创新型中小企业基因及作用机理研究
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摘要
创新型中小企业是中小企业群体的重要组成部分,尽管它们所占比重较小,但却创造了大多数的新技术、新产品和专利等科技成果。同时,它们在解决居民就业、优化产业结构、催生高科技企业成长、推动科技创新发展、保持市场竞争活力等方面发挥着关键作用。创新型中小企业正以强烈的创新动机,以及灵活的经营机制逐渐成为国家创新体系建设和经济社会发展中最具创新活力的部分。然而,随着科技发展、技术进步速度的加快,创新型中小企业面临的经营环境日趋复杂多变,不确定性因素也急剧增加,市场竞争程度更加激烈,这些客观条件变化都对其生存发展提出了严峻考验和重大挑战,大量创新型中小企业遭遇了成长危机。因此,探析影响创新型中小企业成长的关键因素,即企业基因,剖析企业基因影响企业成长的机理,以推动其实现健康快速成长就显得十分必要。
     针对这一问题,国内外学者进行了较多的研究,如基因的概念、基因要素构成、基因结构、基因功能等,这些研究成果为解决创新型中小企业持续成长问题提供了重要基础。但学者们对这些问题的认识尚未达成一致,尤其是对企业基因如何作用于创新型中小企业成长的机理研究更是薄弱。由此,如何从本源上剖析创新型中小企业基因,识别企业基因构成,以及解析企业基因的作用,构建关于创新型中小企业基因研究的统一理论框架,促进其实现可持续成长仍有待深化。正是基于以上思考,借助于生命科学中的相关研究,在揭示创新型中小企业基因内涵基础上,提出了创新型中小企业成长的一类基因研究框架,即要素——结构——功能模式,以期为从基因层面研究创新型中小企业成长提供新证据,深化有关企业基因对企业成长影响内在机理的理论研究。
     按照上述逻辑主线,本文主要研究内容可以概述为以下四方面:
     第一,创新型中小企业基因内涵、构成与甄别。在剖析创新型中小企业生命特性基础上,借鉴生命科学中基因概念及其相关研究,提出并界定创新型中小企业基因内涵、结构特征,以及企业基因的五种关键构成要素:企业家资源、人力资源、知识资源、技术资源与财力资源。并以我国中小上市公司为研究样本,运用因子分析、方差分析、多重比较、综合评价等统计方法,实证检验理论推导得到的创新型中小企业基因要素的主要构成,为后续研究奠定经验基础。
     第二,创新型中小企业基因表达调控。参考遗传学中生物基因表达的“中心法则”思想,从理论上剖析企业基因如何在创新型中小企业成长过程中发挥作用,提出了创新型中小企业成长的基因法则概念模型。在此法则指导下,以复杂网络理论和复杂适应系统理论为基础,阐述了从企业基因到基因编码的概念化过程,以及从基因编码到功能模块的具体化过程,即创新型中小企业基因的“转录”和“翻译”过程,并进一步剖析了基因表达过程中的调控机理。
     第三,创新型中小企业基因变异。生命体只有通过与环境不断地进行物质、能量以及信息交换才能维持自身的高度有序结构。当外部环境变化后,创新型中小企业也需要调整内部结构与功能,以适应变化了的外部环境,这是其实现持续成长的必要条件。由此,借助于生物基因变异研究理论剖析了创新型中小企业基因变异内涵、类型以及动因,提出了创新型中小企业基因变异的基本过程,并采用演化博弈模型进一步探讨了基因变异的结果。
     第四,基于基因的创新型中小企业成长仿真。在前述从创新型中小企业基因内涵、基因要素构成、基因表达调控、基因变异的基础上,运用基于主体的建模方法(ABM),设计仿真模型,模拟企业基因作用下的创新型中小企业动态演化。
     综合以上分析内容,主要得出了如下五点结论:
     第一,结合创新型中小企业本质特征,重构了创新型中小企业基因定义。围绕企业基因这一基本界定,确定了企业家资源、人力资源、知识资源、技术资源与财力资源是企业基因的五种基本构成要素。
     第二,以我国中小上市公司中满足创新型中小企业标准的个体为样本,采用实证研究方法甄别理论推导得到的基因要素。统计分析结果表明,随着成长性水平的变化,创新型中小企业基因要素均值在不同组间存在显著差异,高成长性与中等成长性创新型中小企业各要素均值水平明显高于低成长性企业。
     第三,以创新型中小企业基因内涵为前提,借助于生命科学中成熟的概念与方法,立足生命遗传信息在生命体内存储、表达以及遗传的基本作用法则,提出了创新型中小企业基因表达的中心法则概念模型。
     第四,在解析创新型中小企业基因变异内涵基础上,归纳了创新型中小企业基因变异的内外动因:内在动因主要包括企业家、创新动力、组织学习、利益驱动、社会价值五方面内容;外在动因主要包括政策法律环境、科技环境、经济环境、产业与行业环境、制度环境、金融生态环境等内容。
     第五,创新型中小企业成长演变的动态模拟表明,演化前期个体数量增长速度较快,但演化后期个体数量增长逐渐放缓,进入退出维持在某一水平上下波动。行业中个体的平均财力水平、产出水平呈现出不断攀升的趋势,但由于行业中存在个体的进入与退出,平均财力水平变化、平均产出水平均表现出一定波动性规律。此外,随着环境复杂性和动态性程度增强,激进式研发策略和激进式商业模式调整策略被企业所选择的频率增加。组织管理主体扩张能力变化,对个体的规模、技术水平以及财务实力增长有相对明显地促进作用。
     据此,本文创新点归为以下三方面:
     第一,解答影响创新型中小企业成长的基因这一基本命题。从企业基因理论角度,运用系统科学思维方式,以企业仿生学理论、遗传学、复杂适应系统理论以及演化理论为主要分析工具,重构了创新型中小企业基因的基本概念,建立了区别于已有研究的企业基因概念。在此基础上,深入剖析影响创新型中小企业成长的关键因素,并构建企业基因要素测度体系,这为运用企业基因理论对创新型中小企业成长问题进行实证研究提供了有意义的借鉴。
