创业氛围：基于内生演化的视角
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摘要
围绕企业家特质及其如何识别与利用机会,或者从外部环境差异的影响入手,现有文献已对创业现象进行过多维度的理论透视,并从不同的视角提出了一系列富有见底的观点和见解,但存在的问题同样也是不可忽视。主要局限在于：(1)强调外生性,而不是内生性。(2)考察问题立足于创业行为人个体,而不是行为人所在群体。(3)注重静态的对应关系,而忽视创业活动自身的动态演化过程。如此,结论的似是而非和自相矛盾难以避免,面对为什么不同地区的创业活动水平会存在巨大差异、如何提升一个地区的创业活动水平等基本的现实命题,也必然束手无策。从而,立足于地区范围的“族群”水平,把创业者、创业活动、创业环境置于统一的分析框架,从内生演化的视角,动态地考察地区创业活动水平差异的成因,其理论和现实意义是不言自明的。根据这一研究目的,本文在系统地回归和评述国内外现有的创业理论文献,并广泛吸收演化经济理论、组织行为理论和新经济社会学理论的前沿成果及其思想方法基础上,详细阐述了创业氛围的概念和内涵、内生过程、作用机理、以及演化规律,并从创业氛围和创业环境的辩证关系中论证了“一个地区的创业活动水平并非由其创业环境水平唯一决定的,而在很大程度上决定于该地区的创业氛围,中西部地区促进地区创业活动水平的关键在于着力培育创业氛围并实现其临界突破”的观点。
本文主要内容包括七个部分：第一章介绍创业实践及其理论研究中的问题与困惑,并就此提出本文的研究主题,在对相关概念进行必要界定的同时,说明本研究的逻辑框架、技术路线、章节安排和主要创新点等。第二章回顾创业理论发展历程,梳理和跟踪其演进脉络和前沿动态,详细介绍理论界关于创业氛围问题研究的现状、观点与局限,在此基础上对现有的创业理论进行总体评述。第三章界定创业氛围的概念,详细说明其主要的外在表现、本质内涵、以及与创业文化等概念的区别与联系。进而从创业学习(知识积累)、心理体验(报酬激励)和社会互动(利益博弈)三个方面,阐明地区创业氛围的内生性。第四章说明创业活动是一种经济选择惯例,而地区的创业活动水平由其复制频率决定,进而分析创业氛围如何通过影响创业平均收益率高和行为人风险偏好来影响惯例复制频率和地区的创业活动水平。第五章说明创业活动与创业氛围之间正反馈自我演化的规律,并探究这一演化过程的内在动力及阶段性特征,全面分析创业环境条件对创业氛围,尤其是在创业氛围演化的不同阶段的影响,进而提出基于创业氛围视角下的创业分析框架。第六章以无为县高沟镇社会创业活动为案例,考察创业氛围主要表现及其细节性信息,分析并归纳其生成路径及其演化动力。第七章对本研究的主要结论进行归纳与总结,说明其理论意义、政策含义、及其存在局限,进而对未来的研究进行了展望。
本研究结论与主要观点有：(1)创业氛围是一个地区所有族群成员关于创业的心智能力、价值观念和习俗惯例,集体、外在的表现,是创业活动衍生的创业学习、心理体验和社会互动相互作用的结果。(2)一个地区的创业活动水平也是由创业这一经济行为惯例的复制频率决定的,创业氛围通过提升创业平均收益率和改变族群成员创业风险偏好,来提高创业惯例复制频率、进而地区创业活动水平。(3)创业氛围与创业活动之间存在一个以偏好与能力、激励与学习为纽带的正反馈回路,使其不断地由“低水平稳态阶段”、“自增强阶段”向“高水平收敛阶段”演化。(4)创业环境条件通过影响创业氛围演化进程影响地区创业活动水平的,而创业氛围演化的不同阶段对创业环境条件需求的侧重点不同,不同地区促进地区创业活动水平的政策举措应有所区别。
本文的创新之处体现在以下两个方面：(1)以创业理论的研究成果为基础,综合制度演化理论、生态种群理论、新经济社会学理论的观点与方法,摒弃当前创业理论中注重企业家个人特质和外在创业环境条件分析个体、外生、静态的研究视角,从内生、演化的视角构建以创业氛围为中心的创业分析框架,特别是把研究层面从个体水平提升到“种群”水平,一定程度上开阔了创业研究的视域,拓展了创业分析的维度,这种尝试本身不失为一种积极理论的探索。(2)立足于我国中西部地区创业活力长期不足,而各地旨在通过改善外在创业环境条件来提升创业活动水平的努力又收效甚微的事实,指出创业氛围不浓是中西部地区创业活动低水平徘徊的根源所在,并说明了外生的创业环境条件改善必须通过内生的创业氛围起作用,而创业氛围演化的不同阶段对创业环境条件需求的侧重点也不同。这不仅为各级政府提供了决策参考,同时也赋予本项目研究相应的实践意义。
Around the traits of enterprisers and the way of identifying and exploiting opportunities, or starting from the impacts of the external different environments, the existing literature has focused on the entrepreneurial phenomenon in the theoretical perspective of many dimensions, and put forward a series of sound ideas and insights from different viewpoints. A problem, however, cannot also be ignored. Main limitations are as follows:(1) emphasizing exogenous rather than endogenous; (2) studying the problem from the entrepreneurial individuals, rather than the group where the individual is. (3) stressing the static correspondence, while ignoring the process of dynamic evolution of entrepreneurial activities. Consequently, a paradoxical and contradictory conclusion is easy to arrive. Facing such basic questions of realities as why the levels of entrepreneurial activities in different regions differ so much and how to enhance the level of entrepreneurial activities in a region, we are bound to be quite helpless. So, based on the level of regional "ethnic group", we analyze the entrepreneur, the entrepreneurial activities, and the entrepreneurial environment under a unified framework, and study dynamically the reason for the difference in the levels of regional entrepreneurial activities from the perspective of endogenous evolution. The significance is self-evident both in theory and practice. By this research purpose, the paper reviews systematically and comments the current