李贲;吴利华

• 1:东南大学 经济管理学院，江苏 南京 211189

摘要(Abstract)：

新企业创立初期存活率低，深受“新进入缺陷”的困扰，成立条件对其生存具有“烙印”作用。本文选择2004—2011年的江苏省制造业企业数据，以资源禀赋和创新行为这两种成立条件为研究对象，考察两者对新企业生存的影响。研究发现：新企业的存活依赖于资源禀赋的丰富程度，采取创新行为能改善新企业的生存状态，两者存在相互替代的交互关系。同时，创新行为的作用具有异质性：辅助性工艺创新的作用优于生产性工艺创新，生产性工艺创新的作用优于工艺创新的整体效果，而产品创新的作用并不显著。本文从资源和战略的视角，验证了创立条件对新企业生存的“烙印”作用，从而深化了组织“烙印”作用理论在企业发展演化过程中的应用，并为解读中国情境下新企业生存问题提供了新的理论视角和经验证据。

关键词(KeyWords)： 资源禀赋;创新行为;新企业生存;烙印作用;资源拼凑

Abstract:

Keywords:

基金项目(Foundation): 国家社会科学基金项目（11BGL061）；江苏省社会科学基金项目（14SZB024）；江苏省高校哲学社会科学研究重大项目（2015ZDAXM004）；2017年中央高校基本科研业务费基金重大引导项目（2242017S10014）

