产业技术创新战略联盟知识治理研究
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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”。
With the advancement of technology and the acceleration of the globalcompetition, industrial technology innovation strategic alliance has been developingvigorously since the nineteen sixties. The formation of industry technologyinnovation strategic alliance, can effectively integrate social resources to promotescience and technology innovation of industrial generic technology innovation, reducethe cost of R&D, distribute innovation risk, and enhance the development of thewhole industry and the core competitiveness of enterprises.
Industry technology innovation strategic alliance is a kind of joint technologyinnovation organization patterns formed by two or more technology innovation mainbodies. Industry technology innovation strategic alliance is led to establish by thegovernment, the goal of Industry technology innovation strategic alliance is topromote industry technology innovation and to improve technologicalcompetitiveness. The industry alliance Commits to knowledge innovation, but thedevelop-lagged Knowledge management and governance theory cannot provideeffective guidance to the knowledge innovation practice of industry technologyinnovation strategic alliance. Therefore it is necessary to promote the theoreticalstudy, specifically the study on the knowledge governance of industry technologyinnovation alliance, in order to guide and serve for industry technology innovationstrategic alliance practice better. The research achievements in Industry technologyinnovation strategic alliance knowledge management can be used to eliminateobstacles of knowledge innovation in industry technology innovation strategicalliance, and provide guidance for the government to formulate policies promoting theleague development.
Knowledge governance theory lay theoretical foundation to study industrialtechnology innovation alliance knowledge governance. Based on contract theory,property rights theory, stakeholder theory and resource-based theory, this paperdefined the knowledge transaction specific assets characteristics of knowledgeactivities, built a complete and consistent logic theory system of knowledgemanagement,including knowledge governance motivation, knowledge governancestructure and governance mechanism. The tasks of Union contracts are not only toprotect the special knowledge assets investment from the " hold-up" threats, but also to realize the deal and avoid the harms from opportunistic behaviors in cases that theknowledge property rights are difficult to define and implement effective protection.
Based on the introduction of industry technology innovation strategic allianceknowledge activities, the premise of knowledge trades were defined, which includedlimited rationality of transaction parties, information asymmetry between the parties,and uncertainty of knowledge transaction; by introducing particular propertyattributes of knowledge, namely not completed intellectual property determined byknowledge’s unique natural attribute； the opportunism behaviors in industrytechnology innovation strategies alliance knowledge transaction were analysed.
The main bodies of the industry technology innovation strategic alliance investedasset-specified knowledges into the alliance, so knowledge governance of the allianceshowed the stakeholder governance characteristics. Alliance knowledge governancestructure is the union of the residual rights of control and residual claim assignment,Originating from knowledge sharing and innovation activities. Residual control rightsincluded the power of decision-making and the power of supervising and controllingdecision-making and implementation, the allocation of residual control rights need totradeoff between the knowledge cost and the agent cost, and can effectively preventthe infringement of intellectual opportunism behaviors; residual claim assignmentmeans the assignment of alliance member's knowledge innovation risk and expectedearnings, which influence union members knowledge investment decision and allianceknowledge production through the incentive effect, the basic objective of knowledgeGovernance is to achieve the maximization of the knowledge innovation value.
Knowledge governance mechanisms are the mechanisms and approaches throughwhich the knowledge governance structure plays a role. To prevent opportunistic andrealize knowledge innovation performance maximization, knowledge governancemechanisms include two levels, named league level and knowledge innovation teamlevel. Not a single one can be omitted. At the league level, in case that the knowledgeassets can be protected effectively through a patent or other means, the opportunismbehavior damage can be eliminated by knowledge protection mechanism; if the tortexisting cannot be proved in knowledge transaction, and the share of proceeds beyondthe opportunistic losses, income distribution mechanism can play a role. if theexternal effect is very high, only with the help of integration mechanism, or alliancewould disintegrate. At the team level, the knowledge innovation team is composed ofmembers who have the heterogeneity of knowledge structure, the key to enhanceknowledge innovation performance included smooth communication, mutual trust, cooperation and win-win cooperation. Considering cost of cultivating trust andunderstanding, it is important to determine the best trust team tacit understanding.
TD-SCDMA industry alliance is selected to be as a case study. TD-SCDMAindustry alliance was established by the China enterprises with independentintellectual property rights, and dominated and supported by the government.Changeable knowledge governance problems in main development stages of thealliance, union major knowledge management measures and control effect wereanalysed.
The research in case study shows that, it is very important for the alliancedevelopment to establish and perfect the knowledge governance structure andgovernance mechanisms, and it is the necessary condition that the governmentprovides organizational support, resource support and proper protection throughvarious policy instruments, government’s external intervention can overcome theobstacles that alliance knowledge governance mechanisms can not overcome by itself,so the government's appropriate intervention is one of the most important " externalknowledge governance mechanisms ".
