【作者】 张敬伟；

【导师】 王迎军；

【作者基本信息】 南开大学 ， 工商管理， 2012， 博士

【摘要】 新企业失败率偏高、成长率偏低的现实状况引发了国内外创业、组织、战略与创新等诸多学科学者们对于新企业成长问题普遍而持续的关注。特别是党的十七大报告倡导“建设创新型国家”以来，国内涌现的创业热潮令新企业成长问题更加备受瞩目，例如，始于2007年的国家自然科学基金两项重点课题及后续的相关课题极大地推动了新企业成长问题研究的进展，本文的研究正是在其中一项课题的支持下完成的。系统的文献梳理可知，主流新企业成长研究将研究焦点放在发现和实证影响新企业业绩差异的决定因素，对于新企业如何实现成长，即新企业成长过程问题却缺乏探究；少量的新企业成长过程文献以生命周期理论或阶段模型为基本模式，提出不同的成长阶段划分，为描述和解析新企业成长过程提供了理论工具，但却存在着缺乏理论基础和实证支持、未明确界定新企业概念以及未能充分考虑新企业的独特性等诸多不足。现有理论研究与经验观察均揭示，新企业的一个显著特征在于它具有“新进入缺陷”，来源于组织内外部的不确定性进一步放大了新企业面临的成长挑战。这些挑战既是大量新企业失败或成长质量低下的根源，也使新企业成长呈现出不断调整、在调整中实现成长的基本特征。因此，如何回应现有研究的主要不足，在充分考虑新企业独特性的基础上，利用新颖而科学的理论视角对新企业成长过程加以纵向探究，是本文寻求理论创新的一个重要的出发点。基于新企业成长与商业模式构建是一个共生演化过程的认识，本文将新企业定义为“已经注册成立但商业模式尚未确立的企业”，并认为商业模式是企业将内外部不确定性加以权变利用，并最终转化为确定性收益的工具。商业模式的确立对于新企业而言意义重大：它意味着新企业失败的概率显著降低，成长的可能性大大提高。因此，研究新企业商业模式构建直至确立的过程，无论对于理论发展还是实践指导，均具有十分重要的价值。在前人研究的基础上，本文首先从新企业创立时的初始条件出发，构建了一个“初始条件——商业模式构建活动——成长”的理论框架；接下来，主要运用多案例研究方法，对河北省N市6家新企业进行了深入的纵向案例研究，具体而言，本文以初始理论框架为基线模型，在多案例研究的复制逻辑以及持续的分析式归纳的过程中，最终构建了一个描述和解析新企业成长过程的综合模型，并得出如下主要观点和创新：第一，从商业模式角度提出了新企业界定以及新企业商业模式的确立标准，不仅为区分新企业与其他类型的企业提供了理论依据，而且也有助于准确而完整地理解新企业成长的内涵。第二，基于商业模式构建的视角提出一个新企业成长过程的综合模型，突破了以往阶段模型或生命周期理论片面关注组织与管理问题的窠臼，将新企业探索经营方向、克服“新进入缺陷”、应对不确定性的行动与策略纳入研究视野，为研究新企业成长指引了一个新方向。第三，识别了对新企业成长具有重要影响的初始条件，并对这些初始条件对商业模式构建活动的影响进行了分析，区分了直接影响和间接影响，进而对“组织烙印”理论进行了印证和深化。第四，以资源积累与协调机制构建作为衡量新企业成长表现的代理变量，提炼出新企业在不同成长阶段的资源积累和协调机制构建方面的状态和特征，这在新企业成长过程研究中是一次新的尝试。以质化研究方法纵向探究新企业成长过程，既是挖掘新企业成长规律或模式的理论需要，也是深入理解复杂多样的新企业成长现象的一个重要的方法论。从现有文献来看，虽然以商业模式构建为理论视角探究新企业成长过程的研究还非常少见，但已经引起了部分国内外学者的注意。本文作为在此方向上的一次重要的尝试，希望能够引起国内外学术同行的共鸣和进一步研究，进而增进我们对于高度复杂的新企业成长现象的理解，并为创业者的企业成长实践提供有益的启发。更多还原

【Abstract】 The high mortality and the low growth rate of new ventures in practice haveattracted many researchers’ attention from various disciplines, such asentrepreneurship, organization, strategy and innovation, to focus on the topic of newventure growth (NVG, hereafter), particularly when the Party began to propel theconcept of Constructing an Innovative Nation several years ago. It has become apromising and prosperous research domain since two important research projectswere granted by the Natural Science Foundation of China in2007and a lot ofrelevant projects were supported ever since, and this dissertation is the outcome ofone of such research projects.Literature review shows that the main stream of NVG research is to examineand validate factors that determinate the variance of growth performance, and that itpays insufficient attention to the growth process. Some of the growth processresearches apply the paradigm of Life Cycle Theory or Stage Model to identify andcharacterize new venture growth process but still have such limitations as lackingtheoretical or conceptional foundation, not clearly defining and not considering theunique nature of new ventures, etc.Both extant literature and empirical observation show that new ventures have aprominent character of liability of newness, and uncertainties arising inside andoutside of the organization will magnify challenges that they confront. Suchchallenges not only make the growth of new ventures a continuous adapting process,but also result in high mortality rate and low growth quality in their growth. So, howto overcome those research limitations and how to adopt a new and scientifictheoretical prospective to examine the new venture growth process constitute thestarting point of this research.By adopting a viewpoint that new venture growth and the business modelformation is the same process, the research defines the new venture as a firm thathas been registered but has not yet established its business model. And it believes that business model is the instrument that interacts with those uncertaintiesoriginating inside and outside of the venture and transforms those uncertainties intodefinite gains. The significance of business model establishment of ventures is great,for it means that the mortality rate becomes small and the probability of growth getshigh. So, studies on business model construction process of new ventures is valuableboth in theory and practice.On the basis of extant literature, the research first constructs a preset theoreticalmodel of initial conditions—the business model formation activities—growth, thenselects6cases from city A in Hebei province by theoretical sampling, and afterwardsapplies the multi-case study method to inquire into the new venture growth processby replication logic and analytical induction method. The research finally gets thefollowing results:First, the research makes a definition of new ventures by adopting a businessmodel perspective and sets a standard for business model establishment. In this wayit forms a theoretical ground that helps to differentiate other firms from new venturesand to promote our understanding of NVG.Second, a growth process model is constructed which lays more emphasis onselecting the course of the venture, taking into consideration the liability of newnessand the uncertainties that originate from inside and outside of the venture. In this, thestudy points out a new way of studying the new venture growth process.Third, key initial conditions are identified and their impact on the activities ofbusiness model formation process is analyzed. The research distinguishes the directand the indirect impacts and provides support for the organizational imprintingliterature.Finally, it adopts the resource accumulation and the coordination mechanismbuilding as agents to character NVG and depicts statuses in the growth process,which is a first try in new venture growth process studies.Inquiring into the growth process of new ventures by using qualitative methodsis not only necessary to learn the pattern or law underlining in the phenomenon ofNVG, but also is useful to enhance our understanding of the growth phenomenon.Although the study of new venture growth process by using a business model perspective is still rare, several researchers home and abroad have noticed it. As afirst and important try, this research aims to invite colleagues to resonate and tomake further studies in order to promote the understanding of NVG for theoreticalresearch and entrepreneurial practice.更多还原