企业基础研究倾向影响因素的组态效应——基于中关村高新技术企业的QCA分析

摘要/Abstract

摘要： 本文立足于系统整合视角构建了企业基础研究倾向影响因素的分析框架。运用定性比较分析方法（QCA），以北京中关村科技园区内198家高新技术企业为研究样本，识别检验了企业内外部多元要素对企业基础研究倾向的协同影响作用和因果复杂机制。研究发现，存在5种可推动企业产生基础研究倾向的要素组合驱动模式，包括企业内部资金主导驱动型、企业外部创新资源主导驱动型、金融资本支持下的自主驱动型、金融资本支持下的合作驱动型以及企业内外部创新资源协同支持型。这5种不同的要素联合驱动模式体现了企业基础研究倾向的多重形成路径。研究结论有利于从系统整合视角丰富企业基础研究倾向影响因素的研究，对揭示企业基础研究倾向产生的要素组合模式具有重要的理论与实践意义。

关键词: 基础研究, 定性比较分析, 影响因素, 组态效应

Abstract: Based on the perspective of system integration, this paper constructs an analytical framework of the factors influencing basic research inclination of firms. Taking 198 high-tech firms in Beijing Zhongguancun Science Park as research samples, this paper applies Qualitative Comparative Analysis (QCA) to identify and test the synergistic effects of the firms’ internal and external multi-factors on their basic research inclination and the underlying complex causal mechanisms. The results show that there are five factor combination driving models that can promote the firms’ basic research inclination, namely, the internal capital-driven model, the external innovation resource-driven model, the independent driving model backed by financial capital, the cooperation-driven model backed by financial capital, as well as the model driven jointly by internal and external innovation resources. These five different factor-driven models represent the multiple formation paths of basic research inclination of different firms. These findings are conducive to enriching the research on the influencing factors of firms’ basic research inclination from the perspective of system integration, and have important theoretical and practical significance for revealing the factor combination modes of firms’ basic research inclination.

Key words: basic research, qualitative comparative analysis, influencing factors, configuration effect

杨媛棋, 寇明婷, 陈凯华. 企业基础研究倾向影响因素的组态效应——基于中关村高新技术企业的QCA分析[J]. 管理评论, 2024, 36(4): 88-99.

Yang Yuanqi, Kou Mingting, Chen Kaihua. Configuration Effects of Influencing Factors for Basic Research Inclination of Firms—QCA Analysis Based on High-tech Firms in Zhongguancun Science Park[J]. Management Review, 2024, 36(4): 88-99.

