创业失败经历 创业能力与后续创业企业成长绩效关系研究

摘要

创业失败经历、创业能力与后续创业企业成长绩效关系研究

转型经济情境下，创新创业活动对促进我国经济发展起到重要作用。全球创业观

察(GEM)研究数据显示，无论是效率驱动型还是创新驱动型，我国创业活动活跃度均

位居前列。与这种活跃的创业活动形成对照的是居高不下的创业失败率，创业企业生

存发展举步维艰，但是我国创业者不惧怕失败，失败后再创业并成功的创业者占据一

定的比例，连续创业成为推动商业活动发展的“引擎”。资源基础理论和经验学习理论

将失败经历视为有价值的、难以模仿的资源，创业者可以从中学习，提升创业能力。

认知理论则认为创业失败经历会引发负面情绪，引起认知困难，影响决策能力。现有

研究从不同理论视角出发，研究创业失败经历对创业者、后续创业活动的影响，结论

莫衷一是。基于此，本文立足转型经济情境，深入分析创业失败经历对创业者、创业

企业的影响，揭示创业能力在创业失败经历与后续创业企业成长绩效间的中介作用和

环境动态性在创业能力与后续创业企业成长绩效间的调节作用。

本文旨在回答如下四个理论问题：(1)创业失败经历对创业者的影响；(2)创业失

败经历对后续创业企业的影响；(3)机会相关能力、管理相关能力作为创业能力的不同

维度在创业失败经历与后续创业企业成长绩效间的作用；(4)转型经济情境下，环境动

态性对经历过创业失败的创业者创业能力与后续创业企业成长绩效间关系的影响。本

文为转型经济情境下创业者如何从失败中恢复，形成创业能力，提升后续创业企业成

长绩效提供了理论指导和可参考的实施路径。

人力资本理论认为创业者的先前经验是决定新企业绩效的关键因素，其中创业经

验可以使创业者熟悉创业流程，获得管理专长，对新企业的创建、生存、发展起到重

要作用。考虑到不同性质的创业经验可能会对创业企业成长产生不同影响，本文将创

业失败经历从创业经验中区分出来，结合创业失败和创业经历的定义，初步界定了创

业失败经历的概念。为了深入了解创业失败经历本质及其对创业者、后续创业企业的

影响，本文从广州、天津、长春、呼和浩特等四地各选取一名创业者进行案例研究。

经过案例研究和理论分析的交互验证，本文进一步完善创业失败经历的定义并划分维

度，发现创业失败经历次数、程度通过创业能力两维度即机会相关能力和管理相关能

力影响后续创业企业成长绩效。由此，本文构建理论模型，提出假设。随后，本研究

吉林大学博士学位论文

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采用问卷调查的方式，主要获取了来自北京、天津、广州、长春、呼和浩特、郑州等