literature of entrepreneurial theory at home and abroad. It absorbs widely the newest achievements and the ways of thinking in the theory of evolving economy, of organizational behavior theory, and of the new socio-economy. on this basis, the paper states in detail the concept of entrepreneur climate and its connotation, the endogenous process, its mechanism, and law of evolution. By the dialectical relationship between the entrepreneurial climate and the entrepreneurial environment, the paper demonstrates that"the level of entrepreneurial activities in a region is determined not just by the level of its entrepreneurial environment,but greatly by the entrepreneurial climate of the region ",and that"the key to enhance the level of regional entrepreneur activities in mid-western China is to foster entrepreneurial climate and achieve its threshold breakthrough"
The paper consists mainly of seven parts:Chapter 1 introduces entrepreneurial practice and some confusing problems in its theory study, and then brings about the topic of the paper. It offers necessary definitions for some relevant concepts. Also it shows the logical framework of this research, the technical line, the chapter arrangements, and some major innovations. Chapter 2 reviews the development process of entrepreneurial theories, cards and traces the evolution line and the newest trends. It introduces in detail the present study, the viewpoints and the limitations of entrepreneurial climate issues in the theoretical circle. Based on this, the chapter comments generally the current entrepreneur theories. ChapterⅢdefines the concept of entrepreneurial climate, explaining in detail its main external display and the nature, as well as the difference from and the relation with such concepts as entrepreneurial environment and entrepreneurial culture. Furthermore, it illustrates the endogenous of regional entrepreneurial climate from entrepreneurial learning (knowledge accumulation), psychological experience (rewards incentives), and social interaction (benefit game). ChapterⅣshows that entrepreneurial activities are an economic choice practice, and that the level of regional entrepreneurial activities is determined by the replication frequency. Furthermore, it analyzes how the entrepreneurial climate affects the replication frequency of practice and the level of regional entrepreneurial activities by changing the high average entrepreneur income and the venture preference of individuals. ChapterⅤstates the law of positive-feedback self-evolution between entrepreneurial activities and entrepreneurial climate. It explores the internal motivation of the evolution and the stage characteristics. It offers a comprehensive analysis of how entrepreneurial environmental conditions influence the entrepreneurial climate, especially the evolution of entrepreneurial climate at different stages. Then, starting from the perspective of entrepreneurial climate, it proposes an analysis framework of entrepreneur. ChapterⅥoffers a case of social entrepreneurial activities in Gaogou Town, Wuwei County. It studies the main display of entrepreneurial climate and details of information, analyzing and summarizing the path of its formation and its evolution drive. ChapterⅦsummarizes the main ideas of this study, and explains its theoretical significance, policy implications, and limits, thus giving the prospect for future research.