     第二,提出一种基于基因的创新型中小企业成长研究新途径。从系统科学角度出发,在重新界定企业基因内涵基础上,根据遗传学中的生物基因研究思想,提出并构建从企业基因要素到结构,再到功能模块,以致形成单个生命体的从下到上设计思路,即要素——结构——功能的研究框架,进而为从企业基因出发剖析创新型中小企业个体生存与成长提供一种新的分析途径。
     第三,解析企业基因作用于创新型中小企业成长的内在作用机理。以生物学中的遗传中心法则为基础,提出创新型中小企业基因影响企业成长的表达与调控机制。然后,剖析企业基因变异动因及其结果,以此来解析企业基因在企业生命体演变过程中的变异行为。最后,以复杂适应系统理论为基础,采用基于主体的建模与仿真方法,构建基因驱动的创新型中小企业成长仿真模型,模拟企业基因作用下的创新型中小企业成长演变过程中的资源配置机制、市场竞争机制、选择机制与变异机制对个体成长的影响。
Innovative Small and Medium-Sized Enterprise (ISMEs) has become a most innovative vigor part of the national innovative system and economic development by strong motivation and flexible operation mechanism. Although they share a very small percentage in the Small and Medium-Sized group, ISMEs has created most of the new technology, new products and patents, and so on. In the meantime, they have also played an important role in solving the resident employment, optimizing the industrial structure, accelerating the growth of high-tech enterprises, promoting the technical innovation and development and maintaining vitality of market competition, etc. However, with the science development and technical advancement, ISMEs faces a more complexity business environment, sharp increasing uncertainty and fierce market competition which posed a server challenge on the firm survival and development, and most of them encounters growth crisis. Therefore, it is necessary to promoting the healthy and rapid development of ISMEs by analyzing the firm gene and internal mechanism of firm gene.
     The scholars carry out lots of attention on the field of firm gene, such as conception, composition, structure, function of firm gene, which are important basis to promote the sustainable growth of ISMEs. It is pity that there has not yet reached consensus on these problems. Especially, the study on the mechanism about how firm gene affect on growth of ISMEs is more relatively weaker. Thus, it is still need to be deepened to analytic the firm gene from the nature, identify the composition of gene, disclose the basic function of gene, and construct on the unified theoretical framework of ISMEs from the gene angel. In order to provide new evidence and deepened the theoretical research about the sustainable growth of ISMEs from the gene angel, the paper tries to put forwards a class research framework about firm gene, namely that elements-structure-function based on above consideration and content of life science.
