【作者】 文少保；

【导师】 田汉族；

【作者基本信息】 湖南师范大学 ， 教育经济与管理， 2007， 硕士

【摘要】 随着知识经济的到来，大学在知识创新中扮演越来越重要的角色。而加强产学合作是我国进行自主创新，建设创新型国家一个重要的发展途径。国内外实践表明，产学合作是自主创新的重要形式，是激发企业和高校创新活力的重要途径。然而，在产学合作中，我国大学总是处于被动地位，大学行为偏离且阻碍了产学合作的顺利开展。因此，如何创新大学行为模式就成为目前急需研究的重要课题。从新制度经济学的角度看，产学合作是一种以知识转移为特征的交易活动，需要在市场中完成。因此，本文以新制度经济学的相关理论为指导，主要运用了定性分析、比较分析、文献法等方法进行研究。要想实施成功的产学合作，那么大学行为、企业行为就必须达到一致。对大学行为进行合理的归纳后，可以发现目前我国大学在参与产学合作中的行为主要表现在以下几个方面：选择合作模式、进行合作各方的利益分配、培养创新型人才、获得科研经费、进行技术转移和成果转化、进行知识产权保护等。对比产学合作中的政府行为和大学行为可以发现，在产学合作中，虽然是产业界和学术界的合作，但是政府在产学合作中的作用功不可没，政府推动和引导了产学合作正常、深入、有效地开展，具有重要的职能和不可替代的作用。对比产学合作中的企业行为和大学行为可以发现，如果双方行为不能统一，合作将不可能正常地进行。而当前产学合作中影响大学行为实施的主要因素主要有如价值观念的冲突、技术供给与技术需求不平衡、知识产权保护困难等十个方面的因素。产学合作本身就是一种交易，合作关系的建立和维持必然涉及到交易成本。那么，我国产学合作中大学行为该如何选择，需要从新制度经济学的角度进行分析。首先是运用交易成本理论，分析产学合作中的大学参与合作涉及到的交易成本；接着从信息不对称的角度进行分析，得出产学合作是一种存在于企业和学界间的交易架构，是交易朝向降低总成本的方式进行的必然结果。为了降低交易成本，产学合作中的大学行为价值选择会出现市场化的取向；最后从产学合作制度变迁的角度进行分析，得出产学合作中大学行为的制度供给不足。要对产学合作中的我国大学行为进行合理定位，需要借鉴国外大学参与产学合作时的具体行为。通过对美国、英国、加拿大、日本、澳大利亚等产学合作开展得好的国家进行研究，可以得出当前产学合作开展良好的国外大学在参与产学合作中所表现出来的七种具体行为。借鉴国外大学的优点，可以对我国产学合作中的大学行为进行合理定位与正确选择。在现实的产学合作中，由于信息的不完全，各种逆向选择和道德风险问题就可能发生。要改变这种情况的发生，需要进行一些制度设计，尽量降低交易成本。如果没有设计抵制性制度处理信息不对称，各种逆向选择和道德危害问题就会发生，从而极大地增加交易成本。这就需要在产学合作中对大学合理行为选择进行制度安排。要进行合理的制度安排，首先就需要在我国产学合作中对大学合理行为选择进行制度创新。而要对我国产学合作中大学行为进行制度创新，需要从政府和企业两个层面来进行制度设计，优化我国产学合作中大学行为的制度环境。更多还原

【Abstract】 With the advent of knowledge economy, universities have played amore and more important role during the knowledge innovation. Tostrengthen the University-Industry Collaboration (UIC) is an importantway for us to make self-innovation and build an innovation-orientedcountry. Practices in recent years show that the UIC is not only animportant form of self-innovation, but also an important way to stimulateinnovation vigor of enterprises and universities. However in the UIC, ouruniversities are always in a passive position. Universities’ Behaviordeviates and hinders the UIC from developing smoothly. Therefore howto innovate Universities’ behavior model becomes an important issueneeded to study urgently at present.From the point of view of Neoinstitutional Economics, the UIC is akind of transaction activity which will be characterized in knowledgetransfer and is done in the market. Therefore, this article, regarding therelevant theories of Neoinstitutional Economics as a guide, mainly usedsome methods for research, such as qualitative analysis, comparativeanalysis, documents etc.In order to implement the UIC successfully, Universities’ Behaviorand Enterprises’ Behavior should act in concert. Through making areasonable induction, the behavior of participating in the UIC ofuniversities in our country can be found mainly in the following aspects: to choose the mode of cooperation, to make profit distribution in allparties, to cultivate innovative talents, to obtain research funds, to transferand diffuse technology, to protect intellectual property right etc. Bycomparing the behavior of government and universities, we can find thatgovernment also plays a great important part whose contribution can notbe negated, though it is the cooperation between industry and universities.Government behavior promotes the development of UIC. By comparingEnterprise Behavior and Universities’ Behavior in the UIC, we can findthat the cooperation can not be done smoothly if the behaviors in the twoparties are different. At present, the main factors affecting theimplementation of University Behavior in the UIC are the following 10aspects: Conflicts of value ideas, Contradictions in technology supply anddemand, the difficulties of protecting intellectual property rights etc. UIC itself is a kind of transaction. The establishment andmaintenance of cooperative relationship must involve transaction cost. Sohow to choose University Behavior in UIC in our country depends onanalyzing from Neoinstitutional Economics perspective. First we shouldanalyze the transaction cost involved in the UIC by using TransactionCost Theory. Then we can make analysis from the perspective ofinformation asymmetry and know that the UIC is a structure of thetransaction existing in the industry and the university. It is also aninevitable result that makes transactions in the way of reducing total costs.In order to reduce transaction costs, there will be market orientation invalue choice of the Universities’ Behavior in UIC. Finally from the UICinstitution changing perspective, we get to know that the system supply isnot enough in the UIC.To position the Universities’ Behavior in China during the course ofthe UIC, we need to learn some specific behavior of foreign universitiesparticipating in the UIC. Through the study of the countries acting well inthe UIC such as United States, Britain, Canada, Japan and Australia, wecan make a conclusion that there are 7 specific behaviors showed by theabove countries. Drawing on the advantages of a university abroad, wecan make reasonable position and make correct choice in theUniversities’ Behavior in the UIC.In the real UIC, because of incomplete information, various adverseselections and moral hazard problems may occur. In order to change thissituation, we need to make some system design to reduce transactioncosts. If we do not design resistive asymmetric information processingsystem, various adverse selections and moral hazard problems will occur.Then transaction costs will greatly increase. So it is needed to makeSystem Arrangements in UIC for the reasonable behavior choice. Toaccomplish this, first we need to make the following system innovation inthe university reasonable Behavior choice. To make system innovation, we need to improve University Behavior institutional environment in theUIC. And we can design the system from the government and corporatelevels.更多还原