研究型大学与美国国家创新系统的演进
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摘要
在发达国家的创新系统中,高等教育机构,尤其是其中具有代表性的研究型大学,已经成为了各国构建国家创新系统中的关键要素。与其他组织相比,研究型大学具有非常独特的作用：首先,研究型大学在创新性人才培养方面所发挥的作用是其他任何一种社会机构所无法替代的；其次,研究型大学所具有的智力集聚效应更能够吸引政府的研究项目,这些科研项目的成果反过来又进一步提升了研究型大学的创新能力；第三,研究型大学还通过各种原创性研究成果的发明及其技术转移和专利许可、与产业界之间的合作研究等方式不断加强与国家创新系统中其他要素间的关联。
研究型大学由于提供高质量的教育和培训、承担大量的基础性研究因而天然地成为了国家创新系统中的一个主体。特别是在20世纪中期之后,研究型大学以更为复杂的方式参与到国家创新系统的发展中——研究型大学不仅是国家创新系统中作为基础研究提供者的学术界的代表,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的发展过程中。通过对美国的研究型大学在国家创新系统发展过程中所起的地位、发挥的功能、产生的影响等进行考察,分析美国国家创新系统中各主体的职能与相互关系,可以使我们更为全面和深入地理解美国国家创新系统动态的形成过程,以及研究型大学如何在这一过程中更好地为一个国家／区域的经济和社会转型服务。
本论文的导言部分对创新的词源、定义及与之相关的概念进行了分析,并通过对两百年来世界社会与经济结构变迁过程的简要回顾,探寻在影响人类社会发展的重大事件中,创新到底起到了什么样的作用。此外,导言部分还将具体阐述此研究的缘起、假设、方法与框架。
第一章主要是归纳了创新理论的研究源起和研究现状。创新作为一种现象历史悠久,但针对此现象的理论研究却只有不到百年的历史。就是在这短短的一百年中,创新理论逐渐得到了绝大多数主流经济学家的认同,并发展成为一门多学科、综合性的研究领域。因此,第一章将重点分析创新理论在过去几十年中的发展变化,这其中包括了熊彼特创新理论、创新概念的扩展、创新分类、创新测度、创新系统理论等内容。
第二章将从历史的角度分析美国国家创新系统的形成与发展过程,对美国国家创新系统的演进将划分为如下三个阶段：国家创新系统的雏形(20世纪初-战后)、国家创新系统的形成(20世纪中叶-20世纪80年代末)、国家创新系统的变革及未来趋势(20世纪90年代至今)。本章的最后部分将对美国国家创新系统的参与者、关系与网络进行分析。
在勾勒出了美国国家创新系统的发展过程之后,第三章的内容自然而然地转移到了对研究型大学在国家创新系统中作用的分析。何谓研究型大学?美国研究型大学在过去百年的发展过程中又被赋予了哪些新的使命和功能?研究型大学在基础研究领域中对美国国家创新系统的发展又起到了何种推动作用?这种“创新源泉”的地位又是如何确立的?这都是本章所试图回答的问题。此外,笔者还将通过一些代表性成果的分析来论证研究型大学的创新活动与创新扩散之间的关系。
第四章将重点探讨研究型大学的知识生产是如何与跨学科、多元化、网络化的创新系统联系在了一起,特别是创新行动者之间合作规模的扩大与合作形式的多样化。本章还将利用“三螺旋模型”的概念来解释美国国家创新系统内不同机构主体之间交互作用的增加。尤其是研究型大学在创新集群中体现出了要素之间的关联以区域创新网络形式存在的特征。大学不仅与企业发生互动,同时也与政府机构、其他社会组织之间发生了互动。大学的衍生企业、以大学为主体形成的研究区、大学作为创新型企业的孵化器等活动进一步构成了充满动态性、开放式、协作式的创新网络,从而使美国的国家创新系统具备了某种,生态特征并发展成为创新生态系统。
第五章将采用微观分析的方法,选取美国较有代表性的研究型大学——麦迪逊威斯康星大学(University of Wisconsin, Madison)作为研究案例,对该校的技术转移机构、跨学科研究中心以及大学-产业合作组织等进行研究。
第六章的内容将从美国研究型大学在诞生之初就具备的竞争性本质入手,追寻以竞争和创新为代表的资本主义精神的烙印在美国研究型大学发展历程中所留下的印记。美国研究型大学的发展进程充满了各种思想的、组织的、制度的变革,这些变革恰恰体现出了创新所具备的“创造性毁灭”的特征。此外,研究型大学在美国国家创新系统中地位的确立也得益于其与产业部门、政府机构、其他组织之间的互动与学习——动态的、开放的、网络结构的创新系统就是在这样一种“共生演进”的过程中逐步形成的。
The higher education institutions, especially the research universities, have become the key factor in the process of building national innovation system for developed countries. Compared with other institutions, research universities show very import functions in several areas:firstly, there can be no replacement for research university on the role of training qualified personnel, particularly innovative talents. Secondly, the accumulative effect and the diffusive effect of research university can attract much more government sponsored research programs, meanwhile, the innovation capacity has been improved. Thirdly, the linkage among different actors in national innovation system can be strengthen by research universities in multiple ways like the invention of original research, technology transfer, licensing, research partnership with industry sectors.
