【作者】 李成龙；

【导师】 戴昌钧；

【作者基本信息】 东华大学 ， 管理科学与工程， 2011， 博士

【摘要】 随着我国自主创新战略和创新型国家建设目标的确立,产学研合作创新日益成为政府、高校、科研机构和企业所关注的热点问题。但是,目前我国产学研合作不能适应新形势的需要,创新绩效偏低,远低于发达的国家和地区。因此,加强对产学研合作创新机理的研究具有重要的理论和实践意义。传统的产学研合作理论未能说明高校(或科研单位)和企业两类异质组织如何有效进行合作创新,也未能深刻揭示高校(或科研机构)和企业在合作过程中的互动关系。因此,本论文在广泛收集国内外产学研合作创新相关文献的基础上,提出了产学研耦合—互动创新概念。通过理论分析、调查研究和实证分析等方法,对产学研耦合—互动创新机理进行了较为系统的研究,丰富与发展了产学研合作创新理论,同时为提升产学研合作创新绩效提出了有效途径。研究内容和结论主要体现在以下几个方面：第一,产学研耦合—互动创新概念的界定和合作动力的研究。高校(或科研机构)和企业之间的耦合—互动是合作创新的基础,耦合体现为各合作方的创新系统(物理系统、知识基础、管理系统和文化价值)互补和兼容。互动体现为各合作方为完成任务目标而发生的交互作用,强调行为和过程。企业发展的原动力、高校(或科研机构)发展的原动力、企业科研人员发展的能动力、高校(或科研机构)科研人员发展的能动力是产学研耦合—互动创新的内部动力。竞争压力和政府动力是产学研耦合—互动创新的外部动力。各动力主体对其各自的目标、行为和动力系统影响方面都有着显著的差异。各动力和交互作用力共同推动高校(或科研机构)和企业进行耦合—互动创新。第二,基于耦合—互动视角的产学研合作模式和合作过程的研究。本研究将产学研合作模式划分为高、中、低三种耦合—互动型,它们具有不同的功能,适于不同的目标、合作对象,都是比较有效的产学研合作模式。论证了三种模式存在“低耦合—互动型→中耦合—互动型→高耦合—互动型”的演进关系,且创新绩效依次升高。本研究将产学研合作创新过程划分为组建期、整合期、执行期、交付期和评估期等五个阶段。由于各阶段的特征和目标任务是不同的,合作方之间的互动在深度与广度也有所不同且各具特点。第三,基于知识视角的产学研耦合—互动创新机理的研究。知识基础拓展必须通过合作方之间的互动来实现,高校(或科研机构)和企业在耦合—互动的过程中实现了知识的获取、共享、创造和扩散。通过建立知识基础拓展模型,分析得到：耦合兼容度越大,互动强度越高,那么在一定时间内的知识创新值也就越大。以知识为视角,建立了产学研耦合—互动创新模型,分析了耦合—互动创新机理。在互动过程中,物理系统耦合、知识基础耦合、管理系统耦合和文化价值耦合的共同作用,实现了知识的创新。并且知识创新的绩效很大程度上取决于管理系统耦合和文化价值耦合。第四,产学研耦合—互动对创新绩效影响的实证研究。产学研创新系统耦合对创新绩效有重要影响,它首先影响创新过程中的互动行为,通过互动行为最终影响创新绩效。无论是学习成长绩效还是创新任务绩效,创新系统各要素对其间接影响由大到小依次为：管理系统耦合、文化价值耦合、知识基础耦合、物理系统耦合。研究结果还形成了创新系统耦合、互动行为和创新绩效经过信效度检验的量表。第五,产学研耦合—互动管理机制的研究。作为合作机制重要内容之一的合作伙伴的选择可以通过耦合和互动两个视角进行。产学研耦合—互动创新过程管理机制需要重点关注互动过程的评价、不同发展阶段互动的控制和互动过程的知识管理等问题。加强产学研风险控制,需要树立风险意识、构建风险管理制度、建立科学评价决策机制、建立顺畅的沟通渠道、建立有效的风险承担策略、建立健全产学研相关的政策体系。利益分配应遵循：收益和物质性投入一致性原则、收益与创新性投入一致性的原则、风险分担原则和结构利益最优原则。加强文化建设,应增强互信、加强融合、宽容失败。本文的创新之处主要表现在以下三点：(1)在严格界定耦合—互动概念基础上,构建了产学研耦合—互动创新分析思路,是对产学研合作主体间关系理论研究的一种新尝试；(2)揭示了基于知识视角的产学研耦合—互动创新机理,是对跨组织边界知识创新机理和模型研究的一种新探索；(3)实证了产学研耦合—互动对创新绩效的影响,是产学研创新绩效与影响因素之间关系研究的一种新思路,同时提出了基于耦合—互动创新理论的具有实用价值的产学研管理机制。更多还原

