【作者】 袁勇志；

【导师】 张景顺；

【作者基本信息】 南京农业大学 ， 农业经济管理学， 2002， 博士

【摘要】 企业家是企业创新活动的倡导者、组织者和推动者。在中国目前的条件下，企业家创新行为对企业创新行为起着关键性作用，或者说，企业创新行为主要表现为企业家创新行为。 因此，要提高企业创新管理水平，增强企业创新能力，当务之急是提高企业家创新能力和创新管理水平。只有系统研究制约企业家创新行为的各种因素，并克服这些因素，才能切实提高企业家的创新能力和创新管理水平。本文运用多学科的理论和方法，系统研究了制约企业家创新行为的各种因素，在此基础上得出企业家创新行为的障碍模型。本文认为，除社会的科学技术环境以外，构成企业家创新行为障碍的因素主要有： 1．企业家的观念因素。企业家创新行为障碍的观念因素主要是指企业家自身所特有的观念制约了企业家的创新行为。这种制约在创新行为发生之前表现为不能有效激活企业家的创新思维；在创新行为过程中表现为缺乏系统的观念指导，有可能使创新行为中断；在创新取得成功以后，由于成功综合症的影响，使后续创新不能有效开展。企业家观念主要通过四个方面影响企业家创新行为：(1)对企业家的感知过程和方式影响。(2)对企业家能力和知识发展的影响。(3)对企业家价值观的影响。(4)对企业家信仰和信念的影响。 2．社会制度因素。社会制度对企业家创新行为的制约是直接而现实的。恰当的制度安排是企业家创新行为实现的基础，也是企业家创新行为的动力机制。制度对企业家创新行为的影响主要有三方面：对创新不确定性的控制、对创新过程交易费用的控制和对创新行为的激励。其中，制度对企业家创新行为的激励尤为重要。企业家创新行为的制度激励有三方面：一是合理的制度安排可以最大限度地保护企业家的创新收益，提供企业家创新行为的利益驱动机制，反之，则挫伤企业家创新的积极性，降低企业家创新的主观要求；二是恰当的制度安排能有效地将企业家的创新能力配置于创新活动，而不是寻租活动，这有利于锻炼和提高企业家的创新能力，有利于培育企业家精神和企业家群体。反之会导致企业家创新能力的萎缩；三是恰当的制度安排可以赋予企业家创新行为的自由空间，给予企业家充分体现自我和实现自我的行为空间， 企业家创新行为与障碍研究刺激企业家现有能力和潜在能力的克分显示。反之，会压抑和扼杀企业家的创新能九社会制度因素既可以成为企业家创新行为的内在激励和外在激励，也可以成为企业家创新行为的内在障碍和外在障碍。 3．社会的人力资源环境。企业的各种创新活动的开展需要有各方面人才的支撑。中国企业家的创新是在中国特有的人力资源状况下进行的，社会的人力资源状况在某种程度上决定了企业家创新行为的可能性和可行性。我国人力资源状况对企业家创新行为的直接制约主要表现为：平均受教育程度低、人力资源流动质量低、地区分布不合理、低级和初级人力资本比例高与中高级人力资本比例过低及人力资源的市场化配置程度低等。这一方面导致了企业家创新行为过程中必然遭遇人才短缺，另一方面也必然增加企业获取高素质人才的成本，从而在客观上限制了企业家创新行为的开展。 4．社会的融资环境。资金的供给对企业家创新行为具有十分重要的意义：资金条件是企业家实施创新计划的关键环节；是企业家把握创新机会的前提条件；是企业家取得创新成功和进一步创新的基本保障。我国目前的融资环境总体上不利于企业家对资金获取。这一方面是由于银行的体制、观念及利益因素以及企业自身的因素如企业的信用等导致了银企关系复杂化，使企业在从银行获取贷款时面临着许多实际困难，特别是民营企业和风险投资企业在获取贷款时更加困难Z 另一方面，我国的资本市场的发展还不能满足企业创新发展的需要，尤其是扶持企业技术创新的风险投资体系包括资金渊管理体制等还满足不了企业创新发展的需要。 5．企业家角色的扮演。企业家创新行为的方向、所采取的路径及其创新活动的范围与企业家对自身工作的理解密切相关。从企业家创新行为过程分析，企业家对创新管理过程特点的认识，对自身职务性质的了解，以及对自身所扮演的角色的把握，必然影响企业家创新行为过程及其效率，甚至影响创新过程的成败。企业家在其角色扮演过程中，面临着多种角色的冲突和错位，而角色冲突与角色错位问题解决的程度直接影响企业家的行为方向与行为规范。导致不同企业家创新行为效率的高低的原困很多，但角色理解能力与角色扮演能力是其重要的原因之一。 6．企业家的个性特征。个性因素是影响企业家创新行为的主观因素。从认识过程到情感过程再到意志过程，这些因素始终影响着企业家的行为方向。企业家个性，C理因素，持别是个性倾向性直接影响着企业家对事物的评价，进而影响企业家的决策行为。在企业家的个性。。理因素中，最直接影响企业家创新行为的因素是个性。C理特征，即能力、气质和性格因素。一定的能力是企业家创新活动开展的前提条件。取得创新成功的企业家所依靠的绝不仅仅是某一方面的能力?更多还原

