企业家精神与区域经济增长
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摘要
自20世纪90年代以来,企业家精神在经济运行与经济发展中的作用越来越重要,企业家精神成为促进经济增长的主要推动力。当前的企业家精神研究也随着新增长理论的兴起,从“个人”转移到企业过程或企业事件(即新公司的创立)等“关系经理人”上来。对企业家的研究从个体扩展到组织层次,再扩展到社会和空间层次,即企业家精神产生和成长空间背景,与地区集聚及区域经济之间的关系及其可能受到空间单位(地点、地域和国家)的地理相似性或生态特点的影响。
中国改革开放和经济增长的过程实际上也是一个中国企业家阶层和企业家精神形成和发展的历史过程,这是中国经济体制改革应有的成果,而这又反过来推动改革的前进。但目前还没有文献使用中国的省级企业家的面板数据对企业家的创新行为、集聚与区域经济增长进行相关的研究,而国外多数基于发达国家的研究结论也需要用发展国家的实践来检验,作为发展中的大国的中国而言,正在经历着剧烈的经济变化,所以经济活动的空间分布变动也较发达国家更为明显,这也为作者从动态和产业的角度去考察企业家精神、集聚与增长的关系提供了更好的试验场。
因此,我们在本文将致力于解决的问题主要有:
1、针对目前对于企业家精神的度量在方法上的差异,建立一套综合考虑各方面因素的适合中国数据可获得性的企业家精神指标评价体系。
2、通过对相关的企业家精神数据的分析去检验企业家精神与经济增长之间的这种互为因果关系,探讨在中国经济增长过程中的这一重要源泉,为经济增长的企业家理论提供中国的经验支持。
3、使用中国的数据来检验企业家精神、集聚和经济增长三者之间的关系,从而为新经济地理学的内生经济增长理论提供基于发展中国家的经验和理论支持。
4、使用面板数据,以克服跨国截面数据异质性问题。
为了更加全面地回答以上问题,我们对本文的内容作了如下安排:
第一部分是导言。在这一部分,我们通过描述中国企业和技术创新的相关情况,对企业家精神的性质进行科学的定义,并引出本文主要研究的问题及框架结构。
第二部分力图回顾在不同层次企业家精神研究过程中取得的成果,通过归纳总结探求不同层次企业家精神研究的发展脉络及它们之间的联系。从而为综合考察企业家精神奠定理论基础。
第三部分力图在对以前学者对企业家精神度量相关文献和研究成果的基础上,根据中国可得数据的实际情况,对与企业家精神状况相关的指标进行注意分析和介绍,从而建立能够较好度量企业家精神状况的指标体系,为后续的研究建立数据基础。
第四部分采用主成分分析的方法,使用1998年至2006年各年的相关数据,对指标体系中各变量进行分析、归纳和总结,从而给有关企业家精神状况的各因子赋值,得出能够描绘出中国总体企业家精神变化状况的计量模型。我们使用该模型对各省级区域1998—2006年的企业家精神状况进行了计算,并以此为基础对中国各区域的企业家精神状况进行比较和分析。
第五部分在前面几章建立起来的企业家精神综合指标的基础上,使用动态的省级面板数据和工具变量对经济活动中企业家精神与经济增长关系进行研究,从而证明了企业家精神对经济增长有着正的影响。我们回归的结果也显示,随着企业家精神活跃程度的提高,企业家精神对于区域经济增长的影响将呈加速作用,从而形成“强者恒强,弱者更弱”的局面,在没有其他因素影响的情况下,这将导致东西部地区贫富差距的进一步扩大。
第六部分引入空间地理概念,将经济的空间集聚理论引入到对企业家精神的分析框架中来,阐述空间地理集聚对企业家精神影响的内在机制,从而描绘出集聚对企业家精神影响过程的示意图,并在Romer(1990)和John(1995)以及Ace等(2005)模型的基础上分别使用与集聚有关的资本密度、技术密度、人口密度、企业密集度、私营企业投资者的密度和市场密集度等指标对技术变迁的影响进行检验,从而证明了集聚对区域企业家创新能力和区域经济增长有着正的影响。
第七部分总结全文并对以后的研究方向做出展望。
Since 1990s, entrepreneurship has played a more and more important role in the economic operation and growth and even has been the major drive for economic growth. With the rising of new growth theory, the current entrepreneurship research has shifted its focus from "individual" to "relation manager" of business process or event (i.e. the setup of a new firm), from individual level to organizational level and then social and spacial level, that is to say, the relationship between the special background for the entrepreneurship birth and growth, area convergence and regional economy is more likely to be influenced by the geographical similarities or ecological features of spacial units (location, region and country).
