【作者】 刘超；

【导师】 刘卫东；

【作者基本信息】 浙江大学 ， 技术经济及管理， 2010， 博士

【摘要】 经济增长一直是人类社会的目标,企业成长又成为企业面临的主要问题,为了保证企业健康、快速成长,必须熟悉行业本质,懂得成长机理,如何在激烈的竞争中,保持快速成长已经成为各级政府、银行、企业等各部门共同关心的难题。软件企业的成长不仅是软件行业本身的成长,软件业的发展对其他行业的发展具有非常重要而且明显的外部正效应,信息技术成为人类历史上继蒸汽机时代、电力运用时代后,第三次最伟大的技术革命。软件业的发展才能带来通讯、金融、航空航天、教育、甚至国防等部门的快速进步,才能给经济注入新的活力。我国软件业起步较晚,如何在国外软件巨头的夹击中生存、发展、壮大不仅事关软件业,而且事关整个民族的兴旺发达,所以,本研究选择我国软件企业为例。在知识经济时代,智力资本有超越传统生产要素的趋势,并成为具有重要战略地位的竞争优势的来源。软件业作为知识密集型行业,竞争优势的来源已经从传统的物质资源转变为管理资产和服务的知识的价值,而这些知识价值被称为企业的智力资本,本研究中的智力资本是指企业拥有的提供竞争优势的知识、经验、技术、顾客关系和专业技能的集合,从智力资本的角度去研究软件企业的成长,可以清晰的反映软件企业成长机理,促进企业快速成长。本文的章节结构如下:第一章:绪论部分,主要描述研究的目的和意义,研究的内容和方法,以及可能的创新之处和全文的结构安排。第二章:国内外文献梳理阶段,主要是针对国内外的企业成长理论和智力资本领域的研究成果进行消化和吸收,形成本文的理论基础,本文正是基于这些理论基础开展研究工作的。第三章:介绍我国软件企业智力资本管理的现状及其对企业成长的影响,作为下一章的建立模型的理论基础。第四章:结合理论研究和实际访谈,建立本研究的理论模型和研究框架,并提出相应的研究假设,然后进行问卷设计、变量测量以及数据分析方法的介绍,也是本文的核心部分,提出了从基本智力资本到核心智力资本到企业成长的研究框架。第五章:软件企业成长的实证研究,利用Amos结构方程和SPSS统计分析软件进行效度和信度检验,然后验证本文的假设,最后分析了研究的结论,探讨不同的智力资本要素对企业成长的影响。第六章:研究总结,包括本研究的贡献,不足之处,以及进一步研究的方向。本研究所做的工作:在本研究中,主要利用问卷进行大样本调查收集数据,问卷调查共发出问卷285份,回收161份,其中有效149份,有效回收率52.28%。问卷通过信度、效度分析后,利用结构方程模型检验假设,所做的工作主要包括:在总结了前人研究和企业访谈的基础上,本文提出了针对我国软件企业的智力资本的两层次五要素结构,分别是人力资本、决策资本、关系资本、顾客资本和流程资本。在研究中,把企业的智力资本分为两类,一类称之为基本智力资本(包括人力资本、决策资本、关系资本和流程资本);另一类称之为核心智力资本(顾客资本)。本研究首先建立了企业智力资本对企业成长的直接影响模型,大样本统计研究发现,企业的智力资本的五个要素对企业成长都具有显著的作用。然后,建立了软件企业智力资本对企业成长的作用机理模型,以企业的核心智力资本(顾客资本)作为中介变量,建立完整模型,研究发现,企业核心智力资本(顾客资本)在基本智力资本和企业成长的关系中,具有显著的中介作用。在完整模型中,加进了中介变量顾客资本以后,企业的基本智力资本对企业成长的直接影响效果明显降低,而基本智力资本和核心智力资本之间,以及核心智力资本和企业成长之间的关系却显著相关,这说明软件企业的核心智力资本对基本智力资本和企业成长之间的关系具有中介作用。另外,基本智力资本一方面直接影响企业成长,另一方面,通过影响核心智力资本促进企业成长。从未来发展趋势来看,智力资本管理对企业的重要性日益重要,只有有效获取、利用和管理智力资本的软件企业才能在未来的竞争中占据有利地位。本研究发现企业必须重点强化核心智力资本即顾客资本的地位和作用,企业的经营活动必须以提高、增加顾客价值创造为导向,这样才可以促进软件企业的竞争优势和快速成长。本研究的创新之处有以下几点:(1)本研究选择了从智力资本的角度研究软件企业成长问题,软件企业在我国大规模的出现不过20多年的历史,缺乏以往关于软企业成长的经验。本研究适应新时代的知识经济的发展方向,对揭示软件企业的成长机理具有重要的意义,特别是我国兼具发展中国家和转型时期市场特征的特殊背景下,研究成果将弥补现有文献单纯基于美国、日本、以色列、英国等成熟市场的不足,从而丰富相关领域研究成果,并为类似新兴国家提供参考。(2)软件企业的智力资本的管理在企业成长中具有重要的地位,本文抓住软件企业成长的关键要素——从智力资本管理的视角去探讨企业成长机制,这在软件企业成长研究中,并不多见。(3)梳理了智力资本研究以后,结合软件企业的特点,在智力资本组成要素中,新引入反映软件企业作为高科技企业而具有的高研发投入、研发流程复杂这一典型特征的变量——“流程资本”这一变量,提出了新的智力资本要素的两层次五要素结构,并且提出了软件企业的基本智力资本和核心智力资本的研究框架,这一框架不仅反应了软件企业的特征,同时,可以透过该框架深入分析智力资本对软件企业成长的作用机理,认为企业的核心智力资本在基本智力资本和企业成长之间的关系具有中介作用。(4)研究发现智力资本各组成要素包括顾客资本、人力资本、流程资本、关系资本、决策资本对企业成长的影响显著,发现软件企业的创新资本对企业成长的影响并不显著(系数为0.019,显著性概率为0.791)。这点同已有的大多数学者的观念相悖,由此说明软件企业不能盲目追求创新,而应该首先关注公司到底能给客户带去什么样的价值,这样才可能获得快速成长,企业过度的创新,不仅会浪费公司有限的资源,更可能本末倒置,错失成长壮大的良机。(5)和已有的结论不同,本研究发现,现阶段我国软件企业的流程资本和企业成长之间具有一定的负相关关系,在直接模型中,回归系数为-0.233,显著性概率为0.003;完整模型中,其回归系数为-0.354,显著性概率为0.002,无论直接模型和完整模型中,企业流程资本和企业成长都有显著的负相关关系,这说明现阶段,我国的软件企业必须认清自身形势,不能简单的片面的强制推行流程管理机制,不顾自身实力而冒然的引进CMM流程管理制度或者ISO9000体系,不结合自身特点而强制引入流程管控可能拖累企业的成长绩效。软件企业成长问题十分复杂,本文探讨了智力资本对企业成长的作用机理,也只是在此领域做了一些小小的尝试,其缺陷也是显而易见的,仍然有必要投入更多的精力去研究、探索企业成长的理论和实践。更多还原

【Abstract】 Economic growth has been the long-range goal of the human society. Firm growth has become the main problem facing enterprises . Firms must grasp the nature of the industry and understand the growth mechanism .How to survive in the hard competition and maintain rapid growth has become the problem concerned by many sectors such as government, banks and firms .The growth of software firms is not only the growth of one industry ,but also a great positive external effect on other sectors. Information technology, following the steam engine era and the electricity era ,has been the 3^rd greatest technology revolution in the history. The development of software industry bring the prosperous and rapid progress of other sectors such as telecommunications, finance, aerospace, education and even national defense. Because of the late start of our nation’s software industry , how to survive when facing other west software giants is a problem faced not only by software industry, but by our nations prosperity.In the era of knowledge-based