【作者】 汤捷；

【导师】 王国顺；

【作者基本信息】 中南大学 ， 管理科学与工程， 2008， 博士

【摘要】 知识型企业是知识经济时代出现的一种新组织形式,学术界对它的研究方兴未艾。知识型企业以其独特的创新行为和灵活的经营方式成为现代经济中最有活力和最有潜质的微观主体之一,在一国经济增长中的作用日益突出。然而,由于知识型企业具有高技术密集性、高收益性等特点,且成长性是知识型企业的核心,因此,研究和开发适合于知识型企业成长性评价的模型和技术,客观、公允地反映知识型企业的成长状况,对于促进其稳定发展,推进经济持续增长具有十分重要的理论和现实意义。正是在这样的背景下,论文对资本化视角的知识型企业成长性及评价进行研究,其主要研究工作和贡献如下:首先,企业资本是经济学和企业管理学共同关注的研究范畴,传统的企业资本观从生产要素、生产关系和产权等角度对企业资本分别进行界定。而本文在阅读和分析国内外大量文献的基础上另辟蹊径,从资本化视角来诠释资本,分析了知识型企业资本形成转化的前提基础和条件以及转化的实现手段和措施,并对知识型企业资本转化的过程进行详细阐述。用一个全新的视角——资本化视角去分析知识型企业成长性影响因素,并进而研究知识型企业成长性。其次,一方面,通过文献收集、整理,征求专家意见并在开放式问卷调查的基础上,对资本化视角的知识型企业成长性影响因素进行理论研究,构建其理论结构。另一方面,在理论研究基础上,参考国内外有关量表的项目,拟订出知识型企业成长性影响因素量表的六个分量表的题目,并参考专家评定意见,设计出知识型企业成长性影响因素预测量表。随后在安徽、湖南、上海、北京、成都等地的知识型企业进行调研,向企业高级管理和技术人员发放调查问卷,然后对所提取的有效量表进行因素分析,验证因素结构和项目有效性,应用SPSS15.0和LISREL8.70等软件工具对量表的信度、结构效度进行分析,剔除无效和不适合的题项,最后确定知识型企业成长性影响因素指标的实证结构和知识型企业成长性影响因素正式量表。对知识型企业成长性影响因素进行了识别,得出知识型企业成长性影响因素的指标体系。最后,在总结国内外学者的相关研究基础上,提出和论证知识型企业成长性评价的理论基础、基本思路,构建成长性评价的GEP模型。将前文通过理论和实证研究得到的指标系统设定为定量指标系统(A系统)和定性指标系统(B系统),然后,建立GEP评价模型。考虑到以往GEP模型在设置B系统时主要采用模糊综合评价法,其设定指标权重时往往只是简单的进行专家打分等较为主观的方法,缺少客观性,本文则采用基于信息熵的评价方法确定指标实际分值,使得评判结果更具有客观性。由于知识型企业大多为中小型企业,再考虑到数据的客观性,本文采用创业板上市公司中部分知识型企业数据作为基础,运用改进后的GEP模型对50家知识型企业成长性进行客观评价,得出评价结果。并进而提出促进知识型企业成长的微观和宏观建议。更多还原

【Abstract】 Knowledge-based enterprises are a new form of organization in the era of knowledge economy, on which the academes do ascendant researches on. Knowledge-based enterprises have their unique innovations and flexible operations so as to become one of the most dynamic and promising parts in modern economy, and play an increasingly prominent role in national economy. However, knowledge-based enterprises are characterized with high-tech-intensiveness and high-yield outputs. And the ever growing quality is the core of knowledge-based enterprises. Therefore, the research and development of growth evaluation model and technology for knowledge-based enterprises embodies both great theoretical and practical significances to reflect their growing status and promote steady and sustainable economy development.Against this background, this paper studies the growth and evaluation of knowledge-based enterprises from capitalization perspective, and its main research work and contributions are as follows:Firstly, enterprise capital is the common category focused by both economics and corporation management. Traditionally, enterprise capital is defined through production factors, production relations and property rights etc. But this paper, based on reading and analyzing a great deal of domestic and oversea literatures, explains capital from the unique way of capitalization. It analyzes the foundations and conditions to form and convert knowledge-based enterprise capital. It also describes the instruments and measures to implement the conversion. Meantime, it expatiates in details the procession of conversion of knowledge-based enterprise capital. It analyzes the factors of influencing the growth of knowledge-based enterprises from the capitalization perspective; furthermore, it does research on the growth of knowledge-based enterprises.Secondly, on the one hand, on the basis of collecting, sorting literatures, seeking expert advice, and making questionnaire surveys, it theoretically studies factors affecting knowledge-based enterprise growth from the capitalization perspective, establishing its theoretical structure. On the other hand, on the basis of theoretical research, and on the reference to projects at home and abroad, it develops a Scale Factor affecting growth of knowledge-based enterprises, including six sub-scales of topics. Taking into account views of experts to design growth Scale forecast of influencing factors to knowledge-based enterprises. Subsequently investigations were conducted about the knowledge-based enterprises in Anhui, Hunan, Shanghai, Beijing, and Chengdu. Then analysis was made from what the senior management and technical staff answered to the questionnaire. It applied SPSS15.0 and LISREL 8.70 software tools to analyze reliability and validity of the scale, excluding invalid and inappropriate items. Then the scale was finally established and the index system on factors influencing growth of knowledge-based enterprises was formed.Finally, based on relevant researches conducted by Chinese and foreign scholars, this paper has brought forward and demonstrated the basic theory and strategy of growth evaluation on knowledge-based enterprises. It has also established the GEP evaluation model by setting the index system concluded through the above study to be quantitive index system (A-system) and qualitative index system (B-system). In previous GEP model, the B-system is mainly set by the ambiguous comprehensive evaluation method, which is too subjective for it only adopts the scores by some experts to weigh each index. This paper applies the information entropy evaluation method to determine values for each index, whose result is more objective. For most knowledge-based enterprises are small and medium-sized, this paper adopts data on such enterprises from the listed companies of Growth Enterprises Market, which ensures the objectivity. The evaluation result is reached through using the improved GEP model to objectively evaluate the growth of 50 knowledge-based enterprises. Further, suggestions both in micro and macro ways are promoted on how to facilitate these enterprises’ growth.更多还原