The process of Chinese reform and opening—up and economic growth is actually the historical process of the form and development of Chinese entrepreneur class and entrepreneurship. It's the due result of Chinese economic system reform which in turn propels the development of reform. But currently there is no literature on research of entrepreneurship creation, convergence and regional economic growth from the aspect of Chinese provincial enterprises data while most foreign research findings based on developed countries require testing in practices of developing countries. As the developing big power, China is undergoing dramatic economic changes; therefore, the changes in spacial distribution of economic activities are more obvious than in developed countries. This has been an excellent site for research into the relations between entrepreneurship, convergence and growth from the dynamic and industrial perspectives.
This paper is dedicated to achieve the following goals:
1. to establish a comprehensive evaluation system of entrepreneurship index suitable for our data accessibility, considering the differences of the current measuring methods of entrepreneurship;
2. to testify the inter—causal relation between entrepreneurship and economic growth by analyzing relevant regional entrepreneurship data, to discuss the importance of this source of Chinese economic growth and provide Chinese empirical support for entrepreneur theories of economic growth;
3. to testify the relations among entrepreneurship, convergence and economic growth with Chinese data so as to provide experience and theoretical support from developing countries for the endogenetic economic growth theory of the neo—economic geography stream;
4. to overcome the heterogeneity of international sectional data by using panel data.
In order to achieve those goals, the paper is arranged in the following format:
The first part is introduction. It describes the relevant situation of Chinese enterprises and technological innovation, gives a scientific definition of entrepreneurship and scaffolds the structure of the paper and pinpoints the major research topics.
The second part reflects on the findings of entrepreneurship research of various levels, concludes and discusses its development and connections between them so as to lay a solid theoretical foundation for comprehensive study of entrepreneurship.
Based on the previous studies of entrepreneurship measurement, the third part combines the accessible Chinese data with the previous research findings, analyzes the indexes relevant to entrepreneurship, establishes a better index system to measure regional entrepreneurship and provide a data base for future research.
The fourth part adopts the method of main factor analysis. It adopts the relevant data from 1998 to 2006 to make analysis of the index system and draw conclusions, gives values to all factors relevant to entrepreneurship so as to establish the model which describes the general entrepreneurship change in China. We use this model to count the entrepreneurship of all provincial regions from 1998 to 2006 and make comparisons and analyses of the regional entrepreneurship on this basis.
The fifth part is formed on the basis of the comprehensive entrepreneurship index system established in the previous chapters. It adopts the dynamic provincial panel data and tool parameter to make relevant research of the relation between entrepreneurship and economic growth so as to prove the positive influence exerted by convergence on regional enterprise creativity and regional economic growth. The regression results indicate that the more active the entrepreneurship, the influence of entrepreneurship on economic growth will accelerate so that the strong will be stronger while the weak will be weaker. This will lead to a larger wealth gap between the east and the west when no other factors are considered.
The sixth part adopts the space—geography concept, introduces the economic spacial convergence theory into the framework of entrepreneurship so as to interpret the inner system of convergence's influence on entrepreneurship and describe the diagram of its process. On the basis of models established by Romer (1990), John (1995) and Ace (2005), it adopts capital density, technology density, population density, enterprise density, density of private enterprise investment, market density and other indexes to testify the influence of technology transfer so as to prove the positive influence of convergence on regional enterprise creativity and regional economic growth.
The seventh part concludes the whole paper and conducts discussions about relevant policies.
