【作者】 陈琛；

【导师】 蔡莉；

【作者基本信息】 吉林大学 ， 技术经济及管理， 2014， 博士

【摘要】 创业是推动经济发展的重要增长点，特别是在发展中各国，“创业经济”的带动效应尤其突出。然而，转型时期经济运行的复杂性和多变性对我国新企业的生存和发展提出了较高的要求。如今单兵作战的创业方式已难以适应日益激烈的市场竞争，团队创业在创业成功中发挥的作用越来越大。理论界已经意识到团队研究的重要性，对团队多样性与团队过程和绩效间的关系开展了大量研究。随着研究的不断深入，学者们日渐发现以往研究过分简化了团队构成，未能考察由多重属性共同作用形成的团队构型，团队断层概念的提出则为进一步深化和超越既有团队研究开辟了新的视野。虽然团队断层研究得到学者们广泛的关注，但经过十多年的努力探讨仍未就其形成、演化机理和治理对策达成共识，还有许多问题亟待解决。因而，本文试图将这一概念引入到创业领域，希望能有助于推进断层的研究，并期望用其提高回答某些创业问题的理论解释力。对于创业而言，最核心的两大要素莫过于是机会和资源。企业要想长期生存就需要展开持续探索的创业行为，这一行为成功与否与机会开发和资源开发密不可分。对于转型经济时期的新企业来说，获取成功的关键不再是拥有出众的控制稀缺资源的能力，而是能充分利用自身资源优势，并比其他企业更能将其转化为有价值的机会。鉴于此，本文着重研究了新企业不同类型创业团队断层对创业行为的影响，尤其关注组织是如何基于实现企业财富最大化的团队联合意向下追寻机会、利用手头现有资源的。而且，断层是一把“双刃剑”。子团队的构建有利于提高团队的凝聚力和稳定性，可若要处理不当很有可能削弱解决问题的合力，甚至引发团队内耗或瓦解。因而，治理断层是企业创建和快速成长刻不容缓需要解决的重要事件。依照资源基础理论的逻辑，共同目标是创业团队达到协同效应最有效的影响因素。本文试图揭示断层的治理机制，探究共同目标在创业团队断层与机会识别、资源整合之间的调节作用，从而使得创业团队能够充分发挥“1+1>2”的协同效应来成功捕获有利可图的创业机会，实现创业资源的最优化配置。基于上述理论问题，本文提出了八项假设。通过问卷调查的方法对获得的58家新企业的246份有效样本进行实证检验。实证分析的结果表明，创业团队社会分类断层与机会识别、资源整合行为均负相关；创业团队信息加工断层与机会识别、资源整合行为均正相关。并且，共同目标能够减弱社会分类断层与机会识别之间的负向关系，降低社会分类断层对资源整合的负向影响；共同目标还能够加强信息加工断层与机会识别之间的正向关系，但对信息加工断层与资源整合之间的关系不具有调节作用。本文做出的理论贡献主要体现为以下几点：一是，探索性研究新企业创业团队断层对创业行为的作用及其作用机制。团队断层是组织行为学研究中非常重要的研究议题，其现有研究主要侧重于探讨与团队或组织绩效之间的关系，针对创业视角的断层研究比较匮乏，特别是对同时关注机会识别和资源整合两大关键行为的实证研究寥寥无几。而且，学者们就团队断层与结果产出间关系一直尚未完全明晰，可能是因为他们忽视了创业行为是直接影响产出的关键变量。因此，本文从团队断层这个可能会对团队运作及效能有重要影响的要素出发，不再以绩效作为结果变量进行考量，而是将其与创业行为联系在一起，深入探讨团队断层对机会识别、资源整合的作用机制，有助于更深入地理解创业活动过程中的核心行为。二是，深化对创业团队断层类别差异的认识。从构成团队断层的特征入手，基于中国创业情境识别出团队断层的关键结构属性，探索性研究了不同类型团队断层对创业行为的不同影响。目前针对不同视角展开的断层实证研究较少，本研究在梳理已有研究的基础上对团队断层进行分类，关注了社会分类断层和信息加工断层之间的差异，并以中国创业情境为背景识别和分析出较具有代表性的断层构成要素，从而能够更系统地认识创业团队断层与创业行为之间的关系，为剖析新企业创业团队是如何利用既有团队构成特征追寻机会、利用手头现有资源提供了新的视角，有助于丰富和扩展相关理论研究。三是，现有文献很少关注共同目标在团队研究中的重要性，本研究具体分析和检验了共同目标对不同类型团队断层与创业行为之间关系的调节作用，从而为揭示我国新企业创业团队如何通过构建和打造共同目标，以推进不同团队构成在创业活动中发挥积极效用提供了管理启示和现实依据，尤其是对资源稀缺的企业更具有指导意义。本论文的结构安排如下：第一章绪论部分主要阐述了选题的现实背景和理论背景、研究问题、研究内容、论文结构安排，以及研究方法与技术路线几方面内容。第二章主要对创业团队、团队断层、机会识别、资源整合和共同目标等相关研究进行文献的回顾与总结，为后续研究奠定基础。第三章以Timmons模型、高阶梯队理论、资源基础理论、相似吸引范式和社会认同理论等作为理论基础，构建本研究的概念模型，并借助二手资料和现场访谈法细化或加深理论模型的构建。第四章研究创业团队断层、机会识别、资源整合、共同目标四要素之间的作用关系并提出基本假设。第五章针对研究模型进行研究设计，具体包括问卷设计、数据收集及样本特征、各变量度量，以及对各变量进行因子分析与信度检验四部分内容。第六章采用多元回归分析方法对本研究所提出的假设进行实证检验，并对数据结果进行分析和讨论，进而为我国新企业创业团队有针对性地提出实践启示。第七章回顾本文研究结论，明确有关假设的理论贡献和实践价值，并总结性地提出本文的研究局限和未来研究方向。更多还原

【Abstract】 The growing importance of entrepreneurship regarded as a crucial contributor toeconomic development is generally acknowledged, especially the driving effects of“entrepreneurial economy” in emerging economies. However, the context of China’stransition economy characterized by complex and unstable markets, which is in needof higher requirements for start-ups survival and sustainable development. Nowadays,entrepreneurship in single player mode has been difficult to adapt to the increasinglyfierce market competition, whilst team entrepreneurship is conducive to promotingnew venture performance. Scholars have gradually realized the significance of teamresearch, which have focused on the relationship between team diversity and teamprocess or performance. Yet, existing studies tend to excessively simplify the teamcomposition, failing to examine team composition that it is embodied by multipleattributes. The term “faultlines” opens up new horizons, which further deepens andsurpasses existing team research. Although the research into faultlines has made hardeffort for many years, there still has not reached consensuses in the formation,evolution mechanism and governance countermeasure of faultlines. Therefore, thispaper attempts to introduce and apply this