企业技术创新联盟中的浮动承诺策略研究

For those firms particitpated in technologically innovative alliances, how to make commitments in advance to encourage innovation without lose of decision-making flexibility? How to set a proper punishment to restrain opportunistic behaviors? And how to manage a long-term relationship with partners via commitment and punishment? Based on our previous research, this project will extend the problem to more scenarios in practice of innovative alliances, in order to broaden and deepen our research on the floating commitment. (1) we propose three mechanisms of the floating commitment on the basis of managerial practices, and then quantitatively analyze commitment strategies and opportunistic behaviors through mathematical models.(2) We investigate the impact of historical actions on the long-term relationship management by introducing a concept of cooperative belief. (3) We discuss the impact of the sources of uncertainty on opportunistic behaviors by giving a classification of those sources. (4) We study the condition of validity, coordinability of incentives, and the performance of the alliance by comparing different mechanisms. (5) We prove the creditability of floating commitments after applying two rules of penalty. Through the research proposed by this project, our goals are to establish some feasibly theoretical models, to form a framework and systematic ideas of floating commitments, to prove the significance of understanding sources of uncertainty, to reveal the essence of interactions between cooperative and competitive incentives in the alliance, and ultimately to obtain insights into managing the long-term relationship at the firm level.

技术创新联盟中的企业应如何做出承诺，才能既鼓励创新又兼顾应变灵活性？如何制定惩罚来降低机会主义所带来的危害？又该如何借此管理长期合作关系？本项目将在已有研究成果基础上，以企业间技术创新联盟为背景，以浮动承诺策略研究为重点，探讨上述问题的解决途径。具体研究不同联盟情境下的五类问题：（1）提出三种可浮动的承诺，利用数学模型定量分析承诺策略和投机行为。（2）定义合作信念，考察历史行动对长期关系管理的影响。（3）对研发和产销阶段的不确定性来源分类，考察其对机会主义行为的影响。（4）比较各类型浮动承诺机制，考察其决策差异、适用条件、性能优劣及动机可协调性。（5）应用两种惩罚规则，探讨浮动承诺的可信性。拟通过研究，建立切合实践的理论模型，提出创新联盟中浮动承诺的基本架构和系统思路；证实在浮动承诺中对不确定性来源进行辨析的重要作用；揭示联盟中合作与竞争两种动机的作用机理，给出利于企业长期关系管理的见解。

本项目主要围绕产业技术创新联盟中的策略承诺和生产运作问题展开研究；同时，我们也考察了与此紧密相关的行业案例和行业数据，为数学建模和理论分析提供充分的现实支撑和应用指导。依照项目计划，我们分别将纵向合作情景、横向合作情景进行任务分解，在项目组内部多任务同步实施。在取得初步结果后，再对网络合作情景展开研究。在研究过程中，项目组成员收集整理了农业与食品加工、生物与制药、汽车等行业的行业数据、创新数据或案例，以及上市公司的创新数据整理。项目组成员还将持续收集整理与此相关的数据。.就目前的成果而言，其重要科学意义或应用前景体现在：在实践中，对于管理者尤其是规避风险的管理者而言，辨识自身在产品供应链中的先动优势和期望利润非常重要。换言之，浮动承诺从平均意义上激励企业创新努力，提升企业绩效，增加企业决策灵活性。进一步，虽然浮动承诺在一定程度上避免机会主义行为，但不是绝对的。这意味着管理者应做好准备，在某些极端情况下谨慎行事。 .