大学技术转移项目管理理论及运行机制研究
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摘要
大学是我国基础研究和原始技术创新的主力军,在国家创新体系中占有重要位置。近年来,国家投入了大量的经费用于支持高校的科研工作,但是产生的科研成果中仅有少部分才能转化为生产力。究其原因,还是由于缺乏科学的管理和有效的运行机制。当前,经济与科技不断融合,高新技术不断涌现,技术产品不断更新,在这样的背景下,如何加强大学技术转移管理,加速大学科研成果向现实生产力转化,是许多大学面临的一个共性问题,也是迫切需要解决的一个难题。从已有的文献资料看,我国对大学技术转移的研究起步较晚且多为对国外经验的介绍,而缺乏对大学技术转移管理理论与运行机制的系统研究。为此,本文将项目管理的思想和方法引入到大学技术转移管理中,从大学技术转移管理基础理论、项目管理体系构建、项目风险管理、管理效果评价、运行机制设计等几个方面进行了深入研究。
1)大学技术转移管理基础理论研究。大学技术转移是把技术作为商品,在资金、人员、信息、技术等诸多要素的参与下,从技术所有者(大学)向社会生产主体(企业)转移的活动。本文在分析大学技术转移机理与特征的基础上,根据动力源的不同以及大学和企业参与阶段的不同,将大学技术转移分为委托研发、合作开发、技术许可和衍生企业四种模式。同时,为了对大学技术转移实施全方位的管理,本文构建了大学技术转移管理内涵认知模型,由理念层、机制层和操作层组成。
2)大学技术转移项目管理体系构建。为了实现大学技术转移管理的流程化、规范化和标准化,本文在项目管理的理论指导下,根据大学技术转移的机理,分别绘制了四种大学技术转移模式下的WBS,清晰地界定了每种模式下的管理范围。同时根据工作的前后联系和传递关系,以流程图的形式详细地展示了大学技术转移项目管理的各项工作流程,并从质量、进度、费用三个方面提出了大学技术转移目标管理的要点和方法。
3)大学技术转移风险管理研究。首先,从技术、经济、管理和环境四个方面对大学技术转移管理面临的风险进行了全面识别和分析；然后,以委托研发和合作开发两种模式下面临的主要风险,即研发进度风险为例,利用图示评审技术(GERT)的理论和算法对某高校的委托研发算例进行了风险评价；最后以技术许可和衍生企业模式面临的主要风险,即技术项目选择风险为例,提出了大学技术转移就绪水平的概念及评估指标,从多个方面对技术项目的转移就绪水平进行衡量,并通过算例说明了大学技术转移就绪水平如何运用于风险控制。
4)大学技术转移管理效果评价指标体系和评价方法研究。为了提高大学技术转移管理效率,帮助管理者改进工作,本文从组织管理、运行机制、管理能力和管理绩效四个方面构建了大学技术转移管理效果评价指标体系,采用三标度层次分析法确定指标权重,并构建可拓模糊评价模型,以某高校的数据为例,对其技术转移管理效果进行了评价。
5)大学技术转移运行机制设计。根据公益产权理论对非营利性组织可以开展经营活动的解释,提出了大学技术转移实施市场化运作的设计思路。其中,组织设计方面,需单独设置兼有职能管理和经营管理双重性质的大学技术转移管理机构,并按项目管理的模式和方法进行市场化运作。资金运转方面,设计了一套自我积累和良性循环的资金筹措和利益分配机制,从而使大学技术转移资金实现良性循环并持续增值。
本文在理论创新、方法创新的基础上研究了大学技术转移项目管理及其运行机制,并根据四种转移模式的WBS分解和管理流程,设计和研发了大学技术转移管理信息化平台,从而真正为本研究应用于实践提供了解决方案。
As the main force of basic research and original technological innovation, universities occupy an important position in the national innovation system. In recent years, the government has put a vast amount of research funding in universities, but only a few of the scientific research projects can be put into practice, the reason of which is the lack of scientific management and effective operating mechanism. At present, in the background of the integration of economic development and technological advancement, the continuous emergence of advanced technology and the updating of high-tech products, how to reinforce the management, and speed up the process of applying scientific research achievements to productivity, has been a common and urgent problem for many universities. From the literature available, the research of university technology transfer starts quite late in China, and is mainly based on the experience of foreign universities. Therefore, a systematic study of management theory and operation mechanism of university technology transfer is rarely seen. Aiming at the major problems of university technology transfer, this paper tries to introduce the theory and method of "project management" into university technology transfer management activities, and carry out an in-depth study in several aspects including basic theory, project management system, risk management, performance evaluation and operation mechanism.
