【作者】 赵杨；

【导师】 胡昌平；

【作者基本信息】 武汉大学 ， 情报学， 2010， 博士

【摘要】 当今世界,科技创新已成为提升国家竞争优势和国际地位的关键力量,各国都将增强自主创新能力作为国家可持续发展的战略基点,致力于本国国家创新系统的规划与建设。国家创新系统是由不同创新主体组成的复杂开放系统,承担着国家创新发展重任。信息化环境下,国家创新系统的运行离不开信息资源的有力保障,需要进行科学合理的信息资源优化配置。国家创新是一项高难度、高风险、高投入的复杂工程,创新战略的实现要求国家创新系统中各类创新主体打破组织界限,整合内外信息资源,通过资源共建共享进行广泛的交流与创新合作。在国家创新发展要求下,信息资源配置范围已由组织内部扩展到整个国家创新系统,更加强调创新主体的共同参与、密切配合与协调互动,促使信息资源配置不断朝着社会化、协同化方向发展,信息资源协同配置模式日渐形成。当前,国内外对信息资源协同配置问题的探索刚刚起步,开展国家创新系统中的信息资源协同配置研究和实践,不仅是推动国家创新系统有效运行的迫切需求,也是实现建设创新型国家战略的必然选择。本文在梳理和总结国内外研究与实践进展的基础上,立足于国家创新发展的现实需求,将协同学理论与传统信息资源配置理论相结合,围绕国家创新系统建设与运行,构建面向国家创新的信息资源协同配置理论框架,从战略、管理、操作和技术层面探索其协同机制,着重研究协同配置演化机理和模型,详细分析了协同配置的整体化实现方法。在此基础上以我国国家创新系统为对象展开实证研究,根据调查结果和仿真分析,找出制约我国信息资源协同配置实现的关键因素,进而提出针对性的解决策略。文中附有图100幅,表30个。全文约19万字,共分为8章,内容如下：第1章,国家创新发展中的信息资源配置及其协同化发展。国家创新系统是推动一国经济发展和科技进步的重要力量。信息化环境中,国家创新战略的演变促使国家创新系统建设不断朝着开放化、社会化、协调化方向发展,由此对面向国家创新的信息资源配置提出了新的要求,推动了信息资源配置的协同化发展。本章从信息化环境下的国家创新系统建设要求入手,分析信息资源配置变革与协同化发展趋势,从协同学视角对信息资源协同配置的内涵、特征和要素进行阐释。第2章,国家创新系统中的信息资源协同配置环境、定位与组织。国家创新系统是一个开放系统,不断与环境之间进行物质、能量、信息交换。系统内部信息资源协同配置活动的组织实施必须主动适应环境变化,进行科学的目标定位。本章在对国家政策、经济、市场、技术等外部环境因素以及资源分布格局、创新合作关系、信息沟通渠道等内部环境因素进行全面分析的基础上,提出国家创新系统中的信息资源协同配置总体目标：以国家创新主体的信息需求为导向,通过创新主体、创新要素、创新环境之间的整体协同提高国家创新系统中的信息资源投入-产出效益,实现各领域的全面创新和协同创新。围绕总体目标,信息资源协同配置应以协同配置能力为序参量,采用有效制度安排下的自组织配置模式,按照合理的配置路径组织实施。第3章,信息资源协同配置的分层推进。按照信息资源协同配置的目标定位和层次安排,国家创新系统中的信息资源协同配置需要分阶段、分层次推进。本章依据信息资源配置体系的层次结构,提出从战略层面、管理层面、操作层面和技术支撑层面依次协同的思路。其中,战略层面协同旨在实现国家创新发展战略与国家信息资源配置战略的协同,国家信息资源配置战略与地区、组织信息资源配置战略的协同,以及创新合作组织之间的战略协同；管理层面协同主要包括国家信息管理机构和地区、行业管理机构之间的“上下联动”以及相关管理部门之间的职能协调与权责分配；操作层面协同旨在协调配置主体间的竞争合作关系、优化整体配置流程,通过选择合理的协同配置实施模式促进配置主体竞争合作关系的协同演化；技术支撑层面协同主要实现各类配置技术的有机融合与集成应用。第4章,基于系统动力学的信息资源协同配置模型。国家创新系统的复杂性、创新主体的主动适应性和创新环境的不确定性使创新系统中的信息资源协同配置具有多回路、非线性、高阶次和难以量化的特点,表现出明显的系统动力学特征。本章以协同学原理为基础,结合系统动力学方法对国家创新系统中的信息资源协同配置演化机理进行定性与定量研究,从系统运行角度进一步揭示各协同层面的内在关联和相互作用,分析协同配置中的因果关系,绘制信息资源协同配置动力学流图,构建信息资源协同配置系统动力学模型,为协同配置实现过程的模拟仿真提供具体方法。第5章,信息资源协同配置的整体化实现。依据国家创新系统中信息资源协同配置的实现机理,本章从体制、技术、经济、法律多个维度分析了信息资源协同配置的整体实现方法。从体制角度而言,协同配置体制建设是实现有效配置监管、落实配置制度安排、指导配置实践的重要前提,必须在国家统一规划下建立科学的体制框架,促进政府配置机制与市场自组织机制的协调运行；从技术角度而言,信息资源协同配置的顺利实现需要信息技术的有力支撑,本章从协同配置和协同创新两个层面进行综合考虑,提出协同配置平台设计思路,应用SOA架构和Web Service技术构建了基于CSCW环境的配置平台模型,探索了平台核心功能的技术实现；从经济角度而言,信息资源协同配置是一项经济活动,涉及多方主体的经济利益,需要通过切实可行的“博弈-协商”过程协调不同主体间的利益关系,促进主体间持续合作与协同发展；从法律角度而言,信息资源在不同配置主体间的流动,涉及信息资源产权的转化,需要通过有效的知识产权制度来规范协调各类创新主体的配置行为,保障知识成果创造者的基本权益。第6章,信息资源协同配置的综合评价。由于国内外对信息资源协同配置的研究刚刚起步,目前还未建立起适用于协同配置评价的指标体系。本章在参考现有传统信息资源配置评价指标体系的基础上,针对协同配置的基本特征与运作机理,应用平衡计分卡模型分析了信息资源协同配置与国家创新系统运行绩效之间的内在关联,在此基础上确立了信息资源协同配置的四个评价维度：优化与可持续发展、协同配置流程、整体协同效应和协同配置效益。然后依据各维度的评估内容,构建出由4项一级指标和14项二级指标构成的协同配置综合评价指标体系,并应用层次分析法计算了各项指标权重。第7章,我国国家创新系统中的信息资源协同配置方案与对策分析。本章在对我国国家创新系统建设情况和信息资源配置现状、配置效果与协同发展状况进行全面调研、分析的基础上,指出当前我国信息资源协同配置推进过程中存在的主要问题。从现状与问题出发,利用前文提出的信息资源协同配置理论方法,围绕我国建设创新型国家的战略目标,设计符合我国创新发展需求的信息资源协同配置方案,构建了国家信息资源协同配置体系框架。根据方案设想,应用第四章中构建的系统动力学模型,对我国信息资源协同配置的实现过程进行模拟仿真,预测未来15年我国信息资源配置体系的运行情况。通过仿真分析,揭示市场机制完善程度、政府宏观管理绩效、科技中介和信息服务机构的服务能力以及创新主体间的合作收益分配机制这四项关键因素对我国协同配置效应产生过程的具体影响。依据这一结论,本章最后从政策制度保障、配套设施建设、配置主体联动、服务体系建设和配置经费投入五个方面提出我国国家创新系统中的信息资源协同配置推进对策。第8章,结论与展望。对全文进行梳理,提炼观点,指出研究中存在的不足之处,并对该课题今后的研究方向进行展望。更多还原

【Abstract】 Nowadays, scientific and technical innovation has been the key force to enhance general competitive advantage and international status of the country. All countries have considered strengthening the independent innovation capability as the strategic basis for national sustainable development, and are committed to their own national innovation system (NIS) planning and construction. NIS is a complex open system which is composed of different innovation subjects, which undertakes the important task of national innovation and development. In the information environment, the NIS can’t work without a strong guarantee of information resources, and the scientific and rational, optimal allocation of these information resources. National innovation is a difficult, high-risk, high-input complex project and the implementation of innovation strategy requires various innovation subjects in the NIS to break the organizational boundaries integrate the internal and external information resources and realize the widely exchange and cooperation through the co-construction and sharing of information resources. On the require of the national innovation and development, the scope of the information resources allocation has extended from inside the organization to the NIS, placing more emphasis on various subjects working together, close cooperation and coordination interaction, which also promotes the information resources allocation toward to the socialization, collaboration, information resources collaborative allocation gradually formed. At present, the research of information resources collaborative allocation