技术、市场结构与产业创新联盟协同演化机制及政策研究

Industry Technology Innovation Strategic Alliance(ITISA) is palying the important role in industrial transformation and upgrading. But ITISA may improve technological ability and competitiveness as well as led to technological lock-in and monopoly. From a dynamic view, the technology, market structure and ITISA are co-evolution. In order to reduce the negative effects of ITISA, it is necessary for the policy maker to adjust policy object, implementation time point and measures according to process and mechanism of co-evolution timely. Based on the theoretical and emirical studing, this research is to design a policy programme which can promote the industry development healthily with the support of ITISA. At first, a space model of co-evolution will be established, which will be used to guide the empirical study on the software industry, automobile industry and chemical fiber industry. Then, be inspired by gravity in physics, by means of computer simulation, a mechanism model of co-evolution will be established including self-organization mechanism and outside choice mechanism. At last, according to result of theoretical and empirical studying, based on thought of adaptability management, a policy programme consists policy object, time choosing and measures choosing will be designed. This research not only contribute to better understanding of ITISA, but also have positive significance for practice of ITISA and policy making.

推动产业技术创新战略联盟的建立和发展，是我国实现产业转型升级的重要举措。但联盟在增强产业技术实力和市场竞争力的同时，也可能引发技术轨道锁定和垄断等负面效应。在动态视角下，技术、市场结构与产业创新联盟之间呈协同演化关系。政策制订者必须根据演化过程和机制，适时调整政策目标和措施，在发挥联盟积极作用的同时，减少其负面效应。本项目旨在以协同演化过程与机制的理论研究为基础，设计依托联盟推动产业健康发展的政策方案。首先，构建协同演化过程的空间模型，并以软件、汽车和化纤等产业为对象进行实证研究；其次，借鉴物理学中的引力定律，构建自组织机制和外部选择机制共同作用的演化机制模型，并进行仿真模拟和计算试验；最后，根据理论研究结果，引入适应性管理理念，围绕目标体系、时点选择和措施选择等主要内容设计政策方案。本研究既有助于深化产业创新战略联盟的理论认识，也对联盟实践和政策制订具有积极的现实意义。

项目围绕原定研究方案，对产业技术创新战略联盟的组织演化，及其与技术、市场结构等外部因素的协同演化问题进行研究。理论研究成果主要包括如下几个方面。首先，课题组从产业技术创新战略联盟的实践特征入手，基于临时性组织理论构建产业技术创新战略联盟组织框架,以及关系性知识产权的演化模型，为后续研究奠定理论基础。其次，课题组综合使用事件史分析、结构方程模型和案例研究方法，从不同维度研究产业技术创新战略联盟组织与合作创新、技术标准、市场结构等因素的协同演化，揭示其演化过程与机理。第三，课题组将资源环境管理领域的适应性管理理念引入分析框架，从认知前提、管理目标、管理过程和使用条件等方面构建了产业技术创新战略联盟的适应性管理方法论，并基于模拟植物生长算法构建决策优化模型。同时，项目还对从产业技术创新战略联盟自身发展和推动产业发展两方面提出了政策建议。研究成果丰富了中国情境下产业技术创新战略联盟动态演化的理论。