【作者】 张宁；

【导师】 丁荣贵； Antonio Calanrese； 郭九成；

【作者基本信息】 山东大学 ， 管理科学与工程， 2014， 博士

【摘要】 近几年来,产学研合作项目作为增强我国自主创新能力、提升产业竞争力的重要实施载体,在发挥高科技在产业中的支撑作用、促进产业转型等方面具有举足轻重的作用。然而与创新型国家(美国、日本、芬兰等)相比,我国的创新能力还存在很大差距,尤其是在创新的绩效产出方面,我国更是落后于这些国家。另外,我国的高科技促进政策较多侧重于“专家”与“人才”的引进,较少关注对产学研合作项目过程的管控与监督,造成近几年来科研经费滥用、重要科研成果造假的事件频出。产学研项目主要是产业界或企业界与高等院校双方/产业界或企业界与科研院所双方为了共同的目标和利益而形成的合作交流关系,而产业技术创新投入高、风险大、系统性和复杂性强,参与单位之间持续稳定的合作关系成为直接影响项目成败的重要因素。而当前国内外学者对产学研合作方面的研究集中在制度层面和要素层面,忽视了如何对产学研创新的载体—产学研合作项目进行有效治理方面的研究,这种缺陷导致制度层面的研究不能落地、要素层面的研究缺乏载体,这必然会影响国家技术创新体系的构建与产学研合作项目的成功执行。项目治理的主要问题是对项目利益相关方风险的控制以及关系的维护,而产学研项目治理则是将高校、研究院、企业、政府等组织在为项目实施过程中采取的各类行为所带来的不确定因素作为研究对象,即将产学研合作项目治理风险的研究作为核心内容。因此对产学研合作项目治理风险的有效定义和界定、对风险的精确度量和评价不仅能保障项目参与方具有可靠、稳定的管理环境,还从管理机制上提升项目的运行可靠性和效率,使得项目管理者在面临治理风险时采取必要的防范措施,避免项目最终失败。本文对产学研合作项目治理风险的评价研究主要分为以下四个部分：第一部分主要是文献综述,本文在第二章首先对国内外关于项目治理角色、项目治理风险的文献进行了综述,提出了治理角色的概念和应承担的责任与任务；另外还对产学研合作项目要素/制度风险研究、关系风险研究、以及产学研项目治理平台及其风险研究进行了分析,并提出了本文将突破传统研究中以要素、制度等风险因素切入的思路,对治理风险进行重新分类。第二部分主要分为两项内容,其一是运用实证研究方法探寻了对产学研合作项目创新绩效影响较大的治理活动,并通过运用因子分析方法将治理活动进行分类,进而得到了社会网络关系中的治理角色的分类。其二是以项目治理平台的建设作为切入视角,验证了产学研合作项目属性风险的分类以及指标。第三部分构建了产学研合作项目双中心社会网络模型,并对其中的网络要素的内涵进行了界定。本文在第四章对双中心社会网络中的主要指标与管理内涵进行了阐述,并选取了代表产学研合作项目利益相关方关系风险的指标(限制度、有效网络规模等)。第四部分为本文的第五、六、七章的内容。本文在第五章建立了基于网络层次模型的项目利益相关方治理风险综合评价模型,将关系风险和属性风险都纳入到网络中的元素组中,提出了不同利益相关方治理风险定量排序的求解方法；另外在第六章以深港产学研基地创业项目为例,对模型的过程进行了详细演示,并提出了相应的政策建议。最后本文提出了研究的结论、创新点和未来的展望。通过研究,本文得到以下结论：1.产学研合作项目治理风险可以从利益相关方角度划分为属性风险与关系风险。通过实证研究,本文将产学研合作项目治理角色归纳为规划角色、执行角色、资源维护角色和监督角色,同时验证了五类治理属性风险的重要性以及对创新绩效的影响作用,另外,对五类治理平台风险中的子指标的重要性进行了验证,结果表明二级子指标能较好的反映出产学研合作项目五个治理平台风险方面的情况,这为建立治理属性风险评价指标提供了依据。2.双中心社会网络能有效的表达产学研合作项目中利益相关方之间的社会网络关系,并且通过对一系列指标的分析与比较,结构洞测度指标中的有效网络规模和限制度能对利益相关方在网络中的关系风险进行量化。在双中心社会网络中,利益相关方的有效规模和限制度能够体现其在网络中受到其他各方的限制程度、以及控制资源、信息渠道的能力,这可以对应其在网络中的关系风险；基于此,不同的利益相关方应该根据自身在网络中的位置,制定自身的应对策略来提升网络的运行效率。3.通过建立基于ANP的产学研合作项目的治理风险模型,能够将属性风险与关系风险之间搭建逻辑关联,并能较好的量化出利益相关方面临的治理风险。案例演示的全过程也证明了该模型的可操作性。由于产学研合作项目的治理风险评价问题是一个多维度评价,既包含属性风险,也包含关系风险；另外,由于利益相关方之间彼此之间并不独立,也就是评价元素组里的元素是彼此关联的,所以运用ANP方法可以使得关系风险得以体现。本文将属性风险与利益相关方都作为网络层次模型中的元素组,通过相关关系矩阵来获取属性风险与利益相关方之间的关联关系,通过双中心社会网络中的有效网络规模与限制度来定义利益相关方组内元素之间的关系,经过运算,可以得到利益相关方的治理风险大小的列表。通过将该模型应用到深港产学研基地的创业项目中去,可以得到属性风险的各个要素以及项目中各个利益相关方对目标的影响程度。本文的研究创新主要体现在以下四个方面：1.本文建立了具有普适性的产学研合作项目治理风险分类理论,从治理平台视角对属性风险进行了分类,并对属性风险与项目治理角色进行了验证。本研究克服了现有产学研合作项目风险研究特殊性的局限,而从利益相关方的视角出发将治理风险划分为属性风险与关系风险,这类划分方法比其他研究更具有普遍性,更利于运用统一的方法论对相关方的治理风险进行量化分析。2.本文提出了项目治理平台的研究假设,并对产学研合作项目属性风险与项目治理角色进行了验证,这种发现对建立属性风险框架提供了统一化的新视角,其对项目治理角色的分类和验证也为建立相关方之间社会关系的过程奠定了理论基础。3.本文将双中心社会网络理论引入到产学研合作项目的关系风险阐述中,并建立了产学研合作项目双中心社会网络模型,也对网络中的指标内涵与管理意义重新进行了界定。这种模型弥补了传统社会网络理论不足,更便于呈现产学研合作项目中利益相关方之间的网络态势和状态,更能鲜明的体现相关方之间的关系风险态势。4.本文提出了基于治理统一框架的综合治理风险评价方法。通过建立产学研合作项目属性风险与关系风险的逻辑关联,本文放宽了以往以某一类风险评价为主要内容的理论体系,从属性与关系双重角度对相关方的治理风险进行了度量,为产学研合作项目利益相关方的治理风险综合评价提供了一种可行的方法。本文从产学研合作项目的治理风险评价入手,试图以全新的角度阐述和表达属性风险与关系风险,并建立两者之间的联系,是一次新的尝试。但是由于研究手段的局限与产学研合作项目本身的复杂程度,仍有以下局限性：首先是仍未将结构风险中的网络风险考虑到评价体系中来。其次是根据项目规模、行业和资金来源的不同,产学研合作项目的利益相关方之间的社会关系会有一定的差异。在未来的研究中,应引入更多的社会网络类型,并进一步考虑网络关系的分类、各类关系间的独立性,以及关系的综合赋权方法。第三是在产学研合作项目社会网络的指标与度量方法的选取过程中,本研究仍缺乏从多个管理维度进行论证的过程；第四是随着产学研合作组织的发展形式日益多元化,治理风险评价也应该从基于单组织的项目治理风险评价转变成基于战略联盟下的多组织项目群治理风险评价,因此多个社会网络之间的影响和协同问题也是未来研究的主要方向。更多还原

【Abstract】 In recent years, as an important implementation platform of enhancing China’s capacity for independent innovation and promoting the competitiveness of the industry, the industry-university-institute cooperation projects have played a decisive role in supporting technology development in the industry and promoting the industry transformation. However compared with innovative countries (the United States, Japan, Finland, etc.), there is still the gap of the innovation ability of our country, and China is lagging behind in these countries especially in the innovation output performance. In addition, the high-tech promoting policy is more focused on the introduction of "experts" and "talent" rather than the whole lifecycle control and supervision of industry-university-institute cooperation projects, and it leads to a series of scandals such as important scientific research achievements fraud and abuse of government-invested funds.The enterprises and research institutes establish cooperation relationship for the common goals and interests. For the process of industrial technology innovation needs much investments, is systematic, complexand of high risks, the highly steady cooperation relationship between participation organizations become important factors which can directly affect the success or failure of the project.Andonly from the perspective of system and factor research, the current