技术转移和知识溢出对技术创业活动影响的实证研究

It has been argued in the literature that the newly-generated technology is a source of entrepreneurial opportunity which can be transferred or spilled over to potential entrepreneurs, and therefore have an impact on the overall level of technology-based entrepreneurship. However, it still remains unclear in what way this type of opportunities is captured by potential entrepreneurs and what impact it has on the growth of entrepreneurial firms founded based on the opportunity. This research tries to explore these issues empirically. Specifically, this research tries to answer the following questions: (1) which types of new technology are more likely to be recognized as entrepreneurial opportunies so that they can be exploited commercially? How and in what way are these opportunities captured by potential entrepreneurs who are not the creators of new technology? (2) How do the attributes of new technology affect entrepreneur's decision and the growth of spinoff firms? Besides the technology, what other organizations resources can be inherited by sourcing-entrepreneurs and thus have an impact on the growth or performance of spin-off firms? (3) Which factor will moderate the relationship between technology attributes (and technology providers' organizational resources) and the performance of spinoff firms? .In order to answer these questions, we propose to conduct two large-scale surveys in two waves. One survey will draw samples from technology-based entrepreneurial firms located in various types of incubators, and the other will collect data from recently founded firms in an emerging industry. The reason we plan to conduct these surveys in two waves is to investigate the impact of technology attributes and opportunity-providers' organizational resource on the survival likelihood and growth potential of spinoffs. We believe that the research proposed in this project will not only enrich theories of university entrepreneurship and knowledge spillover entrepreneurship, but also deepen our understanding the interrelationship between technological innovation and technology-based entrepreneurship.

本研究计划从知识流动的角度，分析技术知识作为创业机会的来源通过技术转移和知识溢出途径促进技术创业活动的微观作用机制，试图回答下述问题：(1) 什么样的技术知识更有可能通过转移和溢出被创业者捕获和利用？这些知识是通过什么途径和手段被创业者捕获的? (2)不同类型和属性的技术知识对创业者的技术创业活动和创业企业的生存和成长等绩效有什么不同的影响? 除技术知识外，技术机会创造者的哪些组织资源可能会对技术创业活动产生影响？(3) 技术机会及其提供者的组织资源对创业者创业活动和创业企业绩效的影响与哪些因素（如外部环境动态、机会利用者与创造者之间的关系）有关？本研究将在调研访谈的基础上，以各种类型孵化器中的在孵企业和一个新兴行业内的技术创业企业为研究对象，进行跟踪问卷调查。预期成果不仅能够丰富现有的高校创业理论和知识溢出创业理论，而且有助于我们重新认识技术创新与技术创业的关系。

以技术知识为机会来源的创业活动是高质量的创业活动，在促进就业、创造国民财富、推动经济发展方面较其它类型的创业活动更加重要。本研究以中国制造业为主，考察与技术转移和知识相关的创业机会的来源、类型及其影响机制。. 首先，我们对不同来源的创业机会进行了分类比较，在考虑技术创新、需求增长、市场细分等机会的基础上，对比了与创新相关的创业机会和与套利相关的创业机会对制造业创业活动的影响。研究发现，不同类型创业机会的分布显著影响我国制造业行业创业活动的区域差异，其对行业创业活动影响与产业特征、制度环境、组织环境、区域条件等外部因素有关。. 其次，我们考察了作为创业机会重要来源之一的、可以被转移或者溢出的技术知识的属性和特征。我们发现，高等学校与外部企业签订的技术转让合同的数量和价值受高校自身商业活动的影响。同样，通过对企业专利价值的分析，我们发现，发明人较少、获得授权周期较长的专利更有可能被原企业弃之不用，因而更可能溢出而被非创造者利用。这表明，从高校和创新企业通过转移和溢出获得的知识对创业企业的绩效影响可能非常有限。. 最后，通过对创业者的问卷调查发现，创业者离职成立自己的企业是从原来单位获得知识溢出的主要方式。创业企业的绩效和创新能力不仅与创业者能够获得和利用的外部知识的多少和类型（学术知识还是商业知识）有关，而且受到创业者人力资本和社会资本调节作用的影响。. 本研究有助于加深我们对创业机会研究的认识、丰富大学创业和知识溢出创业理论。通过将创新和创业研究有机结合在一起，本研究还扩展和补充了国家创业研究系统的分析内容，从广度和深度上丰富了我国创业领域的研究内容。