基于企业家创新的产业演化研究
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摘要
在产业演化的理论研究中,一般认为技术创新是产业演化的根本动力,但对产业演化和企业创新的研究一直是独立进行的。而实际上产业演化是微观主体创新的结果与表象,微观主体不断创新是推动产业不断演化的最终动力,要深入理解产业演化的基本规律离不开对微观主体创新的研究。可见,产业演化和推进产业演化的微观主体及其创新具有内在的本质联系,只有将它们统一于同一研究框架内进行研究才能从根本上揭示产业演化的内在规律,本文正是沿着此思路展开研究工作的。
首先,本文对产业演化的微观主体进行了探析。从企业家含义以及企业家与企业的关系着手,来分析企业创新与企业家创新之间的关系,研究认为企业家因为拥有稀缺的异质性人力资本而成为企业的“中心签约人”,即企业是企业家的企业。企业家的异质性人力资本的关键作用体现在企业家创新中,企业家创新是企业家的灵魂,企业家创新对企业创新起关键作用,企业的创新是企业家创新的外在表现,其本质是企业家创新。既然企业家才是最终的微观创新主体,而推进产业演化的动力来自于内生性的微观创新,所以,企业家才是真正的推进产业演化的微观主体。
其次,构建以企业家创新为基础的产业演化模型。企业家创新是产业演化的微观动力,那么以企业家创新构建产业演化模型是其内在本质的要求。文章从产业演化的动力入手,并探讨了产业的演化路径和演化形式,产业演化一般沿着萌芽、形成、成长、成熟和衰退的路径进行演化,而演化的形式则是多样的,具体表现为产业规模演化、产业素质演化和产业市场结构演化。当然,在不同的演化阶段,可能表现为其中的一种或几种,而且,不同产业的演化也可能呈现一定的差异,但整体将遵循以上的演化规律。在此基础上,建立了产业演化的概念模型,该模型是一个企业家创新演化和产业演化的协同演化模型,即包含着两个子模型;其基本思想是企业家创新是一个不断演化的过程,企业家创新作为产业演化的动力推进产业的持续演化;产业演化后的暂时性稳定状态成为新的企业家创新环境,进而促进新一轮企业家创新,正是这种彼此影响、相互作用的结果,不断推动企业家创新和产业协同演化。
再次,分别对企业家创新演化和产业演化构建深化的演化模型。文章利用演化经济学分析范式对企业家创新演化过程进行了分析,并以此思路建立企业家创新演化的模型。企业家创新演化过程包括企业家创新的动因、创意的形成、创新的实施和创新成功几个阶段,演化机制在每一阶段发挥了关键作用。企业家创新包括企业家产品创新、工艺创新、组织创新、管理创新和市场创新,而每一种创新都由企业家创新资源所决定,创新资源包括企业家个体资源、企业资源和环境资源,由此提出了有关企业家创新和创新资源的一些假说。同样利用演化经济学分析范式分析了产业演化的演化机制和演化过程,并对作为微观动力的企业家创新对产业演化的作用路径进行了分析,在此基础上建立产业演化的深化模型。然后选择产业规模演化和市场结构演化进行了更加深入的理论分析,通过数理模型的分析,提出了产业演化的一些基本假说。
最后,利用本研究的调研数据对提出的有关假说进行实证分析,绝大多数假说得到了实证,通过对实证结果的分析,得到如下基本结论:(1)企业家创新实际上一个不断演化的过程,可以分为6个阶段和5种类型。创新类型选择决定与企业家资源、企业资源和环境资源。(2)在产业演化的不同阶段,企业家创新的内容存在差异,不同的创新需要不同的创新资源及其不同组合。(3)企业家创新是推进产业演化的内生动力源泉,包括技术进步、需求及其结构、自然资源与生产要素以及政府政策等外生动力因素都要借助企业家创新这个内生动力因素才能发挥作用。(4)产业演化和企业家创新演化相互影响、协同演化。(5)在演化的过程中表现为多种具体的演化形式。在具体某一时点上,产业演化可能表现为其中的一种形式,也可能表现为多种形式,至于究竟以哪种形式出现是由企业家创新的类型所决定的。
总之,本研究将中观的产业经济现象和微观的企业家创新相结合,在深化企业家创新理论和产业演化理论的基础上,以企业家创新为主线来探询产业演化的基本规律,提出企业家创新与产业协同演化的理论分析框架,为研究和理解产业演化提供新的思路与视角。另外,理清了在演化的过程中企业家创新类型转化以及其与创新资源的匹配,为处于在不同产业阶段企业家创新战略、企业家创新类型及其创新资源等提供理论依据和启示。
In the theoretical research of industry evolution,it is commonly believed that technological evolution is the fundamental pushing force of industry evolution. However,the research in industry evolution and enterprise innovation was segmented. In fact,industry evolution is the evidence and the result of enterprise innovation in micro-level.The continuous innovation of micro entity is the fundamental pushing force of industry evolution.The understanding of the rule of industry evolution is rely on research in micro-entities.In sum,Industry evolution,its micro-entities,and the innovation have inner connection.It is important to study them base on a consistent research framework,which is the fundamental of this dissertation.
