公共采购塑造创新的方式、机制及障碍:文献综述与展望
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摘要
作为创新政策需求方复兴的核心工具之一,公共创新采购(PPI)具有改善公共服务效能和促进技术创新的双重功能。通过梳理国内外文献,从方式、机制及障碍等方面对公共创新采购研究进展进行评述。从原理看,以公共采购者、创新提供者和中介为主要参与者的公共创新采购,其本质是一个由采购过程和创新过程耦合而成的系统且包含3种机制,即交易实现机制、创新生成机制和创新扩散机制;从实践看,框架条件、组织能力、需求识别和传递、风险管理是影响公共创新采购政策效果的主要障碍。最后,总结公共创新采购研究理论框架,提出未来研究方向。
Public procurement of innovation(PPI) has been at the heart of innovation policy resurrecting the demand side with dual functions on improving public services effectiveness and promoting technological innovation. Through a literature review, this paper reviewed the research progress of public procurement of innovation from the aspects of methods, mechanisms and barriers. In a theoretical point of view, public procurement of innovation with public procurers, innovative suppliers and intermediaries as the major actors, is essentially a system that is coupled by procurement process and innovation process. The system consists of three important mechanisms: transaction realization mechanism, innovation generation mechanism and innovation diffusion mechanism; In a practical point of view, framework conditions, organizational capabilities, identification and signaling of needs, and risk management are the main barriers to the policy effectiveness of public procurement of innovation. Finally, this article summarized the theoretical framework for researches of public procurement of innovation and proposed three areas for future researches.
Public procurement of innovation(PPI) has been at the heart of innovation policy resurrecting the demand side with dual functions on improving public services effectiveness and promoting technological innovation. Through a literature review, this paper reviewed the research progress of public procurement of innovation from the aspects of methods, mechanisms and barriers. In a theoretical point of view, public procurement of innovation with public procurers, innovative suppliers and intermediaries as the major actors, is essentially a system that is coupled by procurement process and innovation process. The system consists of three important mechanisms: transaction realization mechanism, innovation generation mechanism and innovation diffusion mechanism; In a practical point of view, framework conditions, organizational capabilities, identification and signaling of needs, and risk management are the main barriers to the policy effectiveness of public procurement of innovation. Finally, this article summarized the theoretical framework for researches of public procurement of innovation and proposed three areas for future researches.
引文
[1] EDLER J,GEORGHIOU L.Public procurement and innovation-resurrecting the demand side [J].Research Policy,2007,36(7):949-963.
[2] EDQUIST C,ZABALA-ITURRIAGAGOITIA J M.Public procurement for innovation as mission-oriented innovation policy [J].Research Policy,2012,41(10):1757-1769.
[3] GHISETTI C.Demand-pull and environmental innovations:estimating the effects of innovative public procurement [J].Technological Forecasting and Social Change,2017,125:178-187.
[4] KUZEMKO C,MITCHELL C,LOCKWOOD M,et al.Policies,politics and demand side innovations:the untold story of germany's energy transition [J].Energy Research & Social Science,2017,28:58-67.
[5] DALPE R.Effects of government procurement on industrial-innovation [J].Technology in Society,1994,16(1):65-83.
[6] CALOGHIROU Y,PROTOGEROU A,PANAGIOTOPOULOS P.Public procurement for innovation:a novel egovernment services scheme in greek local authorities [J].Technological Forecasting and Social Change,2016,10:31-50.
[7] AHO E,CORNU J,GEORGHIOU L,et al.Creating an innovative europe [R].Brussels:European Commission,2006.
[8] DEWES M D F,DALMARCO G,PADULA A D.Innovation policies in brazilian and dutch aerospace industries:how sectors driven by national procurement are influenced by its s&t environment [J].Space Policy,2015,34:32-38.
[9] GEROSKI P A.Procurement policy as a tool of industrial policy [J].International Review of Applied Economics,1990,4(2):182-198.
[10] ASCHHOFF B,SOFKA W.Innovation on demand-can public procurement drive market success of innovations[J].Research Policy,2009,38(8):1235-1247.
[11] RAINVILLE A.Standards in green public procurement-a framework to enhance innovation [J].Journal of Cleaner Production,2017,167:1029-1037.
[12] OECD.Demand-side innovation policies[M].Paris:OECD Publishing,2011:17-76.
[13] EUROPEAN COMISSION.Communication from the commission to the european parliament,the council,the european economic and social committee and the committee of the regions [Z].2014.
