习近平2016年在全国科技创新大会中指出：“科技创新绝不仅仅是实验室里的研究， 而是必须将科技创新成果转化为推动经济社会发展的现实动力” [1]。但由于国家政策、 服务体系、人员激励等多方面原因，我国科技成果转化成功率不高，转化绩效并不理想。 而科技成果转化作为一个涉及高校、科研机构和企业等多组织的复杂系统，组织间合作 关系便构成了一个社会网络。因此，研究科技成果转化合作网络的结构特征以及网络中 不同组织的个体结构特征与科技成果转化绩效的关系具有一定的理论与现实意义。 本文从社会网络个体结构特征以及社会网络整体结构特征两个方面研究社会网络 对科技成果转化绩效的影响。首先，总结了国内科技成果转化的参与要素与合作模式。 接着，依据国家统计年鉴相关数据，采用熵值法计算权重，进而对高等院校、企业和科 研机构的科技成果转化绩效进行评估。随后，在社会网络、创新扩散等理论的基础上， 结合现实数据，创建随机网络，对科技成果转化活动进行仿真模拟。最后，对仿真结果 进行统计分析，得出以下结论：第一，度数中心度与高校和科研机构的科技成果转化绩 效呈倒U型关系，接近中心度与之呈负相关，说明社会网络个体结构特征对科技成果转 化成本的影响强于对转化收益的影响，因此科技成果转化主体的网络中心性并非越高越 好。第二，社会网络个体结构特征对高校和科研机构的科技成果转化绩效有显著影响， 与企业的科技成果转化绩效则无显著相关性。第三，对于科技成果转化总体绩效而言， 网络平均距离和中间中心势与之负相关，网络密度与之正相关。说明科技成果转化主体 的地位越不平等，彼此间的距离越远，越不利于总体转化绩效的提升。科技成果转化主 体间建立的关系越丰富越利于总体转化绩效的提升。在此基础上，提出了相关的启示与 建议。 关键词: 社会网络；网络结构特征；科技成果转化；绩效；仿真 II Abstract In the National Science and Technology Innovation Conference in 2016, Xi Jinping pointed out that science and technology innovation is not only researches in the laboratory, but must be transformed as a driving force for economic development. However, due to various reasons, such as policies, service systems and personnel incentives, the rate of Chinese scientific and technological achievements transformation is poor and the performance is unsatisfactory. As for a complex system, the transformation involves multiple organizations such as universities, enterprises and research institutions and the cooperation between different organizations constitutes a social network. Therefore, the study of relationships between structural characteristics of transformation network and individuals in it and the performance of scientific and technological achievements transformation has certain theoretical and practical significances. This thesis studies the impact of social networks on the performance of scientific and technological achievements transformation from two aspects: the individuals’ structure characteristics and the overall structural characteristics. First, participation factors and cooperation models of scientific and technological achievements transformation is summarized. Then, according to the relevant data of the National Statistical Yearbook, the entropy method is used to calculate the weight and the transformation performance of university, enterprise and research institution is evaluated. After that, a random network is created to simulate the transformation of scientific and technological achievements, based on the theory of social network and innovation diffusion and reality data. Finally, through statistical analysis of the simulation results, conclusions are draw as follows: First, the degree centrality has an inverted U-shaped relationship with transformation performance of university and research institution, while closeness centrality is negatively correlated with it. This means individual’s network centrality is not as high as much better for individual’s structural characteristics have a greater impact on the transformation cost than on the transformation income. Second, the individual structural characteristics of social networks have a significant impact on university and research institution’s transformation performance, and there is no significant correlation with enterprise’s transformation performance. Third, for III the overall performance of scientific and technological achievements transformation, the network average distance and centralization are negatively correlated with it, and the density is positively correlated with it. It means that the more unequal of status of transformation subjects and the farther the distance between them, the more unfavorable for improving the whole transformation performance. The more connections between different subjects, the more contribute to the transformation performance. On this basis, revelations and suggestions are put forward. Key words: social network; network structure characteristics; scientific and technological achievements transformation; performance; simulation IV 目 录 摘要 ......................................................................................................................................... I ABSTRACT .............................................................................................................................. II 第一章 绪论 ............................................................................................................................ 1 1.1 研究背景 .................................................................................................................... 1 1.2 研究意义 .................................................................................................................... 1 1.3 文献综述 .................................................................................................................... 2 1.3.1 科技成果转化相关研究 .................................................................................. 2 1.3.2 社会网络相关研究 .......................................................................................... 5 1.4 研究内容与方法 ........................................................................................................ 8 1.5 研究框架 .................................................................................................................... 9 第二章 理论基础 .................................................................................................................. 10 2.1 社会资本理论 .......................................................................................................... 10 2.2 社会网络理论 .......................................................................................................... 10 2.2.1 网络结构 .......................................................................................................... 10 2.2.2 网络结构特征 .................................................................................................. 13 2.3 创新扩散理论 ............................................................................................................ 14 第三章 科技成果转化绩效评价 ............................................................................................ 16 3.1 指标选取 .................................................................................................................. 16 3.2 权重确定与评估结果 .............................................................................................. 18 第四章 仿真设计 .................................................................................................................. 21 4.1 仿真变量及参数 ...................................................................................................... 21 4.2 仿真流程 .................................................................................................................. 24 第五章 统计分析 .................................................................................................................. 25 5.1 社会网络个体特征分析 .......................................................................................... 25 5.1.1 描述性分析 .................................................................................................... 25 5.1.2 相关性分析 .......................................