基于嵌入理论的中国东西部创业影响因素比较研究

【作者】 和矛；

【导师】 马庆国；

【作者基本信息】 浙江大学 ， 技术经济及管理， 2007， 博士

【摘要】 我国东西部民营经济的发展存在着巨大的差距,这已经是一个不争的事实。它的一个重要表现就是东西部之间创业水平的差距。由此,本文提出了研究的核心命题,“什么因素造成了我国东部与西部之间创业水平的巨大差异?”。论文以浙江省和云南省为例对此进行了研究。针对研究命题,论文从嵌入理论入手,在系统梳理嵌入理论的基础上,把嵌入理论关于经济社会行为“嵌入”性的结论应用于创业行为。由此,论文基于Granovetter与Zukin & Dimaggio等学者构筑的坚实的理论基础,从宏观、中观和微观三个层面提出了关于创业的三重嵌入的研究框架。在此研究框架下,论文分别从创业的文化嵌入、结构嵌入和认知嵌入三个方面展开。首先,综述了文化价值观、社会网络和人力资本的基本内容以及与创业的关系;其次,阐述了我国东西部在这三方面的各自特点和存在的差异。最后,在总结前人在这三个方面研究的基础上,提出了本文的相关研究方法和研究假设。论文把关于创业三重嵌入的影响因素进一步归纳为区域影响因素、群体影响因素和个体影响因素三大类。基于此,论文构建了创业影响因素的Probit研究模型。在这样的研究设计下,论文对我国东西部创业影响因素的实证研究主要从两个方面进行。一方面,对东西部在文化、社会网络和人力资本三个方面的差异性进行了检验,另一方面还对这些因素是否和怎么样对创业产生影响进行了验证。最后,在得到实证结果的基础上,本文对那些显著影响创业的连续变量,以浙江和云南样本数据为基础进行了创业概率的模拟,进一步分析了这些影响因素的特点。通过对实证研究结果的归纳和总结,论文得到了三个方面的结论:在文化方面,一个地区的文化对于生活在这个地区的人们的思想和行为产生着长久而深远的影响。文化对东西部创业水平的影响主要有三个结论。第一,知性自主文化价值观是造成东西部创业水平差距的文化因素之一。实证表明西部文化中知性自主要弱于东部文化,然而这种价值观对于创业却是重要的。第二,平等主义文化价值观是造成东西部创业水平差距的文化因素之一。虽然西部文化中平等主义要强于东部文化,但是这种价值观对于创业却产生负影响。第三,控制文化价值观是造成东西部的创业水平差距的文化原因之一。在东部文化中控制价值观显著的强于西部,同时这种价值观对创业产生的是正影响,因而影响了区域创业水平的差距。在社会网络方面,一个人所生活的群体环境对于这个人的思想和行为是有很大的影响的。社会网络对东西部创业的影响主要有五个结论。第一,网络规模是影响东西部创业水平差距的因素之一。网络规模的大小对创业产生正影响,东部人关于创业的社会网络要比西部人的大,这样网络规模的大小就直接导致了创业水平的差距。第二,父母创业经历是影响东西部创业水平差距的因素之一。已经验证父母有创业经历的东部人要比西部的多,同时父母创业经历对创业又会产生正的影响。这样创业的代际效应就会导致了区域间创业水平的差距。第三,基本网络强度是影响东西部创业水平差距的因素之一。这是因为东部人的基本网络强度要比西部的大,同时已经证实基本网络强度越强对创业越有利。第四,基本网络密度是影响东西部创业水平差距的因素之一。东部人的基本网络中相互联系要比西部人多,这种高密度的网络对创业是有利的。第五,基本网络的行业异质性是影响东西部创业水平差距的因素之一。东部人的网络行业异质性低于西部,较低的网络异质性对创业是有利的。在人力资本方面,人们在现实生活当中对事物的认知和判断,主要依靠先前的知识和经验,它们表现为个人的人力资本。人力资本对东西部创业的影响主要有两个结论。第一,创业经验是影响东西部创业水平差距的影响因素之一。东西部企业家存量的差距,表明创业经验在东西部人之间有较大的差距,而创业经验对于创业行为有着强烈的正效应,使得创业经验成为影响东西部创业水平差距的重要因素。第二,创业学习是影响东西部创业水平差距的影响因素之一。东西部之间创业存量的差距,使得东部人创业成功的可能要高一些,然而这种差距在创业成功对创业的正影响下,会被进一步放大。总之,不同的文化潜移默化的造成了东西部人对创业的看法不同。不同的社会网络性质造成了东西部人在创业过程中所获得的帮助与支持不同。不同的创业人力资本影响了东西部人创业经验的获得以及创业的成功。正是由于这些差异使得创业在东部发生得多而在西部发生得少。同时,这一结果会再次反过来加强这些影响因素,使得创业水平差距不断的扩大。由此可以得到,创业的嵌入性影响因素会导致创业的路径依赖性质,这是本研究的理论价值所在。正是由于创业的路径依赖性使得在东西部之间,区域创业水平高的越高低的越低,出现了“马太效应”。这充分体现了本研究的现实意义,因为这一结论不仅回答了本文的研究命题,而且还例证了西部大开发以来东西部经济发展差距扩大的现实。更多还原

