摘要
在全球化浪潮席卷世界各个角落的今天,企业作为市场经济中最重要的微观主体,每天都在不停地新生与消亡,新创企业的不断出现是经济繁荣的基本前提。创业作为将市场机会转变为商业行动的关键途径,在短短数十年间已经渗透到了经济生活的方方面面,成为人类进步过程中所不可或缺的组成部分。科学技术的迅猛发展正引发着产业结构的剧烈变动和新兴产业的快速兴起,创业以财富的创造为基础,已然成为刺激技术创新、提升产业竞争优势、增强国家综合实力的重要因素,更是缓解失业浪潮日趋扩大的一道良剂。
创业活动是多种因素共同作用的结果,创业者产生创业动机、利用机会的行为总是基于一定的环境发生,其活跃程度与环境条件之间具有很强的相关性,对于创业者利用机会、付诸实践的活动而言,培育一个良好的创业环境是保障其顺利进行的关键。创业者所存在的外部环境中包含众多因素,公共政策是其中之一,当就业、增长与创业之间的关系进入公众视野,创业者的活动在联接技术研发努力和创新商业化中的重要性进一步显现时,公共政策的目标就指向了激励创业者和鼓励创业活动方面。当前,我国正面临着推动经济持续快速健康发展、增强产业竞争力、创造就业机会、促进创新等急迫任务,鼓励创业者的行动、提高全社会的创业活动水平是一个切实可行的措施和手段。所以,基于激励的视角,公共政策如何能够被更为高效、完善地设计,以形成对创业者进入行为的有效激励,应该被作为一个重要问题进行研究。
因此,本论文就以创业领域内的公共政策为对象,从激励的角度出发,根据相关理论提出研究框架,分析公共政策激励下的创业者进入活动,并结合我国公共政策的实践举措,对我国创业政策的激励效果进行实证研究,评价激励政策对于创业者进入行为的作用效应,以此为基础提出相应的改进建议与完善对策。
本论文具体研究内容包括以下几方面:
第一,阐述所研究问题的背景、主要研究内容和研究意义,提出本研究所存在的创新之处,并就论文的篇章结构进行总体安排。
第二,围绕研究主题展开文献综述,综述的内容主要包括创业概念内涵、创业活动类型和创业环境研究,重点是国内外关于创业公共政策的研究,在回顾的基础上进行简要评述,进一步引出所需研究的主要内容。
第三,从理论研究的角度出发,首先明确界定重要概念,运用相关理论分析创业者进入的决策过程,然后在对创业公共政策进行总体研究的基础上,提出激励创业者进入政策的理论框架。
第四,以我国创业领域内的公共政策为现实背景展开研究,在对我国创业公共政策全面回顾的基础上,归纳出政策演变的主要规律与特征,然后根据激励进入政策的理论框架,分析我国公共政策在激励创业者进入活动方面的实践举措。
第五,从实证研究的角度出发,对我国激励创业者进入政策的作用效应进行评价。首先基于理论与现实的分析提出研究假设;然后对实证研究中的关键变量进行可操作性定义,并设定测度方法和确定数据来源范围,据此建立计量模型,展开以面板数据为主的计量分析,同时对一些重要问题进行解释说明;最后根据实证研究的综合结果,对我国创业公共政策的激励作用效应进行评价与探讨。
第六,根据上述研究结果,就我国激励创业者进入政策的改进与完善提出相应建议。
第七,总结研究结论,指出其中所存在的不足之处并提出进一步的研究展望。
通过以上研究,本论文认为,创业者的进入活动是基于发现机会而利用机会的过程行为,是个体职业决策的表现,公共政策可以通过作用于决策中的影响因素而改变创业者的收益预期,以此激励更多的创业者进入行为发生。基于激励的视角,我国公共政策的演变总体上是有利于创业者进入活动的,通过缓解资本约束、降低创立成本与成长负担、提供商业支持服务三方面的实践举措,有效改善了创业者的资源获取和创业运营状况,从而增加了创业者的收益预期,由此产生了显著的激励效应,鼓励了更多的创业者进入活动出现,而现行的综合优惠政策对于创业者进入的激励效果有限,政策优惠应着眼于创业者进入活动收益的长期性,系统结合放松规制、降低壁垒等更深层面的实践举措。
Today with the trend of globalization sweeping across all corners of the world, enterprises keep a daily basis in the newborn and withering away as the most important micro-main in the market economy. It is the basic prerequisite for economic prosperity with new emerging enterprises. Entrepreneurship is one of business operations, which has penetrated into all aspects of economic life in just a few decades and become an integral part in the course of social progress. The rapid advancing of science and technology are triggering dramatic changes in industrial and the emergent rise of new industry. Entrepreneurship, which takes the wealth creation as the foundation has already not only become one of important factors to stimulate technology innovation, upgrade industrial competitive advantage and enhance overall national strength, but also the good agent to ease growing wave of unemployment.