中国改革开放和经济增长的过程实际上也是一个中国企业家阶层和企业家精神形成和发展的历史过程,这是中国经济体制改革应有的成果,而这又反过来推动改革的前进。但目前还没有文献使用中国的省级企业家的面板数据对企业家的创新行为、集聚与区域经济增长进行相关的研究,而国外多数基于发达国家的研究结论也需要用发展国家的实践来检验,作为发展中的大国的中国而言,正在经历着剧烈的经济变化,所以经济活动的空间分布变动也较发达国家更为明显,这也为作者从动态和产业的角度去考察企业家精神、集聚与增长的关系提供了更好的试验场。
因此,我们在本文将致力于解决的问题主要有:
1、针对目前对于企业家精神的度量在方法上的差异,建立一套综合考虑各方面因素的适合中国数据可获得性的企业家精神指标评价体系。
2、通过对相关的企业家精神数据的分析去检验企业家精神与经济增长之间的这种互为因果关系,探讨在中国经济增长过程中的这一重要源泉,为经济增长的企业家理论提供中国的经验支持。
3、使用中国的数据来检验企业家精神、集聚和经济增长三者之间的关系,从而为新经济地理学的内生经济增长理论提供基于发展中国家的经验和理论支持。
4、使用面板数据,以克服跨国截面数据异质性问题。
为了更加全面地回答以上问题,我们对本文的内容作了如下安排:
第一部分是导言。在这一部分,我们通过描述中国企业和技术创新的相关情况,对企业家精神的性质进行科学的定义,并引出本文主要研究的问题及框架结构。
第二部分力图回顾在不同层次企业家精神研究过程中取得的成果,通过归纳总结探求不同层次企业家精神研究的发展脉络及它们之间的联系。从而为综合考察企业家精神奠定理论基础。
第三部分力图在对以前学者对企业家精神度量相关文献和研究成果的基础上,根据中国可得数据的实际情况,对与企业家精神状况相关的指标进行注意分析和介绍,从而建立能够较好度量企业家精神状况的指标体系,为后续的研究建立数据基础。
第四部分采用主成分分析的方法,使用1998年至2006年各年的相关数据,对指标体系中各变量进行分析、归纳和总结,从而给有关企业家精神状况的各因子赋值,得出能够描绘出中国总体企业家精神变化状况的计量模型。我们使用该模型对各省级区域1998—2006年的企业家精神状况进行了计算,并以此为基础对中国各区域的企业家精神状况进行比较和分析。
第五部分在前面几章建立起来的企业家精神综合指标的基础上,使用动态的省级面板数据和工具变量对经济活动中企业家精神与经济增长关系进行研究,从而证明了企业家精神对经济增长有着正的影响。我们回归的结果也显示,随着企业家精神活跃程度的提高,企业家精神对于区域经济增长的影响将呈加速作用,从而形成“强者恒强,弱者更弱”的局面,在没有其他因素影响的情况下,这将导致东西部地区贫富差距的进一步扩大。
第六部分引入空间地理概念,将经济的空间集聚理论引入到对企业家精神的分析框架中来,阐述空间地理集聚对企业家精神影响的内在机制,从而描绘出集聚对企业家精神影响过程的示意图,并在Romer(1990)和John(1995)以及Ace等(2005)模型的基础上分别使用与集聚有关的资本密度、技术密度、人口密度、企业密集度、私营企业投资者的密度和市场密集度等指标对技术变迁的影响进行检验,从而证明了集聚对区域企业家创新能力和区域经济增长有着正的影响。
第七部分总结全文并对以后的研究方向做出展望。
Since 1990s, entrepreneurship has played a more and more important role in the economic operation and growth and even has been the major drive for economic growth. With the rising of new growth theory, the current entrepreneurship research has shifted its focus from "individual" to "relation manager" of business process or event (i.e. the setup of a new firm), from individual level to organizational level and then social and spacial level, that is to say, the relationship between the special background for the entrepreneurship birth and growth, area convergence and regional economy is more likely to be influenced by the geographical similarities or ecological features of spacial units (location, region and country).
The process of Chinese reform and opening—up and economic growth is actually the historical process of the form and development of Chinese entrepreneur class and entrepreneurship. It's the due result of Chinese economic system reform which in turn propels the development of reform. But currently there is no literature on research of entrepreneurship creation, convergence and regional economic growth from the aspect of Chinese provincial enterprises data while most foreign research findings based on developed countries require testing in practices of developing countries. As the developing big power, China is undergoing dramatic economic changes; therefore, the changes in spacial distribution of economic activities are more obvious than in developed countries. This has been an excellent site for research into the relations between entrepreneurship, convergence and growth from the dynamic and industrial perspectives.