concept to entrepreneurship field, hoping tofurther boost faultlines research, and expecting to answer specific entrepreneurshipquestions. Obviously, opportunity and resource are central to entrepreneurship. Thelong-term survival and growth of a venture requires continuous exploration ofentrepreneurial behaviors, which is inextricably linked with opportunity developmentand resource development. For new ventures within the context of transitioneconomies, a firm possessing the outstanding capabilities of controlling scarceresources cannot guarantee sustained competitive advantage. Rather, most successfulnew ventures are facilitating their sound utilized resource advantages, and convertingthese resource advantages into valuable opportunities. In this sense, this paper focuseson different types of faultlines affects entrepreneurial behaviors, especially concernsabout how organization capture opportunities and apply combinations of resources athand under team intention of the realization of enterprise wealth maximization.Moreover, faultlines acts like a double-edge sword. The construction of sub-group is conducive to enhance team cohesion and stability, if mishandled, which mightseriously weaken the joint force to solve problems, and even lead to the team collapseor friction. Under such circumstances, new ventures are needed to engage inexecuting faultlines governance in order to better the efficience of venture creationand development. Nonetheless, few scholars paid attention to the prominentimportance of shared goals in team study. From the logic of resource-based view(RBV), building a shared objective is a necessary precondition for the creation ofsynergistic effect in an entrepreneurial team. In this paper, we attempt to reveal themechanisms of faultlines governance, to explore the moderating effect of sharedobjects on the relationship between entrepreneurial team faultlines and opportunityindentification and resource allocation, making the fact that entrepreneurial team canfunction “1+1>2” synergy to successfully capture profitable entrepreneurialopportunity and achieve optimal resources configuration.Based on the above theoretical gaps, we propose eight hypotheses in this paper.We test our hypotheses with survey data collected from246useful questionnaires by58new ventures in China. Our finding suggests that entrepreneurial teamsocial-categorization faultlines negatively affect opportunity identification andresource allocation, while entrepreneurial team information-based faultlines positivelyinfluence on opportunity identification and resource allocation. Moreover, sharedgoals will significant attenuate the relationship between social-categorizationfaultlines and entrepreneurial behaviors, as well as shared goals will positivelymoderate the relationship between information-based faultlines and opportunityidentification, but not influence on resource allocation when the strength ofinformation-based faultlines are strong.Overall, this article makes three contributions on theoretical level. First, anexploratory study about the effect of new venture’s entrepreneurial team faultlines ondifferent entrepreneurial behaviors and its mechanism has been done. Team faultlinesis regarded as the important issue of organizational behavior. Existed research mainlyfocused on discussing the relationship between faultlines and group or organizationalperformance, but only a few studies are from an entrepreneurship perspective,especially the empirical research at the same time attention to opportunityidentification