【作者】 邢蕊；

【导师】 王国红；

【作者基本信息】 大连理工大学 ， 技术经济及管理， 2013， 博士

【摘要】 技术复杂快变和经济全球化背景下,创业活动在全世界范围飞速发展。在我国,新创科技型企业已经成为建设创新型国家的重要力量,科技企业孵化器在优化局部环境、提高企业成活率等方面的良好功能也日趋凸显。与此同时,创业导向作为引导企业施行创业行为的战略构念,是创业领域的研究热点；孵化环境作为影响在孵企业成长进而导致绩效差异的重要外部因素,也受到了国内外学者的热切关注。然而,现有研究模型中缺少对创业导向和孵化环境的整合分析,从而忽略了二者之间的互动关系对在孵企业创新绩效的复杂作用。为此,本文从科技型在孵企业微观视角出发,基于创业导向理论、资源基础理论和理性行为理论等,采用“创业战略构念-创新行为-企业创新绩效”的理论范式,综合运用文献研究、实证研究、DEMATEL方法和系统动力学方法,从动态和静态两个视角展开孵化环境背景下创业导向对在孵企业创新绩效影响作用的理论分析与实证研究,深入挖掘创业导向及其与孵化环境的交互作用对在孵企业创新绩效的作用机制,探究创业导向和在孵企业创新要素、创新绩效之间的动态关系,揭示在孵化环境调节作用下创业导向对在孵企业创新绩效的影响路径。旨在通过有效发挥孵化器对在孵企业创新成长的扶持作用以及创业导向对在孵企业创新绩效的促进作用,并协调好二者之间的匹配关系,加快在孵企业成长。这对于丰富创业导向和孵化器相关领域研究,优化我国孵化器管理实践,激发在孵企业创新活力和成长动力,繁荣创业经济都具有较为重要的理论价值与现实意义。论文主要研究工作如下：(1)概念界定、维度划分与理论框架的提出。在系统梳理国内外相关文献的基础上,对论文研究所涉及的重要变量进行了概念界定、涵义阐释和维度划分；在此基础上,针对创业者创业意图和资源禀赋差异,将创业导向划分为创造型创业导向和发现型创业导向两类,提炼出创业导向涵义中的三个属性特征：文化属性、战略属性和资源属性,进而提出本文研究的基本理论框架——创业导向对在孵企业创新绩效的"EO-IRF-IEIP"三棱锥作用模型,指出创业导向能够通过影响在孵企业在“创新意愿—创新资源—创新柔性”三个层面的决策倾向和努力程度而影响企业的创新绩效。(2)综合运用文献研究、DEMATEL方法和系统动力学方法,从动态视角进行孵化环境背景下创业导向对在孵企业创新绩效的作用机理分析。首先,在文献分析基础上,采用DEMATEL方法在创新意愿、创新柔性和创新资源三个视角下绘制了在孵企业创新绩效影响因素的DEMATEL因果图,识别了不同视角下影响在孵企业创新绩效的原因因素和结果因素,揭示了各因素之间的因果关联关系；然后,基于系统观展开孵化环境背景下创业导向和在孵企业创新绩效的动态关系分析,结合创新绩效影响因素的DEMATEL因果图,建立"EO-IE-IEIP"系统的因果关系模型,并通过模型分析识别影响系统运行的主导路径和关键要素,从而揭示出创业导向主导下的在孵企业创新绩效提升路径。研究结果表明：存在五条系统演化的主导路径,分别反映出两种类型创业导向下的五个维度特征通过影响在孵企业创新意愿、创新资源和创新柔性的相关因素而作用于在孵企业创新绩效的过程；同时发现“信息和知识共享”这一因素在系统运行中发挥着连接三个子系统的重要作用,是推动系统演化的重要因素。(3)在文献研究和机理分析的基础上提出本文的研究假设和概念模型,采用因子分析、回归分析等方法进行数据分析和假设检验。实证研究结果表明：①创业导向能够通过直接和间接两种方式对在孵企业创新绩效产生影响,同时两类创业导向在影响强度和影响路径上存在一定差异,在影响强度方面创造型EO对在孵企业创新绩效的直接和间接影响都更大;在影响路径方面,创造型EO能够通过创新意愿、创新柔性和创新资源的中介效用生成三条间接影响路径,而发现型EO是通过创新意愿和创新资源的中介效用生成两条间接影响路径。②孵化环境在创业导向转化为在孵企业创新绩效过程中发挥着多重调节作用,其中环境动态性在创造型EO与创新绩效之间具有正向调节作用,在创新柔性与创新绩效之间具有正向调节作用;环境支持性在两类创业导向与创新绩效之间均具有正向调节作用,在创造型EO与创新意愿之间具有正向调节作用；环境包容性能够负向调节创新柔性与创新绩效之间的关系。③创新意愿、创新资源和创新柔性在创业导向和在孵企业创新绩效之间发挥着不同程度的中介效应,其中创新意愿、创新柔性和创新资源在创造型EO和创新绩效之间均起到部分中介作用,创新意愿和创新资源在发现型EO和创新绩效之间起完全中介作用。更多还原

