A Study Of Opportunistic Behavior In Cooperative Innovation Between High-tech SMEs In Shanxi Province

The"Communist Party of China (CPC) Central Committee's Proposal on the Formulation of the 11th Five-Year Guidelines (2006-2010) for National Economic and Social Development"notes that regarding enhancement of independent innovative capability as the strategic basic point of scientific and technological development and a key link in adjusting the industrial structure and changing the mode of economic growth. In the realistic background of the more competitive post-crisis period and higher demands and constrains for economic development made by the low-carbon economy, as China's coal-rich province and the important base of energy and heavy chemical industry, Shanxi province takes full advantage of the policy opportunities that our country supports transitional development of the resource-based economy. Promoting technological innovation of small-and medium-sized enterprises (SMEs) and fully exerting the effect of SMEs as the role of the new technological innovative force has become an important measure of achieving the strategic objectives of"transitional development, secure development and harmonious development"of Shanxi province in the period of the 11th Five-Year and the 12th Five-Year.As the important main body of technological innovation in Shanxi province, High-tech SMEs have a weak independent innovative capability mostly and have not fully played its role as the new technological innovative force due to lack of capital and talent, together with that independent innovation is a complex and difficult technological and economic process. While cooperative innovation, which can share resources and avoid risks, is an effective way to achieve independent innovation of High-tech SMEs and enhance independent innovative capability of Shanxi province. But in recent years, a lot of practice shows that opportunistic behavior in cooperative innovation is the main reason for hindering cooperative innovation and even leading it to failure, which has become a top problem of restricting the achievement of independent innovative capability of High-tech SMEs in Shanxi province and the enhancement of independent innovative capability of Shanxi province.Taking High-tech SMEs as the research object, this thesis analyzes opportunistic behavior in cooperative innovation between High-tech SMEs in Shanxi province systematically. The main points and contents of this thesis are as follows:①The main causes which cause opportunistic behavior in cooperative innovation are as follows: information asymmetry, incompleteness of cooperative innovation contract, bounded rationality of members of cooperative innovation, cooperative innovation asset specificity, zero-sum thinking and dependence asymmetry;②Opportunistic behavior in cooperative innovation is generally divided into ex-contractual opportunistic behavior and post-contractual opportunistic behavior. And post-contractual opportunistic behavior in cooperative innovation between High-tech SMEs is the most common in Shanxi province, which mostly occurred between asymmetric dependent High-tech SMEs;③Building evolutionary game model based on assumptions of bounded rationality which accords with the real world much more, this thesis analyzes the stability and evolutionary mechanism of evolutionarily stable strategy of the post-contractual opportunistic behavior under asymmetric dependence;④Based on systematical analysis of opportunistic behavior in cooperative innovation between High-tech SMEs in Shanxi province, this thesis proposes corresponding countermeasures from enterprise and government two aspects. From the aspect of enterprise, enterprises should govern opportunistic behavior in cooperative innovation from the following five aspects: improve the evaluation and selection mechanisms of cooperative innovation partners, optimize the contract design of cooperative innovation, establish perfect post-contractual supervision mechanism, establish and improve business reputation information system and enhance the mutual trust between cooperative innovation partners; from the aspect of government, the government should start from the environment of technological innovation to govern opportunistic behavior in cooperative innovation from the following four aspects: increase financial input to technological innovation of High-tech SMEs, improve financing environment of High-tech SMEs, improve the talent flow mechanism and perfect the technological innovation policy and regulation systems.The innovation in this thesis may be the following aspects:①This thesis proposes that cooperative innovation is an effective way to enhance independent innovative capability of High-tech SMEs in Shanxi province and even the whole province, and discusses the promotion effect of independent innovative capability by cooperative innovation;②Through constructing more realistic assumptions based on previous studies, this thesis introduces more realistic influence factors like excess return of cooperative innovation, additional revenue of opportunistic behavior, coefficient of income distribution and cost of opportunistic behavior into evolutionary game model;③Through constructing evolutionary game model of cooperative innovation between asymmetric dependent High-tech SMEs, this thesis analyzes post-contractual opportunistic behavior in cooperative innovation between High-tech SMEs in Shanxi province and uses evolutionary game theory to judge the critical factors of successful cooperative innovation;④According to the analysis of evolutionary game model, this thesis proposes countermeasures of opportunistic behavior from the perspectives of increasing the cost of opportunistic behavior and improving the profit distribution mechanism, such as the contract design of cooperative innovation with incentive and constraint mechanism, the construction of business reputation information system, etc.;⑤According to the analysis of causes of opportunistic behavior in cooperative innovation between High-tech SMEs, this thesis proposes that it can make High-tech SMEs set up"positive-sum"game concept by improving the environment of technological innovation, and then proposes technological innovation environment countermeasures of opportunistic behavior in cooperative innovation between High-tech SMEs in Shanxi province by the government.This thesis considers that, through governing opportunistic behavior in cooperative innovation between High-tech SMEs in Shanxi province, High-tech SMEs can develop cooperative innovation better to promote its independent innovative capability and enhance independent innovative capability of Shanxi province, which has important theoretical and practical significance to push the transitional develop of Shanxi province from resource-depended to innovation-driven and take the way of independent innovation with characteristics of Shanxi province.