关键词: 新型研发机构, 资源依赖, 社会影响力, 绩效核心指标体系

Abstract: As one of the key initiatives of the innovation-driven development strategy, new R&D institutions are expected to take more responsibilities, which could promote the agglomeration, opening and integration of regional innovation resource, break the barriers from “science” to “technology” and “product”, promote the synergetic development among the chain of innovation, industry and service. Meanwhile, the new R&D institutions has also been expected to contribute the strategic industries emerging, etc. In recent years, new R&D institutions have been developed rapidly with the support of the government. Its forms are diverse, such as Jiangsu Industrial Technology Research Institute, Beijing Industrial Technology Research Institute, Shenzhen Institutes of Advanced Technology, CAS, and Shanghai R&D and transformation functional platform, etc. At present, the name of new R&D institution has several different usages, such as "industrial technology research institute", “R&D transformation platform” and "new R&D (scientific research) institution", etc. This paper defines the new R&D institution as an independent agency which has diversified investor, market-oriented operation mechanism and modernized management mode. It has distinctive characteristics in scientific and technological R&D, transformation, innovation and entrepreneurship incubation, etc. New R&D institutions could be divided into different types depending on the classification criteria. According to the nature of the operating entity, it can be divided into government-led institutions, enterprise-led institutions, third-party-oriented institutions and composite institutions; according to the nature of the organization, it can be divided into enterprise, private non-enterprise and business; according to the function of the organization, it can be divided into R&D institutions, conversion institutions, and service support institutions. New R&D institutions are also known as “Fangle” institutions compared with traditional scientific research institutions, which are mainly manifested as: (1) Government guidance and close combination of multiple subjects. At present, the construction and operation of China’s new R&D institutions are under the guidance of the government, emphasizing the coordination and mobilization of all sectors of society. Compared with the traditional loose form of industry-university-research cooperation, the new R&D institutions have a closer relationship among the multiple investors with strong resource exchange and cooperation. (2) Complex dual attributes, publicity and marketability. Its publicity is reflected in knowledge spillover (paper publishing, patent acquisition), technology spillover (the whole industry research and development cost reduction), etc. Its marketability emphasizes the economic benefits brought by the transformation of scientific and technological achievements. (3) Various forms of institutions with different characteristics and functions. For example, industrial technology research institutes emphasize research and development, platforms focus on the transformation of scientific and technological achievements, etc. (4) Flexible and efficient operational mechanisms. New R&D institutions has been afforded the high degree of integration of industry-university-research collaboration innovation. Its operation and management mechanism has enterprise style, but has to balance the publicity and profit-making.At present, the public funding and policy supporting from the government are the key resource for the new R&D institutions, especially at the initial stage. Meanwhile, in order to response the concern of public finance performance, the new R&D institution has to be evaluated properly in order to ensure the goal achievement, the investment performance of public funds, etc. There are quite a few local governments or municipalities issued relevant documents on the construction and evaluation of new R&D institutions. However, as a "Fangle" scientific research institution, how to properly evaluate its performance still faces big challenges, because of its dilemma of value of publicity and marketability, the demand difference of multiple investors, the balance between personality and commonness, etc. Based on the organizational characteristics of new R&D institutions, in this paper, a performance analysis framework is built and the key performance characteristics analysis of new R&D institutions from the dual perspectives of resource dependence and social influence is presented. The construction of performance index includes four steps. Firstly, decomposing strategic objectives and identifying key performance areas. Secondly, analyzing the resource contribution and interest appeal of key subjects at different stages. Thirdly, analyzing the key investors’ resource dependency and conversion process. Finally, determining the evaluation content and core performance indicators. Shanghai Industrial Technology Research Institute (hereinafter referred to as “SITRI”) is presented as a case study, which established by the Micro-Systems Institute of the Chinese Academy of Sciences and the Jiading District Government of Shanghai. It is also one of the first new R&D and transformation functional platforms in Shanghai. Its related stakeholders include Shanghai district government, Chinese Academy of Sciences, universities, enterprises, China sensor and Internet of things industry alliance, which integrates generic industry research and development, industrialization promotion, standard formulation and technical services. Taking SITRI as a case study and demonstrating the performance evaluation and analysis framework of the new R&D institutions and constructs the core performance index system has typical representativeness. So this paper takes SITRI as an example. In general, during the construction period, the government’s performance appraisal focuses on government resource input, institution construction and resource aggregating capabilities. During the growth period, resource aggregating capabilities, technology R&D capabilities, service and industrialization capabilities are the main assessment content, and social impact is assessed. During the operational maturity, the main evaluation content focus on social impact of new R&D institutions. According to the innovation-driven development strategy, the role of new R&D institutions should not be underestimated. This paper constructs the performance analysis framework of the new R&D institutions from the dual perspectives of resource dependence and social influence, and opens the "black box" of the performance generation process. The performance evaluation on this basis could give an effectively way to break the performance evaluation dilemma of new R&D institutions.

Key words: new R&D institutions, R&D resource, research societal impact, core performance indicators system