产业技术创新战略联盟知识治理研究

发布时间：2018-03-04 09:24

本文选题：产业技术创新战略联盟　切入点：知识治理结构　出处：《湖南大学》2013年博士论文　论文类型：学位论文

【摘要】：随着技术进步的加快和全球竞争的日益加剧，二十世纪六十年代以来产业技术创新战略联盟在全球蓬勃发展。组建产业技术创新战略联盟，能够有效整合全社会科技创新资源，推进产业共性技术创新，降低研发成本，分散创新风险，提升产业整体发展水平，增强企业的核心竞争力。产业技术创新战略联盟是由政府主导建立的，以产业技术创新和产业整体技术水平、技术竞争力提升为目标，由产业内两个或者两个以上技术创新主体形成的联合致力于技术创新活动的组织。知识创新是产业技术创新战略联盟的主体活动和本质属性。知识管理和治理理论发展相对滞后，不能对产业技术创新战略联盟的知识创新实践提供有效指导，因此有必要在推进理论研究的同时，专门就产业技术创新战略联盟知识治理问题展开专门研究，以更好地指导和服务于产业技术创新战略联盟知识创新实践。产业技术创新战略联盟知识治理研究成果可以为产业技术创新战略联盟消除知识创新障碍提供指导，对于政府制定政策推动产业技术创新战略联盟发展具有指导意义。知识治理理论为研究产业技术创新战略联盟知识治理奠定了理论基础。本文以契约理论、产权理论、利益相关者理论和资源基础理论为基础，界定了联盟知识交易的资产专用性特征及其对联盟知识活动的影响，构建了一个包括知识治理动因、知识治理结构和知识治理机制的完整且逻辑一贯的联盟知识治理理论体系。联盟契约的任务不仅包括保护专用性知识资产投入方免受“敲竹杠”行为的威胁，也包括在知识资产的产权难以界定和有效实施保护的情况下达成交易并避免受到机会主义行为的损害，这是知识治理与一般的契约治理之间的根本区别。在介绍产业技术创新战略联盟知识活动内容的基础上，界定知识交易主体的有限理性、信息不对称和未来的不确定性等知识交易前提条件，引入知识的特殊产权属性特征，即知识的独特自然属性所决定的知识产权的不完备性，分析了产业技术创新战略联盟知识交易中由知识的特殊产权属性引发的事前、事后机会主义行为。投入联盟知识是否具有专用性特征是界定产业技术创新战略联盟知识治理主体的标准，产业技术创新战略联盟知识治理具有利益相关者共同治理的典型特征。联盟知识治理结构是就联盟知识共享和创新活动的剩余控制权和剩余索取权的分配。剩余控制权包括决策权和对决策和方案实施进行监督控制的权力，剩余控制权分配需要综合权衡知识成本和代理成本，并能够有效防范知识侵权的机会主义行为；剩余索取权分配决定联盟成员的创新风险承担和知识创新收益预期，通过激励效应影响联盟成员的知识投入活动决策进而决定产业技术创新战略联盟知识产出，索取权分配的基本目标是实现联盟知识创新价值最大化。共同控制模式是最优的联盟知识治理模式。知识治理机制是知识治理结构发挥作用的机理和途径。从防范机会主义实现知识创新绩效最大化出发分析，产业技术创新战略联盟知识治理机制包括联盟层面和知识创新团队层面。两者缺一不可。在联盟层面，对于可以通过专利或者其他方式实施有效产权保护的知识资产，可以利用知识保护机制消除机会主义行为的损害；而对于无法证实侵权行为存在的知识交易，只能通过收益分配机制达成知识交易，但前提条件是收益份额超出机会主义带来的损失，如果外部性过高，则只能借助于一体化机制，否则联盟将解体。在团队层面，提升由异质性知识结构成员组成的知识创新团队的知识创新绩效，关键是沟通顺畅、相互信任、协作默契、合作共赢。考虑培育信任和默契的成本，，确定团队最佳信任默契度。以我国政府主导，主要由我国企业组成并拥有自主知识产权的产业技术创新战略联盟——TD-SCDMA产业联盟为案例研究对象，分析了联盟发展的各主要阶段的知识治理问题及其变迁，联盟的主要知识治理措施和治理效果，以及政府各项支持措施在解决联盟治理问题方面的作用。研究表明，建立和完善知识治理结构和治理机制，是保证联盟不断发展壮大的根本举措。政府通过各种政策手段对联盟提供组织支持、资源支持和适当的保护，是联盟发展的必要条件，政府的外部干预，可以克服联盟内部知识治理机制无法克服的困难，因此，是产业技术创新战略联盟的一个最重要的“外部知识治理机制”。
[Abstract]:With the acceleration of technological progress and increasing global competition, since 1960s the industrial technology innovation and strategic alliances in the global rapid development. The formation of industry technology innovation strategic alliance, can effectively integrate social resources of science and technology innovation, promote industrial generic technology innovation, reduce development costs, decentralized innovation risk, improve the overall level of industrial development, enhance the core competitiveness of enterprises.
The industrial technology innovation strategic alliance is led by the government to establish the overall technical level of industrial technology innovation and industrial technology, to enhance the competitiveness of the industry as the goal, in two or more than two of technological innovation the main form of joint commitment to innovation activities of the organization. Knowledge innovation is the main activities of the industrial technology innovation and strategic alliances and nature. Knowledge management and governance theory is lagging behind the development of practice and innovation cannot provide effective guidance for industrial technology innovation strategic alliance knowledge, therefore it is necessary to promote the theoretical research, specially launched special research of industry technology innovation strategic alliance knowledge governance issues, to better serve and guide the industrial technology innovation strategic alliance the practice of knowledge innovation. The industrial technology innovation strategic alliance knowledge governance research results can eliminate the knowledge of industrial technology innovation strategic alliance It is of guiding significance for the government to formulate policies to promote the development of the strategic alliance of industrial technology innovation.
Knowledge governance theory lays a theoretical foundation for the study of industrial technology innovation strategic alliance knowledge governance. Based on the contract theory, property rights theory, stakeholder theory and resource based theory, defines the asset specificity of alliance knowledge transaction and its influence on the activities of the knowledge alliance, the construction of a knowledge management motivation knowledge governance structure and governance mechanism of knowledge complete and consistent logic alliance knowledge governance theory system. Alliance contract task includes not only protect the special knowledge assets investment from the "hold up" for threats, including difficult to define and effective implementation of the protection of the intellectual property in the assets under a deal and avoid the opportunism behavior the damage, this is the fundamental difference between knowledge management and general contract governance.