Conclusions and main ideas are as follows:(1) entrepreneurial climate is the collective and external display of mental ability, values and social conventions of all the members within a region, and the consequence of the interactions among entrepreneurial learning, psychological experience and social interaction evolving from the entrepreneurial activities. (2) The level of entrepreneurial activities in a region is also determined by the replication frequency of entrepreneur, the economic behavior practice. Entrepreneurial climate improves the replication frequency of entrepreneur practices and further the level of regional entrepreneurial activities by enhancing the average entrepreneurial income and changing the entrepreneur venture preference of its members. (3) There is a positive feedback loop between entrepreneurial climate and entrepreneurial activities with a preference and ability, motivation and learning as links to maintain the continuous evolution from "low and steady stage," "self-reinforcing stage" to "high convergence stage ". (4) Entrepreneurial environment affects the level of regional entrepreneurial activities by influencing the evolving process of entrepreneurial climate, while different stages of the evolution of entrepreneurial climate have different focuses on the need of entrepreneurial environment, and different regions are expected to take distinct measures and policies to promote the level of their own entrepreneurial activities.
Innovations of the paper are shown in the following two aspects:(1) Based on the achievements in the entrepreneur theory, the paper combines the system-evolutionary theory, population ecology theory, and some ideas and methods of the new socio-economic theory. It abandons the focus of current entrepreneur theories on the personal traits of individual enterpriser, and the individual, exogenous, static research perspective in the analysis of external entrepreneurial environment. From the perspective of endogenous evolution it builds an analysis framework of entrepreneur with the focus on the entrepreneurial climate. In particular it enhances the research level from the individual to the"ethnical group", widening in a sense the horizon of and the dimension of entrepreneur research, which is in itself a positive attempt at the theory. (2) Based on the fact that with the long shortage of entrepreneurial vitality in the entrepreneurial activities of the regions in Midwestern China, the efforts by different regions produce little effect to enhance the level of entrepreneurial activities by improving the external entrepreneurial environment, the paper states that the poor entrepreneurial climate is the root of the fluctuating low level of entrepreneurial activities in mid-western China. It shows that the improving of the external entrepreneurial environment has to be realized through the endogenous entrepreneurial climate, while different stages of the evolution of entrepreneurial climate have different focuses on the need of entrepreneurial environment This not only provides the reference of policy-making for the government at different levels, but also renders the project study the corresponding practical significance.
本文主要内容包括七个部分：第一章介绍创业实践及其理论研究中的问题与困惑,并就此提出本文的研究主题,在对相关概念进行必要界定的同时,说明本研究的逻辑框架、技术路线、章节安排和主要创新点等。第二章回顾创业理论发展历程,梳理和跟踪其演进脉络和前沿动态,详细介绍理论界关于创业氛围问题研究的现状、观点与局限,在此基础上对现有的创业理论进行总体评述。第三章界定创业氛围的概念,详细说明其主要的外在表现、本质内涵、以及与创业文化等概念的区别与联系。进而从创业学习(知识积累)、心理体验(报酬激励)和社会互动(利益博弈)三个方面,阐明地区创业氛围的内生性。第四章说明创业活动是一种经济选择惯例,而地区的创业活动水平由其复制频率决定,进而分析创业氛围如何通过影响创业平均收益率高和行为人风险偏好来影响惯例复制频率和地区的创业活动水平。第五章说明创业活动与创业氛围之间正反馈自我演化的规律,并探究这一演化过程的内在动力及阶段性特征,全面分析创业环境条件对创业氛围,尤其是在创业氛围演化的不同阶段的影响,进而提出基于创业氛围视角下的创业分析框架。第六章以无为县高沟镇社会创业活动为案例,考察创业氛围主要表现及其细节性信息,分析并归纳其生成路径及其演化动力。第七章对本研究的主要结论进行归纳与总结,说明其理论意义、政策含义、及其存在局限,进而对未来的研究进行了展望。
本研究结论与主要观点有：(1)创业氛围是一个地区所有族群成员关于创业的心智能力、价值观念和习俗惯例,集体、外在的表现,是创业活动衍生的创业学习、心理体验和社会互动相互作用的结果。(2)一个地区的创业活动水平也是由创业这一经济行为惯例的复制频率决定的,创业氛围通过提升创业平均收益率和改变族群成员创业风险偏好,来提高创业惯例复制频率、进而地区创业活动水平。(3)创业氛围与创业活动之间存在一个以偏好与能力、激励与学习为纽带的正反馈回路,使其不断地由“低水平稳态阶段”、“自增强阶段”向“高水平收敛阶段”演化。(4)创业环境条件通过影响创业氛围演化进程影响地区创业活动水平的,而创业氛围演化的不同阶段对创业环境条件需求的侧重点不同,不同地区促进地区创业活动水平的政策举措应有所区别。
