科学家在公共研发计划决策过程中的作用&mdash;以三大国家科技计划为例

科研管理 ›› 2014, Vol. 35 ›› Issue (5) : 118-127.

论文

科学家在公共研发计划决策过程中的作用—以三大国家科技计划为例

智强, 杨英

作者信息 +

The role of scientists in decision making process of research and development programs-Acasestudy of China’s three key national science and technology programs

Zhi Qiang, Yang Ying

Author information +

文章历史 +

摘要

通过研究过去三十年间科学家在我国三大国家科技计划——支撑计划、863计划、973计划政策过程中的作用变迁，本文从自治水平和权力授予两个维度区分了决策过程中科学家的六种角色。研究采用量化描述与案例分析相结合的方法，揭示了科技计划决策中的科学家角色变迁，并解释国家科技战略、科学家角色及科技计划产出之间的互动关系。研究发现，国家战略重点转变中的增量部分影响了行政部门在决策结构上对科学家角色的调整，并得到了科技计划产出的快速相应。这种变化在响应增量的同时却在一定程度上忽略了长期目标。本文最后提出了我国创新驱动战略下完善科技计划决策机制的政策建议。

Abstract

By studying the evolutionary role of scientists in the decision making process of three key National Science and Technology Programs: the Zhicheng Program, the 863 Program, and the 973 Programsin the past 30 years, we classify the role of the non-government scientists over time into six categories based on the dichotomyof political authority and scientific autonomy. We use quantitative metrics and qualitative cases to reveal the evolutionary role of scientists and its interaction with national science and technology strategy, and program outputs.Our study found out that theincremental changes in national strategic prioritiesinfluenced the institutional setting of scientists in decision-makingand led to a fast correspondenceby program outputs. However, this mayignores some long-term goals. Finally, this study suggests a few ways of improving the decision-making mechanismunder the circumstances of the innovation-driven strategy.

导出引用

智强, 杨英. 科学家在公共研发计划决策过程中的作用—以三大国家科技计划为例[J]. 科研管理. 2014, 35(5): 118-127

Zhi Qiang, Yang Ying. The role of scientists in decision making process of research and development programs-Acasestudy of China’s three key national science and technology programs[J]. Science Research Management. 2014, 35(5): 118-127

