创业型企业新技术商业化研究

【作者】 李扬；

【导师】 沈志渔；

【作者基本信息】 中国社会科学院研究生院 ， 企业管理， 2012， 博士

【摘要】 随着创业型科技中小企业的快速发展和新兴技术的广泛应用，创业型企业新技术商业化在促进突破性创新快速转化、产品服务新模式形成、自主创新能力提升和推动战略性新兴产业发展方面都发挥了重要的作用。本文首先系统梳理了相关理论基础和创业型企业、技术创业、新兴技术、技术商业化等方面的国内外文献，详细阐述了创业型企业进行新技术商业化的经济合理性，并明确界定出核心研究问题的内涵。在此基础上，提出创业型企业进行新技术商业化的系统研究框架，可分为理论基础层、运作机制层、要素特征层和综合评估层四个主要层次，对该研究框架的不同层次及不同要素进行分析，并设计相应的评估指标体系，最后进行指标体系实证检验和多案例分析。本研究的主要内容如下：第一，对创业型企业进行特征分析并说明技术商业化战略选择的合理性。创业型企业具有局限性特征和灵活性特征，且局限性特征和灵活性特征间有一定转化关系，这使创业型企业能够突破“智猪博弈”的限制。对创业型企业、在位型企业在技术商业化和技术模仿战略选择方面的预期利润分析能够得出何种条件下技术商业化是创业型企业的占优策略。第二，分析了创业型企业新技术商业化的内外部运行机理。本研究从内部管理和外部协同角度出发，在纵向视角和横向视角下建立创业型企业新技术商业的管理过程模型、价值创造模型、网络嵌入模型和网络治理模型。使原有分散的技术商业化研究聚焦到创业型企业的对象上，使原有关注企业内部的技术商业化研究扩展到内外部结合的系统研究上。将创业型企业新技术商业化的特征分为经济要素特征（技术、市场、资金、人力和政策）和资本要素特征（信任、合作、学习和沟通）两大类，分别对应于内部运行机制和外部协同机制，并贯穿在过程机理各模型的主要内容中。第三，对创业型企业新技术商业化进行模式分类并指出商业化重点。由于创业型企业在产品类型和协同类型方面的不同，其技术商业化过程具有各自的开发重点。在内部管理方面，包括单向应用型和双向交互型。单向应用型产品的创业型企业技术商业化具有技术驱动和商业应用周期较短的特征，其商业化重点是实现批量生产；双向交互型产品的创业型企业技术商业化具有市场驱动和商业应用周期较长的特征，其商业化重点是实现商业模式创新。在外部协同方面，合作研发型和合作运营型则分别针对产学研合作和产业链上下游合作。商业化合作的重点也由产业链的前端逐渐向后端移动。第四，构建并检验了创业型企业新技术商业化能力综合评价指标体系。该指标体系具有目标层、制约层和指标层三个主要层次，依据“能力-绩效”的概念框架和本文的创业型企业新技术商业化过程机理研究。其中，制约层对应经济资本要素和社会资本要素，包括企业内部商业化运作能力、企业外部商业化协同能力和企业商业绩效三个部分。制约层运用G1法和熵值法相结合的主客观综合赋权法确定了指标体系各层次权重值，最后根据创业板118家企业的数据检验了该综合评价指标体系。第五，研究了不同类型创业企业的新技术商业化案例。采用多案例研究方法，在时间序列纵向研究的基础上，从内部管理机制和外部协同机制出发，利用内容分析法划定分析单元、找出关键事件并进行有效模式匹配，比较宁波王龙、天津天士力、上海瀚银和江苏物泰四个典型案例间的异同，以检验创业型企业新技术商业化的内外部机理内容。更多还原

【Abstract】 With the rapid development of entrepreneurial SMEs and widely application of emergingtechnologies, new technology commercialization of entrepreneurial enterprises plays an importantrole in promoting breakthrough innovation transfer, forming new product-service model,improving independent innovation capacity and carrying forward the strategic emerging industries.By reviewing the related theories and literatures, concerning the study on entrepreneurialenterprises, technology entrepreneurship, emerging technology and technology commercialization,the paper describes the economic rationality and defines the connotation of the core point. On thisbasis, the paper puts forward a systematic research framework, which includes the theoreticalfoundation layer, the operating mechanism layer, the element characteristics layer and themulti-index evaluation layer. Analyzing the different layers and elements of the framework, theresearch designs the index evaluation and makes the empirical analysis. The main content of thepaper is as the following:Firstly, the features of limitation and flexibility, which can be muturally transformed, for theentreprenieual enterprises, can break down the restrictions of a "pig game". Analysis on theexpected pofit for the entreprenieual firms and the mature firms concludes that under whatconditions the commercializtion is the strategy better than the imitation.Secondly, in the perspective of internal management and external collaboration, the researchanalyzes the process mechanism on new technology commercialization of entrepreneurialenterprises, such as the management process model, the value creation model, the networkembedded model and the network governance model, which are from vertical and horizontal angle.Focus on the object of entrepreneurial firms and combination of internal and external study, thecharacteristics of the economic factors (technology, markets, capital, manpower and policy) andcapital factors (trust, cooperation, learning and communication) are also throughout themechanism models.Thirdly, in reference to the distinct types of product and collaboration for entrepreneurial firms,the research could classify the patterns and point out the importance of technologycommercialization. In the part of the internal management, the patterns involve one-wayapplication and two-way interaction. With the emphasis on batch production, the one-wayapplication pattern of entrepreneurial firms has the characteristics as technology-driven andshorter business cycle. With the emphasis on business model innovation, the two-way interactionpattern of start-up enterprises has the characteristics as market-driven and longer business cycle.In the part of the external coordination, the patterns refer to collaborative R&D and collaborative operation, which concern the industry-university-research cooperation and theupstream-downstream industrial chain cooperation. The business cooperative key point for the twotypes moves gradually from the front-end to the back-end of the industry chain.Fourthly, the research builds and tests the index evaluation system of commercializing ability ofentrepreneurial enterprises. On the basis of the “capacity-performance” conceptual framework andthe process mechanism, the index system has the target layer, the constraint layer and the indexlayer. Corresponding to the economic capacity elements and the social capital elements, theconstraint layer includes the internal business operational capacity, the external businesscooperative capacity and the performance. The weights of the layers in the index system aredetermined with the methods integrated of G1and entropy. Moreover, the index system is testedby the data of118companies in GEM.Finally, the analysis on the cases of four start-up enterprises, concerning Ningbo Wanglong,Tianjing Tasly, Shanghai Hanyin and Jiangsu Wootide, uses the means of time series, key eventsand matching patterns. From the internal managing mechanism and external coordinatingmechanism, the comparison of the four cases tests the theory the paper put forward andsummarizes some new points.更多还原