作者(Authors): 李贲;吴利华

参考文献(References)：

• [1] 鲍宗客. 创新行为与中国企业生存风险: 一个经验研究[J]. 财贸经济, 2016, (2): 85-99, 113.
  [2] 毕克新, 丁晓辉, 冯英浚. 制造业中小企业工艺创新能力测度指标体系的构建[J]. 数量经济技术经济研究, 2002, (12): 104-107.
  [3] 毕克新, 黄平, 李婉红. 产品创新与工艺创新知识流耦合影响因素研究——基于制造业企业的实证分析[J]. 科研管理, 2012, (8): 16-24.
  [4] 蔡莉, 尹苗苗. 新创企业资源构建与动态能力相互影响研究[J]. 吉林大学社会科学学报, 2008, (6): 139-144.
  [5] 陈闯, 雷家骕, 吴晓晖. 资源依赖还是战略制胜——来自非上市公司的证据[J]. 中国工业经济, 2009, (2): 15-24.
  [6] 陈阵, 王雪. 创新行为、沉没成本与企业生存——基于我国微观数据的实证分析[J]. 科学学与科学技术管理, 2014, (10): 142-149.
  [7] 戴维奇, 刘洋, 廖明情. 烙印效应: 民营企业谁在“不务正业”?[J]. 管理世界, 2016, (5): 99-115.
  [8] 董保宝, 李全喜. 竞争优势研究脉络梳理与整合研究框架构建——基于资源与能力视角[J]. 外国经济与管理, 2013, (3): 2-11.
  [9] 韩炜, 薛红志. 基于新进入缺陷的新企业成长研究前沿探析[J]. 外国经济与管理, 2008, (5): 14-21.
  [10] 韩炜, 杨俊, 包凤耐. 初始资源、社会资本与创业行动效率——基于资源匹配视角的研究[J]. 南开管理评论, 2013, (3): 149-160.
  [11] 花磊, 王文平. 不同创新类型下的有效创新网络结构[J]. 管理工程学报, 2014, (3): 110-119, 90.
  [12] 梁强, 罗英光, 谢舜龙. 基于资源拼凑理论的创业资源价值实现研究与未来展望[J]. 外国经济与管理, 2013, (5): 14-22.
  [13] 苏芳, 毛基业, 谢卫红. 资源贫乏企业应对环境剧变的拼凑过程研究[J]. 管理世界, 2016, (8): 137-149.
  [14] 孙晓华, 田晓芳. 市场力量与技术创新: 基于联立方程模型的实证研究[J]. 研究与发展管理, 2010, (1): 26-33.
  [15] 孙晓华, 郑辉. 买方势力对工艺创新与产品创新的异质性影响[J]. 管理科学学报, 2013, (10): 25-39.
  [16] 田莉. 新企业初始条件与生存及成长关系研究前沿探析[J]. 外国经济与管理, 2010, (8): 27-34, 41.
  [17] 田莉. 基于初始条件的新创企业组织烙印机制研究[J]. 管理学报, 2012, (12): 1800-1809.
  [18] 田志龙, 李春荣, 蒋倩, 等. 中国汽车市场弱势后入者的经营战略——基于对吉利、奇瑞、华晨、比亚迪和哈飞等华系汽车的案例分析[J]. 管理世界, 2010, (8): 139-152.
  [19] 王书斌, 徐盈之. 信任、初创期企业扩张与市场退出风险[J]. 财贸经济, 2016, (4): 58-70.
  [20] 吴结兵, 徐梦周. 网络视角下产业集群竞争优势: 理论模型与实证研究[J]. 浙江大学学报(人文社会科学版), 2008, (4): 163-172.
  [21] 吴亮, 赵兴庐, 张建琦, 等. 资源组拼视角下双元创新与企业绩效的中介机制研究[J]. 科学学与科学技术管理, 2016, (5): 75-84.
  [22] 吴晓晖, 叶瑛. 市场化进程、资源获取与创业企业绩效——来自中国工业企业的经验证据[J]. 中国工业经济, 2009, (5): 77-86.
  [23] 吴延兵, 米增渝. 创新、模仿与企业效率——来自制造业非国有企业的经验证据[J]. 中国社会科学, 2011, (4): 77-94.
  [24] 肖兴志, 何文韬, 郭晓丹. 能力积累、扩张行为与企业持续生存时间——基于我国战略性新兴产业的企业生存研究[J]. 管理世界, 2014, (2): 77-89.
  [25] 徐虹, 林钟高, 芮晨. 产品市场竞争、资产专用性与上市公司横向并购[J]. 南开管理评论, 2015, (3): 48-59.
  [26] 殷华方, 潘镇, 鲁明泓. 它山之石能否攻玉: 其他企业经验对外资企业绩效的影响[J]. 管理世界, 2011, (4): 69-83.
  [27] 于晓宇, 李雅洁, 陶向明. 创业拼凑研究综述与未来展望[J]. 管理学报, 2017, (2): 306-316.
  [28] 余淼杰. 加工贸易、企业生产率和关税减免——来自中国产品面的证据[J]. 经济学, 2011, (4): 1251-1280.
  [29] 张宗庆, 郑江淮. 技术无限供给条件下企业创新行为——基于中国工业企业创新调查的实证分析[J]. 管理世界, 2013, (1): 115-132.
  [30] 朱晓红, 陈寒松, 张玉利. 异质性资源、创业机会与创业绩效关系研究[J]. 管理学报, 2014, (9): 1358-1365.
  [31] 祝振铎, 李新春. 新创企业成长战略: 资源拼凑的研究综述与展望[J]. 外国经济与管理, 2016, (11): 71-82.
  [32] Abdulsaleh A M, Worthington A C. Small and medium-sized enterprises financing: A review of literature[J]. International Journal of Business and Management, 2013, 8(14): 36-54.
  [33] Andrews K R. The concept of corporate strategy[M]. Homewood, IL: Dow Jones Irwin, 1971.
  [34] Baker T, Nelson R E. Creating something from nothing: Resource construction through entrepreneurial bricolage[J]. Administrative Science Quarterly, 2005, 50(3): 329-366.
  [35] Barney J. Firm resources and sustained competitive advantage[J]. Journal of Management, 1991, 17(1): 99-120.
  [36] Becker G S. Human capital: A theoretical and empirical analysis, with special reference to education[M]. New York: University of Chicago Press, 2009.
  [37] Boeker W. Strategic change: The effects of founding and history[J]. Academy of Management Journal, 1989, 32(3): 489-515.
  [38] Child J, Chung L, Davies H. The performance of cross-border units in China: A test of natural selection, strategic choice and contingency theories[J]. Journal of International Business Studies, 2003, 34(3): 242-254.
  [39] Cooper A C, Gimeno-Gascon F J, Woo C Y. Initial human and financial capital as predictors of new venture performance[J]. Journal of Business Venturing, 1994, 9(5): 371-395.
  [40] Delmar F, Shane S. Does experience matter? The effect of founding team experience on the survival and sales of newly founded ventures[J]. Strategic Organization, 2006, 4(3): 215-247.
  [41] Dertouzos M L, Lester R K, Solow R M. Made in America[M]. Cambridge, MA: MIT Press, 1989.
  [42] Desa G, Basu S. Optimization or bricolage? Overcoming resource constraints in global social entrepreneurship[J]. Strategic Entrepreneurship Journal, 2013, 7(1): 26-49.
  [43] Duymedjian R, Rüling C C. Towards a foundation of bricolage in organization and management theory[J]. Organization Studies, 2010, 31(2): 133-151.
  [44] Eisenhardt K M, Schoonhoven C B. Organizational growth: Linking founding team, strategy, environment, and growth among U.S. Semiconductor ventures, 1978—1988[J]. Administrative Science Quarterly, 1990, 35(3): 504-529.
