【作者】 许广；

【导师】 岳意定；

【作者基本信息】 中南大学 ， 管理科学与工程， 2011， 博士

【摘要】 知识经济时代,知识成为获取竞争优势的重要资源,科技的创新成为世界各国竞相追逐的强国之路。未来的国际竞争将不可避免的成为知识和人才的竞争,而担负知识创新和人才培养最前沿工作的组织就是高校。高校在知识社会中要承担起与其地位相称的职责,则首先要求高校建立适应知识经济的管理模式,鉴于资源的稀缺性和分布不均衡性,以向合作伙伴学习知识、增强能力为目的的高校知识联盟的出现顺应了知识经济潮流。高校知识联盟是高校为共享知识资源、促进知识流动和知识创新,与其他高校、团队或个人之间通过契约而结成的优势互补、风险共担的松散型网络组织。它有别于有企业参与的知识联盟,高校知识联盟主要强调的是知识的共享和创新,其创新成果属基础研究领域,创新成果更多体现的是其学术价值。本文通过梳理知识共享、知识转移和知识整合等相关理论研究,对知识创新理论的整体理论构架有了清晰的了解,以往相关研究多与有企业参与的知识联盟有关,本文将其应用于对高校知识联盟的研究中,并重点关注知识联盟合作创新的过程模式,在此基础上对高校知识联盟构建的微观机理进行了详尽的分析,确定了高校知识联盟知识转移的边界,即高校知识的隐性特征较一般知识更为明显,并表现出明显的独创性和首创性。高校知识联盟的形成是由于资源的不平衡和知识势差的存在。高校知识联盟的组织形式可以归纳为三种类型：高校间合作、高校团队间合作以及高校学者个人间合作。在此基础上,本文深入到高校知识联盟合作创新具体过程的分析,构建了高校知识联盟合作创新的动态过程模式,并将该过程分为知识激活、知识创新和知识沉淀三个阶段,三个阶段联合起来是一个动态的知识转移过程。高校知识联盟合作创新过程的最直接结果就是提升了联盟各方的学术能力,高校知识联盟合作创新绩效的表现就是学术成果产出的增加、学术水平的提升和学术影响力的提升。论文随后进行了高校知识联盟合作创新影响因素与联盟知识创新绩效关系的实证研究,提炼出认知因素、风险因素、能力因素、成本因素和制度因素等五个影响高校知识联盟合作创新的因素,并将高校联盟知识创新绩效的评价分为隐性绩效和显性绩效,并设计了实证模型及相关假设,研究结果表明,各影响因素对创新绩效的影响基本得到验证,同时在高校合作、团队合作、个人合作三种形式下,影响因素对创新绩效的影响各有不同。为保证论文理论分析的实际应用价值,论文进行了案例研究,通过相关资料的收集、访谈,从实践角度分析了高校知识联盟合作创新的过程。并在此基础上,根据理论和实证研究,结合案例分析的结果提出了实施高校知识联盟合作创新的对策建议。本文的主要创新之处表现在以下几个方面：(1)将知识联盟及知识创新的相关理论引入到探讨高校知识联盟知识创新的过程中,这可能是研究视角上的一个创新。以往关于知识联盟的研究多关注于企业参与其中的知识联盟,本文认为高校知识联盟有别于其他类型的联盟,高校知识联盟知识转移的边界是较一般知识隐性特征更为明显的学术性科学知识,而企业知识联盟创新应用的是已经经过转移的,可被产业化应用的科学知识。高校知识联盟合作创新行为主要集中于基础研究,而非应用研究,创新成果多体现为学术性较强的科学知识以及人才培养。(2)论述了高校知识联盟的构成机理和合作创新的过程模式,可能是对知识联盟研究在理论方面的一个完善。高校知识联盟构建的根本原因在于联盟参与各方资源占有上的不平衡和知识势差,由于知识势差的存在,高校、科研团队、学者们组成了知识联盟进行合作创新。高校知识联盟合作创新有三种形式：高校之间、团队之间、个人之间。本文分别从隐性特征、知识势差、组织学习和转移层次四个方面深入分析了高校知识联盟知识转移的特征。在此基础上,本文构建了高校知识联盟知识创新的动态过程模式,该过程模式分三个阶段,知识激活阶段,知识创新阶段和知识沉淀阶段。(3)提出了高校知识联盟合作创新的影响因素有认知因素、风险因素、能力因素、成本因素、制度因素；高校知识联盟创新绩效包含显性绩效和隐性绩效两个方面。本文构建结构方程模型,应用数据统计软件验证了高校知识联盟合作创新影响因素和联盟创新绩效之间的关系,结果显示,数据验证结果基本符合本文所提出的理论框架。在此基础上,本文从高校与高校、团队与团队、个人与个人合作三个层面,分析了各影响因素在合作创新过程对创新绩效的作用。更多还原

