【作者】 张会荣；

【导师】 张玉明；

【作者基本信息】 山东大学 ， 企业管理， 2014， 博士

【摘要】 改革开放以来,机制灵活的中小企业得到了长足发展,随着经济全球化、信息网络化的普及与高速发展,中小企业以其独特的优势迅速崛起于企业群体当中,为促进经济增长、扩大劳动就业、提高国家税收、加速科技创新、提高综合国力做出了重要贡献。然而,由于经营环境复杂多变、市场竞争愈加激烈、客户需求日趋个性化、网络经济蓬勃发展,这些现实条件的改变与经营的不确定性严峻考验和威胁着我国中小企业的生存与成长。大量中小企业陷入了“成长率低、死亡率高”的成长困境,中小企业的平均存活寿命仅为3-4年。这严重制约着国家和地区的技术进步、产业升级,同时也严重影响着我国的综合国力提升与社会经济可持续发展。尽管如此,2012年在中小板与创业板上市公司中,仍有一部分中小企业以惊人的速度成长,其各项指标的增长都远远超过了所有公司的平均增长水平,在股票市场上也表现出强劲的增长势头,这值得我们深思,为什么有些中小企业可以不断发展壮大乃至实现持续发展?而有些中小企业会在短时间内急转直下、萎靡不振,甚至突然消亡?为什么只有少数企业能够实现长寿做成百年企业,而大多数中小企业寿命只有几年,甚至在更短的时间内夭折?决定中小企业成长的根本因素到底是什么?这些因素又如何影响企业成长发展?围绕这一系列问题,多年来,学术界给出了宛如“丛林”的理论解释并进行了大量的实证研究,学者们从企业资源、企业生命周期、企业创新、企业核心竞争力等不同角度展开研究,但大都忽视了健康的企业文化基因才是企业长寿的最根本决定因素。多年来,视企业为生命体的成长理论一直存在,随着生命科学的发展,借助基因理论进行研究的学者也逐渐增多,但仍然远未解开企业成长之谜。一个重要的原因是人们忽视了企业的“生命人性”,忽视了从企业文化的传衍与变革为逻辑主线来考察企业的成长问题。文化是企业生命体的基因,基因优劣及其组合状态决定企业的规模、效率以及生命状态和生命周期。正是在这样的背景下,本文从仿生学的视角出发,以企业文化理论、企业基因理论为基础,分析中小企业文化基因特征,结合企业成长外部环境,试图从根源上找到影响中小企业生存和发展的企业文化基因,分析其作用机制机理,并据此为中小企业生存与可持续成长提出基本策略和相应建议。按照上述行文思想逻辑主线,本文研究内容分以下四个方面：第一,中小企业文化基因内涵与结构。剖析中小企业生命特性,借鉴生命科学基因理论,在梳理前人相关研究的基础上,重新定义了中小企业文化基因的概念,分析了中小企业文化基因的特征,结合文化基因概念与特征,提出了双链四碱基文化基因模仿式结构。在综合考虑文化基因模仿式结构的前提下,结合中小企业成长现实情况,定性分析各文化基因组合功能模块的作用,定位和构建出中小企业文化基因的创新式结构概念模型。此概念模型是文化基因模仿式结构的抽象升级版。在此概念模型基础上进行中小企业成长机理分析,从而构建出奠定全文研究基础的中小企业成长文化基因分析框架。第二,中小企业文化基因实证甄别。文章选取了我国中小上市公司2010-2012三年间的数据作为样本,手工摘录了符合标准的1041家中小企业的企业文化相关数据。基于中小企业文化基因的内涵,分析整理出了中小企业文化基因指标体系,并用因子分析、方差分析、多重比较、层次分析等方法,实证甄别出了重要程度依次降低的企业家及其风险偏好、企业价值观与道德、企业内部治理与外部关系、企业创新意识与能力四大文化基因要素。第三,中小企业文化基因表达调控。文化基因要素携带着大量的企业文化遗传信息,解析企业文化基因遗传信息如何表达是掌握和了解中小企业生命体成长特征的基础。参考生物学中基因表达的“中心法则”思想,从理论上分析了文化基因对中小企业成长的影响机理,构建中小企业文化基因遗传中心法则概念模型。阐述了“企业文化基因经过”自组织概念化”转变为企业文化密码子,文化密码子再经过”他组织具体化”转变为文化基因功能模块,功能模块促进企业成长”的表达调控过程模式。这即是中小企业文化基因的“转录”和“翻译”过程,然后进一步剖析了文化基因表达过程中的调控机理机制。第四,中小企业文化基因变异。借助于生物基因变异研究理论,剖析了中小企业文化基因变异内涵、动因及过程,指出文化基因变异是由于外部环境发生巨大变化或内部功能机制出现不协调而导致的中小企业文化基因重组或突变现象,使得企业整体精神面貌、企业行为和性状发生变化,从而进入一种新的状态以适应环境变动的循环过程。通过文化基因变异,中小企业更加适应外部环境、内部运作更加合理,从而促进中小企业成长。综合以上分析内容,主要得出了如下三方面结论：第一,企业文化基因是企业生存与长寿的根本决定因素。文章重新界定了中小企业文化基因为携带着企业大量的、原始的、优良的文化理念和遗传信息,从本质上决定着企业生命体寿命长度的因素。紧扣文化基因概念,经过数据实证,甄选出企业家及其风险偏好、企业创新意识与能力、企业价值观与道德、企业内部治理与外部关系四类文化基因要素。类比生物基因结构,在深入分析企业文化基因相互作用与功能的基础上,第一次构建了中小企业文化基因模型。第二,提出了中小企业文化基因表达的中心法则概念模型,即中小企业文化基因--自组织概念化(基因编码)—他组织具体化(功能模块)的文化基因表达模式。分析了企业文化基因表达机制中的转录机制和翻译机制是如何影响中小企业的生存与成长,解析了中小企业文化基因表达过程机制与表达调控机制。第三,借鉴生命科学中生物基因的变异特征,对中小企业文化基因变异的作用机理进行了剖析,总结出文化基因的正向变异是促进中小企业成长的动力来源。第四,结合中小企业生命体特征,从文化基因视角提出了优化文化基因四碱基,检测和优化文化基因表达与调控机制,优化文化基因变异机制的对策,同时,从外部环境方面也提出企业成长相应对策。据此,本文创新点归为以下三方面：第一,解答了什么是中小企业成长的文化基因,重新界定了中小企业文化基因体系,并首次构建了中小企业文化基因模型。这丰富了企业文化基因理论体系研究内容,试探性地深化了企业成长理论研究。第二,实证甄别了中小企业文化基因体系组成。把企业文化这个难以定量的定性指标进行基因体系分解,并实证甄别出企业文化基因构成因素,构建中小企业文化基因DNA模型。这延伸了企业基因模型理论的研究范围,开创了中小企业文化基因模型研究方向,并为企业文化基因更深层的研究奠定了基础。第三,解析了文化基因对中小企业可持续成长的内在作用机理,并有针对性地提出了中小企业可持续成长的有效策略。开辟了基于文化基因视角研究中小企业成长的新途径。本文以生物学遗传中心法则为基础,提出并分析了中小企业文化基因影响企业成长的表达与调控机制,剖析出文化基因对中小企业可持续成长的作用机理,并据此提出中小企业成长的基本策略,结合中小企业生存和成长的环境提出了可持续成长建议。更多还原

【Abstract】 Since the reform and opening up, the flexible mechanism SMEs obtained considerable development. With the rapid development of economic globalization and information networking, SMES made a fantestic progress in the enterprise group with its unique advantages, which promoting economic growth, expanding employment, increasing state tax revenue, accelerating scientific and technological innovation, and making important contribution to improve the comprehensive national strength. However, as the business environment is complex and changeable, market competition is increasingly fierce, customer demand is becoming more and more personalized, network economy is in vigorous development, the survival and development of SMEs in china was severely tested and threatened by the changed realistic conditions and the operating uncertainty. A large number of SMEs fell into dilemma with low growth rate and high mortality rate, and its average survival lifespan is only3-4years. This was not only restricted the national and regional technological progress and industrial upgrading, but also seriously affected our country’s comprehensive national power and the sustainable development of social economy. However, in the SME board and the GEM in2012, there were still a part of SMEs with an astonishing growth speed, whose indicators of growth are far more than the average level of growth for all companies. At the same time, they were showing strong growth momentum in the stock market. Why some