美国实体清单对中国企业创新的影响过程及机理——基于扎根理论的质性研究  

The impact process and mechanism of the US entity list on Chinese enterprise innovation--Qualitative research based on grounded theory

作　　者：徐示波 仲伟俊[1] XU Shi-bo;ZHONG Wei-jun(School of Economics and Management,Southeast University,Nanjing 211189,China;Torch High-Tech Industry Development Center,Ministry of Industry and Information Technology,Beijing 100036,China)

机构地区：[1]东南大学经济管理学院,江苏南京211189 [2]工业和信息化部火炬高技术产业开发中心,北京100036

出　　处：《科学学研究》2024年第8期1735-1747,共13页Studies in Science of Science

摘　　要：实体清单宏观上对我国企业创新产生影响,然而微观视角的影响机理研究少见。本文以28家实体清单相关企业为研究对象,采用扎根理论构建了影响过程机制模型。研究发现:(1)实体清单呈现“打压对象-制裁手段-动态调整”特征规律,包含8种制裁手段;(2)打压短期效应表现为供应链、经营链、研发中断、学术交流,短期效应会逐渐演变为长期效应:需求提升、市场扭曲、创新不足、信息稀缺;(3)政府应对实体清单存在2条关键路径:即紧急舒缓政策→短期效应(供应链+经营链)→预警机制、双需求牵引→长期效应(生产线协同+核心技术研发)→战略突围。研究揭示了实体清单冲击微观企业过程,为政府和企业应对实体清单冲击提供理论指导。On the macro level,the physical inventory has an impact on innovation in Chinese enterprises,but research on the impact mechanism from a micro perspective is rare.This article takes 28 entity list related enterprises as the research object and constructs an impact process mechanism model using grounded theory.Research has found that:(1)the entity list exhibits a characteristic pattern of"suppression targets sanctions means dynamic adjustment",including 8 types of sanctions;(2)The short-term effects of suppression include supply chain,business chain,R&D interruption,and academic exchange.The short-term effects will gradually evolve into long-term effects:increased demand,market distortion,insufficient innovation,and information scarcity;(3)There are two key paths for the government to respond to the list of entities:emergency relief policies→short-term effects(supply chain+business chain)→early warning mechanisms,dual demand traction→long-term effects(production line collaboration+core technology research and development)→strategic breakthroughs.The study reveals the impact of physical inventory on micro enterprise processes,providing theoretical guidance for governments and enterprises to respond to the impact of physical inventory.

关 键 词：实体清单 企业创新主体 技术封锁 关键核心技术攻关 

分 类 号：F270[经济管理—企业管理]