赶超型创新政策组合与配称研究
耿红军1,2，王昶2，张翠虹2，姚海琳2
（1.深圳市科技创新战略研究和技术转移促进中心，广东 深圳 518000；
2.中南大学 商学院，湖南 长沙410083）
摘要：赶超型创新政策是任务导向型创新政策在后发国家的情境化应用，能够为我国破解关键核心技术“卡脖子”难题提供新型政策方案，但现有文献尚未对赶超型创新政策组合与配称展开全面研究。本文基于系统失灵理论，对我国新能源汽车产业与风电产业赶超型创新政策进行扎根理论分析。研究发现，赶超型创新政策组合是由政策意图、政策行动与政策保障组成的有机整体。政策意图指引政策行动的方向；政策行动是实现政策意图的主要举措，包括主体培育、载体建设、能力建设与市场创建等政策工具，政策保障为政策行动提供条件支撑，包括制度保障、要素保障与组织保障等政策工具。政策配称一方面是“弯道超车”“换道超车”等赶超政策意图与政策行动、政策保障形成相互配称的过程；另一方面是政策工具组合与进入期、追赶期与跨越期等赶超阶段形成配称，发挥政策激励机制、倒逼机制与竞争机制，赋能企业技术能力跃迁的过程。
主要研究结论：本文运用系统失灵理论，对我国新能源汽车产业与风电产业进行了扎根理论分析，探索了赶超型创新政策的组合与配称问题，研究发现：
（1）赶超型创新政策组合是由“政策意图—政策行动—政策保障”组成的政策体系。其中，政策意图指引政策行动的方向；政策行动是实现政策意图的主要举措，包括主体培育、载体建设、能力建设与市场创建等政策工具，政策保障为政策行动提供条件支撑，包括制度保障、要素保障与组织保障。
（2）赶超政策意图可分为“弯道超车”与“换道超车”两种类型，需要不同的政策工具组合与之配称。其中，与“弯道超车”政策意图相配称的政策工具组合重点在于完善现有技术轨道上的技术创新系统功能与结构，促进国内技术对国外技术的替代；与“换道超车”型政策意图相配称的政策工具组合重点在于重塑新兴技术轨道上的技术创新系统功能与结构，促进新兴技术对传统技术的替代。
（3）不同的赶超阶段需要与之配称的政策工具组合，进而形成不同的政策作用机制来促进技术能力不断跃迁。在赶超进入期，主体培育型政策、载体建设型政策与能力建设型政策等政策工具组合可以化解基础设施失灵与交互失灵，形成政策激励机制，提升生产与制造能力；在追赶期，市场创建型政策、制度保障等政策工具组合可以化解能力失灵，形成政策倒逼机制，提升部件创新能力；在跨越期，市场创建型政策与制度保障型政策工具的重塑与调整，可以化解制度失灵，形成竞争机制，提升架构创新能力。
Research on the fitting and combination of catch-up oriented innovation policies
Geng Hongjun1,2, Wang Chang2, Zhang Cuihong2, Yao Hailin2
(1. Shenzhen Science and Technological innovation Strategy Research and Technology Transfer Promotion Center, Shenzhen 518000, Guangdong, China;
2. School of Business, Central South University, Changsha 410083, Hunan, China)
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
引用本文：耿红军,王昶,张翠虹等.赶超型创新政策组合与配称研究[J].科研管理,2023,44(09):71-79.
转自：“科研管理”微信公众号
如有侵权，请联系本站删除！
