从国家主导重组到技术能力形成：中国中央国有企业的组织机制、组态路径与创新结果

Abstract

State-led restructuring is widely used to concentrate strategic assets, reduce duplication, and accelerate technological upgrading, yet a formal merger changes organizational boundaries more quickly than it creates technological capability. This thesis explains how and under what conditions restructuring of China’s central state-owned enterprises moves beyond administrative consolidation. It develops a Restructuring-to-Capability framework that distinguishes four linked but non-equivalent outcomes: administrative scale, patent-based innovation output, technological capability formation, and external strategic positioning. The framework identifies strategic targeting, operative governance authority, directional resource redeployment, technical-interface integration, and routinized coordination as the principal organizational transformations between a restructuring decision and a durable capability outcome. The study uses a qualitative-dominant sequential mixed-method design. First, process tracing and structured comparison examine five centrally directed restructurings involving CRRC, China State Shipbuilding Corporation, Sinochem Holdings, China Rare Earth Group, and China Electronics Technology Group Corporation. The cases reveal substantial variation after formally similar interventions. Capability advances where headquarters or a delegated technical body can settle contested allocation decisions, protect long-cycle investment, move resources across inherited unit boundaries, and embed cooperation in repeatable routines. Outcomes remain partial, stalled, or indeterminate where formal authority does not become operative, legacy liabilities absorb pooled resources, or ownership fails to create usable control over knowledge and technical interfaces. Second, necessary condition analysis and dynamic fuzzy-set qualitative comparative analysis examine 2,590 firm-year observations from 183 listed enterprises affiliated with 28 central enterprise groups during 2005–2023. No single condition is strictly necessary for high patent-based output. Instead, six configurations form three broader families organized around competitive discipline, strategic urgency, and resource conversion. Their changing temporal prominence indicates that the institutional environment of restructuring evolved across reform phases. These results identify configurational association rather than point-identified causal effects. Integration of the two components shows why patent output and capability evidence should not be collapsed. Convergence is strongest when strategic pressure is translated into specific capability targets and supported by investment protection and internal coordination. Divergence can arise from inherited patent trajectories, scale, policy-induced patenting, unobserved technical routines, or lags between internal learning and visible output. The thesis therefore concludes that restructuring is an enabling intervention, not an innovation treatment. Its contribution is to relocate explanation from ownership and transaction completion to the organizational mechanisms and institutional configurations that convert formal control into sustained technological effort.