【作者】 孙启贵；

【导师】 徐飞；

【作者基本信息】 中国科学技术大学 ， 科学技术哲学， 2009， 博士

【摘要】 技术与社会的关系问题是技术社会学和创新理论等诸多学科领域所要研究的基本问题。对技术与社会关系的认知,学界形成了两种盛行而对立的观点:一是技术决定论;二是社会决定论。无疑,技术决定论和社会决定论均在一定的程度上揭示了技术与社会关系的真实性,具有一定的真理性。但是,这两种观点各执一端,有失偏颇,均存在不同程度的局限性。事实上,技术与社会的关系极其复杂,片面地主张“技术决定社会”抑或“社会决定技术”均显得过于简单。为了弥补和纠正技术决定论和社会决定论各自的缺陷并有所超越,本文采用协同演化和相互建构的基本视野,挖掘创新理论和科学技术学中的协同演化思想,结合制度理论、技术史学和演化经济学,引入了社会创新概念,对技术与社会关系进行跨学科和整合研究,构建了一个技术与社会协同演化的基本理论框架,提出了社会发展的创新动力学构想。同时,为了说明理论的实践价值,本文遵循从简单到复杂的基本逻辑顺序,选取了格兰仕微波炉、TD—SCDMA和电子健康技术等典型案例,分别从管理学、社会学和协同演化视野对它们进行了实证分析。本文的理论价值在于着眼于技术创新的经济和管理研究的社会学延伸,发展一种对于技术创新及其评估过程的新理论、新理解、新解释,其现实意义在于对技术创新和社会发展提出相应的战略和政策性建议,为中国企业和政府的决策和政策提供可资借鉴的参考依据。具体的说,本文的基本内容和创新之处主要体现在以下几个方面:第一,对技术创新理论进行了梳理和反思,分析了传统技术创新理论的局限性。本文第二章从技术创新演化的连续性与非连续性以及技术创新研究的线性与非线性视域两个角度总结和论述了技术创新的基本成就:首先,技术演化遵从螺旋式上升的周期性规律,表现为连续性与非连续性的统一;其次,随着研究的进一步深入,学界逐步认识到技术创新的线性模型的局限性,技术创新具有非线性和复杂性,协同演化思想应运而生。从本质上看,技术创新演化不是一个单纯的技术问题,而是技术与社会的协同演化问题。第二,以格兰仕企业为例,考察了冲破性技术创新的基本模式、演化机理和影响因素。本文第三章首先界定了冲破性创新的概念,总结概括了冲破性创新的基本模式;接着以中国著名企业格兰仕为例,探讨了冲破性创新的演化机理和影响因素。冲破性创新理论昭示,冲破性创新是衍生技术创新的新方向,产生市场需求的新渠道,后来企业成长的新策略。中国格兰仕微波炉的案例研究表明,冲破性创新过程表现为明显的技术、市场与组织之间的协同演化动态性。总之,冲破性创新是后来企业和发展中国家实现跨越式发展的战略选择之一。第三,以TD—SCDMA为例,从新技术社会学视角,探讨了技术创新的动力机制和转译过程。本文第四章首先梳理、总结和概括了新技术社会学的三种径路和方法及其对技术创新的理论贡献;接着以中国自主研发的3G通信标准TD—SCDMA为例,运用行动者网络理论,探讨了技术创新的动力机制和转译过程。技术的社会理论尤其是行动者网络理论突破了传统创新理论和传统社会学的分析框架,主张技术与社会之间并无明确疆界,存在协同演化关系,为技术创新研究开辟了一个崭新的视野。TD—SCDMA的案例研究表明,技术创新具有社会嵌入性,问题转译是技术创新演化的基本环节,异质性行动者网络形成是技术创新成功的重要保证。第四,构建了技术与社会协同演化的理论框架,并运用该框架对电子健康技术与创新进行了实证分析。本文第五章引入了社会—技术系统方法,提出了一个基于小生境的多层分析框架:社会—技术的小生境、域和地景,探讨了技术与社会的动态协同演化机理。本文第六章在界定电子健康概念和意义的基础上,运用第5章提出的多层分析框架和协同演化视野,着重探讨了影响电子健康创新演化的因素以及电子健康与社会的互动和协同演化关系,并对中国电子健康的发展提出了若干启示性建议。第五,引入了社会创新概念,提出了社会发展的创新动力学构想。本文第七章首先从科技与社会视角界定了社会创新范畴,分析了社会创新的意义和过程;其次,将创新二分为“技术创新”与“社会创新”,提出了社会发展的创新动力学构想,即技术创新与社会创新是社会发展的两个根本原动力。技术创新与社会创新协同作用推动着人类社会由前工业—工业到后工业社会的转型。当代中国的社会转型具有跨越发展、多种社会形态并存以及后发、叠加、渐进、自主等特质,在器物、制度和文化三个层面均面临着特有的难题,对策在于技术创新与社会创新的协同发展,尤其是要重视制度创新和文化创新建设。更多还原