本文的创新之处体现在以下两个方面：(1)以创业理论的研究成果为基础,综合制度演化理论、生态种群理论、新经济社会学理论的观点与方法,摒弃当前创业理论中注重企业家个人特质和外在创业环境条件分析个体、外生、静态的研究视角,从内生、演化的视角构建以创业氛围为中心的创业分析框架,特别是把研究层面从个体水平提升到“种群”水平,一定程度上开阔了创业研究的视域,拓展了创业分析的维度,这种尝试本身不失为一种积极理论的探索。(2)立足于我国中西部地区创业活力长期不足,而各地旨在通过改善外在创业环境条件来提升创业活动水平的努力又收效甚微的事实,指出创业氛围不浓是中西部地区创业活动低水平徘徊的根源所在,并说明了外生的创业环境条件改善必须通过内生的创业氛围起作用,而创业氛围演化的不同阶段对创业环境条件需求的侧重点也不同。这不仅为各级政府提供了决策参考,同时也赋予本项目研究相应的实践意义。
Around the traits of enterprisers and the way of identifying and exploiting opportunities, or starting from the impacts of the external different environments, the existing literature has focused on the entrepreneurial phenomenon in the theoretical perspective of many dimensions, and put forward a series of sound ideas and insights from different viewpoints. A problem, however, cannot also be ignored. Main limitations are as follows:(1) emphasizing exogenous rather than endogenous; (2) studying the problem from the entrepreneurial individuals, rather than the group where the individual is. (3) stressing the static correspondence, while ignoring the process of dynamic evolution of entrepreneurial activities. Consequently, a paradoxical and contradictory conclusion is easy to arrive. Facing such basic questions of realities as why the levels of entrepreneurial activities in different regions differ so much and how to enhance the level of entrepreneurial activities in a region, we are bound to be quite helpless. So, based on the level of regional "ethnic group", we analyze the entrepreneur, the entrepreneurial activities, and the entrepreneurial environment under a unified framework, and study dynamically the reason for the difference in the levels of regional entrepreneurial activities from the perspective of endogenous evolution. The significance is self-evident both in theory and practice. By this research purpose, the paper reviews systematically and comments the current literature of entrepreneurial theory at home and abroad. It absorbs widely the newest achievements and the ways of thinking in the theory of evolving economy, of organizational behavior theory, and of the new socio-economy. on this basis, the paper states in detail the concept of entrepreneur climate and its connotation, the endogenous process, its mechanism, and law of evolution. By the dialectical relationship between the entrepreneurial climate and the entrepreneurial environment, the paper demonstrates that"the level of entrepreneurial activities in a region is determined not just by the level of its entrepreneurial environment,but greatly by the entrepreneurial climate of the region ",and that"the key to enhance the level of regional entrepreneur activities in mid-western China is to foster entrepreneurial climate and achieve its threshold breakthrough"
The paper consists mainly of seven parts:Chapter 1 introduces entrepreneurial practice and some confusing problems in its theory study, and then brings about the topic of the paper. It offers necessary definitions for some relevant concepts. Also it shows the logical framework of this research, the technical line, the chapter arrangements, and some major innovations. Chapter 2 reviews the development process of entrepreneurial theories, cards and traces the evolution line and the newest trends. It introduces in detail the present study, the viewpoints and the limitations of entrepreneurial climate issues in the theoretical circle. Based on this, the chapter comments generally the current entrepreneur theories. ChapterⅢdefines the concept of entrepreneurial climate, explaining in detail its main external display and the nature, as well as the difference from and the relation with such concepts as entrepreneurial environment and entrepreneurial culture. Furthermore, it illustrates the endogenous of regional entrepreneurial climate from entrepreneurial learning (knowledge accumulation), psychological experience (rewards incentives), and social interaction (benefit game). ChapterⅣshows that entrepreneurial activities are an economic choice practice, and that the level of regional entrepreneurial activities is determined by the replication frequency. Furthermore, it analyzes how the entrepreneurial climate affects the replication frequency of practice and the level of regional entrepreneurial activities by changing the high average entrepreneur income and the venture preference of individuals. ChapterⅤstates the law of positive-feedback