【作者】 李志强；

【导师】 袁伦渠；

【作者基本信息】 北京交通大学 ， 产业经济学， 2008， 博士

【摘要】 当21世纪的中国企业正踏上自主创新之路时,理论界对企业家创新行为问题纷纷从不同角度进行求解,能否成功地解释不同的经济制度和企业制度下企业家创新行为的差异性,从而建构企业家创新行为制度理论也就成为经济理论界一项极富挑战性的工作。企业家创新是中国通向自主创新之路的重要保证。对企业家创新行为为何在实践中存在巨大差异性的问题,虽然可以从不同角度加以分析和解释,但是本文认为尽管产生企业家创新行为的差异性有着经济、社会、政治、技术、文化等复杂性原因,但其本源性原因还是制度因素,即产生企业家创新行为的差异性有着深刻的、复杂的制度归因。因此,从制度分析入手可以揭示出不同经济制度和不同企业制度下企业家创新行为的差异性等最本质的问题。本文从制度的视角对企业家创新行为进行审视,通过对企业家创新行为制度归因的系统研究,力图建立企业家创新行为制度配置理论分析框架,为企业家创新行为生发提供更深层次的解释力,探讨梳理企业家创新行为制度配置的政策含义。论文研究的主要内容:1.提出企业家创新行为的制度复杂系统论借鉴系统科学的思想,提出应当将制度集合视为一个复杂系统,其具有整体性、结构性、有序性、开放性和复杂性的特征。提出制度熵的概念,阐明要使制度得以正常运行和制度功能得以正常发挥的两种路径。在此基础上,建立企业家创新行为系统耗散结构的形成模型及熵变计算公式。制度复杂系统论构成企业家创新行为制度配置的理论支点。2.建立企业家创新行为制度配置理论分析框架依托制度复杂系统论建立以制度配置为核心概念的企业家创新行为制度配置理论分析框架,提出企业家创新行为制度配置中存在制度耦合、制度冲突和制度真空三种状况以及诱致性、强制性两种制度配置方式,并指出制度系统的开放性对制度配置效率有重要的影响。3.对企业家创新行为的产权制度和市场制度配置问题进行分析运用制度配置理论分析企业家创新行为的可内在化的产权结构和创新激励的市场机制,提出在经济制度中,产权制度与市场制度相互配合、协调推进是企业家创新行为生发进而实现经济增长的关键。4.运用委托—代理理论对企业家创新行为的道德风险进行分析有效的企业家创新激励机制的设计需要满足创新的参与约束与激励相容约束。参照“贝—斯”模型可构造描述企业家创新选择博弈模型,通过之可分析影响企业家创新道德风险程度的因素以及这些因素间的相互作用和影响,并对转型期的中国企业家创新行为的道德风险做一初步分析。5.对不同企业制度下的企业家创新行为模式进行比较分析基于古典企业制度、现代企业制度和转型期中国传统国有企业制度的环境,对企业家创新行为模式进行比较研究,从中寻求企业家创新行为的一般性约束条件,并基于复杂范式对企业家创新行为进行概要性分析。6.运用制度演化理论对企业家创新行为进行分析企业家创新行为制度配置具有演化的特征,提出制度熵概念和通过涨落可以促使企业家创新行为系统的自组织进化,企业家在学习过程中整合外部隐性知识是企业家创新能力演化的关键,运用制度演化理论分析提出基于隐性知识吸收的企业家创新能力演化模型和企业家创新行为制度配置的演化逻辑模型。7.进行理论归结和梳理政策含义提出企业家创新行为的制度复杂系统论及制度熵与制度复杂系统的熵值分析框架,建立企业家创新行为的制度配置理论分析框架;提出产权制度与市场制度的协调推进论是企业家创新行为生发进而实现经济增长的关键;参照“贝—斯”模型可构造描述企业家创新选择博弈模型;提出制度熵概念,运用制度演化理论分析提出基于隐性知识吸收的企业家创新能力演化模型和企业家创新行为制度配置的演化逻辑模型。并在此基础上梳理出政策含义,提出尚待进一步探讨的问题。论文研究的创新点:1.提出企业家创新行为的制度复杂系统论及制度熵与制度复杂系统的熵值分析框架。2.提出企业家创新行为的制度配置概念,建立企业家创新行为的制度配置理论分析框架。3.运用委托—代理理论进行企业家创新行为的道德风险分析,参照“贝—斯”模型构造描述企业家创新选择博弈模型。4.运用制度演化理论分析提出基于隐性知识吸收的企业家创新能力演化模型和企业家创新行为制度配置的演化逻辑模型。更多还原

