学术创业的空间知识溢出研究

发布时间：2018-03-14 05:16

本文选题：学术创业　切入点：知识过滤　出处：《大连理工大学》2016年博士论文　论文类型：学位论文

【摘要】：国家创新体系建设是我国推进自主创新、建设创新型国家的引擎和基础。构建以企业为主体、市场为导向、产学研相结合的技术创新体系,需要有效整合产学研各方的协同力量,合理配置科技资源,激发科研机构的研发活力,使企业获得持续的创新能力。因此,探索和构筑科研机构与企业之间研发创新和技术转移的畅通渠道已成为推动我国科技事业健康发展的重要命题。时至今日,大学已不再仅仅是教学的“象牙塔”和科研的“实验室”,作为高技术人才的生产地和创新的策源地,其主要功能更是体现在“高科技辐射源”和“高科技企业孵化器”等方面。创业型大学是适应市场需求并恪守学术传统而出现的创新主体,其开展的学术创业活动是发展科技型小微企业,提高大学科技成果转化率的有效途径,也是知识溢出的重要源头。由此,深入探究学术创业过程中空间知识溢出的效果和微观机理则具备了理论和实践的双重要义。本文首先比较了空间知识溢出效应的六种测度方法：技术流量法、成本函数法、生产函数法、文献追踪法、全要素生产率法和极值边界分析法。对比分析了每种测度方法的研究对象、适用范围和优缺点,为研究学术创业的知识溢出效应选择了有效的实证分析工具。回溯、梳理大学技术转移、创业型大学和学术创业的研究历史和现状,重新界定学术创业的边界,确定了学术创业知识溢出的研究对象。在考察大学知识特性的基础上,从学术创业的机会识别、选择机制和类型划分三个方面探究学术创业的动因,分析学术创业的特征,进而明确了学术创业是突破大学和企业间“知识过滤”屏障的有效途径。通过归纳创业型大学创业成功与否的影响机制、大学技术转移办公室的运行机制以及大学衍生企业的技术转移机制,提出了大学所创造的知识产品商业化的有效途径,进一步阐明了学术创业过程中知识溢出的微观机制。基于“三螺旋”创新理论,分析大学和学术创业者主导的学术创业体系的构成,提出了“三螺旋”结构中学术创业知识溢出的动力机制、协同机制、共享机制和约束机制。以Griliches-Jaffe提出的知识生产函数为理论模型,引入衍生企业、人力资本流动、专利转让作为表征学术创业知识溢出效应的变量,构建了局域性学术创业知识溢出效应的扩展模型。采用空间计量经济分析方法,以大连市“新三区联动”工程为例,实证检验空间局域范围内学术创业知识溢出的内在机理,及其对区域经济增长所发挥的作用。结果表明,高校自身科研经费的投入对三螺旋创新模式下的学术创业知识溢出没有显著的促进作用；政府直接投资于企业的研发活动,并未取得预期效果；大学学术创业以及与企业的合作研发对创新产出和知识溢出则具有更为积极的效应。借鉴Acs关于创业知识溢出理论(Knowledge spillovers theory of entrepreneruship, KST E)的研究思路和分析方法,将学者、学术组织(创业型大学)和外部环境等学术创业的关键变量纳入其中,构建了基于学术创业知识溢出的扩展模型；通过对劳动力市场的一般均衡分析,推导得出了表征学术创业知识溢出效应的稳态内生增长模型。利用Moran'Ⅰ指数和Moran散点图表征学术创业知识溢出的空间相关性,构建基于空间杜宾模型的动态面板模型,并运用极大似然法对参数进行估计,考察学术创业知识溢出在全局空间范围内的衰减趋势。结果表明,本地区和相邻地区的既有企业知识存量影响学术创业机会的多寡；新知识的商业化效率决定了学术创业的效率；空间集聚效应在学术创业知识溢出过程中发挥积极作用；本地区的经济规模和金融支持力度等因素影响学术创业突破“知识过滤”屏障。上述研究结果表明,采用本文提出的学术创业知识溢出扩展模型可以有效表征基于学术创业的知识溢出行为,合理界定知识溢出对对区域经济增长所发挥的作用,为我国构建跨区域创新网络、提升区域创新能力提供了理论工具。最后,基于理论与实证分析结果提出了相应的政策建议。即,完善和实施促进大学科技园发展、支持大学科研人员学术创业、推动人力资本流动和提高大学衍生企业技术转移效率等支持科技成果转移转化的政策措施；构建大中小企业、高校、科研机构、创客多方协同的新型创业创新机制,提高企业吸收学术创业知识溢出的能力,鼓励科研人员创业创新,充分激发企业家精神,发挥“大众创业、万众创新”的新潜能,与我国全面实施和推进创新驱动发展战略形成共鸣。
[Abstract]:The construction of national innovation system is to promote China's independent innovation engine and foundation of building an innovative country. In order to build the enterprise as the main body, the market as the guidance, the combination of technical innovation system, to effectively integrate the research collaborative power of the parties, the rational allocation of resources of Science and technology, stimulate research institutions research activity, make the enterprise obtain sustainable the ability of innovation. Therefore, explore and build scientific research institutions and enterprises to develop the innovation and technology transfer channel has become an important proposition to promote the healthy development of China's science and technology. Today, the university is not only the "Ivory tower" teaching and research "laboratory", as a hotbed of high-tech talent production and innovation, its main function is reflected in the radiation of high-tech and high-tech enterprise incubator "and so on. The entrepreneurial university is to adapt to the market demand And to the academic tradition and the innovation, the development of academic entrepreneurship is the development of science and technology Small and micro businesses, effective way to improve the conversion rate of scientific and technological achievements, but also an important source of knowledge spillovers. Therefore, in-depth research and micro mechanism of spatial knowledge spillover effect of academic entrepreneurship in the process has the double meaning of theory and practice. This paper compares six kinds of measuring methods of spatial knowledge spillover effect of technology flow, cost function, production function method, literature tracing method, TFP method and extreme bounds analysis method. Comparative analysis of the object of study for each measure, the scope and the advantages and disadvantages, for knowledge spillovers study on the effect of academic entrepreneurship choice effective empirical analysis tools. Back, combing the university technology transfer, research history and status quo of the entrepreneurial university and academic entrepreneurship, redefinition of Science Operation business boundaries, determine the research object of the academic entrepreneurship knowledge spillovers. Based on studying the characteristics of university knowledge, recognition from academic entrepreneurship opportunities, selection mechanism and classification of three aspects of academic entrepreneurship motivation, analysis of the characteristics of academic entrepreneurship, and clear academic entrepreneurship is an effective way to break through the universities and enterprises "knowledge filtration barrier. By summarizing the influence mechanism of Entrepreneurial University