产业共性技术联盟构建及运行管理研究

发布时间：2018-09-18 07:02

【摘要】：共性技术能够加快一个甚至多个产业的技术升级步伐,对产业的技术创新、产业质量和生产效率具有重要的促进作用。联盟为共性技术的研发与应用提供了组织保障,有利于协调各利益主体之间的关系,协同解决产业发展多学科融合的共性技术研发,形成新的竞争优势。为此,对共性技术联盟构建、运行及绩效等相关问题进行研究,对于更好地发挥集公权和私权性质的共性技术研发、促进技术创新、提高产业竞争力具有现实意义。本论文在综述分析国内外研究现状的基础上,运用价值链、社会网络、博弈和风险管理理论等,综合采用问卷调研和模型分析方法,研究了共性技术联盟构建与运行管理的相关问题。在产业共性技术联盟的构建中,运用价值链理论分析了与价值生产和增值环节相关的直接活动和间接活动,构建了共性技术联盟价值链模型,结合影响合作伙伴选择的主要因素,运用蚁群算法和纳什均衡理论提出了联盟合作伙伴选择模型及联盟成员利益分配模型,构成了联盟契约的主要内容。在产业共性技术联盟运行中,分析了联盟运行的机理机制,针对运行中风险成因及风险类型,利用问卷调研和主成分分析筛选形成风险清单,根据专家对风险发生的可能性及影响程度,提出基于风险承受能力下的风险应对策略。在联盟绩效评价中,研究了共性技术联盟绩效评价方法,分析了绩效评价指标体系,运用模糊综合方法对联盟绩效进行了模拟评价,对联盟绩效评价指标与构建伙伴选择、风险管理间的关系进行了回馈性综合分析。最后总结了论文的研究工作、创新点及研究建议。论文的创新之处主要体现在以下几个方面：(1)基于共性技术联盟价值链特征,运用蚁群算法构建了共性技术联盟合作伙伴选择模型。利用价值链理论,分析出共性技术联盟建设中价值生产和增值环节相关的直接活动和间接活动,阐述了共性技术联盟伙伴在资金能力、研发能力、实验仪器工艺配套能力、技术产品生产能力、、技术产品(服务)销售能力的综合需求下,联盟成员在研发成本、时间、质量、技术替代性、预期经济收益方面的不同贡献,以及伙伴间的关联成本,运用蚁群算法建立了联盟合作伙伴的选择模型,进而通过赋值与模型分析,形成对产业共性技术联盟合作伙伴选择的方法。(2)基于纳什均衡理论构建了联盟成员在自身满意与群体协商满意下的利益分配模型。共性技术联盟可以通过组建项目公司或收益分成等方式,回馈联盟合作伙伴的投入。合作伙伴选择加入联盟,其对自身利益的满足取决于其在联盟中的贡献度及合作过程中的成本付出,在联盟寻求群体协商满意的情况下,成员单位的利益分配不仅取决于自身的最差利益分配,还取决于投入较大、重要度较大的联盟成员的满意程度。为此,寻求自身与群体协商满意下对利益分配的均衡性认可,形成联盟契约利益分配方案。(3)构建了产业共性技术联盟风险清单,提出了基于风险承受能力的应对策略。针对联盟运行中存在的研发风险、关系风险和绩效风险,运用问卷调查方法和主成分分析法,迭代筛选了影响联盟运行的十大风险,梳理出联盟运行中的系统风险和非系统风险。依风险发生的可能性及破坏性程度,提出了风险承受能力下的风险应对策略。(4)基于自组织特征构建了联盟绩效评价方法和绩效评价指标体系,运用模糊综合法对联盟绩效进行了评价。结合联盟在聚集、非线性关系、联盟知识流、多样性融合、机制、内部模型、构建模块方面的七个基本特征,运用主成分分析法构建了联盟绩效指标体系,运用模糊综合分析法对联盟运行绩效进行评价和实证模拟。分析显示出联盟价值链构成、学习型组织建设及联盟的系统性风险之间存在的关联性。
[Abstract]:Common technology can accelerate the technological upgrading of one or even more industries, and play an important role in promoting the technological innovation, industrial quality and production efficiency of industries. Therefore, the research on the construction, operation and performance of the common technology alliance is of practical significance for better exerting the common technology research and development of the nature of centralized public and private rights, promoting technological innovation and improving industrial competitiveness. Based on the theory of value chain, social network, game theory and risk management, this paper studies the related problems of the construction and operation management of the common technology alliance by using the methods of questionnaire survey and model analysis. And indirect activities, the value chain model of common technology alliance is constructed. Combining with the main factors affecting the choice of partners, the model of alliance partner selection and the profit distribution model of alliance members are put forward by using ant colony algorithm and Nash equilibrium theory, which constitute the main content of alliance contract. Aiming at the causes and types of risks in the operation of the alliance, the paper uses questionnaire survey and principal component analysis to screen out the risk list, and puts forward the risk coping strategies based on the risk tolerance according to the possibility and influence degree of the experts to the risks. Performance evaluation method, analysis of the performance evaluation index system, the use of fuzzy comprehensive method for the simulation of alliance performance evaluation, performance evaluation index and building partner selection, risk management of the relationship between feedback comprehensive analysis. The main points are as follows: (1) Based on the characteristics of the value chain of the common technology alliance, this paper constructs the partner selection model of the common technology alliance by using ant colony algorithm. Under the comprehensive demand of capital ability, R&D ability, experimental instrument and process supporting ability, technical product production capacity, technical product (service) sales ability, alliance members make different contributions in R&D cost, time, quality, technical substitution, expected economic benefits, and associated costs between partners. Ant colony algorithm is used to establish the alliance. The selection model of alliance partners is established, and then the method of selecting industrial common technology alliance partners is formed by assignment and model analysis. (2) Based on Nash equilibrium theory, the profit distribution model of alliance members under self-satisfaction and group negotiation satisfaction is constructed. Partners choose to join the alliance, and their satisfaction to their own interests depends on their contribution in the alliance and the cost in the process of cooperation. When the alliance seeks group negotiation satisfaction, the benefit distribution of the member units not only depends on their own worst benefit distribution, but also depends on their own worst benefit distribution. It depends on the degree of satisfaction of the members of the alliance with large input and importance. Therefore, it seeks for the balanced acceptance of the benefit distribution under the satisfaction of negotiation between itself and the group, and forms the benefit distribution scheme of the alliance contract. (3) It constructs the risk list of the industrial common technology alliance, and puts forward the countermeasures based on the risk bearing capacity. By using the method of questionnaire and principal component analysis, the paper iteratively sifted out the ten major risks affecting the operation of the alliance and sorted out the systematic and non-systematic risks in the operation of the alliance. Strategies. (4) Based on self-organizing characteristics, the performance evaluation method and performance evaluation index system of alliance are constructed, and the performance of alliance is evaluated by fuzzy comprehensive method. The paper constructs the performance index system of alliance, evaluates and simulates the performance of alliance operation by using fuzzy comprehensive analysis method, and shows the correlation among the alliance value chain, the construction of learning organization and the systemic risk of alliance.
【学位授予单位】：北京交通大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F124.3

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