产学合作创新机理与政策研究
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摘要
这是一个公共政策多如牛毛的时代,也是一个公共政策严重匮乏的时代。美国公共管理体系可谓世界领先,但是此次发端于美国次贷危机并以海啸之势席卷全球,不仅重创全球虚拟经济,而且对实体经济的也造成巨大冲击的金融风暴,背后的原因之一是政府顺应金融创新的公共政策的严重缺失。在我国,为了深化、细化、制度化党和国家提出的“以产学研为突破口建设创新型国家”的战略目标,目前中央和各级地方政府已经出台的“促进产学研合作的政策”超过3000项,但是通过本研究调研和实证研究发现,相关政策对产学合作创新的调控作用并不明显。所以,在新形势下研究当前阶段产学合作创新过程中的关键因素,把握主要矛盾;分析关键因素作用创新绩效的机理与路径,把握阶段性特征和发展规律;设计具有针对性的促进产学合作创新的公共政策,提高决策水平和行政效率,具有战略性的现实意义。本研究正是围绕这一核心问题展开。
本文在分析研究背景与研究目标之后,通过对国家创新理论系统、区域创新理论、产业创新系统理论的文献研究,结合区域创新系统的针对性强和产业创新系统的全球化优势,确定了以区域支柱产业的产业创新系统这一中观视角作为本论文的研究视角。基于区域支柱产业的产业创新系统视角,提出了要解决的三个主要问题:(1)影响产学合作创新绩效的主要因素研究;(2)产学合作促进创新绩效的作用机理;(3)当前阶段促进产学合作创新的公共政策研究。
本文针对上述问题,运用实地调研、深入访谈、文献研究和案例分析相结合的定性研究方法;按照实证分析的研究设计、变量设计、信度效度检验、研究方法设计等规范;在采集大样本问卷的基础上,采用数理统计和结构方程建模相结合的定量分析方法,实施了研究,为公共政策的制定提供了依据。本论文的研究内容与研究成果主要为以下四个方面:
第一,借鉴创新系统理论和产学合作创新理论的研究成果,提炼了影响产学合作创新绩效的六大方面影响模块,并确定了合作项目创新绩效评价指标体系。通过案例研究、借鉴经典U-A模型后发现,主导设计是产学合作创新成功的分水岭,所以提出了用“市场合作创新能力、技术合作创新能力和协同把握创新机会能力”这三个指标来诠释产学合作创新能力的设想,最后构建了本论文的研究框架。
第二,通过对聚光科技、绍兴纺织研究院、烟台万华、方正集团等四个典型案例的研究,发现了产学合作创新不同阶段存在着合作模式演化的规律。并借鉴合作模式的研究成果,探索性地提炼了用“创新主体和合作治理关系”两个维度对不同阶段的产学合作模式进行了分类,提出了四种不同的合作模式,最后提炼成产学合作创新模式演化模型。并通过实证研究发现,当前阶段合作模式是影响产学合作创新项目绩效的关键因素。合作模式演化模型很好地证明了产学合作创新是实现创新资源向企业集聚的过程,是实现企业自主创新的主要途径,丰富了我国自主创新型国家建设理论。
第三,通过因子分析、回归分析和结构方程建模分析,得出了目前产学合作创新主要还是要素驱动的重要结论。发现当前情况下主要是合作双方资源因子、双方能力因子、合作模式因子,通过合作创新能力的变化发挥着关键性的作用,从而提高产学合作项目创新绩效,为制定正确的公共政策提供了研究保障。同时从实证分析结果也发现,当前产学合作创新微观层面管理效率非常低下,严重制约了产学合作创新的绩效。
最后,基于当前产学合作创新主要还是要素驱动这一结论,本论文在分析浙江省产业现状和产学合作创新政策现状的前提下,提出了现阶段促进产学合作创新的政策目标和基本原则;设计了促进产学合作创新的政策工具;最后,针对浙江产业和民间资本充裕的实际情况,创造性地提出了创建产学合作风险引导基金这一强化资源整合能力提高资源利用效率的具体解决方案,为优化产学合作政策体系,促进浙江省经济转型升级作出了贡献。
本论文研究成果丰富和完善了产学合作创新理论,得出了当前产学合作创新主要还是要素驱动这一重要结论,为建设具有针对性的公共政策,提高公共行政效率提供了科学有效的理论指导。
Originated from the American sub-loan crisis, the financial storm is sweeping the whole world with irresistible force like the tsunami. It hits the global virtual economy hard, its impact on the real economy even greater. The fuse of the financial crisis is the insufficient study and supervision towards the financial innovation from the U.S. government, resulting in the eventual performance of serious deficiencies in public policy, which shows a broader responsibility for public policy research.