中图分类号： C934

参考文献

[1] Lumpkin,G.T.and Dess,G.G.Clarifying the entrepreneurial orientation construct and linking it to performance[J].Academy of Management Review,1996,21(1):135-172. [2] Rauch,A.,Wiklund,J.,Lumpkin,G.T.and Frese,M.Entrepreneurial Orientation and Business Performance:An Assessment of Past Research and Suggestions for the Future[J].Entrepreneurship Theory and Practice,2009,33(2):761-787. [3] Chaston,I.and Sadler-Smith,E.Entrepreneurial cognition,entrepreneurial orientation and firm capability in the creative industries[J].British Journal of Management,2012,23(3):415-432. [4] Richard,O.C.,Wu,P.and Chadwick,K.The impact of entrepreneurial orientation on firm performance:The role of CEO position tenure and industry tenure[J].The International Journal of Human Resource Management,2009,20(5):1078-1095. [5] Simske,Z.,Heavey,C.,and Veiga,J.F.The impact of CEO core self-evaluation on the firm's entrepreneurial orientation[J].Strategic Management Journal,2010,31(1):110-119. [6] 郭海,薛佳奇.领导权变更、创业导向及自主创新间关系的实证研究[J].管理学报,2011(2):241-247. [7] Ling,Y.,Simsek,Z.,Lubatkin M.H.,Lyon,E.and Veiga,J.F.Transformational Leaderships Role in Promoting Corporate Entrepreneurship:Examining the CEO-TMT Interface[J].Academy of Management Journal,2008,51(3):557-576. [8] O'Reilly,C.A.,III,Snyder,R.C.and Boothe,J.N.Executive Team Demography and Organizational Change[C].In:Huber,G.P.and Glick,W.H.(eds.) Organizational Change and Redesign:Ideas and Insights for Improving Performance.New York:Oxford University Press,1993:147-175. [9] Cruz,C.and Nordqvist,M.Entrepreneurial orientation in family firms:a generational perspective[J].Small Business Economics,2012,38(1):33-49. [10] 邹至庄.中国经济转型[M].中国人民大学出版社,2005. [11] Canabal,A.and White,G.O.Entry mode research:Past and future[J].International Business Review,2008,17(3):267-284. [12] 吕源,徐二明.制度理论与企业战略管理研究[J].战略管理,2009,1(1):14-22. [13] Peng,M.W.Towards an institution-based view of business strategy[J].Asia Pacific Journal of Management,2002,19(2):251-267. [14] Tusi,A.and O'Reilly,C.A.Beyond simple demographic effects:the importance of relational demography in superior-subordinate dyads[J].Academy of Management Journal,1989,32(2):402-423. [15] Hambrick,D.C.and Mason,P.A.Upper echelons:the organization as a reflection of its top managers[J].Academy of Management Review,1984,9(2):193-206. [16] Hambrick,D.C.and D'Aveni,R.A.Top team deterioration as part of the downward spiral of large corporate bankruptcies[J].Management Science,1992,38(10):1445-1456. [17] Jackson,S.E.,Stone,V.K.and Alvarez,E.B.Socialization amidst diversity:Impact of demographics on work team oldtimers and newcomers.In Research in Organizational Behavior,Cumming,L.L.and Staw,B.M.(eds.),Greenwich,CT:JAI Press,1993,15:45-109. [18] Pfeffer,J.Organizational demography[C].In Gumming,L.L.and Staw,B.M.(Eds.),Research in organizational behavior.Greenwich,Gonn:JAI Press,1983,5:299-357. [19] Bantel,K A,Jackson,S.Top management and innovation in banking:Does the composition of top team make a difference?[J].Strategic Management Journal,1989,10(1):107-124. [20] Sessa,V S,Jackson,S E,Diversity in decision-making teams:all teams are not created equal.In Chemers,M.M.,Oskamp,S.and Costanzo,M.A.(Eds.).Diversity in organization[C].CA:Newbury Park,Sage,1995. [21] Prendergast,C,Stole,L.Impetuous youngsters and jaded old-timers:Acquiring a reputation for learning[J].Journal of Political Economy,1996,104(6):1105-1134. [22] Herrmann,P,Datta D K.CEO experiences:effects on the choice of FDI entry mode[J].Journal of Management Studies,2006,43(4):755-778. [23] Hitt,M.A,and Tyler,B.B.Strategic Decision Models:Integrating Different Perspectives[J].Strategic Management Journal,1991,12(5):327-351. [24] Calori,R,Johnson,G.,and Sarin,P.CEO's cognitive maps and the scope of the organization[J].Strategic Management Journal,1994,15(6):437-457. [25] Tihanyi,L,Ellstrand,A E,Daily,C M,and Dalton,D.R.Composition of the top management team and firm international diversification[J].Journal of Management,2000,26(6):1157-1177. [26] Carpenter,M.A,Fredrickson J W.Top management teams,global strategic posture,and the moderating role of uncertainty[J].Academy of Management Journal,2001,44(3):533-545. [27] Goll,I,Johnson,N.B,and Rasheed,A.A.Top management team demographic characteristics,business strategy,and firm