关键词: 赶超型创新政策, 政策组合, 政策配称, 系统失灵理论

Abstract:    It is the important strategic task of scientific and technological innovation research to promote the innovation breakthrough of key core technologies and realize self-reliant self-improvement in science and technology. At present, through the implementation of innovation-driven development strategy and formulating scientific and technological innovation policies, China has already achieved technical innovation breakthroughs in some fields, but the key core technology "jamming" problem has still not been completely solved. Mission oriented innovation policies guided by system failure theory is a new policy paradigm which is deal with the significant social challenges such as “urgent, difficult, risks, and heavy” scientific problems. Catch-up oriented innovation policies is the application of mission-oriented innovation policies in the late-development country, can emphasis on promoting technological capability from catch-up to lead, can provide new policy solutions for solving the "bottleneck" problem of key core technologies. At present, the research on catch-up oriented innovation policies is still in its infancy, and scholars have not reached a consensus on the structural dimensions of catch-up oriented innovation policies, and the research on policy mechanism is insufficient, which is difficult to provide substantial theoretical guidance for the government to accurately formulate and implement catch-up oriented innovation policies. To fill the gap, this paper studied the catch-up oriented innovation policies in the new energy automobile industry and wind power industry based on grounded theory based on perspective of system failure theory. The conclusion of this paper includes the following three aspects: firstly, the catch-up oriented innovation policies is an organic whole formed by policy intention, policy action and policy guarantee. Policy intention guides the direction of policy action, which is mainly composed of objective traction and path design. Policy action is the main measure to realize policy intention, including main policy tool for cultivating enterprise, policy tool for constructing infrastructure, policy tool for building capability, policy tool for creating market; policy guarantee provides conditional support for policy action, including policy tool for institutional strategy, policy tool for providing innovation elements and policy tool for organizational building. Secondly, the intention of catch-up innovation policies can be divided into two types of "overtaking on curves" and "overtaking by changing lanes", which require different combinations of policy tools and their fit. Among them, the policy tool combination that fit the policy intention of "curve overtaking" focuses on improving the function and structure of the technological innovation system of the existing technological trajectories and promoting the substitution of domestic technology to foreign technology. The combination of policy tools that fit the policy intention of "lane changing and overtaking" focuses on reshaping the function and structure of the technological innovation system of the technological trajectories of emerging technologies and promoting the replacement of traditional technologies by emerging technologies.Thirdly, different stages of catch up require the different combination of policy tools to form different policy mechanisms for promoting the continuous upgrade of technological capability. In the entry period, the combination of policy tools, such as policy tool for cultivating enterprise, policy tool for constructing infrastructure, policy tool for building capability, can resolve infrastructure failure and interactive failure by forming the policy incentive mechanism, and improve production and manufacturing capability. In the gradual catch-up period, the combination of policy tools, such as policy tool for creating market, policy tool for institutional strategy, can resolve the capability failure by forming a policy back-forcing mechanism, and improve the component innovation capability. In the leapfrog period, the reshaping and adjustment of policy tool for creating market, policy tool for institutional strategy, can resolve institutional failures by forming a competitive mechanism, and enhance structural innovation capability.This paper will have some practical enlightenments for industrial catch-up practices. First of all, when promoting industrial catch-up, the government should grasp the implementation scenarios and conditions of the catch-up innovation policies by using the analysis framework of “policy intentions-policy actions-policy guarantee”, and then identify the list of available policy tools for enhancing the space for policy implementation. Secondly, it is necessary to grasp the types of industry based on policy intentions of “overtaking on curves” and “overtaking by changing lanes”, and implement fitting combination of policy tools to enhance the synergy of policy effects. Finally, it is necessary to adapt to the catch-up cycle to formulate a combination of policy tools that fit the catch-up stage to enhance the effect of policies.

Key words: catch-up oriented innovation policy, policy combination, policy fitting, system failure theory