产学研协同创新理论模式:研究动态与展望
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摘要
首先,概览了现阶段我国产学研协同创新面临的时代背景与发展障碍,检索了管理领域内国内外文献,研判了以上主题的基本构成理论的发展轨迹和趋势。在此基础上,追溯了产学研合作模式的早期理论演变,并按照产学研各方合作的深度和知识流动的方向,对产学研协同创新的典型模式进行了归纳。然后,从合作动机、治理措施和利益协调的研究维度,梳理了有关产学研协同创新运行机制的重要文献。最后,展望了未来的研究方向,提出了推动我国产学研协同创新发展的对策建议。
This paper analyzes the existing background combining the obstacles to the development of China's collaborative innovation in industry-university-research(IUR)at the present stage,and searches the relevant domestic and foreign academic literatures in the field of management,and analyzes the development trajectory and trend of the basic theory of the above topics.On this basis,it traces the early theoretical evolution of the mode of IUR cooperation,and summarizes the typical modes of collaborative innovation in IUR in accordance with the depth of cooperation and the direction of knowledge flow.Then,from the research dimensions of dynamic mechanism,governance mechanism and interest coordination mechanism,it sorts out the important literatures which relate to the operation mechanism of IUR collaboration innovation.Finally,it prospects the future research direction and puts forward suggestions to promote the development of IUR collaborative innovation in China.
This paper analyzes the existing background combining the obstacles to the development of China's collaborative innovation in industry-university-research(IUR)at the present stage,and searches the relevant domestic and foreign academic literatures in the field of management,and analyzes the development trajectory and trend of the basic theory of the above topics.On this basis,it traces the early theoretical evolution of the mode of IUR cooperation,and summarizes the typical modes of collaborative innovation in IUR in accordance with the depth of cooperation and the direction of knowledge flow.Then,from the research dimensions of dynamic mechanism,governance mechanism and interest coordination mechanism,it sorts out the important literatures which relate to the operation mechanism of IUR collaboration innovation.Finally,it prospects the future research direction and puts forward suggestions to promote the development of IUR collaborative innovation in China.
引文
[1]习近平.习近平谈治国理政(第二卷)[M].北京:外文出版社,2017.
[2]郭东明.落实创新驱动战略促进高校科技协同创新[J].中国高等教育,2014(20):17-20.
[3]谢科范,董芹芹,张诗雨.联盟能力视角下的产学研战略联盟实证分析[J].经济纵横,2009(4):105-107.
[4]朱桂龙.产学研与企业自主创新能力提升[J].科学学研究,2012,30(12):1763-1764.
[5]PERKMANN M,TARTARI V,MCKELVEY M,et al.Academic engagement and commercialization:a review of the literature on university-industry relations[J].Research Policy,2013,42(2):423-442.
[6]朱桂龙,张艺,陈凯华.产学研合作国际研究的演化[J].科学学研究,2015,33(11):1669-1686.
[7]LINCOLN T.Problems and rewards in university-industry cooperative research[J].Environmental Sciences,1966(12):452-455.
[8]JAFFE A B.Real effects of academic research[J].American Economic Review,1989(79):957-970.
[9]ETZKOWITZA H.The norms of entrepreneurial science:cognitive effects of the new university-industry linkages[J].Research Policy,1998.27(8):823-833.
[10]FERNANDEZ-ESQUINAS M,et al.Tracing the flows of knowledge transfer:latent dimensions and determinants of university-industry interactions in peripheral innovation systems[J].Technological Forecasting and Social Change,2015(113):266-279.
[11]BSTIELER L,et al.Trust formation in university-industry collaborations in the US biotechnology industry:IP policies,shared governance,and champions[J].Journal of Product Innovation,2015,32(1):111-121.
[12]CLAUSS T,KESTING T.How businesses should govern knowledge-intensive collaborations with universities:an empirical investigation of university professors[J].Industrial Marketing Management,2017(62):185-198.
[13]赫尔曼·哈肯.协同学:大自然构成的奥秘[M].凌富华,译.上海:上海世纪出版社,2005.
