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论文编号：	12569
作者编号：	1120170883
上传时间：	2021/6/16 9:49:28
中文题目：	创业者认知适应能力的形成机制及对双元创业即兴行为影响研究
英文题目：	The Research on the Formation Mechanism of Entrepreneurial Cognitive Adaptability and the Influence on Ambidextrous Entrepreneurial Improvisation
指导老师：	胡望斌
中文关键字：	认知适应能力； 复杂适应系统理论； 双元创业即兴行为； 环境动 态性
英文关键字：	cognitive adaptability; complex adaptive system theory; ambidextrous entrepreneurial improvisation; environmental dynamism
中文摘要：	“物竞天择， 适者生存” ， 在不确定性日益常态化的创业环境之中， 适应 能力对于创业者日益重要， 能否有效适应环境变化成为决定创业质量的关键， 而创业者的认知适应能力在其中发挥了关键作用。本研究以创业者为研究对象， 围绕认知适应能力这一核心概念， 一方面， 通过对 6 位创业者的半结构化访谈， 运用案例研究方法， 基于复杂适应系统理论和社会认知理论， 揭示了创业者认 知适应能力的形成机制。 另一方面， 结合动态能力理论和社会认知理论， 运用 实证研究方法， 通过对 220 份有效问卷的假设检验， 探究了认知适应能力与双 元创业即兴行为之间的关系， 以及环境动态性的边界作用。 主要得到如下发现 与结论： 第一， 创业者认知适应能力的培养过程是一个复杂适应系统， 系统内各主 体（目标导向、 元认知知识、 元认知体验、 元认知选择、 监控） 自我发展同时 又相互影响， 共同促进了认知适应能力的形成。 具体而言， 创业者基于由环境 刺激所产生的个人感知， 通过以内省和外审为主的自我觉察过程， 和以自我觉 察为基础的创业学习实现认知升级， 塑造元认知知识， 元认知知识的形成是一 个生成性学习的过程。 其次， 创业者在感知环境压力或困难后， 通过以心理调 节和行动调节为主的自我调节过程， 提升元认知体验。 与此同时， 元认知知识 的积累可以影响创业者元认知体验， 元认知体验会更新创业者元认知知识， 二 者相互影响。 进一步， 多重决策框架的制定受目标导向、 元认知知识和元认知 体验的共同影响。 目标导向是多重决策框架制定的基础， 元认知知识影响决策 框架的有效性， 元认知体验影响决策框架的多样性和长期导向。 在三者的影响 之下， 创业者形成多重决策框架， 并在此基础上进行元认知选择。 元认知选择 过程中， 因果逻辑与效果逻辑并存。 此外， 目标制定来源于创业者外部评估和 内部评估所塑造的元认知知识， 并通过目标分解影响元认知选择和元认知体验。 最后， 创业者通过目标和结果之间的对比进行“目标-结果” 监控和流程监控， 这进一步影响创业者的元认知知识、 元认知体验和元认知选择。 通过这一过程， 创业者实现了认知适应能力的塑造， 其适应性主要体现在心理适应、 结构适应 和资源适应三个方面。 第二， 认知适应能力对于双元创业即兴行为具有显著的积极影响。 认知适 应能力作为一种动态管理能力， 具有双元性特征， 能够帮助个体打破旧的认知 模式， 克服自动反应， 支持更恰当的情境反应， 在探索和开发之间进行适当的 切换。 体现在决策中， 认知适应能力可以帮助组织重新配置资产， 使其既可以 利用现有能力， 也可以开发新的能力。 通过这种方式， 认知适应能力反映在一 组复杂的双元创业即兴行为中， 这些行为能够通过重新分配资源即时创造性地 应对环境变化。 所以， 认知适应能力是管理开发式创业即兴行为与探索式创业 即兴行为之间关系的重要认知能力， 通过双元性提升了创业即兴行为的适应性。 通过进一步探究不同维度对双元创业即兴行为的影响， 研究发现， 目标导向、 元认知知识、 元认知选择、 监控水平较高的创业者均体现出更高水平的双元创 业即兴行为， 元认知体验对于双元创业即兴行为的影响不显著。 此外， 动态环 境下， 认知适应能力对于双元创业即兴行为的影响更强。 值得一提的是， 环境 动态性对目标导向、 元认知知识、 监控与双元创业即兴行为之间的关系均有正 向调节作用， 但是负向调节元认知选择与双元创业即兴行为之间的关系。 本研究的理论贡献和创新点主要包括以下四个方面。 第一， 本研究基于复 杂适应系统理论， 揭示认知适应能力的形成机制， 弥补了认知适应能力形成机 制研究的不足， 丰富了认知适应能力的理论研究成果， 同时拓展了复杂适应系 统理论在创业研究领域的应用。 第二， 通过创业者认知适应能力形成机制研究 以及认知适应能力与创业即兴行为关系研究， 本研究回答了“创业者如何学会 即兴创作” ， 并为有效开展即兴行为提供了四种实践途径， 即坚持目标导向， 丰富元认知知识、 双重决策逻辑和反馈机制。 即兴发挥通常可以促进更强的组 织灵活性， 因此， 本研究也进一步启发了认知适应能力对于灵活性组织构建的 重要意义。 同时， 结合认知适应能力的培养进而促进即兴行为对精益创业方法 也有重要贡献。 第三， 本研究响应了个体二元性微观基础的呼吁， 通过回答“是 什么促进了创业者的双元创业即兴行为” ， 揭示了双元创业即兴行为的微观基 础， 进而从个体层面丰富了双元性的研究成果， 是对双元性微观基础文献的重 要补充。 另外， 通过探究环境动态性的边界作用， 本研究整合了内部和外部因 素， 构建了一个相对系统的个体双元创业即兴行为的过程机制， 从而为现有研 究做出了一定贡献。 第四， 本研究还回应了因果逻辑和效果逻辑在创业研究中 的争论。 本研究认为， 在创业活动中， 不应使用效果逻辑取代因果逻辑， 应遵 循一种“混合” 逻辑， 这种逻辑包含并结合了效果逻辑和因果逻辑。 因果逻辑和效果逻辑也是组织二元性的体现， 二者可以是正相关的。 所以， 本研究进一 步拓宽了创业者决策过程的研究视角， 对创业者决策过程研究有一定的启示。 本研究共包括六个章节， 第一章为绪论， 主要阐述了本研究的研究背景、 研究意义、 研究方法和研究过程。 第二章为文献综述和理论基础。 围绕创业者 认知能力、 认知适应能力和双元创业即兴行为对现有国内外文献进行了梳理和 评述， 并阐述了本研究的理论基础。 第三章是研究设计。 主要描述了本研究的 案例研究设计和实证研究设计。 案例研究设计包括研究方法选择、 案例选择、 数据收集流程、 数据编码过程及信度和效度保障。 实证研究设计涵盖问卷设计、 变量测量、 预调研、 数据收集与样本描述等内容。 第四章为案例研究部分， 即 创业者认知适应能力形成机制研究。 第五章为实证研究部分， 检验了认知适应 能力与双元创业即兴行为之间的关系。 第六章是本研究的研究结论与展望。 对 案例研究和实证研究的结论进行了梳理归纳， 提出了本研究的创新之处、 理论 启示与实践启示，同时指出了本研究的不足之处和未来研究的方向。
英文摘要：	“Natural selection leads to survival of the fittest”. In an entrepreneurial environment where uncertainty is increasingly normal, the ability to adapt is increasingly important for entrepreneurs. Whether they can effectively adapt to changing environment become the key to determine the quality of entrepreneurship, and the cognitive adaptability of entrepreneurs plays a key role. As a result, taking entrepreneurs as the research object, this study reveals the formation mechanism of entrepreneurs’ cognitive adaptability based on complex adaptive system theory by case study. At the same time, this paper explores the relationship between cognitive adaptability and ambidextrous entrepreneurial improvisation, as well as the boundary role of environmental dynamics using 220 valid questionnaires by combining dynamic ability theory and social cognition theory. The main findings and conclusions are as follows: Firstly, the formation mechanism of entrepreneurs’ cognitive adaptive ability is a complex adaptive system, in which various agents (goal orientation, metacognitive knowledge, metacognitive