Firstly,micro-entities of industry evolution were analyzed.In the viewpoint of the definition of entrepreneur and the relationship between entrepreneur and enterprise,the result of research showed that because entrepreneur have unique and scare human capital,and become the "central contract signer",which is enterprise belongs to entrepreneur.The unique human capital of entrepreneur is defined in entrepreneurial innovation.Entrepreneurial innovation is the soul of entrepreneur. Entrepreneurial innovation is the key to enterprise innovation.Enterprise innovation is the explicit evidence of entrepreneurial innovation.As entrepreneurial innovation is the fundamental innovation,entrepreneur is the micro entity of industry innovation.
Secondly,industry evolution model based on entrepreneurial innovation was build.As entrepreneur is the micro push force of industry evolution,building entrepreneurial innovation based industry evolution model is demanded.This dissertation discussed the industry evolution path and evolution form,based on industry evolution force.Industry evolution usually follows the path of seed, formation,growth,mature,and decline stages.The form of evolution is diverse, exhibiting industry scale evolution,industry quality evolution and industry market structure evolution.Of course,in different stage of evolution,some form of evolution is evident.Different industry can also have different evolution,but they share some common law.Base on these analysis,the author build the model.The model includes two sub-models:entrepreneur innovation evolution model and industry evolution coordination model.The mind of the model is:entrepreneurial innovation is a continuous process,entrepreneurial innovation push the industry evolution continuously.The temporary stable after evolution is the new entrepreneurial innovation environment,and pushes a new cycle of entrepreneur innovation.It's these inter-connected result push the entrepreneurial innovation and industry evolution coordinately.
Thirdly,the author built deepening entrepreneurial innovation evolution and industry evolution model respectively.Entrepreneurial evolution process and entrepreneurial innovation was studied based on evolutionary economics stereotype. Entrepreneur innovation evolution process includes the following stages:reason, formation,practice and success.Evolution mechanism is important in every stage. Entrepreneurial innovation includes entrepreneurial product innovation,skill innovation,organizational innovation,management innovation and market innovation, each of which is depend of innovation resources of entrepreneur.Innovation resources include individual resource,enterprise resource and environment resource.Some assumption of entrepreneurial innovation and innovation resource were defined.The author also analyzed the process and mechanism of industry evolution,the affecting path of entrepreneurial innovation.An deepened industrial evolution model is then build.The process of Industry scale evolution and market structure was further analyzed.Based on the numerical model analysis,some fundamental assumption of industry evolution was defined.