[14] VONORTAS N S,BHATIA P,MAYER D P.Public procurement and innovation in the united states [R].Washington,D C:Center for International Science and Technology Policy,Elliot School of International Affairs,The George Washington University,2011.
[15] MYOKEN Y.Demand-orientated policy on leading-edge industry and technology:public procurement for innovation [J].International Journal of Technology Management,2010,49(1-3):196-219.
[16] 张开坚,程如烟.使公共采购成为真正的“创新采购”——对欧盟《研发与创新的公共采购》报告的述评 [J].中国软科学,2006(9):156-158.
[17] 王宏,张艳辉.企业游说行为对政府技术采购决策的影响机制研究 [J].研究与发展管理,2016(6):91-100.
[18] 桂黄宝.政府采购促进技术创新政策效果空间计量评估 [J].科研管理,2017,38(9):161-168.
[19] 宋河发,张思重.自主创新政府采购政策系统构建与发展研究 [J].科学学研究,2014,32(11):1639-1645.
[20] 艾冰,陈晓红.政府采购与自主创新的关系 [J].管理世界,2008(3):169-170.
[21] EDQUIST C,HOMMEN L.Public technology procurement and innovation theory [M].New York:Springer,2000.
[22] EDLER J,GEORGHIOU L,BLIND K,et al.Evaluating the demand side:new challenges for evaluation[J].Research Evaluation,2012,21(1):33-47.
[23] EDLER J,RUHLAND S,HAFNER S,et al.Innovation and public procurement review of issues at stake [R].Karlsruhe:Fraunhofer Institute for Systems and Innovation Research,2005.
[24] IVANOVA I A,LEYDESDORFF L.Rotational symmetry and the transformation of innovation systems in a triple helix of university–industry–government relations [J].Technological Forecasting and Social Change,2014,86:143-156.
[25] MOORS E,ENZING C,VAN DER GIESSEN A,et al.User-producer interactions in functional genomics innovations [J].Innovation-the European Journal of Social Science Research,2003,5(2-3):120-143.
[26] PORTER M E.The competitive advantage of nations [J].Harvard business review,1990,68(2):73-93.
[27] BEISE M.Lead markets:country-specific drivers of the global diffusion of innovations [J].Research Policy,2004,33(6):997-1018.
[28] VON HIPPEL E.Lead users:a source of novel product concepts [J].Management science,1986,32(7):791-805.
[29] MOWERY D,ROSENBERG N.The influence of market demand upon innovation:a critical review of some recent empirical studies [J].Research Policy,1979,8(2):102-153.
[30] EDQUIST C,ZABALA J M.Pre-commercial procurement:a demand or supply policy instrument in relation to innovation[Z].CIRCLE,Lund University,Working Paper No.2012/11,2012.
[31] EDLER J,YEOW J.Connecting demand and supply:the role of intermediation in public procurement of innovation[J].Research Policy,2016,45(2):414-426.
[32] EDQUIST C,HOMMEN L.Government technology procurement and innovation theory [R].Linkoping:Department of Technology and Social Change,Linkoping University,1998.
[33] KALVET T,LEMBER V.Risk management in public procurement for innovation:the case of nordic-baltic sea cities[J].European Journal of Social Science Research,2010,23(3):241-262.
[34] LEMBER V,KALVET T,KATTEL R.Public procurement policy for innovation:international perspectives [M].New York:Springer,2013:35-89.
[35] RIGBY J.Review of pre-commercial procurement approaches and effects on innovation [R].Manchester:MIoIR,AMBS,University of Manchester,2013.
[36] UYARRA E,EDLER J,GARCIA-ESTEVEZ J,et al.Barriers to innovation through public procurement:a supplier perspective [J].Technovation,2014,34(10):631-645.
[37] EDQUIST C,HOMMEN L.Systems of innovation:theory and policy for the demand side [J].Technology in Society,1999,21(1):63-79.
[38] GEORGHIOU L,LI Y,UYARRA E,et al.Public procurement for innovation in small european countries [R].Manchester:MIoIR,AMBS,University of Manchester,2010.
[39] LI Y.Public procurement as a demand-side innovation policy tool in China:a national-level case study [A].Proceedings of the druid 2011 on innovation,strategy,and structure-organizations,institutions,systems and regions[M].Denmark:DRUID Society,2011:11-15.
[40] UYARRA E.Review of measures in support of public procurement of innovation [Z].Nesta,Working Paper No.13/17,2013.
[41] VECCHIATO R,ROVEDA C.Foresight for public procurement and regional innovation policy:The case of lombardy [J].Research Policy,2014,43(2):438-450.
