【作者】 张在群；

【导师】 原毅军；

【作者基本信息】 大连理工大学 ， 经济系统分析与管理， 2013， 博士

【摘要】 当前科技发展日益迅猛,技术创新作为提升国家创新能力的最重要途径,已经成为推动国家经济发展的关键因素。在诸多技术创新的方式中,产学研协同创新逐渐成为最重要的技术创新方式之一。企业与高校、科研院所的协同创新是知识积累和技术创新的必经之路。通过产学研协同创新来推动国家创新能力的提高和企业竞争力的增强是世界各国经过多年发展得出的普遍共识。本文在阅读大量国内外的产学研协同创新案例后发现,一些国家通过发展产学研协同创新,创新能力得到了较为显著的提高,而有些国家虽然也进行很多产学研协同创新的项目,但是效果甚微。造成这种现象的最主要的原因之一,是政府的相关部门在推动产学研协同创新中发挥的作用不同,引导协同创新的方式也有所差别。因此深入研究在产学研协同创新中政府的引导作用是非常重要的。中国的产学研协同创新主要是以市场为导向,以企业为主体、以高校和科研院所为技术依托,强调政府的引导作用。通过建立产学研协同创新示范基地、搭建产学研协同创新平台等方式来推动产学研协同创新全方位的发展,而且经过多年的探索和发展已经取得不少成绩。通过产学研协同创新,企业提升了自主创新能力,科研院所和高校也提高了自身的科研能力并推动了科研成果产业化。但是,应该清醒地认识到,随着中国的经济发展对产学研合作的要求不断提高,产学研协同创新的后劲愈发不足,暴露出的问题也越来越多。一是某些产学研协同创新项目的形成机制不科学,政府牵头“拉郎配”的现象屡见不鲜,结果导致产学研项目的成功率不高。二是产学研协同创新的运行机制绩效偏低,使得有些产学研项目的形式大于内容,实际成效不显著。三是政府对产学研协同创新的运行机制和发展模式缺乏系统的研究,不能充分和有效地发挥政府的引导作用。基于以上问题,本文着重分析如何发挥政府的引导作用来改进和完善产学研协同创新的绩效。本文首先深入研究了产学研协同创新的形成机制,分析了协同创新主体的策略选择以及在政府引导下产学研协同创新主体如何进行高绩效的协同创新,并总结了产学研技术领域中,即行业内的共性技术和企业内的应用技术两方面如何进行合作创新。继而进一步探讨政府引导的条件下,影响产学研协同创新的利益协调的因素以及协调模式,从而提出相应的利益分配措施。本文从产学研协同创新的运行机制的角度来研究产学研协同创新的动力机制、知识转移机制和风险控制机制。本文分别从共性技术和应用技术两个产学研合作的技术领域分析了产学研协同创新的具体实现路径,并运用合作博弈方法,研究了政府引导下的研发策略。针对企业应用技术,利用调研数据检验了政府引导对于产学研协同创新绩效的改善作用。在此基础上。进一步提出了确定性和不确定性两种情况下的策略选择,从而得出政府引导下产学研协同创新模式的博弈矩阵和策略。据此结论,为政府明确对产学研协同创新支持的政策着力点提供理论依据和政策建议。最后,本文利用案例分析的形式对政府引导下的产学研协同创新机制进行更为深入的分析。把具有典型意义的沈鼓—大工技术研究院作为案例分析的主要内容,通过分析研究院的形成以及运行机制,对上文的理论部分予以印证,具体分析和总结了此“科研特区”成功案例的政策背景及政策效应,对今后政府制定产学研协同创新的相关政策提供丰富的理论基础和坚实的实践依据。更多还原

【Abstract】 With current increasingly rapid development of science and technology, technological innovation has gradually become a key factor to promote the country’s economic development, and as the one of the important ways to enhance the national innovation capacity, the industry and university collaborative innovation has gradually been concerned. Collaborative innovation of enterprises, scientific research institutes and universities has become an important and the only way for the accumulation of knowledge and technological innovation. It is a general consensus for the world to promote the enhancement of the national innovation capability and competitiveness of enterprises through industry and university collaborative innovation. After studying a large number of domestic and international industry and university cooperation cases, we found that some countries’innovation ability has been significant progress through the development of industry and university cooperation, however some countries do a lot of industry and university cooperation projects, it had little effect. The main reason caused this phenomenon is that the relevant departments of the government play different roles and different guide in promoting the industry and university collaborative innovation. Therefore, it is important to in-depth study the role of government in the industry and university collaborative innovation.China’s industry and university cooperation is market-oriented, and enterprises are the core body, also the universities and research institutes are technical support, emphasizing the role of the governmental guidance. Through the establishment of cooperative demonstration bases and cooperative platform to promote research cooperation all-round development, we achieved a lot after years of exploration and development. Through industry and university cooperation, enterprises enhance the capability of independent innovation, and research institutes and universities improve their own ability to research and promote scientific research achievements into. Firstly, in China, the formation mechanism of the industry and university cooperation is not scientific, and the phenomenon that the government makes the "forced marriage" is often seen. As a result, success rate of the industry and university cooperation project is not high. Secondly, in China the efficiency of the industry and university cooperation collaborative innovation is low in operating mechanism, making some research projects focusing on form more than content, which has low effectiveness in fact. Thirdly, the industry and university cooperation’s mechanism and development model of collaborative innovation on the government is lack of systematic research, which cannot be fully and effectively playing the guiding role of government. Based on the above issues, this paper mainly analysis how to play the guiding role of the government to improve the efficiency of the industry and university cooperation collaborative innovation in the perspective of the government.Firstly, this article in-depth studies the formation mechanism of the industry and university collaborative innovation, and analyzes the cooperative bodies’strategic options and how to make collaborative innovation efficient under the guidance of the government. We also summarize how to cooperate and innovate with industrial common technology and enterprises’applied technology in the technical field of industry and university. Then we discuss the factors to coordination of interests and the coordination mode in industry and university collaborative innovation under the governmental guidance, and further given the appropriate distribution of benefits. Based on the operational mechanism of industry and university collaborative innovation, we researched the dynamic mechanism, knowledge transfer mechanisms and risk control mechanisms.This article analyses the achieve path to industry and university collaborative innovation from the field of common technology and applied technology, and use cooperative game to give the R&D strategy under the governmental guidance. For enterprise’s applied technology, we give the strategic choices under uncertainty and uncertainty cases to arrive at the game matrix and strategies of industry and university collaborative innovation mode under the governmental guidance, pursuant to which the conclusions for the government provides the countermeasures and suggestions of policy focus on industry and university collaborative innovation.Finally, this paper makes a case for the more in-depth analysis of industry and university collaborative innovation form mechanism under governmental guidance. The typical sense of Shenyang Blower-Engineering Technology Research Institute as the main contents of the case, the above theoretical part is to be confirmed by analyzing the formation and operation mechanism of the Institute. We analyze and summary this success story which is the policy effects and policy background of research SAR to provide the theoretical basis and a solid practical basis for future government formulating policy of industry and university collaborative innovation.更多还原