【Abstract】 In the knowledge economy times, knowledge has become an important source of competitive advantage, and technological innovation has become the one of ways for most countries to become the powerful one. Future international competition will inevitably become the competition of knowledge and talent, and the organization responsible for the most cutting-edge work of knowledge creation and training of personnel is the university. Since they assume responsibility commensurate with their status, first of all universities in the knowledge society are required to create management model to adapt to knowledge-based economy. Taking into account the scarcity and the imbalance of resources and in order to acquire knowledge from partners, and enhance capacity university knowledge alliance conforms to the trend of knowledge-based economy.University knowledge alliance is a loose type of network organization of different universities, teams or individuals which is formed with complementary advantages and risks sharing by contract to share knowledge and resources, promote knowledge flows and knowledge creation. Different from the knowledge alliance which companies participate in, university knowledge alliance focuses on knowledge sharing and innovation. Its creation achievement belongs to basic research field and indicates the academic value.By reorganizing knowledge sharing, knowledge transfer and knowledge integration and other relative theoretical study, this dissertation provides a clear understanding of the theoretical framework of the overall innovation theory of knowledge. Most of relative researches are about knowledge alliance which enterprises participate in, while this dissertation applies innovation theory of knowledge to the university knowledge alliance. On this basis, it conducts a detailed analysis of the microscopic mechanism of university knowledge alliance construction to determine the border of the knowledge transfer, and university knowledge has more obvious implicit characteristics with creativity. The formation of university knowledge alliance is due to the imbalance of resources and knowledge potential difference. The organization of university knowledge alliance can be divided into three types:cooperation between universities, cooperation between teams in universities and cooperation between scholars in universities.Then the dissertation probes into the process of university knowledge alliance cooperation and innovation, builds the dynamic process model including knowledge activation, knowledge innovation and knowledge precipitation, three of which constitute a dynamic process of knowledge transfer. University knowledge alliance brings to the enhancement of the academic ability of the alliance parties, showed by the increased output of academic achievements, improvement of academic ability and upgrading of academic influence.It also carries out an empirical study of the relationship between factors influencing university knowledge alliance cooperation and innovation and university knowledge alliance innovation performance, and points out five factors of cognitive factors, risk factors, capacity factors, cost factors and system factors. University knowledge alliance innovation performance evaluation is divided into implicit and explicit ones, and an empirical model and underlying assumptions are designed. The results show that the influencing factors on innovation performance have basically been verified, while in three different forms of university cooperation, teamwork cooperation, personal cooperation, the influencing factors on innovation performance varies.To ensure the value of the practical application of theoretical analysis, the dissertation from a practical point of view analyses university knowledge alliance innovation process through case study, relevant data collection and interviews. And based on theoretical and empirical research, combining the results of case studies it proposes countermeasures to carry out university knowledge alliance cooperation and innovation.The innovation of the dissertation is shown mainly in the following ways:(1) It applies the theory on knowledge alliance and knowledge innovation to the exploration on the process of university knowledge alliance innovation, which may be a new perspective. Most of relative researches focus on knowledge alliance which enterprises participate in, including the hotly discussed industry-university-research knowledge alliance. It thinks university knowledge alliance differs from other types of alliances. The border of the knowledge transfer means university knowledge has more obvious implicit characteristics of academic compared with general knowledge while enterprise knowledge alliance creation applies the transferred scientific knowledge which could be put into the use of industrialization. The fundamental purpose of university alliance knowledge is the cooperation and innovation of knowledge and focuses on basic research instead of applied research. The creative achievements are reflected by scientific knowledge with high level of academic and talents training.(2) It discusses construction mechanism of university knowledge alliance and the process model of cooperation and innovation, which may be an improvement in the theory of knowledge alliance. University knowledge alliance is constructed because of the imbalance of resources by parties and potential difference of knowledge. Due to potential difference of knowledge, universities, scientific research team and scholars make up knowledge alliance to cooperate and innovate in three different ways of cooperation between universities, cooperation between teams, cooperation between scholars. It also conducts a study of features of knowledge transfer from the implicit character, potential difference of knowledge, organizational learning and transfer level. On this basis, it constructs the dynamic process model of knowledge creation in three stages. the active stage of knowledge, the knowledge innovation stage and the precipitation stage of knowledge.(3) It points out factors influencing the construction of the university knowledge alliance cooperation and creation including cognitive factors, risk factors, capacity factors, cost factors, institutional factors and university knowledge alliance innovation performance contains explicit and implicit performance. It constructs structural equation model and verifies the relationship between the influencing factors and innovation performance, and from the cooperation between the universities, teams and individuals, it analyses the influencing factors on innovation performance in the process of cooperative innovation.更多还原