Evaluations of innovation programmes in selected European countries

The incorporation of an evaluation procedure in a growing number of innovation policy programmes has now become an accepted feature in the public management of many countries. There already exists substantial experience on the conduct of such evaluations. The purpose of this paper is to present some sample evaluations of measures to promote innovation in a number of European OECD countries (Federal Republic of Germany, France, Netherlands, Sweden). Reference will be made to four of them to illustrate the diversity of the evaluative approaches applied to the wide spectrum of measures to promote innovation. Each of these examples will be studied in detail in order to identify their characteristic features, particularly with attention to their causes, performance and their use in political decision processes.A conceptual framework will be presented in order to propose a typology of various forms of evaluation and to characterize the four case studies. It shows that concept and process of evaluations are strongly influences by the specific context and consensus or dissent on objectives and resources. The case studies give a clearer insight into the factors determining the use of results of evaluations; and to what extent the role of evaluations varies from pure legitimation to a systematic and rational basis for decision making in the area of technology policy.Innovation policy consists of government actions towards technological developments and their implementation in the economy. Innovation, in this case, is defined as the development of technologically new or improved products or techniques and their commercialization in the market or implementation within production. Often evaluation means the examination and assessment of the mode of action and of the effectiveness of government innovation policy. However, finding a general interpretation of the expression “evaluation of an innovation policy” presents greater difficulty, and here wide divergences are evident. In the Federal Republic of Germany and the Netherlands, the term encompasses all forms of monitoring and assessing the operation and/or the effectiveness of an innovation policy. In Sweden, evaluation usually means performance of the a posteriori analysis of a measure. The terms “ex ante evaluation” and “follow-up evaluation” are respectively used for the explicit designation of prospective and retrospective analyses. In France, the term “evaluation” is associated with the notion of value. It often carries the connotation of a value assessment with the full monitoring implications of that expression.     

West German science policy since the early 1960's: trends and objectives

The trends in West German science policy since the early 1960' are analyzed and compared to other industrially advanced countries. Government expenditures on research and development (R & D) are compared in their totality and also with regard to specific objectives such as defence, civil space, civil nuclear, general advancement of science, mining and manufacturing, agriculture, economic and social services.The trend of total government expenditure on R & D in West Germany iss characterized by a growth rate higher than in many other countries, such as the USA, the UK, France, Japan and the Netherlands. Also in each of the single objectives of government R & D, West German expenditure as a rule grew faster than in these countries. Among the different objectives, “general advancement of science” is given highest priority in West Germany, whereas the military sector is relatively small. In both trends and priorities, West Germany is more similar to Japan and the Netherlands than to the USA, the UK and France.The author discusses motives and intentions which may have affected these trends. He argues that West German science policy cannot be understood as a response to immediate economic problems, such as labour shortage or an alleged lag in technological progress in West German industry. In the early sixties West German science policy was still determined by efforts to catch up in certain technological fields from which West Germany had been excluded up to 1955 by allies' restrictions. In the late sixties, concern focussed on West Germany's long-term technological competitiveness in general.     

基于政策与科学互动的科学技术创新政策研究

科学技术创新政策研究是国际上一个新兴的、前沿性的交叉学科研究领域,一个新的研究范式。美国、日本、澳大利亚等国相继开展"为政策的科学"研究,我国相关研究却刚刚起步。基于政策与科学互动的科学技术创新政策,运用政府-创新者"反馈环"构建政府、高校、科研机构和企业"四位一体"螺旋式科学技术创新政策机制,耦合"为政策的科学"和"为科学的政策",增加科学、技术和创新预期效用,为经济增长或社会效益作出更大贡献。     

政府支持科学的制度探索———NSF 与NSFC 创立的比较研究

自创立以来，美国国家科学基金委员会（NSF）和中国国家自然科学基金委员会（NSFC）在两国科技事业发展和科技体制变革中发挥了重要作用。NSF和NSFC分别成立于市场体制和计划体制之下，对二者的创立过程进行比较研究发现，一方面，NSF和NSFC都创生于两国科研体制转型的关键阶段，是政府支持科学的制度探索；另一方面，二者在政策提议的主体、希望解决的问题以及共识塑造中的结盟和争论等方面存在差异，是两国深层社会结构的折射。总的来说，NSF和NSFC的成立分别表现出“理念先行”和“实践先行”的特点，各自在市场体制和计划体制下构建了国家支持科学新途径，深刻地改变了政府与科学的关系。“政府如何支持科学”这一命题不仅是NSF和NSFC创立过程中的核心问题，也是当前各国发展面临的重要问题，并表现出新的内涵和特征。面对科学这一没有止境的前沿，中国要强化国家战略科技力量，需要社会各界在理论和实践中共同探索这一问题的答案。     