【Abstract】 With the establishment of a national development strategy to strengthen self-dependent innovative capability and to build an innovation-oriented country, university-industry collaboration is rising to be a hot issue with an increasingly heated concern from the government, universities or other research institutions as well as the enterprises. However, the status quo of university-industry collaboration at home fails to meet the needs of the current situation, still low in innovation performance, which falls far behind that of the developed countries and regions. Thus, there is urgent necessity and significance in theory as well as in practice for further researches on the mechanism of university-industry collaboration.Traditional university-industry collaboration theory fails to account for the effective cooperation between the two heteroid organizations of universities or other research institutions and enterprises, and achieve no profound interpretation of the interaction during the cooperation. And therefore, based on comprehensive literature review of related researches both at home and abroad, this paper proposes the concept of coupling interaction innovation of university-industry collaboration. This paper then implements a systematic study on the mechanism of the coupling interaction innovation of university-industry collaboration via theoretical analysis, survey research as well as empirical analysis during the current research, which expands current research results further ahead in theory as well as puts forward some effective approaches in practice to the improvement of the innovation performance for university-industry collaboration. Major achievements and conclusions are as followed:Firstly, this paper defines the concept of coupling interaction innovation of university-industry collaboration and investigates into the cooperative dynamics of university-industry collaboration. The coupling interaction between university-industry agents, namely universities or other research institutions and enterprises is the foundation for collaborative innovation:coupling refers to complementation and compatibility of the innovation system among its subsystems of physics, knowledge, cultural values and management; interaction means interactive effect between cooperative agents, with focal emphasis on interactive behaviors and processes. The internal dynamics consists of motive powers of the development of enterprises and universities or other research institutions, as well as mobility of research staff in both parties, while the external dynamics is composed of pressure and stress of the competition and government impetus. The subjects of the dynamics system exert particular effect upon individual objects and behaviors with contribution to the dynamic system respectively different. The dynamics as well as interactive forces in between contributes to the coupling interaction innovation in common effort.Secondly, this paper addresses collaborative modes and collaborative process from a perspective of coupling interaction innovation of university-industry collaboration. University-industry collaboration is distinguished into three coupling interaction innovation modes, namely the high, the medium and the low, with different functions and applicable to different objects and cooperative agents, which are all effective. An evolutionary relationship is observed and argued among the three modes as, the lo→the medium→the high, with innovation performance improved also in the same sequence. The collaborative process is segmented into five phases: the establishment phase, the integration phrase, the administration phase, the delivery phase and the assessment phase. With individual features and objects of the five different phases, coupling interaction differs in depth and range.Thirdly, this paper implements an investigation into the mechanism of coupling interaction innovation of university-industry collaboration. The expansion of knowledge basis is accomplished only by interaction between cooperative agents, and during the coupling interaction process, knowledge acquisition, sharing, creation and expansion are realized. With the establishment of an expansion model of knowledge basis, analysis shows that, more compatible the coupling is, more intensified the interaction would become, and therefore more knowledge innovation results would be gained in a certain period of time. From the perspective of knowledge, this paper sets up an innovation model in order to explore the mechanism of coupling interaction innovation of university-industry collaboration. In the course of the interaction between cooperative agents, common efforts by the coupling of the system of physics, the coupling of the system of knowledge basis, the coupling of the system of cultural values and the coupling of the system of management contribute to knowledge innovation in the end. In addition, innovation performance of knowledge is much dependent upon the coupling of management system and the system of cultural values.Fourthly, this paper also conducts a survey research on the impact of coupling interaction of university-industry collaboration upon innovation performance. Overall, the significant role coupling interaction plays primarily influences the interactive behaviors of cooperative agents in the innovation process, and with this influence it finally impacts upon knowledge performance. For learning and development performance as well as innovation task performance, subsystems of the innovation system exert an indirect influence, as listed in sequence below from the strongest to the weakest:the subsystem of management, the subsystem of cultural values, the subsystem of knowledge and the subsystem of physics. Grounded on the research results, this paper also offers a reliability and validity scale for the coupling of the innovation system, interactive behaviors and innovation performance.Fifthly, this paper deals with the management mechanism of coupling interaction innovation of university-industry collaboration. The selection of cooperative partnership can be realized from two perspectives, either the coupling or the interaction. Focal concern of the management mechanism should be given to the evaluation of the interaction process, control of the interaction in different innovation phases and knowledge operation in the course of the interaction and issues alike. In order to strengthen the risk control, risk awareness should be primarily established; risk management institutions and scientific evaluation & decision mechanism are to be set up; smooth communication channels are to be found; effective risk-taking strategy is to be nailed down and policy system related is to be either established or improved. For benefits distribution, principles should be formulated according to the consistency between benefits and material investment, and between benefits and innovative investment, and according to the risk-taking principle and the principle to achieve systematically optimized benefits. For cultural construction, mutual trust, fusion and tolerance for failure are to be enhanced.Potential innovative points of this paper are exhibited in the following three aspects:above all, this paper offers a clear definition of the concept of coupling interaction and based on this foundation, this paper proposes an approach from the perspective of coupling interaction to researches on university-industry collaboration, which is a tentative approach to the subject relationship between cooperative agents; next, the current research also reveals the innovation mechanism of coupling interaction innovation of university-industry collaboration form the perspective of knowledge, which is a tentative exploration into the knowledge innovation mechanism across cooperative organizational boundaries; also this paper offers empirical analysis of the impact of coupling interaction upon innovation performance, which is a new thought in the investigation into the relationship between innovation performance and its influencing factors. At the same time, this paper puts forward a practical management mechanism founded on coupling interaction innovation theory.更多还原