【作者】 张小峰；

【导师】 房汉廷；

【作者基本信息】 中国科学技术大学 ， 科学技术哲学， 2013， 博士

【摘要】 本文提出需要对技术成果进行熟化的原因在于现有大量技术成果供给和产业化对技术成果的需求二者之间存在严重的“脱节”和不对称状态：供给方的技术成果不成熟、不实用,无法帮助产业方面的需求方利用技术发明成果实现产业化的目标,从而无法成功实现技术创新。因此,忽视对技术成果的“熟化”是其无法转化为现实生产力的关键症结所在,后果则是导致研发成果无法产品化、产品无法市场化、与之配套的管理和商业模式模糊甚至薄弱、资金投入不足,导致研究开发(R&D)活动与创新活动的断裂,进而影响技术成果转化的数量和质量,从而在很大程度上弱化了技术创新对经济增长的推动作用。作为技术创新学的范畴,技术成果熟化是指从R&D阶段经过中间试验以及进入市场初步形成新兴产业的过程,主要包括技术产品(服务)化、产品(服务)市场化、管理模式化、融资社会化四个方面,是实现产业化的必经阶段。技术成果熟化是技术产品化、产品市场化、管理模式化和融资社会化等四个子过程的并行整合过程。技术成果熟化的子过程及其之间的衔接具有较高的风险和不确定性。技术成果熟化不仅是推动技术成果产品化的技术专家参与生产、市场试验的过程,同时还是拥有技术成果的企业家的创业过程和创业资本家的投融资过程。技术条件支持是技术成果熟化和新创企业成长的出发点,技术发明成果熟化的内在原因在于其知识形态的创造性和新颖性。技术成果熟化的技术产品化子过程包括知识成果创意物化为产品(服务)原型,再由产品原型到准商品(服务)的迭代完善。技术生态系统当中的技术单元既存在相互之间的承接、杂交、协同共生,也存在相互之间的竞争、替代,还存在技术成果产品化过程中的若干主客观限制性因素。在市场条件支持中,市场占有率是评价技术成果熟化的重要标准之一。在产品市场化过程中,产品继续熟化和完善,此时的技术产品熟化完善是技术因素和市场因素综合作用的结果。产品市场化过程需要经过市场培育、市场细分、目标市场选择以及综合采用营销组合跨越产品市场化“鸿沟”等阶段。由于创新产品市场存在诸多风险和不确定性,要征服利基市场上的早期实用主义者,一方面需要不断在技术产品化和产品市场化过程中熟化为“整体产品”；另一方面就是要综合采用营销策略和方法以满足主流市场上早期大众消费者的需要。技术新创企业在成立初期存在“新进入缺陷”和死亡风险,而如何克服“新进入缺陷”,实现新创企业的合法性成长,需要管理模式化支持。新创企业必须在创业创新管理方面统筹整合各种关键的异质性资源,实现包括业务价值定位、价值运营、价值获取等方面在内的商业模式的熟化成型；在资源整合过程中,创新创业管理也从最初的随意性拼凑到选择性整合,直至发展成为以信息网络集成和技术集成为基础的管理集成和模式化。管理条件支持过程是发挥创业企业家才能和精神,通过创造性整合协调各种资源,形成独特的商业模式,从而使企业具有核心竞争能力、确立竞争优势的过程。处于成果熟化阶段的技术新创企业一直存在着企业外源性融资的“金融缺口”。信息不对称、没能实现利率差别、融资成本过高、新创企业声誉与合法性较低是对技术新创企业出现融资困境的理论性解释。技术新创企业在熟化成长各个阶段均需要得到金融支持。越是处于早期初创成长阶段的企业,外部融资约束越紧,融资渠道越狭窄,资金对企业发展的约束越强。随着新创企业的熟化成长,其资金需求量呈现增长趋势,其融资社会化水平不断提高,其融资结构和渠道也日益呈现出复杂化和多元化趋势。政府引导性资助、创业金融、技术和金融相结合三种方式是促进技术新创企业熟化成长的融资社会化安排的主要内容。技术成果熟化目标分为过程性目标和总体结果性目标。笔者以苹果iPhone智能手机技术的历代产品熟化为例,对其技术成果熟化的专利技术因素、市场因素、管理因素和金融因素等分别进行了单要素指数回归分析,而后进行了多元综合要素指数回归分析,得出了技术成果熟化的回归方程模型。还借鉴种群生态学共生理论的方法和观点,对技术新创企业的创生、技术成果熟化过程中各因素的共生进化动力机制进行了模型化论证,并阐释了技术成果熟化多层次共生整合机理,认为共生整合是技术成果熟化和新创企业成长的动力源泉,从而不断推动和促进发明成果和商业管理模式的财富化。促进技术成果熟化的“一条龙”模式、“模块化”分工模式、“孵化器”模式、“专利集合”模式是为克服从研发到产业化之间的“死亡之谷”而对技术新创企业加以培育促使其成长的四种可行性选择,其共性在于尽量减少转手或交换的环节,打通和理顺技术价值链与产品链、融资链和管理链,使发明成果在相对一体化机制中得以熟化育成。笔者以无锡尚德电力、腾讯微信产品技术为案例对技术成果熟化理论进行了实证性案例研究。在面临“转方式,调结构”的时代大背景下,促进技术成果熟化和技术新创企业成长具有巨大的现实价值和政策价值。笔者分别对促进技术成果熟化的市场责任、企业责任和政府责任提出了建议,市场的作用在于做好环境建设,企业要起到主体动力作用,政府在促进技术成果熟化中要起到引导和激励作用。更多还原

【Abstract】 The dissertation points out that the maturating needs for technical achievements are due to the serious "divorce" and imbalance between the abundant supplies of technical achievements and the pressing demands from the industries. In other words, the industries find these technical achievements are immature and impractical, and the technology inventions derived from them cannot be industrialized, which leads to their failure in technological innovation. Thus, the critical crux of technical achievement translating into practical productive forces lies in the maturation of technical achievements. The consequences of neglecting their maturation will cause the following problems, that is, the Research and Development (R&D) achievements cannot be transformed into products, products are not market-oriented, the supporting management and business modes of such products will be unsystematic and ineffective, and the investment will be inadequate. Moreover, the neglect will in turn sever the link between R&D and innovation, affect the quantity and quality of the transformation of technical achievements, and largely weaken the role of technological innovation in promoting economic growth.As a term in Technological Innovation Studies, the maturation of technological achievements refers to the process which starting from the R&D, and ends with the emerging of new industries in markets after repetitive tests within. A general maturating process consists of four stages:basing products or services on technology, market-orienting of products and