Finally,an empirical study was conducted based on field research data.Most assumption of the model was proved.The result of the empirical study showed following evidence.(1) Entrepreneurial innovation is an endless evolution process, can be segmented into 6 stages and 5 types.Innovation type decision is determined by entrepreneur resource,enterprise resource and environment resource.(2) In different stage of industry innovation,the content of entrepreneurial innovation is different. Different innovation also needs different resource combination.(3)Entrepreneurial innovation is the inner push force of industry evolution.Other outer factors,including technology advancement,demand and its structure,natural resource and government policy have to depend on it.(4) Industry evolution and entrepreneurial innovation evolution is inter-connected and evolutes coordinately.(5) There are different specific evolution forms.In one specific time,industry evolution can exhibit different form, depended on the type of entrepreneurial innovation.
In sum,this dissertation combined industrial economics evidence and micro entrepreneurial innovation.Based on the entrepreneurial innovation theory and industry evolution theory,fundamental law of industry evolution based on entrepreneur innovation was found.A research framework was also built to support new idea and viewpoint.The matching of entrepreneurial innovation type transform and entrepreneurial innovation resource in the process of evolution was also analyzed, so that the advice and research base can be given to the question like:enterprise in different stage needs what kind of entrepreneurial innovation strategy、entrepreneurial innovation and innovation resource.
首先,本文对产业演化的微观主体进行了探析。从企业家含义以及企业家与企业的关系着手,来分析企业创新与企业家创新之间的关系,研究认为企业家因为拥有稀缺的异质性人力资本而成为企业的“中心签约人”,即企业是企业家的企业。企业家的异质性人力资本的关键作用体现在企业家创新中,企业家创新是企业家的灵魂,企业家创新对企业创新起关键作用,企业的创新是企业家创新的外在表现,其本质是企业家创新。既然企业家才是最终的微观创新主体,而推进产业演化的动力来自于内生性的微观创新,所以,企业家才是真正的推进产业演化的微观主体。
其次,构建以企业家创新为基础的产业演化模型。企业家创新是产业演化的微观动力,那么以企业家创新构建产业演化模型是其内在本质的要求。文章从产业演化的动力入手,并探讨了产业的演化路径和演化形式,产业演化一般沿着萌芽、形成、成长、成熟和衰退的路径进行演化,而演化的形式则是多样的,具体表现为产业规模演化、产业素质演化和产业市场结构演化。当然,在不同的演化阶段,可能表现为其中的一种或几种,而且,不同产业的演化也可能呈现一定的差异,但整体将遵循以上的演化规律。在此基础上,建立了产业演化的概念模型,该模型是一个企业家创新演化和产业演化的协同演化模型,即包含着两个子模型;其基本思想是企业家创新是一个不断演化的过程,企业家创新作为产业演化的动力推进产业的持续演化;产业演化后的暂时性稳定状态成为新的企业家创新环境,进而促进新一轮企业家创新,正是这种彼此影响、相互作用的结果,不断推动企业家创新和产业协同演化。
再次,分别对企业家创新演化和产业演化构建深化的演化模型。文章利用演化经济学分析范式对企业家创新演化过程进行了分析,并以此思路建立企业家创新演化的模型。企业家创新演化过程包括企业家创新的动因、创意的形成、创新的实施和创新成功几个阶段,演化机制在每一阶段发挥了关键作用。企业家创新包括企业家产品创新、工艺创新、组织创新、管理创新和市场创新,而每一种创新都由企业家创新资源所决定,创新资源包括企业家个体资源、企业资源和环境资源,由此提出了有关企业家创新和创新资源的一些假说。同样利用演化经济学分析范式分析了产业演化的演化机制和演化过程,并对作为微观动力的企业家创新对产业演化的作用路径进行了分析,在此基础上建立产业演化的深化模型。然后选择产业规模演化和市场结构演化进行了更加深入的理论分析,通过数理模型的分析,提出了产业演化的一些基本假说。
最后,利用本研究的调研数据对提出的有关假说进行实证分析,绝大多数假说得到了实证,通过对实证结果的分析,得到如下基本结论:(1)企业家创新实际上一个不断演化的过程,可以分为6个阶段和5种类型。创新类型选择决定与企业家资源、企业资源和环境资源。(2)在产业演化的不同阶段,企业家创新的内容存在差异,不同的创新需要不同的创新资源及其不同组合。(3)企业家创新是推进产业演化的内生动力源泉,包括技术进步、需求及其结构、自然资源与生产要素以及政府政策等外生动力因素都要借助企业家创新这个内生动力因素才能发挥作用。(4)产业演化和企业家创新演化相互影响、协同演化。(5)在演化的过程中表现为多种具体的演化形式。在具体某一时点上,产业演化可能表现为其中的一种形式,也可能表现为多种形式,至于究竟以哪种形式出现是由企业家创新的类型所决定的。
总之,本研究将中观的产业经济现象和微观的企业家创新相结合,在深化企业家创新理论和产业演化理论的基础上,以企业家创新为主线来探询产业演化的基本规律,提出企业家创新与产业协同演化的理论分析框架,为研究和理解产业演化提供新的思路与视角。另外,理清了在演化的过程中企业家创新类型转化以及其与创新资源的匹配,为处于在不同产业阶段企业家创新战略、企业家创新类型及其创新资源等提供理论依据和启示。