This paper is dedicated to achieve the following goals:
1. to establish a comprehensive evaluation system of entrepreneurship index suitable for our data accessibility, considering the differences of the current measuring methods of entrepreneurship;
2. to testify the inter—causal relation between entrepreneurship and economic growth by analyzing relevant regional entrepreneurship data, to discuss the importance of this source of Chinese economic growth and provide Chinese empirical support for entrepreneur theories of economic growth;
3. to testify the relations among entrepreneurship, convergence and economic growth with Chinese data so as to provide experience and theoretical support from developing countries for the endogenetic economic growth theory of the neo—economic geography stream;
4. to overcome the heterogeneity of international sectional data by using panel data.
In order to achieve those goals, the paper is arranged in the following format:
The first part is introduction. It describes the relevant situation of Chinese enterprises and technological innovation, gives a scientific definition of entrepreneurship and scaffolds the structure of the paper and pinpoints the major research topics.
The second part reflects on the findings of entrepreneurship research of various levels, concludes and discusses its development and connections between them so as to lay a solid theoretical foundation for comprehensive study of entrepreneurship.
Based on the previous studies of entrepreneurship measurement, the third part combines the accessible Chinese data with the previous research findings, analyzes the indexes relevant to entrepreneurship, establishes a better index system to measure regional entrepreneurship and provide a data base for future research.
The fourth part adopts the method of main factor analysis. It adopts the relevant data from 1998 to 2006 to make analysis of the index system and draw conclusions, gives values to all factors relevant to entrepreneurship so as to establish the model which describes the general entrepreneurship change in China. We use this model to count the entrepreneurship of all provincial regions from 1998 to 2006 and make comparisons and analyses of the regional entrepreneurship on this basis.
