本文關(guān)鍵詞： 社會資本 農(nóng)戶科技創(chuàng)業(yè) 創(chuàng)業(yè)意愿 融資能力 創(chuàng)業(yè)績效　出處：《西南大學(xué)》2017年博士論文　論文類型：學(xué)位論文

【摘要】：轉(zhuǎn)型時期,導(dǎo)入式的經(jīng)濟(jì)造成資源與環(huán)境的雙重壓力,這就迫切要求中國發(fā)展以科技創(chuàng)業(yè)為主導(dǎo)的內(nèi)生型經(jīng)濟(jì)發(fā)展方式。而農(nóng)村經(jīng)濟(jì)作為中國經(jīng)濟(jì)的重要組成部分,農(nóng)戶積極的科技創(chuàng)業(yè)行為才能實現(xiàn)中國創(chuàng)業(yè)型經(jīng)濟(jì)的發(fā)展與創(chuàng)新型國家的建設(shè)。在我國農(nóng)村地區(qū),推動農(nóng)戶以改革與創(chuàng)新為動力的科技創(chuàng)業(yè)行為能夠?qū)崿F(xiàn)農(nóng)民增收、農(nóng)村科技應(yīng)用以及區(qū)域經(jīng)濟(jì)發(fā)展,對突破資源與環(huán)境約束、破除城鄉(xiāng)二元經(jīng)濟(jì)結(jié)構(gòu)、促進(jìn)農(nóng)業(yè)經(jīng)營轉(zhuǎn)型升級以及培育新型農(nóng)業(yè)經(jīng)營體系具有重要的現(xiàn)實意義。農(nóng)戶的科技創(chuàng)業(yè)活動與傳統(tǒng)的農(nóng)業(yè)生產(chǎn)和創(chuàng)業(yè)形式相比要復(fù)雜的多,科技、資本、勞動力和項目都是不可或缺的創(chuàng)業(yè)要素。現(xiàn)代經(jīng)濟(jì)理論重點強調(diào)了創(chuàng)業(yè)資源及其獲取能力是整個創(chuàng)業(yè)過程中極為重要的環(huán)節(jié),并指出創(chuàng)業(yè)資源的異質(zhì)性對創(chuàng)業(yè)活動的影響極為重要。對于物質(zhì)資本與人力資本較為匱乏的農(nóng)戶而言,以關(guān)系網(wǎng)絡(luò)為載體的社會資本對于緩解資源約束和資源配置替代機制的作用趨漸明顯�；诖�,本文引入社會資本這一概念來研究農(nóng)戶科技創(chuàng)業(yè)問題。本文在社會資本理論、創(chuàng)業(yè)資源理論、科技金融理論與要素集聚理論的基礎(chǔ)上,將社會資本與農(nóng)戶科技創(chuàng)業(yè)意愿、融資能力以及創(chuàng)業(yè)績效納入一個統(tǒng)一的分析架構(gòu),探究社會資本的結(jié)構(gòu)維度、網(wǎng)絡(luò)投入與關(guān)系維度三個方面對農(nóng)戶科技創(chuàng)業(yè)意愿、融資能力以及創(chuàng)業(yè)績效的影響路徑與機制,進(jìn)而對比不同維度的社會資本對農(nóng)戶科技創(chuàng)業(yè)行為的作用機理,并通過數(shù)理模型推導(dǎo)提出本文的相關(guān)命題。在此基礎(chǔ)上,本文利用國家軟科學(xué)重大研究計劃項目“農(nóng)村科技創(chuàng)業(yè)金融政策研究”的調(diào)查數(shù)據(jù),綜合運用線性方程模型、分位數(shù)回歸、替代變量法、中介效應(yīng)分析模型等方法,從創(chuàng)業(yè)意愿、融資能力以及創(chuàng)業(yè)績效等多個角度實證檢驗社會資本對農(nóng)戶科技創(chuàng)業(yè)行為的影響,并由此提出促進(jìn)農(nóng)戶科技創(chuàng)業(yè)活動持續(xù)發(fā)展的政策建議。研究的主要結(jié)論第一,農(nóng)戶的科技創(chuàng)業(yè)活動具有特殊性與復(fù)雜性,需要正式制度和非正式制度的協(xié)同支持。農(nóng)戶科技創(chuàng)業(yè)是集科技、資源、機會與創(chuàng)業(yè)者有機結(jié)合的一種系統(tǒng)性行為,具有高風(fēng)險性、投資周期長、市場波動性大和消息不確定性等特點,造成了金融機構(gòu)的大量“惜貸”現(xiàn)象。這就需要有足夠的市場空間和政府提供必要的政策和資金援助,更需要社會服務(wù)部門提供技術(shù)、市場信息、管理咨詢以及投融資等社會化服務(wù),促進(jìn)科技與創(chuàng)業(yè)的有效結(jié)合,推進(jìn)農(nóng)戶科技創(chuàng)業(yè)進(jìn)程,實現(xiàn)農(nóng)村產(chǎn)業(yè)結(jié)構(gòu)的優(yōu)化升級。第二,社會資本從多維度影響農(nóng)戶的科技創(chuàng)業(yè)行為,對農(nóng)戶科技創(chuàng)業(yè)具有綜合效應(yīng)。本文拓展了社會資本理論對農(nóng)戶創(chuàng)業(yè)領(lǐng)域的研究,通過比較社會資本結(jié)構(gòu)維度、網(wǎng)絡(luò)投入以及關(guān)系維度的作用差異,來揭示不同維度的社會資本對農(nóng)戶科技創(chuàng)業(yè)意愿、融資能力以及創(chuàng)業(yè)績效的影響方向和力度。綜合考察農(nóng)戶科技創(chuàng)業(yè)發(fā)展對資金和技術(shù)需求的變化以及社會資本不同維度為科技創(chuàng)業(yè)農(nóng)戶帶來資金和技術(shù)供給的變化。在研究創(chuàng)業(yè)績效時引入“融資能力”這一中介變量,進(jìn)而從社會資本的不同維度來分析其對農(nóng)戶科技創(chuàng)業(yè)績效產(chǎn)生的內(nèi)在影響機制。第三,社會資本通過其資本屬性的資源獲取功能以及制度屬性的行為約束功能來影響農(nóng)戶的科技創(chuàng)業(yè)意愿,且影響作用十分顯著。理論研究發(fā)現(xiàn),社會資本可以通過其資本屬性與制度屬性兩個途徑來影響農(nóng)戶的科技創(chuàng)業(yè)意愿:一是資本屬性的資源獲取功能,資本屬性能夠通過自身所具有的資源傳遞功能來獲取那些極具價值的稀缺資源,以此來提高農(nóng)戶科技創(chuàng)業(yè)的積極性;二是制度屬性的行為約束功能,制度屬性能夠通過該屬性自身的激勵誘導(dǎo)和監(jiān)督獎懲功能來規(guī)范農(nóng)戶的創(chuàng)業(yè)環(huán)境,增強農(nóng)戶的努力程度,進(jìn)而提高農(nóng)戶科技創(chuàng)業(yè)成功的概率。通過構(gòu)建有序多分類回歸模型(orderedlogitmodel)、分位數(shù)回歸模型以及分區(qū)域回歸模型,分析了社會資本對農(nóng)戶科技創(chuàng)業(yè)意愿的影響,研究發(fā)現(xiàn),社會資本的不同維度對農(nóng)戶科技創(chuàng)業(yè)意愿均存在顯著影響;社會資本總體上對不同科技創(chuàng)業(yè)意愿水平上的農(nóng)戶具有顯著的正向影響;不同區(qū)域農(nóng)戶的社會資本對其科技創(chuàng)業(yè)意愿的影響存在顯著差異,其中對西部地區(qū)的影響顯著高于中東部地區(qū)。第四,社會資本的資本屬性具有抵押替代功能,并能夠通過該功能提高科技創(chuàng)業(yè)農(nóng)戶的融資能力,尤其是非正規(guī)渠道的融資能力。