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论文编号：	7642
作者编号：	1120100767
上传时间：	2015/6/25 20:18:56
中文题目：	复杂网视角下的企业边界拓展及其效应研究：以中国战略新兴产业新能源企业为例
英文题目：	The Expansion of the Boundary of the Firms and Its Influence Based on the Complex Network Perspective: the Study of New Energy Firmsof Strategic Emerging Industry in Chinese Context
指导老师：	任学锋
中文关键字：	企业边界；战略新兴产业；新能源产业；创业投资支持；政策影响；复杂网视角
英文关键字：	the Boundary of the Firms; Strategic Emerging Industry; New Energy Industry; the Support of Venture Capital; Policy Influence; Complex Network Perspective
中文摘要：	企业边界即企业经营管理的范围，是定义企业管理框架的关键概念。自科斯以来,对于企业边界的讨论一直是管理学研究的核心议题。随着新兴产业开始成为世界经济的持续增长点，以新能源为核心的第三次工业革命大大改变了原有的经济发展模式、市场结构和组织方式，企业边界也由此发生了变革。 新能源应用带来了广泛的网络化，企业获取资源和信息的成本大大降低，这些因素促进了企业的组织形式由层级逐步转向网络化，企业的边界由此得到了极大的拓展。企业边界的拓展必然会使企业的组织结构和运营模式发生变化，而对于这些变化导致的企业变革及其效应差异（比如不同企业组织间的结盟合作、竞争战略以及时机等），现有的研究还不充分。 本研究基于复杂网视角，围绕“企业边界”这一核心概念展开。 首先，以新企业和创业投资（nv-EC）网络为例，阐明了第三次工业革命情境下，企业边界拓展的情况，重点聚焦于战略新兴产业下新能源产业的特殊模式。使用了可视化方法对1995年至2011年间4164家创业投资企业以及11126个投资事件进行了分析，结果表明：在整体创业投资和新企业网络中，战略新兴产业逐步由边缘向核心发展；传统产业和战略新兴产业呈现出逐步融合的趋势；其中新能源产业也经历了由边缘向核心的发展，并且逐步摆脱了地理限制。 继而，通过阐述创业者、新企业与创业投资关系建立的过程，刻画出了企业边界拓展的影响因素。使用“准实验”方法，在企业和个人社会网络的框架下，对影响新企业与创业投资关系建立的七项可能性因素进行了研究。基于对72名真实投资者进行准实验检验的结果发现：在教育背景、名企从业经验、政府从业经验、海外经验、创业者性别、团队以及地区等七项因素中，名企从业经验和海外经验对企业获得风险投资具有显著的影响，地区因素仅有部分影响。 然后，基于创业投资产业，阐明了企业通过怎样的联合方式进行边界构建的过程。基于深度访谈，对中国创业投资企业边界拓展的过程，即联合投资关系的形成和转换机制提出了新的分析，使用声誉和关系距离解释合作关系形成的理论框架。运用广义线性模型对1995年至2011年间的4164个中国创业投资企业的1757858对联合投资关系数据进行检验后发现：边界构建存在一定的模式。比如过去的关系对新一轮联合投资很重要，但关系距离最近并不是合作机率最高的，距离太远则合作机率很低，关系距离适中最好。此外，累计优势、纳新趋势、产业多样性、追随大流（短期）都会对创业投资企业边界拓展有显著的正向作用。 随后，通过检验新企业拓展后边界对于企业绩效的影响，阐述了边界拓展的效应。通过检验新企业投资者在其联合投资网络中所占据特殊位置，查看了不同性质的位置对获投新企业绩效的最终影响。以2012年前成立的139家新能源企业的328对投融资关系为例，检验了其联合网络位置对其财务以及成长绩效的影响。结果发现，与传统观点相悖的是：与位处联合投资网络中心、控制力更强的投资者相比，位于结构洞、拥有封闭网络的投资者对新企业的绩效作用更大。 最后，本研究还进一步检验了外部政策对于企业边界拓展及其效应的调节作用。结果发现：政策会凸显处于联合投资网络中心、控制力更强的投资者对于新企业绩效的作用，而对于处于结构洞、拥有封闭网络的投资者则没有影响。 本研究聚焦于战略新兴产业通过构建企业组织间密切互动合作关系来进行发展的模式，拓展和深化了战略新兴产业发展模式的理论研究，并阐明了新能源产业非地理约束的发展趋势。 通过深入企业间的合作互动过程，识别出了影响企业边界拓展的特质因素、总结了企业边界的拓展模式，并进一步揭示了企业边界拓展的效应。 通过诠释起步边界拓展过程及其效应，扩充了企业边界的定义，扩展了本土企业研究的理论边界，充实了战略管理研究的框架。 在复杂网视角下，对企业边界的研究，深化了不同网络机制对于企业绩效的影响，并进一步澄清了结构洞理论的边界，阐明了结构洞封闭的优劣是由外部环境的不确定性决定的，丰富了相关的理论内涵。
英文摘要：	Firm boundary, the scope of the firm management, is a core concept for defining the framework of firm management. The notion of firm boundary was first proposed by the Novel Award winner, Ronald H. Coase and has quickly become one of the central research problems in management science. Recently, the firm boundary has witnessed revolutionary changes with the rapid development of emerging industries, in particular the new energies, that not only significantly changes the development patterns, market structure and organization mode, but also constitutes the continuous growth of world economy. Surrounding with the new energy applications, the network makes the cost of acquiring resources and information much lower than any ever before. This, in return, leads to the evolution of the form of organization in firms: a trend from hierarchy to network. As a result, the definition of firm boundary is quite different from before. However, it is still unclear what are the fundamental differences between today and before, particularly on how firms unify to compete with each other and how competitors converge to unified organization. In this thesis, from the perspective of complex networks, we conduct a systematic investigation for the problem of firm boundary. More specifically, we first use a network (nv-EC) of new firms and venture capital to study how strategic emerging industries