科研管理 ›› 2019, Vol. 40 ›› Issue (7): 1-11.
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杜根旺,汪涛
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Du Genwang, Wang Tao
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摘要: 创新政策融合了科技、产业、财政等诸多内容,创新政策协调对于创新政策促进创新的效果具有重要作用,然而当前对于创新政策协调的一些关键问题尚不清楚,更缺乏一个系统的理论框架,这些影响理论的发展和实践的开展。本文试图去弥补这一空白,首先介绍了创新政策协调研究的发展阶段,接着从创新政策协调的内涵、影响因素、主体维度、工具维度、测度和调整几方面对已有研究进行了综述,并进行研究展望,最终构建了创新政策协调研究的理论框架,以期为未来研究和政策实践提供参考。
关键词: 创新政策, 政策协调, 政策主体, 政策工具, 政策优化
Abstract: Innovation policy integrates many policy contents from science and technology policy, industry policy, finance policy and so on. If these policies are well coordinated, they can magnify the policy effect of each other, on the contrary, they may weaken the policy effect of each other.With the continuous expansion of the depth and breadth of innovation policy, higher requirements are put forward for the coordination of innovation policy.Since the 1970s, the research on innovation policy coordination has been deepening. The United States, OECD and so on have made special research on innovation policy coordination. Some important theoretical achievements have been published in the journal of 《Research Policy》. However, some basic issues of innovation policy coordination are still unclear, which restricts the further development of innovation policy coordination research, and also brings inconvenience to guide policy practice.On the basis of systematic literature research, this paper makes a thorough and comprehensive overview of innovation policy coordination research from aspects of connotation, influencing factors, subject dimension, tool dimension, measurement and adjustment, and forecasts future research. The connotation of innovation policy coordination includes the interaction of innovation policy subjects, the collocation and interaction of innovation policy tools and forming innovation policy system. Focusing on the coordination of innovation policy subjects continued until around 2010. In 2010, after OECD discussed ‘Policy Mix’, the coordination of innovation policy tools becomes the focus of research. After 2000, the research on innovation policy system has gradually risen with the development of innovation system theory. Innovation policy coordination is affected by many factors. Governmental governance structure affects the power allocation and cooperation of relevant departments of innovation policy. The change and reorganization of government brings about changes in the coordination of innovation policy. The coordination of innovation policy is the inheritance and development of the previous coordination mode in consideration of the current situation. With the deepening understanding of the innovation law, there are more and more ways to coordinate innovation policies. In the practice of innovation policy, countries actively or imperceptibly learn the countries which do well. Think tanks can provide scientific theoretical knowledge for innovation policy coordination. There are three types, four types and nine types in the study of coordination of innovation policy subjects. Three types are classified from low to high as atomic coordination, low coordination and high coordination. Four types are classified from low to high as negative coordination, active coordination, policy integration and strategic coordination. Nine types division method divides the four types into nine types, namely decision-making by participants independently, information exchange with other participants, consultation with other participants, avoiding inconsistencies, seeking consistency, arbitration to policy differences, setting restrictions for participants’ behavior, setting priorities and government strategies. Government power is allocated horizontally and vertically, and the innovation policy subjects are coordinated within this framework. The existing research mainly involves these kinds of coordination: Coordination between international organizations and state governments; Coordination among state governments; Coordination between central government and ministries of central government; Coordination among ministries of central government; Coordination between central government ministries and their agencies; Coordination among agencies of central government ministries; Coordination between the central government and the province governments. The cooperation and competition relationships mainly exist among the innovation policy subjects at the same level. The research on the coordination of innovation policy tools is mainly carried out from the perspectives, types, the coordination among specific innovation policy tools, the coordination between innovation policy tools and other policy tools, and so on. Innovative policy tools may be combined in the four perspectives of policy space, regulatory space, geographic space and time. There are five types of coordination of innovation policy tools: continuity, complementarity, intersection, lack and contradiction. The coordination of innovation policy tools can also be divided into five other types: superposition, integration, from different levels, competition and cooperation, strengthening and weakening. The studies on the innovation policy tools are carried on from the aspects of coordination of R&D support measures, supply-side policy tools and demand-side policy tool, policy tools for different levels of innovation, innovation policy tools at different levels, technology innovation policy tools with other innovation policy tools. The coordination of innovation policy tools with environmental policy tools(sustainable development policy tools) and information society policy tools has also attracted attention of research. There are direct and indirect methods to measure the coordination of innovation policies. The direct method measures the coordination of innovation policies with variables such as policy subject behavior, policy text, fiscal revenue and expenditure, and the indirect method measures the coordination of innovation policies through innovation performance and innovation behavior and so on. When the coordination of innovation policy is not good, the policy subject needs to make the impression of change, or it is conducive to maintaining the sector status, the innovation policy coordination will be adjusted. The ways of adjustment include reconstructing policy system, reorganizing institutions, rebuilding inter-agency links, optimizing policy tools and implementing specific projects. The inadequacy of expressing the connotation of innovation policy coordination from the three aspects of subject, tool and system is that it is easy to talk about policy too simple. Adding purpose into the connotation can make up for this deficiency, and it should be further researched in the future. There are many factors affecting the coordination of innovation policies. More factors should be paid attention to. It is necessary to study the effects of department interest, innovation level, type, mode, culture, internationalization and economy on the coordination of innovation policies. Coordination of innovation policies are mainly focused from the aspects of subject and tool dimensions. We should expand the research of these two dimensions and extend to other dimensions such as policy process and time stage. We should make a systematic and in-depth study on the theoretical basis, applicable condition, standardized procedure, method comparison, secondary development and specific application of the coordination measurement and optimization method of innovation policy. We should study the interaction among different innovation processes, different innovation subjects and different innovation levels, and then use it to measure the coordination of innovation policies. The motive force of coordination and adjustment of innovation policy can be studied further from realistic need, policy problem and political need.
Key words: innovation policy, policy coordination, policy subject, policy tool, policy adjustment
杜根旺 汪涛. 创新政策协调研究综述及展望[J]. 科研管理, 2019, 40(7): 1-11.
Du Genwang, Wang Tao. A review and outlook of research on innovation policy coordination[J]. Science Research Management, 2019, 40(7): 1-11.
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