【作者】 叶宝忠；

【导师】 叶子荣；

【作者基本信息】 西南交通大学 ， 管理科学与工程， 2011， 博士

【摘要】 胡锦涛总书记在十七大报告中明确指出“提高自主创新能力,建设创新型国家”是“国家发展战略的核心,是提高综合国力的关键”。科技创新是推动经济快速发展的根本动力,科学技术从潜在生产力要素转化为现实生产力的前提是科学技术与生产实践相结合并创造使用价值,而技术转移则是实现二者结合的中间环节,技术转移模式的选择是进行产学研合作的第一步。因此,积极寻求适合我国高校和企业的产学研合作模式,是加速科技成果转化和高新技术产业化的必由之路,对我国的科技成果转化与推广应用具有重要意义。通过对诸多文献的分析,改革开放30多年来,我国的知识扩散和应用能力严重不足,科技成果转化率只有20-30%,远远低于发达国家60-80%的水平。通过相关文献对西方发达国家技术转移模式的探究和比较分析后认为,我国科技成果转化率低的原因,一是缺乏能够促使产学研有效合作的组织模式,当前已有的以政府、高校、科研院所和企业等为主体来推动科技成果转化的组织均存在着种种不足；二是缺乏促进科技成果转化的有效模式,当前已有的模式分别存在着缺乏灵活应变市场的能力、技术的成熟度不够、风险较大等等问题,从而导致技术成果产业化的成功率不高。为此,本文以经济全球化和知识经济时代为背景,运用技术创新管理学等学科的基本理论,主要采用了文献调查、历史研究、比较分析、逻辑推理和案例分析等研究方法,对我国技术转移的模式进行了深入探究和仔细分析,提出了成立工业技术研究院作为产学研合作新型组织形式,归纳出工研院技术转移的创新模式——集合体模式,并以此作为论文的研究思路和框架。围绕这一问题,论文主要开展了以下几方面工作(其中包含着笔者的创新之处)：一是关于技术转移服务模式的研究。通过对国内外技术转移服务模式特点的概括和总结,认为我国大多数技术转移机构的发展尚处于起步阶段,仍需假以时日,才能真正走向市场；二是关于对工业技术研究院的研究分析。指出工研院是一种新型的开展技术研发和成果转化的组织,它在当前实现技术转移,促进区域产业结构升级改造,推动区域经济进一步发展等方面发挥了积极的作用；三是关于工研院技术转移创新模式的分析。本文归纳出工研院技术转移的新型模式——集合体模式,并对其进行了概念界定、特点归纳和理论基础分析,又构建了其理论模型。目前国内学术界对工研院技术转移模式进行系统研究的还不多,本研究可视为在该研究方面的一个突破；四是对国内主要技术转移模式进行了比较分析。通过对工业技术研究院技术转移集合体模式与国内主要的几种技术转移模式(政府主导型、高校科研院所主导型、企业主导型、科技中介机构主导型和复合型模式等)的对比分析,比较了各模式的特点,认为集合体模式的特点是克服了以往模式的不足,特别是对技术集成和产学研合作模式的进一步优化；五是运用层次分析法对工研院技术转移技术转移集合体模式的指标体系进行了评价,并构建了技术转移集合体模式的实施模型。通过对20位相关专家学者的问卷调查,利用层次分析法对工研院技术转移评价体系进行权重赋值,力求较为准确地定量反映了工研院技术转移能力。同时通过对各变量系数的分析,清楚地了解各指标对技术转移能力的影响程度,为工研院提高技术转移能力提供了有效的依据。并通过深圳清华大学研究院关于珠海裕华聚酯有限公司的案例,证明了集合体模式有效地实现以工研院为主体,产学研相结合,建立以科研带产业,以产业促科研良性循环的科技成果转化体系,初步解决了现阶段科技成果转化过程中的热点和难点问题；六是提出了工研院实施技术转移集合体模式的政策建议。认为政策和制度的创新是工研院科技进步与创新的必要条件和保障,国家相关部门、地方政府和高校等应在法律保障、政策支持、资金、人才等方面建立稳定的长效机制,给予其有力的政策和制度支持。更多还原