has just begun. It not only the urgent need of NIS’s effective operation, but also the inevitable choice of innovation-oriented country building strategy realization for China to discuss this important issue.Based on summarizing the research and practice from home and abroad, this dissertation focuses on the real needs of national innovation and development, combines the synergetics and traditional resources allocation theory, builds up a national innovation-oriented information resources collaborative allocation theoretical framework around the construction and operation of NIS. It explores the collaborative mechanism from the levels of strategic, management, operation and technology, emphatically studies collaborative allocaiton evolution process and model, analyzes the overall implement methods in detail. On the basis of theoretical study, the dissertation takes further empirical research on the China NIS. According to the survey results and simulation analysis, the dissertation finded out the key restrictive factors for China information resources collaborative allocation and then proposed specific solution strategies. There are 100 figures and 30 tables attached to this paper. The full text is about 190,000 Chinese characters, divided into eight chapters, and their main ideas are as follows: Chapter 1 National innovation development and information resources allocation collaborative evolutionNational innovation system is the important force to promote the economic development and technological progress for a country. In the information environment, the evolution of the nation innovation strategy promotes the NIS construction towards opening, socialization and coordination, and thus proposes new demands for national innovation-oriented information resources allocation, which promotes its collaborative development. This section analyzes the transformation and collaborative development trend of information resources allocation, and illuminates its definition, features and elements from the perspective of synergetics.Chapter 2 The environment, location and organization of Information resources collaborative allocation in the NISNIS is an open system which is continuously exchanging the material, energy and information with the environment. So the organization of information resources collaborative allocation in the NIS should adapt to environment changes and take scientific targeting. On the basis of environment analysis, this section proposes the overall object of information resources collaborative allocation, which is to orient to the needs of national innovation subjects, to enhance the information resources input-output efficiency in the NIS through overall collaboration between innovation subjects, elements and environment, and thus to achieve the comprehensive and collaborative innovation in all areas. According to the overall object, the information resources collaborative allocation should make collaborative allocation ability as the order parameter, carried out with the appropriate models and according to a reasonable path.Chapter 3 Hierarchical promotion of information resources collaborative allocationAccording to the object location and level arrangement, the information resources collaborative allocation should be promoted in phases and levels. This section proposes a main thought of realizing the collaboration stage by stage on the levels of strategy, management, operation and technology according to the information resources allocation system hierarchy. Among them, strategy level collaboration aimed at achieving the collaboration of national innovation development strategy and national resource allocation strategy, the national resource allocation strategy and areas resource allocation strategy. The management level collaboration includes the "upper and lower linkage" between national information management institutions and regions, industrial institutions, and function coordination and responsibility division between all the related management institutions; operation level collaboration aimed at coordinating the competition and cooperation relations between different subjects, optimizing the overall allocation process, and promoting the co-evolution of subjects’ competition and cooperation relations by selecting a reasonable model. The technical support level collaboration mainly to realize optimization and integration application of various collaborative technologies.Chapter 4 Information resources collaborative allocation model based on system dynamicBecause of the NIS’s complexity, innovation subjects’ active adaptability and innovation environment uncertainty, the information resources collaborative