国际科研合作与知识溢出效应的实证研究：以中美纳米技术合作为例

In the emerging knowledge economy, scientific pursuit in the form of international collaboration has escalated. Studies consistently report that such collaboration, which has been intensifying in the last several decades, is common among not only advanced economies but also in emerging scientific nations such as China, India, and Brazil. The emergence of a "new invisible college"of international knowledge exchange has aroused interest from social scientists and captured the attention of policymakers. Indeed, recognizing its importance as a means of monitoring and exploiting other countries' R&D investment, more and more countries champion and participate in international joint research. International collaboration between the United States (US) and China is particularly interesting. The US has been and will continue to be the leader in scientific development for the foreseeable future. However, as a rising scientific power, China is changing the global landscape of ideas and innovation along with other emerging countries. The growing significance of the US-China relationship and worldwide interest in China's development suggest that the characteristics of the scientific collaboration of these two countries and its associated knowledge dissemination across national borders are timely topics to study. Surprisingly, few studies have examined research collaboration between a scientific superpower and an emerging scientific power, particularly in the context of emerging state-of-the-art technology. This project seeks to address this research gap by examining patterns of collaboration in the US-China scientific community and its impact on the US nanotechnology development, if any, through Chinese knowledge moderators (CKMs)-Chinese scholars who bridge two otherwise distant scientific communities through intensive collaboration with both sides. The research utilizes two novel datasets to examine the relationship between international collaboration and knowledge spillover across national boundaries. It also operationalizes and tests the impact of US-China collaboration using multiple methods. In addition to citation-based indicators, based on the turnover of nanotechnology keywords,as well as funding acknowledgement the studyinvestigates the impact of collaborating with CKMs on the US research trajectory and the international knowledge spillover facilitated by CKMs. Thirdly, utilizing a longitudinal publication dataset of CKMs and their CV data, this study is able to quantifythe dynamic impact of US collaboration on the quality of CKMs research over time. The combination of bibliometric analyses, empirical testing, and case studies allows for the development of a comprehensive blueprint of US-China scientific collaboration inthe field of nanotechnology.

在知识经济时代，国际科研合作已经成为有效监测和利用其他国家研发投资成果的一个重要手段。中美之间的国际科研合作具有战略性意义。令人惊讶的是，目前鲜有文献对一个科学超级大国和一个科学新兴国家在前沿的关键学科技术方面的合作进行全面的动态分析。中美科研合作对中美两国科技发展的实证研究更是严重匮乏。为填补这一空白，本研究运用管理学，社会学和信息学相关理论，采取"定量开路、定性深入、工具辅助"的多学科交叉的研究方法，对超大型全球纳米科技文献数据库（1990-2012）进行分析，从数量、国际影响力、学科前沿发展的动态趋势多方面绘制中美在纳米领域的合作特点；将该数据库与中美知识中介者的简历数据相结合，构建面板数据（panel data）来量化国际合作产生的知识溢出对中美两国纳米科技质量和发展方向的影响，并据此提出相关对策与建议。

在知识经济时代，已经成为有效监测和利用其他国家研发投资成果的一个重要手段。中美之间的国际科研合作具有战略性意义。但目前鲜有文献对两国在关键学科领域的合作进行全面的动态实证分析。为填补这一空白，本研究综合运用管理学，社会学和信息学相关理论，采取“定量开路、定性深入、工具辅助”的多学科交叉的研究方法，对超大型全球科技文献数据库（1990-2012）进行分析，从数量、国际影响力、学科前沿发展的动态趋势多方面绘制中美在科技领域的合作特点；将该数据库与其他相关数据相结合，来量化国际合作产生的知识溢出对两国科技质量和发展方向的影响，并据此提出相关对策与建议。..本研究自2013年9月开始。到目前为止，课题组在国内外科研发表、数据库建设、人才培养等方面取得了一系列进展。该青年项目已发表16篇学术论文，其中CSSCI论文3篇；SSCI/SCI论文计12篇，其中多篇发表在科学计量与科技政策国际顶级或权威期刊上。一篇入选《基本科学指标》数据库ESI发布的“Highly Cited Papers”、 相关成果获得上海市第十三届哲学社科论文类二等奖、首届上海市信息资源管理青年优秀成果奖。另外还有若干篇具有一定创新思想的论文在送审中。资助了两位硕士研究生在信息计量与科技政策的研究和毕业设计；在指导培养两位在读博士生的论文写作，三年期间多次参与国际学术会议汇报自科资助的研究成果。