[14]陈劲,阳银娟.协同创新的理论基础与内涵[J].科学学研究,2012,30(2):161-164.
[15]杨林,柳洲.国内协同创新研究述评[J].科学学与科学技术管理,2015,36(4):50-54.
[16]解学梅,方良秀.国外协同创新研究述评与展望[J].研究与发展管理,2015,27(4):16-24.
[17]刘力.产学研合作的历史考察及本质探讨[J].浙江大学学报(人文社会科学版),2002,32(3):109-116.
[18]LEYDESDORFF L.The mutual information of university-industry-government relations:an indicator of the triple helix dynamics[J].Scientometrics,2003,58(2):445-467.
[19]张米尔,武春友.产学研合作创新的交易费用[J].科学学研究,2001,19(1):89-92.
[20]解学梅,左蕾蕾,刘丝雨.中小企业协同创新模式对协同创新效应的影响——协同机制和协同环境的双调节效应模型[J].科学学与科学技术管理,2014,35(5):72-81.
[21]解学梅,吴永慧,赵杨.协同创新影响因素与协同模式对创新绩效的影响——基于长三角316家中小企业的实证研究[J].管理评论,2015,27(8):77-89.
[22]解学梅,刘丝雨.协同创新模式对协同效应与创新绩效的影响机理[J].管理科学,2015,28(2):27-39.
[23]何郁冰,张迎春.网络类型与产学研协同创新模式的耦合研究[J].科学学与科学技术管理,2015,36(2):62-69.
[24]曾祥炎,刘友金,凌志鹏.剩余分配契约与集群企业产学研协同创新效率[J].系统工程,2016,34(6):78-83.
[25]邵云飞,吕炜.以电信运营商为主导的我国物联网产业协同创新一体化研究[J].管理学报,2016,13(2):239-247.
[26]HOWARD H.STEVENSON,et al.新企业与创业者[M].高建,等,译.北京:清华大学出版社,2002.
[27]MANSFIELD E.Academic research and industrial innovation:an update of empirical findings[J].Research Policy,1998,26:773-776.
[28]COHEN W M,et al.Links and impacts:the influence of public research on industrial R&D[J].Management Science,2002,48(1):1-23.
[29]AMBOS T C,et al.When does university research get commercialized?Creating ambidexterity in research institutions[J].Journal of Management Studies,2008,45:1424-1447.
[30]TETHER B S,TAJAR A.Beyond industry-university links:sourcing knowledge for innovation from consultants,private research organizations and the public science-base[J].Research Policy,2008,37(6-7):1079-1095.
[31]BJERREGAARD T.Industry and academia in convergence:micro-institutional dimensions of R&D collaboration[J].Technovation,2010,30(2):100-108.
[32]GILSING V,et al.Differences in technology transfer between science-based and development-based industries:mechanisms and barriers[J].Technovation,2011,31(12):638-647.
[33]吕海萍,龚建立,王飞绒,等.产学研相结合的动力——障碍机制实证分析[J].研究与发展管理,2004(2):58-62.
[34]HONG W,SU Y S.The effect of institutional proximity in non-local university-industry collaborations:an analysis based on Chinese patent data[J].Research Policy,2013,42:454-464.
[35]LAM A.Knowledge networks and careers:academic scientists in industry-university links[J].Journal of Management Studies,2007,44:993-1016.
[36]OLIVER C.Determinants of interorganizational relationships:integration and future directions[J].Academy of Management Review,1990,15:241-265.
[37]D'ESTE P,PATEL P.University-industry linkages in the UK:what are the factors underlying the variety of interactions with industry?[J].Research Policy,2007,36:1295-1313.
[38]SCHMITT R W.Conflict or synergy:university-industry research relations[J].Accountability in Research,2011(5):251-254.
[39]BRUNEEL J,et al.Investigating the factors that diminish the barriers to university-industry collaboration[J].Research Policy,2010,39:858-868.
[40]ANKRAH S N,et al.Asking both university and industry actors about their engagement in knowledge transfer:what single-group studies of motives omit[J].Technovation,2013,33:50-65.
