【作者】 王健；

【导师】 李健； 李燕萍；

【作者基本信息】 武汉大学 ， 企业管理， 2019， 博士

【摘要】 我国高校每年都会申请大量的专利,但专利转化量和专利转化率都呈现“双低”的局面。专利申请量大、专利转化量少、专利转化率低等客观现实显然需要加以改变,否则创新驱动发展战略的实施与发展难以完成。尽管近三年专利转化量出现了“井喷”,但专利转化率仍旧偏低,困扰专利转化的理论突破口一直没有得到彻底解决。事实上,高校专利转化的问题就是高校教师的专利转化问题,如果能提高高校教师的专利转化量和专利转化率,高校专利转化问题就迎刃而解了。国内多位学者都认为高校教师的专利转化问题可以从学术创业的角度来进行分析和研究。通过对学术创业的文献综述,发现专利转化量和专利转化率实际是学术创业绩效的指标,同时还发现当前学术创业研究存在四个方面的缺口:(1)学术创业行为的影响因素研究存在较大的缺口;(2)学术创业绩效的影响因素研究存在较大缺口;(3)创业能力影响学术创业的机制研究还存在较大缺口;(4)创业动机影响学术创业的机制研究也存在较大缺口。因此,本文将结合学术创业领域中现有文献的研究结果以及期望理论,基于学术创业者的个人因素,通过两个子研究分别探讨双元视角下创业能力、创业动机影响学术创业行为和学术创业绩效的机制。基于期望理论的加法模型和乘积模型,子研究1以5名科研院所的教授为研究对象,利用扎根理论方法对一手访谈数据和二手互联网数据进行探索性案例研究。研究发现,创建新企业与专利许可或转让是差异较大的学术创业行为,同时还发现双元创业能力、双元创业动机以及双元创业能力与双元创业动机的交互对学术创业行为的影响存在较大差异,最后根据分析结果提出了相关的10个命题。子研究2也基于期望理论的加法模型和乘积模型,通过理论上的逻辑推导提出了双元创业能力、双元创业动机影响学术创业绩效的10组共30个理论假设。然后,以204名高校学术创业者的二手数据资料对理论假设进行检验,研究结果支持了部分假设,并对研究结果进行了讨论。通过两个子研究的分析以及论证,主要形成了以下主要研究结论:(1)机会识别能力与学术创业行为正相关;机会利用能力与专利许可或转让行为正相关;机会利用能力与机会识别能力的交互与专利许可或转让行为正相关,而与创建新企业行为负相关。(2)内在动机与创建新企业的行为正相关;外在动机与专利许可或转让行为正相关;内在动机和外在动机的交互与专利许可或转让行为正相关,而与创建新企业行为负相关。(3)机会识别能力和内在动机的交互与创建新企业正相关,而与专利许可或转让会负相关;机会识别能力和外在动机强的交互与专利许可或转让正相关,而与创建新企业负相关;机会利用能力和内在动机的交互与专利许可或转让正相关,而与创建新企业负相关;机会利用能力和外在动机的交互与专利许可或转让正相关,而与创建新企业负相关。(4)机会识别能力只与专利转化量正相关,而机会利用能力与专利转化量和专利转化率都正相关;机会识别能力与机会利用能力的交互与专利转化率负相关。(5)内在动机与专利转化量正相关,外在动机与专利转化率负相关。内在动机与外在动机的交互与专利转化量和专利转化率都负相关。(6)内在动机与双元创业能力的交互均与专利转化量正相关,外在动机与机会识别能力的交互与专利转化量负相关。本文基于期望理论,从双元视角探讨了创业能力、创业动机影响学术创业的机制,在学术创业领域和期望理论上都有一定的理论贡献。首先,揭示了双元创业能力对学术创业行为和学术创业绩效的直接影响机制和交互影响机制;其次,揭示了双元创业动机对学术创业行为和学术创业绩效的直接影响机制和交互影响机制;最后,揭示了双元创业能力和双元创业动机影响学术创业行为和学术创业绩效的交互机制。本文的研究结论为提升高校的专利转化量和专利转化率给出了有价值的实践启示:(1)创建新企业比专利许可或转让更有利于提升专利转化率;(2)激励高校教师转移转化专利需要激发和强化内在动机;(3)提升专利转化量和专利转化率重在培育高校教师的机会利用能力;(4)过度强调物质激励并不利于提升专利转化。更多还原