1) The basic theoretical research of university technology transfer management. University technology transfer is an activity that transfers technology from universities to enterprises, involving such important elements as funds, human resources, information and technologies. After a careful analysis of the mechanisms and properties of university technology transfer, this paper divides university technology transfer into four models, i.e., commissioned R&D model, cooperative R&D model, technology license model and spin-off company model, based on different power sources and different stages when university and enterprise get involved. In order to implement an all-round management of university technology transfer, cognition mode of management connotation of university technology transfer is constructed, which is composed of the concept layer, mechanisms layer and operation layer.
2) The construction of university-technology-transfer project management system. In order to achieve the goal of establishing a streamlined, normalized and standardized management of university technology transfer, the paper, based on the theory of project management and the characteristics and mechanism of university technology transfer, maps out WBS in the four models of university technology transfer and defines the scope of each model. Moreover, it also analyzes in detail the management workflow of university technology transfer project in the form of flow chart. Quality, schedule, cost management are also elaborated concerning university technology transfer project.
3) The study of university technology transfer risk management. Firstly, the risk factors of university technology transfer are identified and analyzed from the four aspects of technology, economy, management and environment. Then taking the major risk of commissioned R&D and cooperative R&D model, i.e., the R&D schedule risk (A college is commissioned by a enterprise to develop a new type of automatic sewage processor.), as an example, the author makes a risk assessment of commissioned R&D using Graphic Evaluation and Review Technique (GERT) theory and algorithms. Finally, the major risk of technology license and spin-off company model, i.e., the technology project selection risk, is taken as an example to illustrate the concept of university technology transfer ready level, its evaluation indicators and its measurement from many aspects. Besides, an example is used to elaborate how the university technology transfer ready level is applied in risk control.
4) The study of the performance evaluation index system and evaluation method in university technology transfer management. In order to improve the efficiency of university technology transfer management and the working quality of administrators, this article sets up the university technology transfer management performance evaluation index system from the aspects of organizational management, operation mechanism, management capabilities, and management performance. The three scale AHP method is used to confirm weights and extensive fuzzy model is built for the implementation of the evaluation. Technology transfer management performance of a sample university is evaluated to verify its feasibility.
5) The design of university technology transfer operation mechanism. According to the public welfare property rights theory that non-profit organizations can carry out business activities, the idea of market-orientated university technology transfer is put forward. As for organization and design, an independent Technology Transfer Office (TTO), a non-profit organization with both functional and operational management nature, is required. What's more, a market-oriented operation in accordance with project management model is a must. As for the money makeover, a set of financing and benefits distribution mechanisms is designed to ensure a self-accumulating and virtuous circle of fund growth.
Lastly, based on university technology transfer theory and the WBS decomposition and management processes of four transfer models, this paper designs and develops an information platform for university technology transfer management, thus providing a feasible solution to the problem of how to put research result into practice and verify its practical significance.
1)大学技术转移管理基础理论研究。大学技术转移是把技术作为商品,在资金、人员、信息、技术等诸多要素的参与下,从技术所有者(大学)向社会生产主体(企业)转移的活动。本文在分析大学技术转移机理与特征的基础上,根据动力源的不同以及大学和企业参与阶段的不同,将大学技术转移分为委托研发、合作开发、技术许可和衍生企业四种模式。同时,为了对大学技术转移实施全方位的管理,本文构建了大学技术转移管理内涵认知模型,由理念层、机制层和操作层组成。
2)大学技术转移项目管理体系构建。为了实现大学技术转移管理的流程化、规范化和标准化,本文在项目管理的理论指导下,根据大学技术转移的机理,分别绘制了四种大学技术转移模式下的WBS,清晰地界定了每种模式下的管理范围。同时根据工作的前后联系和传递关系,以流程图的形式详细地展示了大学技术转移项目管理的各项工作流程,并从质量、进度、费用三个方面提出了大学技术转移目标管理的要点和方法。
3)大学技术转移风险管理研究。首先,从技术、经济、管理和环境四个方面对大学技术转移管理面临的风险进行了全面识别和分析；然后,以委托研发和合作开发两种模式下面临的主要风险,即研发进度风险为例,利用图示评审技术(GERT)的理论和算法对某高校的委托研发算例进行了风险评价；最后以技术许可和衍生企业模式面临的主要风险,即技术项目选择风险为例,提出了大学技术转移就绪水平的概念及评估指标,从多个方面对技术项目的转移就绪水平进行衡量,并通过算例说明了大学技术转移就绪水平如何运用于风险控制。
4)大学技术转移管理效果评价指标体系和评价方法研究。为了提高大学技术转移管理效率,帮助管理者改进工作,本文从组织管理、运行机制、管理能力和管理绩效四个方面构建了大学技术转移管理效果评价指标体系,采用三标度层次分析法确定指标权重,并构建可拓模糊评价模型,以某高校的数据为例,对其技术转移管理效果进行了评价。
5)大学技术转移运行机制设计。根据公益产权理论对非营利性组织可以开展经营活动的解释,提出了大学技术转移实施市场化运作的设计思路。其中,组织设计方面,需单独设置兼有职能管理和经营管理双重性质的大学技术转移管理机构,并按项目管理的模式和方法进行市场化运作。资金运转方面,设计了一套自我积累和良性循环的资金筹措和利益分配机制,从而使大学技术转移资金实现良性循环并持续增值。
本文在理论创新、方法创新的基础上研究了大学技术转移项目管理及其运行机制,并根据四种转移模式的WBS分解和管理流程,设计和研发了大学技术转移管理信息化平台,从而真正为本研究应用于实践提供了解决方案。
