【作者】 司尚奇；

【导师】 冯锋；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2010， 博士

【摘要】 技术转移是我国实施自主创新战略的重要内容,是企业实现技术创新、增强核心竞争力的关键环节,是创新成果转化为生产力的重要途径。长期以来,技术转移是我国国家创新体系建设中的薄弱环节,缺乏良好的体制、机制和政策环境,成为提高我国企业自主创新能力的重大障碍。我国科技资源区域分布差异较大,区域经济发展也不平衡。构建技术转移合作网络,促进技术的跨区域流动,成为弥补区域科技资源差距,优化科技资源配置和推动区域协调发展的必然选择。2007年,科学技术部、教育部、中国科学院决定实施“国家技术转移促进行动”。“国家技术转移促进行动”提出技术转移是我国实施自主创新战略的重要内容,是企业实现技术创新、增强核心竞争力的关键环节,是创新成果转化为生产力的重要途径。这成为本课题研究重要依据和背景。本研究在以下几个方面展开：(1)我国技术转移合作网络特征分析。第一,政府主导特征：各区域技术转移联盟发起机构均为各区域科技管理部门。技术转移服务机构作为技术转移合作网络重要构成节点,技术转移机构也具有政府性质或特征。第二,二元特征：宏观层面的技术转移合作网络和微观层面的技术转移合作网络缺乏联系,导致不能有效带动微观技术转移合作网络积极性,造成技术转移联盟与微观技术转移主体(网络)联系脱节。第三,跨区域特征：长江三角洲科技中介战略联盟试图整合上海、浙江和江苏两省一市的科技资源,打造长三角技术转移合作网络；东北技术转移联盟努力整合黑龙江、吉林和辽宁省的科技资源,这些技术转移联盟的构建正是对跨区域技术转移的互动机制做出积极的探索。(2)我国技术转移合作网络发展评价。在政府间技术转移合作网络研究上,通过对六大区域技术转移联盟的分析,揭示珠三角地区的特征路径长度最短,但由于缺乏与市场际技术转移主体的联系,虽然资源最为集中,但仍未建立起覆盖整个区域的技术转移联盟；西部地区特征路径长度较长,建立覆盖整个区域的技术转移联盟较为困难；环渤海区域技术转移联盟盟员间聚集程度最高,联系最紧密,东北地区和长三角地区联盟盟员间联系相对较弱；各区域联盟的运行机制和激励机制都不完善,网络能量未得到明确分配,合作程度较低。通过对我国38个城市间政府技术合作网络的分析,揭示了各区域城市合作网络密度差异巨大,珠三角地区城市网络密度最大,技术转移联盟最为发达,西部地区密度最小,技术转移联盟发展相对迟缓。在市场际技术转移合作网络研究上,通过对76家依托大学、依托政府等四类技术转移机构服务项目比较,揭示依托大学研究机构建立的技术转移示范机构的技术类服务能力最强；依托政府的技术转移示范机构技术类服务能力相对较弱；依托政府建立的事业法人或社团法人和各类技术市场类技术转移示范机构提供的服务项目在范围和广度上要远远高于依托大学研究机构建立的技术转移示范机构和独立运作的企业法人或其内设机构提供服务项目；各类技术转移示范机构技术融资服务能力都较差。(3)技术转移合作网络治理安排研究。通过对技术转移合作网络的自组织性、开放性和协同性的研究,提出网络治理理论为技术转移合作网络的研究提供了一个全新的理论视角。在通过分析技术转移要素流动关系模型的基础上,提出了代理、委托开发、技术集成和生产联合体等治理模式,并揭示了这几种模式运作机理；在通过分析政府间合作局限的基础上,提出了跨区域技术转移合作网络治理关系模型,依次在规制域、操作域和市场域三个层面提出了Ⅰ网络和Ⅱ网络治理的互动安排,最后提出了技术转移合作网络演化阶段并分析了每个阶段的演化特征。(4)网络治理机制研究。技术转移合作网络在组成上有宏观的政府间技术转移合作网络和微观市场际技术转移合作网络构成；在结构上既有层级制的特征,又有组织交易模式的特征。基于此,提出技术转移合作网络“机制网”概念模型,分析了“机制网”概念模型的运作机理。从Ⅰ网络和Ⅱ网络两个层面提出了协调机制是技术转移合作网络治理的保障；约束机制是技术转移合作网络治理的基础；投融资机制是技术转移合作网络治理的支撑；信任机制是技术转移合作网络治理的核心；利益分配机制是技术转移合作网络治理的动力。更多还原