【Abstract】 Research on the relationship between technologies and society has been strongly influenced by both perspectives of Innovation Studies and The Social Studies of Technology.There have been two popular and but contrastory viewpoints about the relationship between technologies and society:Technological Determinism and Social Determinism.To some extent,it is no doubt that both Determinisms point to some aspects of the relationship between technologies and society.However,due to extremely complexity of this relationship,it is possible to find that both views have in general complementary shortcomings and are quite simplistic,no matter whether the issue is do ’technologies decide society’ or ’societies decide technology’.This dissertation adopts an interdisciplinary and integrated approach which focuses on the ’co-evolution’ and ’co-construction’ of technologies and society which brings together both perspectives mentioned above and combines with other disciplines such as Institution Theory,The History of Technologies,and Evolutionary Economics etc.in a multi-dimensional way in order to address the shortcomings of each,while drawing on the strengths of both and going beyond them.This paper,on the one hand, introduces the concept of Social Innovation,constructs a theoretical framework drawing on the co-evolution of technologies and society,and offers a hypothesis about the innovative dynamics of social development;exploring innovation as a complex process it examines empirically three cases of Galanz microwave oven,TD-SCDMA and e-health using the perspectives of management,sociology and co-evolution respectively in order to evaluate the contribution of each of these theoriesThe theoretical values of the dissertation lie in not just extending technological innovation research from economic management to sociology,but developing a new theory,a new understanding and new explanation for technological innovation and its evaluation process based on several cases studies.The practical implications of the dissertation consist in putting forward some suggestions for strategy and policy in terms of technological innovation and social development issues as exemplary decision references for Chinese companies and government.In brief,the following issues are used to structure the thesis.Firstly,to outline the theories of technological innovation and rethink its limitations,Chapter 2 mapped and rethought the primary achievement of technological innovation theory from both aspects of continuities and discontinuities, and linear and non- linear disciplines of technological innovation evolution.On the one hand,technological evolution presents the unification of continuities and discontinuities and complies with the periodic law of the spiral loop.With ever-deeper research,on the other hand,co-evolution is emerging as an important theme because academic communities realized the limitation of the linear model,and the non-linear feature and complexity of technological innovation.In essence,technological evolution is not just a technical issue,but requires an understanding of the co-evolution of technologies and society.Secondly,the basic patterns,evolutional mechanisms and determinants based on the case studies of Galanz enterprise are explored.First of all,chapter 3 constructed the primary models of it after clarifying the basic concepts of the disruptive innovation;then it explores further the influencing factors and evolutional mechanisms of disruptive innovation taking Galanz as an example.Disruptive innovation theory makes clear that disruptive innovation is not only a new direction in the shape of technical innovation,but also a new channel of market demand as well as new strategy for entrant enterprise growth.Case analysis of Galanz indicates that disruptive innovation is obviously a kind of the dynamic process of co-evolution of technologies,market and organizations.In a word,disruptive innovation is one of strategic choice to promote the development of entrant enterprises and developing countries.Thirdly,to reveal the dynamic mechanism and translation process of technological innovation,which combine new sociology of technology with the case of TD-SCDMA,Chapter 4 outlined and reviewed three approaches of ’new sociology of technology’ and the contributions of them for technological innovation theories; then explored the dynamic mechanism and translation process of technological innovation from the perspective of Actors-Network Theory(ANT)with the case of the third generation mobile communications standard TD-SCDMA in which China holds its own intellectual property rights.Beyond the traditional innovation theories and sociology,the Social Studies of Technology,especially ANT,has made the brand-new approach for technological innovation research,claimed that there are no specific boundaries and co-evolution relationship between technologies and society. The case research of TD-SCDMA revealed that technological innovations have the nature of social embeddedness,and the problem of translation is the key point of technological evolution,and the shape of heterogeneous actors networks is an essential elements of technological innovation success.Fourthly,to construct the theory frame of co-evolution between technologies and society that is applied for analyzing e-health technology and innovation.Chapter 5 introduced socio-technical systems approach,and raised a multi-level analysis model: socio-technical niche,regime and landscape,and explored the dynamic mechanism of co-evolution between technologies and society.Drawing on the definition and significance of E-health,Chapter 6 not only explored mainly the determinants of e-health,and the co-evolution relationship between e-heath and society,but also puts forward some revelatory suggestions for Chinese e-health development.Lastly,to make a hypothesis about innovative dynamics of social development after introducing the conception of social innovation,chapter 7 offers the concept of social innovation,analyzes its significance and process in the perspective of STS(science,technology and society).In the next place,innovation has been classified into ’technological innovation’ and ’social innovation’.Chapter 7 also offers a hypothesis about innovative dynamics of social development that technological innovation and social innovation are two big powers of social development.The synergism of Innovation of Technologies and society drives the transformation of human society from pre-industry,industry to post-industry society.The social transformation of contemporary China has some special characteristics which include fast-stepping development,coexists of the many kinds of form of society as well as lagging behind,superimposition,gradual advance,independence and so on. There are unique difficult problems in the three aspects of artifacts,institution and culture.The countermeasure lies in the coordination of the development of technological and social innovation,particularly constructing institutional and cultural innovation.更多还原