本文關(guān)鍵詞：產(chǎn)學(xué)科學(xué)知識轉(zhuǎn)移對企業(yè)技術(shù)創(chuàng)新績效的影響效應(yīng)研究　出處：《西安交通大學(xué)》2017年博士論文　論文類型：學(xué)位論文

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【摘要】：大學(xué)與企業(yè)間的科學(xué)知識轉(zhuǎn)移對于企業(yè)的技術(shù)創(chuàng)新活動(dòng)具有重要的影響。目前有關(guān)學(xué)術(shù)界和產(chǎn)業(yè)界之間科學(xué)知識轉(zhuǎn)移的研究大多集中于專利的科學(xué)引文(scientific reference)、科學(xué)家RD合作或產(chǎn)學(xué)合作等對企業(yè)技術(shù)創(chuàng)新活動(dòng)的影響,這些研究過于關(guān)注科學(xué)知識獲取對企業(yè)技術(shù)創(chuàng)新績效的直接影響,卻忽視了知識轉(zhuǎn)移過程中的知識應(yīng)用環(huán)節(jié)�？茖W(xué)與技術(shù)具有相互沖突的演化邏輯,優(yōu)異的科學(xué)研究并不一定總能產(chǎn)生成功的技術(shù)創(chuàng)新,二者之間的復(fù)雜關(guān)系是直接效應(yīng)模型所不能有效解釋的。那么企業(yè)的技術(shù)創(chuàng)新活動(dòng)究竟如何從科學(xué)研究中獲益?科學(xué)知識只有通過應(yīng)用才能產(chǎn)生收益,而從知識獲取到知識應(yīng)用需要社會(huì)整合機(jī)制。如果將企業(yè)科學(xué)家(RD人員)作為科學(xué)知識轉(zhuǎn)移網(wǎng)絡(luò)中的社會(huì)主體,那么其網(wǎng)絡(luò)位置和網(wǎng)絡(luò)構(gòu)成會(huì)對其科學(xué)知識應(yīng)用產(chǎn)生何種影響?企業(yè)的內(nèi)部能力對企業(yè)從產(chǎn)學(xué)合作中獲益的程度有何影響?目前的文獻(xiàn)尚缺乏對這些問題的深入探討和系統(tǒng)研究。由于大學(xué)與企業(yè)之間的科學(xué)知識交流具有多層面性,本文從專利、科學(xué)家和企業(yè)三個(gè)層面(分析單位)分析了產(chǎn)學(xué)科學(xué)知識轉(zhuǎn)移對不同層次的企業(yè)技術(shù)創(chuàng)新績效的影響。具體研究內(nèi)容如下:首先,在專利層面本文采用我國重點(diǎn)高新產(chǎn)業(yè)USPTO專利數(shù)據(jù)分別探討了專利發(fā)明人(專利)引用中國和外國學(xué)者科學(xué)文獻(xiàn)對專利有效性(patent usefulness)的直接影響和基于技術(shù)知識構(gòu)件(component)重組的間接影響,結(jié)果發(fā)現(xiàn)發(fā)明人引用中國學(xué)者科學(xué)文獻(xiàn)對專利有效性具有U型的直接影響,而對技術(shù)知識構(gòu)件與專利有效性的正向關(guān)系具有顯著的促進(jìn)作用;發(fā)明人引用外國學(xué)者科學(xué)文獻(xiàn)對專利有效性和技術(shù)知識構(gòu)件與專利有效性之間關(guān)系均沒有顯著的影響。其次,在科學(xué)家層面,本文基于有機(jī)精細(xì)化學(xué)行業(yè)一個(gè)典型企業(yè)的論文數(shù)據(jù)和專利數(shù)據(jù),分別構(gòu)建了科學(xué)家合作發(fā)表網(wǎng)絡(luò)和合作發(fā)明網(wǎng)絡(luò),然后將兩個(gè)網(wǎng)絡(luò)通過橋接科學(xué)家(bridging scientist)連接起來形成科學(xué)家RD合作網(wǎng)絡(luò),接著通過對比分析科學(xué)家合作發(fā)表網(wǎng)絡(luò)和RD合作網(wǎng)絡(luò)的網(wǎng)絡(luò)結(jié)構(gòu),發(fā)現(xiàn)橋接科學(xué)家作為大學(xué)與企業(yè)間的跨界聯(lián)系人(boundary spanner),顯著提高了產(chǎn)學(xué)科學(xué)知識轉(zhuǎn)移網(wǎng)絡(luò)的結(jié)構(gòu)凝聚性和連通性。此外,基于結(jié)構(gòu)視角和認(rèn)知視角,本文實(shí)證檢驗(yàn)企業(yè)科學(xué)家的網(wǎng)絡(luò)位置和網(wǎng)絡(luò)構(gòu)成對其科學(xué)知識應(yīng)用的影響。研究結(jié)果發(fā)現(xiàn)企業(yè)科學(xué)家的科學(xué)研究水平對其技術(shù)創(chuàng)新績效具有促進(jìn)作用,但是并不穩(wěn)健;企業(yè)科學(xué)家跨越結(jié)構(gòu)洞的網(wǎng)絡(luò)位置對其科學(xué)研究水平與技術(shù)創(chuàng)新績效關(guān)系沒有顯著的影響,但是反映企業(yè)科學(xué)家聯(lián)系人知識異質(zhì)性較高的GATEKEEPER角色扮演對該關(guān)系具有顯著的正向調(diào)節(jié)作用。最后,在企業(yè)層面,本文基于中國有機(jī)精細(xì)化學(xué)行業(yè)樣本的專利和SCI論文數(shù)據(jù),分析了企業(yè)知識整合能力對產(chǎn)學(xué)合作與企業(yè)組織技術(shù)創(chuàng)新績效關(guān)系的中介效應(yīng)。研究結(jié)果發(fā)現(xiàn)產(chǎn)學(xué)科學(xué)合作對企業(yè)組織技術(shù)創(chuàng)新績效的影響受到了知識整合能力的部分中介,而產(chǎn)學(xué)技術(shù)合作對企業(yè)組織技術(shù)創(chuàng)新績效的影響則不受知識整合能力的中介作用。本文的創(chuàng)新工作主要包括以下4個(gè)方面:1)本文將科學(xué)知識轉(zhuǎn)移對專利有效性的直接影響和基于技術(shù)知識構(gòu)件重組的間接影響納入統(tǒng)一模型,分析科學(xué)研究成果對技術(shù)創(chuàng)新的影響機(jī)制。除了直接的科學(xué)知識應(yīng)用之外,更重要的是科學(xué)知識可以指導(dǎo)專利發(fā)明人更有效地進(jìn)行技術(shù)知識構(gòu)件重組,從而提高技術(shù)突破的概率和技術(shù)創(chuàng)新質(zhì)量。