涌现视角的企业家机会的生成机理研究

【作者】 刘文华；

【导师】 丁栋虹；

【作者基本信息】 复旦大学 ， 企业管理， 2009， 博士

【摘要】 无论是在企业家理论研究领域还是企业家实践领域,企业家机会都是一个非常重要的问题。如何获得或识别企业家机会,既有研究并未给出合理解释。既有研究往往从局部地、静态地研究这个问题,而不是从整体上、动态性地研究这个问题；既有研究往往聚焦于企业家个体能力或企业家环境条件,但对个体同环境之间的交互作用机理未予以充分注意。然而,现实中所存在的大量新创事业的启动、成长乃至快速成长的过程很难基于还原主义、决定论的立场用静态的、片段的、孤立的观点给出合理解释。针对以上问题,论文拟从整体性出发,利用复杂性理论,基于涌现视角,借助隐喻研究方法来建立相应的理论模型,以试图揭示企业家机会实现过程中所隐含的联系背景、初始条件、事件发展以及最终结果的内在动因和逻辑主线。之所以基于复杂性理论展开研究,是因为复杂性科学及其思维范式,其研究深度并不限于对客观事物的描述,而是更着重于揭示客观事物的构成原因及其演化历程,并力图尽可能准确地推测其未来的发展。从本质上讲,复杂性是一种关于过程的科学而不是关于状态的科学,是关于演化的科学而不是关于存在的科学。在理论建模方面,论文使用了隐喻研究方法,隐喻聚焦于不同概念领域之间、不同学科领域之间的映射关系。隐喻研究方法是运用比较具体的、或比较熟悉的、或有结构性的“源领域”作为比较抽象的、或不熟悉的、或无结构的领域的映像,来建构、解释和预言后一个领域,即“目标领域”的概念特征。在复杂性科学及其思维范式的基础上,论文建立了跨领域的概念群的映射关系,建立了相应的理论模型。基于复杂性科学的相关理论对理论模型的逻辑性、严密性进行了系统的规范论证。然后把既有企业家研究的文献成果同复杂适应系统理论的有关内容结合起来提出实证假设。在实证研究方面,质性研究运用到企业家研究中的必要性已为许多学者所认同,并已成为研究趋势。基于所研究问题的特点与要求,论文确定了案例研究的实证方法。结合拟研究问题的具体情况,进行了案例筛选及初步的试验性研究。在确认了研究的可行性后,进行了深入广泛的资料收集工作和证据分析工作。接下来撰写了案例研究报告,并进行了跨案例分析。论文形成以下研究结论：企业家动机、企业家心智图式以及企业家标识是企业家机会生成的三维支撑机制。具体而言,基于社会性需要和具有统摄机制的企业家动机对企业家机会生成具有积极作用,具有正反馈构型的、独特性的企业家心智图式对企业家机会生成具有积极作用,企业家学习对企业家机会生成具有积极作用,企业家标识同企业家机会生成具有相关性。以上这些因素构成了企业家机会的生成机理。论文的研究意义在于：首先,理论上,尝试利用新的方法论进行了既有研究的推进和发展,获得了新的研究视角和新的认识,实现了理论创新。其次,实践上,整体性的理论架构,对于投资人筛选投资机会、选择管理团队,对于企业家实施创业管理、在组织内营造企业家文化,对于职业经理人在经营创业型企业时实现能力转型,都具有积极意义。论文的创新点在于：第一,提出了只有处于“有效动机强度区间”以内的企业家动机才能发挥预期的积极作用,如果企业家动机所产生的张力处于区间以外,特别是超过了特定的临界值,将可能导致难以推测的结果,以上对企业家动机的研究有贡献；第二,强调了企业家心智图式的正反馈构型,指明了心智图式的内在规定性,揭示了企业家心智图式“杠杆解”导向的本质；第三,建立了企业家标识的新概念、新术语,并对其在企业家机会生成过程的作用进行了系统的阐释；第四,建立了整体性的企业家机会生成机理的理论框架,对新事业创建的层级演化、跃迁机制,企业家机会实现的偶然性和必然性,给出合理解释。更多还原

