高校技术转移模式与动力机制研究
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摘要
当今社会的经济发展以知识和创新思维为基础,并依赖企业对于新产品和新工艺的创新和发展能力作为推动力。在这样的经济环境中,技术转移在高校学术界和私有企业部门之间搭建了桥梁,使得二者可以进行深入的专业科技信息交流,也使得高新科技的研发成果得以更好地应用于社会。大学的基本使命在于面向公众的知识创造和知识传播。而技术转移的基本目标就是要在强化大学及其它学术研究机构的这一基本使命的同时,确保高校的初期学术研究成果能够更好地实现开发和利用,以造福于公众。
本文首先分别讨论分析了中美高校技术转移中存在的各种具体模式,概括总结了两国不同的技术转移制度体系的基本特征,并比较两者之间的异同。
在美国,新的科研成果和新的科技发明能够在大学与企业之间通过有效的合作而顺利地转移应用,进而新知识和新技术可以通过技术转移的方式迅速地产业化和商业化,为美国社会经济的繁荣和发展提供了源源不断的科技动力支持。本文对资助研究模式、许可使用模式、技术咨询模式、技术创新公司模式等四种不同的美国大学技术转移体系展开分析,重点探讨技术转移中所涉及的具体技术所有权转让协议、技术应用的实践做法,和产生相关的利益冲突。相比于美国,中国的技术转移体系起步较晚,但发展迅速。针对中国高校技术转移体系,本文分别详述了点对点的传统技术转化模式,点对线的技术孵化器模式,点对面的技术转移平台模式,及点对体的技术创业模式等四种主要转化模式,重点探讨各种模式的优点与不足。
其次,对高校技术转移的动力机制问题,本文建立了数学定量模型,从定量角度分析角度研究了影响高校技术转移动力的主要因素。本文认为最重要的影响因素包括利益分配、技术水平、技术导向、技术流转阻力等,并分别就这些因素给出了定量评估模型,并给出了评价高校技术转移整体动力的数学模型。基于提出的模型,本文针对前一章节介绍的中美高校技术转移的不同模式进行了简单对比分析,希望能够在公共部门制定政策时或是在高校与企业进行技术转移谈判和合作时,提供一定的参考。
利益分配是影响高校技术转移绩效的一个重要动力因素。理性的利益分配方法,对于提升中国在高校技术转移实践中的绩效有着重要意义。本文最后提出了高校技术转移的前沿生产函数估计方法,并基于该技术转移前沿生产函数,给出了决定利益分配系数的数学规划模型。本文提出的基于决策优化模型确定利益分配系数的方法,是一种比较合理的定量分析方法,有助于促进实践操作中,高校技术转移的绩效不断向前沿生产函数靠近。
Nowadays, the economic development of the whole society is based on knowledge and its innovation, and motivated by industry's abilities to research and develop new products and new arts. In this situation, the technology transfer between universities and industries sets up a connection. As a result, the two sectors can communicate scientific and technologic knowledge and information more thoroughly and the edging high-tech could be applied through industrial use more efficiently. Creating and spreading knowledge is the basic mission of universities. The main goals for technology transfer precisely are to reinforce the functions of universities and other research institutions to accomplish their basic mission, as well to make sure that initial research fruits could be applied and further developed for public welfare.
In this dissertation, we firstly discuss the several specific modes of technology transfer mechanism in universities in the United States and China, summarize the characteristics, and analyze the similarities and differences between both countries' universities. In the United States, now edging high-tech research results and inventions can transfer smoothly between universities and industry via their effective collaborations. Consequently, new knowledge and technology can be applied and commercialized through industry efficiently, which provides a sustainable scientific and technical support to make the American society and its economics keep prospering and growing. In this dissertation, we will analyze four different main modes of universities technology transfer systems in the United States, including the sponsored research mode, the technology licensing mode, the technology consulting mode, and the technology start-up companies'mode. We will emphasize on certain technology transfer agreements and the relevant practice in real world. The interests conflicts resulted from the technology transfer process will also be discussed in this dissertation. Compared to our counterparts in the United States, universities technology transfer in China started relatively late, though it is developing very quickly recently. In our discussion on the technology transfer systems in China, we also analyze four main modes, such as the traditional technology purchasing mode, the technology incubators mode, the technology transfer intermediary platform mode, and the technology venture mode, and emphasize the pros and cons of each mode.
Secondly, in this dissertation, we will mathematically model the motivation mechanism of university-industry collaboration and evaluate the effects of some main factors which might determine the motivation of technology transfer. We believe that some most important factors include but not limit to benefit distribution, sophistication of the technology, the marketability and market positioning of the technology, the obstruction during technology transfer. Then we model the influences of those factors separately and present a quantitative method to evaluate the whole motivation mechanism of technology transfer happened between universities and industry. Based on the proposed model, we discuss the similarities and differences between the United States and China in the motivation mechanisms of technology transfer. Hopefully it could benefit the public section's policy making processes and the negotiations or contract making between universities and industry.
Benefit distribution is one important factor that affects the performance of university technology transfer. A proper and reasonable method to distribute the benefits between universities and industry is vital to determine the successfulness of the whole technology transfer project. In the final part of this dissertation, we present a method to use frontier production function to evaluate the collaboration between universities and industry. Based on this production function, we also present a mathematical programming model to determine each parameter of various factors which may affect the result of benefit distribution. In this dissertation, we propose a method to use the optimization model of decision-making theory to detemiine the parameters in our benefit distribution model. This method is a kind of quantitative analysis tool, which can be used to improve the effectiveness and productiveness of technology transfer collaboration between universities and industry.
