近年来，我国科技创新实力取得显著提升，科技创新能力、发明专利申请量等指标也位居世界前列。如此的成就有赖于庞大的科技投入和系统的政策体系的支撑，也离不开众多创新主体的努力。尽管我国专利申请数逐年增长，不同地区间也还存在较大差距，长期呈现“东多西少”的状态。现有研究已经对我国的科技创新绩效、科技政策的演变做了充分的研究，普遍关注到影响科技创新的因素、科技政策的扩散过程等，科技政策的有效性也已被有关文献验证；不同地区间创新资源禀赋、科技投入的不同也被认为是区域间创新产出差异的原因；但少有研究关注官员异地交流这一政治行为对地区创新绩效的影响。尽管许多学者都使用“官员变更”变量作为“政策不确定性”的度量，并研究其对企业创新绩效的影响，但这类研究尚未达成一致的结论，也缺乏理论机制的解释。本文认为，纠结于“不确定性”不利于挖掘官员流动的意涵，也忽视了官员履历、曾任职城市特点等因素。因此，本文构建以政策为核心的研究设计，关注官员异地交流对城市创新绩效的影响，提出“官员异地交流—政策扩散—地区创新绩效”的理论框架。本文引入政策扩散等理论资源，使用资源观（resource-based view）和政策企业家（policy entrepreneurship）两个理论视角为官员异地交流对地区创新绩效的影响机制提供底层逻辑。本文整理了283个地级市、2000-2019年的1496次市委书记或市长的异地交流，并与其他经济变量组成面板数据。本文使用双向固定效应模型进行回归分析，探究官员异地交流对城市创新绩效的影响，验证了官员异地交流的资源观效应和政策企业家效应。本文发现：（1）异地交流对地区专利申请量的边际效应会随着官员前一主政城市创新水平的增加而提高，（2）异地交流对地区专利申请量的边际效应会随着官员前一主政城市创新绩效增长率的增加而提高。本文选取从科技部到七台河市、从益阳市到岳阳市两个案例，进行验证性案例分析，具体描述了官员异地交流前后当地科技创新政策和城市创新水平的变化，进一步证实了异地交流的资源观效应和政策企业家效应。在此基础上，本文结合定量研究和案例研究的结果，进一步完善和丰富相关理论，也为地级市推动科技创新提出有关政策建议。
In recent years, China's scientific and technological innovation strength has been significantly improved. China’s innovation capacity, the number of invention patent applications in China also ranked among the world's top. This cannot be achieved without huge investment in science and technology, a systematic policy system, and the efforts of many innovative subjects. Although the number of patent applications in China is increasing year by year, there is still a large gap between different regions, and the situation of "more in the east and less in the west" has long existed. Scholars have done ample research on S&T innovation performance and the evolution of S&T policies in China. They generally focus on the factors that influence S&T innovation, the diffusion process of S&T policies, and the effectiveness of S&T policies. Differences in innovation resource endowments and science and technology inputs between regions are also thought to account for differences in innovation output between regions. However, few studies have focused on the impact of geographical political mobility on regional innovation performance. Although many scholars have used the official change as a measure of policy uncertainty to study its impact on firms' innovation performance, such studies have not reached a consensus conclusion and lack theoretical mechanisms to explain it. This paper argues that focusing on policy uncertainty is not conducive to exploring the meaning of official mobility, and ignores factors such as officials' biographies and characteristics of cities they have worked in. Therefore, this paper focuses on the impact of official transfer on regional innovation performance and proposes a theoretical framework. This paper introduces theoretical resources such as policy diffusion, and uses two theoretical perspectives, resource-based view and policy entrepreneurship, to provide the underlying logic of the impact mechanism of official transfer on regional innovation performance.This paper collates 1,496 official transfers among municipal party secretaries and mayors of 283 prefecture-level cities, from 2000 to 2019, and forms panel data with other economic variables. This paper uses a two-way fixed effects model for regression analysis to explore the effects of official transfer on regional innovation performance. The regression results verify the resource-based view effect and policy entrepreneurship effect of official transfer. This paper finds that (1) the marginal effect of official transfer on regional patent applications increases with the increase in the innovation level of the official's previous host city, and (2) the marginal effect of official transfer on regional patent applications increases with the increase in the growth rate of the official's previous host city's innovation performance. In this paper, two cases, from the Ministry of Science and Technology to Qitaihe City and from Yiyang City to Yueyang City, are selected for validation case analysis. This paper describes the changes in local science and technology innovation policies and city innovation levels before and after officials' transfers, and further confirms the resource-based view effect and policy entrepreneurship effect of official transfer. On this basis, this paper combines the results of quantitative research and case studies to further refine and enrich the relevant theories, and also make relevant policy recommendations for prefecture-level cities to promote science and technology innovation.