[42] ROLFSTAM M.An institutional approach to research on public procurement of innovation [J].Innovation-the European Journal of Social Science Research,2012,25(3):303-321.
[43] LEMBER V,KALVET T,KATTEL R,et al.Public procurement for innovation in baltic metropolises [R].Tallinn:Tallinn University of Technology,2007.
[44] UYARRA E,FLANAGAN K.Understanding the innovation impacts of public procurement [J].European Planning Studies,2010,18(1):123-143.
[45] ROLFSTAM M,PHILLIPS W,BAKKER E.Public procurement of innovations,diffusion and endogenous institutions [J].International Journal of Public Sector Management,2011,24(5):452-468.
[46] SAASTAMOINEN J,REIJONEN H,TAMMI T.Should smes pursue public procurement to improve innovative performance[J].Technovation,2018,14:692.
[47] GEORGHIOU L,EDLER J,UYARRA E,et al.Policy instruments for public procurement of innovation:choice,design and assessment[J].Technological Forecasting and Social Change,2014,12:861.
[48] TSIPOURI L,EDLER J,UYARRA E,et al.Risk management in the procurement of innovation-concepts and empirical eveidence in the european union [R].Brussels:Europe Commission,2010.
[2] EDQUIST C,ZABALA-ITURRIAGAGOITIA J M.Public procurement for innovation as mission-oriented innovation policy [J].Research Policy,2012,41(10):1757-1769.
[3] GHISETTI C.Demand-pull and environmental innovations:estimating the effects of innovative public procurement [J].Technological Forecasting and Social Change,2017,125:178-187.
[4] KUZEMKO C,MITCHELL C,LOCKWOOD M,et al.Policies,politics and demand side innovations:the untold story of germany's energy transition [J].Energy Research & Social Science,2017,28:58-67.
[5] DALPE R.Effects of government procurement on industrial-innovation [J].Technology in Society,1994,16(1):65-83.
[6] CALOGHIROU Y,PROTOGEROU A,PANAGIOTOPOULOS P.Public procurement for innovation:a novel egovernment services scheme in greek local authorities [J].Technological Forecasting and Social Change,2016,10:31-50.
[7] AHO E,CORNU J,GEORGHIOU L,et al.Creating an innovative europe [R].Brussels:European Commission,2006.
[8] DEWES M D F,DALMARCO G,PADULA A D.Innovation policies in brazilian and dutch aerospace industries:how sectors driven by national procurement are influenced by its s&t environment [J].Space Policy,2015,34:32-38.
[9] GEROSKI P A.Procurement policy as a tool of industrial policy [J].International Review of Applied Economics,1990,4(2):182-198.
[10] ASCHHOFF B,SOFKA W.Innovation on demand-can public procurement drive market success of innovations[J].Research Policy,2009,38(8):1235-1247.
[11] RAINVILLE A.Standards in green public procurement-a framework to enhance innovation [J].Journal of Cleaner Production,2017,167:1029-1037.
[12] OECD.Demand-side innovation policies[M].Paris:OECD Publishing,2011:17-76.
[13] EUROPEAN COMISSION.Communication from the commission to the european parliament,the council,the european economic and social committee and the committee of the regions [Z].2014.
[14] VONORTAS N S,BHATIA P,MAYER D P.Public procurement and innovation in the united states [R].Washington,D C:Center for International Science and Technology Policy,Elliot School of International Affairs,The George Washington University,2011.
[15] MYOKEN Y.Demand-orientated policy on leading-edge industry and technology:public procurement for innovation [J].International Journal of Technology Management,2010,49(1-3):196-219.
[16] 张开坚,程如烟.使公共采购成为真正的“创新采购”——对欧盟《研发与创新的公共采购》报告的述评 [J].中国软科学,2006(9):156-158.
[17] 王宏,张艳辉.企业游说行为对政府技术采购决策的影响机制研究 [J].研究与发展管理,2016(6):91-100.
[18] 桂黄宝.政府采购促进技术创新政策效果空间计量评估 [J].科研管理,2017,38(9):161-168.
[19] 宋河发,张思重.自主创新政府采购政策系统构建与发展研究 [J].科学学研究,2014,32(11):1639-1645.
[20] 艾冰,陈晓红.政府采购与自主创新的关系 [J].管理世界,2008(3):169-170.
[21] EDQUIST C,HOMMEN L.Public technology procurement and innovation theory [M].New York:Springer,2000.