参考文献

[1] Rosenberg N. Why do Firms Do Basic Research (with Their Own Money)[J]. Research Policy, 1990,19(2):165-174
[2] Martinez-Senra A. I., Quintas M. A., Sartal A., et al. How can Firms’ Basic Research Turn into Product Innovation? The Role of Absorptive Capacity and Industry Appropriability[J]. IEEE Transactions on Engineering Management, 2015,62(2):205-216
[3] 王芳,赵兰香,戴小勇. 中国企业基础研究偏好异质性的影响因素分析[J]. 科研管理, 2021,42(3):12-22 Wang F., Zhao L. X., Dai X. Y. An Analysis of the Determinants of the Preference Heterogeneity of Basic Research of Chinese Firms[J]. Science Research Management, 2021,42(3):12-22
[4] 吴菲菲,李一苇,苗红,等. 中国重点技术领域基础研究成果转化效率评估[J]. 科学学研究, 2021,39(12):2160-2169 Wu F. F., Li Y. W., Miao H., et al. Assessment of Transformation Efficiency of Basic Research Results of Essential Field in China[J]. Studies in Science of Science, 2021,39(12):2160-2169
[5] 于海云,赵增耀,李晓钟,等. 创新动机对民营企业创新绩效的作用及机制研究:自我决定理论的调节中介模型[J]. 预测, 2015,34(2):7-13 Yu H. Y., Zhao Z. Y., Li X. Z., et al. The Role and Mechanism of Innovative Motivation on Private Enterprises’ Performance: A Moderated Mediation Model Based on Self-determination Theory[J]. Forecasting, 2015,34(2):7-13
[6] 成力为,郭园园. 中国基础研究投资的严峻态势及投资强度影响因素的跨国分析[J]. 研究与发展管理, 2016,28(5):63-70 Cheng L. W., Guo Y. Y. Situation of China’s Investment in Basic Research and Multinational Analysis on the Factors of Basic Research Intensity[J]. R&D Management, 2016,28(5):63-70
[7] 高锡荣,刘思念. 企业基础研究行为驱动模型构建[J]. 科技进步与对策, 2018,35(20):64-71 Gao X. R., Liu S. N. Construction of Driving Model to Stimulate Enterprises’ Basic Research Behavior[J]. Science & Technology Progress and Policy, 2018,35(20):64-71
[8] Belenzon S., Patacconi A. How does Firm Size Moderate Firms’ Ability to Benefit from Invention? Evidence from Patents and Scientific Publications[J]. European Management Review, 2014,11(1):21-45
[9] OECD. Frascati Manual 2015[R]. Paris: OECD Publishing, 2015
[10] Bush V. Science: The Endless Frontier[M]. Washington: US Government Printing Office, 1945
[11] 丁大尉,李正风,高璐. 后金融危机时代国外基础科学研究政策的战略转向及启示[J]. 中国软科学, 2015,(2):65-73 Ding D. W., Li Z. F., Gao L. The Strategic Turn in Basic Research Policy of Foreign Counties in the Post Financial Crisis Era and Its Implications[J]. China Soft Science, 2015,(2):65-73
[12] 眭纪刚,连燕华,曲婉. 企业的内部基础研究与突破性创新[J]. 科学学研究, 2013,31(1):141-148 Sui J. G., Lian Y. H., Qu W. The Internal Basic Research and Radical Innovation in Firm[J]. Studies in Science of Science, 2013,31(1):141-148
[13] 程鹏,柳卸林,陈傲,等. 基础研究与中国产业技术追赶——以高铁产业为案例[J]. 管理评论, 2011,23(12):46-55 Cheng P., Liu X. L., Chen A., et al. Basic Research on and the Catch-up of China’s High-speed Rail Industry[J]. Management Review, 2011,23(12):46-55
[14] Leten B., Kelchtermans S., Belderbos R. How does Basic Research Improve Innovation Performance in the World’s Major Pharmaceutical Firms?[J]. Industry and Innovation, 2022,29(3):396-424
[15] Hsu D. H., Hsu P. H., Zhao Q. Rich on Paper? Chinese Firms’ Academic Publications, Patents, and Market Value[J]. Research Policy, 2021,50(9):104319
[16] Nelson R. R. The Simple Economics of Basic Scientific Research[J]. The Journal of Political Economy, 1959,67(3):297-306
