I 摘要 国家实施创新驱动战略以来，新型研发机构作为科技机制体制创新的有力抓手被 提到了前所未有的战略高度，各个地区都在如火如荼地改善新型研发机构的建设。新 型研发机构类似于一个创新生态系统，能有效克服一直以来面临的科技与经济相脱离 的创新难题。但由于新型研发机构数量分布不均、质量参差不齐，有部分机构存在自我 造血能力不足、创新效率低下等发展问题，其如何提升创新绩效实现可持续发展引起 了人们的重视。关于其创新绩效的研究也日渐增多，却主要以单一要素的线性关系研 究为主，缺乏不同要素的组态视角研究，即不同创新要素通过哪些条件组合来实现创 新绩效的提升。于是新型研发机构如何实现创新绩效的提升是本文的研究重点，对于 提升新型研发机构创新绩效和实现机构可持续发展有重要的指导意义。 本文采用文献研究法，对新型研发机构内部创新主体、资源等要素进行理论分析， 为后续研究奠定理论基础；随后引入TOE框架，结合技术、组织和环境三个层面提出 新型研发机构创新绩效的整合性分析框架，构成了定性比较分析的前提和基础；从组 态视角出发，采用模糊集定性比较分析方法，厘清提升新型研发机构创新绩效的影响 因素的组合以及条件替代关系，研究发现，以技术、组织、环境不同层面的要素为核心 的多元组态能够通过不同的方式来实现创新绩效的提升。 本文结合TOE框架从技术、组织、环境层面衍生出高层次人才、技术基础设施、 组织规模、研发经费投入、研发人员投入、地区经济发展水平、政府经费支持七个条件 展开分析，得到了组织规模是影响新型研发机构创新绩效的核心条件和四条组合构型： （1）组织协同型：地区经济发展水平高的地区，组织规模大且有完善的技术基础设施 的机构能够实现高创新绩效；（2）组织聚集环境支撑型：经济水平发达的地区加大研发 经费投入可以提升创新绩效；（3）技术支撑环境促进型：在经济发展水平欠发达的地 区，加大政府经费支持力度以及完善技术基础设施也能够实现高创新绩效；（4）全面协 同型：新型研发机构实现创新绩效的提升需技术、组织和环境层面的有机协调，且技术 条件和环境条件健全的体系下，组织规模大的机构往往更易实现高创新绩效。并通过 条件间的替代关系发现，研发经费投入和政府支持作为可控条件，能够克服组织规模、 地区经济发展水平等客观条件的制约，成为提升创新绩效的有效可行方式。 本文结合新型研发机构的特点，提出了提升新型研发机构创新绩效的整合性分析 广东工业大学硕士学位论文 II 框架，及对案例进行组态分析得到了提升创新绩效的不同组合类型；本文的研究结论 能够深化对新型研发机构发展背后多重因素间复杂互动本质的理性认识，并为新型研 发机构如何提升创新绩效实现可持续发展提供了参考。 关键词：新型研发机构 创新绩效 TOE 定性比较分析 组态分析 ABSTRACT III ABSTRACT Since the implementation of the innovation-driven strategy by the country, new R&D institutions have been mentioned as an unprecedented strategic height as a powerful starting point for technological and institutional innovation. Various regions are in full swing to improve the construction of new R&D institutions. The new R&D institution is similar to the innovation ecosystem. It effectively overcoming the innovation problems that have been facing the separation of science and technology and economy. However, due to the uneven distribution of the number of new R&D institutions and uneven quality, some institutions have development problems such as insufficient self-blood production capacity and low innovation efficiency. How to improve innovation performance and achieve sustainable development has attracted people's attention. The research on its innovation performance is also increasing day by day, but it is mainly based on the linear relationship research of a single element, and it lacks the configuration perspective study of different elements, that is, the combination of conditions of different innovation elements to improve innovation performance. Therefore, how to achieve the improvement of innovation performance of new R & D institutions with different characteristics is the research focus of this article, which has important guiding significance for improving the innovation performance of new R & D institutions and achieving sustainable development of the institution. In this paper, the literature research method is used to theoretically analyze the internal innovation subjects, resources and other elements of the new R&D institution, which lays the theoretical foundation for subsequent research; then the TOE framework is introduced, and the integration of innovation performance of the new R&D institution is proposed in combination with the three levels of technology, organization and environment. The qualitative analysis framework constitutes the premise and foundation of qualitative comparative analysis; from the perspective of configuration, the fuzzy set qualitative comparative analysis method is used to clarify the combination of factors affecting the innovation performance of new R&D institutions and the conditional substitution relationship. The multi-level configuration with the core elements of different levels of technology, organization and environment can achieve the improvement of innovation performance in different ways. This article combines the seven conditions of TOE framework to derive talent 广东工业大学硕士学位论文 IV resources, technical infrastructure, organization scale, R&D funding investment, R&D personnel input, regional economic development level, and government funding support from the technical, organizational, and environmental levels. The organization scale is The core conditions and four combination configurations that affect the innovation performance of new R&D institutions: (1) Organizational coordination type: In areas with high regional economic development levels, organizations with large organizational scale and complete technical infrastructure can achieve high innovation performance; (2) Organizational aggregation environment-supported type: Increased investment in R&D funds can improve innovation performance in regions with developed economic levels; (3) Technology-supported environment-driven type: In areas with less developed economic development, increase government funding support and improve the technical foundation facilities can also achieve high innovation performance; (4) Fully collaborative type: the improvement of innovation performance of new R&D institutions requires organic coordination at the technical, organizational and environmental levels, and under the system of sound technical and environmental conditions, large-scale organizations It is often easier to achieve high innovation performance. And through the substitution relationship between the conditions, it was found that R&D funding and government support as controllable conditions can overcome the constraints of organizational conditions, regional economic development levels and other objective conditions, and become an effective and feasible way to improve innovation performance. Based on the characteristics of different new R&D institutions, this paper proposes an integrated analysis framework to improve the innovation performance of new R&D institutions, and configuration analysis of cases to obtain different types of combinations to improve innovation performance; the conclusions of this paper can deepen the research and development of new R&D institutions. The rational understanding of the complex and interactive nature of multiple factors behind institutional development provides a reference for how new R&D institutions can improve innovation performance and achieve sustainable development. Key words: The new R&D institutions；Innovation performance；TOE；QCA； Configuration analysis 目录 V 目录 摘要 ......... I ABSTRACT ........................ III 目录 ....... V CONTENTS ........................ IX 第一章 绪论 ......................... 1 1.1 研究背景及意义 .......... 1 1.1.1 研究背景 ........... 1 1.1.2 研究意义 ........... 3 1.2 研究目标与内容 .......... 4 1.2.1 研究目标 ........... 4 1.2.2 研究内容 ........... 4 1.3 研究方法与技术路线 .. 5 1.3.1 研究方法 ........... 5 1.3.2 技术路线 ........... 6 第二章 相关理论及文献综述 ............................ 7 2.1 创新生态系统理论 ...... 7 2.2 资源依赖理论 ............ 11 2.3 新型研发机构相关研究 ........................... 13 2.3.1 国外发展现状研究 ........................ 13 2.3.2 国内发展现状研究 .............