我国政府制度性资源对IT中小企业创新影响：基于效果逻辑理论的多阶段视角

In China, political institutions (i.e., government and its agencies) act as a major force in defining and mobilizing resources. Small and medium IT firms (IT SMEs) endeavor to obtain resources from political institutions, named as political institutional resources (PIRs), to overcome insurmountable handicap of resource deficiency and to reduce the risk of innovation. However, how PIRs matter remains unclear. Prior studies often regarded the intra-firm process of innovation as a "black-box", and only focused on whether firms' innovation outputs change as reaction to government's innovation policies. They overlooked that IT SMEs may have an effectual approach of innovation process, and are heterogeneous in their strategy and ability to utilize PIRs. Acknowledging this gap, this research project examines the influences of PIRs on IT SMEs by opening the black-box of their innovation process. Drawing on the Effectuation theory, we divide IT innovation process into four stages, and develop theoretical models at each stage to explain how different PIRs interact with each other in shaping firms' innovation performance in that stage. We provide deep insights to see whether PIRs at different stages would also interact with each other and have synergic effects on firms' innovation performance. Furthermore, we also examine how PIRs' effects are contingent on firms' internal and external resources. The results of this study are expected to expand upon the growing research in IT innovation strategy in China by developing a process perspective on IT SME's innovation process. It will provide valuable knowledge to IT SMEs by improving their understanding of how to leverage PIRs in China. It will also help Chinese government to advance PIRs to achieve its goal of increasing the level of economic activity and technological development of the nation.

我国IT中小企业是IT行业创新的重要生力军。为降低其创新风险，我国政府投入大量制度性资源。然而，如果不了解IT中小企业创新过程，政府制度性资源很可能反而约束IT中小企业创新。现有研究多把企业内部创新过程当成"黑箱"，尤其对IT中小企业在充满变化的创新过程中如何运用政府制度性资源缺乏研究。因此，本课题引入效果逻辑理论，构建IT中小企业创新过程多阶段模型；在多阶段模型基础上，既研究在各阶段内部，政府制度性资源如何各自影响和交互影响IT中小企业创新过程，也研究在跨阶段间，各种政府制度性资源之间的交互作用。最后界定IT中小企业内外部情境因素，研究其对政府制度性资源的调节作用。研究成果将发展与完善具有我国特色的IT中小企业创新战略理论，揭示我国政府制度性资源对IT中小企业创新的影响机制和路径。研究成果也将帮助IT中小企业理解如何有效利用政府制度性资源实现创新，并帮助政府加强制度性资源优化配置。

在国家自然科学基金的资助下,本项目针对我国政府制度性资源对IT中小企业创新的影响展开了系列研究。在分析和借鉴国内外已有研究的基础上，综合运用文献研究、案例分析、二手数据实证分析等方法，建立了IT中小企业创新过程分阶段模型，剖析了不同类型的政府制度性资源的作用机理，探讨了政府制度性资源与各类IT中小企业资源的交互机制。.采集了我国中小板、创业板2004-2015年所有上市的IT中小企业数据，研究发现：（1）在技术创新阶段，探索性、利用性基金对企业技术创新绩效有着不同影响，且受到企业内外部研发经历的不同调节；具体而言，探索型创新资助对创新的影响会随着企业内部研发经历的增加而减弱，这种减弱的调节效果又会被企业外部研发经历而削弱，而利用型创新资助对创新的影响会随着企业内部研发经历的增加而增强，但这种增强的调节效果也会被企业外部研发经历而削弱。（2）在技术创业阶段，研发类、非研发类基金对企业上市传递的信号不一，且受到企业所有权及专利强度所调节；具体而言，研发类资助对企业上市绩效呈倒U型关系，且会被企业所有权及专利强度所调节，而非研发类资助对企业上市绩效呈正向关系，且不受上述调节变量影响。.通过本项目的研究，为我国政府在企业不同阶段合理配置创新资源提供了有区分度的理论依据，并建立了政府创新资助与IT企业资源交互的全新框架，具有积极的学术意义。实践上，帮助政府洞悉IT行业的创新过程，提高针对IT行业的创新激励决策效率与服务水平提供了相关的政策建议，也为IT中小企业在获取和配置合适的政府制度性资源方面提出了管理策略建议。