企业家能力对民营企业进入城市公用事业的影响机制

【作者】 龚军姣；

【导师】 王俊豪；

【作者基本信息】 浙江工商大学 ， 企业管理， 2014， 博士

【摘要】 在中国经济转型期,进入城市公用事业,对于大多数民营企业而言,是一个稀缺资源获取过程。鼓励和支持民营企业进入城市公用事业,是新三十六条的政策落实目标之一。关于民营企业进入城市公用事业的决定性因素,不同学派从不同的角度做出了解释。已经有些学者逐渐把研究的焦点集中于企业家,认为进入从本质上讲是企业家的一种行为。而作为民营企业行动的主要决策者,其进入行为依赖于企业家个人的某些能力。但是,有关企业家能力对民营企业进入城市公用事业行为的影响机制的实证研究较少受到关注。鉴于此,本文将在前人研究的基础上,从资源基础理论和战略选择理论的角度试图解释企业家能力影响民营企业进入城市公用事业的内在机理。本文主要以城市公用事业民营企业为研究样本,围绕“企业家能力如何影响民营企业进入城市公用事业”这一基本问题。为了揭示内在作用机理,本文提出企业家感知进入壁垒构念,并检验感知进入壁垒是否在企业家能力与企业进入行为之间起中介效应。将企业家认定为民营企业进入行为的发起者和决定者,构建“企业家能力—进入壁垒突破—进入行为”的理论框架,遵循资源基础理论和战略选择理论的分析逻辑,层层深入地剖析了以下四个紧密相关的子问题：①基于资源需求的企业家能力的维度构成有哪些?②企业家能力与民营企业进入城市公用事业行为的关系如何?③进入壁垒对进入行为是否会有影响,并检验其影响是否存在边界条件?即是否受到进入时间早晚的影响,如果有,其关系如何?④企业家感知进入壁垒是否是企业家能力与企业进入行为之间的中介变量?为了解决以上问题,本研究围绕以下几部分展开：(1)文献述评与理论发展。综述和评价了企业进入行为理论、企业家和企业家能力理论、进入壁垒理论等相关文献,在此基础上,梳理出与本研究框架相关的理论脉络,分析与归纳企业家能力内涵,同时基于资源需求视角将企业家能力分为发现机会、关系获取和风险承担三个维度。将企业家感知的进入壁垒分为企业家感知的经济性壁垒、制度性壁垒和原有企业战略性壁垒三个维度。(2)探索性案例研究和提出理论框架。在对进入城市公用事业的8位民营企业家进行多轮访谈的基础上,我们选择了其中4家民营企业进行探索性案例研究,通过对这4家民营企业案例内部以及案例之间的分析,初步揭示了企业家能力对企业家感知进入壁垒的影响,以及企业家感知进入壁垒与企业进入行为的一般关系,形成了企业家能力与企业进入行为关系的初步分析框架,为后续研究提供了源于实践的证据。(3)企业家能力与民营企业进入行为关系的理论模型与定量实证检验。通过前述的探索性案例研究,更深层次地对已有相关文献进行理论探讨。构建企业家能力对民营企业进入城市公用事业行为影响的概念模型、提出企业家能力影响民营企业进入城市公用事业行为的内在机理与相应的细化假设。然后利用收回的有关企业家调查的218份有效问卷,进行描述性统计分析、探索性因子分析和验证性因子分析、信度检验与效度检验、相关分析、逻辑斯回归、定序回归和层次回归分析等统计研究方法,分别对模型和假设逐一进行了实证检验,最后得出了企业家能力与民营企业进入城市公用事业行为之间关系的一些结论。通过以上研究工作,本研究得出以下结论：(1)利用收回的有关企业家调查的218份有效问卷进行统计研究,我们发现,企业家能力与民营企业进入行为之间的假设均成立。具体来说,①民营企业家发现机会能力越强,越有可能进入政府管制的城市公用事业,其进入程度也会越高。②民营企业家构建与政府、金融机构、同行、媒体等的关系能力越强,获取信息、资金等资源的能力就越强,越有可能进入政府管制的城市公用事业,其进入程度也会越高。③拥有更大的风险承担能力的企业家更有可能进入城市公用事业,而且进入程度会更大。(2)企业家感知的进入壁垒对民营企业进入城市公用事业有消极影响。企业家感知的制度性壁垒对企业进入行为具有显著负向影响作用,即企业家感知的制度性壁垒和与民营企业是否进入城市公用事业负相关,企业家感知的经济性壁垒、原有企业战略性壁垒与城市公用事业民营企业进入程度有时显著负相关,有时相关但不显著。(3)企业家能力通过影响企业家感知进入壁垒进而作用于企业进入行为。综合上述的两个子研究问题,基于资源基础理论、战略选择理论等,构建起“企业家能力—进入壁垒突破—进入行为”的理论框架,然后对其采取大样本实证检验,研究发现：①企业家感知制度性壁垒对企业家能力与企业进入行为的关系起部分中介作用；②企业家感知经济性壁垒对企业家能力与企业进入程度的关系,对企业家关系能力与企业进入决策起部分中介作用,但是对企业家发现机会能力、风险承担能力与企业进入决策不起中介作用；③企业家感知原有企业战略性壁垒对企业家关系能力、风险承担能力与企业进入程度的关系起部分中介作用,对企业家发现机会能力与企业进入程度的关系没有起到中介作用,企业家感知原有企业战略性壁垒对企业家能力与企业进入决策的关系均没有起到中介作用。(4)进入时间对企业家感知进入壁垒与民营企业进入行为之间具有调节作用。实证结果表明,进入时间对企业家感知制度性壁垒、原有企业战略性壁垒与民营企业进入行为之间的关系起调节作用,但是对企业家感知经济性壁垒与民营企业进入行为之间的关系没有起到调节作用。由此可见,相对于晚进入的民营企业而言,早进入的民营企业的企业家感知制度性壁垒和原有企业战略性壁垒对企业进入行为的影响程度更小一些。本文的创新点主要体现在以下几方面：(1)研究框架的创新。本文分析了企业家能力与民营企业进入城市公用事业行为之间的内在机理,构建起了“企业家能力—进入壁垒突破—企业进入程度更高”的理论逻辑,提出本研究的逻辑主线：①民营企业进入城市公用事业的关键行动者是民营企业家,重中之重在于企业家是否具备突破各种进入壁垒的能力；②企业家不同能力所获取的不同资源将会转化为民营企业进入城市公用事业的推动力,这种推动力的大小依赖于企业家是否可以突破各种进入壁垒。(2)关键构念的创新。本研究涉及三个关键构念：①企业家能力影响民营企业进入城市公用事业行为的构念；②企业家能力影响企业家感知进入壁垒的构念;③企业家感知进入壁垒作为中介变量影响企业家能力与民营企业进入城市公用事业行为之间关系的构念。这三个构念基本完成了上述逻辑主线的可行性。为了实现以上三个关键构念,本研究以两个具体概念阐释为基础：①明确企业家能力的概念界定与基于资源需求的构成维度。本研究通过梳理有关文献,基于资源需求对企业家能力的构成维度进行了划分；②不同类型的企业家能力分别有针对性地影响了民营企业进入城市公用事业行为,在此影响过程中具有不同的作用机理。由此,本研究根据进入壁垒作用的不同将进入壁垒划分为制度性壁垒、经济性壁垒和原有企业战略性壁垒三类,分别考察三类企业家感知进入壁垒对企业家能力与民营企业进入城市公用事业行为关系的桥梁作用。(3)研究切入点的创新。关于企业进入行为研究的切入点,大致可以分成以下几类,最早的研究都是基于交易成本理论和折衷理论,研究企业跨国进入行为,接着是基于产业理论研究的企业行业进入行为,然后是基于企业自身资源差异的企业进入行为,逐渐将关注点聚焦在企业家身上。本研究从企业家转向揭示企业家能力对民营企业进入城市公用事业行为影响的微观机理,是研究民营企业进入行为的新思路。事实上,企业家或企业家团队是支撑民营企业进入城市公用事业的独特资源,企业家能力则是这种资源的隐性要素,本研究深入探讨企业家能力(侧重企业家发现机会、关系、风险承担等能力)和进入壁垒突破(侧重企业家所感知的制度性壁垒、经济性壁垒和原有企业战略性壁垒)的融合,剖析企业家能力对民营企业进入城市公用事业行为的影响机制。(4)研究结论的创新。本文得出了一些具有创新意义的结论。如企业家关系能力对企业进入行为产生了积极影响。一方面回应了已有研究结论,另一方面将企业家关系能力的产出拓展到了企业进入行为层面,此结论不仅丰富了企业家政治战略领域的研究,而且为今后研究企业进入行为提供了一个比较新颖的视角——企业家能力的视角。另外,关于进入时间对进入壁垒与企业进入行为的调节作用,较好地解释了已有研究结论之所以矛盾的可能原因。更多还原

