【作者】 孙凯；

【导师】 鞠晓峰；

【作者基本信息】 哈尔滨工业大学 ， 技术经济及管理， 2008， 博士

【摘要】 随着经济全球化和技术进步速度的日益加快,企业自身有限的资源和技术实力已经很难满足其技术创新的需要。已经有越来越多的企业认识到,必须通过与各种组织建立广泛和密切的社会联系,即提高自身的社会资本水平来获取技术创新所需的资源,才能实现持续不断的发展。社会资本的概念在1980年由法国经济学家Bourdieu明确提出,但直到1993年哈佛大学社会学教授Putnam有关社会资本概念的提出才引起社会广泛关注。随着社会资本理论研究的不断深入和研究领域的不断扩展,一些学者开始从管理学的角度来研究企业社会资本。其中,关于企业社会资本与技术创新,现有研究总体上还不够系统和深入,多数研究仅限于从理论上定性分析企业社会资本对技术创新的作用,有关企业社会资本与技术创新关系的定量研究还有待加强。企业孵化器中大多数在孵企业都是初创企业,先天存在规模小、技术实力薄弱、资金缺乏等不足,而且缺乏与能够提供信息、知识和资金等创新资源的组织和机构的广泛联系,因此,相对于一般意义上的企业,其对于上述创新资源的需求更为迫切。而企业孵化器作为初创企业的辅导机构和技术创新的平台,可以帮助在孵企业建立与政府和科技主管部门、大学和科研院所、银行等投融资机构、科技中介机构等组织的广泛联系,提高其社会资本水平以获取更多的创新资源。因此,研究在孵企业的社会资本对于技术创新绩效的影响具有重要的理论和现实意义。本文以企业孵化器中在孵企业为研究对象,研究在孵企业社会资本对于技术创新绩效的影响。本文首先对在孵企业社会资本对技术创新绩效的影响进行了理论分析。界定了在孵企业的社会网络,分析了在孵企业自发形成的社会网络和孵化器为在孵企业提供的创业支持网络以及在孵企业社会网络的功能。界定了在孵企业社会资本的概念和内涵,提出了在孵企业社会资本的构成、研究维度及其功能。从在孵企业技术创新的特征、技术创新的环境、技术创新的机制等方面分析了在孵企业技术创新。基于企业社会资本对企业绩效的影响机制,探讨了孵化器对在孵企业社会资本和技术创新的影响,以及在孵企业社会资本对技术创新绩效的影响。在上述理论分析的基础上,根据孵化器联合生产模型和网络效应模型,结合企业社会资本理论,提出了在孵企业社会资本对技术创新绩效影响的模型,并相应提出在孵企业社会资本与资源获取之间的关系、资源获取与技术创新绩效之间的关系以及资源获取所发挥中介作用的理论假设。其中,孵化器联合生产模型表明了孵化器的中心任务是提供在孵企业所需要的资源,如果孵化器自身不能够提供这种资源,那么它必须通过其外部网络为在孵企业与能够提供该资源的组织建立联系;孵化器网络效应模型表明孵化器的社会网络可以为在孵企业提供其所需要的人才、资本和市场信息等资源,有效解决了在孵企业缺乏社会网络关系的不足。为验证本文所提出的模型和研究假设,分别应用因子分析、方差分析、多元回归分析和结构方程模型等定量分析方法进行实证研究。将探索性因子分析和验证性因子分析相结合检验了包含纵向和横向社会资本在内的在孵企业社会资本测量模型。结果表明,模型拟合情况良好,该测量模型具有较高的收敛效度,且测量模型假设与最终的测量模型基本一致。根据所处孵化器的类型将在孵企业划分成不同类型,对不同类型在孵企业的社会资本、资源获取和技术创新绩效各测量题项均值进行多重比较,结果表明,不同类型在孵企业在部分测量题项上的均值存在显著差异,从而反映出不同类型孵化器对其在孵企业的社会资本、资源获取和技术创新绩效具有显著影响。多元回归分析结果表明,在孵企业的纵向和横向社会资本对信息、知识和资金三种创新资源的获取具有显著的推动作用,而上述三种创新资源的获取对技术创新绩效的提升具有显著作用,同时初步证明了三种资源的获取所发挥的中介作用。本文所构建的结构方程模型经修正后拟合情况良好,结构方程模型分析除支持上述多元回归分析得到的结论外,还表明了纵向和横向社会资本的结构维和关系维分别存在两两相互作用。效应分解的结果说明了纵向和横向社会资本对技术创新绩效只具有间接效应,信息、知识和资金的获取对技术创新绩效具有直接效应,从而进一步验证了三种资源获取的中介作用。与此同时,不同类型在孵企业多重比较的结果也支持本文多元回归分析和结构方程模型分析的结论。更多还原