economy, intellectual capital has replaced the traditional production factors as the strategically important source of competitive advantage. Because of its’ highly knowledge-based characteristic, the competitive advantage comes from the capabilty of management knowledge and service which has been called the Intellectual Capital. Here we refer the intellectual capital as knowledge, experience, organizational technology and expertise skills which can bring the competitive advantage.It is essential to research the intellectual capital （IC） of software firms, it is not only the key importance to software industry. At the same time , highly effective software R&D can improve the efficiency of other sectors ,which has a great significance to promote the development of national strength.In this dissertation, the chapter is structured as follows:Chapter 1: Introduction. The main purpose of the research, the significance of the study, the innovation and the structure of this dissertation.Chapter 2: Literature review. It reviews the literature about firm growth theory, the intellectual capital management, summarize it as the theory base of this dissertation.Charpter 3: The introduction about the Intellectual Capital management in Chinese software firms and the affection on firm growth, which makes for the theoretical basis for the model in next charpter.Chapter 4: Research model. The research framework are built based on the literature and cases, It is the core part of this dissertation. Then introduce the questionnaire design and measure variable and data processing method. The main affection hypersthesis is from basic IC to core IC and then to growth.Chapter 5: Data processing : This chapter deals with how to porcess variables, the validity and reliability is tested by Amos structure equitation model and SPSS statistic software, and test the the hypothesis.Chapter 6: The result of the research, Discuss the research contributions and shortcomings and tell the further research direction. The research contents of this dissertation.This research combine the empirical study. The empirical survey consists of 285 questionnaires which was sent to software firms and 161 was received, of which 149 ware valid and effective . with effective recovery rate of 52.28%. After validity and reliability analysis, we use SPSS and Amos to test the assumptions.The research build the intellectual capital model for the software firms, the IC was divided into 5 components as human capital, decision-making capital, relationship capital, customer capital and process capital. These 5 components was divided in two categories , one is basic IC ,including human capital ,decision capital, relation capital and process capital, The other is customer capital as core IC.We build the direct model of the impact from IC on the firm growth , after testing assumptions ,we find there is significantly relation between the 5 IC components and firm growth.The second step is indirect model, we use core IC （ customer capital ） as intermediate variable , and find that core IC has the significant the intermediate effect on the relationship between basic IC and firm growth. In the whole model , most relations between basic IC and firm growth are not significant, while the relation between basic IC and core IC , as well as the relation between core IC and firm growth is significantly. It shows us that the core IC is the intermediate variable between the basic IC and firm growth. It tells us the basic IC and core IC do not serve the same role in the model, the basic IC strength the core IC ,then affect the firm growth speed.From the trend we can know that the management of IC have growing importance on the enterprises. Only those firms who can access, use intellectual capital effectively can get competitive advantage and fast growth in