【Abstract】 During the transition of China economic, for the majority private enterprises, entering the urban public utilities is a process of obtaining scarce resources. Encouraging and supporting private enterprises to enter the urban public utilities, is one of the policy implemented of "new thirty-six".The scholars from different fields explained the decisive factors for the private enterprises to enter the urban public utilities from different perspective. Some scholars have gradually focused their study on the entrepreneur, and think that entry is a kind of behavior of entrepreneurs in essence. As the main decision-making of private enterprise action, the entry behavior depends on certain ability of entrepreneurs. But the empirical research on the impact mechanism between the entrepreneur ability and private enterprises entering the urban public utilities is less attention. So, based on the previous studies, the paper will attempt to explain the internal mechanism between entrepreneur ability and private enterprises entering the urban public utilities from the perspective of the resource based theory and strategic choice theory.The private enterprises of the urban public utilities is the research sample of the paper.The basic problem of this paper is "how does the entrepreneur ability influence the private enterprises to enter the urban public utilities".In order to reveal the inherent mechanism, the paper will propose the construct of barriers to entry perceived by entrepreneur, and test whether the perceived barriers play an intermediary role between the entrepreneur ability and entry behavior. The paper thinks that entrepreneur is the initiator and decision maker of private enterprises entering the urban public utilities,builds a theory framework:"entrepreneur ability-barriers to entry breakthrough-entry behavior", follows the logic analysis of the resource base and the strategic choice theory, analyzes the following four closely related sub questions:①What are the dimensions of entrepreneur ability based on the resource demands?②How is the relationship between entrepreneur ability and private enterprises entering the urban public utilities?③Does the barriers to entry affect the entry behavior, and if the impact will exist the boundary conditions? That is to say,if entry time will moderate their relationship?④Does the barriers to entry perceived by entrepreneur play an intermediary role between the entrepreneur ability and entry behavior? To solve the above issues, this paper will specify the following:(1) Literature review and theoretical development. Through systematically analysis of existing literatures on entry behavior theory of enterprises, entrepreneur and entrepreneur ability theory, and the theory of entry barriers, the paper clarifies the theory theme related to this research framework, analyses and induces the connotation of entrepreneur ability. At the same time, based on the perspective of the resources demand, the entrepreneur ability is divided into three dimensions:find opportunities, relation acquisition and risk bearing. The barriers to entry perceived by entrepreneur is divided into three dimensions:economic barriers, institutional barriers and the incumbent enterprise strategic barriers perceived by entrepreneur.(2) Exploratory case studies and the proposing of theoretical framework. Based on the multiple rounds of interviews of8private entrepreneurs entering the urban public utilities, this paper selects4of them to do exploratory case study. Through discussions within and between cases, this paper preliminarily reveals the influence of entrepreneur ability on barriers to entry perceived by entrepreneur, the relationship between barriers to entry perceived by entrepreneur and entry behavior of enterprise and as a result a preliminary research framework for the relationship between the entrepreneur ability and entry behavior of enterprise is finally developed, which provides practical ideas for the follow-up related researches.