研究表明中國和外國學(xué)者科學(xué)文獻(xiàn)對中國高新產(chǎn)業(yè)技術(shù)創(chuàng)新質(zhì)量的影響是截然不同的,后者作用的發(fā)揮受到更多的限制。2)綜合運(yùn)用論文合作和專利合作指標(biāo),本文直觀描述了大學(xué)科學(xué)家和企業(yè)科學(xué)家之間基于不同形式的社會(huì)交流所形成的科學(xué)知識轉(zhuǎn)移路徑,并通過重點(diǎn)研究橋接科學(xué)家對產(chǎn)學(xué)科學(xué)知識轉(zhuǎn)移網(wǎng)絡(luò)的形成和結(jié)構(gòu)演化的影響,不僅識別了橋接科學(xué)家在學(xué)術(shù)界與產(chǎn)業(yè)界之間的跨界聯(lián)系人角色和鑒別有價(jià)值科學(xué)知識的作用,而且發(fā)現(xiàn)其可以顯著改善產(chǎn)學(xué)科學(xué)知識轉(zhuǎn)移網(wǎng)絡(luò)的結(jié)構(gòu)特征,進(jìn)而提高產(chǎn)學(xué)科學(xué)知識轉(zhuǎn)移的效率。3)本文結(jié)合社會(huì)網(wǎng)絡(luò)分析和多元回歸分析方法,基于結(jié)構(gòu)視角和認(rèn)知視角,檢驗(yàn)了企業(yè)科學(xué)家在科學(xué)家RD合作網(wǎng)絡(luò)中的網(wǎng)絡(luò)位置和網(wǎng)絡(luò)構(gòu)成對其科學(xué)知識應(yīng)用的不同影響。研究表明企業(yè)科學(xué)家跨越結(jié)構(gòu)洞的網(wǎng)絡(luò)位置對其科學(xué)研究水平與技術(shù)創(chuàng)新績效之間關(guān)系沒有顯著影響,而其在個(gè)體中心網(wǎng)(ego network)中扮演GATEKEEPER角色的頻次(反映其聯(lián)系人的知識異質(zhì)性較高)則可以顯著提高其科學(xué)研究水平對技術(shù)創(chuàng)新績效的正向影響。結(jié)構(gòu)視角和認(rèn)知視角的實(shí)證結(jié)果差異說明網(wǎng)絡(luò)的構(gòu)成“內(nèi)容”比網(wǎng)絡(luò)的結(jié)構(gòu)“表象”對企業(yè)科學(xué)家的科學(xué)知識應(yīng)用更重要。4)基于知識基礎(chǔ)觀和動(dòng)態(tài)能力理論,本文通過強(qiáng)調(diào)與產(chǎn)學(xué)科學(xué)合作和產(chǎn)學(xué)技術(shù)合作分別相對應(yīng)的探索性科學(xué)知識學(xué)習(xí)過程和開發(fā)性科學(xué)知識學(xué)習(xí)過程,豐富了現(xiàn)有研究對不同形式產(chǎn)學(xué)合作與企業(yè)組織技術(shù)創(chuàng)新績效之間關(guān)系的理解;擴(kuò)展了直接效應(yīng)模型,提出并證實(shí)了企業(yè)的知識整合能力——企業(yè)在技術(shù)創(chuàng)新的過程中有效關(guān)聯(lián)和協(xié)調(diào)科學(xué)研究與技術(shù)開發(fā)的能力,在產(chǎn)學(xué)科學(xué)合作與企業(yè)組織技術(shù)創(chuàng)新績效關(guān)系中起著重要的中介作用。與作為開發(fā)性學(xué)習(xí)過程的技術(shù)開發(fā)相比,作為探索性學(xué)習(xí)過程的科學(xué)研究在組織層面距離創(chuàng)新產(chǎn)出階段更遠(yuǎn),因此相對于從產(chǎn)學(xué)技術(shù)合作中獲益,企業(yè)更依賴知識整合能力從產(chǎn)學(xué)科學(xué)合作中獲益。
[Abstract]:The transfer of scientific knowledge between universities and enterprises has an important influence on the technological innovation activities of the enterprises. At present the research between academia and industry scientific knowledge transfer mainly focus on Patent Citation (scientific reference), RD scientists cooperation or cooperation on technological innovation activities of enterprises, these studies pay too much attention to scientific knowledge acquisition directly influence on technological innovation performance of enterprises, but ignore the link of knowledge application in the process of knowledge transfer. Science and technology have conflicting evolutionary logic. Excellent scientific research is not always able to produce successful technological innovation. The complex relationship between the two is not directly explained by the direct effect model. How can the technological innovation activities of enterprises benefit from scientific research? Only by application can scientific knowledge generate profits, and from knowledge acquisition to knowledge application, social integration mechanism is needed. If the enterprise scientists (RD people) as a social network subject of scientific knowledge, so the network location and network structure will affect the application of scientific