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论文编号：	11887
作者编号：	2120182985
上传时间：	2020/6/23 16:03:50
中文题目：	创业者认知适应性、商业模式调整与创业退出 ——基于制度环境视角的纵向单案例研究
英文题目：	Entrepreneur’s Cognitive Adaptability, Business Model Adjustment and Entrepreneurial Exit ——A Longitudinal Single Case Study from the Perspective of Institutional Environment
指导老师：	任兵
中文关键字：	认知适应性；制度环境；商业模式调整；创业退出；过程追踪法
英文关键字：	Entrepreneur’s Cognitive Adaptability; Institutional Environment; Business Model Adjustment; Entrepreneurial Exit；Process-tracing Method
中文摘要：	改革开放以来，我国长期处在转型经济背景下。我国要由工业、要素以及投资主导型经济转为由服务业、创新以及消费主导型经济，这在“十三五”规划中被明确指出。从“大众创业，万众创新”被李克强总理提出以来，各级政府部门相继出台各类对创业的支持性政策，这为创业活动提供了良好的制度环境，创业活跃度不断提高。20世纪90年代以来互联网经济的蓬勃发展，商业模式概念开始兴起。创业企业依托互联网技术，通过开展商业模式创新实践，改变甚至颠覆了原有的市场竞争环境和规则。商业模式对于创业企业具有极其重要的价值，商业模式的开发与实施是关系到创业企业生存和成长的重要问题。但创业本身是一项高风险与高失败率并存的活动，创业者在创业过程中经常遭遇各种经济与身心挫折，这会给创业者带来巨大的压力，创业者退意由此萌生，这必然会涉及到创业退出问题。创业退出是创业过程中的重要构成阶段，作为创业实践中的常态化现象，创业退出值得高度关注。 在创业退出研究中，目前主要从家庭生活、创业者、新创企业以及社会环境这四个层面研究创业退出的前因。在制度情景方面，缺乏关注制度频繁变迁的行业的创业退出的研究。但频繁的制度变迁，会极大地提高创业成本，降低创业意愿，从而导致创业退出。制度的变迁是宏观因素，在微观层面，制度变迁如何影响创业退出需要从创业认知方面研究，目前有学者从创业者认知过程以及社会认知方面来研究创业退出。整体而言，创业认知角度的创业退出研究处于起步阶段，研究成果较少，有待进一步深入挖掘。认知适应性是创业认知的一个研究主题，没有从认知适应性角度来研究创业退出。它为解释为什么在同样的情景和认知过程下有些创业者选择退出而有些创业者选择坚持提供了一种解释的可能。而且缺乏依托商业模式进行创业的创业退出研究，商业模式是一个动态的一个决策和调整的过程，在这个调整的过程和结果会影响创业者的意愿，从而导致创业退出。商业模式的调整对创业退出的影响机制没有被揭示出来。最后，没有一个整合性的研究。新创企业退出是一个非常复杂的管理现象，是多重因素作用的结果，涉及到不同层次和模式。在制度频繁变迁情境下，制度环境、商业模式调整以及创业者的认知是有连锁反应的，共同影响创业退出。目前创业退出的研究没有整合制度环境变化与创业者认知以及商业模式调整，也没有深入挖掘它们之间深层次的逻辑关系。 本研究认为，制度理论为深化创业认知适应性对创业退出作用机制研究提供了思路。制度环境能够塑造创业者的认知，而认知适应性指导创业者进行商业模式调整模式的选择，通过制度与认知之间的交互作用，共同影响商业模式调整，从而影响创业退出。但是已有研究大多基于新工业化国家的成熟资本主义市场，对于转型经济关注不足，并且没有基于认知和制度双视角形成清晰完整的创业退出解释逻辑。因此，本文将转型经济作为创业退出现象深描的情境化手段，并提出本文的研究问题：在频繁发生制度变迁的转型经济社会，创业者会表现出怎么样的创业认知适应性？创业者的认知适应性如何影响依托商业模式的创业决策选择与调整？认知适应性是如何通过影响商业模式选择与调整来最终影响创业退出的？ 本文以X集团的P2P创业项目为研究对象，采用理论检验型过程追踪研究方法以及单案例研究方法：理论检验过程追踪指从现有文献中推断出一种理论，然后检验证据是否表明一个假设因果机制的每一部分都存在于一个特定的案例中，从而使案例内部能够推断该机制在案件中是否发挥了预期的作用，以及该机制作为一个整体是否存在；本文采取纵向的单案例研究，意味着有较长的时间跨度，在多个时间点对同一案例进行观察、调研以及分析。本研究通过观察该集团从2013年开始进行创业到2015年选择退出的3年完整时间窗口。 在此基础上，研究得出以下五方面的结论：第一，制度环境促成创业者制度环境认知的形成，创业者制度环境认知有规制动荡、助力缺失、认知差异大三个特征；第二，创业者的认知适应性具有目标模糊、元认知意识高以及合规监控强三个特点；第三，商业模式的调整有跳跃式和反复式两种模式，商业模式调整关键环节包括初始商业模式初始认知、商业模式试错、结果反馈、风险感知、商业模式认知改变以及商业模式调整；第四，认知适应性和制度环境共同作用于商业模式调整过程和模式；第五，商业模式调整和风险感知的互动共同作用于创业退出。本研究可以从以下三方面给管理者/创业者启示：第一，制度环境通过认知适应性影响创业认知；第二，频繁地大幅度的商业模式调整不利于初创企业发展；第三，创业团队内部认知差距要控制在合理范围。 本论文结合创业认知和制度理论视角深入挖掘企业在创业过程中如何发生商业模式的调整并最终导致创业退出的作用机制，有助于整合关于创业退出的微观层次、中观层次和宏观层次的研究，对于挖掘“为何有的创业者在动荡的制度环境下能不断调整商业模式做出合理决策”的理论难题是有益的探索，对于创业认知和决策、商业模式调整、创业退出理论都具有一定的理论贡献。
英文摘要：	Since the reform and opening up, China has been in the background of transitional economy for a long time. China should change from an industry, factor and investment-led economy to a service, innovation and consumption-led economy, which was clearly pointed out in the 13th Five-Year Plan. Since Premier Li Keqiang proposed "mass entrepreneurship and innovation", government departments at all levels have successively issued various supportive policies for entrepreneurship, which has provided a good institutional environment for entrepreneurial activities and continuously improved entrepreneurial activity. Since the 1990s, with the vigorous development of the Internet economy, the concept of business model has begun to rise. Relying on Internet technology, start-up enterprises have changed or even subverted the original market competition environment and rules by carrying out business model innovation practices. Business model has extremely important value for start-up enterprises. The development and implementation of business model is an important issue related to the survival and growth of start-up enterprises. However, starting a business