SMEs can obtain continue development and growth and even achieve sustainable development? While some SMEs can make straight worse or cachexia, even make a sudden death in a short time? Why only a few enterprises can become century enterprise, while the majority of SMEs’lifespan were only few years or even died in a shorter period of time? All these questions were worth pondering deeply over. What are fundamental factors to determine the growth of SMEs on earth? How do these factors influence the growth and the development of enterprise? Around these problems, over the years, the academic circles have given "theory jungle" and a large number of empirical studies to discuss and to explain. Different scholars studied them in different angle, such as enterprise resource, enterprise life cycle, enterprise innovation, enterprise core competitiveness, but most of them ignore the corporate healthy culture gene is the most the fundamental determinants of corporate longevity. Over the years, the growth theory which regarding enterprise as life body has always been there. Scholars using genetic theory to study enterprise have gradually increased along with the development of life science, but the mystery of the growth of enterprise was still not be unlocked yet. One of the most important reasons is the enterprises "human life’s character" was neglect. That is to say, people ignored the spread and change of corporate culture as the main logic line when they studied the growth of enterprises..Culture was the gene of the enterprise life, and gene’s features and combination state decided the enterprise’s scale, efficiency, life state and life cycle. In this context, this paper studied from the bionics perspective, based on the theory of corporate culture theory and enterprise gene theory, analyzed the SMEs’culture genetic characteristics, combined with the external environment, tried to find the basic culture gene which affects the survival and development of SMEs. Then we will analyze its action mechanism, and t put out the basic strategy and suggestions to help the SMEs’survival and sustainable development.According to the above idea and its’ logical clue, this paper includes the following four aspects:Firstly, the SMEs culture gene’s connotation and structure. According to analysis of SMEs’life feature, reference from life sciences gene theory, basing on the study of predecessors, we redefined the concept of SMEs’culture gene and analyzed the characteristics of SMEs’culture gene. Combining the concept and the characteristics together, we proposed the cultural genes’imitate structure with double stranded and four based. Then we fixed position and built the innovation type structure model of SMEs’culture gene after considering the cultural genetic structure, combining with the SMEs’reality growth and qualitative analyzing the cultural gene combination function. This conceptual model is abstract model of the original imitate structure. According to this structure model, we built up the SMEs’cultural gene analysis framework which lay the foundation of the full text.Secondly, the SMEs culture gene empirical screening. We selected1041Chinese SMEs listing Corporation during2010-2012as the sample data in this article. Based on the connotation of enterprise culture, sorted out the SMEs’ culture gene index system, and used factor analysis, variance analysis, multiple comparison, analytic hierarchy process, the comprehensive comparison methods, we screened out four major cultural gene elements which includes:entrepreneurs and risk preference, enterprise values and moral, enterprise internal management and external relations, enterprise innovation consciousness and ability, those important degree decreasing one by one.Thirdly, the SMEs culture gene expression regulation. Cultural gene element carried a lot of genetic information of enterprise culture. In order to master and understand the features of enterprise life growth, it is the foundation work to analyze how the genetic information expression. Referring to biological gene expression in the "central dogma" thought, analyzing theory influence mechanism of cultural gene growth on the SMEs, we built the enterprise culture genetic central dogma conceptual model. The enterprise culture gene changed into enterprise culture codons after" self-organization conceptualization", and