【作者】 吴菲菲；

【导师】 黄鲁成；

【作者基本信息】 北京工业大学 ， 管理科学与工程， 2013， 博士

【摘要】 创新时代背景下，新技术不断涌现，技术转移活动不断发生，以往的技术转移研究比较多地关注了国家及地区之间的技术转移问题，特别是从国际贸易的视角讨论转移的规律和特征。而针对知识转移问题的研究，人们更多地将视角放在组织内部和组织之间，分析隐性知识显性化和知识传播扩散的模型，以及产学研之间的合作。但针对新技术跨产业转移问题的研究十分薄弱，本文在研究新技术跨产业转移问题时，提出了研究新技术跨产业转移“三阶段”思路，即通过分析新技术跨产业转移的学科基础、先导行为、关键成长因素，把握新技术跨产业转移规律性。本文采用社会网络分析、文献计量分析和专利分析等方法，阐述了科学与技术的关联性、基于文献和专利分析技术发展趋势的一致性，在此基础上提出识别新技术跨产业转移的学科基础，研究发现：新技术的跨产业转移通常以相关研究文献的学科领域转移为基础和信号，当研究该技术的文献从初始学科领域转移至新的学科领域且呈现增长态势时，预示着技术跨产业的转移应用具有了学科支撑基础，“转移方向”趋于明朗。当然，科学研究毕竟是新技术在产业内应用的早期阶段，只有科学家的努力还不足以促使技术的跨产业转移实现，还必须要有工程技术人员和企业的专利行动——先导行为。因此，本文提出了技术跨产业转移先导行为概念及针对三种不同情况的先导行为判断方法，即基于专利被引用、专利被引用潜力和基于专利权人行为的方法，应用这三种方法，发现了新技术跨产业转移先导行为的三个规律性特征，即先导行为的“完成性”、“潜在性”和“起始性”。这些规律性特征不仅有助于把握新技术跨产业转移先导行为状态，还能够识别相关应用产业的主要竞争者；不仅有助于技术未来分析，也为新兴产业的发展研究提供支撑。新技术的跨产业转移有赖于相关行动者的参与和关键成长因素的协调，针对该问题，以行动者网络（ANT）理论为基础，并利用模糊德尔菲（FDM）方法、模糊层次分析（FAHP）方法，揭示了技术跨产业转移的机理：从众多影响技术跨产业转移的因素中提炼出关键成长因素——转移能力、接受意愿、吸收能力、辨识能力、挖掘能力和政策是关键成长因素；然后应用决策实验和评估试验（DEMATEL）方法，阐述了各因素间相互影响关系；构建了关注度-认可度矩阵，阐述了关键成长因素发挥作用的现实情况，提出了具有针对性的对策。本文所研究的技术跨产业转移三个方面的规律，在时间上具有继起性，在内容上是不可或缺的。研究结论对于技术转移和产业创新政策具有重要意义，对于企业研发资源布局和竞争战略也具有价值。更多还原

【Abstract】 Under the background of Innovation, new technology emergescontinuously, technology transfer activities happen constantly. The research oftechnology transfer used to be focused more on technology transfer between countriesand regions, especially discussing the rules and characteristics of transfer fromthe perspective of international trade. And about the study of knowledgetransfer, people put more perspective on the organization and between organizationsto analysis the tacit knowledge and the dissemination of knowledgediffusion model, and the cooperation among the industry, university and research. Butthe research on new technology transferring across industry is very weak. The articleputs forward the "three stages" ideas on new technologytransferring across industry, namely through the analysis of the subjectbasis, leading behavior and the key growth factors of the new technology transferacross industry to grasp the regularity of new technology transfer across industry.The paper starts with the analysis of the relationship between science andtechnology, using social network analysis, bibliometric analysis and patent analysis,studying of the relationship of the subject areas of literature and the technology fieldsof patents deeply, and based on this the paper proposed the identification of academicfoundation of new technology transfer across industrial, the study found: thecross-industry transfer of technology is usually based on the subject areas transfer ofrelevant research literature, when the literature studying of this technology transfersfrom initial subject areas to a new one and showing growth, that indicates thatcross-industry technology transfer applications may occur or gradually formed.Of course, scientific research is at the early stage of the application of newtechnologies within the industry after all. Only the efforts of scientists are not enoughto promote the transfer of technology to achieve cross-industry. There must haveengineering and technical personnel and companies’ patent actions-Pilot behavior.Therefore, this article put forward the concept of pilot behavior of technology transferacross industry and three methods to judge different pilot behavior under differentsituations. The three methods are based on patent citation analysis, potential of patentsto be cited, and assignee behavior respectively. Three regularity features of newtechnology transfer across industry are found. They are performability, potentialityand preliminary. These regularity features is helpful to capture the pilot behavior oftechnology transfer across industry. Main competitors in related application fields canbe identified also. It is also helpful to technology future analysis and can support theresearch and development of emerging industries. Cross-industry transfer of new technologies depends on the coordination of therelevant actors and key growth factors. In order to solve this problem, fuzzy Delphimethod and fuzzy AHP method are used on the basis of ANT theory to reveal themechanism of cross-industry technology transfer. Key growth factors are extractedfrom a number of factors affecting cross-industry transfer of technology.The resultsshowed metastatic ability, willingness to accept, absorptive capacity, ability toidentify, mining capabilities and policies are key growth factor. Then the DEMATELmethod was be used to illustrate the cross influence among the factors. Attention&recognition matrix model are used to express how these factors come into play incurrent situation. Corresponding countermeasures are proposed after that.The three aspects of the law of cross-industry transfer of technology studied inthis paper are consequential on the time and indispensible in content. The conclusionis important to technology transfer and industrial innovation policy, and also values tothe layout of corporate R&D resources and competitive strategy.更多还原