knowledge? The internal ability of the enterprise from the production level of benefit in cooperation with what effect? The literature still lacks research and system on these issues. Due to the multilevel nature of scientific knowledge exchange between universities and enterprises, this paper analyzes the impact of knowledge transfer from industry to school on technological innovation performance of enterprises at different levels from three levels, namely, patents, scientists and enterprises. Specific contents are as follows: firstly, the patent inventor discusses in the patent level the focus of China's high-tech industry data USPTO patent (patent) China and foreign scholars cited scientific literature on the validity of the patent (patent usefulness) and the direct impact based on technical knowledge component (component) indirectly affect the reorganization, the inventor of reference direct impact on the scientific literature China scholars with U type of patent validity, and the positive relationship between knowledge component and the validity of the patent has significant effect; the inventor of scientific literature cited foreign scholars had no significant impact on the relationship between patent validity and the validity of the patent and technology knowledge component. Secondly, in this paper the scientists level, a typical enterprise of organic fine chemical industry and the data were constructed based on patent data, scientists published network and cooperative invention network, then the two network (bridging scientist) by bridging scientists connected together to form the RD scientists cooperation network, and then through the comparative analysis of scientific collaboration network structure: network and RD network cooperation between universities and enterprises, as cross-border contacts (boundary, spanner) bridging scientists to significantly improve the production coherence and connectivity of the network structure of scientific knowledge transfer. In addition, based on the structural and cognitive perspectives, this paper empirically examines the impact of the network position and network composition of the enterprise scientists on the application of scientific knowledge. The results of the study found that the level of scientific research enterprise scientist has a promoting effect on the technological innovation performance, but is not robust; enterprise scientists across structural holes network location has no significant effect on the level of scientific research and technology innovation performance, but reflect the enterprise contact scientists knowledge heterogeneity and higher GATEKEEPER role play has positive moderating effect significantly on the relationship between. Finally, on the enterprise level, based on the data from Chinese organic fine chemical industry samples and SCI papers, this paper analyzes the mediating effect of knowledge integration capability on the relationship