[41]YUSUF S.Intermediating knowledge exchange between universities and businesses[J].Research Policy,2008,37:1167-1174.
[42]GEORGE G,et al.The effects of business-university alliances on innovative output and financial performance:a study of publicly traded biotechnology companies[J].Journal of Business Venturing,2002,17:577-609.
[43]SIEGEL D S,et al.Toward a model of the effective transfer of scientific knowledge from academicians to practitioners:qualitative evidence from the commercialization of university technologies[J].Journal of Engineering and Technology Management,2004,21:115-142.
[44]王海军.面向开放式协同创新的合作伙伴能力评价研究[J].科学学研究,2017,35(11):1726-1736.
[45]HEMMERT M,et al.Bridging the cultural divide:trust formation in university-industry research collaborations in the US,Japan,and South Korea[J].Technovation,2014,34:605-616.
[46]毕强,周浩,王雨.面向产学研合作创新的信息资源配置研究[J].情报科学,2013,6(31):20-24.
[47]赵成,陈通.治理视角下的大学制度研究[J].高等教育研究,2005,26(8):18-22.
[48]熊庆年,代林利.大学治理结构的历史演进与文化变异[J].高教探索,2006(1):40-43.
[49]孙天华.大学治理结构中的委托一代理问题——当前中国公立大学委托代理关系若干特点分析[J].北京大学教育评论,2004,2(4):29-33.
[50]龚怡祖.大学治理结构:现代大学制度的基石[J].教育研究,2009(6):22-26.
[51]周寄中,蔡文东.我国公益类科研机构实行GOCO模式的研究[J].科学学研究,2003,21(4):385-390.
[52]孙金华,汤世国,刘东,等.我国非营利性科研组织战略管理研究[J].科学学与科学技术管理,2004(10):5-8.
[53]李小宁,田大山.非营利科研组织中的治理关系[J].中国科技论坛,2004(3):78-81.
[54]郭军灵.非营利科研机构的外部监督机制探讨[J].科学学研究,2008,26(2):311-317.
[55]张义芳,翟立新.产学研研发联盟:国际经验及我国对策[J].科研管理,2008,29(3):42-48.
[56]HAERINGER G.A new weight scheme for the Shapley value[J].Mathematical Social Sciences,2006,52(1):88-98.
[57]MARTIN K,DONALD P.Reconsidering the Bayh-dole act and the current university invention ownership model[J].Research Policy,2009,38(9):1407-1422.
[58]罗利,鲁若愚.产学研合作对策模型研究[J].管理工程学报,2000,14(2):1-4.
[59]文军,杜文.基于熵权法的战略联收益分配商方法[J].统计与决策,2007,24:192-193.
[60]任培民,赵树然.期权―博弈整体方法与产学研结合利益最优分配[J].科研管理,2008,29(6):171-177.
[61]谢惠加.省部产学研创新联盟需厘清五大知识产权利益关系[J].广东科技,2010(4):1-5.
[62]卢仁山.不同产学研合作模式的利益分配研究[J].2011,28(17):96-100.
[63]梅亮,陈劲,刘洋.创新生态系统:源起、知识演进和理论框架[J].科学学研究,2014,32(12):1771-1780.
[2]郭东明.落实创新驱动战略促进高校科技协同创新[J].中国高等教育,2014(20):17-20.
[3]谢科范,董芹芹,张诗雨.联盟能力视角下的产学研战略联盟实证分析[J].经济纵横,2009(4):105-107.
[4]朱桂龙.产学研与企业自主创新能力提升[J].科学学研究,2012,30(12):1763-1764.
[5]PERKMANN M,TARTARI V,MCKELVEY M,et al.Academic engagement and commercialization:a review of the literature on university-industry relations[J].Research Policy,2013,42(2):423-442.
[6]朱桂龙,张艺,陈凯华.产学研合作国际研究的演化[J].科学学研究,2015,33(11):1669-1686.
[7]LINCOLN T.Problems and rewards in university-industry cooperative research[J].Environmental Sciences,1966(12):452-455.
[8]JAFFE A B.Real effects of academic research[J].American Economic Review,1989(79):957-970.
