【作者】 李飞；

【导师】 陈劲；

【作者基本信息】 浙江大学 ， 教育经济与管理， 2014， 博士

【摘要】 本研究基于我国产学合作的现实情境问题,以文献分析、探索性案例等研究方法,对大量文献材料进行研究梳理以及对4家典型案例企业进行比较分析,从跨组织关系管理的视角构建了创业导向的产学协同创新机理理论模型；随后,通过对177家样本企业的问卷调研和数据分析,对创业导向产学协同创新机理的理论模型作了实证研究,并给出了提升创业导向产学协同创新绩效的若干政策建议。我国自上世纪90年代实施“产学研联合开发工程”以来,从“科教兴国”“创新型国家建设”发展到“协同创新”的战略导向,逐步将大学在国家创新系统中的地位提高到当前空前重要的水平。纵观世界经济社会环境,以技术创新为核心的竞争态势已进入白热化阶段,迫切需要通过全面技术追赶和局部技术赶超的战略来提高我国自主创新能力。近年来,通过教育体制机制的改革与社会办学资源的投入,我国高等教育的质量得到了显著提升。然而,大学与产业的结合还不够紧密,产学协同创新的瓶颈和障碍依然存在,产学合作在创新创业联动机制下衍生出更多需要解决的新问题。本研究基于现实情境,通过剖析创业导向产学协同创新机理,以期为当前协同创新实践提供理论支持与实践指导。本研究提出了重点解决的三个科学问题：第一,从企业与大学的协同关系管理的视角,分析提出不同类型产学协同关系对创新绩效影响的概念模型；第二,以智力资本为中介变量,剖析产学协同创新机理；第三,在创业导向的战略态势下,如何管理产学协同关系,提升产学协同创新绩效。首先,本文通过对产学协同创新、智力资本、创业导向、创新政策等大量文献的研究,分析了相关理论体系的基本内容与发展现状,提炼和总结了本研究所涉及的科学问题和理论概念,并对相关理论概念、基本假设、研究变量、变量间的影响关系等进行了全面梳理。其次,本文选取了北京QHTF股份公司、浙江XHC股份公司、苏州ZDXB医药科技公司、浙江ZHJD股份公司等四家典型案例企业,通过对案例企业产学协同创新历程的客观记录、整理分析、比较研究和归纳总结,用探索性案例研究方法提出了创业导向产学协同创新机理的基本理论假设。在本文的第四章中,基于文献综述、探索性案例研究的基础,进一步结合对相关研究文献的深层次理论探讨,提出了产学协同关系与创新绩效、产学协同创新机制、创业导向对产学协同关系与创新绩效的调节作用等相关理论问题的影响路径、影响关系和假设命题,构建了产学协同关系对创新绩效的影响概念模型、产学协同创新作用机制(中介效应)概念模型、创业导向对产学协同关系与创新绩效关系的调节作用模型等三个子理论模型。接下来,本文采用问卷研究方法,通过电子邮件、现场发放、网络填写、聘请第三方专业信息服务公司等问卷采集渠道向企业高管发放问卷。调研过程中,回收问卷241份,其中有效问卷177份。利用SPSS、AMOS等软件对数据进行统计分析,对创业导向的产学协同创新机理理论模型作了实证研究。研究结论指出,关联型产学协同关系、交易型产学协同关系对企业创新绩效存在正向的交互作用,智力资本是产学协同创新过程中的关键中介变量,创业导向对产学合作过程的部分创新路径起到正向的调节作用,并总结提出了产学协同关系对创新绩效的作用机理、产学协同创新机理(中介效应模型)、创业导向对产学协同过程的调节作用机理等理论模型。随后,通过能力、过程、资源、环境的创新政策分析框架,对当前产学协同创新政策进行了梳理分析,并结合本文研究成果提出了创新政策的设计思路。依据创业导向产学协同创新机理的理论模型,结合我国当前产学协同创新实践的背景和问题,本文给出了提升我国产学协同创新绩效的若干政策建议。最后,对本文的主要研究结论、理论贡献和实践启示等进行了总结,并从产学协同关系的测量、产学合作在学科上的差异性、跨组织关系的动态性管理等角度指出了本研究存在的不足之处。本文认为,产学协同关系管理的深化研究、多元化战略与产学协同关系管理、产学合作伙伴的搜索与匹配等都将是未来值得探索的重要理论问题。总得来说,本文采用文献分析、探索性案例研究、问卷调研、管理统计分析等研究方法,以跨组织关系管理的视角提出并构建了创业导向产学协同创新机理理论模型,发展并完善了协同创新管理理论体系,在智力资本、创业导向等研究领域也提出了一些有价值的理论发现,对指导我国产学协同创新实践和提升我国自主创新能力具有非常重要的意义。更多还原

