I 摘要 技术发展周期通常分为孕育期、产业化期（中试期）、成熟期（大规模产业化期） 和衰退期四个阶段。处于孕育期的技术主要来自于高等院校、科研院所等以基础研 究为重点的具有科研能力的机构，其研究成果不具有固定形态，缺乏相应的有效产 业化生产技术和工艺。由于技术转移风险大，基础研究成果企业和市场一般不会直 接采用，不利于科技研发与市场接轨。科技成果转化的“最后一公里问题”大多源于 此。要解决这一难题就必须对基础科研成果进行相应的再研究开发，使其具备符合 市场经济需求的应用技术能力，能够有效投入到企业的生产经营当中。这个过程包 括技术的二次开发、中试和产业化示范，相当于把技术原料加工成成熟技术产品。 目前，重庆的资本要素聚集在西部已经遥遥领先，但技术要素聚集发展相对缓 慢。地方政府虽然大力倡导科技创新但缺乏对科技成果技术加工的具体指导，技术 加工机构建设尚处于探索阶段，缺乏针对性和专业性，从而导致科技成果转移产出 效益并不明显。本文结合重庆市地方科技成果转化与应用的问题与矛盾，提出建设 技术加工基地的必要性。基于重庆市科学技术研究院特征，应用项目管理理论与方 法开展以重科院为依托的多模式形态组合的技术加工基地。分析该院技术加工基地 项目建设的优势劣势、预期收益影响、经费预算与筹措、风险防控研究、保障措施， 确定项目建设的可行性。 重庆市科学技术研究院技术加工基地项目可行性分析是建立在国家科技创新大 前提下结合重庆地方科技与经济发展现状的具有先头性和引导性的项目研究。不仅 填补相关领域的空缺，有效实现科技产业链的连接与定型，推动地方科技发展与市 场经济的有效结合，最终达到促进地方核心竞争力建设和经济持续发展的目标。 关键词：技术加工，基地英文摘要 III ABSTRACT In general, the development cycle of technologies can be divided into 4 parts, namely, the stage of incubation, the stage of industrialization (pilot scale), the stage of maturation and the stage of declining. Technologies, in the stage of incubation, mainly come from colleges and universities and some other scientific research institutions of which more works are focused on basic research. These technologies are not yet shaped or finalized, most of which are not applicable in solving the technical problem of industrialization. Hardly any market player would adopt these technologies directly given the high risks that technology transfer may possibly incur. It is where the last-kilometer problem of science and technology achievement transformation, so to speak, lies in. Therefore, technology processing refers to a course in which the immature technologies researched in the laboratories are processed into mature achievements that could be directly applied to the market, through the process of secondary development, pilot-scale experiment, industrialization and demonstration. At present, Chongqing has been taking the lead in western China in capital accumulation but rather lagged behind in accumulation and growth of technical elements. Local government to encourage the innovation of science and technology but lack of specific guidance from the technology processing of scientific and technological achievements, technology processing mechanism construction is still in the exploratory stage, the lack of pertinence and professional, leading to scientific and technological achievements transfer output benefits are not obvious. For the problems and contradictions of the transformation and application of local scientific and technological achievements in Chongqing, the necessity of building a technological processing base is put forward. Based on the characteristics of Chongqing Academy of science and technology, applying the theory and method of project management, the technological base of multimodal combination based on Chongqing Academy of Science & Technology(CAST) is developed. This paper analyzes the advantages and disadvantages, the expected revenue effects, budget and financing, risk prevention and control, guarantee measures, and the feasibility of the project construction. Chongqing Academy of Science & Technology(CAST) of technology processing base project is based on the research and construction under the major premise of national science and technology innovation. It is also in combination with the present situation of重庆大学硕士学位报告 IV Chongqing science & technology and economic development. The paper is not only to fill the gaps in related fields, but also connect and design scientific and technological industry chain, to promote local development of science & technology and the effective combination of market economy, finally to promote the core competence construction and sustained economic development. Key words：Technology Processing, Bases目 录 V 目 录 中文摘要..........................................................................................................................................I 英文摘要.......................................................................................................................................III 1 绪 论 ......................................................................................................................................1 1.1 研究背景 ................................................................................................................................... 1 1.2 报告的研究意义 ....................................................................................................................... 2 1.3 国内外典型案例及启示............................................................................................................ 3 1.3.1 台湾工业技术研究院........................................................................................................ 3 1.3.2 香港应用科技研究院........................................................................................................ 4 1.3.3 弗劳恩霍夫应用研究促进协会 ........................................................................................ 4 1.3.4 上海产业技术研究院........................................................................................................ 5 1.3.5 案例启示 ........................................................................................................................... 5 1.4 研究思路和内容 ....................................................................................................................... 6 1.5 研究方法和技术路线................................................................................................................ 6 2 相关理论.................................................................................................................................9 2.1 技术加工的基本概念................................................................................................................ 9 2.1.1 技术的定义及其形态特性 ................................................................................................ 9 2.1.2 技术加工的定义................................................................................................................ 9 2.1.3 技术加工的主要模式........................................................................................................ 9 2.2 技术加工基地的基本概念...................................................................................................... 10 2.2.1 技术加工基地的定义和角色 .......................................................................................... 10 2.2.2 技术加工基地的主要构成 .............................................................................................. 11 2.2.3 技术加工基地的主要形态 .............................................................................................. 