itself is an activity with high risks and high failure rate. Entrepreneurs often encounter various economic and physical and mental setbacks in the process of starting a business, which will bring great pressure to entrepreneurs. Entrepreneurs' withdrawal intention will arise from this, which will inevitably involve the withdrawal of starting a business. Entrepreneurial exit is an important component stage in the process of entrepreneurship. As a normal phenomenon in entrepreneurial practice, entrepreneurial exit deserves high attention. In the research of entrepreneurial withdrawal, the antecedents of entrepreneurial withdrawal are mainly studied from four aspects: family life, entrepreneurs, start-ups and social environment. In terms of institutional scenarios, there is a lack of research on entrepreneurship and withdrawal in industries with frequent institutional changes. However, frequent institutional changes will greatly increase the cost of starting a business and reduce the willingness to start a business, thus leading to the withdrawal of starting a business. Institutional change is a macro factor. At the micro level, how institutional change affects entrepreneurial withdrawal needs to be studied from the perspective of entrepreneurial cognition. At present, some scholars study entrepreneurial withdrawal from the perspective of entrepreneurial cognitive process and social cognition. On the whole, the research on entrepreneurship withdrawal from the perspective of entrepreneurship cognition is in its infancy, and the research results are few, which needs further in-depth exploration. Cognitive adaptability is a research topic of entrepreneurial cognition, and entrepreneurial withdrawal is not studied from the perspective of cognitive adaptability. It provides an explanation for why some entrepreneurs choose to quit while others choose to insist under the same situation and cognitive process. Moreover, there is a lack of research on entrepreneurship exit relying on business model. Business model is a dynamic process of decision-making and adjustment. The process and results of adjustment will affect the wishes of entrepreneurs, thus leading to entrepreneurship exit. The influence mechanism of the adjustment of business model on the withdrawal of entrepreneurship has not been revealed. Finally, there is no integrated study. The exit of new ventures is a very complicated management phenomenon, which is the result of multiple factors and involves different levels and modes. Under the situation of frequent institutional changes, institutional environment, business model adjustment and entrepreneurs' cognition have a chain reaction, which jointly affect entrepreneurship withdrawal. At present, the research on entrepreneurship withdrawal has not integrated the changes of institutional environment, entrepreneurs' cognition and business model adjustment, nor has it deeply explored the deep-seated logical relationship between them. This study holds that the institutional theory provides ideas for deepening the research on the mechanism of entrepreneurial cognitive adaptability on entrepreneurial withdrawal. Institutional environment can shape entrepreneurs' cognition, and cognitive adaptability guides entrepreneurs to choose business model adjustment mode. Through the interaction between system and cognition, it can jointly affect business model adjustment, thus affecting entrepreneurship withdrawal. However, most of the existing studies are based on the mature capitalist markets in newly industrialized countries, which do not pay enough attention to the transition economy, and do not form a clear and complete explanation logic for entrepreneurship