政府研发补贴有助于企业创新效率提升吗？——基于模糊集定性比较分析（fsQCA）的研究

政府研发补贴是各国普遍采用的促进企业创新活动的政策，如何发挥其应有效能是学术界和政策制定者关注的重要问题。以高端装备制造业上市公司为研究样本，采用MinDS模型测度考虑非期望产出的创新效率，应用模糊集定性比较分析方法（fsQCA）研究了各要素联动如何作用于企业创新效率。结果表明：（1）身处欠佳市场环境中的民营企业若能取得政府补贴，无论是事前补贴还是事后补贴都将有助于创新效率的提升；相反，身处良好市场环境的民营企业对政府补贴的依赖较弱；（2）身处欠佳市场环境中且无丰富政治关联的企业，政府研发事前与事后补贴相辅相成才能促进企业创新效率的提升，其中事后补贴起关键作用；（3）身处欠佳市场环境中的企业，如果拥有较多的政治关联，则最好不要借此寻求事前补贴，否则企业会陷入“政治资源诅咒”的漩涡。     

美国STAR METRICS项目的实施与评价——兼论对我国科技政策与科研评估的启示

STAR METRICS项目是美国联邦政府开展并实施的,针对因缺乏数据和信息支持而导致的政府科技决策失灵问题,以评估科研成果外部社会影响及其社会贡献为目标的科研评估项目。该项目自运行至今共有两个阶段,第一阶段聚焦美国联邦政府科研投入对劳动力就业的影响,第二阶段聚焦联邦政府的科研投入对科学知识、社会产出、劳动力产出与经济增长的影响。本研究通过收集STAR METRICS官网以及美国相关政府部门网站中关于STAR METRICS项目的第一手资料,系统梳理了该项目的缘起、实施流程、数据收集及评估指标等方面,并对其独具的优势和面临的挑战进行了深入分析,籍此为我国科技政策与科研评估改革提供三点启示：关注并开展科研成果的非学术影响评估;构筑并完善机构数据共享网络;提升科技政策决策科学化水平。     

国际科技政策计量与可视化分析

科技政策是国家为了实现特定时期的科技发展目标而制定的方针、政策及其相关规定,其核心主要涉及如何为科学行为分配配套的资源,以实现最佳服务于公众利益的目标。本文在结合国内相关研究基础上,基于Web of Science 数据库间70多年(1947-2018)的研究文献,综合利用文献计量学工具和自研系统,全面定量展示了科技政策研究领域的现状、热点及前沿趋势。结果表明,截至2018年该领域研究尚处于成长期,成熟度为3091%;期间共有136个国家（地区）参与该领域研究,排名前5的国家为美国、英国、德国、荷兰和加拿大;6197个相关研究机构中,萨塞克斯大学（英国）、曼彻斯特大学(美国)、乔治亚理工学院（美国）、麻省理工学院（美国）、阿姆斯特丹大学（荷兰）等作品丰富且影响力较大;以“开放创新、企业、生物科技、技术转移、知识产权、专利、三螺旋结构、纳米科技”等突现词代表了该领域的前沿研究方向,值得高度关注。     

The measurement of goal attainment of governmental R&D support

Efficiency measurement of governmental R&D subsidies is a complicated task. The suggestion is made to derive the subsidization objectives from the programs themselves along seven dimensions. If completely defined and if properly operationalized, these could be used as a basis for efficiency measurement. Various levels of measurement and the related problems are reviewed. As information on a program and its acceptance are of importance for governmental planning, the development of diffusion models for this special purpose is suggested. A most simple version is given to start discussion. The ideas developed are illustrated by reference to empirical research on two related subsidization programs in the Federal Republic of Germany.     

