【作者】 杨英杰；

【导师】 孙长雄；

【作者基本信息】 哈尔滨工业大学 ， 技术经济及管理， 2010， 博士

【摘要】 随着创新型国家战略目标的提出和国家技术创新体系建设的推进,技术创新在大学及其所组成的官产学技术创新体系中的作用与日剧增,它不仅改变着大学的内部结构、组织方式和管理模式,同时也成为大学发展建设不可或缺的战略“必需品”。然而,在我国,大学技术创新缺乏外部化的健全的技术市场环境,大学科技成果转化过程中出现了失败、低效等一系列问题,依然存在着严重的科技成果转化率低的“死亡之谷”现象。如何使大学走出科技创新成果转化的困境,获得大学科技创新与大学科技成果转化之间、以及大学科技创新及成果转化体系与官产学相结合的国家技术创新体系之间的持续战略适应,是我国实施创新型国家战略急需解决的现实问题。针对这一问题本文从战略和能力的角度,对大学技术经营能力的构建、演化和测度进行研究,以期为我国大学改进技术创新及成果转化体系提供理论参考和实践借鉴。本文回顾了大学技术经营能力的相关研究,主要针对大学技术经营能力的系统构建与管理控制展开。为此,首先对本文的核心概念—大学技术经营能力进行界定,分析了其特征、作用、功能,并与其他的相关概念进行了比较研究。然后分析了大学技术经营能力的相关理论,分析了能力内生理论、能力外生理论和战略构造理论及其对大学技术经营能力构建的影响,并在此基础上研究了大学技术经营能力的研究内容和系统构成,分析了大学技术经营能力系统的四种结构要素及其三维构成。然后分析了大学技术经营能力形成的动态过程,依据“输入—转化—输出—反馈”控制关系,提出了大学技术经营能力动态过程的控制模型,进而据此建立起大学技术经营能力管理控制的理论分析模型。由于技术经营能力的概念是从战略管理的“战略构造”的角度提出的,因此,在理论研究的基础上,对大学技术经营能力与持续战略适应的相关性,以及大学技术经营能力在官产学结合过程中的战略匹配作用进行了分析。在此基础上,为了更详细的探讨如何提升大学技术经营能力,本文对大学技术经营能力的演化机理进行了研究,分析大学技术经营能力演化的自组织理论基础,详细阐述了引发技术经营能力演化的四种诱因及其演化过程,在建立大学技术经营能力演化过程模型的基础上,对大学技术经营能力提升的路径和策略进行了分析。然后结合国外研究型大学发展建设实际,分析了不同发展阶段的大学技术经营能力演化方式,为我国大学通过建构和提升技术经营能力来深化研究型大学建设提供了参考。在此基础上,构建技术经营能力管理控制模型,然后分析该模型的理论基础、框架结构以及作用方式,并据此建立起大学技术经营能力测度体系,综合运用层次分析方法、模糊测度和模糊积分方法对大学技术经营能力进行测度研究。通过对大学技术经营能力进行测度,可以对大学技术经营过程中的各种行为和措施的成长度进行过程管理,以提高大学技术经营能力的水平和效率。最后,对哈尔滨工业大学技术经营能力建设进行案例分析,客观地考察了哈工大技术经营能力系统构建与提升的实践与问题,实证地检验了大学技术经营能力对战略适应匹配的作用、大学技术经营能力的测度过程,以及演化和提升的路径选择和策略,以期为其他大学的技术经营能力建设提供借鉴。更多还原

【Abstract】 Since the raise of the strategic goal to establish an innovative nation and the advancement of building nationally technological innovation system, technological innovation plays an increasingly more significant role in universities and government-industry-academic technological innovation system which includes universities as a part. It has brought marked changes to universities’inner structure, means of organization, and management mode. Meanwhile, it has become to be strategic necessity of universities which is essential to their development. Nonetheless, for universities’technological innovation in our nation, there is not healthy environment of technological market. There are series of problems in the process of universities’transformation of scientific and technological achievement, including low efficiency, even failures, which results in the phenomenon, the low transformation rate of scientific and technological achievement, considered as“dead valley”. The issue of how to resolve problems in the process of achievement transformation and in turn, to achieve sustainably strategic match between universities’technological innovation and the transformation of its achievement, and that between universities’innovation and transformation system and national innovation system connected with government-industry-academic, is necessary to be concerned in the strategy of building an innovative nation. According to this issue, this paper makes a research on construction, revolution, and appraisement of universities’management capability of technology (UMCOT) from the perspective of strategy and capability, aiming to provide theoretical reference and practical experience for universities’technological innovation and the building of transformation system.Focusing on the content concerning construction and management control, this paper makes a review of relative research about UMCOT. First of all, UMCOT, the core of this paper, is defined, analyzing its characteristics, roles, functions, and comparing it with other relative definitions. Subsequently, relative theories about UMCOT are studied, including endogen capability, exogenesis capability, strategic structure and their impacts on construction of this capability. Based on the achievement of studying these materials, the research content and system frame of this capability is further analyzed, and a four-factor, tri-dimension structure model of UMCOT system is established. This is followed by the analysis of dynamic formation process of UMCOT. According to the control relationship of“input-transformation-output-feedback”, a control model related to dynamic process of UMCOT is built, and a theoretically analytical model of UMCOT management control is further established.Since the definition of UMCOT is introduced from the perspective of strategic configuration in strategic management, this paper analyzes the relativity between UMCOT and sustainably strategic match, along with the role of strategy match UMCOT playing in integration process of government, industry, and academic. In order to explore the means by which to raise UMCOT, research on revolution mechanism of UMCOT is carried out, analyzing theory base, self-organization of its revolution, and demonstrating four factors which give rise to capability revolution of technological elites and the revolution process. Having built revolution-promotion model of UMCOT, route and strategy of UMCOT revolution-promotion is analyzed further. Subsequently, with concern about international practice of building and developing research universities, UMCOT revolution mode during the development of research universities is analyzed, which provides references for universities to build research universities by construction and promotion of UMCOT.An assessment model of UMCOT adaption is built. Having analyzed its theoretical base, framework and means of operation, an index system for evaluation of UMCOT is established, appraising UMCOT by extension fuzzy AHP (analytic hierarchy process) method. Appraisement of UMCOT adaption provides the opportunities to management the adaption of various behaviors and measures during the process of technology management, thereby promoting its level and efficiency.In the end, this paper makes an empirical case study about impacts of strategic adaption on UMCOT of Harbin Institute of Technology. This study aims to objectively explore the problems existing in constructing and promoting system of UMCOT. It also empirically tests evaluation of UMCOT adaption, the process of assessing UMCOT maturity, route selection and strategy of revolution and promotion, thereby providing references for construction of UMCOT to other universities.更多还原