【Abstract】 Entrepreneurial activities develop rapidly worldwide with complex and fast changing technology in the context of economic globalization. In China, high-tech start-ups have become an important driving force for constructing the innovative country. The role of business incubators increases prominently on the functions of optimization local environment, enhancing the survival rate of enterprises and so on. Meanwhile entrepreneurial orientation, as a strategic construct leading corporate entrepreneurship, is one of research focuses in the field of entrepreneurship. As an important external factor affecting business growth and performance, incubation environment receives much attention from international and domestic academics. However, there is very little confluence analysis about entrepreneurial orientation and incubation environment, and the existing research models ignore how the interaction between the two works on incubated enterprise innovation performance.From the micro perspective of incubated enterprises, this study adopts the theoretical paradigm of "entrepreneurial strategic construct-innovation behavior-innovation performance", based on entrepreneurial orientation theory, resource-based view and theory of reasoned action. Combining literature research, empirical research, DEMATEL method and system dynamics method, this study makes theoretical analysis and empirical research on how entrepreneurial orientation and incubation environment impact on incubated enterprise innovation performance. This study investigates the mechanism how entrepreneurial orientation, incubation environment and the interaction work on technology innovation of incubated enterprises, and reveals the path how entrepreneurial orientation influences incubated enterprise innovation performance with incubation environmental impact. The purpose of this studyis to make the incubator play an effective role in supporting incubated enterprises, to make the entrepreneurial orientation play an effective role in improving innovation performance, to coordinate the matching relationship between them, and finally to accelerate the growth of new ventures. It has great theoretical value and practical significance in improving theories of entrepreneurial orientation and incubation, optimizing incubator management practices in China, stimulating innovation vitality and growth dynamic of new ventures and booming entrepreneurial economy. Main research work is as follows.(1) Concepts defining, dimensions dividing and basic theoretical framework proposing. On the basis of analyzing relevant literature systematically, this study defines the concepts of significant variables, explains the meaning and divides the dimensions. Then this studysummarizes the key issues of entrepreneurial orientation, and puts forward broad and narrow concept of incubation environment. On this basis, entrepreneurial orientation is divided in creation EO and discovery EO according to entrepreneurial intention and resource endowment of incubated enterprises. This study summarizes three attributive characters of entrepreneurial orientation:culture attribute, strategy attribute and resource attribute, and then proposes the basic theoretical framework-"EO-IRF-IEIP" triangular pyramid model revealing how entrepreneurial orientation influences incubated enterprise innovation performance. This study points out that incubated enterprise innovation performance can be affected by innovation decision tendency and the degree of effort in three levels which are "intention-resource-flexibility".(2) The mechanism is analyzed about the influence of entrepreneurial orientation and incubation environment to the incubated enterprise innovation performance by integrated use of literature research, DEMATEL method and system dynamics method. First, on the base of literature research, the author draws the DEMATEL causal maps of the causal factors and the result factors of the innovation performance from three separated perspectives of the cultural perspective, the strategic perspective, and the resource-based perspective, and reveals the relationships between these factors. Then the author discusses the dynamic relationship among entrepreneurial orientation, incubation environment, and incubated enterprise innovation performance on a systematic perspective; builds the causal model of "EO-IE-IEIP" system, and condensed out the dominant path and factors that have effect on the system. The results show that:there are five dominant system evolution paths, which can explain how five characteristic dimensions in two types influence the innovation performance of the incubated enterprise by affecting related factors of corporate willingness, resources, and flexibility to innovate. The results also show that "information and knowledge sharing" plays the dominant role in the system since it connects three subsystems.(3) Research hypothesis and conceptual model are putted forward based on literature research. Conducting data is analyzed and hypothesis is tested by the way of factor analysis and regression analysis. The empirical results show that:①Entrepreneurial orientation can influence incubated enterprise innovation performance through direct and indirect ways. While two types of entrepreneurial orientation are different in impact strength and influence path. Creation-based EO has both greater direct and indirect influence on incubated enterprise innovation performance than discovery-based EO. The creation-based EO generates three indirect influence paths through the intermediary utility of willingness, flexibility, and resource to innovate. The discovery-based EO generates two indirect influence paths through the intermediary utility of the willingness and resource to innovate.②Incubation environment plays multifarious regulating effects in the conversion process of entrepreneurial orientation transforming into incubated enterprise innovation performance. Environmental dynamism has positive regulatory effect on the relationship between creation-based EO and innovation performance, as well as on the relationship between innovation flexibility and innovation performance. While environmental supportiveness has positive regulatory effect not only on the relationship between creation-based EO and innovation performance, but also on the relationship between discovery-based EO and innovation performance. Meanwhile, environmental inclusiveness has negative regulating effect on the relationship between innovation flexibility and innovation performance.③Willingness, resources, and flexibility have different effect strengths on the entrepreneurial orientation and innovation performance They can all play partial mediator regulatory effect on the relationship between creation-based EO and innovation performance, while willingness and resources have totally mediator regulatory effect on the relationship between discovery-based EO and innovation performance.更多还原