社会资本对农户科技创业的影响研究

发布时间：2018-01-22 16:52

  本文关键词： 社会资本 农户科技创业 创业意愿 融资能力 创业绩效　出处：《西南大学》2017年博士论文　论文类型：学位论文

【摘要】：转型时期,导入式的经济造成资源与环境的双重压力,这就迫切要求中国发展以科技创业为主导的内生型经济发展方式。而农村经济作为中国经济的重要组成部分,农户积极的科技创业行为才能实现中国创业型经济的发展与创新型国家的建设。在我国农村地区,推动农户以改革与创新为动力的科技创业行为能够实现农民增收、农村科技应用以及区域经济发展,对突破资源与环境约束、破除城乡二元经济结构、促进农业经营转型升级以及培育新型农业经营体系具有重要的现实意义。农户的科技创业活动与传统的农业生产和创业形式相比要复杂的多,科技、资本、劳动力和项目都是不可或缺的创业要素。现代经济理论重点强调了创业资源及其获取能力是整个创业过程中极为重要的环节,并指出创业资源的异质性对创业活动的影响极为重要。对于物质资本与人力资本较为匮乏的农户而言,以关系网络为载体的社会资本对于缓解资源约束和资源配置替代机制的作用趋渐明显。基于此,本文引入社会资本这一概念来研究农户科技创业问题。本文在社会资本理论、创业资源理论、科技金融理论与要素集聚理论的基础上,将社会资本与农户科技创业意愿、融资能力以及创业绩效纳入一个统一的分析架构,探究社会资本的结构维度、网络投入与关系维度三个方面对农户科技创业意愿、融资能力以及创业绩效的影响路径与机制,进而对比不同维度的社会资本对农户科技创业行为的作用机理,并通过数理模型推导提出本文的相关命题。在此基础上,本文利用国家软科学重大研究计划项目“农村科技创业金融政策研究”的调查数据,综合运用线性方程模型、分位数回归、替代变量法、中介效应分析模型等方法,从创业意愿、融资能力以及创业绩效等多个角度实证检验社会资本对农户科技创业行为的影响,并由此提出促进农户科技创业活动持续发展的政策建议。研究的主要结论第一,农户的科技创业活动具有特殊性与复杂性,需要正式制度和非正式制度的协同支持。农户科技创业是集科技、资源、机会与创业者有机结合的一种系统性行为,具有高风险性、投资周期长、市场波动性大和消息不确定性等特点,造成了金融机构的大量“惜贷”现象。这就需要有足够的市场空间和政府提供必要的政策和资金援助,更需要社会服务部门提供技术、市场信息、管理咨询以及投融资等社会化服务,促进科技与创业的有效结合,推进农户科技创业进程,实现农村产业结构的优化升级。第二,社会资本从多维度影响农户的科技创业行为,对农户科技创业具有综合效应。本文拓展了社会资本理论对农户创业领域的研究,通过比较社会资本结构维度、网络投入以及关系维度的作用差异,来揭示不同维度的社会资本对农户科技创业意愿、融资能力以及创业绩效的影响方向和力度。综合考察农户科技创业发展对资金和技术需求的变化以及社会资本不同维度为科技创业农户带来资金和技术供给的变化。在研究创业绩效时引入“融资能力”这一中介变量,进而从社会资本的不同维度来分析其对农户科技创业绩效产生的内在影响机制。第三,社会资本通过其资本属性的资源获取功能以及制度属性的行为约束功能来影响农户的科技创业意愿,且影响作用十分显著。理论研究发现,社会资本可以通过其资本属性与制度属性两个途径来影响农户的科技创业意愿:一是资本属性的资源获取功能,资本属性能够通过自身所具有的资源传递功能来获取那些极具价值的稀缺资源,以此来提高农户科技创业的积极性;二是制度属性的行为约束功能,制度属性能够通过该属性自身的激励诱导和监督奖惩功能来规范农户的创业环境,增强农户的努力程度,进而提高农户科技创业成功的概率。通过构建有序多分类回归模型(orderedlogitmodel)、分位数回归模型以及分区域回归模型,分析了社会资本对农户科技创业意愿的影响,研究发现,社会资本的不同维度对农户科技创业意愿均存在显著影响;社会资本总体上对不同科技创业意愿水平上的农户具有显著的正向影响;不同区域农户的社会资本对其科技创业意愿的影响存在显著差异,其中对西部地区的影响显著高于中东部地区。第四,社会资本的资本属性具有抵押替代功能,并能够通过该功能提高科技创业农户的融资能力,尤其是非正规渠道的融资能力。