【Abstract】 General Secretary Hu Jintao pointed out clearly at the Seventeenth Congress in "enhancing independent innovation capability and building an innovative country" is "the core of national development strategy and the key to enhancing overall national strength." Technological innovation is to promote the fundamental force of rapid economic development, the premise of sci-technology productivity factors from the potential into practical productive forces is sci-technology is combined with practical production and creates the value, while technology Transfer is the intermediate links to realize the two combination, technology transfer mode choice is the first step for research cooperation.Therefoer, actively seeking suitable for university and corporate research cooperation model, is the only way to accelerate the transformation of scientific and technological achievements and high-tech industrialization, science and technology achievements in China and promote the use of great significance.Analysis of the literature by many30years of reform and opening up, The serious shortage of knowledge diffusion and application of capacity in China, Conversion rate of sci-tech achievements is only20-30%, far below the level of developed countries60-80%. Western developed countries through the relevant literature on technology transfer mode of inquiry and compatative analysis the the low rate of sci-tech achievements into the reasons:First, lack of effective organizational model to promote through cooperation, there are various deficiencies existed among the current government, universities, research institutions and enterprises as the main body to promote scientific and technological achievements into the organization; the second is the lack of an effective mode of promoting the scientific and technological achievements into the market, the current model has a lack of capacity to the suitablity of the market, not enough of technology maturity, the more risk factors and so, and leading to the less success rate of the industrialization of technological achievements.Therefore, as the background of economic globalization and knowledge economy, the use of Marxist economics, economics and management of technological innovation on the basic theory and other disciplines, mainly in the literature survey, historical research, comparative analysis, logical reasoning and case analysis and other methods, this article has conducted in depth exploration and analysed carefully on the mode of technology transfer in China, proposed the establishment of the Industrial Technology Research Institute, research cooperation as a new form of organization, summed up technology transfer ITRI innovation model—collection of model and as a research paper ideas and frameworks. Around this problem, the paper carried out the following main aspects of work (which contains the author’s innovations):First, on the model of technology transfer services. Through the mode of technology transfer services at home and abroad in general and summary of the characteristics, Pointed out that the majority of our development of technology transfer agencies are still at the initial stage, still in time, can we truly move toward the market.Second, on research and analysis of the Industrial Technology Research Institute. Pointed out that the institute is a new organization of the scientific and technological achievements into the activities. It has played a positive role in implementing the current technology transfer, promoting the upgrading of the regional industrial structure, and the further development of regional economy;Third, An innovation model analysis of Technology Transfer on the ITRI. This paper summarizes a new technology transfer model about the ITRI—aggregation model,and its definition of the concept, characteristics and theoretical basis of induction, but also constructed the theoretical model. At present, the academic institute of technology transfer model for the study is not the system, this study can be regarded as a breakthrough in the research;Fourth, the main technology transfer models in China are compared. After compared between the collection of models in Industrial Technology Research Institute with several other major domestic technology transfer modes (government-led, university-led research institutes, business oriented, technology-led intermediaries and complex patterns, etc.) especally the characteristics of each model, The paper pointed out the advantages of aggregation model is insufficient to overcome the shortcomings of previous models, especially for technology integration and the further optimization of production and research cooperation model;Fifth, to build a collection of model implementation of technology transfer model. Through the Research Institute of Tsinghua University, Shengzhan of Zhuhai Yuhua Polyester Co. case, Constructed in this study the implementation model of technology transfer collection model. Through the Research Institute of Tsinghua University in Shenzhen, Zhuhai Yuhua Polyester Co., Ltd. on the case, the aggregate model proved effectively in achieving the institute as the main body, a combination of research, the establishment of scientific research with industry, to promote a virtuous circle of science and technology research the transformation system, so as to solve the hot and difficult issues among the current technology transformation process.Sixth, The paper proposed policy recommendations about how to implement the collection of models of technology transfer in the institute. Policies and institutional innovation is the necessary conditions and security in the technological progress and innovation institute. Relevant state departments, local governments and universities, etc. should establish a stable long-term supply mechanism in legal protection, policy support, funding, and human resources, and give it strong policy and institutional support.更多还原