services, fixing patterns of management and sourcing finance from multiple origins, all of which forms the necessary procedures in industrialization. The maturating process of technical achievements is the parallel integration with the above four stages. The maturating sub-processes of technical achievements and their connections are highly risky and uncertain. The maturating process of technical achievements is not only the process of production and marketing which get scientific and technological experts involved in, but also the process of starting a business by entrepreneurs and the investing and financing process initiated by venture capitalists.Technical support is the starting point of the maturating of technological achievements and the growth of new enterprises. The inherent reason of the maturating is the creativity and novelty of these achievements. The sub-process of basing products or services on technology includes the development of product or service prototype on the basis of knowledge, and the iterative improvement from the product or service prototypes to the quasi-commodities/services. Technical elements in technology ecosystem are mutually related, cross-fertilized, coordinated and co-existent and they also compete with or even replace each other. Moreover, there exist a number of subjective and objective restrictive factors in the sub-process of basing products or services on technology.In the market supporting conditions, market share is one of the important criteria for the maturation of technical achievements. Products continue developing and maturating in their market-orienting process, and the development and maturation of products result from the joint effects of technology and marketing. The process needs to go through the stages of market cultivation, market division, target market selection and realization of product-market-orientation by means of marketing mix in the process of products marketing. Since there are so many risks and uncertainties in the market of innovative products, two coordinated measures should be adopted to attract early pragmatists in the niche market:(1)"Whole products" should be maturated in the processes of basing products on technology and market-orienting of products, and (2) The initial needs of the majority of consumers in the mainstream market should be satisfied by using various marketing strategies and techniques.Technological startups have "Liability of Newness" and the risk of failure in the early stage, and the support from the fixed patterns of management is very important for them to overcome "Liability of Newness" and to achieve the legitimate growth. These startups must integrate various heterogeneous resources in the management of enterprises and innovation in order to maturate an appropriate business mode including value positioning, value operations, value capture and other aspects. In the process of integration of various resources, the management of enterprises and innovation changes from the initial random piece-together to the selective integration, until finally turning into the management integration and fixed patterns based on the integration of information network and technology. The process of management support is the process which makes full use of entrepreneurs’ talents and spirits, and forms a unique business mode by integrating and coordinating various resources so as to produce core competitiveness of and establish a competitive advantage for enterprises in the market.In the maturation of technical achievements, external "financial gap" have always been found in technological startups. Theoretical explanation about the financing difficulties in technological