通過采用普通最小二乘法(ols)、分位數(shù)回歸以及分區(qū)域回歸來實證檢驗社會資本對融資能力的作用機制,研究結(jié)果顯示:社會資本對科技創(chuàng)業(yè)農(nóng)戶不同渠道的融資能力影響程度各異,其中對非正規(guī)渠道的融資能力影響更為顯著;社會資本對不同渠道融資能力水平的科技創(chuàng)業(yè)農(nóng)戶存在顯著差異,對正規(guī)渠道融資能力較強的農(nóng)戶影響更顯著,對非正規(guī)渠道融資能力較弱的科技創(chuàng)業(yè)農(nóng)戶影響更顯著;不同區(qū)域科技創(chuàng)業(yè)農(nóng)戶的社會資本對其融資能力也存在顯著差異,其中對中東部地區(qū)的影響顯著高于西部地區(qū)。第五,網(wǎng)絡(luò)資源和網(wǎng)絡(luò)關(guān)系的充分利用能夠顯著提高農(nóng)戶科技創(chuàng)業(yè)績效,使科技創(chuàng)業(yè)農(nóng)戶向高績效的創(chuàng)業(yè)區(qū)間邁進(jìn),政治資源和組織資源不但能夠改善和提高科技創(chuàng)業(yè)農(nóng)戶的融資能力和創(chuàng)業(yè)績效,而且不同渠道的融資能力對創(chuàng)業(yè)績效產(chǎn)生的作用也不盡相同。通過采用有序多分類(orderedprobitmodel)和bootstrap檢驗,分析社會資本對創(chuàng)業(yè)績效的影響,以及融資能力是否在兩者之間產(chǎn)生中介作用。實證分析結(jié)果顯示:從結(jié)構(gòu)維度來看,社會地位和信息獲取能力顯著影響農(nóng)戶科技創(chuàng)業(yè)績效,而親朋好友數(shù)量對創(chuàng)業(yè)績效并無顯著影響;從網(wǎng)絡(luò)投入維度來看,資金投入顯著影響農(nóng)戶科技創(chuàng)業(yè)績效,而時間投入對創(chuàng)業(yè)績效的影響并不顯著;從關(guān)系維度來看,非正規(guī)金融機構(gòu)的信任和組織信任顯著影響農(nóng)戶科技創(chuàng)業(yè)績效。在基準(zhǔn)回歸的基礎(chǔ)上通過Bootstrap檢驗來驗證融資能力是否在社會資本和創(chuàng)業(yè)績效之間產(chǎn)生中介作用,實證結(jié)果顯示,正規(guī)渠道融資能力、非正規(guī)渠道融資能力與總的融資能力在兩者之間均存在部分中介效應(yīng)。研究可能的創(chuàng)新第一,基于社會資本理論對農(nóng)戶的科技創(chuàng)業(yè)活動進(jìn)行研究,豐富了創(chuàng)業(yè)領(lǐng)域的研究內(nèi)容,拓展了農(nóng)戶創(chuàng)業(yè)研究的理論視角。以往的研究多關(guān)注社會資本對企業(yè)創(chuàng)業(yè)、農(nóng)民創(chuàng)業(yè)的影響,然而從社會資本這一角度出發(fā)來研究農(nóng)戶科技創(chuàng)業(yè)這一行為實屬空白。本文以社會資本理論為切入點,考察其對科技創(chuàng)業(yè)農(nóng)戶可能產(chǎn)生的影響,詳細(xì)闡述了影響機制。將社會資本的研究融入到農(nóng)戶科技創(chuàng)業(yè)活動的過程中已經(jīng)成為創(chuàng)業(yè)研究領(lǐng)域里必然的發(fā)展趨勢,尤其是科技創(chuàng)業(yè)農(nóng)戶應(yīng)該如何利用和發(fā)展自身的社會資本來提高自己科技創(chuàng)業(yè)活動的效率和方式已然成為本文研究的重點,但目前有關(guān)此類的研究文獻(xiàn)并不多見。本文從我國特殊的國情出發(fā),結(jié)合科技創(chuàng)業(yè)農(nóng)戶所處的特殊文化背景和社會環(huán)境,將社會資本與科技創(chuàng)業(yè)兩者結(jié)合起來,并納入一個分析框架內(nèi)進(jìn)行系統(tǒng)的研究。第二,分析社會資本對農(nóng)戶科技創(chuàng)業(yè)行為的影響機理與路徑,構(gòu)建并驗證科技創(chuàng)業(yè)農(nóng)戶“社會資本-融資能力-創(chuàng)業(yè)績效”的分析模型。根據(jù)以往學(xué)者主要針對社會資本-組織績效、融資能力-創(chuàng)業(yè)績效雙變量關(guān)系研究的局限性,本文以科技創(chuàng)業(yè)農(nóng)戶為考察樣本,在分析“社會資本對創(chuàng)業(yè)績效的影響”時,考慮到融資能力可能是一個中介變量,并對融資能力的中介效應(yīng)進(jìn)行分析,以剖析其通過社會資本對創(chuàng)業(yè)績效的傳導(dǎo)機制,提出了“社會資本-融資能力-創(chuàng)業(yè)績效”的協(xié)同作用模式,將“社會資本-融資能力-創(chuàng)業(yè)績效”三個變量進(jìn)行整合研究,利用中介效應(yīng)模型來探討三組變量之間的作用關(guān)系,形成了較為全面系統(tǒng)的科技創(chuàng)業(yè)農(nóng)戶“社會資本-融資能力-創(chuàng)業(yè)績效”的研究體系,同時也對社會資本理論研究和創(chuàng)業(yè)理論研究進(jìn)行補充和完善。第三,探索社會資本異質(zhì)性對農(nóng)戶科技創(chuàng)業(yè)行為的影響差異。我國科技創(chuàng)業(yè)農(nóng)戶社會資本存量的區(qū)域差異十分顯著,不同區(qū)域科技創(chuàng)業(yè)農(nóng)戶社會資本存量極不平衡。既往的研究多數(shù)為對某一區(qū)域的微觀調(diào)查或者對全國層面創(chuàng)業(yè)農(nóng)戶的整體研究,由此得出的結(jié)論其適用性值得商榷。本文利用“農(nóng)村科技創(chuàng)業(yè)金融政策研究”課題組的微觀調(diào)查數(shù)據(jù),通過采用分位數(shù)回歸與區(qū)域差異分析的方法,探討不同創(chuàng)業(yè)層次和不同區(qū)域農(nóng)戶的社會資本對其創(chuàng)業(yè)行為的影響方向與作用力度,從而有效的把握社會資本作用功能的發(fā)揮路徑,提高政策建議的適用性。
[Abstract]:During the transition period, caused by the dual pressures of resources and the environment into the economic development, there is an urgent requirement to China technology start-ups dominated endogenous economic development. While the rural economy is an important part of China economy, development and implementation of innovative country China entrepreneurial economy positive behavior science and technology entrepreneurship farmers in rural areas of China, science and technology entrepreneurship to promote the farmers reform and innovation as the driving force to increase farmers' income, rural