At present, China and the Communist Party have explicitly put forward the strategic objectives of taking the integration of industry-university-research institute as the breakthrough to construct an innovative nation. Under the new situation, all these are of great strategic and practical significance for the nation: to study the key elements in the process of current innovative industry-university cooperation, and to grasp the principal contradictions; to analyze the mechanism and paths of the influence from the key elements on the innovation performance, and to grasp the characteristics and laws of the development stage; to institute targeted public policy to promote the industry-university cooperation and innovation, and to improve the decision-making quality and the administrative efficiency. My study is mainly focusing on these core issues.
Based on the analysis of the research background and research goals as well as the literature review on the national innovation system theory, regional innovation theory, industrial innovation system theory, and in combination with targeted regional innovation system and the advantages of globalization of the industrial innovation system, the paper identifies a meso perspective, the industrial innovation systems of the regional pillar industry, as the research perspective of the paper. On account of this perspective, three main issues are put forward: (1) Study on the key elements that have impact on the industry-university cooperation innovation performance; (2) Study on the mechanism of the industry-university cooperation to promote the innovation performance; (3) Study on the current public policy to promote the industry-university cooperation innovation.
In response to the above-mentioned issues, the paper adopts the qualitative research methods combining the use of field research, in-depth interviews, literature research and case studies. In accordance with the study design, the variable design, the reliability and validity testing and the research method design specification of the empirical analysis, and based on the acquisition of large sampled questionnaire and the combination of the mathematical statistics and structural equation modeling of the quantitative analysis methods, the paper provides a basis for the institution of the public policies. The research contents and results of the paper are mainly illustrated in four parts:
First of all, learning from the innovation system theory and the study results of the industry-university cooperation innovation theory, the paper identifies the six modules that influence the industry-university cooperation innovation, and determines the performance evaluation index system of the cooperation project innovation. Through case studies as well as the drawing on classic UA mode, the paper finds that the dominant design of innovation is the watershed of whether or not the cooperation could be a successful one, therefore, it puts up with the assumption of three indicators to interpret the cooperation innovation capacity, i.e., "market cooperation and innovation capacity, technological cooperation and innovation capacity and the capacity of collaboratively grasping the innovation opportunities", on which, the research framework of the paper is based.
Secondly, through the four typical cases study, Juguang Technology, ShaoxingTextile Reseach Institute, Yantai Wanhua, Founder Group, the paper finds theevolution law of the cooperation innovation model in different stages. Drawing theresearch results of the cooperation model, the paper classifies the cooperation modesof different stages by two dimensions—innovation management and cooperativegovernance relations—in an exploratory manner, and four different cooperationmodes are proposed, which are finally refined into the evolution model of theIndustry-University Collaboration innovation model. And through empirical research,it is found that in the current stage, cooperation model is the key element that has ahuge impact on the project performance. The evolution model of the cooperationmodel serves as a good example that industry-university cooperation and innovationare the main road to achieve the agglomeration process of the innovation resources inenterprises as well as the enterprises' independent innovation, thus, to enrich ourcountry's independent innovation-based nation-building theory.
Thirdly, based on factor analysis, regression analysis and structural equation modeling analysis, an important conclusion has been achieved: the current industry-university cooperation and innovation is primarily elements-driven. The paper finds that, under the current situation, the resources factor, the capacity factor and the cooperation mode factor of the both sides play a crucial role through the changes of the innovation capacity, thereby enhancing the innovation performance of cooperation projects and providing a research protection for the institution of appropriate public policy. Meanwhile, from the empirical analysis, the paper also finds that the management efficiency of the current cooperation and innovation is very low at the micro level, which has seriously restricted the production performance of cooperation and innovation.
Finally, based on the conclusion that the current industry-university cooperation and innovation are mainly elements-driven, as well as the analysis of the status quo of the industry and the innovation policies in Zhejiang Province, the paper proposes the policy objectives and basic principles to promote the current cooperation innovation, and designs the new policy instruments for the cooperation. Finally, in view of actual situation of the adequacy of Zhejiang Industrial and civil capital, the paper creatively puts forward a specific solution of creating the risk guide fund to strengthen the resources integration capacity and to improve the resource consumption efficiency. And this has contributed to the optimization of the cooperation policy system, and the transformation and upgrading of the economy of Zhejiang Province.
The study results of the paper enriches and perfects the industry-university cooperation and innovation theory, draws an important conclusion that the current cooperation and innovation are primarily elements-driven, which provides a scientifically effective theory guidance to construct targeted public policy and to enhance the public administration efficiency.
