自然科学基金的投入是否可以真正提高高校学者的创新产出是本 研究的研究课题，基于这一课题，本研究探索了高等院校学者的创新 能力与创新绩效的关系，并将创新绩效在数量和质量层面进行了区分， 还探索了合作者网络结构洞的调节作用。利用2014至2016年同济大 学经济与管理学院申请国家自然科学基金委员会基金的申请结果作为 基金申请人创新能力的代理变量，同时使用网络“爬虫”技术爬取了 这些基金申请人至今发表的所有期刊论文数据，将基金申请之后三年 发表的期刊论文的数量和质量分别作为创新绩效的代理变量，同时利 用这些期刊论文数据构建了学者的合作者网络。实证研究结果表明， 基金申请人的创新能力显著正向影响创新绩效的数量层面，但对创新 绩效的质量层面没有正向影响，甚至存在负向影响；基金申请人在合 作网路中的位置显著影响创新能力与创新绩效（数量）的关系，网络 结构洞起到正向调节作用，但基金申请人在合作网路中的位置不能显 著影响创新能力与创新绩效（数量）的关系，网络结构洞的调节作用 不显著。这些发现丰富了个体层面上创新领域和合作网络领域的理论 研究，为高校科研实践提供有益指导，为我国合理利用科研基金支持 科研工作提供了建议。 关键词：创新能力，创新绩效，合作网络，创造力 上海交通大学硕士学位论文 II UNIVERSITY SCHOLARS’ INNOVATION CAPABILITY AND INNOVATION PERFORMANCE: MODERATING ROLE OF COOPERATIVE NETWORK STRUCTURE HOLES ABSTRACT Whether the input of the National Natural Science Foundation can really improve the innovation output of university scholars is the research topic of this research. Based on this topic, the relationship between innovation ability and innovation performance at the individual level is explored. The innovation performance is distinguished in terms of quantity and quality. The moderated effect of the co-authorship network structure holes is also explored. Using the funds application data of the School of Economics and Management of Tongji University to National Natural Science Foundation of China from 2014 to 2016, using the application result as the proxy variable for the creativity of fund applicants, using web crawler to crawl all the papers published by these fund applicants so far, using the quantity and quality of papers published three years after the fund application as the proxy variables for the quantity and quality of innovation performance, using these papers data to build a co-authorship network, the relationship among innovation ability, innovation performance and structure hole is examined. The results of empirical research show that the innovation ability of fund applicants has a significant positive impact on the innovation performance in terms of quantity but has no positive impact on innovation performance in terms of quality even has a negative impact. Structure hole plays a positive moderating effect on the relationship between innovation ability and innovation performance in terms of quantity but not in terms of quality. These findings have enriched the theoretical research in the field of innovation and cooperative networks at the individual level, provided useful 上海交通大学硕士学位论文 III guidance for the scientific research practice of universities, and provided suggestions for the rational use of scientific research funds in China to support scientific research. KEY WORDS: innovation capability, innovation performance, cooperative network, creativity 上海交通大学硕士学位论文 IV 目 录 第一章 绪论 ··············· 1 1.1 研究背景 ··········· 1 1.2 研究意义 ··········· 2 1.2.1 理论意义 ······ 2 1.2.2 现实意义 ······ 3 1.3 研究目的 ··········· 3 1.4 研究内容 ··········· 3 1.5 研究路线 ··········· 4 第二章 研究综述 ········· 6 2.1 创新能力 ··········· 6 2.1.1 创新能力的概念和内涵 ······ 6 2.1.2 创新能力的研究内容 ········· 6 2.1.3 创新能力的测量 ··············· 8 2.1.4 小结 ············ 8 2.2 创造力 ·············· 9 2.2.1 创造力的概念和内涵 ········· 9 2.2.2 创造力的研究内容 ············ 9 2.2.3 创造力的测量 ················· 13 2.2.4 小结 ··········· 13 2.3 创新绩效 ·········· 13 2.3.1 创新绩效的概念和内涵 ····· 13 2.3.2 创新绩效的研究内容 ········ 14 2.3.3 创新绩效的测量 ·············· 17 2.3.4 小结 ··········· 17 2.4 社会网络 ·········· 18 2.4.1 社会网络的概念 ·············· 18 2.4.2 社会网络的相关理论 ········ 18 2.4.3 社会网络的研究内容 ········ 20 上海交通大学硕士学位论文 V 2.4.4 小结 ··········· 23 第三章 研究假设 ········ 24 3.1 研究框架 ·········· 24 3.2 研究假设 ·········· 25 3.2.1 创新能力和创新绩效 ········ 25 3.2.2 合作网络的调节作用 ········ 27 第四章 研究设计 ········ 29 4.1 研究过程概述 ···· 29 4.2 变量测量 ·········· 29 4.3 样本与数据处理 · 32 4.4 数据分析方法 ···· 33 4.4.1 社会网络分析 ················· 33 4.4.2 相关性分析 ·· 34 4.4.3 多元回归分析 ················· 34 第五章 研究结果 ········ 35 5.1 描述性统计与相关分析 ·········· 35 5.2 假设检验 ·········· 36 5.2.1 主效应检验 ·· 37 5.2.2 调节效应检验 ················· 38 5.3 稳健性检验 ······· 39 5.3.1 稳健性检验-描述性统计与相关分析 ······· 39 5.3.2 稳健性检验-主效应检验 ···· 40 5.3.3 稳健性检验-调节效应检验 · 41 5.4 研究结果 ·········· 42 第六章 研究讨论 ········ 44 6.1 研究结论 ·········· 44 6.1.1 创新能力和创新绩效 ········ 44 6.1.2 合作网络的调节作用 ········ 44 6.2 研究启示 ·········· 45 6.3 研究局限 ·········· 46 6.4 研究方向 ·········· 46