domestic and foreign scholars in this area ignore the effective governance research of industry-university-institute cooperation projects, which leads to that the system research cannot be implemented in practice and the factor research lack the carrier. Thus this situation will inevitably affect national technology innovation system construction and the successful execution of cooperative projects.The main problem of project governance is the risk control and relationship maintenance of the project stakeholders, and the industry-university-institute cooperation project governance focus on the uncertain factors of stakeholders’actions during the process of project implementation, which takes the governance risks as the core research content.Therefore the effective definition, accurate measurement and evaluation of industry-university-institute cooperation project governance risks can not only guarantee the reliable, stable management environment, but also improve running reliability and efficiency of the project, which help the project managers take necessary precautions to avoid the project failure in face of governance risks.The paper is divided into4parts:The first part mainly included the research introduction and literature review. First of all, this paperreviewed the literature about the project governance risk roles and risks in chapter2, put forward the concept of governance roles and their responsibilities and obligations. Also it analyzed the research on industry-university-institute cooperation project factor/system risks, the relationship risks and governance infrastructure risks, proposed the new perspective which broke through the traditional factor risks, and reclassified the governance risks according to the governance infrastructure.The second part consisted of two contents, one wasto look for the governance activities which influencedthe innovation performance of industry-university-institute cooperation projects by using empirical research methods, classify these activities by factor analysis method, and then get the governance roles in the social network. Secondly, it verified the attribute risk classification indexes from the perspective of construction of project governance infrastructure.The third part constructed the duo-centered social network model of industry-university-institute cooperation projects and defined the connotation of the network elements. The main indexes of duo-centered social network and their management connotation were expounded in Chapter4, and the representative indexes for stakeholders’ relationship risks were selected (limited degree, effective network size etc.)The fourth part included the Chapter5,6and7. The paper established comprehensive evaluation model of stakeholders’ governance risks based on ANP, which put attribute and relationship risks into the network model and put forward the quantitative sequencing method for different stakeholders’ governance risk.Moreover, the process of evaluation model was demonstrated in the case study and the corresponding policy suggestions were proposed. At last the paper put forward the conclusions, innovative points and the research prospect.The conclusionsare as follows:1. The governance risks in industry-university-institute cooperation projects can be divided into attribute and relationship risks from the perspective of stakeholders. Through empirical research, this article induced the industry-university-institute cooperation project governance roles for planning roles, implementing roles, resource maintenance role and supervision roles. At the same time it verified the importance of the five governance attribute risksand the result showed that secondary index can better reflect the five governance infrastructure risks which provided the basis for establishing governance risk attribute evaluation index.2. Duo-centered social network can effectively express the social relationship between stakeholders in industry-university-institute cooperation projects, and through analysis and comparison of a series of indexes; the effective network scale and the limited degree index can quantify the relationship risks of stakeholders in the network. In the duo-centered social network, the two indexes can reflect the degree one stakeholder was limited by other ones, and the ability to control resources, information channels. Based on this situation, different stakeholders should formulate their own strategies to improve the operation efficiency of the network according to their own position in