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论文编号：	254
作者编号：	20050751
上传时间：	2008/6/18 12:04:55
中文题目：	基于因果倒置理论的创业行为与新
英文题目：	Empirical Research on Relation
指导老师：	张玉利
中文关键字：	创业行为 成长绩效 因果倒置
英文关键字：	Entrepreneurial behavior Grow
中文摘要：	当前，人们越来越认识到创业活动对激发经济活力的意义。创业活动的繁荣也为创业研究带来了机遇。在世界范围内，创业研究的重新兴起开始于上世纪八十年代，社会变革、竞争加剧、高度不确定性和快速技术进步使大公司的地位开始动摇，人们关注的重心转向小企业和众多的创业活动。创业现象成为管理学者和社会学者研究的热点。早期的创业研究主要关注什么样的人可能成为创业者，试图发现创业者与其他群体相比的独特性。后来学者们提出，创业研究的核心问题不在于描绘创业者本身，而应深入创业过程内部，揭示新企业是如何产生的，以及新企业生成过程中的活动规律。对创业过程的研究成为最具有现实意义的问题，也成为揭示创业本质的关键。基于这一判断，创业研究逐渐显现出几个比较清晰的主题，比如从机会主题考察创业机会的识别和开发，从因素主题考察影响创业的内外部条件，从行为主题考察创业过程中的活动，这些研究为人们更深入地认识创业现象提供了帮助。 本文的研究属于行为主题部分。在这一主题下，学者们已经对创业行为的独特性进行了探索，并试图从不同的视角进行分析，但大多数的研究侧重于某一方面，未能对创业行为进行系统性的理论解释，而Sarasvathy提出的因果倒置理论则具备较强的理论解释能力。因果倒置理论从创业者面临的独特决策环境出发，分析了创业活动与成熟企业管理活动的差异，针对传统管理理论的因果行为理性，提出了解释创业活动的因果倒置行为理性。因果倒置理论引起了很多创业研究者的兴趣，本文正是基于这一理论，试图通过定量的实证研究去考察因果倒置行为与新企业成长绩效的关系。具体来说，本研究的核心是两个问题：（1） 创业者选择因果倒置行为模式的原因是什么？（2） 因果倒置行为能否促进新企业的成长绩效？ 对第一个问题的研究表明，包括创业者的先前经验、创业者的类型、新企业的类型等都对创业者的因果倒置行为选择有影响，有经验的创业者更倾向于采取符合因果倒置理性的行为，更多地进行战略调整，较少进行市场调查。新企业的类型也对创业者的行为方式产生影响，被认定为高新技术企业的新企业更多地倾向于遵循因果理性，强调外部资源获取和较少进行战略调整，被认定为高新技术企业无疑增加了企业的合法性，更容易获得利益相关者的认同，从而为外部资源获取奠定了基础。创业者的类型也影响到创业行为的选择，同时经营多家企业的创业者更多地倾向于外部资源获取，较少进行战略调整，更倾向于采用因果理性的行为。 对第二个问题的研究结果表明，环境不确定性对因果倒置行为与企业绩效的关系有显著的调节作用。创业者应根据他们所面临的环境不确定程度选择不同理性的行为，在高的不确定环境下，选择因果倒置行为对新企业的成长更有利。此外，对面临低不确定环境的创业者而言，应该注意两种理性行为的协调。环境状态不是一成不变的，尽管在企业成立之后，某些产品和服务已经成形，市场也逐渐清晰，但市场的构成要素并没有完全具备，在供应、需求、流通渠道、技术、人力或财务资本等方面还存在不足，同时，企业的盈利能力也不确定，还需要进行大量的探索性试误行为，并且往往要经过很长时间的探索才能最终确定企业的主要产品和发展方向。因此，创业者需要对两种理性行为加以协调。 此外，本文检验了自我效能水平对不同的行为选择与新企业绩效关系的调节作用。尽管创业领域对自我效能的关注已有较长的时间，但大多数的研究关注的是自我效能对创业者与其他群体的区分作用以及自我效能对创业意图形成的影响。创业者面临远远高于成熟企业管理者的压力，其自我效能可能对新企业的绩效有重要的意义。研究结果表明，创业者的自我效能水平对行为选择和绩效之间的关系有比较显著的调节作用。自我效能的正向调节作用意味着积累创业经验是创业者必需的一个过程。成功的创业者在之前往往经历过多次创业失败，这也是一个积累创业经验、提高创业技能和效能水平的过程。企业的失败并不意味着创业者的失败，创业者通过经历创业的过程来提高自身的能力，提高自我效能的水平，以最终获得成功。
英文摘要：	The contribution of entrepreneurship to national economic growth has been well established in the economic literature. In china, government has regarded stimulating entrepreneurial activities as an important policy. The prosperity of entrepreneurial activities bring opportunities to entrepreneurship research. Since the 1980s, entrepreneurship has emerged as a topic of growing interest among management scholars and social scientists. Big companies’ status had been challenged by the social transforming, environmental uncertainty and fast technical progress, entrepreneurial activities and small business had attacted scholars’ attention renewedly. Entrepreneurship research has grown in legitimacy, particularly in business schools. Early researches focused on entrepreneurial character in order to explain what kind of person would become entrepreneur, but these efforts failed to find the difference between entrepreneurs and other groups. After reflecting on the past work, Scholars suggested future research to explore the entrepreneurial process in order to explain how new firm come to be. These have appeared several specific topics:the first focuses on entrepreneurial opportunity to explore opportunity’s identifying and developing, the second focuses on entrepreneurial factors to explore inner and outer condition affecting new venture creation, the third focuses on entrepreneurial behavior to explore activities implemented in the entrepreneurial process. Through retrospecting the literature about entrepreneurial behavior, we found that there are some scholars had explored the difference between entrepreneurial behavior and managerial behavior and explained the difference based on diverse view, whereas, there is in need of a systemic theoretical explanation. The theory of