量大面广的中小企业在社会经济发展和国家技术创新能力提升中起着不可 替代的作用。单纯依靠吸引外资（FDI）、技术引进和模仿的创新发展战略显然已 经难以适应新时代创新型国家建设发展的需求。以渐进式创新发展思路不断增强 企业吸收能力和创新能力才是根本之道。 本文从企业吸收能力的视角，以 HZDX 开发区 28 家企业构成的企业群作为研 究对象，测度异质性企业在探索性学习、转换性学习和开发性学习能力方面分化 特征，据此将 28 个异质性企业划分为自主创新型企业（以 ZJGB 标注）和跟随 模仿型企业（HZXT）二大类型，剖析其在学习、吸收和创新方面存在的差异， 甄别“问题企业”和“企业问题”，进而采用 QCA 分析方法，探究事件结果发 生与创新要素条件组合之间的逻辑关系，并在异质性企业创新能力提升运作匹配 模式选取上起到了关键性作用。研究内容无疑是对改进企业学习、吸收和创新能 力的理论与方法体系作了有益探索，具有一定的理论价值和实践指导意义。通过 研究发现，一是园区内自主创新型企业和跟随模仿型企业并存现象明显；二是企 业创新能力的差异主要来源于企业发展战略和学习能力的所处阶段，其次是创新 组织；三是影响异质性企业创新能力提升的三种路径和要素组合，以此作为 HZDX 园区异质性企业提升企业创新能力适配运作模式。 通过研究得到以下几点启示，一是确立企业创新驱动发展战略。中小企业要 实现战略思想转变，以增强核心创新能力为目标，真正把提高核心创新能力作为 企业发展的战略基点。二是加大企业创新人才的培养。优化人才结构，提高人才 队伍素质，为提高企业核心创新能力提供组织和智力保证。三是营造良好的创新 生态系统，要通过多元渠道，广泛吸收社会资金投入科技成果开发和成果转化， 激发企业创新活力。浙江工业大学硕士学位论文 基于吸收能力演化特征的企业创新能力提升策略研究 II 关键词，吸收能力, 创新能力, 演化特征, 二元选择模型, QCA 论文类型，应用基础研究浙江工业大学硕士学位论文 基于吸收能力演化特征的企业创新能力提升策略研究 III Research on Strategies of Improving Enterprises' Innovation Ability Based on the Evolution Characteristics of Absorptive Capacity—— Case Analysis of Typical Enterprises ZJGB and HZXT ABSTRACT Large and medium-sized SMEs play an irreplaceable role in social and economic development and the promotion of national technological innovation ability. It is clear that innovation and development strategies that rely solely on attracting foreign investment (FDI), technology introduction and imitation have become difficult to adapt to the needs of the new era of innovative national construction and development. It is the fundamental way to continuously enhance the absorptive capacity and innovation ability of enterprises with the idea of progressive innovation and development. From the perspective of enterprise absorptive capacity, this paper takes the enterprise group composed of 28 enterprises in HZDX Development Zone as the research object, measures the differentiation characteristics of heterogeneous enterprises in exploratory learning, transformational learning and developmental learning capacity, divides the 28 heterogeneous enterprises into two major types of independent innovation enterprises ( marked by ZJGB ) and follow-up imitation enterprises ( HZXT ), analyzes the differences in learning, absorptive and innovation, discriminates " problem enterprises" and " enterprise problems", and then uses QCA analysis method to explore the logical relationship between the occurrence of events and the combination of innovation factors, and improves the innovation capacity of heterogeneous enterprises.The research content is undoubtedly a beneficial exploration of the theory and method system for improving enterprise's learning, absorption and innovation ability, which has certain theoretical value and practical guiding significance.Through the research, it is found that: First, the coexistence of independent innovative enterprises and imitative enterprises in the park is obvious;Second, the difference of enterprise innovation ability mainly comes from the stage of enterprise development strategy and learning ability, followed by innovation浙江工业大学硕士学位论文 基于吸收能力演化特征的企业创新能力提升策略研究 IV organization.The third is the three paths and combinations of factors that affect the improvement of the innovation ability of heterogeneous enterprises, which will serve as an adaptive operation mode for heterogeneous enterprises in HZDX Park to improve their innovation ability. Through the research, we get the following enlightenment: First, establish the enterprise innovation-driven development strategy.Small and medium-sized enterprises should realize the change of strategic thinking, with the goal of strengthening core innovation ability, and truly take improving core innovation ability as the strategic base point for enterprise development.The second is to increase the cultivation of innovative talents in enterprises.Optimize the talent structure, improve the quality of the talent team, and provide organizational and intellectual guarantee for improving the core innovation ability of enterprises.Third, to create a good innovation ecosystem, we should widely absorb social funds to invest in the development of scientific and technological achievements and the transformation of achievements through multiple channels to stimulate the innovation vitality of enterprises. KEY WORDS: Absorptive Capacity; Innovation Capacity; Evolution Characteristics; Binary Selection Model; QCA TYPE OF DISSERTATION / THESIS: Application Fundamentals浙江工业大学硕士学位论文 基于吸收能力演化特征的企业创新能力提升策略研究 V 目 录 1 绪论 ................................................... 