【作者】 武学超；

【导师】 徐辉；

【作者基本信息】 西南大学 ， 比较教育学， 2009， 博士

【摘要】 当今世界,技术创新和国家竞争力提升已成为推动知识经济发展的决定因素。为应对知识经济带来的各种挑战,世界各国纷纷成立了国家或区域创新系统,大学技术转移在其中发挥着极其重要的作用。20世纪90年代后期以来,中国政府把创新型国家建设作为提升国家竞争力的重要发展战略。在创新型国家建设中,大学技术转移领域中存在的诸多现实问题亟待政府政策引导和调控。从国际视角看,美国是开展研究型大学技术转移最成功的国家,这主要得益于其有效的政策引导。基于此,本文对美国研究型大学技术转移政策进行了全面深入研究,进而为我国大学技术转移提出了适宜的政策建议。本文依公共政策分析的一般逻辑,运用三重螺旋理论、利益集团理论和政策网络理论,采取历史分析法、文献法、个案法、比较法等研究方法,首先从美国研究型大学技术转移政策历史、政策文本、政策过程、政策结果几方面分别论述,然后对美国研究型大学技术转移政策的价值取向、经验和问题进行了总体分析,并结合我国实际需要,为我国高校技术转移提出适宜的政策建议。论文共有七部分构成,各部分内容如下:“导论”部分主要包括论文的选题缘由、文献综述、核心概念界定以及所采用的主要理论基础等几方面。第一章,美国研究型大学技术转移政策的历史发展。美国研究型大学技术转移政策最早可追溯到19世纪中后期的“赠地运动”,大致经历了萌芽期、探索期和成熟期三个历史阶段。社会经济环境和科研思想变革是影响美国研究型大学技术转移政策发展的两大主要因素。第二章,美国研究型大学技术转移政策的内容。第一,与技术转移相关的科学研究资助政策,这里主要指“科学和工程学领域”的科学研究,它主要包括联邦政府直接资助政策、联邦政府鼓励产业资助政策。第二,与技术转移相关的科研成果所有权政策,这里主要指具有产业应用价值的科研成果所有权,它主要包括联邦资助的科研成果所有权、州政府资助的科研成果所有权、产业或其它资助的科研成果所有权。第三,美国研究型大学技术转移程序与项目开发政策,主要分析了美国研究型大学“专利——许可”程序政策、与技术转移相关的大学与产业合作项目开发政策。第四,利益冲突协调政策,主要包括时间和职务冲突协调政策、财政利益冲突协调政策、目标和使命冲突协调政策、资源利用与科研成果所有权冲突协调政策。第三章,美国研究型大学技术转移政策的制定与实施。这部分主要以《贝多法案》为例,运用利益集团理论和公共政策网络理论,首先分析了美国研究型大学技术转移政策制定的背景、程序及影响因素。接下来论述了《贝多法案》的实施政策、实施机构及其实施策略。最后,分析了美国研究型大学技术转移政策制定和实施过程中各利益相关者在创议网络、决策网络和实施网络中的角色关系。第四章,美国研究型大学技术转移政策的实施结果。美国研究型大学技术转移政策的实施首先使美国高等教育获得了新的发展,不但改变了大学与政府和产业的关系,促进了大学科学知识生产方式和学术使命的变革,但也给美国高等教育的发展带来了新问题。同时这些政策的实施也促进了美国产业创新和经济的快速发展,加快了美国研究型大学科研成果转化,完善和拓展了美国研究型大学技术转移程序和途径。另外,《贝多法案》在美国的成功实施也给其它国家大学技术转移政策产生了一定影响第五章,美国研究型大学技术转移政策与实施的价值取向、经验与问题。美国研究型大学技术转移政策的价值取向主要表现在以下几点:学术资本主义的价值取向、大力提升国家竞争力和技术创新的价值取向、公共利益最大化的价值取向、从“命令-控制”到“成本-效益”的价值取向。美国研究型大学技术转移政策与实施的经验可归纳为以下几点:“自下而上”的激励措施为技术转移提供了政策保障;创新科研体系是技术转移的重要源泉;明晰的科研成果所有权是技术转移的核心要素;独特的高等教育体制为技术转移提供了良好的学术环境;研究密集、自由竞争的产业体制为技术转移提供了良好的企业环境;科研理论变革是推动技术转移政策发展的重要思想基础。美国研究型大学技术转移政策及其实施中的问题主要包括:国家安全战略亟待完善研究型大学技术转移政策;研究型大学科研成果商业化政策的负面效应;早期技术开发资金的缺失;在现有政策框架下有待于提升技术转移能力。第六章,美国研究型大学技术转移政策及其实施对我国的启示。根据上述研究结果和我国的现实需求,这部分主要提出了以下几点政策建议:第一,转变传统学术观念,创建适宜的学术环境;第二,制定和完善大学技术转移政策体系;第三,完善大学科研成果所有权与技术许可政策;第四,健全高校技术转移管理体系;第五,疏通高校技术转移资金渠道;第六,积极发展大学与产业伙伴关系;第七,大力协调技术转移利益相关者的合作关系。更多还原