science and technology application and development of the regional economy, to break through the constraints of resources and environment, get rid of the two urban and rural economic structure, promote the transformation and upgrading of agricultural management and has important practical significance to cultivate new agricultural management system. Farmers' science and technology entrepreneurship and the traditional agricultural production and business compared to the more complex, technology, capital, labor and project are not to be Or lack of entrepreneurial elements. Modern economic theory emphasizes the entrepreneurial resources and its ability to obtain the entire business process is an extremely important link, and pointed out the influence of heterogeneity of entrepreneurial resources on entrepreneurial activity is very important. For the material capital and human capital is more scarce agricultural households, with the network as the carrier of social relations the capital to ease the resource constraints and resource allocation mechanism is getting obvious alternative. Based on this, this paper introduces the concept of social capital to study the farmers' technological entrepreneurship questions. In this paper the theory of social capital, entrepreneurial resource theory, financial theory and the basic elements of science and technology agglomeration theory, the social capital and entrepreneurial intention of farmers' technology, financing the ability and entrepreneurial performance into a unified analytical framework, structural dimensions of social capital research, network investment and relationship dimension three aspects of farmer science and technology Entrepreneurial intention, financing ability and entrepreneurial performance mechanism and path mechanism, and then comparing the different dimensions of social capital on entrepreneurial behavior of farmers, and by deriving the mathematical model proposed in this paper. On the basis of this proposition, the national soft science survey data of major research projects "of rural science and technology entrepreneurship financial policy research the comprehensive application of linear model, quantile regression, alternative variables, mediating effect analysis model and other methods, from the angles of entrepreneurial intention, influence financing capability and business performance, the empirical test of social capital on entrepreneurial behavior of farmers, and thus put forward to promote the sustainable development of farmers' technological entrepreneurship major policy recommendations. Conclusions: first, farmers' technological entrepreneurship has particularity and complexity, need formal and informal system co With the support of farmers. Technology innovation is a science and technology, resources, a system of combining behavior and entrepreneurial opportunity, high risk, long investment cycle, the characteristics of market volatility and information uncertainty, resulting in a large number of "credit crunch" phenomenon of financial institutions. It needs to provide the necessary policy with the aid of enough market space and government, provide more social services to technology, market information, management consulting and financing of social services, and promote the effective