【作者】 马卫华；

【导师】 杨建梅；

【作者基本信息】 华南理工大学 ， 管理科学与工程， 2011， 博士

【摘要】 长期以来,理论界、高校和教育管理部门对产学研合作的认识大多停留在是高校服务社会职能的重要载体,产学研合作经费是高校科研经费的重要补充等层面。这些认识将产学研合作更多地视为高校对社会单方面的付出,并没有从建设高水平大学,一流学术团队的角度认识高校的产学研活动。尤其在高校考核评价体系设计方面表现十分突出,如考核指标强调学术论文、纵向课题等因素,使得产学研课题与纵向课题评价不对等。这种评价导向会导致高校优秀的学术资源并不是投身于产业实际需要中。早在2005年,原教育部部长周济院士曾明确指出“产学研结合是高水平大学、一流大学发展的必由之路”,因此,本文基于产学研合作视角,探讨产学研合作对高校学术团队核心能力成长的作用机理,为高校优化学术团队建设提供理论借鉴和参考,这也是本文研究的目的与意义。本文在案例研究与相关理论梳理的基础上,借鉴企业核心能力的基本观点,从理论上探讨了高校学术团队核心能力的构成,并逻辑层面还原高校学术团队核心能力动态演进的路径。在此基础上,构建产学研合作对于学术团队核心能力形成的作用路径概念模型,以期解释论文研究的核心问题,即通过产学研流入的资源流如何实现有效的学术团队建设过程,最终提高学术团队的研究绩效。论文认为:高校学术团队核心能力增长轨迹是一个核心能力各要素的持续性积累和总体能力间断性跃迁两者相结合的过程。学术团队核心能力的间断性跃迁是核心能力各要素连续性积累的结果;而核心能力各要素的积累是团队核心能力实现跃迁的前提条件。借鉴资源整合的视角,论文进一步分析了学术团队核心能力动态增长路径,提出了基于资源整合视角的学术团队核心能力成长过程及机理的“金字塔”模型,即学术团队核心能力成长过程可概括为“洞察技术需求与学术前沿——技术与知识资源的识别与获取——汲取、激活与融合形成新资源——运用整合资源创造价值”,与之对应资源整合的四个阶段能力,即“资源判断能力——资源识别与获取能力——资源配置能力——资源运用能力”。首先,在现实需求和学科发展趋势之间寻找学术团队的自身定位,形成对团队发展所需资源的认识;其次,识别选择并获取与团队发展相匹配的技术与知识资源,实现团队发展所需的各种创新资源的积累;再次,通过组织学习,汲取、激活并有效融合已选的团队内外部的技术与知识资源,形成团队所特有的新资源,尤其是团队的组织默会知识;最后,运用整合形成的新资源进行价值创造。学术团队核心能力成长机理可概括为:通过资源整合,尤其是组织内外部技术与知识资源整合的全面实施,与团队核心能力成长过程对应的企业需求与学术前沿匹配能力、技术与知识的监测能力、学术团队的组织学习能力与学术创造力,使得学术团队在优先权的竞争中获胜。产学研合作对团队建设的影响则是通过向学术团队提供物质资源和知识资源,突破团队科学研究的资源瓶颈,并通过共享整合互补性知识,产生知识的协调效应,最终创造积累新知识。各类资源流入学术团队系统内部后,作用于学术带头人和整体团队两个层次,通过促进学术带头人能力的培养,提高团队正式化程度,培养团队学习能力,创造团队文化等,影响团队核心能力的构建。基于广东五所高校98个学术团队数据的实证研究表明:产学研广度(合作规模)和深度(合作层次)对学术团队建设与核心能力提升都有着显著的正向影响,即产学研通过影响学术团队建设,进而影响学术团队核心能力。但合作层次对核心能力建设的影响作用强于合作规模,其中,合作规模虽然对团队正式化和学习能力均有正向影响作用,但与合作深度相比,其对团队正式化影响更为突出;合作层次对团队正式化、团队文化氛围、团队学习能力建设均有正向影响,但与合作规模相比,其对团队学习能力影响更为突出。并且团队正式化、团队文化氛围、团队学习能力又较为显著的影响产学研合作与学术团队核心能力之间的关系。团队正式化、团队学习能力在影响关系中起着部分中介作用,文化氛围在产学研合作规模与核心能力建设之间无中介作用,但文化氛围在合作层次与服务社会能力之间是完全中介。团队研究偏好影响产学研合作与学术团队建设之间的关系。研究偏好和项目方向契合度较高时,有利于团队建设。团队人员互补性影响产学研合作与学术团队建设之间的关系。团队人员具有良好的互补性,可使产学研合作对学术团队的影响作用放大。更多还原

