【作者】 劳铖强；

【导师】 林民书；

【作者基本信息】 厦门大学 ， 政治经济学， 2008， 博士

【摘要】 从众多企业的发展过程中可以发现,市场竞争决定了企业的生存与发展,而生存与发展是所有企业追求的共同目标。在市场竞争的过程中,企业只有超越对手才能在市场竞争中生存下来,这是一个企业不断发展壮大的过程。企业是通过提高竞争力,从而拥有相对于其他企业的竞争优势,由此获得发展机会。企业的竞争优势来源于何处?从不同企业的成长来看,企业成长有着各自的特点,那么,是什么因素产生了企业成长的多样性?企业资源理论、企业核心能力理论、企业知识理论都分别从不同的角度对这些问题作出了解释,这些理论都有一个共同的看法,就是企业成长都来自于企业资源配置所形成的竞争力。企业是一个包括了物质资源和人力资源的集合体,在经营过程中,企业资源如何配置,由谁作出决策?企业家有着天生的发现和利用市场非均衡机会的能力,是对企业资源配置作出决策的最佳人选。企业家的这种能力是企业的一种资源,他的任务就是对企业的资源进行创新性配置,形成独特的企业能力,从而形成企业的竞争优势。在古典企业向现代企业的转变过程中,随着股权的分散化,企业家从资本家中分离出来,成为一种独立的企业资源。企业家在企业中只占有一部分的股份,或甚至不占有股份,然而却拥有企业的控制权,如果企业家追求企业收益最大化,他只能获得其中一小部分的收益,相反,如果企业家追求自身收益最大化,他却只要承担一小部分的成本。那么,企业家对企业资源的配置如何推动企业成长呢?本文从企业家行为的角度对现代企业成长问题进行了探讨。首先,本文对企业家行为进行分析。企业家行为是企业家在约束条件下,对企业资源配置所进行的各种选择。虽然企业家拥有天生的发现和利用市场非均衡机会的能力,但是,企业家也是追求自身收益最大化的个体,当企业家对资源进行创新性配置时,他的目标与企业的目标是一致的,相反,当企业家在资源配置中谋求个人私利时,他的目标与企业的目标就产生差异。企业家对这种能力的使用受到两方面因素的影响:一方面,企业家的创新行为要受到后天学习能力的制约,后天学习能力的差异导致不同企业家的创新行为有很大的差异;另一方面,企业家的创新行为要受到创新收益与创新成本的影响,只有当创新的收益大于创新的成本时,企业家才会提供创新行为,否则,企业家会减少创新行为的供给。其次,本文从企业家行为的角度对企业成长过程进行分析。企业成长是由于企业竞争力的提升,从而获得相对于其他企业的市场竞争优势,由此而实现的企业发展。企业竞争力来源于企业资源的优化配置,当企业资源的配置形成了独特的企业能力后,这种独特的企业能力就是企业最大的竞争力。企业家发现和利用市场非均衡机会的能力是一种特殊的资源,在与不同的企业资源相结合的情况下,企业家的创新活动都能形成独特的企业能力。而且,企业家的创新活动还对企业成长的路径有着重要的影响,因为创新可以分为连续性创新和非连续性创新,连续性创新要求对企业能力进行调整,而非连续性创新则要求对企业能力进行重构,当企业家所从事的创新是连续性创新的时候,企业能力在得到巩固和完善的同时也形成了一种“隋性”,即陷入企业成长的路径依赖的困境。再次,本文从企业家行为的角度对企业家持续成长问题进行了分析。本文认为,由企业家连续性创新所实现的企业能力会使企业成长陷入路径依赖的困境,因此,企业持续成长需要企业家对企业资源进行非连续性创新,提高自身实力和适应市场变化,持续保持市场竞争优势的过程。本文一方面通过对垄断企业、寡头垄断企业和中小企业进行非连续创新活动进行分析,提出企业实现持续成长的条件,另一方面也通过对企业家能力和企业持续成长之间相互促进的关系进行分析,说明了企业持续成长的过程。然后,本文对企业家的激励问题进行了分析。本文认为,现代企业已经建立起了比较完备的企业家激励机制和约束机制,但是,在企业的不同阶段中,企业对企业家激励机制和约束机制的选择是有差别的。在企业成长过程中,企业需要企业家对资源的创新利用。这是对企业家异质型人力资本的利用,与同质型人力资本不同,异质型人力资本基于企业家的隐性知识,是企业家自身具有的能力,无法用显性知识进行表达,企业无法进行有效监督,激励机制是推动企业家进行创新活动的最好选择。通过有效的激励机制,企业可以促使企业家对企业资源进行创新性配置,提高企业竞争力,实现企业成长,同时,企业家也因为创新活动从经营管理者转变为真正的企业家,实现企业家行为供给过程和企业成长过程的结合。最后,本文在理论分析的基础上,对我国现阶段的企业家行为和企业成长问题进行了分析。从企业家行为的角度分析了我国企业成长的现状,并且提出,在当前开放经济条件下,我国的产业结构虽然调整迅速,但仍然处于低水平产业之中,为了获得产业竞争优势,我国的企业成长和企业家行为转型就有着重要的意义。更多还原