     In accordance with above logic thinking, the main content of this paper can be summarized as the following four aspects:
     Firstly, definition, composition and screening of firm gene. Based on the characters of ISMEs and life science theory, the paper proposes and defines the conception, structure, and five key elements of firm gene which include entrepreneur resource, human resource, knowledge resource, technical resource and financial resource. Then, taking the Listed Companies in China as sample, the composition of firm gene is certified by using the statistical methods including factor analysis, variance analysis, multiple comparisons, comprehensive evaluation, and analytic hierarchy process, which lay the foundation for further study.
     Secondly, gene expression regulation of ISMEs. According to the biological genetic central dogma of gene expression, the paper clarifies the mechanism about how firm gene affects firm growth, based on which the conception model of central dogma of ISMEs is constructed. Under the guidance of this principle, two processes are explained included the transcription and translation of firm gene, which gene transcription refers to the conceptualization from gene to encode gene, and gene translation is the concrete process from encoding gene to modularity. Then, the mechanism of gene expression regulation is also made known.
     Thirdly, gene mutation of ISMEs. Owing to the beings needs to maintain the highly ordered structure by exchanging the material, energy, and information with environment, ISMEs also needs to optimize the internal structure and function with changing in the environment, which is a necessary condition for sustaining growth of firm. Thus, the paper analyzes the nature, categories, and motivation by using the theory of biological gene mutation, based on which the process of gene mutation is putted forwarded, and the results of mutation is also be further discussed based the evolutionary game model.
     Fourthly, gene-based simulation of ISMEs. In accordance with the above analysis, the paper simulates the dynamic process of firm growth in the evolution process by the methods of agent-based model.
     Based on the above the studies, five main conclusions obtained are as follows:
     In the first, the paper reconstructs the gene conception of firm with the essential features of ISMEs, based on which the gene elements are identified that included entrepreneur resource, human resource, knowledge resource, technical resource and financial resource.
     In the second, taking the listed companies which meet the criterions of ISMEs in China as sample, the gene elements are scrolled by the empirical research. The results of ANOVA analysis indicate that there are significant differences in the mean of different gene elements between groups and the mean of high growth group and middle growth group are significantly higher than the low high growth group with the changes growth level.
     In the third, with the precondition, the central dogma of gene expression is formulated based on the mature theory and method of life science, such as the store, expression and basic expression rules of genetic information.
     In the fourth, the paper summarizes the motivation of genetic variation by analyzing the nature of firm gene. The internal factors include five aspects, such as entrepreneurs, innovation motivation, organizational learning, and benefits. The external factors include policy environment, technical environment, economic environment, industry environment and financial ecology environment, and so on.
     In the fifth, the results of simulation indicate that the number of individual is faster increasing in the early stage, but the growth slows down in the later stage and entry and exit maintains volatility around the certain level. In the same time, the average financial level and output level of individual show a rising trends in the industry, but which is volatility. Moreover, the probability of radical R&D and business model strategy selected is increasing with the enhanced dynamic and complexity of environment, and with the changes in the organization and management capacity the scale, technical level, and financial strength is significantly improving.
     Accordingly, there have three aspects in the innovation about the paper followed:
     In the first place, answering the proposition that the gene of ISMEs. Based the system science thinking the paper reconstruct the basic gene conception of ISMEs, and constructs the new conception system about the firm gene which is different from the conception established using the businesses bionics theory, genetic theory, complex adaptive system and evolution theory, on the basis of which the paper proposes a measurement system of gene elements by analyzing the key factors which has affect on the firm growth, which provides a meaningful reference to how use the gene theory to study growth.
     In the second place, based on the redefining the firm gene and gene theory in the biology science the theoretical framework of the elements-structure-function is constructed to analyze the growth of ISMEs, which provides a new way to promote the firm growth from the system science angel.
     In the third place, analyzing the mechanism that gene affects the growth of ISMEs. The concept model of the central dogma of ISMEs is mapped by analogizing the transmission mechanism of genetic information in life science, and the motivation and results are clarified which is help to analyze variation mechanism in the evolution process. Then, on the basis of complex adaptive system the simulating model is constructed to simulate the resource allocation mechanism, the market competition mechanism, selection mechanism and the mutation mechanism by using the agent-based model.
引文
①注释:本文所提到的科技型企业、民营科技企业,除特别指出,均指创新型中小企业(ISMEs).
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