温芳芳 李翔宇 王晓梅

摘 要：[目的/意义]从专利合作与技术转移角度切入揭示高校开放式创新规律，为破解高校“高产出量、低转化率”困境提供参考和启示。[方法/过程]基于incoPat数据库收录的专利授权、许可和转让等数据，在专利合作与技术转移二维框架下展现“双一流”高校的开放式创新图景，并对专利合作与技术转移的关系进行相关分析和因果检验。[结果/结论]20年间高校专利合作量、转移量和授权量都呈上升之势，但开放式创新率不增反降。高校的开放式创新整体处于较低水平，且存在明显的校际差异。专利合作与技术转移的正相关和因果关系得以证实，二者在技术创新过程中发挥着协同效应。

关键词：“双一流”高校;开放式创新;专利合作;技术转移;专利计量

DOI：10.3969/j.issn.1008-0821.2021.02.012

〔中圖分类号〕G306 〔文献标识码〕A 〔文章编号〕1008-0821（2021）02-0115-10

Abstract：[Purpose/Significance]From the perspectives of patent cooperation and technology transfer，empirical research on open innovation in universities can reveal the law of open innovation and provide a reference for solving the dilemma of“high output and low transfer rate”in universities.[Method/Process]Based on the data of patent grant，licensing and transfer collected from the incoPat database，the open innovation landscape of“double first-class”universities has been displayed under the two-dimensional framework of patent cooperation and technology transfer.Spearman correlation analysis and Granger causality test were conducted on the relationship between patent cooperation and technology transfer.[Result/Conclusion]The amount of patent cooperation，transfer and grant of universities have increased in the past two decades，but the rate of open innovation has not increased but decreased.The overall open innovation of universities is at a low level，with obvious inter-school differences.The positive correlation and causal relationship between patent cooperation and technology transfer have been confirmed，indicating a synergistic effect in the process of technological innovation.

Key words：“double first-class”universties;open innovation;patent cooperation;technology transfer;patent bibliometrics

高校既是科学知识的主要生产者，也是技术创新的重要力量，我国高校专利申请量屡创新高，转化率却没有同步提升，“量”与“质”并不对等，高校大量的闲置专利与企业旺盛的技术需求形成鲜明对比。在创新驱动战略和教育强国战略的双重驱动下，提升高校技术转化能力和社会服务水平的需求比以往任何时候都迫切，开放式创新提供了一种现实有效的解决方案。开放式创新正在取代封闭式创新，成为技术创新的主要范式，Wikhamn B R认为已有的相关研究大多关注企业驱动型的开放式创新[1]。事实上，高校作为基础研究的承担者和原始性创新的重要源头，在开放式创新生态系统中更具主导性和推动性[2]。……