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”。
With the advancement of technology and the acceleration of the globalcompetition, industrial technology innovation strategic alliance has been developingvigorously since the nineteen sixties. The formation of industry technologyinnovation strategic alliance, can effectively integrate social resources to promotescience and technology innovation of industrial generic technology innovation, reducethe cost of R&D, distribute innovation risk, and enhance the development of thewhole industry and the core competitiveness of enterprises.
Industry technology innovation strategic alliance is a kind of joint technologyinnovation organization patterns formed by two or more technology innovation mainbodies. Industry technology innovation strategic alliance is led to establish by thegovernment, the goal of Industry technology innovation strategic alliance is topromote industry technology innovation and to improve technologicalcompetitiveness. The industry alliance Commits to knowledge innovation, but thedevelop-lagged Knowledge management and governance theory cannot provideeffective guidance to the knowledge innovation practice of industry technologyinnovation strategic alliance. Therefore it is necessary to promote the theoreticalstudy, specifically the study on the knowledge governance of industry technologyinnovation alliance, in order to guide and serve for industry technology innovationstrategic alliance practice better. The research achievements in Industry technologyinnovation strategic alliance knowledge management can be used to eliminateobstacles of knowledge innovation in industry technology innovation strategicalliance, and provide guidance for the government to formulate policies promoting theleague development.
Knowledge governance theory lay theoretical foundation to study industrialtechnology innovation alliance knowledge governance. Based on contract theory,property rights theory, stakeholder theory and resource-based theory, this paperdefined the knowledge transaction specific assets characteristics of knowledgeactivities, built a complete and consistent logic theory system of knowledgemanagement,including knowledge governance motivation, knowledge governancestructure and governance mechanism. The tasks of Union contracts are not only toprotect the special knowledge assets investment from the " hold-up" threats, but also to realize the deal and avoid the harms from opportunistic behaviors in cases that theknowledge property rights are difficult to define and implement effective protection.
Based on the introduction of industry technology innovation strategic allianceknowledge activities, the premise of knowledge trades were defined, which includedlimited rationality of transaction parties, information asymmetry between the parties,and uncertainty of knowledge transaction; by introducing particular propertyattributes of knowledge, namely not completed intellectual property determined byknowledge’s unique natural attribute； the opportunism behaviors in industrytechnology innovation strategies alliance knowledge transaction were analysed.
The main bodies of the industry technology innovation strategic alliance investedasset-specified knowledges into the alliance, so knowledge governance of the allianceshowed the stakeholder governance characteristics. Alliance knowledge governancestructure is the union of the residual rights of control and residual claim assignment,Originating from knowledge sharing and innovation activities. Residual control rightsincluded the power of decision-making and the power of supervising and controllingdecision-making and implementation, the allocation of residual control rights need totradeoff between the knowledge cost and the agent cost, and can effectively preventthe infringement of intellectual opportunism behaviors; residual claim assignmentmeans the assignment of alliance member's knowledge innovation risk and expectedearnings, which influence union members knowledge investment decision and allianceknowledge production through the incentive effect, the basic objective of knowledgeGovernance is to achieve the maximization of the knowledge innovation value.
Knowledge governance mechanisms are the mechanisms and approaches throughwhich the knowledge governance structure plays a role. To prevent opportunistic andrealize knowledge innovation performance maximization, knowledge governancemechanisms include two levels, named league level and knowledge innovation teamlevel. Not a single one can be omitted. At the league level, in case that the knowledgeassets can be protected effectively through a patent or other means, the opportunismbehavior damage can be eliminated by knowledge protection mechanism; if the tortexisting cannot be proved in knowledge transaction, and the share of proceeds beyondthe opportunistic losses, income distribution mechanism can play a role. if theexternal effect is very high, only with the help of integration mechanism, or alliancewould disintegrate. At the team level, the knowledge innovation team is composed ofmembers who have the heterogeneity of knowledge structure, the key to enhanceknowledge innovation performance included smooth communication, mutual trust, cooperation and win-win cooperation. Considering cost of cultivating trust andunderstanding, it is important to determine the best trust team tacit understanding.
TD-SCDMA industry alliance is selected to be as a case study. TD-SCDMAindustry alliance was established by the China enterprises with independentintellectual property rights, and dominated and supported by the government.Changeable knowledge governance problems in main development stages of thealliance, union major knowledge management measures and control effect wereanalysed.
The research in case study shows that, it is very important for the alliancedevelopment to establish and perfect the knowledge governance structure andgovernance mechanisms, and it is the necessary condition that the governmentprovides organizational support, resource support and proper protection throughvarious policy instruments, government’s external intervention can overcome theobstacles that alliance knowledge governance mechanisms can not overcome by itself,so the government's appropriate intervention is one of the most important " externalknowledge governance mechanisms ".
引文
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