【作者】 田先钰；

【导师】 赵喜仓；

【作者基本信息】 江苏大学 ， 管理科学与工程， 2008， 博士

【摘要】 尽管R&D产业作为独立产业形态被纳入产业分类体系中已近40年,但将其作为一个独立产业部门进行系统而全面研究尚处于萌芽状态。目前的研究多集中在对R&D产业微观构成主体行为、经验性地描述特定细分R&D产业、R&D产业形成与发展等领域,这对于全面把握R&D产业内在运行逻辑和规律明显不够。在国际竞争日益加剧的今天,不仅应将R&D产业作为类同于其他战略性产业进行解读,而且应将其作为国家创新中最为基础和核心组成部分来考察其运行逻辑与规律,并以此为依据来制定R&D产业发展战略和产业规制策略。本研究从R&D产业作为国家创新体系中最为基础和核心组成部分这一视角,以系统科学、管理科学、经济学、产业组织和行为科学及工程等相关学科的理论和方法为指导,采用理论推演和一手资料的归纳演绎相结合、综合研究与案例分析相结合、国内实证与国际对比相结合的研究方法,在对R&D产业重新界定的基础上,系统地研究了R&D产业的系列基本问题,立足于R&D产业所具有的独特性以及R&D产业微观构成主体及其行为,对R&D产业组织形态及其合理化以及R&D产业管理的一般理路进行了系统而深入的研究,并结合我国R&D产业实际,从中观层面上提出了促进我国R&D产业组织形态合理化演进的公共政策建议。研究表明,R&D产业不仅是一个公共性与市场性以及互补性与兼容性并存的独特产业形态,而且是一个满足多样性需求由多元化微观组织机构构成的复杂系统;区别于一般企业的市场行为,作为R&D产业微观构成主体的独立R&D组织的策略行为包括R&D项目组合、R&D模式选择、R&D成果转化模式、国际化以及知识产权运用策略五个维度,这些行为的具体体现不仅与R&D组织自身的能力和资源有关,而且受到其所处的市场和法律制度环境影响;随着社会分工和交换的深度发展,以及经济全球化和信息传播手段的高级化,R&D产业组织形态越来越表现出地理分布格局的轮辐式、微观构成的多元化、产业关联的依附性集聚等特点;作为一个多属性并存的产业,R&D产业内部的资源配置方式不仅有赖于政府计划职能的有效应用,而且应充分发挥市场及社会公众与志愿团体的志愿意向来促进R&D资源的合理流动;R&D产业组织要实现其合理化不仅应着眼于结构性供需平衡、促进R&D资源合理配置以提高知识生产效率,而且应促进R&D从业主体的多元化,并通过规范和引导其行为来实现R&D组织在产业空间上依附性集聚;通过R&D活动的专业化可以促进R&D社会总收益提高,但由于信息不对称和机会主义行为而导致的R&D活动内部化倾向,以及R&D活动的利害相关者集体的非理性行为所导致的社会伦理问题应最终落脚于加强R&D产业管理措施的创新上;R&D产业管理创新不仅应从立法上规范和引导R&D产业微观构成主体行为、健全宏观管理体制、平衡中观供需结构等方面着手,而且应加强R&D产业与相关产业的界面管理以及将独立R&D组织的治理机制进行制度性安排。更多还原

【Abstract】 R&D industry has been recognized as an independent industrial sector in the industry classification system since 1970, but it has not yet found a sufficient comprehensive and systematical research on it. The study so far is mostly focused on behaviors of micro R&D organizations, experiential descriptions of formation and development of R&D Industry as well as of its specific segmentation. These investigations are obviously inadequate for us to grasp the laws and operating logic of R&D industry. With the aggravation of the international competitions, it is impending that R&D industry be interpreted as a strategically industry and that the laws and operating logic of R&D industry be studied as essential fundamentals of the national innovation systems, so that better policies and strategies might be established correspondingly.With the theories of System Science, Management Science, Economics, Industry Organization, Behavior Science and Technology, this thesis is mainly focused on R&D industry organization and management. The approaches applied include deduction of theories and induction-deduction of direct data, comprehensive studies and case analysis, empirical tests in China and international comparison of related tests and cases. The author redefines the concept of R&D industry, and then systematically explores all the fundamentals of it, including the features of R&D industry, the microstructure mechanism and behavior of R&D industry, the morphology and rationalization of R&D industry organization, and the general approaches to the management of R&D industry. With all the researches above, the author puts forward on the middle level suggestions on public policies for rational innovation of the morphology of R&D industry organization in China. The research results show that R&D industry is not only an independent industrial organization form characterized by its publicity, marketability, complementarity and compatibility, but also a complex system composed of diversified microstructures which meets multifarious demands; differing from the general enterprise behaviors, the strategy-based behaviors of independent R&D organizations include the R&D project portfolio, the R&D mode selection, the R&D achievement transformation model selection, internationalization, intellectual property utilization, which are not only determined by the capability and resources of R&D organizations, but also affected by both market and law system environment; With the development of the social division of labor and exchange, the aggravation of the economic globalization and the constant gradation of means of information transmission, the peculiarities of R&D industry organization form morphologically manifest more as the spoke-type on geographical distribution pattern, the diversification of micro units and the dependent agglomeration on the industrial relationship; With the coexistence of multi-properties, the resources allocation modes in R&D industry should not only include the government decision and the market players decision, but also the formal/informal voluntary social body/individuals decision, in order to promote the rational flow of R&D resources; The realization of the rationalization of R&D industrial organization depends on the balance of structural supply and demand, on the efficiency improvement of knowledge production by promoting R&D resource reasonable allocation, on the diversification of R&D organization, and on the dependent agglomeration of R&D industry by regulating and guiding the behaviors of R&D organzaitons; the general social utility will increase when the developmental achievements is obtained from market, however, the R&D industrial management innovation is still indispensable due to the R&D activity interiorization tendency which is caused by information asymmetry and opportunistic behaviors, and the collectively irrational behaviors of interested persons, can result in social ethical problems; the R&D industrial management innovation not only include regulate and guide the behaviors of R&D industry micro unit, improve the macro-management system, balance the meso-structure of supply and demand, but also enforce the management of the R&D industry-it’s industry interface, and make systematic arrangements for independent R&D organization governance structure.更多还原