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产学研联盟利益分配机制研究

Research on Mechanism of Interest Sharing in Industry-University-Research Alliance

作者: 专业:经济系统分析与管理 导师:原毅军 年度:2010 学位:硕士  院校: 大连理工大学

Keywords

Industry-University-Research Alliance, Interest Sharing, Mechanism Design, Promoting Mechanism

        多年来产学研联盟问题一直成为政府、学术界和产业界共同关注的一个重要问题。从微观角度看,企业面对新的经营环境和压力,意识到通过自身资源和专有技术难以进行持续的技术创新,需要通过不同组织间的合作创新来实现新技术的研发,而高校和科研院所是我国最重要的技术创新主体,因此企业需要通过建立产学研联盟进行合作研发来弥补自身技术实力的不足。从国家角度看,产学研联盟是国家创新体系中重要的组成部分,对推动国家技术创新有重要的战略意义。产学研联盟要健康稳定的发展,离不开一套完善的、适合的联盟治理机制,而利益机制是联盟治理机制的核心。在我国产学研联盟的实践中,联盟失败的案例中大约50%是由于利益分配不合理造成的,因此建立一套科学、完善的产学研联盟利益分配机制,对我国产学研联盟的持续、高效、顺利地进行有着非常重要的理论价值和实践意义。首先本文借鉴前人的研究成果,对产学研联盟、产学研联盟可供分配的利益以及利益分配机制的概念做出比较清晰的界定。其次本文对产学研联盟利益分配的特点、原则和影响因素进行了探讨,并结合我国产学研联盟的实践,归纳了产学研联盟的合作模式和和常用利益分配方式,提出了具体联盟合作模式下利益分配方式的选择策略。再次本文将产学研联盟利益分配问题分为分为两个阶段,即联盟组建之初的合作博弈阶段和联盟运行过程中的非合作博弈阶段。基于此,本文提出了基于Nash协商模型、模糊评价法的初始利益分配方案,并通过一个两阶段博弈模型验证了引入激励机制的必要性,提出了基于激励惩罚机制的利益优化调整方案。最后通过案例分析,验证了本文设计的利益分配机制的有效性和可操作性。本文的研究综合运用了博弈论、契约理论、激励理论、层次分析法、模糊评价法,对我国产学研联盟实践中利益分配问题的解决具有一定的指导意义。
    The problem of Industry-University-Research Alliance (IURA) has become the hot topic researched and discussed around the world for many years. From the micro perspective, facing the new competitive environment and pressure, enterprises’knowledge creation and technological innovation, which rely solely on their own resources and capacity, have become increasingly difficult. So Enterprises need to establish IURA through cooperative research and development to make up their own lack of technical strength. From the national perspective, IURA is the important part of national innovation system and has important strategic significance in national technology innovation. The healthy and stable development of IURA needs a sound and appropriate governance mechanism. And the mechanism interest sharing is the core. In the practice of IURA in china, about half of the failure cases are caused by the irrational sharing of benefits. Therefore, to establish a scientific and sound production interest sharing mechanism to ensure the development of IURA consistently and efficiently, has very important theoretical value and practical significance.Firstly, drawing on previous research results, this paper gives clear definition of IURA, distributable interest of IURA and mechanism of interest sharing. Secondly, this paper discusses the principle of interests sharing, influence factors, and compare the common payment methods used in the distribution of benefits. Thirdly, this paper divides the problem of interest sharing into two stages. One is cooperative game stage at the beginning of the alliance, the other is non-cooperative game stage during the operation of the alliance. Based on this, the initial interest sharing program is proposed based on fuzzy evaluation and Nash negotiation model and the optimal adjustment program with incentive and punishment function is proposed after verifying the necessity of introducing incentive mechanism. Finally, to some extent, it proves the effectiveness and operability of the mechanism designed in this paper using a simulated case.This paper uses game theory, contract theory, motivation theory and fuzzy evaluation method. The research of this paper has guiding value for solving, the problem of interests sharing among IURA alliance members in practice in China.
        

产学研联盟利益分配机制研究

摘要4-5
Abstract5
1 绪论8-18
    1.1 问题的提出及研究意义8-10
        1.1.1 问题的提出8-9
        1.1.2 研究意义9-10
    1.2 相关概念界定10-11
        1.2.1 产学研联盟10-11
        1.2.2 联盟利益11
        1.2.3 利益分配机制11
    1.3 国内外研究现状11-15
        1.3.1 国外研究现状11-13
        1.3.2 国内研究现状13-14
        1.3.3 现有研究评价14-15
    1.4 研究框架和特色15-18
        1.4.1 研究框架15-16
        1.4.2 研究方法16
        1.4.3 研究特色和创新点16-18
2 产学研联盟利益分配基础18-31
    2.1 产学研联盟利益分配的特点及影响因素18-20
        2.1.1 产学研联盟利益分配的特点18-19
        2.1.2 产学研联盟利益分配的影响因素19-20
    2.2 产学研联盟利益分配的原则20-23
        2.2.1 产学研联盟利益分配的一般性原则20
        2.2.2 产学研联盟利益分配的应用性原则20-23
    2.3 产学研联盟利益分配方式选择23-31
        2.3.1 产学研联盟的主要合作模式23-27
        2.3.2 产学研联盟利益分配方式对比分析27-28
        2.3.3 不同模式下利益分配方式选择策略28-31
3 产学研联盟利益分配机制设计31-47
    3.1 产学研联盟利益分配过程描述31-32
    3.2 产学研联盟初始利益分配方案确定32-39
        3.2.1 利益分配模型构建32-34
        3.2.2 模型中参数的确定34-39
    3.3 引入激励机制的利益分配方案调整39-45
        3.3.1 引入激励机制的必要性39-43
        3.3.2 利益分配方案的优化调整43-45
    3.4 产学研联盟利益分配的契约设计45-47
4 实例分析47-52
    4.1 实例基本信息47-48
    4.2 联盟的利益分配48-50
    4.3 实例评述50-52
5 研究结论52-53
参考文献53-55
攻读硕士学位期间发表学术论文情况55-56
致谢56-58
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