新形势下创新产品政府采购国际规则及对策研究

政府采购创新产品是各国激发企业创新活力的有效方式。全面梳理新时期背景下政府采购国际规则，系统分析我国早期政府采购创新产品政策的受限机理，并结合国际政府采购本国创新产品经验，提出我国要进一步规范创新产品政府采购政策、大力推广首购等创新产品政府采购方式、加大对发达国家政府采购创新产品经验的研究、研究制定基于创新过程的创新产品激励政策等对策建议。     

Public procurement and innovation—Resurrecting the demand side

Demand is a major potential source of innovation, yet the critical role of demand as a key driver of innovation has still to be recognised in government policy. This article discusses public procurement as one of the key elements of a demand-oriented innovation policy. The paper starts by signaling the new significance of public procurement for innovation policy strategies at the EU level and in a range of European countries. It then defines the concept of public procurement and embeds this concept within a taxonomy of innovation policies. The rationales and justifications of public procurement policies to spur innovation are discussed, followed by a consideration of the challenges and potential pitfalls as well as appropriate institutional arrangements and strategies, including some recent empirical examples of good practice. It concludes by confronting the public procurement approach with two of the most common objections to it and by considering future prospects.     

The local government market as a stimulus to industrial innovation

Supply and demand conditions that affect technological change in four functional areas of local government service delivery are described and analyzed. A consistent picture of small, fragmented markets, ‘lumpy’ demand, or uncertain markets is found, with demand shaped by a heterogeneous body of local procurement traditions and practices, low municipal technical capabilities, and risk-averse behavior by city officials and engineering consultants. Industries involved share a number of characteristics that bode poorly for industrial investment in innovation: low profit margins and uncertain financial futures. Firms that have the resources to invest in R&D do not tend to focus exclusively on municipal markets. The findings suggest that public policies directed toward improving the municipal market for innovative products by strengthening the cities' technological infrastructure will be more effective than policies directed toward the supply side such as increased R&D support.     

Foresight for public procurement and regional innovation policy: The case of Lombardy

Public procurement can be a major source of innovation. The potential benefits of public procurement might be fully exploited through the acquisition not only of appliances which are already available in the market, but also of new appliances which are tailored to the specific needs of the local community and might be exported as well to the international markets. In this way, public procurement might allow to improve the services delivered to the local community and to increase the technological competitiveness of the local industrial and research system. In this context, regional foresight might help identify both long-term societal needs and the patterns of evolution of emerging technologies that can match these needs. The purpose of this paper is to illustrate, trough the recent experience of the regional government of Lombardy, the role of foresight for enhancing public procurement and innovation policy at the regional level.     

Profiting from innovation and the intellectual property revolution

This paper reviews the contribution of Teece's article [Teece, D., 1986. Profiting from technological innovation: implications for integration, collaboration, licensing and public policy. Research Policy 15, 285-305.]. It then re-examines the core concept of appropriability in the light of recent developments in the business environment. Whereas twenty years ago the appropriability regime of an industry was exogenous and given, today they are often the product of conscious strategies of firms. And as open source software and other industries show, advantageous appropriability regimes are not always “tight” or characterized by strong intellectual property protections. The strategies adopted by firms that have successfully profited from their innovative activities cast into new light old questions about the impact of intellectual property protection on the rate and direction of innovation.     

A time to nourish? Evaluating the impact of public procurement on technological generality through patent data

Innovative public procurement is increasingly considered as a form of public support for private innovation activities by both innovation scholars and policymakers. Economic historians have suggested an even more fundamental role of public procurement in setting the pace of technological change, reporting how defense-related procurement has had a major impact on the emergence and diffusion of many general purpose technologies developed in the United States in the 20th century. In this paper, I suggest that procurement might represent one of the most important elements in creating the right soil to ‘cultivate’ a technology that may have the potential to reach high levels of pervasiveness. To test this hypothesis, I make use of patent data and patent citations. I design a quasi-experiment to compare the changes in the level of generality level over time, between a group of treated and a group of control patents. A patent is assigned to the treatment group if it receives a citation from a patent related to public procurement. Results suggest a positive and significant impact of innovative public procurement on the generality of a patent.     