1 1.1 研究背景 ......................................................1 1.1.1 问题提出 ..................................................1 1.1.2 中国创新能力在全球经济体中的位置 ..........................2 1.2 研究目的 ......................................................3 1.2.1 理论价值 ..................................................3 1.2.2 实际应用价值 ..............................................3 1.3 研究内容 ......................................................4 1.4 论文结构 ......................................................5 1.5 研究思路与研究方法 ............................................5 1.5.1 研究思路 ..................................................5 1.5.2 研究方法 ..................................................6 2 文献综述与理论基础 ..................................... 7 2.1 企业吸收能力、创新能力等相关概念 ..............................7 2.1.1 企业吸收能力概念 ..........................................7 2.1.2 企业吸收能力的维度构成 ....................................8 2.1.3 企业创新能力的概念及其测度 ...............................10 2.2 国内外研究现状分析 ...........................................13 2.2.1 国外有关企业吸收能力与创新能力关系研究 ...................13 2.2.2 国内有关企业吸收能力与创新能力关系研究 ....................15 2.3 相关理论依据 .................................................15 2.3.1 基于企业资源观理论 .......................................15 2.3.2 企业动态能力观理论 .......................................16 2.3.3 企业家理论 ................................................16 3 基于吸收能力演化的企业创新能力提升理论分析架构 ........ 18 3.1 国外吸收能力模型的梳理与评述 .................................18 3.1.1 早期吸收能力模型的提出 ...................................18 3.1.2 吸收能力模型发展脉络 .....................................18 3.1.3 吸收能力模型评述 .........................................21 3.2 吸收能力演化与企业创新能力提升的理论模型架构 .................22 3.2.1 理论模型架构的切入点分析 .................................22 3.2.2 基本假设与理论模型架构 ...................................23 3.3 吸收能力演化与企业创新能力提升的定量分析模型 .................25浙江工业大学硕士学位论文 基于吸收能力演化特征的企业创新能力提升策略研究 VI 3.3.1 模仿跟随抑或自主创新——二元离散选择模型 .................25 3.3.2 创新能力提升策略组合与运作决策——QCA 分析模型............26 4 案例分析与实证研究 .................................... 28 4.1 研究样本选取与典型案例确定 ...................................28 4.1.1 研究样本所在区域概况 .....................................28 4.1.2 研究样本选取及其基本特征..................................29 4.2 问卷设计与数据采集 ...........................................30 4.2.1 问卷调查内容 .............................................30 4.2.2 问卷数据采集 .............................................32 4.2.3 数据无量纲化处理 .........................................32 4.3 企业发展战略、吸收能力与创新能力关系 .........................33 4.3.1 A 园区企业群横向比较的必要性..............................33 4.3.2 学习能力与企业吸收能力横向比较研究 .......................33 4.3.3 企业吸收能力与创新能力横向比较研究 .......................37 4.4 企业创新能力提升影响要因分析 .................................40 4.4.1 基于二元离散模型的企业创新能力提升影响因素分析 ...........40 4.4.2 基于二元离散模型的企业创新能力差异甄别准确率预判 .........42 4.5 本章小结 .....................................................43 5 二类典型企业 ZJGB 与 HZXT 创新能力提升对策研究 .......... 44 5.1 企业吸收能力演进及其企业创新潜力分析 .........................44 5.1.1 企业创新能力提升的基础保障是学习能力 .....................44 5.1.2 异质性企业吸收能力与创新潜力差异 .........................44 5.2 基于 QCA 组态视角企业创新能力提升路径与策略分析 ...............45 5.2.1 基于 QCA 逻辑分析的企业创新能力提升要素组合及其路径分析 ...45 5.2.2 企业创新能力提升适配路径分析 .............................47 5.3 本章小结 .....................................................49 6 结论和启示 ............................................ 50 6.1 研究结论 .....................................................50 6.2 主要启示 .....................................................51