【Abstract】 For a long time, the understanding of university-industry collaboration in academic circle, universities, and education authorities has never been changed. They mostly consider that university-industry collaboration is an important carrier of function of the university’s serving society, and that its funding is an important complement to university research funding, and so on. These views of opinion regard university-industry collaboration as a unilateral export from university to society. They don’t recognize the university-industry collaboration activities from the perspectives of high level university construction and first-class academic team development. Especially, it is reflected in the university’s performance evaluation system such as assessment indicators mainly emphasizing on“academic papers”and“vertical projects”, which makes unequal evaluation on between university-industry projects and vertical projects. The guidance of this evaluation leads to the fact that the excellent academic resources of universities were not devoted to the actual requirements of industries. As early as 2005, the former Minister of Education Zhou Ji, pointed it out clearly that“university-industry collaboration is the sole way for the development of high level university and first-class university”. Therefore, from the point of the view of university-industry collaboration, the mechanism of the effect of the university-industry collaboration to the academic team core competence in universities is explored in this dissertation, which can provide the universities with some theoretical implication for optimizing academic team building. This is also the purpose and significance of this study.Based on case studies, related theories and use for reference of firm core competence viewpoint, this dissertation investigates the components of university academic team’s core competence theoretically, and restores the dynamic evolutionary path of university academic team’s core competence logically. On this basis, this study builds a conceptual model on how university-industry collaboration impacting on the formation of the academic team’s core competence. It is useful to explain the core research issues of this dissertation, namely, how academic team can be built effectively through the resources flowing from university-industry collaboration, and how its research performance can be ultimately improved.The dissertation proposes that the development locus of the university academic team’s core competence is a combining process of the continuity accumulation of core competence’s various elements and overall capacity intermittent transitions. The intermittent transitions of the academic team’s core competence is the result of the continuity accumulation of core competence’s various elements, meanwhile the elements’accumulation is the prerequisite of the transitions. Based on resource integration theory, this dissertation further analyses the dynamic growth path of the academic team core competence and proposes a“pyramid”model on the growth process and mechanism of the academic team core competence. The growth process of the academic team core competence can be summarized as“insight into the technical requirements and academic frontiers, identification and acquisition of technology and knowledge resources, to assimilate, activate and integrate into new resources, and to create value through those integrated resources”. There are four different corresponding capabilities, namely,“resources judgment capacity, resources identification and acquisition capacity, resources configuration capacity, and resources exploitation capacity”. First of all, the academic team’s own position should be determined between reality needs and discipline development, in order to better understand the required resources for team development. Secondly, the technology and knowledge resource matching with team development should be identified and acquired, in order to achieve the accumulation of a variety of innovative resources for team development. Thirdly, new and team-specific resources, especially tacit knowledge, should be formed through organizational learning, activation and effective integration of the team’s internal and external technology and knowledge resources. Finally, the new and integrated resources should be used to create value. The growth mechanism of the academic team’s core competence can be summarized as“to make the academic team win the competition in the priority through a series of factors which are resources integration, especially, the implementation of the internal and external technology and knowledge resources integration, the ability to match the industry needs and academic frontier in the growing process of team core competence, the ability to monitor technology and knowledge, and the organizational learning ability and academic creativity of the team.”The university-industry collaboration impacts on team building by providing material resources and knowledge resource, which helps teams to break through the bottleneck of the resources of scientific research. Eventually, the academic teams create or accumulate new knowledge by integrating and sharing complementary knowledge to generate knowledge coordination effect. Various resources will impact two levels of both the team’s academic leaders and the whole team, respectively, after they flow into the academic team system. They will influence the team’s core competence building via promoting the ability of academic leaders, improving the formalization of the team, developing team learning ability and creating team culture, and so on.The empirical study of this dissertation is based on 98 samples (academic teams) collected from five universities in Guangdong Province. The results show that the scope (scale) and the depth (level) of university-industry collaboration are positively related to both the academic team building and the core competence improvement, namely, the collaboration influences the team core competence through the effect of the team building. However, the cooperation depth has more effects on team core competence building than cooperation scope does. The cooperation scope has a positive impact on both team formalization and learning ability, but compared with cooperation depth, it has more prominent performance on team formalization. Cooperation depth has positive impacts on team formalization, team culture, and team learning ability. Compared with cooperation scope, however, it has more effects on team learning ability. Team formalization, team culture and team learning ability all have significant impacts on the relationship between university-industry collaboration and team core competence building. Team formalization and team learning ability have partial mediating effects on the relationship. Team culture has complete mediating effects on the relationship between cooperation depth and serving society ability, but it doesn’t have mediating effects on the relationship between cooperation scope and team core competence building. Team research preference has an impact on the relationship between university-industry collaboration and academic team building. When team research preference fits the project direction, it will benefit the team building. Team members’complementarities have an impact on the relationship between university-industry collaboration and academic team building. The perfect complementarities among team members can enlarge the impact of university-industry collaboration on academic team.更多还原