12 2.3 技术加工基地建设的相关理论.............................................................................................. 13 2.3.1 技术转移理论.................................................................................................................. 13 2.3.2 “全链条、全要素、全社会”关系理论............................................................................14 2.3.3 知识双向流动关系理论 .................................................................................................. 14 3 重庆市建设技术加工基地现状分析 .....................................................................15 3.1 重庆市重点产业的技术成果现状分析 .................................................................................. 15 3.1.1 重庆市重点产业的科技创新现状与技术成果需求 ....................................................... 16 3.1.2 重庆市科技创新与技术成果的现状及特征................................................................... 18 3.2 重庆市技术成果产出应用问题的分析 .................................................................................. 19重庆大学硕士学位报告 VI 3.2.1 技术成果产出应用存在的问题 ...................................................................................... 19 3.2.2 技术成果产出应用问题的成因分析 .............................................................................. 21 3.3 技术成果产出应用问题的主要解决途径.............................................................................. 23 3.3.1 开展产学研合作.............................................................................................................. 23 3.3.2 发展科技中介服务机构.................................................................................................. 24 3.3.3 建设技术加工基地.......................................................................................................... 26 3.3.4 三种途径的比较.............................................................................................................. 26 4 重庆市科学技术研究院技术加工基地项目规划........................................... 29 4.1 项目定义................................................................................................................................. 29 4.2 重庆市科学技术研究院概况.................................................................................................. 29 4.3 项目建设指导思想、思路与目标.......................................................................................... 30 4.3.1 指导思想 ......................................................................................................................... 30 4.3.2 建设思路 ......................................................................................................................... 30 4.3.3 建设时间及目标.............................................................................................................. 31 4.3.4 建设方式 ......................................................................................................................... 32 4.4 项目建设内容 ......................................................................................................................... 33 4.4.1 平台建设与设备配置...................................................................................................... 33 4.4.2 管理组织建设 ................................................................................................................. 44 4.4.3 人力资源建设与应用...................................................................................................... 45 4.4.4 科研课题运行模式建设与应用 ...................................................................................... 48 4.4.5 科研课题转移模式建设与应用 ...................................................................................... 49 5 重庆市科学技术研究院技术加工基地建设项目可行性研究................. 51 5.1 重科院建设技术加工基地的优势分析.................................................................................. 51 5.1.1 其他单位建设技术加工基地存在的客观限制............................................................... 51 5.1.2 重科院建设技术加工基地存在的比较优势................................................................... 51 5.1.3 SWOT 分析...................................................................................................................... 52 5.2 项目建设效益分析 ................................................................................................................. 52 5.2.1 社会影响分析 ................................................................................................................. 52 5.2.2 经济效益预期 ................................................................................................................. 53 5.3 项目建设经费预算及筹措...................................................................................................... 54 5.3.1 编制依据 ......................................................................................................................... 54 5.3.2 经费估算 ......................................................................................................................... 54 5.3.3 经费筹措 ......................................................................................................................... 55 5.4 项目建设进度与质量管理...................................................................................................... 57目 录 VII 5.4.1 进度管理 ......................................................................................................................... 57 5.4.2 质量管理 ......................................................................................................................... 59 5.5 项目建设风险分析与防控...................................................................................................... 60 5.5.1 主要风险因素.................................................................................................................. 60 5.5.2 风险评估结果.................................................................................................................. 61 5.5.3 风险防范对策.................................................................................................................. 62 5.6 项目建设保障措施.................................................................................................................. 62 5.6.1 创新资产管理机制.......................................................................................................... 63 5.6.2 创新投融资渠道.............................................................................................................. 63 5.6.3 创新开放合作模式.......................................................................................................... 64 6 结 论 ....................................................................................................................................65 致 谢.......................................................................................................................................67