区域软环境与中小企业绩效的关系机理研究

【作者】 于东平；

【导师】 段万春； 罗崇敏；

【作者基本信息】 昆明理工大学 ， 管理科学与工程， 2011， 博士

【摘要】 从实践上看,尽管我国政府已逐渐意识到中小企业在推动国民经济发展、增加财税收入、带动社会就业等方面的重要作用,并先后颁布了多项旨在创造良好外部生存及发展环境的政策法规,但是中小企业在实际运营过程中仍面临诸多问题,甚至出现了扎堆倒闭的现象。对此,人们不禁对政府所极力营造的区域软环境的实际效率和效果产生了质疑；从理论上看,尽管学术界早已认知到中小企业短命现象的可研性和重要性,但已有研究对区域环境与组织绩效之间关系的定性认知较多。即使存在对上述关系的定量探讨,也更为侧重于以浙江、江苏、黑龙江等东中部省份的民营上市公司为实证对象,对区域软环境某一具体要素与区域内中小企业发展之间关系的宏观层面认知,从而导致已有文献不仅缺乏对区域软环境(尤其是西部欠发达地区)与中小企业绩效两者之间及其内部各构成要素之间具体作用机理的系统性实证研究,而且就“为何政府花费大量精力所进行的区域软环境建设效果以及理论界所认知的常识性显著关系在企业实践中并未得以体现”这一现实问题也未予以关注。理论内容的研究缺失与实践问题的迫切解决,均要求重新厘清区域软环境与中小企业绩效两者之间及其内部构成要素之间的具体作用机理问题。为此,本文借助内外因之间的唯物辩证关系、耗散结构理论、企业生态系统论以及企业生命周期理论,构建了考虑企业家能力中介作用以及企业所处发展阶段调节作用的区域软环境与中小企业绩效之间的关系模型及研究假设,并以云南这一西部欠发达区域内的中小企业为主要实证对象,从总体视角和要素视角对上述关系进行了分别验证。研究首先应用合并同类项的文献整合法以及DS/AHP定量方法,提出了区域软环境要素体系、企业家能力要素体系、中小企业绩效要素体系以及企业发展阶段划分体系；其次,借助企业外生成长理论和制度基础论,提出了区域软环境对中小企业绩效的直接影响关系假设；借助企业内生成长理论、社会资本理论、高阶理论以及经理封顶理论,提出了企业家能力对中小企业绩效的直接影响关系假设：借助唯物辩证法的内外因关系、耗散结构论以及企业生态系统理论,提出了企业家能力对区域软环境与中小企业绩效关系中介作用的假设；借助企业生命周期理论,提出了企业所处发展阶段对区域软环境与中小企业绩效关系调节作用的假设；再次,通过借鉴并整合国内外关于区域软环境、企业家能力、中小企业绩效和企业生命周期实证研究中的测量题项,设计出了本文所需的调查问卷,并对其信度和效度进行了前测验证；最后,通过单纯随机抽样法和滚动抽样法向云南省中小企业发放问卷,并基于262份有效样本数据对所提假设进行了验证,最终得到了以下主要结论：一是区域软环境及其各要素可通过直接和间接两种途径对中小企业绩效进行影响。更为确切地说,一方面区域软环境可通过制度环境、政务环境、社会文化环境、金融服务环境等要素对中小企业绩效进行直接影响；另一方面制度环境、政务环境和社会文化环境等区域软环境要素可通过战略能力、机会能力、关系能力、概念能力等企业家能力要素对中小企业绩效进行间接影响。二是企业生命周期对区域软环境与中小企业绩效之间的关系具有调节作用。从总体视角上看,企业发展阶段越往后,区域软环境对中小企业绩效的总体影响程度则越弱；从要素视角上看,区域软环境对不同发展阶段下中小企业绩效的作用要素和影响程度均有所不同。具体而言,金融服务环境是影响初创型中小企业绩效最为重要的软环境要素,政务环境是影响成长型中小企业绩效最为重要的软环境要素,制度环境是影响成熟型中小企业绩效最为重要的软环境要素。三是区域软环境建设是一项长期工程,其建设效果具有滞后性。具体而言,从总体视角上看,区域软环境对中小企业长期绩效的正向影响作用较其对中小企业短期绩效的更为显著；从要素视角上看,短期内区域软环境6大要素对中小企业绩效均未表现出显著的影响作用,但制度环境、政务环境、社会文化环境等软环境要素对中小企业长期绩效却表现出了显著的正向影响作用。本文的创新之处在于：一是应用DS/AHP定量方法对企业家能力关键要素进行了辨识。鉴于DS/AHP方法在处理多准则决策问题时的诸多优势,本文应用DS/AHP方法整合了学界、政界及从业界三方对不同准则下企业家能力要素或要素集重要性的偏好判断信息,最后基于累计标准化似然值大于0.8的甄选规则辨识出了影响中小企业绩效的企业家能力关键要素。DS/AHP定量方法的引入不仅可有效弥补传统单纯定性方法对要素甄选主观性过强的方法缺陷,而且也为企业家能力要素对区域软环境与中小企业绩效关系中介作用的假设奠定了强有力的前期研究基础。二是基于内外部要素相结合的全新视角,系统性提出并实证验证了考虑企业家能力中介作用的区域软环境与中小企业绩效之间的关系机理模型。本文借助唯物辩证法的内外因关系、耗散结构论以及企业生态系统理论,将企业家能力及其要素作为中介变量纳入区域软环境与中小企业绩效之间的关系模型中,并以云南这一西部欠发达区域内的中小企业为实证对象,最终基于262份有效样本数据对上述关系进行了验证。这不仅可有效弥补已有文献仅从单一视角(内部视角的企业家能力或外部视角的区域环境)或单一要素(内部或外部视角的某一具体要素)对中小企业绩效进行局部研究的理论缺陷,而且一定程度上也可有效解释“政府所采取的诸多政策措施为何在当前情境下无法发挥经济效用”这一实践问题。三是提出并实证验证了区域软环境对不同发展阶段下中小企业绩效的具体作用机理模型。综观已有研究成果可知,目前多数学者仍停留于对宏观环境与组织绩效之间关系的简单定性认知。即使存在对上述关系的定量探讨,也更为侧重于以浙江、江苏、黑龙江等东中部省份的民营上市公司为实证对象,对以欠发达地区中小企业为具体对象、运用一手问卷数据、考虑企业生命周期调节作用的区域环境(尤其是软环境)与组织绩效之间关系的系统性实证研究则迄今尚未见诸相关报道。为此,本文将企业生命周期作为调节变量纳入区域软环境和中小企业绩效之间的关系模型中,并以云南这一西部欠发达区域内的中小企业为实证对象,对所提假设关系进行了验证。这不仅可有效弥补已有文献仅运用宏观公开数据且不考虑企业所处发展阶段对上述关系进行简单认知的研究不足,而且也可为相关政府部门制定差异性中小企业政策措施提供有益借鉴。更多还原