(3) Theoretical model and empirical research of the relationship between the entrepreneur ability and entry behavior of enterprise. Based on exploratory case study, the paper deeper argues related literature and established the concept model of the impact of entrepreneur ability on entry behavior of private enterprise entering the urban public utilities, the internal mechanism and the corresponding detailed assumptions of the influences of entrepreneur ability on entry behavior of private enterprise entering the urban public utilities. And through surveying with218entrepreneurs by means of questionnaires, descriptive statistical analysis, exploratory factor analysis&confirmatory factor analysis, reliability and validity test and related analysis,logistic regression, ordinal regression and multiple hierarchical regression, this paper performs empirical research for the model and hypothesis and finally the relevant theories for the correlation between the entrepreneur ability and entry behavior of private enterprise entering the urban public utilities are obtained.Through above research work, this paper finally reaches the following conclusions:(1)The statistical study for the data of218entrepreneurs found that the assumptions of entrepreneur ability and entry behavior of private enterprise actually exist. Specifically,①Private entrepreneurs find opportunity ability is stronger, more likely to enter the urban public utilities regulated by the government, the entry degree will be higher.②The entrepreneurs relationship ability such as with the government, financial institutions, peers, and media is stronger, the ability to access information, capital and other resources is stronger, more likely to enter urban public utilities regulated by the government, the entry degree will be higher.③The entrepreneurs risk bearing ability is bigger,more likely to enter the urban public utilities regulated by the government, the entry degree will be higher.(2)Barriers to entry perceived by entrepreneur have negative influence on the entry behavior of private enterprise entering the urban public utilities. Institutional barriers perceived by entrepreneur have significant negative influence on entry behavior of private enterprise entering the urban public utilities. The relationship between economic barriers,the incumbent enterprise strategic barriers perceived by entrepreneur and the entry degree of private enterprises entering the urban public utilities is sometimes significant negative correlation, sometimes correlation but not significant.(3) Entrepreneur ability may have influence on the entry behavior through influencing the barriers to entry perceived by entrepreneur. According to the summarization of above two sub-studies and based on the resource based theory and strategic choice theory etc, a theory framework of "entrepreneur ability-barriers to entry breakthrough-entry behavior" is constructed and verified through the use of many evidences, the research shows:①Institutional barriers perceived by entrepreneur plays a partial mediating role between entrepreneur ability and the entry behavior of the enterprise;②Economic barriers perceived by entrepreneur plays a partial mediating role between entrepreneur ability and the entry degree of private enterprises,between entrepreneur relationship ability and the entry decision of enterprises. But it is not a intermediary variable between entrepreneur find opportunity ability,risk bearing ability and the entry degree of private enterprises;③lncumbent enterprise strategic barriers perceived by entrepreneur plays a partial mediating role between entrepreneur relationship ability, risk bearing ability and the entry degree of private enterprises, but it is not a intermediary variable between entrepreneur find opportunity ability and the entry degree of private enterprises, between entrepreneur ability and the entry decision of enterprises.