【作者】 罗泽意；

【导师】 董维春；

【作者基本信息】 南京农业大学 ， 教育经济与管理， 2011， 博士

【摘要】 国家知识创新体系和创新型国家建设已成为世界各国的重要发展战略之一。大学作为新知识和新技术的重要发源地,在国家知识创新体系和创新型国家建设中具有举足轻重的地位。作为以追求知识及知识创新为重要组织愿景的大学,其知识创新能力的提高直接关系到国家知识创新体系和创新型国家建设的进程。本研究首先从大学的本质属性探讨创业型大学的逻辑源头。认为,创业型大学的逻辑源头是知识创新能力；知识创新能力是大学得以进行创业的基础。以此论点结合经济学中“资源总是处于稀缺状态”的基本假说作为本论文的逻辑起点,运用制度变迁理论从理论上判定“中国的大学在自主权扩大的现实情境之下,必然出于效率机制向创业变迁,出现创业趋向”。其“趋向”性主要表现为“政府-大学-企业”三螺旋的稳定性和成熟性不够。制度主义认为,合法性机制和效率机制共存互补,合法性与效率之间的张力是制度变迁的决定性因素之一。基于合法性与效率对制度变迁的影响,本研究进一步假定“资源对于组织发展而言总是处于相对稀缺的状态。”基于这两个理论前提,本研究针对中国大学知识创新情况结合理论分析提出三个研究假设：(1)在大学取得相当自主权,合法性机制得到改善的情境之下,大学知识创新会偏向于效率而会采取“政府-大学-产业”三重螺旋协作发展这种富有效率的方式来提高知识创新能力,走向创业。(2)现代大学为了提升知识创新能力必然采取一种贴合市场经济的行为寻求新的外部资源,学术资源逐渐向学术资本转变,形成学术资本机制。而且,这种学术资本机制的出现能够对大学知识创新能力提高起到正向作用。(3)当代中国大学产生创业趋向,向创业型大学变革是一种演化性的诱致性制度变迁。政府在其中发挥了重要的作用。中国大学知识创新行为和制度的变迁验证了上述的三个假设。在高等教育体制改革中取得了较大自主权的大学,合法性机制变相对得到改善。受效率机制的影响,拓展了组织外围,出现创业趋向。这种创业趋向的出现是一种诱致性渐进式制度变迁的过程和结果。政府在其中发挥了比较重要的作用。三螺旋是一种知识创新结构。它同时是一个社会的博弈规则,是型塑人们互动关系的约束,或者更准确地说是鼓励人们的某种行为,因而也可以说是制度的一种。知识创新的三螺旋和创业型大学有着密不可分的关系：创业型大学是三螺旋发展的动因；三螺旋是发展创业型大学的手段和基石。在本研究的第3章,采用三螺旋理论作为分析工具,检测和分析了大学创业趋向在外部关系中的表现和变迁过程。通过对大学知识创新行为的研究发现,中国大学通过拓展组织外围,逐渐同企业和大学之间形成三螺旋并在三螺旋中走向创业。科研院所也同企业、政府形成了一个三螺旋。根据对1998-2008年国家科技进步奖涉农奖项的考察,通过实证分析探究了大学参与知识创新三螺旋中的效率导向。认为,效率因素是促使大学同其它组织进行合作知识创新的重要动因,并探讨了知识创新三螺旋提升创新效率的原因。在检测和分析大学创业趋向在外部关系中的表现和变迁的过程中,基于中国的现实对三螺旋理论进行了本土化修正,提出“蝶形三螺旋”概念,并认为构建“蝶形三螺旋”将是中国大学进一步走向创业的良好选择。制度的作用实现需要内化到组织内部,必然在大学内部得到体现。大学内部学术资本机制的产生是大学创业趋向在大学内部的重要表现形式。对于大学本身而言,学术资本机制是大学参与到蝶形三螺旋中进行创业的微观动力基础。学术资本机制的目的是为了保持和扩大资源、获取外部资金的支持,是大学创业活动的集中表现。分析了大学创业趋向的外部表现和变迁过程之后,本研究在第4章运用学术资本机制的分析工具从制度变迁理论的视角分析了大学内部学术资本机制的形成原因和具体表现。根据第3章中“三螺旋在2003年左右开始形成”的结论,通过教育部直属的7所涉农大学2000-2009年的面板数据,以2003年为分界点构建了两个模型。两个模型估计结果表明：2003年之后,大学内部的学术资本机制开始出现；学术资本机制对大学知识创新能力的提高有一定的促进作用。大学创业趋向除了在外部关系和内部机制上得以体现之外,还会在微观的行为和组织架构上得以体现。第5章选取西北农林科技大学作为案例,对大学创业趋向在组织架构和微观行为方面的体现和变迁进行了分析。从组织架构和实际微观创业行为上看,大学既继承了以往的某些制度,又参入了一些现代元素。在组织构架上,大学继承原有的组织架构,成立了“科技推广处”和“技术转移中心”等管理机构,加强了创业的领导力；从大学创业活动的实际行动表现看,大学的创业活动是以面向农户、政府、企业的立体农业知识创新成果转化和推广为主要载体,在公益和收益的平衡中走向创业。机遇总是与风险并存。向创业型大学的转型也有各种各样的风险。在第6章,本研究对大学如何保持创业的持续动力和如何避免完全沦陷为“公司”的风险进行了初步思考。认为,包括“蝶形三螺旋”、大学治理制度、内部学术权力和行政权力的合作博弈机制等在内的制度体系是创业型大学保持创业动力和健康发展的保障性要素。建立全面大学治理的正式制度和培育“弱利他主义”理念的非正式制度是加强对大学创业行为监督、保持创业健康的保障。学术权力和行政权力的合作博弈机制、引导默会知识的正式和非正式制度是激活学术中心地带从而走向持续创业的重要元素。构建并推进“蝶形三螺旋”制度是大学拓展发展外围,走向创业的重要途径。在本研究的第7章对全文的主要结论进行了总结,并就研究的进一步拓展经行了简要讨论,提出了创业文化相关研究、创业风险与规避、创业型大学构建过程中学科协调问题、跨边界合作教育、大学与地方政府的平等合作模式5个研究展望。更多还原

【Abstract】 Construction of National knowledge innovation system and innovative country has become one of the important development strategy worldwide. As an important source of new knowledge and technology, university played a key role in construction of National knowledge innovation system and innovative country. The universities aim to pursuit of knowledge and knowledge innovation, their Innovative capabilities of knowledge directly related to the national knowledge innovation system and the process of building an innovative country.This study discusses the logical source of entrepreneurial universities starting from the essential attribute of the University; Knowledge innovation ability is the logical source of entrepreneurial universities, and it is also the basis of entrepreneurial universities. On this point, we regard the hypothesis that resource is always state of scarcity in economics as a logical starting point of this study. Based on the theory of institutional change, we come to the conclusion in terms of theory:As the expansion of decision-making powers, universities in China will change toward to Entrepreneurship affected by efficiency mechanism.Institutionalism holds that the legitimacy and