中国大学参与国家创新系统的模式研究

【作者】 陈桂尧；

【导师】 马庆国；

【作者基本信息】 浙江大学 ， 管理科学与工程， 2005， 博士

【摘要】 作为现代社会中最重要的组织机构之一，大学的社会职能已经超越了教育与科研，与社会经济发生了难以割裂的联系，服务市场逐渐成为高校第三职能。高校职能的实施状况，及其与产业部门等其他社会组织之间的联系，对于一个国家的创新能力和可持续发展具有举足轻重的影响。中国高校能否充分发挥自身的作用，对于面临工业化和知识化双重挑战，实施和平崛起战略的中国尤为重要。但迄今国内学术界尚缺乏专门而系统的研究。本论文从大学在国家创新系统中的地位和作用入手，以纵向历史考察为经：大学提供教育和培训，因而天然地成为国家创新体系中的一个主体，20世纪以后，某些内在与外在因素的共同作用使得大学以更复杂的方式参与国家创新系统成为必然--大学不仅是创新系统中作为基础研究提供者的学术界的典型代表，而且通过与产业界的互动所形成的复杂网络日益深入地参与到国家创新系统中；以横向比较分析为纬：对比国外大学在国家创新系统中的地位与作用，结合我国的实际情况，对我国大学在国家创新系统中的职能及其与其他主体的关系问题进行了归纳分析。针对关于国家创新系统中大学定位这一争论焦点，本文指出争论其实在于大学和产业界的关系问题，或者说是大学在何种程度以何种方式参与市场的问题。由此将镜头对准我国大学与产业界边界日益模糊的商业化技术转移模式，通过研究中国大学实施技术转移的各种模式，分析我国国家创新系统中大学参与市场的程度和方式及其客观原因，并根据这些模式对促进技术转移和产业发展的重要性从中确定作为以后章节的研究重点--合作研究模式与高校科技企业模式。本文采用问卷调查和统计分析的方法对合作研究模式的动机、效果及其影响因素进行了实证研究，得到了一些结论：大学和企业参与合作研究的强势动机都指向资金需求，企业信任大学的基础研究能力，但在主观动机上则视利用大学研发资源解决应用研究及商业化生产为次优方案；大学参与合作研究的动浙江大学博士学位论文机与其效果之间不具有相关性;对合作研究效果影响因素的实证分析进一步证明了大学与企业是国家创新系统中关系密切但职能不同的两个主体，大学以教育培训和基础研究为己任不仅有助于大学学术能力的提高而且最终有利于企业技术的发展，但大学对于资金的现实需求又使得大学在基础性学术研究与商业化应用研究之间艰难地寻求某种平衡。作者希望通过实证研究对前文的规范研究提供佐证，并为后面的政策建议提供实证基础。 对于大学科技企业模式的研究则采用案例分析的方式进行。以清华紫光为例，说明大学科技企业模式是在我国特定时期的特定历史条件和制度环境下发展出来的，其产生有着一定的历史必然性。只要我国风险资本市场不完善、产业界创新能力不得到根本性提高，大学科技企业就会存在下去，企业与学校之间的博弈也会存在下去。一方面大学科技企业并不是真正意义上的市场主体，但是参与市场就需按市场规则游戏;另一方面大学最终掌握实际控制权因而大学科技企业还需满足大学设定的目标，这必然导致矛盾的产生。从长远来看，积极从事基础性知识生产的研究型大学对经济的推动、对国家创新系统发展的作用是根本性的。大学与市场的联系必须在尊重这一原则的条件下进行，才会给大学和产业界双方带来持久的收益。 在此基础上，文中提出若干政策建议:重构国家创新系统中各主体的关系，建立多元化的大学体系，正确处理高校直接涉足经济活动、创办并运营企业的独特现象，培育风险资本市场，大力建设催生衍生企业的环境。并对该课题未来的研究方向提出展望。关键词:大学，国家创新系统，参与模式，合作研究，大学科技企业更多还原

【Abstract】 University is considered to be one of the most important organizations of a modern society; its social function goes beyond education and research, coming into indispensable relation with society and economy. Serving the needs of the market has become the tertiary function of the university. The actual conduction of university’s function and its link with industrial sections and other social organizations exert a significant impact on a country’s innovation capacity and its sustainable development. Whether an institution of higher learning can make the best of its strengths exerts even greater influence on present China when the country is undergoing industrialization and intellectualization and following the policy of peaceful rejuvenation strategy. However, this issue is lacking specific and systematic research in the Chinese academia.Starting from the status and function of the universities in national innovation system, this article makes a vertical historic analysis and finds out: the university provides education and trainning so as to become natually one of the main bodies in national innovation system; after entering into 20th century the mutual action of some internal and external factors made it logical for universities to participate in the national innovation systen in a more complicated pattern-the universities are not only the representatives of the academia as providers of basic research but also increasingly go deep into national innovation system through a complex network with industry. On the other hand a horizontal comparison is carried out on the status and role of universities among OECD countries and China, then an inductive analysis is made in terms of the function of Chinese universities and their relations with other main bodies in national innovation system.In view of the discussion focus on orientation of universities in national innovation system the article points out that the focus lies in the relation between the universities and the industry, or the degree to which and the way in which theuniversities participate in the market. On such basis the modes of commercialized technology transfer in which the boundry between the universities and the industry tends to blur is aimed at. According to the degree of importance to which all kinds of modes promote technology transfer and industry development, the cooperative research mode and the university-owned technological enterprise mode are selected for more study.The article makes a positive study On the motives, the results and the factors affecting results of the cooperative research mode using questionaire and statistical analysis, and some conclusions are drawn: the strong motives of both the university and the enterprise which participate in the cooperative research point to seeking funds; the enterprise has confidence in the university’s basic research capacity but view the university’s research resources as the secondary programme to solve the problem of applied research and commercialized production; the motive of university participating in the cooperative research is not related with the results; the university and the enterprise are the two main bodies in national innovation system which have different functions and close relations, it helps to promote the university’s research capacity and the enterprise’s technology development for university to focus on education and basic research; however, the university’s need for funds makes the university to strive for balance between basic research and commercialized applied research.The study on university-owned technological enterprise mode is made with case analysis. Using Tsinghua ziguang as the example, the author explains the emergence of university-owned technological enterprise has certain historical necessity. As long as the environment in which risk capital market is not perfect and the innovation capacity of the industry is weak the university-owned technological enterprise will exist, so does the game between the university and the enterprise. The university-owned technological更多还原