The fifth part is formed on the basis of the comprehensive entrepreneurship index system established in the previous chapters. It adopts the dynamic provincial panel data and tool parameter to make relevant research of the relation between entrepreneurship and economic growth so as to prove the positive influence exerted by convergence on regional enterprise creativity and regional economic growth. The regression results indicate that the more active the entrepreneurship, the influence of entrepreneurship on economic growth will accelerate so that the strong will be stronger while the weak will be weaker. This will lead to a larger wealth gap between the east and the west when no other factors are considered.
The sixth part adopts the space—geography concept, introduces the economic spacial convergence theory into the framework of entrepreneurship so as to interpret the inner system of convergence's influence on entrepreneurship and describe the diagram of its process. On the basis of models established by Romer (1990), John (1995) and Ace (2005), it adopts capital density, technology density, population density, enterprise density, density of private enterprise investment, market density and other indexes to testify the influence of technology transfer so as to prove the positive influence of convergence on regional enterprise creativity and regional economic growth.
The seventh part concludes the whole paper and conducts discussions about relevant policies.
引文
1本节数据除做专门说明外,均来自于《中国统计年鉴》历年。
2由于1999年后中国对企业数量的统计口径发生了变化,1998年前是“乡及乡以上企业”,1999年后则统计为“全部国有及规模以上非国有企业”,因此,1998年前后数据不具有可比性。
3这一划分的方法借鉴了Fischer等(2001),Cooke,P.等(2004)等为度量某一区域内的技术创新能力的区域创新体系(Reginal Innovation System,简称RIS)的划分方法,该系统将仅仅考虑区域内创新主体如企业、科研机构和高等教育机构的技术创新称作狭义的技术创新,将包括区域创新环境和创新主体之间关联关系的技术创新称为广义的技术创新。有鉴与此,我们将仅仅考虑企业家和企业个体创新的狭义的企业家精神称为个体企业家精神,而考虑了企业家创新环境及相互关系的广义企业家精神称为企业家精神。
4 5 6见《新帕尔格雷夫经济学大词典》“企业家”条目,第162-164页。
1该节内容参考了肖建忠、唐艳艳的《企业家精神与经济增长关系的理论与经验研究综述》中的相关内容。
2这部分内容可参考Covin,J.G.& Slevin,O.P.,1991,A conceptual model of entrepreneurship as firm behavior,Entrepreneurship Theory and Practice,16(1),7-25
3具体内容可以在GEM官方网站:http://www.gemconsortium.org了解,同时也可参考。
4这一理论通过统计显示,美国62%的公司存活不到5年,只有10%的企业存活20年以上,而能够存活50年以上的企业只有2%,因此,存活期在3年以上的企业是具有较强生存能力的企业。
5具体说明可以参考《全球创业观察中国报告——基于2005年数据的分析》,第121-123页。
6该数据来源于《2005年全国科技经费投入统计公报》,本段中其余数据来源于《中国统计年鉴》。
7我们曾经使用博弈论的相关理论,证明在新经济条件下,中小企业进行有效的竞争规避和与大企业进行分工合作的必然性问题,即大企业与中小企业在新经济条件下分工与合作的过程(《新经济条件下中小企业市场竞争策略分析》,《福建论坛·人文社会科学版》,2006年第6期)。具体见附录1。
8虽然Miller和Friesen(1982)提出,过分创业精神会和缺少创业精神一样会对企业的表现产生负作用,但我们还是假设区域内的企业家创新仍是在可控范围之内的,因此,我们仍将财务指标作为一个重要的度量指标予以列出,正如Zahra(1995)指出的:财物与非财务标准可以用来在不同时间点上评价一个项目的表现或公司创业的产出,非财务标准在一项创业开始几年中会表现得极富洞察力,一段时间之后,管理者们可能更多依赖财务而不是非财务的标准。