Measuring the success of the Greek Taxation Information System

The transformation of many governments all around the world into new forms, namely, electronic government (e-Government), could not leave the Greek government unaffected. Therefore, it initiated an e-Government project related to national information systems and finance services, the Greek Taxation Information System (TAXIS). The purpose of this paper is to investigate the success of TAXIS from the perspective of expert employees, who work in public taxation agencies. This topic is interesting, because TAXIS is applied in a tax-driven country, under a mandatory setting. Also, it is the first time that the success of this project is examined, from the perspective of employees, using IS success models. The study adapts DeLone and McLean [DeLone, W. H., & McLean, E. R. (2003). The DeLone and McLean model of information systems success: A ten year update. Journal of Management Information Systems, 19(4), 9–30] and Seddon's [Seddon, P. B. (1997). A respecification and extension of the DeLone and McLean model of IS success. Information Systems Research, 8(3) 240–253] information systems success models. The model developed includes the constructs of information, system and service quality, perceived usefulness and user satisfaction. The results provide evidence that there are strong connections between the five success constructs. All hypothesized relationships are supported, except for the relationship between system quality and user satisfaction. The empirical evidence and discussion presented can help the Greek Government improve and fully exploit the potential of TAXIS as an innovative tool for taxation purposes.     

公立医院知识创新的社会网络分析——以广东省卫生厅某直属医院重点科室为例

以广东省卫生厅某直属医院重点科室作为研究对象,通过问卷调查,分析该科室团队的社会网络结构、社会网络关系强度及知识创新强度.发现该团队知识创新的社会网络结构较松散,连接线多处于个人网络内部;网络中存在一定数量的程度中心性和中介中心性高的节点;年龄和学历均为社会网络关系强度和知识创新程度的影响因素;社会网络结构与社会网络关系、知识创新呈显著正相关,社会网络关系与知识创新呈显著正相关.旨在为探讨公立医院知识创新社会网络结构特征提供范例,进而为公立医院增强知识创新和科技创新能力提供借鉴.     

国外政府采购激励创新的政策研究及启示

本研究旨在为应对当前国外政府对中国自主创新产品采购的指责和非议提供谈判的依据;同时也为中国政府采购自主创新产品提供更系统、深入的认识与借鉴.首先探讨了中国政府采购自主创新产品遭受非议的问题与原因;并重点从购买本国产品、倾向性保护中小企业、培育高技术产业与新兴产业、促进创新和员工技能提升四个方面对国外政府采购支持创新的政策实践进行了深入分析;最后总结凝练出在不违背国际贸易准则和政府采购协议的情况下,国外政府采购有效支持创新的政策特点以及对中国的启示.     

中小企业技术创新财税支持体系中外比较

对中国与美国、德国、日本、韩国等国家中小企业技术创新财税支持体系中税收政策、财政资助、政府采购等方面进行了比较，分析了国外体系的特点，在此基础上，根据我国的国情，对我国在完善中小企业技术创新财税支持体系方面提出了对策建议。     

政府采购促进技术创新政策效果空间计量评估

本文通过构建空间计量模型,基于省际面板数据对中国政府采购促进技术创新政策效果进行了科学评估,研究发现中国政府采购政策在实施初期阶段不仅没有促进技术创新,反而显著地阻碍了创新,但随着中国政府采购政策自主创新激励目标的确定,其政策效果有所改善,但到目前为止其促进技术创新的政策功能仍十分有限。为此提出了遵守国际规则,建立和完善创新导向型政府采购政策体系;完善制度设计,遏制寻租行为,营造良好的创新环境;优化政府采购结构,强化创新激励导向等政策启示,以期为未来改进和完善政府采购政策提供科学依据。     

The timing of openness in a radical innovation project,a temporal and loose coupling perspective

We extend the Profit from Innovation (PFI) framework (Teece, 1986) by combining it with open innovation insights: we explore when and how managers make the transition between closed and open innovation, and how they use appropriation (formal and informal defense mechanisms) and project strategies to capture the value generated from the innovation at the project level. Based on a radical innovation project at Jaguar (UK), we contribute to a process and temporal perspective of open innovation by shedding light on two core project processes and their enabling mechanisms which influenced the ability of Jaguar to maximize profits from the innovation. The first core project process was the choice of timing of the shift from a closed to an open model of innovation: it was enabled by a pro-active change in the formal defense strategy (i.e. submission of a patent), and by an internal loose coupling project strategy that involved autonomy of the project champion and internal engineers’ weak membership in the project. The second core process was an external loose coupling project strategy that was enabled by the deployment of two complementary informal appropriation mechanisms namely, the reduction of the scope of tasks allocated to external partners combined with the development of guarded relationships with them.     