the culture changed into cultural gene functional module after "organization specialization", then, the cultural gene functional module promote enterprise development. This is the SMEs culture genes’"transcription" and "translation" process and the further analysis of gene expression regulation mechanism in the expression process.Fourthly, the SMEs culture gene mutation. With the help of biological gene mutation theory, we analyzed the SMEs’ culture gene mutation connotation, cause and process, and pointed out that cultural gene mutation phenomenon is due to the huge changes of external environment or internal function mechanism uncoordinated. That changed the whole enterprise spirit, enterprise behavior in order to reach a new state which adapting to environmental changes in circulation process. Through cultural gene mutation, the SMEs became more adapt to the external environment and the internal operation is more reasonable, and the new state can promote the SMEs’ growth.Based on the above analysis, we get the following three conclusions:Firstly, the enterprise culture genes are underlying determinants of the enterprise survival and longevity. We redefined the SMEs culture gene as enterprise life cycle essentially determines, which carrying a large number of enterprises original excellent culture and genetic information. Then, around the cultural gene concept, through the empirical data, we selected entrepreneur and risk preference, enterprise innovation consciousness and ability, the enterprise values and ethics, corporate internal governance and external relations as four kinds of culture elements. Analogous biological gene structure, based on deeply analysis of the enterprise culture gene interactions and functions, we first constructed the SMEs’culture gene model.Secondly, we put forward the SMEs culture gene expression concept model of the central dogma, that is the culture gene expression model:SMEs culture gene-self organization concept (gene code)-organization specialization (function modes) Analyzed how did the transcription and translation mechanism of the enterprise culture gene expression mechanism affect the SMEs survival and growth, and make clearly what is the SMEs culture gene expression mechanism and the mechanism of expression regulation.Thirdly, referring to the variability of biological gene in life science, analyzing the mechanism of the SMEs culture gene variation, summarizing the cultural genes’ positive variance is the power source to promote the growth of small and medium enterprises.Fourthly, combined with the SMEs life characteristics, optimized culture gene four bases from the culture gene perspective, detected and optimized regulation mechanism and cultural gene mutation mechanism. At the same time, put forward corresponding countermeasure of enterprise growth from the external environment.Accordingly, the innovation of this paper is the following three aspects.Firstly, it answered what is SMEs growth culture gene, redefined the SMEs culture gene system, and for the first time to construct the SMEs culture gene model. This enriched the study of corporate culture gene theory system and the research on the firm growth theory.Secondly, it screened the SMEs culture gene system by empirical methods, for the first time, decomposed the gene qualitative indexes system which is hard to quantify, and empirical screening out the constitute factors of enterprise culture construction, put up the SMEs culture gene DNA model. This extends the study scope of enterprise gene model theory, pioneered the research direction of SMEs culture gene model, and laid the foundation for enterprise culture gene further research.Thirdly, analyzed the intrinsic mechanism of cultural gene to the SMEs sustainable growth, and put forward the effective strategies for SMEs sustainable development. Pioneered a new ways based on the cultural gene perspective to study the SMEs growth. In this paper, it put forward and analyzes SMEs culture gene expression and regulation mechanism which influenced the firms’ growth on the basis of Genetic Center biology principle, analyzed the mechanism of cultural gene to the SMEs sustainable growth, and put forward the basic strategy of SMEs development. Considered the environment of SMEs survival and growth, it supported some effective sustainable development suggestions.更多还原