系统论视角下的我国国家创新体系战略群演进研究
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摘要
改革开放三十多年以来,我国抓住了经济全球化的历史性机遇,经济水平持续飞速发展,完成了从贫穷落后到世界第二经济体的“奇迹”。这种奇迹的发生离不开诸多领域的改革和创新。社会发展的经验告诉我们：社会发展的根本出路在创新。因此,党中央、国务院也多次提到要提高自主创新能力,把我国建设成为创新型国家。当前,我国已进入必须更多依靠科技进步和创新推动经济发展的关键历史阶段。
但是,随着经济的进一步的发展,科技与经济脱节,创新机制和体系还不够健全,科技资源配置效率不高,企业的创新动力不足等问题逐渐显现,因此,如何让创新成为我国社会各个领域和环节的持续发展动力迫在眉睫。此时,我国国家创新体系的提出为解决上述问题奠定了坚实的理论基础。为此,“十二五”规划也明确提出了我国科技发展的总体目标：基本建成功能明确、结构合理、良性互动、运行高效的国家创新体系。
本研究在广泛借鉴世界各国国家创新体系发展经验和深刻认识我国特殊国情的基础上,围绕以自主创新战略群理论为核心,对我国国家创新体系模型进行了探索性的理论构建,并依托于这一理论构建,运用系统论的定性研究视角和时间序列分析的定量研究方法对新理论进行了分析和检验,并将最终的研究结果,形成对我国国家创新体系发展的理论思考和政策建议。
本研究论文的主要内容共分为六章,各章的主要内容及研究意义如下：
第一章首先简要介绍了本文的研究背景、开展国家创新体系研究的意义,然后将本研究研究思路的形成过程和在这一过程中所遇到的研究对象按照思维的逻辑展示出来,最后着重说明了本文的研究方法及采用相关研究方法的原因,并对本研究的主要创新点进行了凝练和总结。
第二章对国家创新体系理论的产生和发展过程进行了理论综述和文献回顾。对国家创新体系这一复杂系统的研究,不同的时代有着各不相同的典型特征。国家创新体系的理论核心逐步从最初的“官产学模式”到“要素集聚模式”再到发展为以国家为主体的“公共创新体系”模式。对国家创新体系理论发展阶段性特征的总结与分析,为研究我国创新型国家的建设历程提供了良好的参照。
第三章在第二章理论研究的基础上,基于历史继承的立场和我国以大战略为政策依托的特殊国情,提出了本研究最为核心的理论基础——以自主创新战略群为核心的我国国家创新体系模式。自主创新战略群理论把我国的科教兴国战略、知识产权战略、中长期科技发展战略等纳入到自主创新战略体系中来,结合自主创新中对人才、科技、制度、文化、市场等关键要素的要求,构建了以自主创新战略群为核心的我国国家创新体系的新模型。
第四章选择以系统科学学的研究方法,对新构建的自主创新战略群模型进行尽可能全面、系统的分析。在以系统论的视角对我国国家创新体系研究中,围绕形成系统演进动力的主要内部机制,本章对我国自主创新战略群模型中各要素间的作用关系进行了逻辑上的推导,并以如何形成其系统内部自发的自组织机制和自耦合机制为要求,对如何激发我国国家创新体系的系统性、寻找系统中最短板提供了相关的政策建议。
第五章重点对本研究之前几章所提出的理论模型及分析思路进行基于时间序列的实证分析。研究中,分别选取自主创新战略群系统中可度量的系统动力学吸引子：
C,：教育促进人才的发展,采用自1985-2010年全国教育经费投入指标与普通高等学校毕业生数进行协整分析与格兰杰因果关系检验
C2：人才促进科技水平的发展,采用1985-2010普通高等学校毕业生数与获得的专利授权数量进行协整分析与格兰杰因果关系检验
C3：科技水平促进自主创新能力的发展,由于统计数据所限,采用1992-2010获得的专利授权数量与高科技产品出口总额进行协整分析与格兰杰因果关系检验。
通过对研究结果的分析,检验以自主创新战略群为核心的我国国家创新体系理论模型的说服力,分析我国国家创新体系未来发展亟需解决的薄弱环节,以此结论为提出对我国国家创新体系政策建议的基本依据。
第六章对本文的研究工作进行了总结,本研究在追求整个研究的创新性时,不可避免的会在理论构建、分析视角、实证检验等多个环节出现较多的不足。本章主要慎重反思本文工作中存在的不足之处和有待于进一步完善的研究工作,同时也为沿着这一思路的进一步研究提出较为可行的方案。
本研究中的创新之处,主要体现在以下几个方面：
1.研究视角上的创新
在国家创新体系的研究视角上,目前国内外主要的研究都基本上可以归纳为如下三类：第一类是探讨官产学研等机构间知识流动、相互影响和促进的功能组合学派；第二类是以将教育、科技、知识产权、税收、企业集群、公共创新政策等等要素视为研究一国国家创新体系的重要载体的创新要素视角学派；第三类是基于创新要素和创新能力评价的国家间比较理论学派。
而本文的研究则力图以一种更加新颖的视角尝试对具有我国特色的国家创新体系进行研究,从而对国家创新体系的研究以历史继承的视角探讨中国创新体系演进问题,以有利于深入理解中国经济转轨时期的特有问题,有利于对国家创新体系内在运行机制的探讨,有利于丰富研究国家创新体系的基础理论。
2.理论构建上的创新
本文在对我国国家创新体系的理论架构上,在国内创造性的首先提出了以“自主创新战略群”模型为载体和表现形式的国家创新体系理论。新的理论构建综合考虑了自主创新战略实施的系统性、协调性和滞后性等特点,并能够较为准确的反应我国国家创新体系的一些符合我国经济社会发展历程和发展现状的独特国情,为进一步深化对国家创新体系的理解,提供了新的理论思考。
3.研究方法上的创新
本研究选择系统论的研究方法和国家创新体系中表征性的可度量指标间的时间序列研究方法,是在视角创新和理论创新下的必然选择。正是由于本研究希望以更加全面、系统、整体性的视角去研究我国的国家创新体系,所以在研究方法上选择以系统科学和时间序列分析的基本研究方法去认识和分析我国的国家创新体系,而这些方法的运用也为进一步对理论创新进行完善提供了可能。
Over more than thirty years since the reform and opening up, China seized the historical opportunity of economic globalization to promote economy rapid development, and created a miracle from the privation to NO.2This change are mainly due to the reform and innovation in many fields. The ultimate way to promote society forward is innovation. The State Council stressed many times to build our country toward an independent innovation country. At present, China has entered new era to rely more on scientific and technological progress and innovation to promote economic development.
