中国地方政府自发型和建构型创新的发生机理、耦合互动与整合性绩效研究

Since the 18th National Congress of the Communist Party, “Innovation” has been the core of the five development concepts. President Xi highly values the development of innovation, and points out that innovation must be placed at the core position of national development, and all kinds of innovation including theoretical innovation, institutional innovation, science and technology innovation, and cultural innovation must be push forwarded continuously. However, compared to the brilliant achievements in innovation made on the 20th century, current local government innovation having the strongest power faces three types of contradictions: the conflicts between strong innovation demands and declined innovation impetus; the conflicts between innovation motivation attenuation of government officials and government departments’ requirements for good innovation effects; and the split between top level design of innovation policies and micro-level realization mechanism, which not only cuts apart the transmission mechanism and linkage Mechanism of from macro to micro, but also affects the micro-basis of innovation development. The project takes spontaneous innovation and constructional innovation as analysis areas, applies the new perspective of innovation performance, links the macro-innovation institution performance to the micro organizational performance, so as to form the integral local government innovation framework of “from macro to micro” and “from individual to organization” , and conduct the cross level research on the relationship based on micro-variables and meso-level variables. The research conclusions are helpful to form the marginal contribution of local government innovation theory, strengthen the evidence basis of local government innovation research, and service the improvement and path reconstruction of overall performance of local government innovation.

党的十八大以来，习近平总书记高度重视创新发展，并指出必须把创新摆在国家发展全局的核心位置，“创新”在新时代成为我国五大发展理念的核心。然而，与20世纪成绩斐然的地方政府创新相比，今天，作为创新动力最为强劲的地方政府创新却面临着现实的三重矛盾，即改革创新需求与创新动力衰竭的矛盾；官员创新动机衰减与组织创新推进效果的矛盾；创新政策的顶层设计与微观实现机制之间断裂的矛盾。这些矛盾与困境不仅割裂了创新从宏观到微观的传导、衔接与耦合机制，还将阻滞创新绩效的生成路径。本项目以自发型创新与建构型创新为分析场域，以绩效作为研究的视角，将创新制度绩效与微观组织绩效相互连接，形成从“宏观—微观”，从“个体—组织”的整体性地方政府创新分析框架，进而对其内在微观变量与中观层面变量形成的关系进行跨层研究，研究结论能够形成地方政府创新理与政府绩效理论的边际贡献，服务于地方政府创新整合性绩效的提升与路径重构。

地方政府面临着回应中央顶层设计和解决地方实际问题的双重压力推动，创新地方政府在回应这一压力而实施的新方法、新模式的总称。本文从“绩效”视角切入地方政府创新，以地方政府为研究的唯一切入视角，将地方政府所面对的不同创新推进模式定义为自发型创新与建构型创新，从其创新特征、场域效应和绩效表现对两者进行分析。试图构建一个“制度—组织—个体”统一的整合性绩效分析框架，实现将地方政府创新核心问题的讨论转化为地方政府创新如何在跨层级范围上将不同层面的绩效生成过程进行整合，并最终实现创新绩效的问题。并依托这一框架将地方政府创新的整个过程进行统一性的研究，进而打通地方政府创新研究中相互割裂的研究视角、研究对象和研究层次，构建地方政府创新的耦合路径。课题组基于研究计划开展研究工作，取得的主要研究进展与重要结果可归纳为三个方面：一是建立了地方政府自发型创新与建构型创新的理论框架；二是明晰了自发性创新的微观基础、建构型创新的外在变量；三是对自发型创新与建构型创新之间的互动衔接机制进行了实证研究，深化了对地方政府创新要素、生成机制和互动模式的认识同时，总结和凝炼了中国情境下地方政府创新的整合性绩效生成路径。这三个方面具体包括了地方政府自发型创新与建构型创新的概念定义和应用情境分析、自发型创新微观基础研究、建构型创新的执行模式与制度绩效研究、自发型创新与建构型创新的互动衔接机制研究、自发型创新与建构型创新的整合性绩效生成路径研究等5个方面。

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