the hard competition. This dissertation give the suggestions that software managers to mind the great importance of core IC（ customer capital）, firms must improve customer value to strength growth. Only in this way ,they can promote the rapid growth of the software companies and gain the competitive advantage.The main innovation include:1. This dissertation is a study on the firm growth theory and intellectual capital in our developing countries, it expands the growth theory, the IC theory comes from the west countries to China, there is no such research framework in China. This dissertation verified the fitness of these theories to China ,a transaction period society, and the research result will simply fill the existing literature gap which is based on the developed countries such as the United States , Japan ,Israel and Britain . It will enrich the research results in related field.2. The intellectual capital management research has important role in firm growth literature. This dissertation analyses intellectual capital management, which is the key factors to software firms growth. The research in this subject is seldom been found.3. Based on the literature about the IC management literature and practice ,the author add new variable : process capital, which means the high R&D investment and complexity show the characteristic of software firms software development efficiency. We put forward a 5 dimensions of two-level model, the 5 dimensions are human capital, decision capital , relation capital, process capital and customer capital. The two-level are basic IC and core IC. The 5 dimentions of two-level model explore the IC management in software firms, It can help us to find the source advantage by exploring the affection mechanism of IC on growth. The author build the direct model between the IC and firm growth and indirect model between the basic IC , core IC and firm growth. Integrate the affections of 5 IC dimentions on firm growth. We can get the mechanism of influence from IC on growth.We explore the affection mechanism of IC on firm growth in whole model, and find that the various dimentions of IC on growth are different. The customer capital is core IC , the basic IC will strength the core IC and then strength the firm growth. The customer capital are the intermediary variable and they are the source of advantage and growth of software firms.4. We find that the IC : customer capital, human capital , process capital, relation capital ,decision capital, have significant impact on firm growth , while the innovation capital does not influence on firm growth .its’ coefficient is 0.019 ,with sig 0.791. This is unexpected by most researchers. This conclusion shows that firms can not focus on innovation especially. The customer capital can stimulate firm growth. Too much innovation will not only waste resource but also hurt growth.5. We find that process capital is negative related with firm growth ,which is different from the previous researches. In the direct model, regression coefficient is -0.233, significance probobility is 0.003; In the whole model ,the regression coefficient is -0.354, the significance probability is 0.002. We find that the regression coefficient is signicicantly negative both in direct and whole model, which shows that the process capital is negative related with firm growth in software industry. It tells us that our software firms can not apply process management mechanically, The firm growth will be decreased if software firms can not control process management well.Growth of software firms is very complicated, even this dissertation discusses the relationship between the IC and growth , it is still a very tiny step. There is much obvious defection of this dissertation. It need more research to explore the firm growth theory and practice.更多还原