协同创新项目利益多层次多阶段动态均衡及促进政策研究

At present, the success rate of collaborative innovation project is low in China. And the conversion yield of scientific and technological achievements is much lower than developed countries. Actually, the different main body of innovation does not have motivations to cooperate with others. The current study reflects that the benefit distribution plays a key role in the whole project success. However, the mainly study focuses on the single-phase situation. And they do not consider innovation cost, opportunistic behavior. In addition, the detail of interest metric and balancing criteria is not considered in previous research. Consequently, there are huge differences with the actual situation. And the achievement is not used in the reality situation. The benefit distribution balance is a multi-level, dynamic, in every stage and every level， interests should reach equilibrium, which decides the success or failure of the project.Distribution of benefits is not just to get by game, but also need to consider the cost of innovation, risk and numerous other factors. When benefits cannot achieve a balanced ultimately, it indicates that some factors that affect the balance are missing. Then it will need outside interference, for example: the government policy will promote the interests distribution to achieve the balance. This study considers the different interest pattern; innovation cost and enterprise scale are mainly factors affect the interest distribution of collaborative innovation projects. Therefore, this research will focus on the solution plan of interest dynamic equilibrium of each innovation body, and analyse the situation of the government policy intervention to promote the interest balance, approaches and strategy. The result can provide an effective way for the government; enterprises; research institutes to manage collaborative innovation project.

目前我国协同创新项目成功率较低，科技成果转化率远低于发达国家。实质是不同创新主体缺乏合作动力。已有研究表明利益分配是影响项目成功的关键因素。但目前相关研究，多数是单阶段考虑、未考虑创新成本、机会主义行为，也缺乏利益度量、均衡标准确定等具体细节。这与实际情况有较大差异，使得成果缺乏应用。利益的均衡是多阶段、多层次、动态的，应该在项目每一个阶段和每一个层次都达到利益均衡，这决定项目的成败。利益分配不仅仅是通过博弈得到，更必须考虑其创新成本、风险及其他许多影响因素。利益无法最终实现均衡时，说明某些影响均衡的因素缺失。这时需要外力干预，如政府政策等，促进利益均衡的形成。本课题在考虑不同利益分配模式、创新成本、企业规模等影响项目利益分配的主要因素下，研究各创新主体的利益动态均衡解决方案，并分析政府政策干预促进利益均衡的情景、途径及策略。研究成果可为政府、企业、科研院所管理协同创新项目提供有效的手段。

目前我国协同创新项目成功率较低，远低于发达国家。已有研究表明利益分配是影响项目成功的关键因素，但相关研究较少考虑创新成本、风险、利益度量、均衡标准等细节，使得成果缺乏应用。本课题首先研究了项目合作主体利益需求的演化机理及影响要素，发现谈判能力、项目风险、企业期望收益等因素会影响利益需求，影响最大的是企业期望收益。其次研究了影响利益均衡的项目风险与创新成本。识别出这类项目存在的风险、分析了不同类型风险如何影响项目绩效，提出了确定各方风险承担比例的两种思路。考虑各种成本构建了合作净利润模型，给出了成本分摊比例系数范围，以保证利益分配的有效实施。第三构建了三种利益多阶段动态均衡模型和一个利益冲突调解模型。模型一将各主体每阶段的投入和所承担的风险作为参数，在项目过程中对风险因子进行动态调整。模型二是建立基于努力程度、贡献系数和成本系数的利益分配模型，体现风险补偿原则与投入补偿原则。模型三是将过程阶段思想引入利益分配，分配系数随着内外部环境的变化而改变，以满足各主体的利益需求变化。在利益冲突调解模型构建的研究中，分析了协同创新下的冲突成因和特征，并提出了治理策略。第四研究了促进项目利益动态均衡的机制、政策和方法，得到利益分配方式、合作模式、组织结构在不同目标绩效下的合理模式。发现了政府介入与项目管理过程和项目成功程度关系，提出了促进项目利益动态均衡的政策建议。并建立了产业协同创新项目选择指标体系。. 课题厘清了创新主体利益分配的细节，提出了利益均衡的方法和促进利益均衡的政策建议。较好解决了影响项目成功的一个关键问题。成果丰富了协同创新理论，为政府管理协同创新项目群提供可操作的方法，同时为企业和高校管理协同创新项目提供利益均衡框架，以提高项目成功率。. 经过4年的努力，课题全面完成了研究计划。已发表论文27篇，其中SSCI(SCI)论文4篇、CSSCI论文18篇。还有多篇论文已投稿。

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