[17] 陶长琪,徐茉. 经济高质量发展视阈下中国创新要素配置水平的测度[J]. 数量经济技术经济研究, 2021,38(3):3-22 Tao C. Q., Xu M. Measuring the Allocation Level of China Innovation Elements from the Perspective of Economic High-quality Development[J]. Journal of Quantitative & Technological Economics, 2021,38(3):3-22
[18] 欧庭高,邓旭霞. 创新系统的要素与纽带[J]. 系统科学学报, 2007,(3):37-41 Ou T. G., Deng X. X. The Element and Hinge of Innovation System[J]. Journal of Systems Science, 2007,(3):37-41
[19] 朱苑秋,谢富纪. 长三角大都市圈创新要素整合[J]. 科学学与科学技术管理, 2007,(1):97-100 Zhu Y. Q., Xie F. J. The Integration of Innovation Factors in the Metropolitan Area of Yangtze River Delta[J]. Science of Science and Management of S.& T., 2007,(1):97-100
[20] Steel P., König C. J. Integrating Theories of Motivation[J]. Academy of Management Review, 2006,31(4):889-913
[21] 刘业鑫,吴伟伟,于渤. 技术管理能力对突破性技术创新行为的影响[J]. 科学学研究, 2020,38(5):925-935 Liu Y. X., Wu W. W., Yu B. The Impact of Technology Management Capability on Radical Technological Innovation Behavior[J]. Studies in Science of Science, 2020,38(5):925-935
[22] 吕薇. 从基础研究到原始创新[M]. 北京: 中国发展出版社, 2021 Lv W. From Basic Research to Original Innovation[M]. Beijing: China Development Press, 2021
[23] 谷军健,赵玉林. 中国如何走出科技创新困境?——基于科技创新与人力资本协同发展的新视角[J]. 科学学研究, 2021,39(1):129-138 Gu J. J., Zhao Y. L. How China Move out from the Predicament of S&T Innovation?——A New View of the Synergistic Development of S&T Innovation and Human Capital[J]. Studies in Science of Science, 2021,39(1):129-138
[24] 潘雄锋,韩翠翠,李昌昱. 科技基础设施投入与技术创新的交互效应[J]. 科学学研究, 2019,37(7):1326-1333 Pan X. F., Han C. C., Li C. Y. Interaction between Technological Infrastructure Investment and Technological Innovation[J]. Studies in Science of Science, 2019,37(7):1326-1333
[25] 吕先志,王瑞丹. 科技基础条件对区域科技创新促进作用实证研究[J]. 科技进步与对策, 2013,30(16):23-25 Lv X. Z., Wang R. D. Empirical Research on the Activities of S&T Infrastructure to the Regional S&T Innovation[J]. Science & Technology Progress and Policy, 2013,30(16):23-25
[26] 黎文靖,郑曼妮. 实质性创新还是策略性创新?——宏观产业政策对微观企业创新的影响[J]. 经济研究, 2016,51(4):60-73 Li W. J., Zheng M. N. Is It Substantive Innovation or Strategic Innovation?——Impact of Macroeconomic Policies on Micro-enterprises’ Innovation[J]. Economic Research Journal, 2016,51(4):60-73
[27] 杜宏巍,张东生. 企业技术创新体系设计[J]. 科学学研究, 2004,(S1):146-152 Du H. W., Zhang D. S. Devisal of Technology Innovation System[J]. Studies in Science of Science, 2004,(S1):146-152
[28] 杨立岩,潘慧峰. 人力资本、基础研究与经济增长[J]. 经济研究, 2003,(4):72-78 Yang L. Y. Pan H. F. Human Capital, Basic Scientific Research and Economic Growth[J]. Economic Research Journal, 2003,(4):72-78
[29] Ergas H. Does Technology Policy Matter?[M] //Guile B. R., Brooks H.(Eds.). Technology and Global Industry: Companies and Nations in the World Economy. Washington, DC: National Academy Press, 1987
[30] Salter A. J., Martin B. R. The Economic Benefits of Publicly Funded Basic Research: A Critical Review[J]. Research Policy, 2001,30(3):509-532
[31] 蒋舒阳,庄亚明,丁磊. 产学研基础研究合作、财税激励选择与企业突破式创新[J]. 科研管理, 2021,42(10):40-47 Jiang S. Y., Zhuang Y. M., Ding L. Industry-University-Institute Basic Research Cooperation, Selection of Fiscal and Tax Incentives and Breakthrough Innovation of Enterprises[J]. Science Research Management, 2021,42(10):40-47