efficiency of mechanisms for coexistence of complementary mechanisms, the tension between legitimacy and efficiency of institutional change is one of the decisive factors. Bases on the change of legitimacy and efficiency of the system, this study further assumes that "the development of resources in terms of the organization is always in the state of relative scarcity. This study further assumes that "the development of resources in terms of the organization is always in the state of relative scarcity". Based on these two theoretical premises, the study put forward three hypotheses: (1) In the case of universities achieving autonomy and legitimacy mechanism has improved, knowledge Innovation will be biased in favor of efficiency to take the "Government-University-industry " Collaborative Development of Triple Helix, which is a highly efficient way to improve the ability of knowledge innovation.(2) In order to enhance the knowledge innovation ability, modern universities must take some measure of the market economy to seek new external resources. Then academic resources change to academic capital and form academic capitalism. The emergence of academic capitalism can play a positive role in improving knowledge innovation abilities.(3) Contemporary Chinese universities tend to pioneer, the entrepreneurial university is an evolutionary change in the induced institutional change, in which the government played a very important role.The change of Chinese universities knowledge innovation behaviors and system verified the three assumptions above. The universities achieved much more autonomy in the higher education system revolution, their legitimacy system also improved at the same time. Affected by the efficiency of the mechanism, expand the organization’s perimeter, the trend of entrepreneurship. is undergoing. This trend induces incremental process of institutional change and results, in which the government played an important role.The "Triple Helix" is a structure of knowledge innovation. It is also a social game rules, which shapes and bounds the interaction relationship between us. More precisely, it can encourage people to make an act. The "Triple Helix" of knowledge innovation is closely and inseparably related to entrepreneurial universities:entrepreneurial universities can be seen as a motivation of the "Triple Helix". The "Triple Helix" of knowledge innovation is the means and foundation of developing entrepreneurial universities. In Chapter 3 of this study, regarding the "Triple Helix" as Analysis tool, the performance of the external relations and the change process of entrepreneurial trends of universities are detected and analyzed. In the search of knowledge Innovation behaviors, we found that by expending external organizations, universities gradually form the triple helix with companies and government in three-helix. According to the National Science and Technology Progress Award 1998-2008 Investigation of agriculture-related awards, the empirical analysis explores the involvement of universities in knowledge and efficiency in the triple helix of innovation-oriented. Efficiency factor is to promote cooperation with other organizations, knowledge innovation important motive of the University, and the Triple Helix of innovation to enhance the knowledge of innovation efficiency reasons. In the process of detection and analysis for the performance of the external relations and the change process of entrepreneurial trends of universities, we have modified the "Triple Helix Theory", proposed a "butterfly triple helix" concept, and