In the theoretical research of industry evolution,it is commonly believed that technological evolution is the fundamental pushing force of industry evolution. However,the research in industry evolution and enterprise innovation was segmented. In fact,industry evolution is the evidence and the result of enterprise innovation in micro-level.The continuous innovation of micro entity is the fundamental pushing force of industry evolution.The understanding of the rule of industry evolution is rely on research in micro-entities.In sum,Industry evolution,its micro-entities,and the innovation have inner connection.It is important to study them base on a consistent research framework,which is the fundamental of this dissertation.
Firstly,micro-entities of industry evolution were analyzed.In the viewpoint of the definition of entrepreneur and the relationship between entrepreneur and enterprise,the result of research showed that because entrepreneur have unique and scare human capital,and become the "central contract signer",which is enterprise belongs to entrepreneur.The unique human capital of entrepreneur is defined in entrepreneurial innovation.Entrepreneurial innovation is the soul of entrepreneur. Entrepreneurial innovation is the key to enterprise innovation.Enterprise innovation is the explicit evidence of entrepreneurial innovation.As entrepreneurial innovation is the fundamental innovation,entrepreneur is the micro entity of industry innovation.
Secondly,industry evolution model based on entrepreneurial innovation was build.As entrepreneur is the micro push force of industry evolution,building entrepreneurial innovation based industry evolution model is demanded.This dissertation discussed the industry evolution path and evolution form,based on industry evolution force.Industry evolution usually follows the path of seed, formation,growth,mature,and decline stages.The form of evolution is diverse, exhibiting industry scale evolution,industry quality evolution and industry market structure evolution.Of course,in different stage of evolution,some form of evolution is evident.Different industry can also have different evolution,but they share some common law.Base on these analysis,the author build the model.The model includes two sub-models:entrepreneur innovation evolution model and industry evolution coordination model.The mind of the model is:entrepreneurial innovation is a continuous process,entrepreneurial innovation push the industry evolution continuously.The temporary stable after evolution is the new entrepreneurial innovation environment,and pushes a new cycle of entrepreneur innovation.It's these inter-connected result push the entrepreneurial innovation and industry evolution coordinately.
Thirdly,the author built deepening entrepreneurial innovation evolution and industry evolution model respectively.Entrepreneurial evolution process and entrepreneurial innovation was studied based on evolutionary economics stereotype. Entrepreneur innovation evolution process includes the following stages:reason, formation,practice and success.Evolution mechanism is important in every stage. Entrepreneurial innovation includes entrepreneurial product innovation,skill innovation,organizational innovation,management innovation and market innovation, each of which is depend of innovation resources of entrepreneur.Innovation resources include individual resource,enterprise resource and environment resource.Some assumption of entrepreneurial innovation and innovation resource were defined.The author also analyzed the process and mechanism of industry evolution,the affecting path of entrepreneurial innovation.An deepened industrial evolution model is then build.The process of Industry scale evolution and market structure was further analyzed.Based on the numerical model analysis,some fundamental assumption of industry evolution was defined.