Government as entrepreneur: Evaluating the commercialization success of SBIR projects

Thinking of government as entrepreneur is a unique lens through which to view a subset of government actions. The lens is not a template for an evaluation of government policy; rather, it is a characterization that underscores the government's purposeful intent, ability to act in new and innovative ways, and willingness to undertake policy actions that have uncertain outcomes. Our focus is on the U.S. Small Business Innovation Research (SBIR) program. We argue that the innovative action of government - the innovative use of public resources through the SBIR program to target and support research in small firms - does lessen innovation barriers that cause small firms to underinvest in R&D. However, this government action is subject to entrepreneurial risk, namely the a priori uncertainty that the funded research will result in a commercialized product, process, or service. We quantify the uncertainty that the government accepts in the context of innovation supported by the SBIR program; or stated alternatively, we quantify the probability that a project funded by the SBIR program will fail to commercialize its results. Our empirical results show that the entrepreneurial risk that characterizes the SBIR program is, on average, somewhat more than the probability of failing to get heads on the toss of a fair coin. Importantly, however, our evidence shows that there is a large range in the entrepreneurial risk that the government accepts—across the projects, the predicted probability of failure covers essentially the entire range from 0 to 1.0.     

政府支持企业研发的资源配置与政策目标

随着产学研传统边界日益模糊,各国财政用于支持企业技术创新活动的预算不断提高。首先分析了中国研发资源配置状况及创新主体之间的创新联系;进而从创新主体、创新阶段角度对强化公私伙伴关系的主要途径进行理论探讨;最后建议政府结合支持企业研发的政策目标来组合使用资源配置的相关政策工具和措施。     

中国金融宏观环境要素对碳市场影响及创新结构研究

基于系统理论,识别碳市场创新环境和产出的主要因素,构建碳市场创新过程结构模型是认识碳金融创新内部、外部作用机制和系统运行本质的基础。通过灰色系统理论和熵值法进行碳市场宏观环境和产出的关联性分析,甄别碳市场宏观环境关键指标,揭示碳市场创新系统内部产出要素和外部环境要素,为碳市场发展的进一步探讨提供理论基础和半开放式的研究平台。     

我国科技金融与产业结构升级的耦合关系研究

基于2009—2018年中国30个省(区、市)的面板数据,采用熵值法、耦合模型和静态面板模型,测算科技金融与产业结构升级的耦合度并对其进行影响因素分析.研究表明,(1)科技金融与产业结构升级的耦合度整体上呈上升趋势,但区域间差别明显,耦合度均值由东到西逐渐递减;(2)政府投入力度、金融机构贷款力度、技术创新能力、地区产...     

符合国际规则的政府采购促进科技创新政策研究

在全面分析GPA基本原则、谈判流程及参加方出价特点的基础上,基于公共政策过程的角度,从环境端、供给端、需求端3个维度构建符合国际规则的政府采购促进科技创新政策框架,并结合新框架实证分析典型国家(地区)政府采购促进科技创新的政策举措,最后提出对策建议。     