[9]ETZKOWITZA H.The norms of entrepreneurial science:cognitive effects of the new university-industry linkages[J].Research Policy,1998.27(8):823-833.
[10]FERNANDEZ-ESQUINAS M,et al.Tracing the flows of knowledge transfer:latent dimensions and determinants of university-industry interactions in peripheral innovation systems[J].Technological Forecasting and Social Change,2015(113):266-279.
[11]BSTIELER L,et al.Trust formation in university-industry collaborations in the US biotechnology industry:IP policies,shared governance,and champions[J].Journal of Product Innovation,2015,32(1):111-121.
[12]CLAUSS T,KESTING T.How businesses should govern knowledge-intensive collaborations with universities:an empirical investigation of university professors[J].Industrial Marketing Management,2017(62):185-198.
[13]赫尔曼·哈肯.协同学:大自然构成的奥秘[M].凌富华,译.上海:上海世纪出版社,2005.
[14]陈劲,阳银娟.协同创新的理论基础与内涵[J].科学学研究,2012,30(2):161-164.
[15]杨林,柳洲.国内协同创新研究述评[J].科学学与科学技术管理,2015,36(4):50-54.
[16]解学梅,方良秀.国外协同创新研究述评与展望[J].研究与发展管理,2015,27(4):16-24.
[17]刘力.产学研合作的历史考察及本质探讨[J].浙江大学学报(人文社会科学版),2002,32(3):109-116.
[18]LEYDESDORFF L.The mutual information of university-industry-government relations:an indicator of the triple helix dynamics[J].Scientometrics,2003,58(2):445-467.
[19]张米尔,武春友.产学研合作创新的交易费用[J].科学学研究,2001,19(1):89-92.
[20]解学梅,左蕾蕾,刘丝雨.中小企业协同创新模式对协同创新效应的影响——协同机制和协同环境的双调节效应模型[J].科学学与科学技术管理,2014,35(5):72-81.
[21]解学梅,吴永慧,赵杨.协同创新影响因素与协同模式对创新绩效的影响——基于长三角316家中小企业的实证研究[J].管理评论,2015,27(8):77-89.
[22]解学梅,刘丝雨.协同创新模式对协同效应与创新绩效的影响机理[J].管理科学,2015,28(2):27-39.
[23]何郁冰,张迎春.网络类型与产学研协同创新模式的耦合研究[J].科学学与科学技术管理,2015,36(2):62-69.
[24]曾祥炎,刘友金,凌志鹏.剩余分配契约与集群企业产学研协同创新效率[J].系统工程,2016,34(6):78-83.
[25]邵云飞,吕炜.以电信运营商为主导的我国物联网产业协同创新一体化研究[J].管理学报,2016,13(2):239-247.
[26]HOWARD H.STEVENSON,et al.新企业与创业者[M].高建,等,译.北京:清华大学出版社,2002.
[27]MANSFIELD E.Academic research and industrial innovation:an update of empirical findings[J].Research Policy,1998,26:773-776.
[28]COHEN W M,et al.Links and impacts:the influence of public research on industrial R&D[J].Management Science,2002,48(1):1-23.
[29]AMBOS T C,et al.When does university research get commercialized?Creating ambidexterity in research institutions[J].Journal of Management Studies,2008,45:1424-1447.
[30]TETHER B S,TAJAR A.Beyond industry-university links:sourcing knowledge for innovation from consultants,private research organizations and the public science-base[J].Research Policy,2008,37(6-7):1079-1095.
[31]BJERREGAARD T.Industry and academia in convergence:micro-institutional dimensions of R&D collaboration[J].Technovation,2010,30(2):100-108.
[32]GILSING V,et al.Differences in technology transfer between science-based and development-based industries:mechanisms and barriers[J].Technovation,2011,31(12):638-647.
[33]吕海萍,龚建立,王飞绒,等.产学研相结合的动力——障碍机制实证分析[J].研究与发展管理,2004(2):58-62.
[34]HONG W,SU Y S.The effect of institutional proximity in non-local university-industry collaborations:an analysis based on Chinese patent data[J].Research Policy,2013,42:454-464.