【Abstract】 As we all know, there is a great gap of private-owned economy between eastern and western regions of China. It mainly manifests in the form of the difference of the level of entrepreneurship between these two regions. Thereafter, the dissertation puts forward the core proposition that what factors make the gap of the level of entrepreneurship between eastern and western regions of China. The dissertation takes Zhejiang Province and Yunnan Province as an example to study this proposition.To begin with embeddedness theory, the dissertation uses the argument of embeddedness action to entrepreneurship behavior based on reviewing the embeddedness theory in detail. Thereafter, on the basis of theories of Granovetter, Zukin & Dimaggio etc., the dissertation puts forward the research frame of triple-embeddedness self-employment from macro, meso and micro prospect.Under this research frame, the dissertation study cultural embeddedness, structural embeddedness and cognitive embeddedness respectively. Firstly, the dissertation reviews cultural values, social networks and human capital literature and studies the relations between them and self-employment. Secondly, the characters of eastern and western regions in these three aspects have been researched. Fanally, the dissertation puts forward research methods and research hypothesises.The factors effecting self-employment have been further divided into three types, namely regional, community and individual factors. Thereby, the dissertation sets up the Probit Model of self-employment. In this way, empirical research is mainly involved in two fields. One is the difference of cultural values, social networks and human capital between eastern and western regions. The other is what effects these factors make to self-employment. After getting the results of the empirical research, the dissertation simulates the relationship between continuous variables and entrepreneurship probability based on Zhejiang and Yunnan data.Three aspects conclusions have been derived from the results of empirical research.In the aspect of culture, cultural values in one region make a longtime and deep effect on the people living in this area. There are three conclusions about culture effecting self-employment. Firstly, intellectual autonomy value is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. Empirical research results show intellectual autonomy in western culture is weaker than that in eastern culture. However, this cultural value is important for self-employment. Secondly, egalitarianism value is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. Although egalitarianism in western culture is stronger than that in eastern culture, this cultural value has a negative influence on self-employment. Thirdly, mastery value is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. Mastery in eastern culture is stronger than that in western culture, on the other hand this cultural value has a positive influence on self-employment. Therefore, this cultural value has influence on the level of entrepreneurship between eastern and western regions.In the aspect of social networks, the community has a great influence on an individual. There are five conclusions about social networks effecting self-employment. Firstly, size of network is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. Size of network has a positive influence on self-employment, as well as size of network of the people in eastern region is bigger than that of the people in western region. Secondly, parents’ entrepreneurial experience is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. It has been evidenced that parents’ entrepreneurial experience has a positive influence on self-employment, as well as the number of people who have entrepreneurial parents in eastern region is more than those in western region. Thirdly, the strength of primary network is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. This is because that the more network strength, the more benefits are for self-employment, as well as network strength of the people in eastern region is bigger than that of the people in western region. Fourthly, primary network density is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. In the primary network, people in eastern region have more connections than people in western region. At the same time, higher network density is better for self-employment. Fifthly, primary network heterogeneity of occupations is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. Lower network heterogeneity of occupations is better for self-employment, as well as network heterogeneity of occupations of people in eastern region is lower than that of people in western region. In the aspect of human capital, people cognize and judge in usual life depending on previous knowledge and experience which is in the form of human capital. There are two conclusions about human capital effecting self-employment. Firstly, entrepreneurial experience is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. The difference of the number of entrepreneurs between eastern and western regions shows that there is a gap of entrepreneurial experience between people in eastern region and people in western region. Furthermore, entrepreneurial experience has strong positive effect on self-employment, which makes entrepreneurial experience heavily influence on self-employment. Secondly, entrepreneurial learning is one of factors that make the gap of the level of entrepreneurship between eastern and western regions of China. The difference of the number of entrepreneurs between eastern and western regions makes that people in eastern regions are more easily succeeded in entrepreneurship. At the same time, entrepreneurship success has a positive influence on self-employment, which makes the gap of self-employment bigger and bigger.Generally, different cultural values between eastern and western regions gradually influence the opinions of people in these two regions on self-employment. Different nature of social networks of people in eastern region and that of people in western region makes these people get different aid and support in the process of entrepreneurship. The gap of human capital between people in eastern region and in west region has a great influence on obtaining entrepreneurial experience and entrepreneurial success. It is these differences that make people in eastern region prefer self-employment. Thereafter, this result would strengthen these factors again, which makes the gap between eastern region and western region bigger and bigger. Self-employment gets the property of path dependence influenced by these embeddedness factors, which is the theory meaning of this dissertation. Path dependence of self-employment makes the level of entrepreneurship higher and higher in eastern region and lower and lower in western region. That is Matthew Effect of self-employment. This conclusion embodies the empirical meaning of this dissertation. Because it not only answers the original proposition, but also verify the facts that gap between eastern region and western region is still expanding after China Western Development.更多还原