六地共计247 份有效问卷。采用因子分析、Pearson 相关分析等方法检验问卷信效度，

通过多元线性回归和bootstrap 的方法检验假设，结果表明本文提出的大多数假设得到

数据支持，主要研究结论如下：(1)创业失败经历次数、程度与后续创业企业成长绩效

分别呈倒U 型关系，二者的交互作用与后续创业企业成长绩效正相关；(2)创业失败经

历次数和程度分别与机会相关能力和管理相关能力存在倒U 型关系；(3)机会相关能

力、管理相关能力分别在创业失败经历次数、程度与后续创业企业成长绩效间起部分

中介作用；(4)环境动态性在机会相关能力、管理相关能力与后续创业企业成长绩效间

起积极的调节作用。

本文旨在揭示转型经济情境下，创业失败经历对创业者、后续创业企业的影响以

及创业失败经历对后续创业企业成长的影响机理，研究在理论上的贡献与创新点主要

体现为如下三点：

1.结合现有理论和案例研究对创业失败经历进行概念界定和维度划分，打开了创

业失败经历到后续创业的“黑箱”。本研究重点关注创业者亲身经历创业失败事件的影

响，需先界定创业失败的概念，进而生成创业失败经历的概念。以往对创业失败的概

念界定，多是根据企业创立初衷、失败原因或者最终状态定义，未能明确区分出创业

失败与创业退出、个体失败与企业失败的关系。通过理论回顾和案例研究，本文界定

了创业失败和创业失败经历的概念，提出创业失败经历程度这一维度，开发量表通过

实证检验，有助于增进学者们对创业失败的理解，为后续实证研究奠定基础。笔者对

案例中创业者的创业过程分别进行了长达2-6 年的追踪，获取了创业者创业经历和创

业过程的一手资料。结合半结构化访谈内容，系统地回答了创业者经历失败后从中恢

复的过程、发生的变化和后续创业企业成长轨迹等问题，打开了创业失败经历到后续

创业的“黑箱”。同时，发现创业退出是避免创业失败发生或发展的一种方式，有助于

降低创业者失败成本，保持创业激情，印证了创业退出研究的意义，为学者们探究创

业退出路径选择提供例证。

2.基于创业过程理论和能力理论，构建了创业失败经历对后续创业企业成长作用

的理论模型，强调创业能力的中介作用。不同性质的创业经历对创业者的思维、知识、

能力的影响不同，本文聚焦创业失败经历，讨论其不同维度特征对创业者、后续创业

企业的影响，有助于推动企业失败理论和连续创业理论的融合。将创业能力作为中介

摘要

III

变量进行研究，揭示了创业失败经历对后续创业企业成长的作用机理。通过大样本实

证研究，指出“适度适量”的创业失败经历有助于提升创业能力，促进后续创业企业

成长，形成了创业失败经历不同维度特征到后续创业行为更完整的认知。

3.结合中国转型经济特征，探讨环境动态性对创业能力与后续创业企业成长绩效间

关系的调节作用。本文认为转型经济主要特征为环境中的不确定性愈加明显，环境动

态性成为影响创业企业生存和发展的主要因素。将环境动态性这一情景变量与经历过

创业失败的创业者创业能力和后续创业企业成长有机结合起来，强调创业能力对于连

续创业的重要性，为创业者应对环境变化提供借鉴。

关键词：

创业失败经历，创业能力，后续创业企业，成长绩效，创业退出

Abstract

V

Abstract

Research on the Relationship among Entrepreneurial Failure Experiences,

Entrepreneurial Competency and Growth Performance of Subsequent Ventures

Innovation and entrepreneurial activities play an important role in promoting the

development of Chinese economic in the context of transition economies. According to the

Globe Entrepreneurship Monitor (GEM) research data, entrepreneurial activities in China are

at the forefront in both efficiency-driven way and innovation-driven way. In contrast, the

high failure rate of entrepreneurship shows that the survival and the growth of enterprises are

difficult. However, entrepreneurs in China are not afraid of failure and entrepreneurs who

fail and start a successful business all over again take a certain proportion, which means

serial entrepreneurship has been the engine of business development. The resource-based

theory and experience learning theory take failure experiences as valuable and inimitable

resource which entrepreneurs can learn from and enhance their entrepreneurial competency.

Whereas, cognitive theory holds that entrepreneurial failure experiences may lead to

negative emotions, cause cognitive difficulties, and affect decision-making ability. Based on

different research perspectives, there is no consensus theory on existing researches regarding

to the impact of entrepreneurial failure experience on entrepreneurs and subsequent

entrepreneurial activities. Based on these, this paper analyzes the effects which

entrepreneurial failure experiences bring to the entrepreneurs and start-ups, reveals that

entrepreneurial competency is a mediator between failure experiences and growth

performance of new enterprises, and environmental dynamism has moderation effect on the

relationship between entrepreneurial competency and the growth performance of subsequent

ventures in the context of transition economies.

The purpose of this paper is to answer four theoretical questions: (1) how does

entrepreneurial failure experiences affect the entrepreneurs? (2) what is the impact of

entrepreneurial failure experiences on the growth of subsequent enterprises? (3) what are the

roles of opportunity-related competency and management-related competency as different

dimensions of entrepreneurial competency in the relationship between entrepreneurial failure

experiences and growth performance of subsequent enterprises? (4) what is the impact of

environmental dynamism on the relationship between entrepreneurial competency and the

growth performance of subsequent ventures in the context of transition economics? This

paper provides a theoretical guidance and a reference for entrepreneurs to recover from

吉林大学博士学位论文

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failure and foster entrepreneurial competency to enhance growth performance in the context

of transition economics.

The theory of human capital holds that entrepreneurs' prior experience is the key factor

to new venture performance and entrepreneurial experience plays an important role for

helping entrepreneurs be familiar with the entrepreneurial process and acquire management

expertise in the process of establishing and developing new businesses. In view of the

different effects which different characters of entrepreneurial experiences bring to the growth

of entrepreneurial enterprises, this paper distinguishes entrepreneurial failure experiences

from entrepreneurial experience and define it preliminarily by combining the the concept of

entrepreneurial failure and entrepreneurial experience. To understand the nature and the

influence of entrepreneurial failure experiences, this study interviewed four entrepreneurs

from Guangzhou, Tianjin, Changchun and Hohhot respectively to do multi-case study.

