本文選題：產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟　切入點(diǎn)：知識治理結(jié)構(gòu)　出處：《湖南大學(xué)》2013年博士論文　論文類型：學(xué)位論文

【摘要】：隨著技術(shù)進(jìn)步的加快和全球競爭的日益加劇，二十世紀(jì)六十年代以來產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟在全球蓬勃發(fā)展。組建產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟，能夠有效整合全社會(huì)科技創(chuàng)新資源，推進(jìn)產(chǎn)業(yè)共性技術(shù)創(chuàng)新，降低研發(fā)成本，分散創(chuàng)新風(fēng)險(xiǎn)，提升產(chǎn)業(yè)整體發(fā)展水平，增強(qiáng)企業(yè)的核心競爭力。 產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟是由政府主導(dǎo)建立的，以產(chǎn)業(yè)技術(shù)創(chuàng)新和產(chǎn)業(yè)整體技術(shù)水平、技術(shù)競爭力提升為目標(biāo)，由產(chǎn)業(yè)內(nèi)兩個(gè)或者兩個(gè)以上技術(shù)創(chuàng)新主體形成的聯(lián)合致力于技術(shù)創(chuàng)新活動(dòng)的組織。知識創(chuàng)新是產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟的主體活動(dòng)和本質(zhì)屬性。知識管理和治理理論發(fā)展相對滯后，不能對產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟的知識創(chuàng)新實(shí)踐提供有效指導(dǎo)，因此有必要在推進(jìn)理論研究的同時(shí)，專門就產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識治理問題展開專門研究，以更好地指導(dǎo)和服務(wù)于產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識創(chuàng)新實(shí)踐。產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識治理研究成果可以為產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟消除知識創(chuàng)新障礙提供指導(dǎo)，對于政府制定政策推動(dòng)產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟發(fā)展具有指導(dǎo)意義。 知識治理理論為研究產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識治理奠定了理論基礎(chǔ)。本文以契約理論、產(chǎn)權(quán)理論、利益相關(guān)者理論和資源基礎(chǔ)理論為基礎(chǔ)，界定了聯(lián)盟知識交易的資產(chǎn)專用性特征及其對聯(lián)盟知識活動(dòng)的影響，構(gòu)建了一個(gè)包括知識治理動(dòng)因、知識治理結(jié)構(gòu)和知識治理機(jī)制的完整且邏輯一貫的聯(lián)盟知識治理理論體系。聯(lián)盟契約的任務(wù)不僅包括保護(hù)專用性知識資產(chǎn)投入方免受“敲竹杠”行為的威脅，也包括在知識資產(chǎn)的產(chǎn)權(quán)難以界定和有效實(shí)施保護(hù)的情況下達(dá)成交易并避免受到機(jī)會(huì)主義行為的損害，這是知識治理與一般的契約治理之間的根本區(qū)別。 在介紹產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識活動(dòng)內(nèi)容的基礎(chǔ)上，界定知識交易主體的有限理性、信息不對稱和未來的不確定性等知識交易前提條件，引入知識的特殊產(chǎn)權(quán)屬性特征，即知識的獨(dú)特自然屬性所決定的知識產(chǎn)權(quán)的不完備性，分析了產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識交易中由知識的特殊產(chǎn)權(quán)屬性引發(fā)的事前、事后機(jī)會(huì)主義行為。 投入聯(lián)盟知識是否具有專用性特征是界定產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識治理主體的標(biāo)準(zhǔn)，產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識治理具有利益相關(guān)者共同治理的典型特征。聯(lián)盟知識治理結(jié)構(gòu)是就聯(lián)盟知識共享和創(chuàng)新活動(dòng)的剩余控制權(quán)和剩余索取權(quán)的分配。剩余控制權(quán)包括決策權(quán)和對決策和方案實(shí)施進(jìn)行監(jiān)督控制的權(quán)力，剩余控制權(quán)分配需要綜合權(quán)衡知識成本和代理成本，并能夠有效防范知識侵權(quán)的機(jī)會(huì)主義行為；剩余索取權(quán)分配決定聯(lián)盟成員的創(chuàng)新風(fēng)險(xiǎn)承擔(dān)和知識創(chuàng)新收益預(yù)期，通過激勵(lì)效應(yīng)影響聯(lián)盟成員的知識投入活動(dòng)決策進(jìn)而決定產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識產(chǎn)出，索取權(quán)分配的基本目標(biāo)是實(shí)現(xiàn)聯(lián)盟知識創(chuàng)新價(jià)值最大化。共同控制模式是最優(yōu)的聯(lián)盟知識治理模式。 知識治理機(jī)制是知識治理結(jié)構(gòu)發(fā)揮作用的機(jī)理和途徑。從防范機(jī)會(huì)主義實(shí)現(xiàn)知識創(chuàng)新績效最大化出發(fā)分析，產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟知識治理機(jī)制包括聯(lián)盟層面和知識創(chuàng)新團(tuán)隊(duì)層面。兩者缺一不可。在聯(lián)盟層面，對于可以通過專利或者其他方式實(shí)施有效產(chǎn)權(quán)保護(hù)的知識資產(chǎn)，可以利用知識保護(hù)機(jī)制消除機(jī)會(huì)主義行為的損害；而對于無法證實(shí)侵權(quán)行為存在的知識交易，只能通過收益分配機(jī)制達(dá)成知識交易，但前提條件是收益份額超出機(jī)會(huì)主義帶來的損失，如果外部性過高，則只能借助于一體化機(jī)制，否則聯(lián)盟將解體。在團(tuán)隊(duì)層面，提升由異質(zhì)性知識結(jié)構(gòu)成員組成的知識創(chuàng)新團(tuán)隊(duì)的知識創(chuàng)新績效，關(guān)鍵是溝通順暢、相互信任、協(xié)作默契、合作共贏�？紤]培育信任和默契的成本，，確定團(tuán)隊(duì)最佳信任默契度。 以我國政府主導(dǎo)，主要由我國企業(yè)組成并擁有自主知識產(chǎn)權(quán)的產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟——TD-SCDMA產(chǎn)業(yè)聯(lián)盟為案例研究對象，分析了聯(lián)盟發(fā)展的各主要階段的知識治理問題及其變遷，聯(lián)盟的主要知識治理措施和治理效果，以及政府各項(xiàng)支持措施在解決聯(lián)盟治理問題方面的作用。研究表明，建立和完善知識治理結(jié)構(gòu)和治理機(jī)制，是保證聯(lián)盟不斷發(fā)展壯大的根本舉措。政府通過各種政策手段對聯(lián)盟提供組織支持、資源支持和適當(dāng)?shù)谋Ｗo(hù)，是聯(lián)盟發(fā)展的必要條件，政府的外部干預(yù)，可以克服聯(lián)盟內(nèi)部知識治理機(jī)制無法克服的困難，因此，是產(chǎn)業(yè)技術(shù)創(chuàng)新戰(zhàn)略聯(lián)盟的一個(gè)最重要的“外部知識治理機(jī)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 ".

【學(xué)位授予單位】：湖南大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2013
【分類號】：F062.4

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