本文在分析研究背景与研究目标之后,通过对国家创新理论系统、区域创新理论、产业创新系统理论的文献研究,结合区域创新系统的针对性强和产业创新系统的全球化优势,确定了以区域支柱产业的产业创新系统这一中观视角作为本论文的研究视角。基于区域支柱产业的产业创新系统视角,提出了要解决的三个主要问题:(1)影响产学合作创新绩效的主要因素研究;(2)产学合作促进创新绩效的作用机理;(3)当前阶段促进产学合作创新的公共政策研究。
本文针对上述问题,运用实地调研、深入访谈、文献研究和案例分析相结合的定性研究方法;按照实证分析的研究设计、变量设计、信度效度检验、研究方法设计等规范;在采集大样本问卷的基础上,采用数理统计和结构方程建模相结合的定量分析方法,实施了研究,为公共政策的制定提供了依据。本论文的研究内容与研究成果主要为以下四个方面:
第一,借鉴创新系统理论和产学合作创新理论的研究成果,提炼了影响产学合作创新绩效的六大方面影响模块,并确定了合作项目创新绩效评价指标体系。通过案例研究、借鉴经典U-A模型后发现,主导设计是产学合作创新成功的分水岭,所以提出了用“市场合作创新能力、技术合作创新能力和协同把握创新机会能力”这三个指标来诠释产学合作创新能力的设想,最后构建了本论文的研究框架。
第二,通过对聚光科技、绍兴纺织研究院、烟台万华、方正集团等四个典型案例的研究,发现了产学合作创新不同阶段存在着合作模式演化的规律。并借鉴合作模式的研究成果,探索性地提炼了用“创新主体和合作治理关系”两个维度对不同阶段的产学合作模式进行了分类,提出了四种不同的合作模式,最后提炼成产学合作创新模式演化模型。并通过实证研究发现,当前阶段合作模式是影响产学合作创新项目绩效的关键因素。合作模式演化模型很好地证明了产学合作创新是实现创新资源向企业集聚的过程,是实现企业自主创新的主要途径,丰富了我国自主创新型国家建设理论。
第三,通过因子分析、回归分析和结构方程建模分析,得出了目前产学合作创新主要还是要素驱动的重要结论。发现当前情况下主要是合作双方资源因子、双方能力因子、合作模式因子,通过合作创新能力的变化发挥着关键性的作用,从而提高产学合作项目创新绩效,为制定正确的公共政策提供了研究保障。同时从实证分析结果也发现,当前产学合作创新微观层面管理效率非常低下,严重制约了产学合作创新的绩效。
最后,基于当前产学合作创新主要还是要素驱动这一结论,本论文在分析浙江省产业现状和产学合作创新政策现状的前提下,提出了现阶段促进产学合作创新的政策目标和基本原则;设计了促进产学合作创新的政策工具;最后,针对浙江产业和民间资本充裕的实际情况,创造性地提出了创建产学合作风险引导基金这一强化资源整合能力提高资源利用效率的具体解决方案,为优化产学合作政策体系,促进浙江省经济转型升级作出了贡献。
本论文研究成果丰富和完善了产学合作创新理论,得出了当前产学合作创新主要还是要素驱动这一重要结论,为建设具有针对性的公共政策,提高公共行政效率提供了科学有效的理论指导。
Originated from the American sub-loan crisis, the financial storm is sweeping the whole world with irresistible force like the tsunami. It hits the global virtual economy hard, its impact on the real economy even greater. The fuse of the financial crisis is the insufficient study and supervision towards the financial innovation from the U.S. government, resulting in the eventual performance of serious deficiencies in public policy, which shows a broader responsibility for public policy research.
At present, China and the Communist Party have explicitly put forward the strategic objectives of taking the integration of industry-university-research institute as the breakthrough to construct an innovative nation. Under the new situation, all these are of great strategic and practical significance for the nation: to study the key elements in the process of current innovative industry-university cooperation, and to grasp the principal contradictions; to analyze the mechanism and paths of the influence from the key elements on the innovation performance, and to grasp the characteristics and laws of the development stage; to institute targeted public policy to promote the industry-university cooperation and innovation, and to improve the decision-making quality and the administrative efficiency. My study is mainly focusing on these core issues.