【Abstract】 With the rapid development of economy globalization and technological progress, the limited resource and technological strengthen of enterprise can not fulfill its need of technology innovation. More and more enterprises realize that in order to get sustainable development, they have to set up broad and close social contact with all kinds of organizations, that is, improve the level of social capital, to acquire innovative resource. The concept of social capital was clearly put forward by Bourdieu of French economist, but it was until 1993, after sociology professor Putnam’s definition of social capital that it got extensive attention. With research depth and research scope developing, some scholars begin studying enterprise social capital from the standpoint of management. The research on enterprise social capital and technology innovation is not systematic and deep enough, because most study limited themselves to qualitative analyze the action of the former on the latter and more quantitative research on the relation between them is needed.Because most incubatees is new adventures, which have character of small scale, weak technology strength and scarce fund, and they lack extensive contact with organizations and institutions that can provide information, knowledge and capital and other innovative resources. Therefore, compared with companies in general, they have more urgent requirement for the innovation resources mentioned above. As the aiding institution and innovation platform for the new adventures, incubators are able to help incubatees in founding extensive contact with government and its S&T agency, universities and R&D institutions, banks and other financial organizations and S&T intermediate agencies, and by improving the level of its social capital to obtain more innovative resource. So to research on the impact of incubatee’s social capital on technology innovation performance has significant theoretical and practical sense. The paper has incubatees in the incubator as object and studies on the impact of incubatee’s social capital on technology innovation performance.Firstly,this paper analyzes in theory on the impact of incubatee’s social capital on its technology innovation performance. This paper defines social network, and analyzes spontaneous social network of incubatee, entrepreneurial aid network provided by incubator and the function of incubatee’s social network. The paper defines the concept of incubatee’s social capital, analyzes its structure, research dimension and function. Then from the aspects of technology innovation characteristics, environment and promoting mechanism, it analyzes technology innovation of incubatees. Based on impact mechanism of corporate social capital on its performance, the paper analyzes influence of incubator on incubatee’s social capital and technology innovation performance, and the impact of incubatee’s social capital on its technology innovation performance.Based on theoretical analysis, according to incubator co-production model, network utility model and theory of enterprise social capital the paper puts forward concept model of impact of incubatee’s social capital on technology innovation performance and the theoretical hypotheses about the relation between social capital and resource acquisition, resource acquisition and technology innovation performance , and the intermediate action of resource acquisition. Co-production model shows that the central task of incubator is providing resources to incubatees, and if it can not do that by itself, it must connect outside provider for incubatee through its network. Network utility model shows that incubator’s social network can provide resource of talents, capital and market information and so on, which effectively solves incubatees’lack of social network relation.To validate the concept model and hypotheses, the paper makes an empirical research by applying quantitative method of factor analysis, analysis of variances, multiple linear analysis and structure equation modeling. The measurement models of incubatee’s vertical and horizontal social capital are verified by exploratory factor analysis and confirmatory factor analysis, the results of which show that the model simulates well and has a satisfying convergent validity. Multiple comparison among different types of incubatees on data average of social capital, resource acquisition and technology innovation performance shows that there are distinct differences among them, which means different types of incubators have diverse impact on incubatees’social capital, resource inquisition and technology innovation performance.The result of multiple linear regression shows the distinct driving effect that the incubatee’s vertical and horizontal social capitals have on the innovative resources acquisition of information, knowledge and capital, and the evident impact these three resources acquisition has on the improvement of technology innovation performance , and the intermediate role the resources acquisition plays in the process. The structure equation model built in the dissertation simulates the data well after modified, and the analysis of result upholds conclusions of multiple regression analysis, and besides that, it also shows that structure and relation dimensions of incubatee’s vertical and horizontal social capital interact each other. The result of effect decomposition illuminates the indirect effect of vertical and horizontal social capital on technology innovation performance and the direct effect of information, knowledge and capital acquisition on technology innovation performance, which further proves the intermediate action of three resource acquisitions. At the same time, the results of multiple comparisons among different types of incubatees support the conclusion of multiple linear regression and structure equation modeling.更多还原