startups is information asymmetry, no difference in interest rates, high financing costs, low reputation and legitimacy of these new ventures. These startups need financial support in various development stages. During the early stage of their development, these startups face the tighter external financing constraints and narrower financing channels, and the capital has more restriction on the development of these enterprises. With the growing and maturating of technological startups, their demand for funds is also increasing, the level of their financing socialization continues to increase, and their financing structures and channels become more and more complex and diverse. The main arrangements of financing socialization for the growth and maturation of technological startups consist of three methods:government-guided fund, entrepreneurial finance, and the combination of technology with finance.The maturating goal of technical achievements can be divided into process goals and overall final goals. The dissertation takes Apple iPhone Smartphone technology series products as an example. It conducts a single-factor exponential regression analysis of the maturation of technical achievements with patented technology factor, market factor, management factor and financial factor, then makes a comprehensive multi-factor exponential regression analysis, and finally obtains a regression equation model of the technical achievements maturation. Furthermore, it also draws on methods and perspectives from Symbiosis Theory in genecology, models with the symbiotic evolutionary force the various factors’mechanism in the processes of establishing technological startups and maturating technical achievements, and explains multi-level symbiotic integration mechanism in technical achievements maturation. It is held in the dissertation that symbiotic integration is the source of driving the maturation of technical achievements and promoting the growth of technological startups, and in this way can the capitalization of inventions and various business managing modes be continuously realized.There are four viable options which can promote and nurture the growth of technological startups, that is,"a coordinated process" mode,"modular division of labor" mode,"incubator" mode and "patents integration" mode, each of which if adopted appropriately, whether independently or synthetically, can help these startups to overcome the "Death Valley" from R&D to commercialization. The commonality of the four modes lies in the minimization of resale and exchange, and the eradication of obstacles in the chains of technological value, production, financing and management, thus maturating technological achievements in a relatively integrated mechanism. The dissertation takes technology of Suntech Power, Tencent WeChat as concrete examples, and conducts empirical case studies about the theory of the maturation of technical achievements.Under the background of "transferring the mode, adjusting the structure", it is of great practical value and policy-making guiding value to improve the maturation of technical achievements and to help the technological startups develop. The dissertation has proposed some suggestions concerning respective responsibilities of the markets, enterprises and governments for the promotion of the maturation of technical achievements and the growth of technological startups. The markets should fill the role of building a healthy and fair environment, the enterprises need to function as a major driving force, and the governments should play a part in guidance and incentive during the process of promoting the maturation of technical achievements.更多还原