Based on the analysis of the research background and research goals as well as the literature review on the national innovation system theory, regional innovation theory, industrial innovation system theory, and in combination with targeted regional innovation system and the advantages of globalization of the industrial innovation system, the paper identifies a meso perspective, the industrial innovation systems of the regional pillar industry, as the research perspective of the paper. On account of this perspective, three main issues are put forward: (1) Study on the key elements that have impact on the industry-university cooperation innovation performance; (2) Study on the mechanism of the industry-university cooperation to promote the innovation performance; (3) Study on the current public policy to promote the industry-university cooperation innovation.
In response to the above-mentioned issues, the paper adopts the qualitative research methods combining the use of field research, in-depth interviews, literature research and case studies. In accordance with the study design, the variable design, the reliability and validity testing and the research method design specification of the empirical analysis, and based on the acquisition of large sampled questionnaire and the combination of the mathematical statistics and structural equation modeling of the quantitative analysis methods, the paper provides a basis for the institution of the public policies. The research contents and results of the paper are mainly illustrated in four parts:
First of all, learning from the innovation system theory and the study results of the industry-university cooperation innovation theory, the paper identifies the six modules that influence the industry-university cooperation innovation, and determines the performance evaluation index system of the cooperation project innovation. Through case studies as well as the drawing on classic UA mode, the paper finds that the dominant design of innovation is the watershed of whether or not the cooperation could be a successful one, therefore, it puts up with the assumption of three indicators to interpret the cooperation innovation capacity, i.e., "market cooperation and innovation capacity, technological cooperation and innovation capacity and the capacity of collaboratively grasping the innovation opportunities", on which, the research framework of the paper is based.
Secondly, through the four typical cases study, Juguang Technology, ShaoxingTextile Reseach Institute, Yantai Wanhua, Founder Group, the paper finds theevolution law of the cooperation innovation model in different stages. Drawing theresearch results of the cooperation model, the paper classifies the cooperation modesof different stages by two dimensions—innovation management and cooperativegovernance relations—in an exploratory manner, and four different cooperationmodes are proposed, which are finally refined into the evolution model of theIndustry-University Collaboration innovation model. And through empirical research,it is found that in the current stage, cooperation model is the key element that has ahuge impact on the project performance. The evolution model of the cooperationmodel serves as a good example that industry-university cooperation and innovationare the main road to achieve the agglomeration process of the innovation resources inenterprises as well as the enterprises' independent innovation, thus, to enrich ourcountry's independent innovation-based nation-building theory.
Thirdly, based on factor analysis, regression analysis and structural equation modeling analysis, an important conclusion has been achieved: the current industry-university cooperation and innovation is primarily elements-driven. The paper finds that, under the current situation, the resources factor, the capacity factor and the cooperation mode factor of the both sides play a crucial role through the changes of the innovation capacity, thereby enhancing the innovation performance of cooperation projects and providing a research protection for the institution of appropriate public policy. Meanwhile, from the empirical analysis, the paper also finds that the management efficiency of the current cooperation and innovation is very low at the micro level, which has seriously restricted the production performance of cooperation and innovation.
Finally, based on the conclusion that the current industry-university cooperation and innovation are mainly elements-driven, as well as the analysis of the status quo of the industry and the innovation policies in Zhejiang Province, the paper proposes the policy objectives and basic principles to promote the current cooperation innovation, and designs the new policy instruments for the cooperation. Finally, in view of actual situation of the adequacy of Zhejiang Industrial and civil capital, the paper creatively puts forward a specific solution of creating the risk guide fund to strengthen the resources integration capacity and to improve the resource consumption efficiency. And this has contributed to the optimization of the cooperation policy system, and the transformation and upgrading of the economy of Zhejiang Province.
The study results of the paper enriches and perfects the industry-university cooperation and innovation theory, draws an important conclusion that the current cooperation and innovation are primarily elements-driven, which provides a scientifically effective theory guidance to construct targeted public policy and to enhance the public administration efficiency.
引文
1 世界经济论坛,全球竞争力报告(2006-2007)
2 康德拉季耶夫的经济长波理论又称“康德拉季耶夫周期”是由原俄国经济学家尼古拉.康德拉季耶夫提出.50年或略长为一个周期。他认为技术变化对资本主义发展有很大影响,但是他把技术变化看作是对资本主义内在力量的响应,是“长期波动的节奏的一部分。”(刘卸林,1993)
3 在英国苏塞克斯大学SPRU的一批以Freeman为首的研究人员.在创新和经济长波关系方面做过不少有价值工作,自称为“新熊彼特学派”(刘卸林,1993)。
4 日本科学技术与经济会编,研究开发的计划化[M].上海远东出版社.2000年3月第2版.11。
5(二十年公司:表面的胜利)http://opinion.homeway.com.cn/detail.aspx?sl=1291&id=732328
6 日本科学技术与经济会编,研究开发的计划化[M].上海远东出版社.2000年3月第2版.11。
7 《巨无霸合俊(?)坍玩具代工业恐慌》http://news.cnfol.com/081017/101,1280,4904615,00.shtml
8 参看刘建兵.服务创新体系研究-以电信业和零售业为例[D],中国科学院博士学位论文,2007.
