中国汽车产业创新政策体系及其系统失灵研究
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摘要
世界汽车工业格局正面临新一轮的调整,技术创新能力将决定中国汽车产业的发展,乃至成败。实践发展表明,中国汽车产业政策虽然扶植起了一批具有生产规模的汽车企业,但是却在培育技术创新上收效甚微。缺乏完善的产业创新政策体系和运行机制的弊端日益显现并已成为中国汽车产业发展的重要制肘因素。
首先,本文深入分析了促进中国汽车产业技术发展的政策环境的演进脉络与特征,总结了现阶段中国汽车产业的创新政策体系和层次结构。通过分析18家样本汽车企业的专利申请量的积累过程和发展趋势；关键技术领域的研发方向；研发重点的变动特征等,得出中国汽车产业技术创新的现状、发展趋势和特征,并探究产业创新活动与政策环境之间的联系,提出影响中国汽车产业技术创新的主要政策因素包括：①汽车产业宏观政策目标的设定；②创新政策体系的建设和完善；③专利制度的设计。这三个主要政策因素的作用是：①战略目标设定与执行路径选择影响产业技术创新的长期绩效；②完整的政策体系是保证产业技术创新的持续和稳定的重要驱动力；③规则设计可以改变企业研发方向从而影响产业技术创新格局。
其次,本文运用系统失灵理论,以创新政策系统的主要行为者为研究对象,以影响汽车产业技术创新的主要政策因素为内容,建构创新政策系统失灵的分析框架,分析中国汽车产业创新政策的系统失灵表现,指出中国汽车产业创新政策系统失灵的障碍环节主要集中在以下几个方面：①目标设计故障和②目标执行故障导致创新政策系统的目标失灵；③规则设计和执行故障导致创新政策系统的制度失灵；④强网络故障和⑤弱网络故障导致创新政策系统的互动失灵。研究指出导致中国汽车创新政策系统失灵的主要制约因素是政策运行中的利益矛盾、信息孤岛的普遍存在和行业管理体制缺陷。
最后,本文通过分析和借鉴国外创新政策运行机制的经验与启示,论证了创新政策功能耦合的内涵和特征,并运用协同学基本理论系统分析了实现创新政策功能耦合的政策协同运行模式的涵义、特征和运行机理。基于前述理论意义上政策协同的可行性或动因,针对中国汽车产业创新政策系统运行的障碍环节和制约因素,构建中国汽车产业创新政策协同运行机制的模型框架,并提出了满足政策协同条件的三个核心机制——协同决策机制、协同信息机制和协同评价机制。与此同时,本文根据中国汽车产业创新政策协同运行机制的模型框架展开,对中国汽车产业创新政策运行机制的完善提出了具体建议措施,对于提高汽车产业创新政策系统的运行绩效,进而促进中国汽车产业技术创新,具有重要的实用价值。
The pattern of world automotive industry is facing a new round of adjustment; the capacity for technological innovation will determine the pace of development of China's automotive industry, as well as success or failure. The practice has proved that China's auto industry policy produced little effect in cultivating technological innovation, although it has fostered a group of automobile enterprises with large scale of production. The shortcomings of incomplete industrial innovation policy system and its operational mechanism are obvious and that has become an impediment to further progress of China's automotive industry.
Firstly, this paper presents an analysis of the evolutionary process and characteristics of policy environment that promote technological development of China's automotive industry. The present status of innovation policy system and its hierarchy of China's automotive industry were outlined. The status, trends and characteristics of technological innovation of Chinese automotive industry are summed up after analysing the patent of 18 samples of automobile companies in accumulation process of patent applications and its trends, the direction of R&D in key technology areas, the changes in characteristics of R&D focus. Based on research of the relationship between industrial innovation activities and policy environment, the paper presents the key factors of policy implications in technological innovation of China's automotive industry, including three aspects as below: a) the goals setting in the macroeconomic policy of automotive industry, b) the establishment and optimization of innovation policy system, c) the design of patent system. Their functions:a) the setting of strategic goals and the choice of execution routes impact on industrial technology innovation in long-term performance, b) the rounded policy system is an important driving force which ensures the sustained industrial technology innovation, c) the design of rules change the R&D direction, resulting in the changes of pattern of industrial technology innovation.
Secondly, this paper designs an analytical framework for system failure of innovation policy on the basis of the system failure theory. The study pays attention to systemic imperfections in innovation policy system, leading to the following list of system imperfections in the newly configured framework:a) goal failures resulting from goals' design fault or its execution fault, b) institutional failures because of design fault or execution fault of rules and regulations, c) interaction failures, as a result of strong or weak network. The latter studies also imply that the restricting factors leading to system failure are as follows:interest contradiction in policy operation, ubiquity of isolated information resources, defects of management system of industry.