withdrawal from both cognitive and institutional perspectives. Therefore, this paper regards the transitional economy as a situational means to deeply describe the phenomenon of entrepreneurship withdrawal, and puts forward the research question of this paper: In the transitional economy society where institutional changes frequently occur, what kind of entrepreneurial cognitive adaptability will entrepreneurs show? How does the entrepreneurs’ cognitive adaptability affect the choice and adjustment of entrepreneurial decisions based on business models? How does cognitive adaptability ultimately affect entrepreneurship exit by influencing business model selection and adjustment? This paper takes the P2P start-up project of X Group as the research object, Using the theory-testing process tracking research methods and single case research methods: Theoretical test process tracking refers to the inference of a theory from existing literature, Then test whether the evidence shows that each part of a hypothetical causal mechanism exists in a specific case, so that the case can infer whether the mechanism has played the expected role in the case and whether the mechanism exists as a whole. This paper adopts a vertical single case study, which means that there is a long time span and the same case is observed, investigated and analyzed at multiple time points. This study observes the complete 3-year time window from 2013 when the Group started its business to 2015 when it chose to quit. On this basis, the study draws the following five conclusions: first, the institutional environment promotes the formation of entrepreneurs' institutional environment cognition, which has three characteristics: regulatory turbulence, lack of assistance and large cognitive differences; Second, entrepreneurs' cognitive adaptability has three characteristics: vague objectives, high metacognitive awareness and strong compliance monitoring. Third, there are two modes of business model adjustment: jump mode and repetition mode. The key links of business model adjustment include initial cognition of initial business model, trial and error of business model, feedback of results, risk perception, change of business model cognition and adjustment of business model. Fourth, cognitive adaptability and institutional environment jointly act on the process and mode of business model adjustment. Fifth, the interaction between business model adjustment and risk perception acts on entrepreneurship withdrawal. This study can give enlightenment to managers/entrepreneurs from the following three aspects: first, institutional environment affects entrepreneurial cognition through cognitive adaptability; Second, frequent and large-scale business model adjustments are not conducive to the development of start-ups. Third, the cognitive gap within the entrepreneurial team should be controlled within a reasonable range. Based on the perspective of entrepreneurship cognition and institutional theory, this paper deeply explores the mechanism of how enterprises adjust their business models and eventually lead to entrepreneurship withdrawal in the process of entrepreneurship. It is helpful to integrate the research on micro-level, medium-level and macro-level of entrepreneurial withdrawal. It is a useful exploration to dig out the theoretical problem of "why some entrepreneurs can continuously adjust their business models and make reasonable decisions under the turbulent institutional environment". It has certain theoretical contributions to entrepreneurship cognition and decision-making, business model adjustment and entrepreneurship exit theories.
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