本文首先分别讨论分析了中美高校技术转移中存在的各种具体模式,概括总结了两国不同的技术转移制度体系的基本特征,并比较两者之间的异同。
在美国,新的科研成果和新的科技发明能够在大学与企业之间通过有效的合作而顺利地转移应用,进而新知识和新技术可以通过技术转移的方式迅速地产业化和商业化,为美国社会经济的繁荣和发展提供了源源不断的科技动力支持。本文对资助研究模式、许可使用模式、技术咨询模式、技术创新公司模式等四种不同的美国大学技术转移体系展开分析,重点探讨技术转移中所涉及的具体技术所有权转让协议、技术应用的实践做法,和产生相关的利益冲突。相比于美国,中国的技术转移体系起步较晚,但发展迅速。针对中国高校技术转移体系,本文分别详述了点对点的传统技术转化模式,点对线的技术孵化器模式,点对面的技术转移平台模式,及点对体的技术创业模式等四种主要转化模式,重点探讨各种模式的优点与不足。
其次,对高校技术转移的动力机制问题,本文建立了数学定量模型,从定量角度分析角度研究了影响高校技术转移动力的主要因素。本文认为最重要的影响因素包括利益分配、技术水平、技术导向、技术流转阻力等,并分别就这些因素给出了定量评估模型,并给出了评价高校技术转移整体动力的数学模型。基于提出的模型,本文针对前一章节介绍的中美高校技术转移的不同模式进行了简单对比分析,希望能够在公共部门制定政策时或是在高校与企业进行技术转移谈判和合作时,提供一定的参考。
利益分配是影响高校技术转移绩效的一个重要动力因素。理性的利益分配方法,对于提升中国在高校技术转移实践中的绩效有着重要意义。本文最后提出了高校技术转移的前沿生产函数估计方法,并基于该技术转移前沿生产函数,给出了决定利益分配系数的数学规划模型。本文提出的基于决策优化模型确定利益分配系数的方法,是一种比较合理的定量分析方法,有助于促进实践操作中,高校技术转移的绩效不断向前沿生产函数靠近。
Nowadays, the economic development of the whole society is based on knowledge and its innovation, and motivated by industry's abilities to research and develop new products and new arts. In this situation, the technology transfer between universities and industries sets up a connection. As a result, the two sectors can communicate scientific and technologic knowledge and information more thoroughly and the edging high-tech could be applied through industrial use more efficiently. Creating and spreading knowledge is the basic mission of universities. The main goals for technology transfer precisely are to reinforce the functions of universities and other research institutions to accomplish their basic mission, as well to make sure that initial research fruits could be applied and further developed for public welfare.
In this dissertation, we firstly discuss the several specific modes of technology transfer mechanism in universities in the United States and China, summarize the characteristics, and analyze the similarities and differences between both countries' universities. In the United States, now edging high-tech research results and inventions can transfer smoothly between universities and industry via their effective collaborations. Consequently, new knowledge and technology can be applied and commercialized through industry efficiently, which provides a sustainable scientific and technical support to make the American society and its economics keep prospering and growing. In this dissertation, we will analyze four different main modes of universities technology transfer systems in the United States, including the sponsored research mode, the technology licensing mode, the technology consulting mode, and the technology start-up companies'mode. We will emphasize on certain technology transfer agreements and the relevant practice in real world. The interests conflicts resulted from the technology transfer process will also be discussed in this dissertation. Compared to our counterparts in the United States, universities technology transfer in China started relatively late, though it is developing very quickly recently. In our discussion on the technology transfer systems in China, we also analyze four main modes, such as the traditional technology purchasing mode, the technology incubators mode, the technology transfer intermediary platform mode, and the technology venture mode, and emphasize the pros and cons of each mode.
Secondly, in this dissertation, we will mathematically model the motivation mechanism of university-industry collaboration and evaluate the effects of some main factors which might determine the motivation of technology transfer. We believe that some most important factors include but not limit to benefit distribution, sophistication of the technology, the marketability and market positioning of the technology, the obstruction during technology transfer. Then we model the influences of those factors separately and present a quantitative method to evaluate the whole motivation mechanism of technology transfer happened between universities and industry. Based on the proposed model, we discuss the similarities and differences between the United States and China in the motivation mechanisms of technology transfer. Hopefully it could benefit the public section's policy making processes and the negotiations or contract making between universities and industry.
Benefit distribution is one important factor that affects the performance of university technology transfer. A proper and reasonable method to distribute the benefits between universities and industry is vital to determine the successfulness of the whole technology transfer project. In the final part of this dissertation, we present a method to use frontier production function to evaluate the collaboration between universities and industry. Based on this production function, we also present a mathematical programming model to determine each parameter of various factors which may affect the result of benefit distribution. In this dissertation, we propose a method to use the optimization model of decision-making theory to detemiine the parameters in our benefit distribution model. This method is a kind of quantitative analysis tool, which can be used to improve the effectiveness and productiveness of technology transfer collaboration between universities and industry.
引文
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