国家创新体系效能的系统性分析：生成机制与影响因素

摘要/Abstract

摘要： 建设完善的国家创新体系一直是我国科技创新事业发展的核心，国家创新体系整体效能提升更是逐渐成为政策关注的焦点，然而国家创新体系的理论基础却较为薄弱。因此，本文试图从系统论切入为提升国家创新体系效能提供理论基础。本文从系统的整体性与涌现性、结构与功能性、层次性、自组织性、稳定性与突变性等角度分析了国家创新体系的系统特征，并基于其系统特征构建了系统视角的国家创新体系效能分析框架，并以科技研发与产业创新两大功能为例分析了国家创新体系运行的结构与一般系统因果关系，指出需要系统考虑国家创新体系效能的提升。基于此，本文进一步从层次间的协调发展，主体间的互动协同，以及主体、层次、环境的交叉融合三个维度提出了系统推进国家创新体系效能提升的思路。此外，本文还提出了继续深化国家创新体系系统论理解、推进国家创新体系效能提升的四大未来研究方向。本文的研究是对系统提升国家创新体系效能的理论初探，既拓宽了国家创新体系效能研究视野，也为政府系统提升国家创新体系效能提供理论基础。

关键词: 国家创新体系, 效能分析, 系统论, 生成机制, 影响因素

Abstract: As China has gradually entered the ranks of innovative countries, the scientific and technological innovation in China has undergone major changes, and the requirements for the construction of the national innovation system of China have also changed from improving the structure to improving the overall efficacy. The systematic characteristics of the national innovation system make the research and analysis of the national innovation system efficacy from the perspective of systems theory become the focus of scientific and technological innovation (STI) policy and management research. This paper attempts to introduce the system view, and on the basis of understanding the connotation of the national innovation system efficacy, systematically explore its generation mechanism and influencing factors, and deconstruct and analyze the national innovation system efficacy from the theoretical level. Firstly, based on the system characteristics of the national innovation system, this paper reveals the connotation of the national innovation system efficacy from the perspective of "system structure - system operation - system function", understands it as the organic integration of the result performance and process performance, and analyzes the generation mechanism and interaction of the two kinds of performances respectively. Secondly, integrating the multi-dimensional perspectives of "system structure - system function", "system input - system output", and "system internal operation - system external opening", this paper constructs the system analysis framework of the factors affecting the national innovation system efficacy and the constructs the system structure and general system operation mode of the national innovation system from the perspective of the sub-system efficacy under the function orientation of S&T research and industrial innovation, pointing out that systemic thinking is needed to enhance the efficacy of national innovation system. On this basis, the paper proposes the suggestions of systematically promoting the efficacy of the national innovation system in three dimensions, which echoes the need for high-quality transformation of the China′s national innovation system: optimizing the system structure and layout to improve the result performance of the national innovation system, promoting the multi-level circulation of innovation elements to improve the process performance of the national innovation system, and organically integrating the innovation environment to realize the overall efficacy improvement of the national innovation system. In addition, this paper also proposes four future research directions for deepening the systematic understanding of the national innovation system and promoting the efficacy improvement of the national innovation system. Overall, this study has certain theoretical and policy contributions. In theory, this study is a theoretical exploration of the systematic deconstruction of the national innovation system efficacy. Through the analysis of the system generation mechanism and influencing factors of the national innovation system efficacy, it lays a theoretical foundation for the research of the national innovation system efficacy and broadens its analysis methods. In terms of policy, this study provides some reference for the government to further improve the construction of the national innovation system and enhance the national innovation system efficacy. This paper constructs an analysis framework of the factors affecting the national innovation system efficacy and proposes a systematic way to improve the national innovation system efficacy, which helps guide policy makers to systematically consider the policy integrity in the process of formulating and implementing policies, and fully consider the synergy between system structure, system operation and system environment in the design of the governance mechanism of the national innovation system.

Key words: national innovation system, efficacy analysis, systems theory, generation mechanism, influencing factor

冯泽, 陈凯华, 冯卓. 国家创新体系效能的系统性分析：生成机制与影响因素[J]. 科研管理, 2023, 44(3): 1-9.

Feng Ze, Chen Kaihua, Feng Zhuo. A systematic analysis of China′s national innovation system efficacy: Its generation mechanism and influencing factors[J]. Science Research Management, 2023, 44(3): 1-9.

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