【作者】 朱云浩；

【导师】 梁樑；

【作者基本信息】 中国科学技术大学 ， 工商管理， 2014， 博士

【摘要】 自20世纪50年代企业孵化器概念诞生以来,经过半个世纪的发展,企业孵化器已经在全世界范围内得到快速的扩张。尤其是近十几年来在发展中国家的发展尤其如此,早在2007年,中国科技企业孵化器的数量已经位居世界第二。作为国家和区域创新系统的重要环节,科技企业孵化器在创新型区域和创新型城市建设系统中的作用越来越重要。虽然学术界对企业孵化器开展了诸多研究,但是从不同层面对科技企业孵化器进行研究却很少。因此,深入探讨中国科技企业孵化器各功能维度下的运行效率及对区域创新经济的影响具有重要的学术价值和实践意义。在科技企业孵化器相关文献及理论阐释的基础上,本文将中国科技企业孵化器的演化划分为四代和五个功能维度；运用SFA方法分别测算出孵化器各功能维度的效率值,并进行聚类分析；运用SFA和ANOVA方法,从微观层面的企业、中观层面的孵化器和宏观层面的区域对效率影响因素进行分析。具体而言,企业层面,从危机管理(Crisis Management, CM)的视角来研究孵化器内外部企业在产品伤害危机处理上的差异性；孵化器层面,将战略性小生境管理(Strategic Niche Management, SNM)理论引入到孵化器概念当中,探讨孵化器管理者对效率的影响；区域层面,基于外部性理论(Jacobs externality)探讨了孵化器所在城市的外部性对效率的影响。最后,在新经济古典增长理论和内生经济增长理论的基础上,运用β分析方法探讨科技企业孵化器对于区域经济收敛性和区域创新水平收敛性的影响。研究结果发现：(1)中国科技企业孵化器的总体效率值偏低,其中在“孵化新创企业”和“振兴区域经济”两个功能维度上的效率较高,而在“促进科技成果转化”、“获取盈利方面”和“增加区域就业”维度上的效率值偏低。(2)根据聚类分析结果,中国科技企业孵化器存在六种形态：创业导向型、经济导向型、创新导向型、盈利导向型、普遍高效型和普遍低效型。(3)孵化器内部企业在处理产品伤害危机方面的能力比外部企业更强,这类企业具备更强的生存能力,会对孵化器绩效产生更大的积极影响。(4)孵化器管理者对孵化效率的影响较为复杂,其中孵化器管理者的内外部网络构建职能对创业效率、创新效率和盈利效率产生负影响,表明孵化器内外部网络并没有发挥作用,反而成为Peters所称之的“坏网络”(bad networks);孵化器管理者的“学习”构建职能中,管理服务对大多数效率有显著性积极影响,而技术服务没有显著影响,反映了多数孵化器管理者无法针对园区内的高新技术企业提供有价值的核心技术服务,即没有能力扮演Brnneel所谓的“技术经济人”(technical broker)角色。(5)在孵化效率的影响因素中,作为控制变量的孵化器年限对各个维度的效率均有显著性负影响,反映了新成立的孵化器有着更高的效率。(6)城市外部性对效率的影响并不显著,但外商直接投资(FDI)除外。(7)科技企业孵化器并没有促进区域经济的收敛性,但增强了区域创新水平的收敛性。本文的主要创新点：(1)分别测度了科技企业孵化器不同功能维度的运行效率,并从孵化行为的角度来分析孵化器特征。通过聚类分析,发现中国科技企业孵化器存在六种形态,即创业导向型、创新导向型、政治导向型、盈利导向型、普遍高效型和普遍低效型。(2)将战略性小生境管理理论(Strategic Niche Management,SNM)引入到企业孵化器的研究中,探讨孵化器管理者对不同孵化效率的影响。分别测度了孵化器管理者期望(expectations)、网络(networks)和学习(learning)三方面的职能对五种不同孵化效率的影响。(3)探讨了科技企业孵化器对区域经济收敛性和创新能力收敛性的影响。虽然国内外对企业孵化器的功能有较多研究,但是关于科技企业孵化器对区域创新经济影响的定量研究尚未见到。更多还原