[35]LAM A.Knowledge networks and careers:academic scientists in industry-university links[J].Journal of Management Studies,2007,44:993-1016.
[36]OLIVER C.Determinants of interorganizational relationships:integration and future directions[J].Academy of Management Review,1990,15:241-265.
[37]D'ESTE P,PATEL P.University-industry linkages in the UK:what are the factors underlying the variety of interactions with industry?[J].Research Policy,2007,36:1295-1313.
[38]SCHMITT R W.Conflict or synergy:university-industry research relations[J].Accountability in Research,2011(5):251-254.
[39]BRUNEEL J,et al.Investigating the factors that diminish the barriers to university-industry collaboration[J].Research Policy,2010,39:858-868.
[40]ANKRAH S N,et al.Asking both university and industry actors about their engagement in knowledge transfer:what single-group studies of motives omit[J].Technovation,2013,33:50-65.
[41]YUSUF S.Intermediating knowledge exchange between universities and businesses[J].Research Policy,2008,37:1167-1174.
[42]GEORGE G,et al.The effects of business-university alliances on innovative output and financial performance:a study of publicly traded biotechnology companies[J].Journal of Business Venturing,2002,17:577-609.
[43]SIEGEL D S,et al.Toward a model of the effective transfer of scientific knowledge from academicians to practitioners:qualitative evidence from the commercialization of university technologies[J].Journal of Engineering and Technology Management,2004,21:115-142.
[44]王海军.面向开放式协同创新的合作伙伴能力评价研究[J].科学学研究,2017,35(11):1726-1736.
[45]HEMMERT M,et al.Bridging the cultural divide:trust formation in university-industry research collaborations in the US,Japan,and South Korea[J].Technovation,2014,34:605-616.
[46]毕强,周浩,王雨.面向产学研合作创新的信息资源配置研究[J].情报科学,2013,6(31):20-24.
[47]赵成,陈通.治理视角下的大学制度研究[J].高等教育研究,2005,26(8):18-22.
[48]熊庆年,代林利.大学治理结构的历史演进与文化变异[J].高教探索,2006(1):40-43.
[49]孙天华.大学治理结构中的委托一代理问题——当前中国公立大学委托代理关系若干特点分析[J].北京大学教育评论,2004,2(4):29-33.
[50]龚怡祖.大学治理结构:现代大学制度的基石[J].教育研究,2009(6):22-26.
[51]周寄中,蔡文东.我国公益类科研机构实行GOCO模式的研究[J].科学学研究,2003,21(4):385-390.
[52]孙金华,汤世国,刘东,等.我国非营利性科研组织战略管理研究[J].科学学与科学技术管理,2004(10):5-8.
[53]李小宁,田大山.非营利科研组织中的治理关系[J].中国科技论坛,2004(3):78-81.
[54]郭军灵.非营利科研机构的外部监督机制探讨[J].科学学研究,2008,26(2):311-317.
[55]张义芳,翟立新.产学研研发联盟:国际经验及我国对策[J].科研管理,2008,29(3):42-48.
[56]HAERINGER G.A new weight scheme for the Shapley value[J].Mathematical Social Sciences,2006,52(1):88-98.
[57]MARTIN K,DONALD P.Reconsidering the Bayh-dole act and the current university invention ownership model[J].Research Policy,2009,38(9):1407-1422.
[58]罗利,鲁若愚.产学研合作对策模型研究[J].管理工程学报,2000,14(2):1-4.
[59]文军,杜文.基于熵权法的战略联收益分配商方法[J].统计与决策,2007,24:192-193.
[60]任培民,赵树然.期权―博弈整体方法与产学研结合利益最优分配[J].科研管理,2008,29(6):171-177.
[61]谢惠加.省部产学研创新联盟需厘清五大知识产权利益关系[J].广东科技,2010(4):1-5.
[62]卢仁山.不同产学研合作模式的利益分配研究[J].2011,28(17):96-100.
[63]梅亮,陈劲,刘洋.创新生态系统:源起、知识演进和理论框架[J].科学学研究,2014,32(12):1771-1780.