However, with the development of economic, the problems, such as separation between science and technology and the economy, low efficiency on allocation efficiency of science&technology resources, uncompleted innovation mechanism and system and so on, display gradually. One important way to solve these problems is to establish a sound National Innovation System. For this reason, China has also come up with the main target of technological development:building an national innovation system with definite function, reasonable structure, beneficial interactions and moving smoothly.
Based on the experiences of developed countries and the special conditions of China, this article rebuilds the theory of National Innovation System from the perspective of independent innovation stratagem cluster. This theory will be tested by the system theory (qualitative research) and time series analysis (quantitative research) in the article and the result will be concluded as the theory reference and policy suggestions.
This article is divided into six chapters and the main content of these chapters are as follows:
The first chapter introduces the background and significance of the theory of National Innovation System. The research methods and its reason are also described, followed by summarizing the main innovation points of thesis.
In Chapter2, it reviews the basic theory of National Innovation System and literature review. By studying the system of National Innovation System, it shows that there are different typical characters in different times and the theory core of also is developed from the Government-Industry-University Mode, Elements Assembling Mode to Public Innovation System Mode. It provides a good reference for building the innovative country to analyze and summarize the history of National Innovation System
The chapter3, according to the historical inheritance position, put forward the core theoretical basis of the article——National Innovation System focusing on the independent innovation stratagem cluster which brings the strategy of rejuvenating the country through science and education,intellectual property strategy, mid-term and long-term programs of S&T development into the independent innovation strategy system. Combined with the independent innovation requirement for key elements like talent, science and technology, culture, market and the like, the article builds the new model of National Innovation System which focusing on the independent innovation stratagem cluster.
In chapter4, the new model is studied by the method of system theory. During the study, the article comes up with the self organization mechanism and self coupling mechanism that are the power of system moving forward. This chapter gives an overview of interaction mechanism between the key elements and some advice on how to stimulate systematic of the innovation system.
The fifth chapter gives an empirical analysis on provided theory based on time series analysis and three system dynamics factors are chosen from independent innovation stratagem cluster of system metric system dynamics factors:
C1:Education promoting the development of talent:analyzing the relationship between the national education funds index and the number of graduates from universities and colleges during1985-2010by co-integration analysis and granger causality test.