integration of technology and entrepreneurship, promote entrepreneurship of farmers' technology process, optimizing rural industrial structure upgrade. Second, the social capital from multi dimension effect of science and technology entrepreneurship the farmer, has the comprehensive effects on Farmers' technological entrepreneurship. This paper extends the research on Farmers' entrepreneurial social capital in the field of theory, by comparing the structural dimension of social capital, investment and network The difference of relationship dimension, to reveal the different dimensions of social capital on farmer science and Technology entrepreneurial intention, financing ability and entrepreneurial performance. Changes in direction and intensity of comprehensive investigation of farmer science and technology entrepreneurship development of capital and technology demand and different dimensions of social capital bring capital and technology supply for farmers. The introduction of "science and technology entrepreneurship financing ability" the intermediary variable in the study of entrepreneurial performance, and then from the different dimensions of social capital to analyze the internal mechanism of the technology on Farmers' entrepreneurial performance. Third, social capital through the capital attribute of resource acquisition function and system attribute behavior constraint function to influence the technology entrepreneurial willingness of farmers, and the effect is very significant theoretical study found that social capital can affect farmers through its capital attributes and system attributes of two ways of science and technology Entrepreneurial intention: one is the nature of the capital resource acquisition function, capital property can get those valuable scarce resources by themselves with the resource transfer function, in order to improve the enthusiasm of farmers to science and technology entrepreneurship; two is the system attribute behavior constraint function, system attributes through the incentive and supervision of their own property punishment function to standardize the household environment, enhance the effort of farmers, and improve the probability of farmers entrepreneurial success. By constructing the ordinal regression model (orderedlogitmodel), quantile regression model and regional regression model, analyzes the influence of social capital on Farmers' willingness to venture technology research found that different dimensions of social capital there is a significant impact on the willingness of farmers entrepreneurial technology; social capital of different science and technology level of farmers with entrepreneurial intention A significant positive effect; there were significant differences between different regions of farmer's social capital on its technology entrepreneurial intention, the impact on the western region was significantly higher than that in the Middle East. In fourth, the capital attribute of social capital has a mortgage replacement function, and through the work of science and technology entrepreneurship can improve the farmer's financing ability, especially the informal the channels of financing capacity. By using ordinary least squares (OLS), quantile regression and partition back mechanism return empirical test of social