【作者】 吕一博；

【导师】 苏敬勤；

【作者基本信息】 大连理工大学 ， 技术经济及管理， 2008， 博士

【摘要】 企业是经济系统的基本构成,中小企业作为企业群落中的绝大多数,其发展和稳定对于整个国民经济的发展具有重要的意义。本文从对企业本质的理解出发,通过对不同经济学派对企业相关研究的回顾与整理,对企业这一经济组织形式的本质进行探讨,在此基础上提出一个不确定性条件下经济寻租视角的中小企业成长的影响因素来源分析理论框架,研究中小企业成长的影响因素,并对我国中小企业成长的影响因素进行识别和分析。以期从理论上构建中小企业成长影响因素的分析框架、识别和分析中小企业成长的影响因素,从实践上为我国中小企业发展提供宏观政策建议和微观行动指导。本文采用理论研究与实证研究、定性分析与定量分析相结合的研究方法,融合了古典经济理论、新古典经济理论、不确定性思想、交易费用理论、企业家理论、竞争优势理论、企业成长理论及演化经济理论等相关经济理论及思想,综合运用了回归分析、因子分析、结构方程模型等数值方法,对中小企业成长的影响因素进行识别和展开研究。研究主要分为以下四个部分:第一,构建中小企业创新能力评价体系,通过实证研究明确中小企业的创新能力结构,并采用“因子分析模型”作为中小企业创新能力评价的数值计算方法。首先,通过对现有企业创新能力评价不同思路的对比,基于中小企业创新能力的“时滞性”特点,采用“创新过程”类评价方法。其次,构建了中小企业创新能力评价体系,并分析中小企业创新能力的结构。指出中小企业的创新能力分为创新发起能力、创新实现能力和创新推广能力三个维度。其中,创新发起能力是战略管理能力、资源支持能力和学习能力的综合体现;创新实现能力是研究与开发能力和制造能力的综合体现;创新推广能力是营销能力和组织能力的综合体现。最后,选用因子分析模型对中小企业的创新能力进行测算,从整体和各个子维度上全面评价中小企业的创新能力。第二,在不确定性条件下经济寻租视角的中小企业成长影响因素来源分析框架下,提出一个“成长动机—成长能力—成长资源基础—成长机会”四维度的中小企业成长影响因素模型,并构建结构方程模型对相关假设进行验证,识别分析我国中小企业成长的影响因素。从成长动机上看,中小企业的创新性对企业短期成长绩效没有明显的作用效果,先动性会降低企业短期的成长绩效,风险趋向则会提升中小企业的成长绩效。从成长能力上看,创新发起能力对企业的短期成长没有表现出明显的推动作用,创新实现能力和创新推广能力都会推动中小企业的成长。从成长的资源基础上看,充足的金融资源和高强度的企业网络都没有表现出对中小企业成长的直接影响,其与企业成长的关系需进一步细化研究。从成长机会上看,环境动态性对中小企业的成长是一个不确定因素,环境不友好性会降低中小企业的成长绩效,环境不确定性会提升中小企业的成长绩效。第三,深入分析中小企业企业家导向的影响因素,构建中小企业企业家导向影响因素分析模型,识别我国中小企业企业家导向的影响因素,并对其作用机理进行说明。研究表明企业家导向作为企业对机会的识别和利用能力的具体反映,受到企业家经验、企业资源和环境的共同作用。丰富的企业家经验会提升中小企业的企业家导向;充足的金融资源也会强化中小企业的企业家导向;同现有的研究结论不同,环境不确定性的提升并没有增强我国中小企业的企业家导向,相反对经营环境的良好预期会提升我国中小企业的企业家导向。第四,构建中小企业成长的网络动力模型,对不同类型中小企业企业网络之间的相互关系及其对我国中小企业成长的影响进行分析说明。研究表明我国中小企业网络的发展偏重于社交网络、声誉网络和营销网络,合作竞争网络和技术合作网络的发展水平较低。营销网络和技术合作网络会直接推动中小企业的成长,社交网络通过对其他网络的作用间接影响企业成长,而合作竞争网络则没有表现出明显的影响作用。特别的,声誉网络会降低企业的成长性,中小企业在发展中需要协调声誉网络联系的成本投入与预期收益。本文的创新点主要包括:(1)构建了基于“成长动机—成长能力—成长资源基础—成长机会供给”四维度的中小企业成长影响因素模型,并对我国中小企业成长的影响因素进行识别和分析;(2)构建了基于“企业异质性—机会丰富度—资源充足性”三维度的中小企业企业家导向影响因素模型,并对我国中小企业企业家导向的影响因素进行识别和分析;(3)构建了中小企业成长的网络动力模型,并对我国中小企业成长的网络动力进行了识别和分析。更多还原

【Abstract】 Enterprises are the foundation of the Economics System. Because most of enterprises are Small and Medium-Sized enterprises (SMEs), the development and stabilization of SMEs are very important for the development of whole national economy. This paper based on the understanding of enterprises’ essential, discusses the characteristics of enterprises as economics organizations through the review of relevant researches on enterprises in different economic schools. Then it brings forward an analysis theoretical framework of SMEs’ growth influential factors sources in the view of economic rent-seeking under uncertain condition. With the theoretical frame, the paper analyzes SMEs’ growth influential factors, and identifies and analyzes Chinese SMEs’ growth influential factors. Therefore, the paper constructs the analysis framework of SMEs’ growth influential factors from theoretical view, and applies macro-policy suggestions and micro-action instructions for Chinese SMEs’ development from practice view.The paper applies theoretical and empirical analysis and qualitative and quantitative analysis. Comprehensive applied classical economic theory, neoclassical economic theory, uncertainty thoughts, transaction cost theory, entrepreneur theory, competitive advantage theory, firm growth theory and evolutionary economic theory; conducted regression analysis, factor analysis, structural equation model, identified the growth influence factors of SMEs. The main contents are as follows:First, establishes an evaluation system of innovation capability in SMEs based on innovation process, and through empirical analysis, explores the structure of innovation capability in SMEs, and then computes the index of innovation capability. Secondly, constructs a theoretical growth influence factor analysis model which includes four aspects: growth motivation—entrepreneurial orientation, growth capability—innovation capability, growth foundation—internal resources and firm network, and growth opportunity—firm environments. Applies a structural equation to test the theoretical model and the relevant hypotheses, identifies and analyses the growth influence factors of SMEs in China. Thirdly, through review the concept of Entrepreneurial Orientation(EO) and its determinants, this article put forwards the analysis framework of the determinants of EO based on "opportunity-resource- enterprise heterogeneity". In this framework, enterprise heterogeneity is the fundamental factor of EO, the level of EO is modulated by opportunity and resource. Fourthly, discussed the affection of different firm networks to the SMEs growth, and the relationships between different firm networks. Puts forward a driving force model of firm networks affecting SMEs growth based on previous research. And then, through empirical research, verified the validity of the driving force model and the hypothesis. The conclusion is that marketing networks and cooperative technology networks are the direct driving force of SMEs growth, and reputation networks had negative effect on SMEs growth, social networks and co-opetition networks did not show any effect on SMEs growth. Social networks and reputation networks were the basis of the whole firm networks of SMEs, they affected the developments of other kinds of firm networks.更多还原