Based on the introduction of industrial technology innovation strategic alliance knowledge activities, limited rational definition of knowledge transaction subject, information asymmetry and the uncertainty of the future knowledge transaction precondition, special property characteristics of introducing knowledge, that is decided by the unique natural attributes of the knowledge of intellectual property is not complete, analyzes the strategic alliance of industrial technology the innovation of knowledge transaction caused by special property knowledge beforehand, afterwards the opportunism behavior.
Into the alliance knowledge it has its special characteristic is the definition of industrial technology innovation strategic alliance knowledge governance standards, the typical characteristics of industrial technology innovation strategic alliance knowledge governance of stakeholders governance. Alliance knowledge governance structure is the allocation of residual control rights of the alliance of knowledge sharing and innovation activities of the residual claim and residual control rights. Including the decision-making and implementation of the decision-making and project supervision and control power allocation of the residual control need to tradeoff between knowledge cost and agency cost, and can effectively prevent the infringement of the intellectual opportunism behavior; residual claim allocation decision of alliance innovation risk and innovation expected return through the incentive effect of alliance knowledge input the decision and decision of industry technology innovation strategic alliance of knowledge output, claim basis This goal is to maximize the value of knowledge innovation in the alliance. The common control model is the best model of alliance knowledge management.
Knowledge governance mechanism is a mechanism and pathway of knowledge governance play. From opportunism prevention to realize knowledge innovation performance maximization based on the analysis of knowledge governance mechanism of industrial technology innovation strategic alliance including alliance level and knowledge innovation team level. Both of them are indispensable. At the Union level, for the patent can or other ways to implement effective protection of intellectual property assets that can eliminate the opportunistic behavior by knowledge protection mechanism for damage; tort cannot be confirmed existing knowledge transaction, can only reach the knowledge transaction through the income distribution mechanism, but the precondition is that the share of proceeds beyondthe opportunistic losses, if the externality is too high, only with the help of the integration mechanism, otherwise the alliance will collapse. In the team the level of knowledge innovation, enhance the team composed of members of the heterogeneous knowledge structure of knowledge The key to innovation performance is smooth communication, mutual trust, tacit understanding and win-win cooperation. The cost of cultivating trust and tacit understanding is considered, and the best trust of the team is determined.
With the leading of our government, mainly by the enterprises in our country and has independent intellectual property rights of the industry technology innovation strategic alliance - TD-SCDMA industry alliance as the research object, analyzes the knowledge governance of each major stage of the development and changes of the alliance, alliance main knowledge management measures and control effect, and the government support measures to solve the problem of alliance governance role. The study shows that the establishment and perfection of governance structure and governance mechanism of knowledge, is to ensure the continuous development and expansion of the alliance of fundamental measures. The government through a variety of policies to the alliance to provide organizational support, resources support and appropriate protection, is a necessary condition for the development of the alliance, the external intervention of the government, can overcome the internal knowledge alliance governance mechanism can not overcome the difficulties, therefore, is one of the most important rule of "external knowledge of industrial technology innovation strategic alliance Rational mechanism ".

【学位授予单位】：湖南大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F062.4

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