Finally, the paper demonstrates the connotation and features of function coupling of innovation policy on the basis of an analysis on the experience of operational mechanism of foreign innovation policy. On the basis of the analysis from perspective of fundamental principles of Synergetics, this paper put forward a synergetic operation model of policy to realize function coupling of innovation policy, and analyzes its operational mechanism. Furthermore, a model of synergetic operational mechanism of innovation policy of Chinese automotive industry is constructed in this paper based on the theoretical feasibility as well as on related problems in practice. There are three core mechanisms in this model which can meet the condition of synergy. According to the model, the study put forward some corresponding measures for operational mechanism improvement of innovation policy of Chinese automotive industry. These are measures of great relevance to applications.
首先,本文深入分析了促进中国汽车产业技术发展的政策环境的演进脉络与特征,总结了现阶段中国汽车产业的创新政策体系和层次结构。通过分析18家样本汽车企业的专利申请量的积累过程和发展趋势；关键技术领域的研发方向；研发重点的变动特征等,得出中国汽车产业技术创新的现状、发展趋势和特征,并探究产业创新活动与政策环境之间的联系,提出影响中国汽车产业技术创新的主要政策因素包括：①汽车产业宏观政策目标的设定；②创新政策体系的建设和完善；③专利制度的设计。这三个主要政策因素的作用是：①战略目标设定与执行路径选择影响产业技术创新的长期绩效；②完整的政策体系是保证产业技术创新的持续和稳定的重要驱动力；③规则设计可以改变企业研发方向从而影响产业技术创新格局。
其次,本文运用系统失灵理论,以创新政策系统的主要行为者为研究对象,以影响汽车产业技术创新的主要政策因素为内容,建构创新政策系统失灵的分析框架,分析中国汽车产业创新政策的系统失灵表现,指出中国汽车产业创新政策系统失灵的障碍环节主要集中在以下几个方面：①目标设计故障和②目标执行故障导致创新政策系统的目标失灵；③规则设计和执行故障导致创新政策系统的制度失灵；④强网络故障和⑤弱网络故障导致创新政策系统的互动失灵。研究指出导致中国汽车创新政策系统失灵的主要制约因素是政策运行中的利益矛盾、信息孤岛的普遍存在和行业管理体制缺陷。
最后,本文通过分析和借鉴国外创新政策运行机制的经验与启示,论证了创新政策功能耦合的内涵和特征,并运用协同学基本理论系统分析了实现创新政策功能耦合的政策协同运行模式的涵义、特征和运行机理。基于前述理论意义上政策协同的可行性或动因,针对中国汽车产业创新政策系统运行的障碍环节和制约因素,构建中国汽车产业创新政策协同运行机制的模型框架,并提出了满足政策协同条件的三个核心机制——协同决策机制、协同信息机制和协同评价机制。与此同时,本文根据中国汽车产业创新政策协同运行机制的模型框架展开,对中国汽车产业创新政策运行机制的完善提出了具体建议措施,对于提高汽车产业创新政策系统的运行绩效,进而促进中国汽车产业技术创新,具有重要的实用价值。
The pattern of world automotive industry is facing a new round of adjustment; the capacity for technological innovation will determine the pace of development of China's automotive industry, as well as success or failure. The practice has proved that China's auto industry policy produced little effect in cultivating technological innovation, although it has fostered a group of automobile enterprises with large scale of production. The shortcomings of incomplete industrial innovation policy system and its operational mechanism are obvious and that has become an impediment to further progress of China's automotive industry.
Firstly, this paper presents an analysis of the evolutionary process and characteristics of policy environment that promote technological development of China's automotive industry. The present status of innovation policy system and its hierarchy of China's automotive industry were outlined. The status, trends and characteristics of technological innovation of Chinese automotive industry are summed up after analysing the patent of 18 samples of automobile companies in accumulation process of patent applications and its trends, the direction of R&D in key technology areas, the changes in characteristics of R&D focus. Based on research of the relationship between industrial innovation activities and policy environment, the paper presents the key factors of policy implications in technological innovation of China's automotive industry, including three aspects as below: a) the goals setting in the macroeconomic policy of automotive industry, b) the establishment and optimization of innovation policy system, c) the design of patent system. Their functions:a) the setting of strategic goals and the choice of execution routes impact on industrial technology innovation in long-term performance, b) the rounded policy system is an important driving force which ensures the sustained industrial technology innovation, c) the design of rules change the R&D direction, resulting in the changes of pattern of industrial technology innovation.