【Abstract】 Entrepreneurial opportunity is a very important subject in the domain of both entrepreneurship theory and entrepreneurial practice. With regard to the problem of how to acknowledge or recognize entrepreneurial opportunity, reasonable explanation has not been found in the literatures yet. Literatures show an inclination that the relevant researches prefer the fragmented and static perspective to holistic and dynamic perspective, prefer the individuals or entrepreneurial circumstance to the mechanism between the individuals and circumstance. In fact, as to plenty of new ventures in reality, especially the new ventures having grown quickly, it is very difficult to explain the process of the positive feedback of their creation and development with static, fragmented, and isolated perspective on the stand point of reductionism and determinism. Therefore, based on the holism and complex theory, this paper will create the theory model with the metaphor methodology and the emergent viewpoint, so as to uncover the internal dynamics and logic implied in the realization process of entrepreneurial opportunity which relates the circumstance, initial conditions, sequential events and consequence.The research based on complex science and its paradigm includes but not limited the description of objective things, what is more important for it is to uncover the origin and evolution of the objective things and manage to speculate the future development accurately as far as possible. In substance, complex science is related to the science of evolution and process, not the science of existence and status.Research methodology of metaphor is adopted in paper. Metaphor is a mapping between different concepts, subjects. Research methodology of metaphor construct, explain, predict the concept characteristic of objective domain, which is more abstract, unfamiliar, non-structural, with the more specific, familiar, structural source domain as a mapping. Based on Complex Science and its paradigm, mapping relations of cross-domain concept cluster are established to constitute corresponding theoretical model. Normative Analysis based on the theory related to complex science is implemented to insure the validation, strictness, and logicality of the theoretical model. And then with the combination of the existing achievements of entrepreneurial literature and the content related to Complex Adaptive Systems theory, empirical hypothesis is made. As to the empirical analysis, the necessity of qualitative research used in entrepreneurial study has been agreed by many scholars, which has been a trend. In consideration of the characteristic and requirement, case study is chosen as empirical approach. Based on the specific circumstances, cases are filtrated and pilot studies are implemented. After the feasibility to proceed with the research is confirmed, collection of data and analysis of evidence with width and depth are conducted. Then to write the case research report and set about the cross-case analysis.The conclusion is:entrepreneurial motivation, entrepreneurial mental schemes, and entrepreneurial tagging are the three-dimension sustaining generating mechanism of entrepreneurial opportunity. To elaborate in detail, entrepreneurial motivation based on social needs and entrepreneurial motivation with unifying mechanism have positive effect on the generation of entrepreneurial opportunity, unique entrepreneurial mental scheme with configuration of positive feedback loop has positive effect on the generation of entrepreneurial opportunity, entrepreneurial learning has positive effect on the generation of entrepreneurial opportunity, and entrepreneurial tagging correlates with the generation of entrepreneurial opportunity. These mentioned above compose the generating mechanism of entrepreneurial opportunityThe research value is:firstly, in theory, promote and develop the existing research with a new methodology, obtain new studying perspective, and achieve theoretical innovation; secondly, in practice, holistic theoretical framework will help investors to filter investment opportunities and choose entrepreneurial team, help entrepreneurs to implement entrepreneurship management and construct entrepreneurship culture, and help professional managers to change their competence while operating an company with entrepreneurship.The innovation is:first, point out that only the entrepreneurial motivation within the effective segment of motivation tension can have the anticipated positive effect, when the entrepreneurial motivation tension is outside of the segment, especially exceeds the critical value, the entrepreneurial motivation may lead to a result hard to be forecasted, which contributes to entrepreneurial motivation research; second, emphasize the configuration of positive feedback loop of entrepreneurial mental scheme, point out the essence of entrepreneurial mental scheme, and reveal that entrepreneurial mental scheme has a characteristic inclination to obtain leverage solution; third, create a new concept and new term which is entrepreneurial tagging, and elaborate its function in the generating process of entrepreneurial opportunity; fourth, establish holistic theoretical framework of the generating mechanism of entrepreneurial opportunity, and offer reasonable explanation for the hierarchy evolution, transition mechanism, contingency and inevitability of the achieving of entrepreneurial opportunity.更多还原