allocation in NIS has the characteristics of multi-loop, non-linear, high-end and difficult to quantify, showing obvious features of system dynamics. On the basis of synergetics principles, this section makes a qualitative and quantitative research of information resources collaborative allocation evolution mechanism using system dynamics method, further reveals the inherent relationship of various levels from the system operation view, analyzes the causal relationship in collaborative allocation, draws the dynamics flow diagrams and finally constructs the collaborative allocation system dynamics model. It supplies a way for simulation of collaborative allocation implementation process.Chapter 5 Implementation of information resources collaborative allocationAccording to the implementation mechanism of information resources collaborative allocation in NIS, this section introduces its implementation methods from four dimensions which are (political) institution, technology, economy and law. From an institutional point of view, collaborative allocation institution-building is the important prerequisite for implementation of effective monitor, institutional arrangement and practice guide, which requires to establish a scientific institutional framework under government’s unified planning. From a technical point of view, this section proposes a platform design idea from collaborative allocation and innovation, and then builds up a CSCW-based allocation platform framework with the help of SOA framework and Web Service technologies. From an economic point of view, the information resources collaborative allocation is an economic activity which involves multi-subjects’ economic interests. So it should use effective "Game-consultation" procedure to coordinate the interests relationship between those subjects and promote their sustainable cooperation and collaborative development. From a legal point of view, the flow of information resources among the different subjects will involve the transformation of resources property rights, which thus needs effective intellectual property protection to regulate every subject’s information behavior and protect basic rights of intellectual achievements creators.Chapter 6 The comprehensive evaluation of information resources collaborative allocationAs the research of information resources collaborative allocation at home and abroad has just started, there is no specific evaluation system for it. Referring to the existing evaluation systems for traditional information resources allocation, and considering the basic characteristics and operation mechanism of the collaboration allocation, this section analyzes the interlinkages between information resources collaborative allocation and NIS operating performance using the Balanced Scorecard model, and then determines four evaluation dimensions:optimization and sustainable development, collaborative allocation process, overall synergistic effect and collaborative allocation efficiency. According to the evaluation content of each dimension, the author designs a comprehensive evaluation system which is composed of 4 first degree indicators and 14 second degree indicators. And then, the weight of each indicator is calculated by analytic hierarchy process and the corresponding performance evaluation flow is designed.Chapter 7 The program and empirical research of the information resources collaborative allocation in China national innovation systemBased on the analysis and evaluation of China NIS building and information resources allocation current status, this dissertation points out that the problems of China information resources allocation. According to the needs of China national innovation and development, this section designs an information resource collaborative allocation implementation program around the China’s strategic goals of innovation-oriented country building by the theory and methods proposed in this dissertation, and constructs a national information resources collaborative allocation system framework. Using the system dynamics model proposed in Chapter 4, this section makes a simulation of China information resource collaborative allocation system, predicts the development of resource allocation in China. From the simulation results, we can find out the key influencing factors of collaborative allocation implementation. At last, this section proposes the implementation strategies for China information resource collaborative allocation from several aspects.Chapter 8 ConclusionThis section summarizes the research of the dissertation, points out limitations of research, and at last puts forward the study plans for the future research.更多还原