9迈克尔·迪屈奇1994年提出,“公司的核心是生产和(或)销售活动。达到生产——需要利用特定的投入,但是投入必须加以组织。这种为了促进生产——销售目标而对人力和非人力进行投入的组织,乃是任何公司的特征。”销售目标显然这一核心是实在的活动,它有别于构成经济管理活动的两个外圈。一般来说,现实中的企业不仅仅关心生产,它们也关心市场,对于那些新开办或推出新产品的企业,其产品在市场上有没有需求,有多大需求,则通常是一个非常重要的问题,因此,市场营销已经成为企业经营中的重要事务,甚至是头等重要的事务。
10我们使用1998年至2006年各省“金融机构对工业和商业贷款人均金额”对企业表现的重要指标“人均销售额”进行回归,发现二者之间呈显著的正相关系(系数1.96338,T值7.75,在1%的显著性水平上显著)。
11实际上,以“人均政府财政支出中用于企业投资的金额”更能够体现政府对企业创新的支持力度,但是我们无法直接获得政府支出中有关这方面的数据,而我们认为,一般情况下,政府人均财政支出越高,其用于企业创新方面的人均支出也会相应比较高,因此,我们使用“人均政府财政支出额”替代“人均政府财政支出中用于企业投资的金额”。
12Burgelman's(1991)将创业行为分为正规的(“引导型”)和非正规的(“自主型”)两种类型,正规创业行指为被高层管理人员批准并依照预先制定的战略命令来实施,非正规活动则反映了组织中的个体成员进行的自主活动,而Pinchot(1985)则证实了非正规创业活动(“内部创业”)的重要性,由于我们无法在数据上区分这两种创业行为,所以只能以企业总的科技支出进行度量。
13公路里程指在一定时期内实际达到《公路工程[WTBZ]技术标准JTJ01—88》规定的等级公路,并经公路主管部门正式验收交付使用的公路里程数。包括大中城市的郊区公路以及通过小城镇街道部分的公路里程和桥梁、渡口的长度,不包括大中城市的街道、厂矿、林区生产用道和农业生产用道的里程。我们使用1998年至2006年各省“单位面积的公路里程数”对企业表现的重要指标“人均销售额”进行回归,发现二者之间呈显著的正相关系(系数2.86476,T值12.9,在1%的显著性水平上显著)。
14我们使用1998年至2006年各省“文化文物人均支出”对企业表现的重要指标“人均销售额”取对数后进行回归,发现二者之间呈显著的正相关系(系数0.49633,T值12,在1%的显著性水平上显著)。
1 关于因子分析和主成分分析的详细内容可参考郭志刚主编的《社会统计分析方法——SPSS 软件应用》。
2 我们在获得2006年相关数据之后,使用该年数据,得出的结果基本相似,KMO and Bartlett's Test为0.780,主因子为两个,因子百分比分别74.2%和9.595%,共解释83.795%的方差。在此不列出。
3 由于1992年至1997年的企业数据与1998年后的企业数据统计口径变化,所以我们无法对这两个阶段的企业数量进行比较,只能暂时舍弃这一指标,通过其他指标的变化来观察企业家精神的变化趋势。
4 GEM中国小组的研究结果表明,中国的研发及其向市场转化的能力在迅速提高,这与我们的结果一致。
5 GEM中国小组的研究结果表明,中国有形的基础设施建设表现不错,市场也是“唯一接近GEM最高水平的方面”,政府支持的力度也是较大的,这与我们的结果一致。但是,他们的研究对政府政策和项目(包括资金、服务等)的有效性问题并没有肯定的答案,我们的数据也只反映出政府支持力度的大小,没有说明其效果。
6 GEM中国小组的研究结果也表明,中国的“创业金融体系有所改善但还很难对创业企业提供有效的支持”(《全球创业观察中国报告——基于2005年数据的分析》,第75页)。
7 GEM中国小组的研究结果可以参考《全球创业观察中国报告——基于2005年数据的分析》。
8 GEM中国小组的研究结果认为陕西、黑龙江是创新的沉寂地区,但是我们计算的结果否定了这一结论,实际上无论从这两个地区私营企业投资者的数目,还是这两个地区的科研能力和投入以及创新的结果(专利数和技术市场成交金额等),这两个地区都不是沉寂地区,这也从一个方面反映出GEM仅仅以“某一地区每万成年人拥有的过去三年新增私营企业数量”度量企业家精神方法存在很大的片面性。而我们的这一指标则克服了GEM的这些缺陷。
9 由于西藏部分年份公布的是“独立核算工业企业数”,并不是“全部国有及规模以上非国有企业数”,所以,数据可能偏大。
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2由于1999年后中国对企业数量的统计口径发生了变化,1998年前是“乡及乡以上企业”,1999年后则统计为“全部国有及规模以上非国有企业”,因此,1998年前后数据不具有可比性。
3这一划分的方法借鉴了Fischer等(2001),Cooke,P.等(2004)等为度量某一区域内的技术创新能力的区域创新体系(Reginal Innovation System,简称RIS)的划分方法,该系统将仅仅考虑区域内创新主体如企业、科研机构和高等教育机构的技术创新称作狭义的技术创新,将包括区域创新环境和创新主体之间关联关系的技术创新称为广义的技术创新。有鉴与此,我们将仅仅考虑企业家和企业个体创新的狭义的企业家精神称为个体企业家精神,而考虑了企业家创新环境及相互关系的广义企业家精神称为企业家精神。
4 5 6见《新帕尔格雷夫经济学大词典》“企业家”条目,第162-164页。
1该节内容参考了肖建忠、唐艳艳的《企业家精神与经济增长关系的理论与经验研究综述》中的相关内容。
2这部分内容可参考Covin,J.G.& Slevin,O.P.,1991,A conceptual model of entrepreneurship as firm behavior,Entrepreneurship Theory and Practice,16(1),7-25
3具体内容可以在GEM官方网站:http://www.gemconsortium.org了解,同时也可参考。