【Abstract】 In the development of a large number of enterprises, it can be found that the survival and development of the enterprises is determined by market competition, which is a common goal pursued by all enterprises. Enterprises can survive in competition only when they are outstanding than other enterprises, which is a process of constant development of the enterprises.Where is the competitive advantage of the enterprise comes from? Which factor has led to the diversity of the growth of enterprise since every enterprise has different character? Though some theorise give explanation to these issues from different perspectives, they share a common view that the growth of the enterprise comes from the competitive ability which comes from the organization of resources in the enterprise.The enterprise is a organization including material and human resources. In the course of business, who is entitled to make decisions on the organization of the resources? Entrepreneurs are the perfect person to make it bacause they have the inherent ability of discovering and taking advantage of the opportunities of disequilibria. This ability is a material whose task is to organize the resources of the enterprises innovatively, and achieve the competitive advantages of the enterprise by forming a unique enterprise competence.In the transition from classical enterprises to modern enterprises, entrepreneurs become an independent resources in enterprises separated from capitalists. Though they ocuppy some shares of the enterprises, or not even occupy shares, they get the control rights in fact. When they seek to maximize the behalf of the enterprises, they can only receive a small portion of the profit, on the contrary, when they seek to maximize their own behalf, they take only a small portion of the cost.According to the problem above, how is the growth of the enterprise come into being in the process of organization of resources of the enterprises which is decided by entrepreneurs? This paper is to make an analysis on the growth of modern enterprises from the perspective of entrepreneur’s behavior. First of all, it is the analysis of entrepreneurial behavior. Entrepreneurial behavior is a chioce of the means of organization of the resources of the enterprise which is made by entrepreneurs under restrictive conditions. Though entrepreneurs have inherent ability of discovering and taking advantage of the opportunities of disequilibria, they are individuals seeking to maximize their own behalf. When they seek to maximize the behalf of enterprises, their goals and the goals of the enterprises are the same, on the contrary, when they seek to maximize the behalf of their own, their goals are different with the goals of the enterprises. When entrepreneurs use their abilities, they are impacted by two constraints: one constraint is entrepreneurial learning ability, which leads to the different innovative behavior between different entrepreneurs; the other constraint is innovation income and innovation cost, which promotes entrepreneurs provide innovative behavior only when innovation income is greater than innovation cost.Secondly, it is the analysis of the growth of the enterprise from the perspective of entrepreneurial behavior. The growth of the enterprise is a development of the enterprise, which comes from the competitive advantage because of the promotion of competitive ability of the enterprise. The organization of the material of the enterprise form the enterprise competence which is the base of the competitive ability. When entrepreneurial inherent ability is used with other material, entrepreneurial innovation activities will form a unique enterprise competence. Because entrepreneurial innovation activities can be divided into non-continuous innovation and continuous innovation, innovation activities are important to the path of the growth of the enterprise. Continuous innovation means an adjustment to the enterprise competence. Non-continuous innovation means a reconstruction to the enterprise competence. When entrepreneur’s innovation is a continuous innovation, it not only consolidated and perfected the enterprise competence, but also have the enterprise fallen into path dependence of the growth of firm.Thirdly, it is the analysis of the sustainalbe development of the enterprise from the perspective of entrepreneurial behavior. The sustainalbe development of the enterprise needs a non-continuous innovation to break up the path dependence of the growth of enterprise. This paper on the one hand give the conditions about how the enterprise can achieve the sustainalbe development of the enterprise by the analysis of the monopolies, oligopolies enterprises and SMEs, on the other hand, explain the process of the sustainalbe development of the enterprise by the analysis of the relation between entrepreneurial learning ability and the sustainalbe development of the enterprise.Fourly, it is the analysis of the issue of incentives mechanism of entrepreneur. Though a relatively complete entrepreneurial incentive and restraint mechanism have been established in mordern firm, how to take advantage of the incentive and restraint mechanism is different in different stages of the development of the enterprise. In the course of growth of the enterprise, the enterprise needs entrepreneurial innovation activities, which is an Idiosyncratic Human Capital. Because Idiosyncratic Human Capital is a kind of knowledge which can not be explained by words, unlike the Coessential Human Capital, the enterprise can not find out whether the entrepreneurs have tried their best to manage the enterprise. The entrepreneurial incentive mechanism is the best way to promote entrepreneurs to organize the material of the enterprise.At last, this paper analyzes the entrepreneurial behavior and the growth of the enterprise in China on the base of the theoretical analysis in this paper. This paper analyzes the problem of growth of the enterprise from the perspective of entrepreneurial behavior, and figures out that under the condition of open economy, in order to achieve competitive advantage, the growth of the enterprise and the transformation of entrepreneurial behavior is of important significance更多还原