Entrepreneurship is the result of many kinds of factors combined. The motives and activities of entrepreneurs are based on a certain environment. There is a strong correlation between entrepreneurial activities and environmental conditions. For the activities of entrepreneurs to take advantage of opportunities and put it into practice, it is the key to foster a good environment to ensure entrepreneurship to go on wheels. The external environment, in which entrepreneurs exist, contains the numerous factors, and public policy is one of them. When the correlation between employment, growth and entrepreneurship come into public eyeshot and the importance of the entrepreneurial activity in connection R&D efforts and innovation commercialization appears, the goal of public policy aims at the incentives to entrepreneurs and entrepreneurship. At present, China is being faced with promoting the sustained, rapid and sound economic development, enhancing the competitiveness of industries, creating employment opportunities, accelerating technology innovation and other urgent tasks. It is a practical and feasible means to encourage entrepreneurship and improves social entrepreneurial activities as a whole. Based on the incentive, how public policy can be designed more effective and perfect to form effective incentive to entrepreneurial entry should be regarded as an important issue for research.
Therefore, this paper takes the public policy toward entrepreneurship as the basic object, proposes the research framework according to the theory from the perspective of incentive, and analyzes entrepreneurial entry which has been encouraged by the public policy. Combined with Chinese practices of the public policy, we make empirical research on the incentive effect of entrepreneurship policy, evaluate the effectiveness of incentive policy for entrepreneurial entry, and regard it as the foundation to put forward the corresponding recommendations for improvement and countermeasures for perfection.
This paper includes the following specific aspects:
Firstly, introduce the research background, main content, significance and innovation of this paper, and explain the overall logical structure.
Secondly, elaborate literature review including the concept of entrepreneurship, the type of entrepreneurial activity and the entrepreneurial environment study. Focus on domestic and international research on entrepreneurship public policy. Based on a brief review, the primary problem being studied shall be raised.
Thirdly, from the perspective of theoretical study, define the important concepts, analyze the decision-making process of entrepreneurial entry by using correlative theory, and put forward academic frame of incentive policy for entrepreneurial entry on the basis of comprehensive study on public policy of entrepreneurship..
Fourthly, summarize the main rule and the characteristic of the evolution on the basis of reviewing Chinese entrepreneurship public policy comprehensively. And study material measures of motivating entrepreneurial entry of Chinese entrepreneurship public policy according to the fundamental framework of the incentive policy.
Fifthly, evaluate the effects of the Chinese policy toward the incentive to entrepreneurial entry from the perspective of empirical research. First of all, overall judgment of impersonality effects of Chinese public policy for entrepreneurship shall be made. Then propose the research assumptions under theoretical and practical analysis. We define the key feasible variables by quantizing material measures, establish econometric regression model and launch to the quantitative analysis of panel data, and carry out the explanation to some important issues simultaneously. Finally, according to the results of a comprehensive empirical research, the incentive effect of Chinese entrepreneurship public policy has been evaluated and discussed.
Sixthly, according to above findings, the corresponding recommendations for improvement and countermeasures for perfection have been put forward about Chinese policy toward the incentive to entrepreneurial entry.
Seventhly, summarize the research conclusion, point out existing deficiencies and propose further study prospects.
By above research, we believe that entrepreneurial entry is the process based on taking advantage of opportunities after discovering opportunities, and the performance of individual career decision-making. Public policy can be adopted in affecting the entrepreneurial expected return through changing influencing factors in decision-making so as to motivate more entrepreneurial entry occurrence. Based on the incentive, the evolution of Chinese entrepreneurship public policies is conducive to entrepreneurial entry on the whole. The policy has been improving the obtaining of entrepreneurial resources, operating conditions and increasing the expected return effectively by easing capital constraint, reducing the creation cost and the growth burden and providing business support services. Thus, it has been resulting in a significant excitation effect and encouraging more entrepreneurial entry occurrence. However, there has the limited effect of incentive for the existing preferential synthesis policies toward entrepreneurial entry. Focusing on the long-term proceeds of entrepreneurial entry, preferential policies should be integrated into a deeper level of practical measures, such as deregulation, reducing barriers and so on.
引文
1 【美】Kuratko D.F.和Hodgetts R.M:创业学:理论、流程与实践【M】,张宗益译,北京:清华大学出版社,2006年:第4-8页。
2 隋广军等:基于专利水平地区差异的高科技产业化问题研究【J],管理世界,2005年第8期:第89页。
1 【美】Hisrich,R.D和Peters,M,P.创业学【M】,王玉等译,上海:复旦大学出版社,2003年:第9页。
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6 刘曼红:风险投资:创新与金融【M】,北京:中国人民大学出版社,1998年:第108-112页。
7 Lundstrom,A,and Stevenson,L.Entrepreneurship Policy:Theory and Practice[M].New York:Springer Science+Business Media,Inc,2005:54.