Government policies towards industrial innovation: a review

Existing economic theories show that continuing innovation, diffusion, and technical and managerial improvement are necessary for economic growth and international competitiveness in the industrially advanced countries. But knowledge of why, where and how governments should intervene in the processes of industrial innovations stems more from trial and error than from systematic empirical information of the nature and extent of the hindrances to economically and socially desirable innovations, and of the effectiveness of alternative government policies to remove them. Nonetheless, past empirical studies do offer some clues.Differences amongst industrial sectors. The sources of new technology vary widely amongst inustrial sectors: in the costs of innovation, in the relative importance of outside suppliers of equipment and materials, of large and small firms, and of full-time R & D departments as compared to part-time innovative activities (sect. 7, 8). Similarly, the conditions for successful innovation vary amongst sectors (sect.6). Thus, government policies designed to influence innovation are likely to act with different intensities in different industries.The management of innovation. Nonetheless, there are some features common to innovation in different industries. Considerable costs beyond R & D are often necessary before the innovations reach commercial use (sect.4). And the following managerial characteristics are in general associated with successful innovation: a deliberate policy of seeking innovations; close and careful attention to customer requirements; good personal communications both within the firm and with outside sources of relevant knowledge; a style of management that is ‘organic’ and ‘participatory’ rather than ‘hierarchical’ and ‘authoritarian’; strong project leadership; and a strong engineering capability (sect. 6).R & D managers are still unable to predict the outcome of R & D projects to a useful degree of accuracy and, in the literature on methods of project selection, very little attention is paid to market uncertainties. Furthermore, a greater use of conventional investment appraisal criteria in deciding on R & D projects may re-inforce the already observed tendency in industry towards short-term, low-risk projects, to the neglect of longer-term, high-risk projects (sect. 5).Governments should therefore examine whether the benefits of policies towards education and management advisory services for innovation might outweigh their costs. They may also have a significant role to play in financing longer-term research that is basic to the development of industrial technology (subsect. 12.5).The nature of market and production demands. The direction of industrial innovation is often very sensitive to market and production demands (sect. 3). This fact, together with the high degree of market uncertainty facing innovating firms (sect. 5), suggest that governments can potentially influence both the pace and the direction of industrial innovation through their influence on the scale of industrial, consumer and public service demands. However, this potential influence will become real only if users of innovations are able to specify the innovations that they need, or to evaluate those that they get. This is generally the case for industrial demand, but not in consumer and public service markets, where fashion, insensitivity to users' needs and lack of technical competence often prevail. Government-funded technological institutes and laboratories are ideally placed to provide such technical competence (sub-sect. 12.3).Economic incentives and rewards for innovation. A whole range of economic factors are said to influence the resources, the incentives and the rewards for innovation: for example, the degree of monopoly or the degree of competition, the patent system, the level of profits, the level of taxation, and the level of demand. The empirical evidence on the effects of most of these factors on industrial innovation is either inconclusive or non-existent. However, in the USA a close relationship has been observed between growth of industry sales and growth of industry-financed R & D activities (sect. 10). The rate of growth of demand is also one of the key factors influencing the rate of diffusion of innovations amongst their potential population of users (sects. 11, 12.2).The government-financed scientific and technological infrastructure. Scientific and technological knowledge from outside of innovating firms is often crucial to the completion of successful innovations, and three UK studies show that a significant proportion of this outside knowledge comes from government-financed technological institutes and laboratories, and from the universities (sect. 3). If the same is true in other countries, it should be an essential feature of any government policy towards industrial innovation to know how effectively government-funded laboratories and universities provide supportive knowledge to industry, and how government laboratories should be organised and financed (subsect. 12.4).Direct government-financing of innovative activities in industry. Governments specifically finance R & D activities in industrial firms, although these expenditures are less than those for general industrial development (sect. 13). These R & D activities in industry are relatively more important in France and UK, than in F.R. Germany and the Netherlands.In the four countries, more than 70% of all civilian government R & D activities related to industry are spent on aircraft, space, nuclear energy and electronics (subsect. 14.4). In all these high technologies, governments attempted in the 1960's to implement ‘policies for innovation’, involving government procurement, industrial mergers and attempts at European co-operation, in addition to the financing of R & D (subsect. 14.5). Government expenditures on civilian R & D related to other industrial sectors are very much smaller in all four countries (subsect 14.4).Where should governments intervene? A, number of attempts have been made to develop a formal framework of criteria to assist governments in deciding where they should intervene in industrial innovation. They all run into the following difficulties: dealing with multiple policy objectives; assessing national costs and benefits; comparing with alternative policies, choosing appropriate policy instruments (sect. 17).How should governments intervene? Very little information is available on the effectiveness of various policy instruments that have been used by governments in order to promote innovation in industry. Although it is often possible to measure the inputs into such policies, the measurement of their outputs (or results) is more difficult. Nonetheless, detailed studies would enable some such measurements to be made, and internationally comparable studies would increase the range of experiences and the number of cases that could be examined (sect. 18).Why should governments intervene? A full appreciation of the nature and scale of hindrances to industrial innovation, on which governments should act to remove, requires direct information on what innovations are (or are not) being introduced by industry, and why they are (or are not) being inyroduced. This information can best be obtained from analyses of the behaviour of industrial firms. They would differ from most existing innovation studies that concentrate on asking how firms must behave in order to make successful innovation, by asking what innovations are attempted, and why firms are stimulated to attempt them (sect. 19).     

The ex ante assessment of knowledge spillovers: Government R&D policy, economic incentives and private firm behavior

This paper investigates the role of government R&D subsidy programs in stimulating knowledge spillovers. R&D subsidies are an effective public policy instrument when knowledge spillovers exist yet ex ante it is difficult to identify projects that have the greatest potential to increase innovation and economic growth. This paper derives a set of project and firm attributes that the literature finds generate knowledge spillovers and uses data on project proposals to estimate the degree to which a government R&D program conforms. We find that projects that were awarded R&D subsidies were more likely to have attributes such as participation in new research joint ventures and connections to universities and other firms. Following the post-award activities of firm, we find that receipt of a government R&D subsidy increased the funding from other sources when compared to firms that were not awarded funding.     

Advancing innovation in the public sector: Aligning innovation measurement with policy goals

There is sufficient evidence, drawn from surveys of innovation in the public sector and cognitive testing interviews with public sector managers, to develop a framework for measuring public sector innovation. Although many questions that are covered in the Oslo Manual guidelines for measuring innovation in the private sector can be applied with some modifications to the public sector, public sector innovation surveys need to meet policy needs that require collecting additional types of data. Policy to support public sector innovation requires data on how public sector organizations innovate and how a strategic management approach to innovation can influence the types of innovations that are developed. Both issues require innovations surveys to delve deeply into the innovation processes and strategies that are used by public sector managers. Implementation of the measurement framework proposed in this paper would open up opportunities for a new, policy-relevant research program on public sector innovation.