Started from1990s, research universities have involved in complicated ways in the development of national innovation system---not only provide the basic research in innovation system, but constructing the complex innovation network by interacting between universities and industry sectors. Throughout the analysis of status, functions, influence which research universities play in national innovation system, examine the correlation of different main body in U.S national innovation system, this research aims to make comprehensive understanding in the evolution of U.S national innovation system and how research university make a better contribution in the economic and social transition of a country/region. This research contained seven parts, which includes:
The forward introduced the backgrounds of this research and analyze the related concept of innovation, listed general research questions, then pointed out why these questions were so important.
Chapter1induced the research origin and status of innovation theory. This part focuses on the analysis of development of innovation theory in the past years, it includes the innovation of Schumpeter, the extension of innovation concept, the classification of innovation, the measurement of innovation, innovation system theory.
Chapter2expatiated the formation and development of U.S national innovation system and divided it into three stages:the rudiment of national innovation system(from the beginning of20th century to the second world war), the formation of national innovation system(from mid-20th century to the end of1980s), the change and future trends of U.S national innovation system(since1990s).
After depict the whole development of U.S national innovation system, chapter3made a literal functional analyze of research university in national innovation system. What new characters and functions have been endowed in the past history? In basic research areas, how do research universities motivate the development of U.S national innovation system? This part also demonstrated the relationship between innovation activities and innovation diffusion of research universities.
Chapter4discussed how the knowledge production of research universities have established connection with the interdisciplinary, diversification of innovation system. The triple helix model has been introduced to explain the increasing of interaction among multiple organizations in the innovation system. In particularly, the emergence of innovation cluster and university related research park represent how research university build direct and indirect interactions with industry sectors, government, independent research institutions and other social organizations.
Chapter5demonstrate a concrete example on how research university contribute on regional innovation system. As a leading research university in US, the university of Wisconsin, Madison was famous for the "Wisconsin Idea". Today, UW-M has established a complex collaboration mechanism to strengthen linkages among universities, industry sectors, governments, associations and other institutions.
Chapter6summarized this research in different perspects:the nature of competition which exists in U.S research university, the spirit of capitalism in the development of U.S research universities, the character of creative destruction in innovation. Finally, based on the above analysis, what shaped today's U.S research universities with the evolution of national innovation system.
研究型大学由于提供高质量的教育和培训、承担大量的基础性研究因而天然地成为了国家创新系统中的一个主体。特别是在20世纪中期之后,研究型大学以更为复杂的方式参与到国家创新系统的发展中——研究型大学不仅是国家创新系统中作为基础研究提供者的学术界的代表,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的发展过程中。通过对美国的研究型大学在国家创新系统发展过程中所起的地位、发挥的功能、产生的影响等进行考察,分析美国国家创新系统中各主体的职能与相互关系,可以使我们更为全面和深入地理解美国国家创新系统动态的形成过程,以及研究型大学如何在这一过程中更好地为一个国家／区域的经济和社会转型服务。
本论文的导言部分对创新的词源、定义及与之相关的概念进行了分析,并通过对两百年来世界社会与经济结构变迁过程的简要回顾,探寻在影响人类社会发展的重大事件中,创新到底起到了什么样的作用。此外,导言部分还将具体阐述此研究的缘起、假设、方法与框架。
第一章主要是归纳了创新理论的研究源起和研究现状。创新作为一种现象历史悠久,但针对此现象的理论研究却只有不到百年的历史。就是在这短短的一百年中,创新理论逐渐得到了绝大多数主流经济学家的认同,并发展成为一门多学科、综合性的研究领域。因此,第一章将重点分析创新理论在过去几十年中的发展变化,这其中包括了熊彼特创新理论、创新概念的扩展、创新分类、创新测度、创新系统理论等内容。
第二章将从历史的角度分析美国国家创新系统的形成与发展过程,对美国国家创新系统的演进将划分为如下三个阶段：国家创新系统的雏形(20世纪初-战后)、国家创新系统的形成(20世纪中叶-20世纪80年代末)、国家创新系统的变革及未来趋势(20世纪90年代至今)。本章的最后部分将对美国国家创新系统的参与者、关系与网络进行分析。
在勾勒出了美国国家创新系统的发展过程之后,第三章的内容自然而然地转移到了对研究型大学在国家创新系统中作用的分析。何谓研究型大学?美国研究型大学在过去百年的发展过程中又被赋予了哪些新的使命和功能?研究型大学在基础研究领域中对美国国家创新系统的发展又起到了何种推动作用?这种“创新源泉”的地位又是如何确立的?这都是本章所试图回答的问题。此外,笔者还将通过一些代表性成果的分析来论证研究型大学的创新活动与创新扩散之间的关系。
第四章将重点探讨研究型大学的知识生产是如何与跨学科、多元化、网络化的创新系统联系在了一起,特别是创新行动者之间合作规模的扩大与合作形式的多样化。本章还将利用“三螺旋模型”的概念来解释美国国家创新系统内不同机构主体之间交互作用的增加。尤其是研究型大学在创新集群中体现出了要素之间的关联以区域创新网络形式存在的特征。大学不仅与企业发生互动,同时也与政府机构、其他社会组织之间发生了互动。大学的衍生企业、以大学为主体形成的研究区、大学作为创新型企业的孵化器等活动进一步构成了充满动态性、开放式、协作式的创新网络,从而使美国的国家创新系统具备了某种,生态特征并发展成为创新生态系统。