Secondly, this paper designs an analytical framework for system failure of innovation policy on the basis of the system failure theory. The study pays attention to systemic imperfections in innovation policy system, leading to the following list of system imperfections in the newly configured framework:a) goal failures resulting from goals' design fault or its execution fault, b) institutional failures because of design fault or execution fault of rules and regulations, c) interaction failures, as a result of strong or weak network. The latter studies also imply that the restricting factors leading to system failure are as follows:interest contradiction in policy operation, ubiquity of isolated information resources, defects of management system of industry.
Finally, the paper demonstrates the connotation and features of function coupling of innovation policy on the basis of an analysis on the experience of operational mechanism of foreign innovation policy. On the basis of the analysis from perspective of fundamental principles of Synergetics, this paper put forward a synergetic operation model of policy to realize function coupling of innovation policy, and analyzes its operational mechanism. Furthermore, a model of synergetic operational mechanism of innovation policy of Chinese automotive industry is constructed in this paper based on the theoretical feasibility as well as on related problems in practice. There are three core mechanisms in this model which can meet the condition of synergy. According to the model, the study put forward some corresponding measures for operational mechanism improvement of innovation policy of Chinese automotive industry. These are measures of great relevance to applications.
引文
①数据来源：我国汽车行业先进技术专利布局,国家知识产权局网站,http://www.sipo.gov.cn/sipo/zlan/zlfxb/200709/t20070913_200534.htm,2007-9-13.
②参见：金融危机撼动汽车格局：谁是中国未来的丰田?http://auto.ifeng.com/focus/hottopic/20090803/75328.shtml,2009-8-3。
①参见：中国汽车技术研究中心.2000年中国汽车工业年鉴.天津：中国汽车工业年鉴期刊社,2000.5.
①参见：中国汽车技术研究中心.1999年中国汽车工业年鉴.天津：中国汽车工业年鉴期刊社,1999.405.
①参见：程远.自主是汽车业提高开放水平根本.经济日报(北京),2004年4月16日,13版。
①参见：工信部修订《汽车产业发展政策》的背景,http://info.qipei.hc360.com/2009/02/231711116099.shtml,2009-10-21。
①参见：专利法第一次修改的说明,国家知识产权局网站,http://www.sipo.gov.cn/sipo2008/zxft/zlfdscxg/bjzl/200804/t20080419_383843.html,2008-04-19.
①参见：专利法的制定和前两次修改,国家知识产权局网站,http://www.sipo.gov.cn/sipo2008/zxft/zlfxg/bjzl/200903/t20090312_444621.html,2009-03-12.
①参见滕伯乐：还原”市场换技术”本来面目,http://auto.gasgoo.com/News/2008/09/24080749749.shtml,2009-06-15。
①参见：日本主要企业研发经费连续8年上升.新华网,http://news.xinhuanet.com/2007-07/27/content_6440304.htm,2007-07-27。
①参见：中国汽车工业：18年交了一张创新“白卷”——对大型汽车企业研发现状的调查,人民网,http://www.people.com.cn/GB/qiche/1050/2420990.html,2010-10-12。
①参见李安定：自足创新是中国汽车业发展的内核,凤凰汽车网,http://auto.ifeng.com/news/special/09swzjpx/20100423/280905.shtml,2010-04-23。
②最高人民法院民三庭于2002年启动了关于专利侵权判定基准的司法解释起草工作,于2003年7月形成了《最高人民法院关于审理专利侵权纠纷案件若干问题的规定(征求意见稿)》,并通过互联网向社会公开征求意见。2003年10月,形成《最高人民法院关于审理专利侵权纠纷案件若干问题的规定(会议讨论稿)》,在同年召开的全国法院专利审判工作座谈会上进行了更为广泛深入的讨论。
③参见《审查指南公报(第1号)》三、(四)4。
①本案由北京第一中级人民法院于2005年10月25目受理,2006年3月27日做出一审判决。参见北京市第一中级人民法院行政判决书,一中行初字(2005)第1086号。
②参见“1993版审查指南”第一部分第3章第5.4条。
③参见“2001版审查指南”第四部分第5章的6.7条。
①参见《审查指南公报(第1号)》三、(四)6。
②参见《审查指南修订导读(2006)》,北京：知识产权出版社,2006年,第290-294页。
③本案初审由北京市第二中级人民法院于2007年8月16日受理,2007年12月19日做出一审判决,终审由北京市高级人民法院于2008年3月5日受理,2008年5月21日做出终审判决。参见北京市第二中级人民法院民事判决书,二中民初字(2007)第13320号；北京市高级人民法院民事判决书,高民终字(2008)第307号。
①参见：中国汽车产业的崛起,http://zclnmnlcz.blog.sohu.com/84696022.html,2010-05-18。
①参见：两部规划撞车,发改委工信部“暗战”新能源汽车,中国新能源网,http://www.newenergy.org.cn/html/0107/771033643_1.html,2010-09-21。
①参见《可持续发展科技纲要(2001-2010)》三、(一)、(6)：深化科技体制改革,建立可持续发展创新体系。
①参见Intellectual Property Strategic Program 2006, http://sciencelinks.jp/component/option,com_sljlinks/Itemid,226/task,clist/catid,106/> 2008-10-12.