experience, metacognitive choice, and monitoring) self-development and influence each other, jointly promoting the formation of cognitive adaptability. Specifically speaking, based on the perception produced by environmental stimuli, entrepreneurs accumulate metacognitive knowledge through self-awareness, which includes introspection, external scrutiny, and entrepreneurial learning based on self-awareness to achieve cognitive upgrades. The formation of metacognitive knowledge is the process of generative learning. Secondly, entrepreneurs can improve their metacognitive experience through a self-regulation process mainly composed of psychological adjustment and action adjustment after perceiving environmental stress or difficulties. At the same time, the accumulation of metacognitive knowledge can influence entrepreneurs’ metacognitive experience, while metacognitive experience will update entrepreneurs’ metacognitive knowledge. Furthermore, the formulation of multiple decision frames is influenced by goal orientation, metacognitive knowledge, and metacognitive experience. Goal orientation is the basis of multiple decision frames. Metacognitive experience affects the diversity and long-term orientation of decision frames, and metacognitive knowledge affects the effectiveness of decision frames. Under the influence of these three factors, entrepreneurs make multiple decision frames and make metacognitive choices. In the process of metacognitive choice, causation and effectuation coexist. Besides, goals are derived from the metacognitive knowledge shaped by entrepreneurs’ external evaluation and internal evaluation and affect the metacognitive choice and metacognitive experience through goal decomposition. Finally, entrepreneurs conduct “goal-outcome” monitoring and process monitoring through the comparison between goals and results, which further affects entrepreneurs’ metacognitive knowledge, metacognitive experience, and metacognitive choices. Through this process, entrepreneurs have achieved the shaping of cognitive adaptability, which is mainly embodied in three aspects: psychological adaptation, structural adaptation, and resource adaptation. On the other hand, cognitive adaptability has a significant positive effect on ambidextrous entrepreneurial improvisation. Cognitive adaptability, as a dynamic management ability, has typical ambidextrous characteristics, which can help individuals break the old cognitive mode, overcome automatic response, support more appropriate situational response, and make an appropriate switch between exploration and exploitation. Embodied in decision making, cognitive adaptation can help organizations reconfigure assets to both leverage existing capabilities and develop new ones. In this way, cognitive adaptation is reflected in a complex set of ambidextrous entrepreneurial improvisations, which responding creatively to environmental changes by reallocating resources. Therefore, cognitive adaptability is an important cognitive ability to manage the relationship between exploratory entrepreneurial improvisation and exploitative entrepreneurial improvisation, and it improves the adaptability of entrepreneurial improvisation through ambidexterity. By further exploring the influence of different dimensions of cognitive adaptability on ambidextrous entrepreneurial improvisation, the research finds that entrepreneurs with a higher level of goal orientation, metacognitive knowledge, metacognitive choice, and monitoring all reflect a higher level of ambidextrous entrepreneurial improvisation, while metacognitive experience has no significant influence on ambidextrous entrepreneurial improvisation. In addition, cognitive adaptability has a stronger influence on ambidextrous entrepreneurial improvisation under the dynamic environment. It is worth mentioning that environmental dynamics positively moderates the relationship between goal orientation, metacognitive knowledge, monitoring and ambidextrous entrepreneurial improvisation, but negatively moderates the relationship between metacognitive choice and ambidextrous entrepreneurial improvisation. The theoretical contributions and innovations of this