9 参看魏诗洋.产学研合作中知识管理对企业创新绩效的影响因素分析[D],浙江大学硕士学位论文,2007
10 参见陈钰芬.开放式创新的机理与动态模式研究[D],浙江大学博士学位论文,2006
11 参看魏诗洋.产学研合作中知识管理对企业创新绩效的影响因素分析[D],浙江大学硕士学位论文。2007
12 参看陈劲.复杂产品系统创新管理[M],北京:科学出版社,2008.
13 参看陈劲,王飞绒.创新政策:多国比较与发展框架[M].杭州:浙江大学出版社,2005
14 参看余浩.基于互搏意愿的颠覆性产品创新管理机制研究[D].浙江大学博士论文,2008.
15 参看陈钰芬.开放式创新机理研究[D].浙江大学博士论文,2007
16 参看柳卸林.基于本土资源的重大创新--汉字信息处理系统案例研究[J],中国软科学,2006,12:P65
17 英国创新、大学与技能部.创新国家.2008,3.
19 参看桂斌旺.基于模块化的复杂产品系统创新机理研究[D].浙江大学博士论文,2006.
20 引自李怀祖的《管理研究方法论》(西安交通大学出版社,2004年1月第二版)第255页。
21 一般而言,若取α=0.05水平时,对MI>3.84以上的参数路径进行修改是适当的(候杰泰等,2004)。
8 饱和模型是指各变量之间均容许相关,自由度为零,能百分之百准确地和数据拟合的模型(李怀祖,2004)。
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2 康德拉季耶夫的经济长波理论又称“康德拉季耶夫周期”是由原俄国经济学家尼古拉.康德拉季耶夫提出.50年或略长为一个周期。他认为技术变化对资本主义发展有很大影响,但是他把技术变化看作是对资本主义内在力量的响应,是“长期波动的节奏的一部分。”(刘卸林,1993)
3 在英国苏塞克斯大学SPRU的一批以Freeman为首的研究人员.在创新和经济长波关系方面做过不少有价值工作,自称为“新熊彼特学派”(刘卸林,1993)。
4 日本科学技术与经济会编,研究开发的计划化[M].上海远东出版社.2000年3月第2版.11。
5(二十年公司:表面的胜利)http://opinion.homeway.com.cn/detail.aspx?sl=1291&id=732328
6 日本科学技术与经济会编,研究开发的计划化[M].上海远东出版社.2000年3月第2版.11。
7 《巨无霸合俊(?)坍玩具代工业恐慌》http://news.cnfol.com/081017/101,1280,4904615,00.shtml
8 参看刘建兵.服务创新体系研究-以电信业和零售业为例[D],中国科学院博士学位论文,2007.
9 参看魏诗洋.产学研合作中知识管理对企业创新绩效的影响因素分析[D],浙江大学硕士学位论文,2007
10 参见陈钰芬.开放式创新的机理与动态模式研究[D],浙江大学博士学位论文,2006
11 参看魏诗洋.产学研合作中知识管理对企业创新绩效的影响因素分析[D],浙江大学硕士学位论文。2007
12 参看陈劲.复杂产品系统创新管理[M],北京:科学出版社,2008.
13 参看陈劲,王飞绒.创新政策:多国比较与发展框架[M].杭州:浙江大学出版社,2005
14 参看余浩.基于互搏意愿的颠覆性产品创新管理机制研究[D].浙江大学博士论文,2008.
15 参看陈钰芬.开放式创新机理研究[D].浙江大学博士论文,2007
16 参看柳卸林.基于本土资源的重大创新--汉字信息处理系统案例研究[J],中国软科学,2006,12:P65
17 英国创新、大学与技能部.创新国家.2008,3.
19 参看桂斌旺.基于模块化的复杂产品系统创新机理研究[D].浙江大学博士论文,2006.
20 引自李怀祖的《管理研究方法论》(西安交通大学出版社,2004年1月第二版)第255页。
21 一般而言,若取α=0.05水平时,对MI>3.84以上的参数路径进行修改是适当的(候杰泰等,2004)。
8 饱和模型是指各变量之间均容许相关,自由度为零,能百分之百准确地和数据拟合的模型(李怀祖,2004)。
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