【Abstract】 Technical innovation and improvement of national competitiveness have become the determinants enhancing development of knowledge-based economy. Responding to various challenges by knowledge-based economy, many countries have been founding national or regional innovation systems in which university technology transfer plays a very important role. Since the late 1990s, Chinese government has considered construction of innovative country as a significant strategy for improving national competitiveness. During constructing innovative country, government should urgently make relevant policies guiding and controlling many practical problems in the field of university technology transfer. From international perspective, technology transfer in American research universities is the most successful in the world, which is mainly due to its effective policies’ guidance. Therefore, the dissertation studies policies of technology transfer in American research universities completely and deeply, and further puts forward some proper suggestions for Chinese university technology transfer policy.Based on general process of public policy analysis, using the Triple Helix theory, The Interest Group theory and Policy Network theory, with adopting methods of historical analysis, literature analysis, case study and comparative analysis, the dissertation firstly examines irrespectively the history, content, process and outcome of American research university technology transfer policies; Then, the dissertation analyses the value orientation, experiences and issues systematically, putting forward some policy suggestions for Chinese university technology transfer according to Chinese practical needs.The dissertation comprises of seven sections, as follows:The introduction section is composed by reasons of selecting the topic, Literature Review, the definition of core terminologies and the theoretical foundations.Chapter One "The Historical Development of American Research University Technology Transfer Policies" American research university technology transfer policies can trace back to the "land-granted movement" during the mid- and late 19th century and have experienced germination, exploration and maturation stages. The changes of social economic environment and scientific research ideas are two key factors influencing the development of American research university technology transfer policies.Chapter Two "The Content of American Research University Technology Transfer Policies" This chapter includes four points. The first point is about scientific research fund policies related to technology transfer (refer to science and engineering fields) which cover policies of direct fund from federal government and industry’s fund encouraged by federal government. The second point is about policies of the ownership of research results related to technology transfer (mainly refer to research results with industrial application value) which include the ownership of research results funded by federal government, state government, industry and others. The third point is about the policies of American research university technology transfer procedure and program development which consist of policies for "patent- license" procedure and university-industry cooperation programs related to technology transfer. The fourth point is about policies of interest conflict coordination which comprise of policies coordinating time and commitment conflict, financial conflict, aims aim or mission conflict, resource application and ownership of research results conflict.Chapter Three "Formulation and Implementation of American Research University Technology Transfer Policies" Taking "Bayh-Dole Act" as an example and using interest group theory and public policy network theory, the section firstly analyzes the background, process and influencing factors of formulation of American research university technology transfer policies. Further, the section discusses the implementation policies, institutions and their strategies of "Bayh-Dole Act", and finally the role relationship of various stakeholders in the initiative, policymaking and implementation networks during formulating and implementing American research university technology transfer policies is analyzed.Chapter Four "The Results of American Research University Technology Transfer Policies" Firstly, the effective implementation of American research university technology transfer policies promotes the development of American higher education, changing not only university-industry-government relationship but also university scientific knowledge production method and academic missions. However, it also brings about some new issue for American higher education development. Secondly, it rapidly enhances the development of American industrial innovation and economy. Thirdly, it accelerates the pace of application of scientific research findings in American research universities. Fourthly, it improves and extends the procedures and approaches of American research university technology transfer. Meanwhile, due to the successful implementation of "Bayh-Dole Act" in U.S., many other countries are deeply influenced.Chapter Five "The Value Orientations, Experiences and Issues of American Research University Technology Transfer Policies and Their Implementation" Value orientations of American research university technology transfer policies are mainly as follows: academic capitalism orientation, promotion of national competitiveness and technical innovation orientation, maximization of public interest orientation, from "order-control" to "cost-benefit" orientation. The experiences can be conclude as follows: bottom-up incentive measures provide policy guarantee for technology transfer practice; innovative research system is the important source for technology transfer; clear ownership of research results is the core element for technology transfer; unique higher education system provides favorable academic environment for technology transfer; research-intensive and competition-free industrial system provides favorable enterprise environment; changes of research theories are the ideological basis for technology transfer policies development. The issues of American research university technology transfer policies and their implementation include: national security strategies’ need to improve American research university technology transfer policies, the negative effects brought out by commercialization of research results in research universities; the lack of funds for early technology stage; the need to improve technology transfer capability under the framework of existing policies.Chapter Six "The Inspiration of American Research University Technology Transfer Policies and Implementation to China" Based on the research results above and the actual need in China, the section put forward some policy suggestions as follows: the first one is that traditional academic ideas should be changed, with creating favorable academic environment; the second one is to formulate and improve policy system for university technology transfer; the third one is to improve the policies of university research results ownership and technology license; the fourth one is to perfect the management system of university technology transfer; the fifth one is to unblock channels of funds for university technology transfer; the sixth one is to actively develop university-industry partnership; the last one is to coordinate cooperative relations among the stakeholders in university technology transfer.更多还原