【Abstract】 When Chinese enterprises begin independent innovation in 21st century, theory horizon looks for explanation of entrepreneur’s creative behavior from different aspects. Whether could successfully explain entrepreneur’s diffetent creative behavior under different economic system and enterprise system, based on which construct a institutional theory of entrepreneur’s creative behavior, has been a very challenging work of economic theory. Entrepreneur’s innovation is a very important guarantee for Chinese independent innovation. Although we can analyze why there is huge difference on entrepreneur’s creative behavior in practice from different aspects, but this dissertation considers the institutional factor is fontal, that means there is profound and complex institutional reason which cause the difference in entrepreneur’s creative behavior despite of socio-economic and political- technological and cultural and so on reasons. We can find difference in entrepreneur’s creative behavior because of different economic system and enterprise system from institutional analysis.This dissertation analyzes entrepreneur’s creative behavior from institutional aspect, and systemically studies institutional reasons of entrepreneur’s creative behavior to construct an institution allocation theory analysis frame for entrepreneur’s creative behavior and supplies deep explanation for happening of entrepreneur’s creative behavior and discusses the policy meaning of entrepreneur’s creative behavior institution allocation.The main contents of the dissertation:1. Propose institutional complex system theory of entrepreneur’s creative behaviorUsing for reference the idea of system science, this dissertation proposes thatinstitution ensemble should be seemed as a complex system, the characteristics of which are integrity, structure, orderliness, openess and complexity. This dissertation proposes the concept of institution entropy, and clarifies two paths of how to make the institution run normally and institution function exert normally. Based on which, this dissertation constructs formation model of entrepreneur’s creative behavior system’s dissipative structure and calculation formula of entropy change. Institutional complex system theory is the theory fulcrum for entrepreneur’s creative behavior institution allocation.2. Construct a theory analysis framework of entrepreneur’s creative behavior institution allocation. Based of institutional complex system theory, this dissertation constructs a theory analysis framework of entrepreneur’s creative behavior institution allocation that takes institution allocation as core. This dissertation proposes that there are institutional coupling, institutional conflict and institution vacuum in entrepreneur’s creative behavior institution allocation, which has induced and compulsory institution allocation. This dissertation also points out that the openess of institutional system has important influence on efficiency of institution allocation.3. Analyze the property right system and market system allocation of entrepreneur’s creative behaviorThis dissertation proposes that the interwork and coordinated advance of property right system and market system in economic system is the key point of happening of entrepreneur’s creative behavior and realizing economic growth by applying institution allocation theory to analyze property right structure internalizing the entrepreneur’s creative behavior and market system of innovation incentive.4. Analyze moral hazard of entrepreneur’s creative behavior by applying principal-agent theoryEffective incentive mechanism of entrepreneur’s creation should be satisfied with participation constraint and incentive compatibility constraint. Referring to’Becker and Stigler Model’, we can construct a game model of entrepreneur’s creation choice, based on which this dissertation analyzes factors influcing the degree of entrepreneur’s creation moral hazard and interact and influences among these factors, and makes a preliminary analysis of moral hazard of Chinese entrepreneur’s creative behavior during economic transition.5. Comparative analysis of entrepreneur’s creative behavior model in different enterprise system.Based on classical enterprise system, modern enterprise system and Chinese traditional state-owned enterprise system circumstance during economic transition, this dissertation makes a comparative analysis of entrepreneur’s creative behavior model, to find some general constraint conditions of entrepreneur’s creative behavior. This dissertation also briefly analyzes entrepreneur’s creative behavior based on complex paradigm.6. Analyze entrepreneur’s creative behavior by application of institutional evolution theoryThe institution allocation of entrepreneur’s creative behavior has an evolutional characteristic. Proposing the concept of institution entropy and through fluctuation can promote self-organized evolution of entrepreneur’s creative behavior system. Entrepreneurs integrate outside implicit knowledge when they study, which is the key point of entrepreneur’s creative behavior evolution. This dissertation proposes evolutionary model of entrepreneur’s creative ability based on absorbing implicit knowledge and evolutionary logic model of entrepreneur’s creative behavior institution allocation applying institutional evolution theory.7. Theory conclusion and policy implicationThis dissertation proposes institution complex system theory and an analysis frame of institution entropy and entropy analysis of institution complex system, and constructs a theory analysis frame of entrepreneur’s creative behavior institution allocation. This dissertation proposes that the interwork and coordinated advance of property right system and market system in economic system is the key point of happening of entrepreneur’s creative behavior and realizing economic growth. This dissertation constructs a game model of entrepreneur’s creation choice referring to’Becker and Stigler Model’. This dissertation proposes the concept of institution entropy, and proposes evolutionary model of entrepreneur’s creative ability based on absorbing implicit knowledge and evolutionary logic model of entrepreneur’s creative behavior institution allocation applying institutional evolution theory. Based on which, this dissertation hackles the policy implication and proposes some problems to be further studied.The innovation of this dissertation is clicked as follows:1. This dissertation proposes institution complex system theory of entrepreneur’s creative behavior, institution entropy and an analysis frame of institution complex system entropy.2. This dissertation proposes the concept of institution allocation of entrepreneur’s creative behavior, and constructs a theory analysis frame of entrepreneur’s creative behavior institution allocation.3. This dissertation analyzes moral hazard of entrepreneur’s creative behavior by applying principal-agent theory, and constructs a game model of entrepreneur’s creation choice referring to’Becker and Stigler Model’.4. This dissertation proposes evolutionary model of entrepreneur’s creative ability based on absorbing implicit knowledge and evolutionary logic model of entrepreneur’s creative behavior institution allocation.更多还原