国际科技政策计量与可视化分析

 科技政策是国家为了实现特定时期的科技发展目标而制定的方针、政策及其相关规定，其核心主要涉及如何为科学行为分配配套的资源，以实现最佳服务于公众利益的目标。本文在结合国内相关研究基础上，基于Web of Science 数据库间70多年(1947-2018)的研究文献，综合利用文献计量学工具和自研系统，全面定量展示了科技政策研究领域的现状、热点及前沿趋势。结果表明，截至2018年该领域研究尚处于成长期，成熟度为3091%；期间共有136个国家（地区）参与该领域研究，排名前5的国家为美国、英国、德国、荷兰和加拿大；6197个相关研究机构中，萨塞克斯大学（英国）、曼彻斯特大学(美国)、乔治亚理工学院（美国）、麻省理工学院（美国）、阿姆斯特丹大学（荷兰）等作品丰富且影响力较大；以“开放创新、企业、生物科技、技术转移、知识产权、专利、三螺旋结构、纳米科技”等突现词代表了该领域的前沿研究方向，值得高度关注。     

美国政府在科研诚信体系建设中的作用研究

从白宫、联邦部门和联邦资助项目管理3个层面研究美国政府在科研诚信体系建设中的作用。笔者认为,白宫在确立科研诚信指导原则和政策导向方面发挥重要作用,国家科学基金会、国家海洋和大气管理局等联邦部门制定了符合本部门使命和特点的诚信政策,科研项目的诚信管理做到了全链条、重预防和严格规范,美国政府在科研诚信体系中的作用显著。     

双循环战略提升中国人工智能产业竞争力途径

摘 要：文章以中国、美国、英国、德国、印度等主要人工智能大国为研究对象，通过钻石模型构建评价指标体系，运用主成分分析法对五国人工智能产业国际竞争力进行分析。总结借鉴其他国家人工智能产业发展过程中的优劣势与形成原因，从人工智能经历的 “概念化——商业化——产业化”发展三阶段周期入手，明确不同发展阶段起着关键作用的有利要素类型，提出了三种不同实现路径下的分类政策思路。最后根据国际政治经济形势，提出在“双循环”战略下提升中国人工智能产业国际竞争力的依据与政策建议。     

Investigation of the working process in central university libraries

This article is based on work in a project for economically restructuring the working process and for planning the area of book processing in central university libraries in the Federal Republic of Germany. The outcome of this project should make it possible to plan both qualitative and quantitative personnel employment, with a view towards rational allocation of budgetary funds, and should also serve as an aid in making decisions in the event of employment demands.     

The Nazi symbiosis: politics and human genetics at the Kaiser Wilhelm Institute

The case of the Kaiser Wilhelm Institute for Anthropology, Human Heredity and Eugenics (KWIA), from its inception in Weimar Republic Germany to its apogee under the rule of the Third Reich, is an example of how politics and human heredity can function as mutually beneficial resources. Whether it was a result of the Nazi bureaucrats' desire to legitimize their racial policy through science, or the KWIA personnel's desire to secure more funding for their research, the symbiotic relationship that developed between human genetics and Nazi politics could help explain why many scientists in the Third Reich undertook research projects that wholly transgressed the boundaries of morally acceptable science.     

Impacts of government incentives towards industrial innovation: An analysis of the federal programme funding R&D personnel in the Federal Republic of Germany

Against a background of deteriorating national and international economic conditions, increasing importance is being attached by political administrations to the innovative capacities of small and medium-sized firms with respect to the employment situation and to international competitiveness. Consequently, government support of research, development and innovation in these companies has taken a marked upward turn since the late seventies, both in the Federal Republic of Germany and in other industrialized Western countries.The actual impacts of some of these programmes are at present under study by the Fraunhofer-Institut für Systemtechnik und Innovationsforschung (ISI). This paper is an outline of the results of a study of the largest current programme funding R&D and innovation in small and medium-sized firms by offering grants towards the costs of R&D personnel. The impact analysis is being conducted in two rounds: the first round of studies, which is the subject of this report, took place in 1980/1981 and was designed to examine the discernible short-term effects and characteristics of the programme. The second round is planned for 1983/1984 as a summary of the impacts of the programme over the first five years of its term of effect.The subjects of investigation are the quantitative and qualitative changes in R&D activities caused by the programme in the firms under study and the contribution the programme can make to strengthen innovative and competitive capabilities. The conditions underlying the programme are reviewed critically, especially in order to see whether the barriers to innovation and the weak spots assumed did in fact exist in the firms examined. The administrative management, “free rider”-effects, and factors restricting impacts are investigated along with such questions as whether firms located in peripheral regions were reached by the programme to the same extent as firms in conurbation areas. Furthermore, the reasons for non-participation of firms are analyzed.The example of the federal programme funding R&D personnel thus is used in this impact analysis in an attempt to provide empirical data on the significance, the range, and the limits of such a government instrument promoting R&D and innovation in small and medium-sized firms.     