Through cross validation of case study and theoretical analysis, this paper revises the

definitions and divides the dimensions, then finds that the number and degree of

entrepreneurial failure experiences influence subsequent venture growth through two

dimensions of entrepreneurial competency, which are opportunity-related competency and

management-related competency. Based on these, this paper builds the research framework

and proposes the hypotheses. Then this study adopts the questionnaire to collect data and

finally gets 247 usable questionnaires mainly from Beijing, Tianjin, Guangzhou, Changchun,

Hohhot and Zhengzhou. We use factor analysis, Pearson correlation analysis to test the

reliability and validity of the questionnaire, and test the hypotheses through multivariate

linear regression and bootstrap. Results show that most hypotheses are supported by the data,

the main conclusions are as follow: (1) there are inverted U-shaped relationships between the

number and the extent of entrepreneurial failure experiences and the growth performance of

subsequent ventures respectively, meanwhile, the interaction of the number and the extent of

entrepreneurial failure experiences plays a positive role in promoting subsequent venture

growth; (2) there are inverted U-shaped relationships between the number and the extent of

entrepreneurial failure experiences and the two dimensions of entrepreneurial competency

respectively, namely, opportunity-related competency and management-related competency;

(3) the opportunity-related competency and management-related competency partially

mediate the relationships between the number and degree of failure experiences and

subsequent venture growth respectively; (4) the dynamic environment plays a positive role in

the relationship between the opportunity-related competency, management-related

Abstract

VII

competency and growth performance of subsequent ventures.

The purpose of this paper is to reveal the impact of entrepreneurial failure experiences

on entrepreneurs and subsequent ventures, and the mechanism of entrepreneurial failure

experiences on the growth of subsequent ventures in the context of transition economies. The

theoretical contributions are mainly reflected in three folds:

First, combining the extant theoretical research and case study, we define the concept

and dimensions of entrepreneurial failure experiences and open the black box of

entrepreneurial failure experiences to subsequent entrepreneurship. This study concerns that

entrepreneurs experience entrepreneurial failure in person and the influence so that we

should define the concept of entrepreneurial failure in the first place and then generate the

concept of entrepreneurial failure experiences. Former studies define entrepreneurial failure

based on the original intention, failure reasons or final status which can not distinguish the

relationship between entrepreneurial failure and exit, individual failure and business failure.

Through the literature review and case study, this paper defines the concept of

entrepreneurial failure and entrepreneurial failure experiences, puts forward and tests the

extent of entrepreneurial failure experiences, which contributes to the understanding of the

entrepreneurial failure and lays foundation for subsequent empirical research. The author

tracks the entrepreneurial process for 2-6years respectively and obtains the primary data

about the entrepreneurial experiences and entrepreneurial process. Combining with the

semi-structured interview, this paper describes the process of recovery from failure, changes,

growth track of subsequent enterprises and opens the black box of entrepreneurial failure

experiences to subsequent entrepreneurship. Meanwhile, this study finds that entrepreneurial

exit is the way to avoid the happening or development of entrepreneurial failure and

contributes to decrease entrepreneurial failure cost and keep entrepreneurial passion, which

verifies the significance of studying entrepreneurial exit and provides examples for scholars

to explore the choice of entrepreneurial exit routes.

Second, based on entrepreneurial process theory and resource-based theory, this paper

constructs the model of entrepreneurial failure experiences on the growth of subsequent

ventures and emphasizes the mediating effect of entrepreneurial competency. For different

characters of entrepreneurial experiences have different effects on the thoughts, knowledge

and ability of the entrepreneurs, this paper focuses on entrepreneurial failure experiences and

discusses different dimensions of entrepreneurial failure experiences taking to the

entrepreneurs and subsequent ventures, which contributes to the combing of the theory of

吉林大学博士学位论文

VIII

business failure and serial entrepreneurship. Research on the mediating effect of

entrepreneurial competency explains the mechanism of entrepreneurial failure experiences

on the growth of subsequent ventures. Though empirical research, this paper indicates that

under certain extent and amount, entrepreneurial failure experiences contribute to the

improvement of entrepreneurial competency and the growth of subsequent enterprises, and

forms the cognition of the different characters of entrepreneurial failure experiences on

subsequent entrepreneurship.

Third, based on the context of transition economies, this paper discusses the moderating

effect of environmental dynamism on the relationship between entrepreneurial competency

and subsequent venture growth. This paper holds that the main feature of transition

economies is uncertainty and the dynamic environment has become an important factor to

the survival and development of the start-ups. This paper combines environmental dynamism

with entrepreneurial competency and subsequent venture growth, and emphasizes the

significance of entrepreneurial competency, which contributes to entrepreneurs adapting the

environment.

Keywords:

Entrepreneurial failure experiences, Entrepreneurial competency, Subsequent ventures,

Growth performance, Entrepreneurial exit

原文地址：

http://www.hongfu951.info/file/resource-detail.do?id=89cd6609-625f-4130-b1d4-d5ae1b86c133