performance in the US airline industry:The role of managerial discretion[J].Management Decision,2008,46(2):201-222. [28] Simons T,Pelled L H,and Smith K A.Making use of difference:Diversity,debate,and decision comprehensiveness in top management teams[J].Academy of Management Journal,1999,42(6):662-673. [29] Jehn K A,and Northcraft G B,Neale M A.Why differences make a difference:A field study of diversity,conflict,and performance in workgroups[J].Administrative Science Quarterly,1999,44(4):741-763. [30] Reagans,R.,Argote,L,and Brooks,D.Individual Experience and Experience Working Together:Predicting Learning Rates from Knowing Who Knows What and Knowing How to Work Together[J].Management Science,2005,51(6):869-881. [31] Harrison,D,Klein,K.What's the difference? Diversity constructs as separation,variety,or disparity in organizations[J].Academy of Management Review,2007,32(4):1199-1228. [32] Knockaert,M,Ucbasaran,D,Wright,M.and Clarysse,B.The relationship between knowledge transfer,top management team composition,and performance:The case of science-based entrepreneurial firms[J].Entrepreneurship:Theory and Practice,2011,35(4):777-803. [33] La Porta,R.,Lopez-de-Silances,F.and Shleifer,A.Corporate ownership around the world[J].Journal of Finance,1999,54(2):471-517. [34] 刁丽莎.上市公司股权结构对高管变更影响的实证研究[D].大连理工大学硕士学位论文,2011. [35] 吴育辉,吴世农.股权集中、大股东掏空与管理层自利行为[J].管理科学学报,2011,14(8):34-44. [36] Jensen,M.C.and Meckling,W.H.Theory of the firm:Managerial behavior,agency costs and ownership structure[J].Journal of Financial Economics,1976,3(4):305-360. [37] Bennedsen,M and Wolfenzon,D.The balance of power in closely held corporations[J].Journal of Financial Economics,2000,58(1):113-139. [38] Gomes,A.and Novaes,W.Sharing of control versus monitoring[R].PIER Working Paper,University of Pennaylvania Law School,2005:1-29. [39] 陈信元,汪辉.股东制衡与公司价值:模型及经验证据[J].数量经济技术经济研究,2004,21(11):102-110. [40] 白桂.制造业上市公司股权结构与公司创业力相关关系研究[D].西南交通大学研究生学位论文,2006. [41] 文芳.股权集中度、股权制衡与公司R&D投资——来自中国上市公司的经验证据[J].南方经济,2008(4):41-52,53. [42] 张其秀,冉毅,陈守明,王桂.研发投入与公司绩效:股权制衡还是股权集中？——基于国有上市公司的实证研究[J].科学学与科学技术管理,2012,33(7):126-132. [43] Yang Lin and Wang Danni. The Impacts of Top Management Team Characteristics on Entrepreneurial Strategic Orientation: The Moderating Effects of Industry Environment and Corporate Ownership[J].Management Decision, 2014, 52(2): 378-409. [44] Hambrick, D.C., Cho, T.S. and Chen, M. J. The influence of top management team heterogeneity on firm's competitive moves [J]. Administrative Science Quarterly, 1996, 41(4): 659-684. [45] Adams, R.B. and Ferreira, D. Women in the boardroom and their impact on governance and performance [J]. Journal of Financial Economics, 2009, 94(2): 291-309. [46] Blau, P. M. Inequality and Heterogeneity [M]. Glencoe, IL: Free Press, 1977. [47] Hmieleski, K.M. and Ensley, M.D. A contextual examination of new venture performance: entrepreneur leadership behavior, top management team heterogeneity, and environmental dynamism [J]. Journal of Organizational Behavior, 2007, 28(7): 865-889. [48] Williams, C. and Lee, S.H. Resource allocations, Knowledge network characteristics and entrepreneurial orientation of multinational corporations [J]. Research Policy, 2009, 38(8): 1376-1387. [49] 温忠麟,侯杰泰,张雷.调节效应与中介效应的比较和应用[J].心理学报,2005,37(2):268-274. [50] 魏立群,王智慧.我国上市公司高管特征与企业绩效的实证研究[J].南开管理评论,2002(4):16-22. [51] 何威风,刘启亮.我国上市公司高管背景特征与财务重述行为研究[J].管理世界,2010(7): 144-155. [52] Thomas, A.S., Litschert, R.J. and Ramaswamy, K. The performance impact of strategy-manager coalignment: an empirical explanation [J]. Strategic Management Journal, 1991, 12(7): 509-22. [53] Wiersema, M.F. and Bantel, K.A. Top management team demography and corporate strategic change [J]. Academy of Management Journal, 1992, 35(1): 91-121. [54] Brew, F. P. and David, R. C. Style of managing interpersonal workplace conflict in relation to status and face concern: a study with Anglos and Chinese [J]. The International Journal of Conflict Management, 2004, 15(1): 27-56. [55] Read, S. J. Constructing causal scenarios: A knowledge structure approach to causal reasoning [J]. Journal of Personality and Social Psychology, 1987, 52(2): 288-302. [56] Mitchell, R. K., Smith, B., Seawright, K. W. and Morse, E. A. Cross-cultural cognitions and the venture creation decision [J]. Academy of Management Journal, 2000, 43(5): 974-993.