and resource allocation. Moreover, scholars have not completely figuredout the relationship between faultlines and outcomes. This may be caused byentrepreneurial behaviors, which are key variables that can directly affect outcomes were ignored. Therefore, this study embarks from team faultlines that providessignificant impacts on team process and effectiveness, and is connected withentrepreneurial behaviors instead of performance as outcome variables. Accordingly,we study the influence mechanism by providing a fine-grained conceptual analysis ofthe relationship between team faultlines and different entrepreneurial behaviors,moreover, we have a much deeper understand about the two key behaviors ofentrepreneurial activities-opportunity identification and resource allocation. Second,the understanding on the difference of team faultlines category deepens. At present,empirical research on faultlines based form different perspective are rare. We classifythe faultline type according to previous research, as well as recognize and analyzerepresentative the component elements of team faultlines in Chinese-context. It makesus systematically understand the relationship between team faultlines andentrepreneurial behaviors by social-categorization and information-based view, andprovides us a new perspective to analyze entrepreneurial team about how to pursueopportunities and apply resources at hand under the circumstances of takingadvantage of existing team’s composition characteristics, which will help to enrichand extend the relevant theoretical research. Third, moderating effects of shared goalson different types of team faultlines and entrepreneurial behaviors have beenspecifically analyzed and examinined to reveal the fact that new ventures how topromote the positive effects of different kinds of team composition onentreprenenurial activities by building and creating shared goals, which is especiallyinstructive for those resource-limited firms.This paper is arranged as follows: The first chapter primarily describes realisticand theoretical background of the subject, research question, research contents,structure arrangement regarding research research method and technical route. Inchapter two, it starts with a review of the concept of entrepreneurial team, teamfaultlines, opportunity recognition, and resource allocation, which laid the theoreticalfoundation for the follow-up study. Chapter three, it builds the conceptual frameworkbased on Timmons model, upper echelon perspective, resource-based view,similarity–attraction paradigm, and social identity theory, and utilizes secondary dataand spot interviews to building or refining the theoretical model. The fourth chapterstudies the relationships among four elements, respectively, entrepreneurial teamfaultlines, opportunity identification, resource allocation and share goals, and then putforward some theory hypotheses. In chapter five, it designs for conceptual model, including questionnaire design, data collection and its sample statistics, measures ofvariables, and factor analysis and reliability analysis. Chapter six, it uses multipleregression analysis method to analyze the data and test the hypotheses. In Chapterseven, it analyzes and discusses the data results, to make practical implications forentrepreneurial teams of new ventures. At the final chapter, it throughly makes areview of research conclusions, pinpoints the theoretical contributions and practicalimplications, and put forward the limitations of this study and future researchdirections.更多还原