As the main force of basic research and original technological innovation, universities occupy an important position in the national innovation system. In recent years, the government has put a vast amount of research funding in universities, but only a few of the scientific research projects can be put into practice, the reason of which is the lack of scientific management and effective operating mechanism. At present, in the background of the integration of economic development and technological advancement, the continuous emergence of advanced technology and the updating of high-tech products, how to reinforce the management, and speed up the process of applying scientific research achievements to productivity, has been a common and urgent problem for many universities. From the literature available, the research of university technology transfer starts quite late in China, and is mainly based on the experience of foreign universities. Therefore, a systematic study of management theory and operation mechanism of university technology transfer is rarely seen. Aiming at the major problems of university technology transfer, this paper tries to introduce the theory and method of "project management" into university technology transfer management activities, and carry out an in-depth study in several aspects including basic theory, project management system, risk management, performance evaluation and operation mechanism.
1) The basic theoretical research of university technology transfer management. University technology transfer is an activity that transfers technology from universities to enterprises, involving such important elements as funds, human resources, information and technologies. After a careful analysis of the mechanisms and properties of university technology transfer, this paper divides university technology transfer into four models, i.e., commissioned R&D model, cooperative R&D model, technology license model and spin-off company model, based on different power sources and different stages when university and enterprise get involved. In order to implement an all-round management of university technology transfer, cognition mode of management connotation of university technology transfer is constructed, which is composed of the concept layer, mechanisms layer and operation layer.
2) The construction of university-technology-transfer project management system. In order to achieve the goal of establishing a streamlined, normalized and standardized management of university technology transfer, the paper, based on the theory of project management and the characteristics and mechanism of university technology transfer, maps out WBS in the four models of university technology transfer and defines the scope of each model. Moreover, it also analyzes in detail the management workflow of university technology transfer project in the form of flow chart. Quality, schedule, cost management are also elaborated concerning university technology transfer project.
3) The study of university technology transfer risk management. Firstly, the risk factors of university technology transfer are identified and analyzed from the four aspects of technology, economy, management and environment. Then taking the major risk of commissioned R&D and cooperative R&D model, i.e., the R&D schedule risk (A college is commissioned by a enterprise to develop a new type of automatic sewage processor.), as an example, the author makes a risk assessment of commissioned R&D using Graphic Evaluation and Review Technique (GERT) theory and algorithms. Finally, the major risk of technology license and spin-off company model, i.e., the technology project selection risk, is taken as an example to illustrate the concept of university technology transfer ready level, its evaluation indicators and its measurement from many aspects. Besides, an example is used to elaborate how the university technology transfer ready level is applied in risk control.
4) The study of the performance evaluation index system and evaluation method in university technology transfer management. In order to improve the efficiency of university technology transfer management and the working quality of administrators, this article sets up the university technology transfer management performance evaluation index system from the aspects of organizational management, operation mechanism, management capabilities, and management performance. The three scale AHP method is used to confirm weights and extensive fuzzy model is built for the implementation of the evaluation. Technology transfer management performance of a sample university is evaluated to verify its feasibility.
5) The design of university technology transfer operation mechanism. According to the public welfare property rights theory that non-profit organizations can carry out business activities, the idea of market-orientated university technology transfer is put forward. As for organization and design, an independent Technology Transfer Office (TTO), a non-profit organization with both functional and operational management nature, is required. What's more, a market-oriented operation in accordance with project management model is a must. As for the money makeover, a set of financing and benefits distribution mechanisms is designed to ensure a self-accumulating and virtuous circle of fund growth.
Lastly, based on university technology transfer theory and the WBS decomposition and management processes of four transfer models, this paper designs and develops an information platform for university technology transfer management, thus providing a feasible solution to the problem of how to put research result into practice and verify its practical significance.
引文
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