关键词: 合作研发, 合作研发动机, 伙伴选择, 组织形式, 专有性机制

Abstract: By studying the representative theoretical and empirical literature in the field of R&D cooperation, based on the theory of transaction cost and resource-based view, this article combines an overall research framework of this filed according to the cooperation process. We aim to provide a holistic entry point for subsequent empirical and theoretical research, and a reference for R&D cooperation practices. This article first elaborates the basic concepts of R&D cooperation including different definitions and types. Although a considerable body of work highlights the R&D cooperation, but studies have not reached a consensus definition of R&D cooperation (or R&D collaboration, R&D alliance, R&D partnership). R&D cooperation can be divided into different types from different lens, for example, the horizontal or verticalcollaboration. Recently, some researcher suggested a new way of classification, the collaboration with supplier or public academic institution are viewed as distinct kind of collaboration as they are generally at the first stage of the knowledge chain compared with the alliance with competitors and consumers. Second, six main types of cooperation motivation and the radical motivation of competence (profit) are sorted out from the perspective of transaction cost theory, resource-based view and organizational learning theory. Particularly we find the multi-faced nature of motivation in different types of collaboration. For instance, University-industry collaboration can be better explained by resource-based and organizational learning theory, because most of the firms aim to get access to the commentary resources and expand their knowledge base through the learning process, while collaboration with firms especially competitors are more likely aiming to weaken the level of competition. Third，regarding the R&D performance including its subjective criteria like satisfaction degree or objective criteria like stock price, profit or sales revenue of new product, we relate it with the partner selection factors and governance factors( organizational form and appropriation mechanism). The characteristics of the R&D partners are divided from the perspective of the partner’s attributes and the partner relationship in the collaboration, for example the cooperation history. The trajectories between partner characteristics and R&D performance are explained through the concepts of “collective strength” and “inter-firm conflicts” from resource-based view. Specifically, we find a more fundamental role of inter-organizational trust which we classified as one of the relation-based characteristics. Finally, the classification of organization forms is primarily based onHagedoorn’s study over strategic alliance in 1990 and is improvised through other relevant literature, In the R&D cooperation context, we suggest four different types organizational form according to the independent level of the participants. And we further identify four attributes (incentive, synergy behavior, opportunism risk, transaction cost) to explain the differences between those organization forms. Then, a proper form of cooperation is assumed to achieve high incentive and synergy behavior while maintaining a low transaction cost and opportunism risk at the same time. The appropriation mechanism includes the formal kind such as the patents and contracts, and also the informal kind such as the secrecy and lead time. To achieve effective knowledge spillover and provide incentive for participates’ R&D efforts, Firms should employ appropriate mechanism based on specific circumstances, for example, cooperation with competitors usually address more on lead time mechanism for quickly building competence in the following stage.

Key words: R&D cooperation, cooperation motivations, partner selection, organization form, proprietary mechanism