【Abstract】 From1980s onward, the numbers of incubator are growing rapidly all over the world, especially in the developing countries such as China, Brazil, Turkey and so on. By the end of2007, there are about600technology business incubators (TBIs) in China. According to Chinese Ministry of Science and Technology(MOST), China was ranked second to the United States in the world in terms of the number of TBIs. As one of the most important components of regional innovation system, Chines TBIs are more and more important for the establishment of innovation-oriented country, innovation-oriented region and innovation-oriented city. Although there are much research on the business incubators, there is little evidence on the efficiency of TBIs in different dimensions and the influences of TBIs on the regional economic development and regional innovative capability. Thus, it is necessary to study the efficiency of TBIs in different dimensions and there influences on the regional innovative economic development.Based on the incubator literature and theory, this paper divide the Chinese TBIs into four generations and five objectives. We used the SFA analysis to measure the efficiency of TBIs along the five objectives, i.e., the survival of incubatees, technology transfer, profit generation, local job creation and local economic development. Based on the efficiency scores of individual NTBIs in each dimension, we use the SPSS16.0as a tool to do the K-mean cluster analysis. Also, we use ANOVA and regressions analysis to study the corresponding determinants from the perspective of micro level of firms, medium level of incubators and macro level of regions. More specifically, at the micro level, we try to study the difference in product-harm crisis between incubator-on firms and incubator-off firms from the perspective of crisis management. At the medium level, we aim to apply the strategic niche management theory into the incubation situation and investigating the influences of the incubator managements on the incubation efficiency. At the macro level, we investigate the externalities of city on the incubation efficiency based on the Jacobs externality theory. Finally, based on the neoclassical growth theory and endogenous growth theory, we use the β analysis to investigate the influences of TBIs on the regional economic development convergence and regional innovative capability convergence. The conclusions are as follows:(1) The value of Chinese TBIs is generally low. More specifically, the efficiency in terms of accelerating the survival of new ventures and promoting regional economic development is higher than other dimensions, i.e., technology transfer, profit generation, and local job creation.(2) Based on the cluster analysis, Chinese TBIs can be divided into six typologies, i.e., PRO-oriented, SUR-oriented, publicly excellent, INNO-oriented, multi-inferior and ECO-oriented incubators.(3) The incubator-on firms do better than the incubator-off firms in terms of managing the product-harm crisis, which is helpful for the incubation performance.(4) The influences of incubator managements on the efficiency are complex. The external and internal networks constructed by the incubator managements both have negative impacts on the SRU-efficiency, INNO-efficiency and PRO-efficiency, respectively. This is consistent with what Peter et al (2004) called "bad networks". Furthermore, while the business assistance has a significant positive influence on the efficiency, the impacts of technical assistance are not significant. So the incubator managers are not sufficient to offer technology broke support.(5) The significantly negative relationship between incubator age and the incubation efficiency indicates that the newly established NTBIs in China have higher survival rate than their older counterparts.(6) The influences of externalities of urban are not significant, except FDI.(7) While the TBIs do not accelerate the regional economic development convergence, the TBIs accelerated the convergence in terms of regional innovative capability.The innovative points of this paper are as follows:(1) We measured the incubation efficiency in five dimensions, and identified incubators based on their real activities. Based on the cluster analysis, Chinese TBIs could be divided into six typologies, i.e., PRO-oriented, SUR-oriented, publicly excellent, INNO-oriented, multi-inferior and ECO-oriented incubators.(2) We applied the theory of niche manger into the incubation situation and investigating the extent to which the incubator managers act as the niche manager in incubators. More specifically, we attempted to evaluate the influence of expectations, networks, and learning constructed by the incubator mangers on the incubator performance.(3) We investigated the influences of TBIs on the convergence in terms of regional economic development and regional innovative capability. Although there are much research on the business incubators, there is little evidence on the influences of TBIs on the regional economic development and regional innovative capability.更多还原