study mainly include the following four aspects. First, based on the complex adaptive system theory, this study reveals the formation mechanism of cognitive adaptability, makes up for the lack of research on the formation mechanism of cognitive adaptability, enriches the theoretical research results of cognitive adaptability, and expands the application of complex adaptive system theory in entrepreneurial research. Second, through the research on the formation mechanism of cognitive adaptability and on the relationship between cognitive adaptability and entrepreneurial improvisation, this study answered “how entrepreneurs learn to improvise”, and provides four practical ways to effective improvisation, such as adhere to the goal orientation, rich metacognitive knowledge, ambidextrous decision-making logic, and feedback mechanism. Improvisation usually promotes greater organizational flexibility. Therefore, this study further illuminates the importance of cognitive adaptation for the construction of flexible organizations. At the same time, the promotion of improvisation in combination with the cultivation of cognitive adaptability also makes an important contribution to the lean startup approach. Third, this study responds to the appeal of the micro-foundation of individual ambidextrous. By answering the question “what promotes entrepreneurs’ ambidextrous entrepreneurial improvisation”, this study reveals the micro-foundation of ambidextrous entrepreneurial improvisation and further enriches the research results of ambidexterity from the individual level, which is an important supplement to the literature on the micro-foundation of ambidexterity. Also, by exploring the boundary role of environmental dynamics, this study integrates internal and external factors and constructs a relatively systematic process mechanism of individual ambidextrous entrepreneurial improvisation, thus making a certain contribution to the existing research. Fourthly, this study also responds to the debate between causation and effectuation in entrepreneurship research. This study argues that in entrepreneurial activities, effectuation should not be used to replace causation, but should follow a “mixed” logic, which includes and combines causation and effectuation. Causation and effectuation are also embodiments of organizational ambidextrous, and they can be positively correlated. Therefore, this study further broadens the research perspective of the decision-making process of entrepreneurs and has some enlightenment for the research of the decision-making process of entrepreneurs. This study consists of six chapters. The first chapter is the introduction, mainly explaining the research background, research significance, research methods, and research process of this study. The second chapter is the literature review and theoretical basis. Focusing on the cognitive ability, cognitive adaptability, and ambidextrous entrepreneurial improvisation, this paper reviews the existing literature both at home and abroad, and expounds on the theoretical basis of this study. The third chapter is the research design, which mainly describes the case study design and empirical research design of this study. The case study design includes research method selection, case selection, data collection process, data coding process, and reliability and validity guarantee. The empirical research design includes questionnaire design, variable measurement, pre-survey, data collection, and sample description. The fourth chapter is the case study, that is, the formation mechanism of entrepreneurs’ cognitive adaptability. The fifth chapter is the empirical study examining the relationship between cognitive adaptability and ambidextrous entrepreneurial improvisation. The sixth chapter is the conclusion and prospect of this research. The conclusions of the case study and empirical study are summarized, and the innovation, theoretical enlightenment, and practical enlightenment of this study are put forward. At the same time, the shortcomings of this study and the direction of future research are pointed out.
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