capital on financing ability, research results show that the different effects of social capital on technological entrepreneurship of farmers of different financing channels, the informal channels of financing capacity effect is more remarkable. There are significant differences; technological entrepreneurship of farmers on the different channels of financing ability level of social capital, the formal channels of financing ability of the farmers. Sound is more significant, for non formal channels of financing ability of farmers' technology entrepreneurship more significant influence; different regional science and Technology entrepreneurial farmers social capital have significant difference on its financing capacity, the impact on the Middle East was significantly higher than that in the western region. In fifth, the network resources and make full use of the network can significantly improve the performance of farmers the science and technology technology entrepreneurs, entrepreneurial farmers to move to a high performance business range, improve science and Technology entrepreneurial farmers financing ability and entrepreneurial performance can not only political and organizational resources and different channels of financing ability on the entrepreneurial performance function is also different. By using the ordinal (orderedprobitmodel) and bootstrap test and the influence of social capital on entrepreneurial performance, and whether the financing ability of intermediary effect between them. The empirical analysis results show that From the perspective of structure, social status and the ability to obtain information technology significantly affected farmers' entrepreneurial performance, and the number of friends and family have no significant influence on entrepreneurial performance; from the network input dimension, capital investment significantly affected farmers' science and Technology entrepreneurial performance, and time investment impact on entrepreneurial performance is not significant; from the perspective of relationship, informal finance the mechanism of trust and organizational trust has a significant impact on Farmers' Technology entrepreneurial performance. Based on the benchmark regression through the Bootstrap test to verify whether the financing ability of intermediary effect between social capital and entrepreneurial performance. The empirical results show that the ability of formal financing channels, non formal channels of financing capacity and total financing ability are part of the mediating effect in both between the first possible innovation. Research, technological entrepreneurship of farmers based on social capital theory research, rich The research content of the field of entrepreneurship, expanding from the perspective of farmer entrepreneurship research. Past research about entrepreneurial social capital on enterprise, affecting farmers entrepreneurship, however, started to study the behavior of farmers science and technology entrepreneurship is blank from the angle of social capital. This paper takes social capital theory as the starting point, the influence of the the science and Technology entrepreneurial farmers, elaborate the influence mechanism. Will be integrated into the research of social capital to the inevitable trend of