between industry university cooperation and organizational technology innovation performance. The results show that the impact of industry university science cooperation on the technological innovation performance of enterprises is partly mediated by knowledge integration capability, while the influence of industry technological cooperation on technological innovation performance of enterprises is not mediated by knowledge integration capability. The innovation work of this paper includes the following 4 aspects: 1) in this paper, the direct impact of scientific knowledge transfer on patent effectiveness and the indirect influence based on technology knowledge component reorganization are incorporated into a unified model, and the impact mechanism of scientific research results on technological innovation is analyzed. In addition to the direct application of scientific knowledge, it is more important that scientific knowledge can guide patent inventors to carry out technical knowledge component reconfiguration more effectively, so as to improve the probability of technological breakthroughs and the quality of technological innovation. The research shows that the influence of Chinese and foreign scholars' scientific literature on the quality of technological innovation in China's high-tech industry is quite different, and the latter's role is restricted by more. 2) the comprehensive use of the cooperation and patent cooperation index, this paper described the University between scientists and scientists of different forms of enterprise social communication based on scientific knowledge transfer path, and through the research on the bridging scientists of production and learning affect the evolution of the formation and structure of the network of scientific knowledge transfer, not only to identify the value of scientific knowledge between academia and industry cross-border contacts and differential bridging role of scientists, and found its can significantly improve the industrial structure characteristics of the network transfer of scientific knowledge, so as to improve the efficiency of production of scientific knowledge transfer. 3) combined with social network analysis and multiple regression analysis, based on structural perspective and cognitive perspective, this paper examines the different influence of network location and network structure on the application of scientific knowledge in RD collaboration network. The research shows that the enterprise scientists across structural holes network location had no significant effect on the relationship between the level of scientific research and technological innovation performance, and the individual network center (ego network) plays the role of GATEKEEPER (high frequency reflect the heterogeneity of knowledge you can contact)
【學(xué)位授予單位】：西安交通大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2017
【分類號】：F273.1

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