【Abstract】 Technology transfer is an important part of China’s self-innovation strategy, and also is the key step of enterprise’s innovation mechanism system. For a long time, technology transfer is the weak link of our national innovation system. Because of lacking good institutions, mechanisms and policies, technology transfer is the major obstacle for the enhancement of Chinese enterprises’independent innovation capability.There is a significant difference in distribution of China’s scientific and technological resources. And the development of regional economy is unbalanced. Cross-regional technology transfer becomes the inevitable choice to make up the gap of the distribution of scientific and technological resources. In 2007, the Ministry of Science and Technology, Ministry of Education, Chinese Academy of Sciences decided to implement the The Action of National Technology Transfer. The Action proposed to construct technology transfer network to facilitate technology transfer. Technology transfer network begins to form.This has become an important basis and background for this research.The study is developed as follow:(1) Analysis of the characteristic of technology transfer cooperation network. First, the government-led features:The six main technology transfer alliances are established by the technology management department.And as an important component of technology transfer network node, technology transfer agencies have obvious governmental features. Second, the binary features:macro-level technology transfer networks and micro-level of technology transfer network is lack of contaction, and results that macro-level technology transfer networks can not effectively promote the initiative of micro-technology transfer network, which makes the gap between the micro-technology transfer network and the macro-level technology transfer networks become obvious. Third, cross-regional characteristics:the Yangtze River Delta technology transfer alliance is trying to integrate science and technology intermediary in Shanghai, Zhejiang and Jiangsu provinces to build a cross-regional network. Northeast technology transfer alliance is to integrate science and technology resources of Heilongjiang, Jilin and Liaoning Province. All of these are to make active exploration for the cross-regional interaction mechanism of technology transfer. (2) The evaluation of the development of China’s technology transfer network. Based on network theory from three dimensions of characteristic path length, clustering coefficient and symbiotic energy,The paper studies technology transfer alliances of the Bohai Sea, Yangtze River Delta, Pearl River, North China, Middle China and West China, and finds that the Pearl River Delta region has a shorter characteristic path length but does not set up a technology transfer alliance covering the entire region, the operating mechanisms and incentives of regions which set up technology transfer alliances are not perfect, energy distribution has not been clear, technology transfer alliances of the Yangtze River Delta and the North China have low Clustering coefficient and are lacking in close contacts.Based on the network information retrieval,this paper studies cooperative network of 38 cities of China’s six major cross-regional technology transfer alliance.This paper maps cooperative network diagram of 38 cities,studies the density and the structure of the network, finds that the Pearl River Delta region, Yangtze River Delta is the most developed network of cooperation, technology transfer capacity is the strongest. Based on the 76 national demonstrative technology transfer agencies,this paper studies the differences of national demonstrative technology transfer agencies by statistically analysing four areas of technology transfer services of the technical services, information-type services, financial services and management services,and finds that different technology transfer agencies have great differences in the depth and breadth of services.(3) Study on the arrangements of technology transfer cooperative network governance.Based on the network of self-organization, openness and coordination, this study proposes that the theory of network governance provides a new theoretical perspective. By analyzing the fluxion of factor of technology transfer in the relation model, this paper proposes governance models of the agency, entrusted development, technology integration, combination of production organizations and other governance models, and reveals the mechanism of these different modes.Based on the analysis of the limitations of intergovernmental cooperation, this paper proposes the network governance model of the inter-regional cooperation technology transfer. and puts forward interactive network governance arrangements between networkⅡand networkⅠin regulatory field,operating field and marketing field, and at last concludes evolution characters in each evolutionary stages of the technology transfer cooperation network. (4) Study on the mechanism of network governance. Organizationally, technology transfer network consists of macro-governmental network of technology transfer and micro-market network of international technology transfer. Structurally, technology transfer network has not only hierarchy of features but also the characteristics of organized trading patterns. Based on this, the study proposes the concept model of the mechanism network and analyzes operation mechanism of the mechanism network, at last this study proposes five mechanisms from the networkⅡand networkⅠ.Coordination mechanism is the guarantor of the technology transfer network governance.Binding mechanism is the foundation of technology transfer network governance.Investment and financing mechanism is the support of technology transfer network governance.Trust mechanism is the core of technology transfer network governance.Benefit distribution mechanism is the power of technology transfer network governance.更多还原