C2:Talent promoting the development of science and technology:analyzing the relationship between the number of graduates from universities and the number of obtaining patent license during1985-2010by co-integration analysis and granger causality test.
C3:The development of science and technology promoting the development of the independent innovation ability:analyzing the relationship between the number of obtaining patent license and the value of our exports of high-tech products during1992-2010by co-integration analysis and granger causality test.
This analysis is used to prove the validity of the theory and to find out the weakness of development of National Innovation System, which can be regarded as the basic foundation for providing the policy advice.
The sixth chapter is the conclusion of the article. Although there are some innovations in the article, some inevitable defects also exist in the theory integrity, analytic perspective, empirical examining of article and so on. At last, the article provides some feasible advice for the future research work.
The innovations of the article are as follows:
1. The innovation of analytic perspective
There are three ways of researching National Innovation System among the domestic and foreign scholars in the past:The first way is discussing knowledge flow and interaction between the government, industry and university; the second way is focusing on the elements of innovation like education, IP, tax, policy and so on, which are the important carrier for National Innovation System; The third ways is comparing the innovation ability and elements among counties.
However, the article discusses the theory National Innovation System with a new perspective of historical inheritance, which is useful to enrich the foundation of National Innovation System theory.
2. The innovation of theory construction
The article interprets the National Innovation System theory by using the model of independent innovation stratagem cluster for the first time. The new theory takes the systemic, harmony and lagging into consideration when implementing innovation strategy. It can also reflect the unique circumstance of China, which can be seen as the reference to National Innovation System theory.
3. The innovation of research methods
The article chooses the methods of system methodology and time series methodology which are the inevitable choice in light of the innovation of analytic perspective and theory construction. These methods also increase the possibility of perfecting the theory of National Innovation System.
但是,随着经济的进一步的发展,科技与经济脱节,创新机制和体系还不够健全,科技资源配置效率不高,企业的创新动力不足等问题逐渐显现,因此,如何让创新成为我国社会各个领域和环节的持续发展动力迫在眉睫。此时,我国国家创新体系的提出为解决上述问题奠定了坚实的理论基础。为此,“十二五”规划也明确提出了我国科技发展的总体目标：基本建成功能明确、结构合理、良性互动、运行高效的国家创新体系。
本研究在广泛借鉴世界各国国家创新体系发展经验和深刻认识我国特殊国情的基础上,围绕以自主创新战略群理论为核心,对我国国家创新体系模型进行了探索性的理论构建,并依托于这一理论构建,运用系统论的定性研究视角和时间序列分析的定量研究方法对新理论进行了分析和检验,并将最终的研究结果,形成对我国国家创新体系发展的理论思考和政策建议。
本研究论文的主要内容共分为六章,各章的主要内容及研究意义如下：
第一章首先简要介绍了本文的研究背景、开展国家创新体系研究的意义,然后将本研究研究思路的形成过程和在这一过程中所遇到的研究对象按照思维的逻辑展示出来,最后着重说明了本文的研究方法及采用相关研究方法的原因,并对本研究的主要创新点进行了凝练和总结。
第二章对国家创新体系理论的产生和发展过程进行了理论综述和文献回顾。对国家创新体系这一复杂系统的研究,不同的时代有着各不相同的典型特征。国家创新体系的理论核心逐步从最初的“官产学模式”到“要素集聚模式”再到发展为以国家为主体的“公共创新体系”模式。对国家创新体系理论发展阶段性特征的总结与分析,为研究我国创新型国家的建设历程提供了良好的参照。
第三章在第二章理论研究的基础上,基于历史继承的立场和我国以大战略为政策依托的特殊国情,提出了本研究最为核心的理论基础——以自主创新战略群为核心的我国国家创新体系模式。自主创新战略群理论把我国的科教兴国战略、知识产权战略、中长期科技发展战略等纳入到自主创新战略体系中来,结合自主创新中对人才、科技、制度、文化、市场等关键要素的要求,构建了以自主创新战略群为核心的我国国家创新体系的新模型。