Finally,an empirical study was conducted based on field research data.Most assumption of the model was proved.The result of the empirical study showed following evidence.(1) Entrepreneurial innovation is an endless evolution process, can be segmented into 6 stages and 5 types.Innovation type decision is determined by entrepreneur resource,enterprise resource and environment resource.(2) In different stage of industry innovation,the content of entrepreneurial innovation is different. Different innovation also needs different resource combination.(3)Entrepreneurial innovation is the inner push force of industry evolution.Other outer factors,including technology advancement,demand and its structure,natural resource and government policy have to depend on it.(4) Industry evolution and entrepreneurial innovation evolution is inter-connected and evolutes coordinately.(5) There are different specific evolution forms.In one specific time,industry evolution can exhibit different form, depended on the type of entrepreneurial innovation.
In sum,this dissertation combined industrial economics evidence and micro entrepreneurial innovation.Based on the entrepreneurial innovation theory and industry evolution theory,fundamental law of industry evolution based on entrepreneur innovation was found.A research framework was also built to support new idea and viewpoint.The matching of entrepreneurial innovation type transform and entrepreneurial innovation resource in the process of evolution was also analyzed, so that the advice and research base can be given to the question like:enterprise in different stage needs what kind of entrepreneurial innovation strategy、entrepreneurial innovation and innovation resource.
引文
[1]胡锦涛在中国共产党第十七次全国代表大会上的报告,《高举中国特色社会主义伟大旗帜、为夺取全面建设小康社会新胜利而奋斗》,http://news.xinhuanet.com/newscenler/,2007年10月15日.
[2]有关的理论具体见后文的理论理论综述.
[3]朱卫平,《企业家本位论——中小企业所有权制度安排研究》,经济科学出版社,2004年版.
[1]列宁,《列宁全集》(第一卷),人民出版社,1984年版.
[2]以上理论主要根据刘志迎主编的《现代产业经济学教程》(科学出版社,2007年版)和史忠良主编的《产业经济学》(经济管理出版社,2005年版)整理得到.
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[8]纳尔逊、温特,《经济变迁的演化理论》,商务印书馆,1997年版.
[9]约瑟夫·熊彼特,《经济发展理论》,商务印书馆,1990年版.
[10]同[9]
[11]德鲁克,《创新与企业家精神》,企业管理出版社,1989年版.
[12]同[11]
[13]同[11]
[14]Edison Tse,(2002),"Grabber-holder dynamics and network effects in technology innovation",Journal of Economic Dynamics & Control,26:1721-1738.
[15]Delmonize A.Smith and Franz T.Lohrke,Entrepreneurial network development:Trusting in the process,Journal of Business Research 61(2008) 315-322.
[16]W.-B.Lin,(2006),"A comparative study on the trends of entrepreneurial behaviors of enterprises in different strategies:Application of the social cognition theory",Expert Systems with Applications,31:207-220.
[17]R.P.Oakey,(2003),"Technical entreprenenurship in high technology small firms:some observations on the implications for management",Technovation,23:679-688.
[18]杨建君、李垣、薛琦,《基于公司治理的企业家技术创新行为特征分析》,《中国软科学》,2002(12).
[19]袁勇志,《企业家创新行为与障碍研究》,南京农业大学博士论文,2002年.
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[2]萨伊,《政治经济学概论》,商务印书馆,1982年版.
[3]同[2]
[4]同[2]
[5]郑江淮,《企业家注意力配置与创新模式的决定》,《外国经济与管理》,2000(6).
[6]张维迎,《企业的企业家》,上海人民出版社,1995年版.
[7]同[1]
[8]朱卫平,《企业家本位论——中小企业所有权制度安排研究》,经济科学出版社,2004年版.
[9]Watson,W.E.,Ponthieu,L.D.and Critelli,J.W.,(1995)," Team Interpersonal Process Effectiveness in Venture Partnerships and its Connection to Perceived Sueeess",Joumal of Business Venturing,10:393-411.
[10]谢茂拾,《现代企业家与企业家团队制度》,《电子科技大学学报社科版》,2005(2).
[11]同[1]
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