【Abstract】 The entrepreneur acts as the advocate, organizer and promoter of the enterprise’s innavation. Under current condition, the entrepreneur ’s creative behavior plays a critical role in the enterprise’s innovation which primarily exhibits the entrepreneur ’s innovation. Therefore, the most urgent for the improvement of the enterprise’s creative management and its ability to innovate, lies in the improvement of the entrepreneur ’s ability concerned. Only when all factors restraining the entrepreneur ’s creative behavior are systematically analyzed and overcome, can the improvement be really made of entrepreneur ’s ability to innovate and his creative management. In this paper, theories and methods in many disciplines are employed to make a systematic research into every factor that restrains the entrepreneur ’s creative behavior. Based on the research a model on obstacles to the entrepreneur ’s creative behavior is built. The paper holds that, besides the socil environment of science and technology, major obstacles to the entrepreneur ’s innovation include:1. The entrepreneur ’s concept. His concept sets as a barrier to bis innovation. Because of this barrier, the entrepreneur ’s creative thinking cannot be effectively stimulated, the systematic concept is absent and the creative behavior may be broken off, and due to the influence of "success syndrome" the following innovation cannot be efficiently developed. The influence of the entrepreneur ’s concept on his innovation include: (1) his perception process and style; (2) his ability and learning; (3) his values; (4) his belief and faith.2. Social institution. It is a direct restriction to the entrepreneur ’s innovation. The appropriate institution functions as a basis as well as an impetus mechanism to his innovation. The influences of institution on the entrepreneur ’s innovation are as follows: (1) control uncertain factors. (2) control trade cost. (3) prompt creative behavior.The third influence is most essential. The influences of institution on the entrepreneur ’s incentives are composed of three parts: (1) The proper institution can ensure the entrepreneur ’s income from his innovation and provide him with the interest impulse. If not, his enthusiasm may be frustrated.(2) The proper institution makes it easy for the entrepreneur to put his energy to the innovation, instead of rent-seeking. Thus his ability to innovate may be increased and enterprising and the entrepreneur group may be cultivated as well. Otherwise the result may be the declining of entrepreneur ’s ability to innovate. (3) The proper institution endows with him the liberal space for exerting his talent and asserting himself, and at the same time makes the complete expose of his present and potential capacity. Social institution may be the inner and outer incentives to the entrepreneur ’s innovation. It also may become the inner and outer obstacle.3. Human resources environment. A diversity of talents are needed in the enterprise’s innovation. Chinese human resources environment, which sets as a particular background for Chinese entrepreneur ’s innovation, determines to some extent the possibility and feasibility of his innovation. The restraints of Chinese human resources on the entrepreneur ’s innovation include: average low level of education; low quality of human resources mobility; the improper regional distribution and high proportion of low level human resources and low proportion of high level; and the low marketing allocation?These restraints lead to the shortage of talents and to the high cost for obtaining high quality talents. All these objectively restrict the entrepreneur ’s innovation.4. Social financing environment. Capital is crucial to the entrepreneur ’s innovation. It is essential in implementing the scheme, ensuring the innovation success and further innovation. The present financing environment generally is not beneficial for the entrepreneur to obtain capital. This is partly because the system, concept and interest of the bank as well as the credit更多还原