(4)Entry time has a moderating effect on the relationship between barriers perceived by entrepreneur and entry behavior of private enterprises. The empirical results show that entry time will moderate the relationship between institutional barriers perceived by entrepreneur, incumbent enterprise strategic barriers perceived by entrepreneur and entry behavior of private enterprises, will not moderate the relationship between economic barriers perceived by entrepreneur and entry behavior of private enterprises. So, compared with the late entrants, the institutional barriers and incumbent enterprise strategic barriers perceived by entrepreneur of earlier entrants have smaller extent influence on the entry behavior of enterprise.The innovation of this paper is mainly reflected in the following aspects:(1) Innovation in research framework. The paper analyses the inherent mechanism between entrepreneur ability and entry behavior of private enterprises entering the urban public utilities,builds a theory framework of "entrepreneur ability-barriers to entry breakthrough-entry behavior", proposes the logic of the study:①Private entrepreneur is the key actors in the process of private enterprises entering the urban public utilities, The most critical factor is if priority entrepreneurs have ability to break through various entry barriers;〥ifferent entrepreneurs abilities can acquire different resources,which transform push power of private enterprises entering the urban public utilities, this power depends on whether the entrepreneur can break through all kinds of barriers to entry.(2) Innovation in key constructs. There are three main concepts for the research:①The concept of entrepreneur ability on the entry behavior of private enterprise entering the urban public utilities;②The concept of entrepreneur ability on barriers to entry perceived by entrepreneur;③The concept of the role of the mediating effect of barriers to entry perceived by entrepreneur on the relations between entrepreneur ability and the entry behavior of private enterprise entering the urban public utilities. All these three concepts provides the feasibility for the research of the main logic structures. In order to achieve the above three key constructs, the study is based on two specific concept explanation:①A clear concept definition of the entrepreneur ability and dimensions divided based on the resource demand;②Different dimension of entrepreneurs ability has different influence mechanism on the entry behavior of private enterprises entering the urban public utilities. In addition, the paper study the mediating effect of three kinds barriers to entry perceived by entrepreneur on the relations between entrepreneur ability and the entry behavior of private enterprise entering the urban public utilities.(3) Innovation in access points. the access point of entry behavior can be roughly divided into the following categories:①Based on the transaction cost theory and compromise theory, the researches focus on the behavior of multinational enterprises;②Based on the industry theory, the researches focus on the behavior of industry entry;③Based on the resource difference of enterprise, the researches gradually focus on entrepreneur. The paper focuses on entrepreneur ability, which is a new access point to study the entry behavior of private enterprises. In fact, Entrepreneur or entrepreneur team is the unique resources to support private enterprises to enter the urban public utilities, entrepreneur ability is recessive element of this resource. This study attempts to integrate the entrepreneur ability (focused entrepreneurs find opportunities, relationships, risk-bearing ability) and barriers to entry breakthrough (focused on institutional barriers, economic barriers and the incumbent enterprise strategic barrier perceived by entrepreneur), analyse the influence mechanism of entrepreneur ability on entry behavior of private enterprises entering the urban public utilities.(4)Innovation in research conclusions. This paper reaches some innovative conclusions, such as entrepreneur relationship ability has positive effects on the entry behavior of enterprise. On the one hand, this conclusion responds to the suggestions of the related studies, on the other hand, enriches the research of entrepreneurs relationship ability discussion field. In addition, the moderator effect of entry time on the relations between barriers to entry perceived by entrepreneur and entry behavior of enterprise, explain the contradictory existing research conclusions.更多还原