第四章选择以系统科学学的研究方法,对新构建的自主创新战略群模型进行尽可能全面、系统的分析。在以系统论的视角对我国国家创新体系研究中,围绕形成系统演进动力的主要内部机制,本章对我国自主创新战略群模型中各要素间的作用关系进行了逻辑上的推导,并以如何形成其系统内部自发的自组织机制和自耦合机制为要求,对如何激发我国国家创新体系的系统性、寻找系统中最短板提供了相关的政策建议。
第五章重点对本研究之前几章所提出的理论模型及分析思路进行基于时间序列的实证分析。研究中,分别选取自主创新战略群系统中可度量的系统动力学吸引子：
C,：教育促进人才的发展,采用自1985-2010年全国教育经费投入指标与普通高等学校毕业生数进行协整分析与格兰杰因果关系检验
C2：人才促进科技水平的发展,采用1985-2010普通高等学校毕业生数与获得的专利授权数量进行协整分析与格兰杰因果关系检验
C3：科技水平促进自主创新能力的发展,由于统计数据所限,采用1992-2010获得的专利授权数量与高科技产品出口总额进行协整分析与格兰杰因果关系检验。
通过对研究结果的分析,检验以自主创新战略群为核心的我国国家创新体系理论模型的说服力,分析我国国家创新体系未来发展亟需解决的薄弱环节,以此结论为提出对我国国家创新体系政策建议的基本依据。
第六章对本文的研究工作进行了总结,本研究在追求整个研究的创新性时,不可避免的会在理论构建、分析视角、实证检验等多个环节出现较多的不足。本章主要慎重反思本文工作中存在的不足之处和有待于进一步完善的研究工作,同时也为沿着这一思路的进一步研究提出较为可行的方案。
本研究中的创新之处,主要体现在以下几个方面：
1.研究视角上的创新
在国家创新体系的研究视角上,目前国内外主要的研究都基本上可以归纳为如下三类：第一类是探讨官产学研等机构间知识流动、相互影响和促进的功能组合学派；第二类是以将教育、科技、知识产权、税收、企业集群、公共创新政策等等要素视为研究一国国家创新体系的重要载体的创新要素视角学派；第三类是基于创新要素和创新能力评价的国家间比较理论学派。
而本文的研究则力图以一种更加新颖的视角尝试对具有我国特色的国家创新体系进行研究,从而对国家创新体系的研究以历史继承的视角探讨中国创新体系演进问题,以有利于深入理解中国经济转轨时期的特有问题,有利于对国家创新体系内在运行机制的探讨,有利于丰富研究国家创新体系的基础理论。
2.理论构建上的创新
本文在对我国国家创新体系的理论架构上,在国内创造性的首先提出了以“自主创新战略群”模型为载体和表现形式的国家创新体系理论。新的理论构建综合考虑了自主创新战略实施的系统性、协调性和滞后性等特点,并能够较为准确的反应我国国家创新体系的一些符合我国经济社会发展历程和发展现状的独特国情,为进一步深化对国家创新体系的理解,提供了新的理论思考。
3.研究方法上的创新
本研究选择系统论的研究方法和国家创新体系中表征性的可度量指标间的时间序列研究方法,是在视角创新和理论创新下的必然选择。正是由于本研究希望以更加全面、系统、整体性的视角去研究我国的国家创新体系,所以在研究方法上选择以系统科学和时间序列分析的基本研究方法去认识和分析我国的国家创新体系,而这些方法的运用也为进一步对理论创新进行完善提供了可能。
Over more than thirty years since the reform and opening up, China seized the historical opportunity of economic globalization to promote economy rapid development, and created a miracle from the privation to NO.2This change are mainly due to the reform and innovation in many fields. The ultimate way to promote society forward is innovation. The State Council stressed many times to build our country toward an independent innovation country. At present, China has entered new era to rely more on scientific and technological progress and innovation to promote economic development.
However, with the development of economic, the problems, such as separation between science and technology and the economy, low efficiency on allocation efficiency of science&technology resources, uncompleted innovation mechanism and system and so on, display gradually. One important way to solve these problems is to establish a sound National Innovation System. For this reason, China has also come up with the main target of technological development:building an national innovation system with definite function, reasonable structure, beneficial interactions and moving smoothly.
Based on the experiences of developed countries and the special conditions of China, this article rebuilds the theory of National Innovation System from the perspective of independent innovation stratagem cluster. This theory will be tested by the system theory (qualitative research) and time series analysis (quantitative research) in the article and the result will be concluded as the theory reference and policy suggestions.
This article is divided into six chapters and the main content of these chapters are as follows:
The first chapter introduces the background and significance of the theory of National Innovation System. The research methods and its reason are also described, followed by summarizing the main innovation points of thesis.