通过采用普通最小二乘法(ols)、分位数回归以及分区域回归来实证检验社会资本对融资能力的作用机制,研究结果显示:社会资本对科技创业农户不同渠道的融资能力影响程度各异,其中对非正规渠道的融资能力影响更为显著;社会资本对不同渠道融资能力水平的科技创业农户存在显著差异,对正规渠道融资能力较强的农户影响更显著,对非正规渠道融资能力较弱的科技创业农户影响更显著;不同区域科技创业农户的社会资本对其融资能力也存在显著差异,其中对中东部地区的影响显著高于西部地区。第五,网络资源和网络关系的充分利用能够显著提高农户科技创业绩效,使科技创业农户向高绩效的创业区间迈进,政治资源和组织资源不但能够改善和提高科技创业农户的融资能力和创业绩效,而且不同渠道的融资能力对创业绩效产生的作用也不尽相同。通过采用有序多分类(orderedprobitmodel)和bootstrap检验,分析社会资本对创业绩效的影响,以及融资能力是否在两者之间产生中介作用。实证分析结果显示:从结构维度来看,社会地位和信息获取能力显著影响农户科技创业绩效,而亲朋好友数量对创业绩效并无显著影响;从网络投入维度来看,资金投入显著影响农户科技创业绩效,而时间投入对创业绩效的影响并不显著;从关系维度来看,非正规金融机构的信任和组织信任显著影响农户科技创业绩效。在基准回归的基础上通过Bootstrap检验来验证融资能力是否在社会资本和创业绩效之间产生中介作用,实证结果显示,正规渠道融资能力、非正规渠道融资能力与总的融资能力在两者之间均存在部分中介效应。研究可能的创新第一,基于社会资本理论对农户的科技创业活动进行研究,丰富了创业领域的研究内容,拓展了农户创业研究的理论视角。以往的研究多关注社会资本对企业创业、农民创业的影响,然而从社会资本这一角度出发来研究农户科技创业这一行为实属空白。本文以社会资本理论为切入点,考察其对科技创业农户可能产生的影响,详细阐述了影响机制。将社会资本的研究融入到农户科技创业活动的过程中已经成为创业研究领域里必然的发展趋势,尤其是科技创业农户应该如何利用和发展自身的社会资本来提高自己科技创业活动的效率和方式已然成为本文研究的重点,但目前有关此类的研究文献并不多见。本文从我国特殊的国情出发,结合科技创业农户所处的特殊文化背景和社会环境,将社会资本与科技创业两者结合起来,并纳入一个分析框架内进行系统的研究。第二,分析社会资本对农户科技创业行为的影响机理与路径,构建并验证科技创业农户“社会资本-融资能力-创业绩效”的分析模型。根据以往学者主要针对社会资本-组织绩效、融资能力-创业绩效双变量关系研究的局限性,本文以科技创业农户为考察样本,在分析“社会资本对创业绩效的影响”时,考虑到融资能力可能是一个中介变量,并对融资能力的中介效应进行分析,以剖析其通过社会资本对创业绩效的传导机制,提出了“社会资本-融资能力-创业绩效”的协同作用模式,将“社会资本-融资能力-创业绩效”三个变量进行整合研究,利用中介效应模型来探讨三组变量之间的作用关系,形成了较为全面系统的科技创业农户“社会资本-融资能力-创业绩效”的研究体系,同时也对社会资本理论研究和创业理论研究进行补充和完善。第三,探索社会资本异质性对农户科技创业行为的影响差异。我国科技创业农户社会资本存量的区域差异十分显著,不同区域科技创业农户社会资本存量极不平衡。既往的研究多数为对某一区域的微观调查或者对全国层面创业农户的整体研究,由此得出的结论其适用性值得商榷。本文利用“农村科技创业金融政策研究”课题组的微观调查数据,通过采用分位数回归与区域差异分析的方法,探讨不同创业层次和不同区域农户的社会资本对其创业行为的影响方向与作用力度,从而有效的把握社会资本作用功能的发挥路径,提高政策建议的适用性。
[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.

【学位授予单位】：西南大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：F323.3
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本文编号：1455215