基于研究联合体的国家自主创新示范区企业转型升级评价——2016—2020年1827家上市公司的实证分析

Evaluation on the Enterprise Transformation and Upgrading of National Independent Innovation Demonstration Zone Based on RJVs:An Empirical Analysis of 1827 Listed Companies from 2016 to 2020

作为引领区域创新发展的前沿阵地,国家自主创新示范区企业必须率先实现高质量转型升级,以支撑示范区充分发挥其创新引领和辐射带动作用。基于扎根理论,对11个典型案例进行研究,得到具体影响因素,在此基础上构建研究联合体视角下国家自主创新示范区企业转型升级评价指标体系,并运用AHP-熵权组合赋权模型对2016—2020年中国1827家A股制造企业进行实证研究。结果发现:示范区企业转型升级综合指数整体较低,企业转型升级水平具有较大提升空间;东中西部示范区企业转型升级水平存在较大差距且呈现扩大趋势;南北部示范区企业转型升级不存在显著差异,制造业为主的南部示范区企业转型升级水平较高;示范区企业转型升级受研发创新协同的影响较大,后者是示范区企业转型升级的主要影响因素。鉴于此,国家层面应健全以政府为主导的示范区企业支持政策体系;示范区层面应积极落实国家重大区域发展战略,以培育高精尖人才科研团队、搭建智能化研究联合体为发力点;企业层面以示范区企业研究联合体作为新引擎,聚焦示范区企业核心技术难题,促进示范区企业高质量创新发展。

Since Zhong Guancun was approved by the State Council to establish the first National Innovation Demonstration Zone(NIDZ)in 2009,after 13 years of development and construction,NIDZs have become the pioneer and experimental zones to drive the high-quality development of innovation in China.Enterprises in NIDZ are in the leading position of regional innovation development,and they are expected to take the lead in completing the transformation and upgrading.However,there are problems in the development of NIDZ,such as the low position of the innovation chain and the imperfect connection of the industrial chain.These problems seriously hinder the rapid development of enterprises in NIDZ,and there is an urgent need of new development ideas.The collaborative paradigm of a research joint ventures(RJVs)with important features such as collaborative R&D,multi-dimensional competition,sharing of results and high matching has explored a new path to collaborative R&D and reduce the waste of resources for the transformation and upgrading of enterprises in NIDZ.The purpose of this paper is to evaluate the transformation and upgrading capabilities of enterprises in NIDZ based on the perspective of RJVs.There are two research methods in this study.The first method of multi-case study is used to root out the transformation and upgrading of manufacturing enterprises in NIDZ to obtain the factors influencing the transformation and upgrading capacity of enterprises in NIDZ.Then on the basis of constructing an evaluation index system for the transformation and upgrading of enterprises in NIDZ from the perspective of RJVs,the AHP-entropy weight combination empowerment model is used to evaluate the 1827 A-share manufacturing enterprises in NIDZ from 2016 to 2020 about the transformation and upgrading capabilities.Firstly,according to the CSMAR databasethe study obtains all A-share listed companies classified as manufacturing in the 2012 version of the China Securities Regulatory Commission from 2016 to 2020.Then it matches all enterprises with NIDZ one-to-one according to the registered address of the company through manual screening.Only the sample of listed companies within the required range was retained,companies with missing data of the main variables were excluded,and finally 1827 listed companies in the A-share manufacturing industry were obtained as the research samples.The research conclusions of this paper are as follows.(1)The comprehensive index of enterprise transformation and upgrading in NIDZ is generally low.The level of enterprise transformation and upgrading has a large room for improvement.(2)There is still a big gap in the level of transformation,upgrading and development of enterprises in Eastern,Central and Western NIDZ,and the development gap is gradually widening.(3)There is no obvious difference in the level of enterprise transformation and upgrading between the northern and southern NIDZ.Due to the predominance of manufacturing industries,the southern NIDZ has a slightly higher level of transformation and upgrading of enterprises.(4)R&D innovation synergy is the main factor affecting the transformation of enterprises in NIDZ.This study makes the following innovations.(1)Based on the characteristics that RJVs can drive enterprises in NIDZ to develop upstream in the value chain,this study construct an evaluation system for the transformation and upgrading capabilities of enterprises in NIDZ from the perspective of RJVs.(2)By taking root in the cases of enterprises in the demonstration zone that have achieved good results in transformation and upgrading at the current stage,we can identify the influencing factors that affect the transformation and upgrading capabilities of enterprises in NIDZ.Based on the perspective of RJVs,a theoretical analysis framework for improving the transformation and upgrading capabilities of enterprises in NIDZ is constructed.This can not only enrich the research content of NIDZ,but also provide new theoretical support for the research on the transformation and upgrading of enterprises in NIDZ.(3)Using the AHP-entropy weight combination weighting model,we evaluate the transformation and upgrading capabilities of enterprises in NIDZ and propose targeted development countermeasures based on typical cases and domestic and foreign experience.