[22] EDLER J,GEORGHIOU L,BLIND K,et al.Evaluating the demand side:new challenges for evaluation[J].Research Evaluation,2012,21(1):33-47.
[23] EDLER J,RUHLAND S,HAFNER S,et al.Innovation and public procurement review of issues at stake [R].Karlsruhe:Fraunhofer Institute for Systems and Innovation Research,2005.
[24] IVANOVA I A,LEYDESDORFF L.Rotational symmetry and the transformation of innovation systems in a triple helix of university–industry–government relations [J].Technological Forecasting and Social Change,2014,86:143-156.
[25] MOORS E,ENZING C,VAN DER GIESSEN A,et al.User-producer interactions in functional genomics innovations [J].Innovation-the European Journal of Social Science Research,2003,5(2-3):120-143.
[26] PORTER M E.The competitive advantage of nations [J].Harvard business review,1990,68(2):73-93.
[27] BEISE M.Lead markets:country-specific drivers of the global diffusion of innovations [J].Research Policy,2004,33(6):997-1018.
[28] VON HIPPEL E.Lead users:a source of novel product concepts [J].Management science,1986,32(7):791-805.
[29] MOWERY D,ROSENBERG N.The influence of market demand upon innovation:a critical review of some recent empirical studies [J].Research Policy,1979,8(2):102-153.
[30] EDQUIST C,ZABALA J M.Pre-commercial procurement:a demand or supply policy instrument in relation to innovation[Z].CIRCLE,Lund University,Working Paper No.2012/11,2012.
[31] EDLER J,YEOW J.Connecting demand and supply:the role of intermediation in public procurement of innovation[J].Research Policy,2016,45(2):414-426.
[32] EDQUIST C,HOMMEN L.Government technology procurement and innovation theory [R].Linkoping:Department of Technology and Social Change,Linkoping University,1998.
[33] KALVET T,LEMBER V.Risk management in public procurement for innovation:the case of nordic-baltic sea cities[J].European Journal of Social Science Research,2010,23(3):241-262.
[34] LEMBER V,KALVET T,KATTEL R.Public procurement policy for innovation:international perspectives [M].New York:Springer,2013:35-89.
[35] RIGBY J.Review of pre-commercial procurement approaches and effects on innovation [R].Manchester:MIoIR,AMBS,University of Manchester,2013.
[36] UYARRA E,EDLER J,GARCIA-ESTEVEZ J,et al.Barriers to innovation through public procurement:a supplier perspective [J].Technovation,2014,34(10):631-645.
[37] EDQUIST C,HOMMEN L.Systems of innovation:theory and policy for the demand side [J].Technology in Society,1999,21(1):63-79.
[38] GEORGHIOU L,LI Y,UYARRA E,et al.Public procurement for innovation in small european countries [R].Manchester:MIoIR,AMBS,University of Manchester,2010.
[39] LI Y.Public procurement as a demand-side innovation policy tool in China:a national-level case study [A].Proceedings of the druid 2011 on innovation,strategy,and structure-organizations,institutions,systems and regions[M].Denmark:DRUID Society,2011:11-15.
[40] UYARRA E.Review of measures in support of public procurement of innovation [Z].Nesta,Working Paper No.13/17,2013.
[41] VECCHIATO R,ROVEDA C.Foresight for public procurement and regional innovation policy:The case of lombardy [J].Research Policy,2014,43(2):438-450.
[42] ROLFSTAM M.An institutional approach to research on public procurement of innovation [J].Innovation-the European Journal of Social Science Research,2012,25(3):303-321.
[43] LEMBER V,KALVET T,KATTEL R,et al.Public procurement for innovation in baltic metropolises [R].Tallinn:Tallinn University of Technology,2007.
[44] UYARRA E,FLANAGAN K.Understanding the innovation impacts of public procurement [J].European Planning Studies,2010,18(1):123-143.
[45] ROLFSTAM M,PHILLIPS W,BAKKER E.Public procurement of innovations,diffusion and endogenous institutions [J].International Journal of Public Sector Management,2011,24(5):452-468.
[46] SAASTAMOINEN J,REIJONEN H,TAMMI T.Should smes pursue public procurement to improve innovative performance[J].Technovation,2018,14:692.
[47] GEORGHIOU L,EDLER J,UYARRA E,et al.Policy instruments for public procurement of innovation:choice,design and assessment[J].Technological Forecasting and Social Change,2014,12:861.
[48] TSIPOURI L,EDLER J,UYARRA E,et al.Risk management in the procurement of innovation-concepts and empirical eveidence in the european union [R].Brussels:Europe Commission,2010.