develop in the past years and how emerging industries and traditional industries compete or collaborate with each other. We use the energy industry as the example in our study. We have collected a large dataset consisting of 4,164 startup firms and 11,126 investment events during 1995 and 2011. Our analysis on the dataset shows that strategic emerging industries start to become a core development field, and traditional industries and emerging industries start to merge together. In addition, emerging energy industries start to quickly grow without the geographic restriction. Second, we try to understand the mechanisms that influence the change of firm boundary using the dynamic development of startup-VC relationships and VC’s co-investment relationships. We design seven hypotheses and use interview with 72 VCs to validate these hypotheses. Our results show that among the seven factors: name-brand company background, government background, oversea experience, co-founder gender, team, and location, etc., the two most significant factors are name-brand company background and oversea experience. Third, we focus on studying how firms extend their boundaries by collaboration. Through interviews, we have developed new theory framework for the formation and transformation of co-investment relationships, by using reputation and relationship distances. We use generalized linear models to evaluate the 1,757,858 co-investment relationships in the above nv-EC network. We found some intriguing patterns for the firm boundary. For example, the recent past co-investment relationship is very important for the new relationship, while the distance between VCs is not linearly correlated with the success of next co-investment. On the other hand, accumulation, new trend, and diversification will have positive effect for expanding VC’s firm boundary. Next, we investigate the effect when new firms extend their boundary. Still using the VC network, we study how the position of different VCs in the network influences their performance. We particularly study 328 co-investment relationships on 139 new energy firms. Surprisingly, different from conventional notion that centric nodes in the VC network have stronger power, our results reveal that structural hole nodes and located in a closed network could more help the invested firm to improve performance. Last, we study how government policies influence firm boundaries. We have some interesting findings: government policies indeed have strong (either positive or negative) influence on centric nodes in the network, but much less on structural hole nodes. In this thesis, we focus on strategic new industries and study how firms interact with each other to develop. Our study extends the theory framework of the development patterns of strategic new industries, and explains the development trend of new energy industry without geographic restriction. Through deep interaction with a number of firms, we identify important factors that influence the change of firm boundary, and reveal the development patterns of firm boundary. Our study extends the definition of firm boundary through a comprehensive investigation on local firms, and enhances the framework of strategic management research. From the perspective of complex networks, our study provides evidences on how different network mechanisms influence firms’ performance and enriches the theory of structural hole by explaining that the advantage of structural hole is due to the uncertainty of external environment.
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