self-evolution between entrepreneurial activities and entrepreneurial climate. It explores the internal motivation of the evolution and the stage characteristics. It offers a comprehensive analysis of how entrepreneurial environmental conditions influence the entrepreneurial climate, especially the evolution of entrepreneurial climate at different stages. Then, starting from the perspective of entrepreneurial climate, it proposes an analysis framework of entrepreneur. ChapterⅥoffers a case of social entrepreneurial activities in Gaogou Town, Wuwei County. It studies the main display of entrepreneurial climate and details of information, analyzing and summarizing the path of its formation and its evolution drive. ChapterⅦsummarizes the main ideas of this study, and explains its theoretical significance, policy implications, and limits, thus giving the prospect for future research.
Conclusions and main ideas are as follows:(1) entrepreneurial climate is the collective and external display of mental ability, values and social conventions of all the members within a region, and the consequence of the interactions among entrepreneurial learning, psychological experience and social interaction evolving from the entrepreneurial activities. (2) The level of entrepreneurial activities in a region is also determined by the replication frequency of entrepreneur, the economic behavior practice. Entrepreneurial climate improves the replication frequency of entrepreneur practices and further the level of regional entrepreneurial activities by enhancing the average entrepreneurial income and changing the entrepreneur venture preference of its members. (3) There is a positive feedback loop between entrepreneurial climate and entrepreneurial activities with a preference and ability, motivation and learning as links to maintain the continuous evolution from "low and steady stage," "self-reinforcing stage" to "high convergence stage ". (4) Entrepreneurial environment affects the level of regional entrepreneurial activities by influencing the evolving process of entrepreneurial climate, while different stages of the evolution of entrepreneurial climate have different focuses on the need of entrepreneurial environment, and different regions are expected to take distinct measures and policies to promote the level of their own entrepreneurial activities.
Innovations of the paper are shown in the following two aspects:(1) Based on the achievements in the entrepreneur theory, the paper combines the system-evolutionary theory, population ecology theory, and some ideas and methods of the new socio-economic theory. It abandons the focus of current entrepreneur theories on the personal traits of individual enterpriser, and the individual, exogenous, static research perspective in the analysis of external entrepreneurial environment. From the perspective of endogenous evolution it builds an analysis framework of entrepreneur with the focus on the entrepreneurial climate. In particular it enhances the research level from the individual to the"ethnical group", widening in a sense the horizon of and the dimension of entrepreneur research, which is in itself a positive attempt at the theory. (2) Based on the fact that with the long shortage of entrepreneurial vitality in the entrepreneurial activities of the regions in Midwestern China, the efforts by different regions produce little effect to enhance the level of entrepreneurial activities by improving the external entrepreneurial environment, the paper states that the poor entrepreneurial climate is the root of the fluctuating low level of entrepreneurial activities in mid-western China. It shows that the improving of the external entrepreneurial environment has to be realized through the endogenous entrepreneurial climate, while different stages of the evolution of entrepreneurial climate have different focuses on the need of entrepreneurial environment This not only provides the reference of policy-making for the government at different levels, but also renders the project study the corresponding practical significance.
引文
①数据来源：黄孟复,《中国民营经济发展报告2006》,中国社会科学出版社,2007年9月。
①郑风田,奥氏获经济学诺奖挑战六大传统误区,中国政治经济学教育科研网,2009年10月20日。
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