4这一理论通过统计显示,美国62%的公司存活不到5年,只有10%的企业存活20年以上,而能够存活50年以上的企业只有2%,因此,存活期在3年以上的企业是具有较强生存能力的企业。
5具体说明可以参考《全球创业观察中国报告——基于2005年数据的分析》,第121-123页。
6该数据来源于《2005年全国科技经费投入统计公报》,本段中其余数据来源于《中国统计年鉴》。
7我们曾经使用博弈论的相关理论,证明在新经济条件下,中小企业进行有效的竞争规避和与大企业进行分工合作的必然性问题,即大企业与中小企业在新经济条件下分工与合作的过程(《新经济条件下中小企业市场竞争策略分析》,《福建论坛·人文社会科学版》,2006年第6期)。具体见附录1。
8虽然Miller和Friesen(1982)提出,过分创业精神会和缺少创业精神一样会对企业的表现产生负作用,但我们还是假设区域内的企业家创新仍是在可控范围之内的,因此,我们仍将财务指标作为一个重要的度量指标予以列出,正如Zahra(1995)指出的:财物与非财务标准可以用来在不同时间点上评价一个项目的表现或公司创业的产出,非财务标准在一项创业开始几年中会表现得极富洞察力,一段时间之后,管理者们可能更多依赖财务而不是非财务的标准。
9迈克尔·迪屈奇1994年提出,“公司的核心是生产和(或)销售活动。达到生产——需要利用特定的投入,但是投入必须加以组织。这种为了促进生产——销售目标而对人力和非人力进行投入的组织,乃是任何公司的特征。”销售目标显然这一核心是实在的活动,它有别于构成经济管理活动的两个外圈。一般来说,现实中的企业不仅仅关心生产,它们也关心市场,对于那些新开办或推出新产品的企业,其产品在市场上有没有需求,有多大需求,则通常是一个非常重要的问题,因此,市场营销已经成为企业经营中的重要事务,甚至是头等重要的事务。
10我们使用1998年至2006年各省“金融机构对工业和商业贷款人均金额”对企业表现的重要指标“人均销售额”进行回归,发现二者之间呈显著的正相关系(系数1.96338,T值7.75,在1%的显著性水平上显著)。
11实际上,以“人均政府财政支出中用于企业投资的金额”更能够体现政府对企业创新的支持力度,但是我们无法直接获得政府支出中有关这方面的数据,而我们认为,一般情况下,政府人均财政支出越高,其用于企业创新方面的人均支出也会相应比较高,因此,我们使用“人均政府财政支出额”替代“人均政府财政支出中用于企业投资的金额”。
12Burgelman's(1991)将创业行为分为正规的(“引导型”)和非正规的(“自主型”)两种类型,正规创业行指为被高层管理人员批准并依照预先制定的战略命令来实施,非正规活动则反映了组织中的个体成员进行的自主活动,而Pinchot(1985)则证实了非正规创业活动(“内部创业”)的重要性,由于我们无法在数据上区分这两种创业行为,所以只能以企业总的科技支出进行度量。
13公路里程指在一定时期内实际达到《公路工程[WTBZ]技术标准JTJ01—88》规定的等级公路,并经公路主管部门正式验收交付使用的公路里程数。包括大中城市的郊区公路以及通过小城镇街道部分的公路里程和桥梁、渡口的长度,不包括大中城市的街道、厂矿、林区生产用道和农业生产用道的里程。我们使用1998年至2006年各省“单位面积的公路里程数”对企业表现的重要指标“人均销售额”进行回归,发现二者之间呈显著的正相关系(系数2.86476,T值12.9,在1%的显著性水平上显著)。
14我们使用1998年至2006年各省“文化文物人均支出”对企业表现的重要指标“人均销售额”取对数后进行回归,发现二者之间呈显著的正相关系(系数0.49633,T值12,在1%的显著性水平上显著)。
1 关于因子分析和主成分分析的详细内容可参考郭志刚主编的《社会统计分析方法——SPSS 软件应用》。
2 我们在获得2006年相关数据之后,使用该年数据,得出的结果基本相似,KMO and Bartlett's Test为0.780,主因子为两个,因子百分比分别74.2%和9.595%,共解释83.795%的方差。在此不列出。
3 由于1992年至1997年的企业数据与1998年后的企业数据统计口径变化,所以我们无法对这两个阶段的企业数量进行比较,只能暂时舍弃这一指标,通过其他指标的变化来观察企业家精神的变化趋势。
4 GEM中国小组的研究结果表明,中国的研发及其向市场转化的能力在迅速提高,这与我们的结果一致。
5 GEM中国小组的研究结果表明,中国有形的基础设施建设表现不错,市场也是“唯一接近GEM最高水平的方面”,政府支持的力度也是较大的,这与我们的结果一致。但是,他们的研究对政府政策和项目(包括资金、服务等)的有效性问题并没有肯定的答案,我们的数据也只反映出政府支持力度的大小,没有说明其效果。
6 GEM中国小组的研究结果也表明,中国的“创业金融体系有所改善但还很难对创业企业提供有效的支持”(《全球创业观察中国报告——基于2005年数据的分析》,第75页)。
7 GEM中国小组的研究结果可以参考《全球创业观察中国报告——基于2005年数据的分析》。
8 GEM中国小组的研究结果认为陕西、黑龙江是创新的沉寂地区,但是我们计算的结果否定了这一结论,实际上无论从这两个地区私营企业投资者的数目,还是这两个地区的科研能力和投入以及创新的结果(专利数和技术市场成交金额等),这两个地区都不是沉寂地区,这也从一个方面反映出GEM仅仅以“某一地区每万成年人拥有的过去三年新增私营企业数量”度量企业家精神方法存在很大的片面性。而我们的这一指标则克服了GEM的这些缺陷。
9 由于西藏部分年份公布的是“独立核算工业企业数”,并不是“全部国有及规模以上非国有企业数”,所以,数据可能偏大。
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