产学科学知识转移对企业技术创新绩效的影响效应研究

发布时间：2017-12-28 01:06

本文关键词：产学科学知识转移对企业技术创新绩效的影响效应研究　出处：《西安交通大学》2017年博士论文　论文类型：学位论文

【摘要】：大学与企业间的科学知识转移对于企业的技术创新活动具有重要的影响。目前有关学术界和产业界之间科学知识转移的研究大多集中于专利的科学引文(scientific reference)、科学家RD合作或产学合作等对企业技术创新活动的影响,这些研究过于关注科学知识获取对企业技术创新绩效的直接影响,却忽视了知识转移过程中的知识应用环节。科学与技术具有相互冲突的演化逻辑,优异的科学研究并不一定总能产生成功的技术创新,二者之间的复杂关系是直接效应模型所不能有效解释的。那么企业的技术创新活动究竟如何从科学研究中获益?科学知识只有通过应用才能产生收益,而从知识获取到知识应用需要社会整合机制。如果将企业科学家(RD人员)作为科学知识转移网络中的社会主体,那么其网络位置和网络构成会对其科学知识应用产生何种影响?企业的内部能力对企业从产学合作中获益的程度有何影响?目前的文献尚缺乏对这些问题的深入探讨和系统研究。由于大学与企业之间的科学知识交流具有多层面性,本文从专利、科学家和企业三个层面(分析单位)分析了产学科学知识转移对不同层次的企业技术创新绩效的影响。具体研究内容如下:首先,在专利层面本文采用我国重点高新产业USPTO专利数据分别探讨了专利发明人(专利)引用中国和外国学者科学文献对专利有效性(patent usefulness)的直接影响和基于技术知识构件(component)重组的间接影响,结果发现发明人引用中国学者科学文献对专利有效性具有U型的直接影响,而对技术知识构件与专利有效性的正向关系具有显著的促进作用;发明人引用外国学者科学文献对专利有效性和技术知识构件与专利有效性之间关系均没有显著的影响。其次,在科学家层面,本文基于有机精细化学行业一个典型企业的论文数据和专利数据,分别构建了科学家合作发表网络和合作发明网络,然后将两个网络通过桥接科学家(bridging scientist)连接起来形成科学家RD合作网络,接着通过对比分析科学家合作发表网络和RD合作网络的网络结构,发现桥接科学家作为大学与企业间的跨界联系人(boundary spanner),显著提高了产学科学知识转移网络的结构凝聚性和连通性。此外,基于结构视角和认知视角,本文实证检验企业科学家的网络位置和网络构成对其科学知识应用的影响。研究结果发现企业科学家的科学研究水平对其技术创新绩效具有促进作用,但是并不稳健;企业科学家跨越结构洞的网络位置对其科学研究水平与技术创新绩效关系没有显著的影响,但是反映企业科学家联系人知识异质性较高的GATEKEEPER角色扮演对该关系具有显著的正向调节作用。最后,在企业层面,本文基于中国有机精细化学行业样本的专利和SCI论文数据,分析了企业知识整合能力对产学合作与企业组织技术创新绩效关系的中介效应。研究结果发现产学科学合作对企业组织技术创新绩效的影响受到了知识整合能力的部分中介,而产学技术合作对企业组织技术创新绩效的影响则不受知识整合能力的中介作用。本文的创新工作主要包括以下4个方面:1)本文将科学知识转移对专利有效性的直接影响和基于技术知识构件重组的间接影响纳入统一模型,分析科学研究成果对技术创新的影响机制。除了直接的科学知识应用之外,更重要的是科学知识可以指导专利发明人更有效地进行技术知识构件重组,从而提高技术突破的概率和技术创新质量。研究表明中国和外国学者科学文献对中国高新产业技术创新质量的影响是截然不同的,后者作用的发挥受到更多的限制。2)综合运用论文合作和专利合作指标,本文直观描述了大学科学家和企业科学家之间基于不同形式的社会交流所形成的科学知识转移路径,并通过重点研究桥接科学家对产学科学知识转移网络的形成和结构演化的影响,不仅识别了桥接科学家在学术界与产业界之间的跨界联系人角色和鉴别有价值科学知识的作用,而且发现其可以显著改善产学科学知识转移网络的结构特征,进而提高产学科学知识转移的效率。3)本文结合社会网络分析和多元回归分析方法,基于结构视角和认知视角,检验了企业科学家在科学家RD合作网络中的网络位置和网络构成对其科学知识应用的不同影响。研究表明企业科学家跨越结构洞的网络位置对其科学研究水平与技术创新绩效之间关系没有显著影响,而其在个体中心网(ego network)中扮演GATEKEEPER角色的频次(反映其联系人的知识异质性较高)则可以显著提高其科学研究水平对技术创新绩效的正向影响。结构视角和认知视角的实证结果差异说明网络的构成“内容”比网络的结构“表象”对企业科学家的科学知识应用更重要。4)基于知识基础观和动态能力理论,本文通过强调与产学科学合作和产学技术合作分别相对应的探索性科学知识学习过程和开发性科学知识学习过程,丰富了现有研究对不同形式产学合作与企业组织技术创新绩效之间关系的理解;扩展了直接效应模型,提出并证实了企业的知识整合能力——企业在技术创新的过程中有效关联和协调科学研究与技术开发的能力,在产学科学合作与企业组织技术创新绩效关系中起着重要的中介作用。与作为开发性学习过程的技术开发相比,作为探索性学习过程的科学研究在组织层面距离创新产出阶段更远,因此相对于从产学技术合作中获益,企业更依赖知识整合能力从产学科学合作中获益。
[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)
【学位授予单位】：西安交通大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：F273.1

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