  [45] Fatoki O O. The impact of human, social and financial capital on the performance of small and medium-sized enterprises (SMEs) in South Africa[J]. Journal of Social Sciences, 2011, 29(3): 193-204.
  [46] Fontana R, Nesta L. Product innovation and survival in a high-tech industry[J]. Review of Industrial Organization, 2009, 34(4): 287-306.
  [47] Garud R, Karnøe P. Bricolage versus breakthrough: Distributed and embedded agency in technology entrepreneurship[J]. Research Policy, 2003, 32(2): 277-300.
  [48] Geroski P A, Mata J, Portugal P. Founding conditions and the survival of new firms[J]. Strategic Management Journal, 2010, 31(5): 510-529.
  [49] Hargis M B, Bradley Ⅲ D B. Strategic human resource management in small and growing firms: Aligning valuable resources[J]. Academy of Strategic Management Journal, 2011, 10(2): 105-125.
  [50] Heirman A, Clarysse B. How and why do research-based start-ups differ at founding? A resource-based configurational perspective[J]. The Journal of Technology Transfer, 2004, 29(3-4): 247-268.
  [51] Johnson V. What is organizational imprinting? Cultural entrepreneurship in the founding of the Paris opera[J]. American Journal of Sociology, 2007, 113(1): 97-127.
  [52] Judge W Q, Hu H W, Gabrielsson J, et al. Configurations of capacity for change in entrepreneurial threshold firms: Imprinting and strategic choice perspectives[J]. Journal of Management Studies, 2015, 52(4): 506-530.
  [53] Lévesque M, Shepherd D A. Entrepreneurs' choice of entry strategy in emerging and developed markets[J]. Journal of Business Venturing, 2004, 19(1): 29-54.
  [54] Marquis C, Tilcsik A. Imprinting: toward a multilevel theory[J]. The Academy of Management Annals, 2013, 7(1): 195-245.
  [55] McDougall P P, Robinson Jr R B, DeNisi A S. Modeling new venture performance: An analysis of new venture strategy, industry structure, and venture origin[J]. Journal of Business Venturing, 1992, 7(4): 267-289.
  [56] Penrose E T. The Theory of the growth of the firm[M]. New York: John Wiley, 1959.
  [57] Petty J W, Bygrave W D. What does finance have to say to the entrepreneur?[J]. Journal of Small Business Finance, 1993, 2(2): 125-137.
  [58] Pieper T M, Smith A D, Kudlats J, et al. The persistence of multifamily firms: Founder imprinting, simple rules, and monitoring processes[J]. Entrepreneurship Theory and Practice, 2015, 39(6): 1313-1337.
  [59] Rouvinen P. Characteristics of product and process innovators: Some evidence from the Finnish innovation survey[J]. Applied Economics Letters, 2002, 9(9): 575-580.
  [60] Schumpeter J A. The theory of economic development: An inquiry into profits, capital, credit, interest, and the business cycle[M]. Piscataway, NJ: Transaction Publishers, 1934.
  [61] Shinkle G A, Kriauciunas A P. The impact of current and founding institutions on strength of competitive aspirations in transition economies[J]. Strategic Management Journal, 2012, 33(4): 448-458.
  [62] Simsek Z, Fox B C, Heavey C. “What's past is prologue”: A framework, review, and future directions for organizational research on imprinting[J]. Journal of Management, 2015, 41(1): 288-317.
  [63] Singh J V, Lumsden C J. Theory and research in organizational ecology[J]. Annual Review of Sociology, 1990, 16: 161-195.
  [64] Stinchcombe A L. Social structure and organizations[A]. March J G. Handbook of Organizations[M]. Chicago: Rand McNally, 1965.
  [65] Utterback J M, Abernathy W J. A dynamic model of process and product innovation[J]. Omega, 1975, 3(6): 639-656.
  [66] Van de Ven A H, Hudson R, Schroeder D M. Designing new business startups: Entrepreneurial, organizational, and ecological considerations[J]. Journal of Management, 1984, 10(1): 87-108.
  [67] Vanevenhoven J, Winkel D, Malewicki D, et al. Varieties of bricolage and the process of entrepreneurship[J]. New England Journal of Entrepreneurship, 2011, 14(2): 52-66.
  [68] Wood M S, Michalisin M D. Entrepreneurial drive in the top management team: Effects on strategic choice and firm performance[J]. Journal of Leadership & Organizational Studies, 2010, 17(3): 222-239.
  [69] Zahra S A, Ireland R D, Hitt M A. International expansion by new venture firms: International diversity, mode of market entry, technological learning, and performance[J]. Academy of Management Journal, 2000, 43(5): 925-950.