[32] 仲伟俊,梅姝娥,谢园园. 产学研合作技术创新模式分析[J]. 中国软科学, 2009,(8):174-181 Zhong W. J., Mei S. E., Xie Y. Y. Analysis of the Technological Innovation Model of Industry-University-Research Cooperation[J]. China Soft Science, 2009,(8):174-181
[33] 李雯,夏清华. 创业行为形成机理:感知合意性与感知可行性的交互效应[J]. 管理学报, 2013,10(9):1338-1344 Li W., Xia Q. H. The Formation Mechanism of Entrepreneurial Behavior: The Interaction Effect between Perceived Desirability and Perceived Feasibility[J]. Chinese Journal of Management, 2013,10(9):1338-1344
[34] Ragin C. The Comparative Method: Moving Beyond Qualitative and Quantitative Strategies[M]. London: University of California Press, 1989
[35] 郭元源,贺易宁,邓晓慧. 基于QCA方法的创新资源诅咒治理模式研究[J]. 科研管理, 2019,40(4):83-91 Guo Y. Y., He Y. N., Deng X. H. Governance Model of Innovation Resources Curse Based on the QCA Method[J]. Science Research Management, 2019,40(4):83-91
[36] 杜运周,李佳馨,刘秋辰,等. 复杂动态视角下的组态理论与QCA方法：研究进展与未来方向[J]. 管理世界, 2021,37(3):180-197 Du Y. Z., Li J. X., Liu Q. C., et al. Configurational Theory and QCA Method from a Complex Dynamic Perspective: Research Progress and Future Directions[J]. Journal of Management World, 2021,37(3):180-197
[37] 王德东,房韶泽,王新成. 组织因素对重大工程项目绩效影响研究[J]. 管理评论, 2021,33(1):242-253 Wang D. D., Fang S. Z., Wang X. C. Research on the Effect of Organizational Factors on the Mega-project Performance[J]. Management Review, 2021,33(1):242-253
[38] 朱志红,高洁,徐平,等. 石油石化上市公司研发投入对成长性影响研究[J]. 科研管理, 2020,41(10):145-155 Zhu Z. H., Gao J., Xu P., et al. A Research on the Impact of R&D Investment on the Growth of Petroleum and Petrochemical Listed Companies[J]. Science Research Management, 2020,41(10):145-155
[39] 杜运周,刘秋辰,程建青. 什么样的营商环境生态产生城市高创业活跃度？——基于制度组态的分析[J]. 管理世界, 2020,36(9):141-155 Du Y. Z., Liu Q. C., Cheng J. Q. What Kind of Ecosystem for doing Business will Contribute to City-level High Entrepreneurial Activity? A Research Based on Institutional Configurations[J]. Journal of Management World, 2020,36(9):141-155
[40] 方齐,谢洪明. 科技成果转化政策供给与政策协调的组态效应[J]. 科学学研究, 2022,40(6):991-1000 Fang Q., Xie H. M. Configuration Effects of Policy Supply and Policy Coordination for Technology Transfer[J]. Studies in Science of Science, 2022,40(6):991-1000
[41] 谭海波,范梓腾,杜运周. 技术管理能力、注意力分配与地方政府网站建设——一项基于TOE框架的组态分析[J]. 管理世界, 2019,35(9):81-94 Tan H. B., Fan Z. T., Du Y. Z. Technical Management Capability, Attention Allocation, and Local Government Website Construction——A Configuration Analysis Based on TOE Framework[J]. Journal of Management World, 2019,35(9):81-94
[42] 程建青,罗瑾琏,杜运周,等. 何种创业生态系统产生女性高创业活跃度?[J]. 科学学研究, 2021,39(4):695-702 Cheng J. Q., Luo J. L., Du Y. Z., et al. What Kind of Entrepreneurial Ecosystem Can Produce Country-level Female High Entrepreneurial Activity?[J]. Studies in Science of Science, 2021,39(4):695-702
[43] 杨小婉,朱桂龙,吕凤雯,等. 产学研合作如何提升高校科研团队学者的学术绩效?——基于行为视角的多案例研究[J]. 管理评论, 2021,33(2):338-352 Yang X. W., Zhu G. L., Lv F. W., et al.How can the University-Industry Collaboration Improve the Academic Performance of Researchers from University Scientific Research Teams—Multiple Case Study Based on Behavioral Perspective”[J]. Management Review, 2021,33(2):338-352