【Abstract】 Practically, with the deepening of reform and opening up and the gradually improving of market economy, the government in China has realized the importance of small and medium-sized enterprises(SMEs) in promoting national economy, increasing the revenue and promoting employment, and issued many policies and regulations to create a good external environment for SMEs survival and development. However, there are still many problems in the process of SMEs development such as the short life, high production costs and seriously international competition. The difficulties SMEs got in have made people doubt about the effect of those policy laws and regulations the government issued. Theoretically, scholars still have no consistence with the problem above by now. Although some theoretical viewpoints are proposed to explain it, it is also considered to be questionable for the lack of theoretical support. In addition, research on the mechanism between regional soft environment (RSE) or entrepreneur competences (EC) and SMEs performance is underdeveloped and limited which in turn increases the difficulties to explain the problem above. Compare the lack of theoretical research and the urgent for the practical problem to solve, it is required to clarify the relation among RSE, EC and SMEs performance. Therefore, this study not only explores the mechanism among RSE, EC and SMEs performance generally and specifically, but also proposes the theoretical framework between RSE and SMEs performance based on corporate life cycle theory, so to remedying the deficiencies of the theoretical research on the one hand and explaining the practical problem on the other hand.Firstly, the paper reviews the literature about SMEs and puts forward the elements of RSE, EC, SMEs performance and the life cycle stages of SMEs development respectively based with DS/AHP method. Secondly, it proposes the hypothesis among the above elements. Finally, it tests the hypothesis using the questionnaire data which is gathered through simple random sampling and rolling sphere method.By thorough and in-depth theoretical and empirical analyses, the following conclusions are drawn through study in this paper:Firstly, RSE has direct and indirect significant effect on SMEs performance. Secondly, corporate life cycle is a moderator of the relationship between RSE and SMEs performance. Thirdly, RSE construction is a long-term project.The theoretic value and innovativeness of this paper are mostly embodied in the following three aspects:Firstly, it originally identifies the major factors of EC using DS/AHP method. Considering the advantages of DS/AHP method in dealing with multi-criteria decision making problems, this paper integrates the preference judgment information on the importance of several EC elements from scholars, government officials and entrepreneurs, and finally identifies six key factors which include strategic competence, conceptual competence, opportunity competence, relationship competence, organizing and leading competence, and learning competence based on the decision rule that chooses the top factors when the cumulative probability is greater than 0.8 in descending order. Using DS/AHP method in key elements identification can not only overcome the defects existed in the literature which still use the qualitative method and have no rigorous evidence support for the key factors recognition, but also lay the foundation for the hypothesis construction as follows.Secondly, it offers a fresh perspective of the combination of internal and external factors to study the effect mechanism among RSE, EC and SMEs performance. Through a review of the literature, it can be found that research on the mechanism among RSE, EC and SMEs performance is still underdeveloped. To overcome this defect, the paper offers a fresh perspective with the combination of internal and external factors, and tests the hypothesis using 262 questionnaire data. The empirical results show that the effect of RSE on SMEs performance is partially mediated by EC, which constitutes effective supplementation to the existing theories on SMEs success.Finally, it creatively investigates the moderating effect of corporate life cycle the between RSE and SMEs performance. Although the relationship between RSE and SMEs performance has caused the attention of scholars, but the literature mainly focus on the empirical analysis of public-listed private enterprises based on the macroscopic public data. In order to explore the mechanism empirically, this paper addresses the framework of them base on lift cycle theory, and tests the hypothesis through using 262 questionnaire data. The empirical results show that the effect of RSE on SMEs performance is moderated by the lift cycle stages of SMEs. The later the life cycle stage is, the smaller the effect of RSE to SMEs performance is. Research on the moderating effect of life cycle not only overcomes the theoretical loss of SMEs, but also provides useful references for the local government department to make a difference of policy measures according to the lift cycle stages of SMEs.更多还原