【作者】 郭九成；

【导师】 张体勤；

【作者基本信息】 山东大学 ， 企业管理， 2008， 博士

【摘要】 在知识经济时代,技术创新对于国家竞争力的提升至关重要。党的十七大提出建设创新型国家的宏伟战略目标,围绕这一目标,我国制定了中长期科技发展规划和实现这一规划的相关措施,明确了企业作为国家技术创新主体的地位,进一步加大了对企业R&D项目的政策扶持和资金支持力度。由于政府投资企业R&D项目具有治理主体多元化、跨组织分工合作、不确定性较强等特点,仅靠提高企业自身项目管理能力是不够的。目前,我国政府投资企业R&D项目的投入产出水平和社会效益与发达国家相比还有较大差距,相关研究不能满足新形势下对政府投资企业R&D项目的管理需要,必须将研究视角从一般的项目管理提升到项目治理。本文共分三部分:第一部分对我国政府投资的企业R&D项目(简称为GIE R&D项目)发展状况进行了回顾,分析了其中存在的管理问题,提出了从项目治理的视角对政府投资企业R&D项目管理问题进行研究的基本思路,并对研究内容和方法进行了分析设计。通过与相关研究的比对分析,可以看出该研究视角和内容能够有效填补当前政府科技管理政策研究和R&D项目管理研究之间的结构性缺失,是本文研究的创新点之一。第二部分对用于确定政府投资的企业R&D项目治理统一分析过程模型进行了研究。主要包含两个方面的内容:(1)在对政府投资的企业R&D项目特点剖析的基础上,提炼了R&D项目治理关键成功要素,提出了基于项目利益相关方需求挖掘、治理角色分配、角色风险处置和治理关系建立等过程的政府投资企业R&D项目治理统一分析过程假设模型;(2)借鉴德威利斯的量表设计方法,以项目为基本统计单位、以项目主要利益相关者为调查对象、以项目关键成功因素为指标,设计了调查问卷,并采用结构方程模型(SEM)的方法对调查数据进行了统计分析和检验,验证了假设模型在GIE R&D项目中的科学性和有效性。通过对验证结果的解释和分析,可以看出该模型也可以用于类似项目的治理实践。这是本文的第二个创新点。第三部分基于项目治理统一分析过程模型,从政府部门、企业、项目团队三个方面对进一步完善政府投资的企业R&D项目治理政策和对策进行了系统阐述。这些政策和对策不仅能够促进政府投资的企业R&D项目利益相关方治理角色责任的落实,降低治理角色风险,提高R&D项目的成功率,而且能够对政府投资的其他类型科研项目的治理提供借鉴。这是本文的第三个创新点。项目治理的提出和研究历史还很短暂,本文虽然对GIE R&D项目治理的理论和应用进行了研究,得出了若干创新性的结论,但由于该课题内容十分广泛和复杂,还有许多问题有待进一步深入研究。更多还原

【Abstract】 In the era of knowledge economy, technological innovation plays a vital role to sharpen the competitive edge of China. The Seventeenth National Congress of the Communist Party of China formulated the magnificent strategic objective to build our country into an innovative nation. To reach this goal, China has made national program for long- and medium-term scientific and technological development, also some measures related to help realizing this program. The leading role that enterprises played in the national technological innovation system was stressed, and the financial and policy support for enterprises was also increased. With the nature of multi-principal governance, cross-organizational cooperation and high uncertainty, government-invested enterprise R&D (GIER&D) Project cannot be solved just by improving project management capability. In contrast to developed countries, the input-output efficiency and social effects of GIER&D Projects in China is low, so the current research work can not satisfied the needs for GIER&D Project management in new situation. Therefore, we must shift our focus of research from project management to project governance.This paper is divided into three parts:In the first part, review on the development and research state of GIER&D Projects in China is conducted firstly. Next, based on the analyzing of the shortages in present research work, it is decided that this paper will conduct research on GIER&D Projects from the view of project governance, and the content and research methods are formulated accordingly. Through the contrast with existed research, it is clear that the research view and content of this paper will bridge the structural gap between existed research on government scientific management policy and R&D project management, so it’s the first sparkling point of this paper.The second part is mainly about the project governance model of GIER&D Projects. It is also divided into three parts:(1) Based on the analysis of the characteristics of R&D projects, the key success factors for the R&D project are abstracted and the hypothesis governance model for GIER&D projects are formulated based on the four key success factors: digging of stakeholder requirements, assignment of governance roles, disposal of role risks, and governance relationship founding.(2) Taking Devellis scale development method as reference, project as the basic statistics unit, stakeholders of project as investigation object, the key success factors as the index, a questionnaire is designed. Through the analysis and examination of investigation data by Structural Equation Modeling (SEM) method, it is verified that the hypothesis GIER&D model is effective and scientific. From the analysis and explanation of the empirical study, it is obvious that this model is also applicable to the practice of governance of similar project, and it is the second sparking point of this paper. (3) The realization of the GIE R&D governance model. starting with discussion of the life cycle of R&D projects, the methods for identifying project stakeholders are discussed next, and finally, the process and methods for the realization of four critical governance factors: requirements analysis, roles definition, risks identification, and relationships formation is introduced.Based on the governance model, the third part elaborates the policies and countermeasures to promote GIER&D projects governance from three perspectives: the government, the enterprises, and the project team. These policies and countermeasures not only can help lock the responsibilities of stakeholders in the governance of GIE R&D Project, lower risks of different roles in governance, enhance the ratio of success of R&D projects, but also can be used as reference for the governance of other types of government-invested project. This is third sparking point of this paper.The coming up and research history of project governance is not long. Although this paper does some research on the theory and practice of governance of GIER&D Project and some innovative conclusions are drawn, there are still lots of problems to be studied further. After all the contents of GIER&D Project governance are too comprehensive and complicated.更多还原