............................................................................................155 七、计划分支——“小磁石”计划.....................................................................155 八、政策评价........................................................................................................156 第二节　美国技术创新计划：更加关注中小企业参与创新 ......................................157 一、背景定位........................................................................................................157 二、治理架构........................................................................................................159 三、项目流程........................................................................................................160 四、评审标准........................................................................................................161 五、资金构成与使用............................................................................................162 六、收益与知识产权............................................................................................162 七、政策评价........................................................................................................163 第十章　区域创新中的公私合作 ..........................................................164 第一节　日本产业集群计划：区域内运用公私合作吸引大批企业投资 ..................164 一、背景定位........................................................................................................164 二、治理架构........................................................................................................164 三、项目流程........................................................................................................165 四、资金构成与使用............................................................................................166 五、政策评价........................................................................................................166 第二节　印度创新集群计划：构建区域创新生态系统 ..............................................167 一、背景定位........................................................................................................167 二、治理架构........................................................................................................167 三、运作方式........................................................................................................169 四、评审标准........................................................................................................169 五、计划成效........................................................................................................169 六、政策评价........................................................................................................170 第三节　韩国地区合作研究中心：构建以高校为中心的区域研发网络 ..................170 一、背景定位........................................................................................................170 二、治理架构........................................................................................................171 三、项目流程........................................................................................................172 四、具体案例：以SERC为例............................................................................173 五、政策评价........................................................................................................175 第四节　芬兰奥卢创新联盟：打造包含用户在内的全新创新范式 ..........................176 一、背景定位........................................................................................................176 二、治理架构........................................................................................................178 三、生态系统发展情况........................................................................................180 四、具体案例........................................................................................................181 五、政策评价........................................................................................................182 第十一章　公私合作建设研发机构和平台 .............................................183 第一节　美国国家制造业创新研究所：跨越技术商业化的“死亡之谷” ..............183 一、背景定位........................................................................................................183 二、治理架构........................................................................................................185 三、运行模式........................................................................................................185 四、评审标准........................................................................................................187 五、资金构成与使用............................................................................................187 六、收益与知识产权............................................................................................188 七、政策评价........................................................................................................189 第二节　英国弹射中心：为研发到商业化加速 ..........................................................190 一、背景定位........................................................................................................190 二、治理架构........................................................................................................192 三、评审标准........................................................................................................193 四、资金构成与使用............................................................................................193 五、收益与知识产权............................................................................................194 六、政策评价........................................................................................................197 第三节　法国卡诺研究所网络：以品牌认证构建创新网络 ......................................197 一、背景定位........................................................................................................197 二、治理架构........................................................................................................198 三、合作类型........................................................................................................199 四、评审标准........................................................................................................200 五、资金构成与使用............................................................................................201 六、收益与知识产权............................................................................................202 七、政策评价........................................................................................................203 第四节　爱尔兰科学基金会研究中心计划：确保未来研发方向的精准性 ..............204 一、背景定位........................................................................................................204 二、治理架构........................................................................................................204 三、资金构成........................................................................................................206 四、收益与成效....................................................................................................207 五、政策评价........................................................................................................207 第五节　欧洲未来互联网计划：建设共享平台推动未来社会网络化 ......................208 一、背景定位........................................................................................................208 二、治理架构........................................................................................................208 三、运作过程........................................................................................................210 四、资金构成与使用............................................................................................211 五、收益与成效....................................................................................................211 六、政策评价........................................................................................................212 第十二章　公私合作开发科技人力资源 ................................................213 第一节　加拿大伙伴关系与创新战略项目：加强人才培育推动企业创新 ..............213 一、背景定位........................................................................................................213 二、治理架构........................................................................................................213 三、项目流程........................................................................................................214 四、资金构成与使用............................................................................................215 五、收益与知识产权............................................................................................215 六、政策评价........................................................................................................216 第二节　南非产业技术与人力资源开发计划：助力弱势群体获得机会 ..................216 一、背景定位........................................................................................................216 二、治理架构........................................................................................................217 三、项目流程........................................................................................................217 四、评审标准........................................................................................................218 五、资金构成与使用............................................................................................218 六、收益与成效....................................................................................................219 七、政策评价........................................................................................................219 第十三章　公私合作的政府采购 ..........................................................221 第一节　公私合作创新采购概述 ..................................................................................221 一、创新采购特点................................................................................................221 二、创新采购类型................................................................................................222 三、创新采购伙伴................................................................................................225 四、创新采购周期................................................................................................225 五、创新采购评价................................................................................................226 第二节　英国远期约定采购：从研发开始采购创新产品 ..........................................227 一、背景定位........................................................................................................227 二、政策理念........................................................................................................229 三、治理架构........................................................................................................230 四、基本流程........................................................................................................230 五、示范项目........................................................................................................232 六、政策评价........................................................................................................233 第三节　新加坡创新券项目：为中小企业采购创新服务 ..........................................234 一、背景定位.............