the network.3. Through the establishment of industry-university-institute cooperation project governance risk model based on ANP, the paper can build logic connection between attribute and the relationship risks, and can better quantify the risks faced by stakeholders. Also the whole demonstration process of case analysis proved the operability of the model.For the problem of governance risk evaluation is a multi-dimensional containing both attribute and relationship risks, and the stakeholders were not independent, which meant the evaluation elementswere associated with each other, the ANP method was suitable to demonstrate the relationship risks.The research took the attribute risksand stakeholders as the element groups in ANP model, and the relationship between the attribute risks and stakeholders through can be achieved by the correlation relationship matrix, the relationship between the stakeholders can be defined through effective network scale and the limiteddegree.After calculation, the list of stakeholders’ governance risk degree can be showed. By applying the model into the case, the risk influence degree of each stakeholder and each attribute risk to the objective can be achieved. The research innovation points are listed in4aspects:1. This paper established the governance risk classification theory of industry-university-institute cooperation projects with more generality, classified the attribute risks from the perspective of governance infrastructure, and verified the attribute risks and governance roles. This research overcame the limitations of existing project governance risk theory with particularity, and divided the risks into attributes and relationship risks from the perspective of stakeholders.This kind of classification method was more universal than other research, and made it more conducive to use unified methodology for the quantitative analysis of stakeholders’ governance risks.2. This paper puts forward the research hypotheses of project governanceinfrastructure, and the project attribute risks and governance roleswere verified. This conclusion provided a new and unified perspective of establishing attribute risk framework,and laid a theoretical foundation of establishing social relationship between stakeholders.3. This paper applied duo-centered social network theory in the relationship risks research of cooperation projects, and established theduo-centered social network model, redefined the connotation andmanagement meaning of indexes.This model overcame the disadvantages of traditional social network theory, and was easier to express the network situation and status of stakeholders in the project and reflect the relationship risk situation between them.4. The paper proposed the comprehensive risk evaluation method based on the unified governance framework. Through linking the attribute risks and relationship risks, the paper expanded the current theory which focused on only one kind of risk types and measured the integrated governance risks of the stakeholders, provided a feasible method in stakeholders’ governance risk evaluation.From the perspective of governance risk evaluation of industry-university-institute cooperation projects, the paper tried to express, quantify and integrate the attribute and relationship risks, and was a new attempt. However, due to the limitations of research means and the complexity of industry-university-institute cooperation projects, there are still several limitations. First of all, the research should take the whole network risks of structure risks into consideration in the evaluation system. Secondly, according to the differences of project scales, the industries and sources of investments, the social relationship between project stakeholders should be classified further. In the future, more social network types should be introduced and the network classification, the independence of stakeholders’ relationships as well as the weighed method should be considered.Thirdly during the process of selecting the social network indexes and evaluation methods, the research is still lack of perspectives from multiple management dimensions. Fourthly, as the development forms of industry-university-institutecooperation organizationsare increasingly diversified, the governance risk evaluation should be change from single project governance evaluation into portfolio evaluation from multiple organizations, so the problem of effects and coordination of multiple social networks will be the new direction of future research.更多还原