【Abstract】 Chinese universities apply for a large number of patents every year,but the number of patent conversion and patent conversion rate are both low.The objective reality of large number of patent applications with small amount of patent conversion and low patent conversion rate obviously needs to be changed,otherwise the implementation and development of innovation-driven development strategy will be difficult to complete.Although there has been a "blowout" of patent conversion in the past three years,the patent conversion rate is still low,and the theoretical breakthrough that has troubled patent conversion has not been completely solved.In fact,the problem of university patent conversion is that of university teachers’ patent conversion.If the patent conversion amount and patent conversion rate of university teachers can be improved,the problem of university patent conversion can be readily solved.Many domestic scholars believe that the patent transformation of university teachers can be analyzed and studied from the perspective of academic entrepreneurship.After literature review of the academic entrepreneur,it’s found that patent conversion amountand patent conversion rage are actually the indicators of academic entrepreneurship performance.It’s also found that the current academic entrepreneurship research gaps exist four aspects.Firstly,there is a big gap on research of influence factors for academic entrepreneurship behavior.Secondly,there is a big gap on research on the influencing factors of academic entrepreneurship performance.Thirdly,there is still a big gap on research for the mechanism of entrepreneurial capacity influencing academic entrepreneurship.Lastly,there is a big gap in the research on the mechanism of entrepreneurial motive influencing academic entrepreneurship.Therefore,this paper will combine the research results of existing literature in the field of academic entrepreneurship and the expectancy theory,and discuss the effect mechanism of entrepreneurial capacity and entrepreneurial motive on academic entrepreneurial behavior and academic entrepreneurial performance respectively through two sub-studies from the perspective of individual factors of academic entrepreneurs.Based on the addition model and multiplication model of expectancy theory,sub-study 1 takes 5 professors from scientific research institutes as research objects,and conducts an exploratory case study on primary interview data and secondary Internet data using the grounded theory method.It’s found that the creation of new venture and patent licensing or transfer are two kinds of academic entrepreneurial behaviors with great differences.At the same time,it’s found that dual entrepreneurial capacity,dual entrepreneurial motive and the interaction between dual entrepreneurial capacity and dual entrepreneurial motive have great differences on academic entrepreneurial behavior.Finally,10 related propositions were proposed according to the analysis results.In sub-study 2,also based on the addition model and multiplication model of expectancy theory,10 groups of 30 theoretical hypotheses that dual entrepreneurial capacity and dual entrepreneurial motive influence academic entrepreneurial performance are proposed through theoretical logical derivation.Then,the theoretical hypothesis are tested with the second-hand data of 204 academic entrepreneurs in universities.Some hypotheses are supported by the research results,and the research results are discussed.Through the analysis and demonstration of the two sub-studies,the following main research conclusions are formed:Firstly,opportunity recognition capacity is positively correlated with two kinds of academic entrepreneurial behaviors,and opportunity exploitation capacity is positively correlated with patent licensing or transfer.The interaction between opportunity exploitation capacity and opportunity identification capacity is positively correlated with patent licensing or transfer,but negatively correlated with creating new venture.Secondly,intrinsic motive is positively correlated with the act of creating new venture,and extrinsic motive is positively correlated with patent licensing or transfer.The interaction between intrinsic motive and extrinsic motive is positively correlated with patent licensing or transfer,and negatively correlated with creating new venture.Thirdly,the interaction between opportunity recognition capacity and intrinsic motive is positively correlated with the creation of new enterprises,while negatively correlated with patent licensing or transfer.The interaction between opportunity recognition capacity and extrinsic motive is positively correlated with patent licensing or transfer,but negatively correlated with the establishment of new venture.The interaction of opportunity exploitation capacity and intrinsic motive is positively correlated with patent licensing or transfer,but negatively correlated with the creation of new venture.The interaction between opportunity exploitation capacity and extrinsic motive is positively correlated with patent licensing or transfer,but negatively correlated with the creation of new venture.Fourthly,opportunity recognition capacity is only positively correlated with patent conversion amount,while opportunity exploitation capacity is positively correlated with patent conversion amount and patent conversion rate.The interaction between opportunity recognition capacity and opportunity exploitation capacity is negatively correlated with patent conversion rate.Fifthly,intrinsic motive is positively correlated with patent conversion amount,while extrinsic motive is negatively correlated with patent conversion amount.The interaction between intrinsic motive and extrinsic motive is negatively correlated with patent conversion amount and patent conversion rate.Sixthly,the interactions between intrinsic motive and dual entrepreneurial capactiy positively correlated with patent conversion amount,while the interaction between extrinsic motive and opportunity recognition capacity is negatively correlated with patent conversion amount.Based on expectancy theory,we discuss the mechanism that entrepreneurial capacities and motives affect academic entrepreneurship from a dual perspective,and makes some theoretical contributions to academic entrepreneurship and expectancy theory.Firstly,the direct mechanism and interactive mechanism of dual entrepreneurial capacities influencing academic entrepreneurial behavior and academic entrepreneurial performance are revealed.Secondly,it reveals the direct mechanism and interactive mechanism of dual entrepreneurial motives influencing academic entrepreneurial behavior and academic entrepreneurialperformance.Thirdly,the interactive mechanism of dual entrepreneurial capacity and dual entrepreneurial motive influencing academic entrepreneurial behavior and academic entrepreneurial performance is revealed.The research conclusion of this paper provides valuable practical enlightenment for improving the patent conversion amount and patent conversion rate of universities.Firstly,the establishment of new venture is more conducive to improving the patent conversion rate than patent license or transfer.Secondly,to motivate university professors to transfer patents needs to stimulate and strengthen intrinsic motive.Lastly,it’s important to foster the opportunity exploitation capacity in order to improve the patent conversion amount and patent conversion rate.Fourthly,putting too much emphasis on material incentives is not favorable to promote patent conversion.更多还原