effectual reasoning advanced by Sarasvathy proposes a decision process employed by entrepreneurs that differs substantially from the rational choice paradigm employed by managers of established companies. Based on the theory of effectuation, this research focus on two question: what factors affect the entrepreneur to choose effectual entrepreneurial behavior? If the effectual entrepreneurial behavior improve the performance of new venture? In order to answer these two questions, an empirical study was implemented. The results and findings of the study can be drawn as follows: 1. whether entrepreneur choose effectual entrepreneurial behavior is affected by these factors including entrepreneur’s previous experience, the style of entrepreneur, the style of new venture. Entrepreneurs provided with previous experience are inclined to choose effectual entrepreneurial behavior, they emphasize to adjust strategy, not to survey market; the style of new venture also affect the entrepreneur to choose different behavior, those entrepreneurs whose firm was identified as high technical firm are inclined to choose causal entrepreneurial behavior, they emphasize to obtain outer resource, not to adjust strategy; the style of entrepreneur affect the entrepreneur to choose different behavior, those entrepreneurs retain their original business and inherit, establish, and/or purchase another business at the same time are inclined to choose causal entrepreneurial behavior, they emphasize to obtain outer resource, not to adjust strategy. 2. Environmental uncertainty has significant positive moderating effect on the relationship between entrepreneurial behavior and performance, it implies entrepreneur should choose different behavioral logic according to specific context. Under high uncertain environment, effectual entrepreneurial behavior may be a better choice for new firm to attain its objective of growthing. When facing low uncertain environment, entrepreneur should balance effectual and causal entrepreneurial behavior, because the environment is not unchangeable. After the creation of new firm, the demands of the product or service become more and more clear, but some components of market are absent. Meanwhile, many “trial and error” is necessary for entrepreneur to develop new product and market, effectual reasoning is indispensable for new firm. The harmonization of these two different reasoning is necessary for new venture. 3. Moderating effect of self-efficacy is tested. There is an increasing emphasis on the role of self-efficacy in the study of entrepreneurship, but most of these studies focus on whether self-efficacy can distinguish between entrepreneurs and other groups or the effect of self-efficacy to develop entrepreneurial intention, there are few studies explore the relationship between entrepreneur’s self-efficacy and new firm’s performance. To cope with high uncertain environment, entrepreneurs must have a strong cognitive estimate of their capabilities, so entrepreneurs with higher self-efficacy may have better performance than those with lower self-efficacy, even though they choose the same behavior. The result indicates self-efficacy has significant positive moderating effect. Because the most effective way for individuals to develop a strong sense of self-efficacy is through experiences, so most entrepreneurs must suffer many times entrepreneurial process to obtain high self-efficacy. Firm successes and failures determine the successes and failures of entrepreneurs, entrepreneurs should use firms as instruments to increase the probabilities of their own success.
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