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②参见：金融危机撼动汽车格局：谁是中国未来的丰田?http://auto.ifeng.com/focus/hottopic/20090803/75328.shtml,2009-8-3。
①参见：中国汽车技术研究中心.2000年中国汽车工业年鉴.天津：中国汽车工业年鉴期刊社,2000.5.
①参见：中国汽车技术研究中心.1999年中国汽车工业年鉴.天津：中国汽车工业年鉴期刊社,1999.405.
①参见：程远.自主是汽车业提高开放水平根本.经济日报(北京),2004年4月16日,13版。
①参见：工信部修订《汽车产业发展政策》的背景,http://info.qipei.hc360.com/2009/02/231711116099.shtml,2009-10-21。
①参见：专利法第一次修改的说明,国家知识产权局网站,http://www.sipo.gov.cn/sipo2008/zxft/zlfdscxg/bjzl/200804/t20080419_383843.html,2008-04-19.
①参见：专利法的制定和前两次修改,国家知识产权局网站,http://www.sipo.gov.cn/sipo2008/zxft/zlfxg/bjzl/200903/t20090312_444621.html,2009-03-12.
①参见滕伯乐：还原”市场换技术”本来面目,http://auto.gasgoo.com/News/2008/09/24080749749.shtml,2009-06-15。
①参见：日本主要企业研发经费连续8年上升.新华网,http://news.xinhuanet.com/2007-07/27/content_6440304.htm,2007-07-27。
①参见：中国汽车工业：18年交了一张创新“白卷”——对大型汽车企业研发现状的调查,人民网,http://www.people.com.cn/GB/qiche/1050/2420990.html,2010-10-12。
①参见李安定：自足创新是中国汽车业发展的内核,凤凰汽车网,http://auto.ifeng.com/news/special/09swzjpx/20100423/280905.shtml,2010-04-23。
②最高人民法院民三庭于2002年启动了关于专利侵权判定基准的司法解释起草工作,于2003年7月形成了《最高人民法院关于审理专利侵权纠纷案件若干问题的规定(征求意见稿)》,并通过互联网向社会公开征求意见。2003年10月,形成《最高人民法院关于审理专利侵权纠纷案件若干问题的规定(会议讨论稿)》,在同年召开的全国法院专利审判工作座谈会上进行了更为广泛深入的讨论。
③参见《审查指南公报(第1号)》三、(四)4。
①本案由北京第一中级人民法院于2005年10月25目受理,2006年3月27日做出一审判决。参见北京市第一中级人民法院行政判决书,一中行初字(2005)第1086号。
②参见“1993版审查指南”第一部分第3章第5.4条。
③参见“2001版审查指南”第四部分第5章的6.7条。
①参见《审查指南公报(第1号)》三、(四)6。
②参见《审查指南修订导读(2006)》,北京：知识产权出版社,2006年,第290-294页。
③本案初审由北京市第二中级人民法院于2007年8月16日受理,2007年12月19日做出一审判决,终审由北京市高级人民法院于2008年3月5日受理,2008年5月21日做出终审判决。参见北京市第二中级人民法院民事判决书,二中民初字(2007)第13320号；北京市高级人民法院民事判决书,高民终字(2008)第307号。
①参见：中国汽车产业的崛起,http://zclnmnlcz.blog.sohu.com/84696022.html,2010-05-18。
①参见：两部规划撞车,发改委工信部“暗战”新能源汽车,中国新能源网,http://www.newenergy.org.cn/html/0107/771033643_1.html,2010-09-21。
①参见《可持续发展科技纲要(2001-2010)》三、(一)、(6)：深化科技体制改革,建立可持续发展创新体系。
①参见Intellectual Property Strategic Program 2006, http://sciencelinks.jp/component/option,com_sljlinks/Itemid,226/task,clist/catid,106/> 2008-10-12.
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