【Abstract】 Based on the contextual issues about the collaboration practice between industry and university, the paper analyses a mass of literatures and makes exploratory case study on four typical companies. And then, the research establishes the theoretical framework of entrepreneurship-oriented industry-university collaboration innovation (EO-IUCI) from the perspective of inter-organization relationship management. With the statistical analysis on the177samples of target firms, the paper does empirical research on the model of EO-IUCI and proposes some suggestions for making the innovation policies about the industry-university collaboration at the same time.Innovation-oriented strategies go through several different stages in the past twenty years in China. Today university plays a much more important role in the national innovation system than before. As the international competition being intense, the independent innovation capability should be improved through technology catching-up and surpassing strategy immediately. But now, the performance of IUCI is not good and there are still some obstacles in the collaboration. Based on this, the paper proposed three problems to be solved. First, how different types of industry-university collaboration relationship (IUCR) influence the firm innovation performance. Second, how does the intellectual capital (IC) acts as an intervening variable in the IUCI model. Third, with the entrepreneurship-oriented (EO) strategy, how managing the IUCR to improve the firm performance.At the beginning, the paper makes a systematic analysis on the current theoretical frameworks, hypothesis, variables and relationship between different variables through literature research on the IUCI, IC and EO. The scientific problems and the theoretical concepts which the research focus on are extracted. For constructing the primary theoretical framework, the research picks up four typical sample firms and makes exploratory case study on them.In the chapter4, the paper proposes all the hypothesis about the EO-IUCI model with further theoretical discussion on the base of literature research and exploratory case study. Until now, the EO-IUCI concept model has been constructed including three sub-model. The paper illustrates the conceptual modes about how IUCR influencing performance (RP model), mechanism of IUCI (RIP model) and how EO influencing the process of IUCI (REIP model).Empirical research is made for testing the conceptual model in the chapter5. The paper collects analysis dates from177sample firms through email, field survey, online survey and a professional information survey company. The results of empirical research indicate that related relationship and transactional relationship between industry and university have a positive interaction role in improving the firm performance and the IC plays a key intervening role in the process of IUCI. Meanwhile, the paper also indicates that EO would play a positive regulating effect on some paths of IUCI. In summary, there is a good fit between the conceptual model and sample dates. The paper proposes a tested theoretical model of EO-IUCI including RP model, RIP model and REIP model.Next, with the capability-process-resource-environment analysis framework of innovation policy, the paper makes analysis on the current policies for IUCI and brings up a guide for designing the innovation policies. According to the theoretical model of EO-IUCI, the paper gives some suggestions for improving the performance of IUCI based on the background and problems of the IUCI practice in China.At the last, the paper makes a conclusion of research results, theoretical contribution and practical implications. There still is some insufficient in this research in view of deep research of industry-university collaboration relationship, IUCI difference in different disciplines and inter-organization relationship dynamics. The paper also indicates that some theoretical issues are worth to be focus on in the future, such as further research on the management of IUCR, relationship between diversity strategy and IUCR, collaboration partnership searching and matching and so on.In summary, the paper explores and establishes the model of EO-IUCI from the perspective of inter-organization relationship management. The results of this research are very important at the development of the IUCI theory system. There are some valuable contributions for the development of IC and EO theory at the same time. EO-IUCI model and research conclusions will play a significant role in guiding the IUCI practice and improving the independent capability in China.更多还原