第五章将采用微观分析的方法,选取美国较有代表性的研究型大学——麦迪逊威斯康星大学(University of Wisconsin, Madison)作为研究案例,对该校的技术转移机构、跨学科研究中心以及大学-产业合作组织等进行研究。
第六章的内容将从美国研究型大学在诞生之初就具备的竞争性本质入手,追寻以竞争和创新为代表的资本主义精神的烙印在美国研究型大学发展历程中所留下的印记。美国研究型大学的发展进程充满了各种思想的、组织的、制度的变革,这些变革恰恰体现出了创新所具备的“创造性毁灭”的特征。此外,研究型大学在美国国家创新系统中地位的确立也得益于其与产业部门、政府机构、其他组织之间的互动与学习——动态的、开放的、网络结构的创新系统就是在这样一种“共生演进”的过程中逐步形成的。
The higher education institutions, especially the research universities, have become the key factor in the process of building national innovation system for developed countries. Compared with other institutions, research universities show very import functions in several areas:firstly, there can be no replacement for research university on the role of training qualified personnel, particularly innovative talents. Secondly, the accumulative effect and the diffusive effect of research university can attract much more government sponsored research programs, meanwhile, the innovation capacity has been improved. Thirdly, the linkage among different actors in national innovation system can be strengthen by research universities in multiple ways like the invention of original research, technology transfer, licensing, research partnership with industry sectors.
Started from1990s, research universities have involved in complicated ways in the development of national innovation system---not only provide the basic research in innovation system, but constructing the complex innovation network by interacting between universities and industry sectors. Throughout the analysis of status, functions, influence which research universities play in national innovation system, examine the correlation of different main body in U.S national innovation system, this research aims to make comprehensive understanding in the evolution of U.S national innovation system and how research university make a better contribution in the economic and social transition of a country/region. This research contained seven parts, which includes:
The forward introduced the backgrounds of this research and analyze the related concept of innovation, listed general research questions, then pointed out why these questions were so important.
Chapter1induced the research origin and status of innovation theory. This part focuses on the analysis of development of innovation theory in the past years, it includes the innovation of Schumpeter, the extension of innovation concept, the classification of innovation, the measurement of innovation, innovation system theory.
Chapter2expatiated the formation and development of U.S national innovation system and divided it into three stages:the rudiment of national innovation system(from the beginning of20th century to the second world war), the formation of national innovation system(from mid-20th century to the end of1980s), the change and future trends of U.S national innovation system(since1990s).
After depict the whole development of U.S national innovation system, chapter3made a literal functional analyze of research university in national innovation system. What new characters and functions have been endowed in the past history? In basic research areas, how do research universities motivate the development of U.S national innovation system? This part also demonstrated the relationship between innovation activities and innovation diffusion of research universities.
Chapter4discussed how the knowledge production of research universities have established connection with the interdisciplinary, diversification of innovation system. The triple helix model has been introduced to explain the increasing of interaction among multiple organizations in the innovation system. In particularly, the emergence of innovation cluster and university related research park represent how research university build direct and indirect interactions with industry sectors, government, independent research institutions and other social organizations.
Chapter5demonstrate a concrete example on how research university contribute on regional innovation system. As a leading research university in US, the university of Wisconsin, Madison was famous for the "Wisconsin Idea". Today, UW-M has established a complex collaboration mechanism to strengthen linkages among universities, industry sectors, governments, associations and other institutions.
Chapter6summarized this research in different perspects:the nature of competition which exists in U.S research university, the spirit of capitalism in the development of U.S research universities, the character of creative destruction in innovation. Finally, based on the above analysis, what shaped today's U.S research universities with the evolution of national innovation system.
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