In Chapter2, it reviews the basic theory of National Innovation System and literature review. By studying the system of National Innovation System, it shows that there are different typical characters in different times and the theory core of also is developed from the Government-Industry-University Mode, Elements Assembling Mode to Public Innovation System Mode. It provides a good reference for building the innovative country to analyze and summarize the history of National Innovation System
The chapter3, according to the historical inheritance position, put forward the core theoretical basis of the article——National Innovation System focusing on the independent innovation stratagem cluster which brings the strategy of rejuvenating the country through science and education,intellectual property strategy, mid-term and long-term programs of S&T development into the independent innovation strategy system. Combined with the independent innovation requirement for key elements like talent, science and technology, culture, market and the like, the article builds the new model of National Innovation System which focusing on the independent innovation stratagem cluster.
In chapter4, the new model is studied by the method of system theory. During the study, the article comes up with the self organization mechanism and self coupling mechanism that are the power of system moving forward. This chapter gives an overview of interaction mechanism between the key elements and some advice on how to stimulate systematic of the innovation system.
The fifth chapter gives an empirical analysis on provided theory based on time series analysis and three system dynamics factors are chosen from independent innovation stratagem cluster of system metric system dynamics factors:
C1:Education promoting the development of talent:analyzing the relationship between the national education funds index and the number of graduates from universities and colleges during1985-2010by co-integration analysis and granger causality test.
C2:Talent promoting the development of science and technology:analyzing the relationship between the number of graduates from universities and the number of obtaining patent license during1985-2010by co-integration analysis and granger causality test.
C3:The development of science and technology promoting the development of the independent innovation ability:analyzing the relationship between the number of obtaining patent license and the value of our exports of high-tech products during1992-2010by co-integration analysis and granger causality test.
This analysis is used to prove the validity of the theory and to find out the weakness of development of National Innovation System, which can be regarded as the basic foundation for providing the policy advice.
The sixth chapter is the conclusion of the article. Although there are some innovations in the article, some inevitable defects also exist in the theory integrity, analytic perspective, empirical examining of article and so on. At last, the article provides some feasible advice for the future research work.
The innovations of the article are as follows:
1. The innovation of analytic perspective
There are three ways of researching National Innovation System among the domestic and foreign scholars in the past:The first way is discussing knowledge flow and interaction between the government, industry and university; the second way is focusing on the elements of innovation like education, IP, tax, policy and so on, which are the important carrier for National Innovation System; The third ways is comparing the innovation ability and elements among counties.
However, the article discusses the theory National Innovation System with a new perspective of historical inheritance, which is useful to enrich the foundation of National Innovation System theory.
2. The innovation of theory construction
The article interprets the National Innovation System theory by using the model of independent innovation stratagem cluster for the first time. The new theory takes the systemic, harmony and lagging into consideration when implementing innovation strategy. It can also reflect the unique circumstance of China, which can be seen as the reference to National Innovation System theory.
3. The innovation of research methods
The article chooses the methods of system methodology and time series methodology which are the inevitable choice in light of the innovation of analytic perspective and theory construction. These methods also increase the possibility of perfecting the theory of National Innovation System.
引文
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K Motohashi, X Yun.2007.China's Innovation System Reform and Growing Industry and Science Linkages[J].Research Policy,36:1251-1260.
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Mei-Chih Hu, John A. Mathews.2008. China's national innovative capacity[J]. Research Policy,37:1465-1479.
Mei-Chih Hu, John A. Mathews.2005. National innovative capacity variable into principal components. Journal of Educational Psychology,9:146-162.
Naubahar Sharif.2006. Emergence and development of the National Innovation Systems Concept [J]. Research Policy,35:745-766.
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陈劲.1999.技术创新的系统观与系统框架[J].管理科学学报,3：45-49.
陈劲,柳卸林.2008.自主创新与国家强盛[M].北京：科学出版社.
陈忠,盛毅华.2005.现代系统科学学[M].上海：上海科学技术文献出版社.
陈岑.2010.中国国家创新系统的效率评价与机制改进研究[D].武汉大学.
董洁林.2011.复杂系统理论在创新研究中的应用——兼谈复杂理论视角下创新的起源、结构和演化[J].上海理工大学学报,33：473-479.
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冯之浚,罗伟.1999.国家创新系统的理论与政策文献汇编[M].北京：群言出版社.
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国务院发展研究中心.2006.我国创新体系的特点分析[J].调查研究报告,267：1-15.
官建成,余进.2005.基于DEA的国家创新能力分析[J].研究与发展管理,6：8-15.
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