官产学三螺旋创新的国际研究:起源、进展与展望

International Research on Triple-Helix Innovation among “Government-Industry-University”: Origin, Advances and Prospects

"政府—产业—大学"(官产学)三螺旋创新范式自从在1995年被亨利·埃茨科威兹(Henry Etzkowitz)和劳埃特·雷德斯多夫(Loet Leydesdorff)首次提出以来,尚未发现有相关研究对官产学三螺旋创新国际研究成果展开全面、系统的梳理与分析。鉴于此,以Web of Science(WoS)核心合集的SCI-EXPANDED、SSCI两大数据库所收录的1995—2019年期间三螺旋研究文献及其参考文献为样本,综合使用共被引分析、引文网络关系分析、主路径分析和文献耦合分析等多种基于引文分析的量化方法,对官产学三螺旋创新的国际研究成果及其知识基础展开全方位系统研究。结果发现三螺旋创新核心思想和研究方法受到信息熵理论、演化经济学理论、三元模型理论、"模式2"知识生产模式和国家创新系统理论的影响;三螺旋创新研究已经由早期的基础概念性理论阐述逐渐转向了对创新主体三螺旋非线性互动的量化研究,但是很多研究仅局限于对非线性互动关系的简单描述与刻画;同时还发现三螺旋创新研究领域存在两个派别,分别是基于三螺旋算法的定量研究派别和基于三螺旋框架的定性研究派别。最后,从三螺旋主体间关系、国家情境与研究方法等三个方面提出了未来研究展望。总之,本研究采取一种较为新颖的文献综述方法对三螺旋研究文献展开梳理与分析,为未来综述类文献在研究方法上对某领域展开全面深入的定量研究提供了理论启示,同时为后发国家引入欧美发达国家的三螺旋创新思想来指导本国的创新实践和制定相关政策提供了实践启示。

Since the concept of Triple-Helix(TH)innovation was proposed by Henry Etzkowitz and Loet Leydesdorff in 1995,it has attracted great attentions from the circle of science and technology policy and the academic community all over the world.With continuous expansion of TH research domain,it is necessary and important to implement a comprehensive overview on extant TH literature,as it helps deepen our understanding on what happens beneath the whole domain of TH research and how this research field evolved(research vein)over time.To date far,we find that some previous studies have been devoted to reviewing TH studies,including investigating the research strands and knowledge base of TH index literature,scanning TH algorithm and proposing future research agenda.However,these works have been implemented in the early phase(many years ago)and are only limited to reviewing a sub-field of TH innovation research,namely,the TH index literature.No study has been found to take the whole domain of TH research(especially the latest TH literature published in the recent years)as the sample to review extant literature comprehensively.As a result,we still have little understanding on what are knowledge base,main research path,academic streams and research frontier in TH research domain.In this study,we attempt to implement a comprehensive and systematic analysis of TH studies to clarify the international research status and development trend of TH research domain.Specifically,two important databases in the Web of Science(WOS),namely,Sciences Citation Index-EXPANDED(SCI-E)and Social Science Citation Index(SSCI),are adopted as the data source,and the extant TH literature during 1995-2019 as well as its references is taken as the research sample.An integrated quantitative methodology consisting of co-citation analysis,citation network relationship analysis,main path analysis and coupling analysis is employed,step by step,for investigating the knowledge base,the citation relationship between knowledge base(cited literature)and TH studies(citing literature),research thread and academic strands in the TH research domain.The research findings show that the core ideas of TH innovation and research methodology in TH research domain are derived from the classical theories,including entropy theory,evolutionary economics,ternary model theory,"Mode 2"of knowledge production and theory of national innovation system.In addition,the TH research focuses have shifted from the theoretical elaboration on the basic TH concept in the early phase to the quantitative investigation on the TH nonlinear interaction between/among innovative organizations in recent years,yet most literature is only limited to the simple description and characterization of the pattern of bilateral and trilateral relations between/among TH components.Moreover,there are two streams of interrelated TH works in this research domain.Specifically,one strand focuses on quantitative research based on TH algorithm and the other strand devotes on qualitative research based on TH framework.At last,based on research findings deriving from our overview of TH research domain,this study puts forward three prospects for future research,namely,(1)more endeavors are needed to clarify preliminary concept and internal dynamic evolution mechanism of Quadruple Helix,Quintuple Helix or even N-Tuple of Helices which grew out of the original TH model of"Government-University-Industry",and much research is needed to develop new methodology for accurately characterizing the TH interactive mode between the government and other innovative organizations;(2)TH theory in different national contexts,especially in the late-development country context,should be expanded;(3)alternative quantitative methods and data source should be further enriched,which acts as an important foundation for conducting a variety of quantitative TH research.In summary,this study adopts a new overview methodology to implement a systematic overview on extant TH literature,which provides theoretical enlightenment for future studies in terms of how to carry out a comprehensive and in-depth quantitative overview on a particular research field.Besides,our study provides some practical implications for the governments and policy makers in the late-development countries which introduce TH innovation model from the developed countries,such as Europe and the United States,to guide their domestic innovation practices and formulate relevant policies.Undoubtedly,this study not only exhibits a great theoretical value for future research in academic community,but also has an important practical guiding significance in the circle of science and technology policy.