从开放获取到开放科学的变化与挑战 ——基于多指标比较的文献计量分析

通过知识演化的文献计量分析,基于Web of Science核心库中关于开放获取和开放科学的913篇论文引文数据,使用CiteSpace对相关论文发表数量、涉及学科、合作网络以及研究内容聚类等知识演化研究指标展开比较分析,并基于实证研究对转变过程中的相关挑战展开理论探讨。结果表明,开放科学作为开放获取的新发展,在相关研究的内容上面存在着继承和发展,仍需要展开更多具体的实证研究以增强其实践意义。     

觉醒——中国科技政策的演变

100多年前中国人就认识到科学技术的重要性,但1911年推翻清王朝后.内战、抗日占去了近50年,真正的科学技术发展开始于新中国成立以后。随着政治、经济形势的变化,中国的科技政策不断改变。本文主要阐述了1978年改革开放以后中国科学技术和教育事业的进步和现状。作者认为,中国的工业化比欧美晚了150年.科学技术晚了200年;近30年有些进步,但要建成全面小康社会、科技发达的国家.中国人需要再奋斗50年;当前应该埋头苦干、韬光养晦,继续向科学先进的国家学习,学会自主创新,实现可持续发展,才能为人类科学事业做一点迟到的贡献。     

Political instability, pro-business market reforms and their impacts on national systems of innovation

We investigate the impacts of political instability and pro-business market reforms on national systems of innovation (NSI) across a range of developing and developed countries. Evidence suggests that national systems of innovation are most likely to flourish in developed, politically stable countries and less likely to prosper in historically unstable countries. While research has shown that pro-business market reforms can be a valuable policy instrument to boost economic development in less developed countries, the extent to which these reforms affect a country's innovativeness has been neglected in the literature. In particular, the degree to which pro-business market reforms may compensate for political instability when it comes to fostering national systems of innovation remains under-researched. Our findings support established arguments concerning the strong influence of political instability on inputs to national innovation systems. We find, however, mixed effects for pro-business market reforms. While results indicate a negative direct influence on NSI, they consistently show a strong moderating effect that counterbalances the negative impact of political instability, especially in those developing country environments where science and technology are lagging. These results provide important implications for policymakers as well as for our understanding of emerging and transition economies and national technological capability.     

THE INTERNATIONAL REALPOLITIK OF SCIENCE AND TECHNOLOGY POLICY

Reasons are considered for growing government intervention in scientific and technological progress, justifications for such interference and variations in the objectives sought by developed nations through their science and technology policies. Many governments of developed countries now place high priority on using science and technology policy to maintain and enhance the international competitiveness of their industries. It is hoped thereby to increase their living standards and reduce unemployment. The belief is widespread that to be effective such policies should be directed towards encouraging selected industries and technologies, as in Japan and Germany. Since Australian policies broadly have not been industry specific and technology specific, they need to be re-assessed in the light of these developments.     

规划科学技术：《1956—1967年科学技术发展远景规划》的制定与实施

根据过渡时期总路线，国务院在1956年主持制定《1956-1967年科学技术发展远景规划》（简称"十二年科技规划"），规划制定过程中形成了"以任务带学科"的规划科技模式。"十二年科技规划"由57项任务构成，其中以原子弹、导弹、计算机、半导体、无线电电子学、自动学和远距离操纵为最紧要项目。为了制定和实施该规划，国家充分利用中国科学院等本国科技力量，同时借助了苏联的援助。经过不懈努力，终于取得重大科技成就，提前完成"十二年科技规划"。这使我国补全了学科门类并拉近了与世界先进科技水平的距离，对我国科技、国防、经济和社会的发展产生了深远的影响。     

Convergence of national science and technology policies: the case of Finland

It is a commonly held view that differences in national histories, cultures, political contexts, and the timing of a country’s entry into the industrialization process are reflected as diversity among countries in their goals, priorities, boundaries, directions, ranges, instruments and also in the performance of science and technology policy. This article, which examines development processes of Finnish science and technology policy, concludes that instead of divergence there is such startling convergence of organizational forms and practices. Finland has largely adopted its policy doctrines and instruments from the countries, which from the Finnish perspective, have been considered legitimate and successful.