8 中国科学技术促进发展研究中心创业投资研究所编:中国创业投资发展报告2003【M】,北京:经济管理出版社,2003年:第26页。
9 王益、许小松:创业资本市场理论与实践【M】,北京:中国经济出版社,2000年:第27-30页。
10 Wenli Li在对政府信贷、担保和资助计划进行实证评价时,使用了此模型,参见“Government Loan,Guarantee,and Grant Programs:An Evaluation,Federal Reserve Bank of Richmond Economic Quarterly,Volume 84/4 Fall 1998:25-51".
11 从模型中还可以看到,第一期的消费水平也会对第二期的职业选择造成影响,即s=a-c1,但是从现实情况来看,个体的消费支出相对于创建一个企业所需进行的投资只是一个很小的部分,很难真正产生实质性的影响,故而将此因素简化而不作讨论。
12 Da Rin等在扩展Holmstrom和Tirole(1997)的双道德风险模型研究此类问题的过程中,将创业者的创业融资活动分为两类,一类是直接融资(direct finance),一类是创业资本融资(venture caoital finance),具体参见“Da Rin,M,Nicodano,G,and Sembenelli,A.Public Policy and the Creation of Active Venture Capiml Markets,European Central Bank Working Paper Series,2005,(1),No.430”。根据Wenli Li(1997,2001)的研究,我们在这里将创业者的融资分为抵押类和非抵押类两种,具体参见“Li,W.Two essays on capital constraints and firm dynamics:Policy analysis and business cycle properties,PhD Paper for University of Minnesota,1997”和“Li,W L.Entrepreneurship and government subsidies:A general equilibrium analysis,Journal of Economic Dynamics & Control,2002,(26):1815-1844”。
13 【美】Kuratko,D F,和Hodgetts,R M.创业学:理论、流程与实践【M】,张宗益译,北京:清华大学出版社,2006年:第188页。
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16 Gordon R H.Do Tax Rates Encourage Entrepreneurial Activity?[J].Working Paper of the International Monetary Fund,1997,07.
17 虽然从企业运营所包括的范畴来看,筹集资本资源的财务活动也应该包括其中,但是创业管理的研究者通常将这类活动单列出来,作为专门的研究对象,财务/资本思想学派(the financial/capital school of thought)的存在即是一个例证。具体内容参见“Kuratko,D F和Hodgetts,R M.《创业学:理论、流程与实践》,张宗益译,北京:清华大学出版社,2006年:27-46页”。
18 郑孝国:企业孵化器竞争力及其持续创造就业能力的研究[D】,厦门大学博士学位论文,2006年6月:第144-149页。
1 这里需要特别说明的是,无论是在大陆范围还是在港澳台范围,都存在着大量支持创业活动的公共政策,而本文所关注的内容主要集中于大陆范围内,即只关注改革开放至今30年间大陆范围所实施的激励创业者进入的公共政策实践,但为了行文的方便,在文中仍然使用“我国”、“中国”的称谓。
2 张景安主编:中国风险投资发展报告【M】,北京:中国市场出版社,2006年:第468-472页。
3 纪琼晓:中国金融监管制度的变迁[D】,武汉大学博士学位论文,2005年3月:第65-66页。
4 朱仁宏、叶敏、邓靖松:2006年创业经济与企业发展研究报告【J】,现代管理科学,2007年7期:第31页。
5 政府类资本包括政府和国有独资企业提供的资金,由于国有独资创业投资机构的资金基本上是由财政直接提供,或是政府用于创业投资的资金被划为国有资产管理部门的经营性资产之后再进行安排,因此,两类资金都被合并归类为政府类资本。
6 该报告系列在2006年后更名为《中国创业风险投资发展报告》。
7 科学技术部火炬高技术产业开发中心:火炬中心年度报告2006【R】,北京:科学技术部火炬高技术产业开发中心,2007年:第9页。
8 科学技术部火炬高技术产业开发中心:2006中国科技企业孵化器发展报告【R】,北京:科学技术部火炬高技术产业开发中心,2006年:第22页。
9 科学技术部火炬高技术产业开发中心、厦门大学科技企业孵化器研究中心:中国科技企业孵化器发展分析报告2003【R】,2004年:第50-51页。
1 姜彦福等著:全球创业观察2002中国报告【M】,北京:清华大学出版社,2003年:第65页。
2 Sandlund C.Slicker Cities[J].Entrepreneur,2001 October:52-63.
3 详细的设定过程参见:“Demeuger等《地理位置与优惠政策对中国地区经济发展的相关贡献》,经济研究,2002年第9期,第17-23页”;“李新春、宋字、蒋年云《高科技创业的地区差异》,中国社会科学,2004年第3期,第17-30页”。
4 高铁梅:计量经济分析方法与建模【M】,北京:清华大学出版社,2006年:第302页。
5 由于统计口径的变化,我们将其划分为两个阶段,1998年之前为一个阶段,1999年至今为一个阶段。
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