development in the field of entrepreneurship research has become the process of farmer science and Technology entrepreneurial activities, especially in science and Technology entrepreneurial farmers should be how to use and develop their own social capital to improve the efficiency and manner of their scientific and technological activities already has become the focus of this paper, but the current research literature on this rare. This paper from China's special national conditions, combined with the science and technology industry The farmers of the special cultural background and social environment, the social capital and technology innovation combination, and the systematic research into an analysis frame. Second, analysis of the mechanism and path of influence on entrepreneurial behavior of farmers social capital analysis, model construction and validation of science and Technology entrepreneurial farmers "social capital financing ability - entrepreneurialperformance". According to the previous scholars mainly for social capital and organizational performance, study limitations of entrepreneurial performance bivariate relationships - financing ability, this paper examines the sample with science and Technology entrepreneurial farmers, in the analysis of social capital on entrepreneurial performance effect ", taking into account the financing capacity may be a mediator and analyze the financing capacity of the intermediary effect, to analyze the conduction mechanism through social capital on entrepreneurial performance, put forward the" social capital - financing ability - entrepreneurialperformance "Co The same mode of action, the "social capital - financing ability and entrepreneurial performance" three variables to integrate research, to explore the role of the relationship between three groups of variables by mediating effect model, formation of a more comprehensive system of farmer science and Technology entrepreneurial social capital financing ability - entrepreneurial performance "of the system, but also added and improve the research on social capital theory and entrepreneurship theory. Third, explore the influence of social capital heterogeneity on entrepreneurial behavior of farmers. The differences of regional differences of China's science and Technology entrepreneurial farmers social capital is very significant, different regional science and Technology entrepreneurial farmers social capital is extremely uneven. Most of the previous research on a microscopic investigation the regional or national level of entrepreneurial farmers to the whole research, the conclusion of its applicability is questionable. The" rural science and Technology Entrepreneurial Finance Administration The micro survey data policy research group, by using the method of regression analysis and regional difference in number, direction of different levels and influence of entrepreneurial farmers in different regions of the social capital of entrepreneurial behavior and the role of efforts to play the role of social capital in order to grasp the path function effectively, improve the applicability of the policy recommendations.

【學(xué)位授予單位】：西南大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2017
【分類號】：F323.3
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本文編號：1455215