predicted that the "butterfly triple helix" will be a good choice for further development of the entrepreneurial universities.The realization of the role of institution needs be internalized within the organization. And it must be reflected within the university. Academic capital Mechanisms is an important form of entrepreneurial trends of universities within the University. For the University itself, academic capital Mechanisms is the basis of micro-power for the universities involved in the "butterfly triple helix". The purpose of academic capital Mechanisms is to maintain and expand the resource of university, access to external funding support. It is the embodied of the entrepreneurial activities within the university. After the performance of the external relations and the change process of entrepreneurial trends of universities were detected and analyzed, the causes and specific performance of academic capital Mechanisms have been analyzed in Chapter 4 of this study. On the basis of the conclusions that the triple helix had taken shape in 2003, two models were created, based on the panel data of the agricultural universities who directly under the Department of Education, and it was the cutoff point in 2003. The estimated results of two models show that the academic capital mechanism had emerged in universities, and the academic capital mechanism can promote the knowledge innovation ability of universities.The entrepreneurial trends of universities are not just reflected in the external relations and internal mechanisms, also reflected in the microscopic behavior and organizational structure. Northwest A & F University was selected as a case in Chapter 5 of this study. The organizational structure and micro-behavior of entrepreneurial trends of universities and their change had been analyzed. The microscopic behavior and organizational structure of entrepreneurship not only produce some of the previous the institution, but also participate in some modern elements.As to the actual performance of Entrepreneurial activities in the universities, entrepreneurial activities in China agricultural universities are for farmers, government, enterprises, three-dimensional transformation of agriculture and promotion of knowledge innovation as the main carrier.Chances mean risks. The transformation of the entrepreneurial university has a variety of risk. We were thinking about how to keep sustainable development toward to entrepreneurial universities and how to avoid universities fully being occupied as the "company", in Chapter 6 of this study. The system involves the university management system, cooperative game system of academic power and administrative power, which is the key element to maintain the healthy development of entrepreneurial drive. It is the activation of important elements in the academic center that the cooperative game institution of academic power and administrative power and formal and informal institution to guide tacit knowledge. Building and promoting the "butterfly triple helix" institution is an important way to expand peripheral development and go towards entrepreneurship for the universities.The main conclusions of this study were summarized in Chapter 7. Five prospects have been proposed. They are studies about entrepreneurial culture, risk and its avoidance of entrepreneurship, how to coordinate the relationship between arts, sciences and engineering while building the Entrepreneurial University, cross-border cooperation for education and the equal cooperation model of university and the local government.更多还原