entrepreneurial success, the mechanism of technology transfer mechanism of university technology transfer office and USOs, put forward the effective way of commercialization of knowledge products created in University, and further clarified the mechanism of knowledge spillover in the process of academic entrepreneurship. Based on the" three spiral "innovation theory, analysis of universities and academic entrepreneurs leading academic entrepreneurship system, put forward the" three spiral "structure of middle school The dynamic mechanism of entrepreneurial knowledge spillover, coordination mechanism, sharing mechanism and restriction mechanism. Knowledge production function proposed by Griliches-Jaffe as a theoretical model, introducing derivative enterprises, human capital flows, as the knowledge spillover effect of characterization of academic entrepreneurship variables patent transfer, constructed the extended model of local academic entrepreneurship knowledge spillover effect. Using the method of analysis spatial econometrics, Dalian city "linkage" new three zone project as an example, the internal mechanism of the empirical test space in local academic entrepreneurship knowledge spillovers on regional economic growth, and the role of universities. The results show that investment in research funding for academic three helix innovation model has no significant entrepreneurial knowledge spillover to promote the role of government; direct investment in R & D activities have not achieved the expected results; university academic entrepreneurship and enterprise cooperation. On innovation output and knowledge spillover has more positive effect. Using Acs on entrepreneurial knowledge spillover theory (Knowledge spillovers theory of entrepreneruship, KST E) the research ideas and methods, the scholars, academic organization (Entrepreneurial University) key variables and the external environment of academic entrepreneurship included, construct the extended model of Academic Entrepreneurship Based on knowledge spillovers; through general equilibrium on the labor market analysis, deduces the steady-state characterization of the knowledge spillover effect of academic entrepreneurship endogenous growth model. The spatial correlation of Moran'index and Moran of plot characterization of academic entrepreneurial knowledge spillover, build dynamic panel model based on spatial Durbin model, and using the maximum likelihood method to estimate the parameters, study the attenuation trend of academic entrepreneurship knowledge spillover in global range. The results show that the local area and The adjacent areas of both the enterprise knowledge stock influence the amount of academic entrepreneurship opportunities; commercial efficiency of new knowledge determines the efficiency of academic entrepreneurship; spatial agglomeration effects play a positive role in the process of academic entrepreneurship knowledge spillover factors; regional economic scale and financial support of academic entrepreneurship breakthrough "knowledge filter" the barrier. The research results show that the proposed academic entrepreneurial knowledge spillover model can effectively characterize the knowledge spillovers of Academic Entrepreneurship Based on the reasonable definition of knowledge spillover on the play to regional economic growth, for the construction of China's regional innovation network, provides a theoretical tool to enhance regional innovation capability. Finally, the theoretical and empirical analysis results based on the corresponding policy suggestions are put forward. That is, to improve and promote the implementation of the development of University Science and Technology Park, support the university scientific research personnel Operation business, promote the transformation of human capital flow and improve USOs technology transfer efficiency to support the transfer of scientific and technological achievements of the policies and measures; construction of small and medium-sized enterprises, universities, scientific research institutions, innovative entrepreneurship and innovation mechanism of customer multi-party collaboration, enhance the ability of enterprise and industry absorb academic knowledge spillovers, encourage researchers to fully stimulate entrepreneurship and innovation, the entrepreneurial spirit, to play a "public business, new potential innovation", and promote the implementation of innovation driven development strategy to form a comprehensive resonance with our country.

【学位授予单位】：大连理工大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F279.2

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