摘要
随着“全民创业、万众创新”理念的提出，自主创新的热潮再一次引起国内市场个参与者的关注。尤其是经历了2008-2009年全球金融风暴之后，我国企业的创新惰性应该说是走到了生命的尽头，坚持了近30年来的“重生产、轻研发、轻服务”的低成本低利润制造模式已经不再适合我国现阶段市场形势了，而应该通过集中优势精力与资源实现产品升级、技术研发与客户服务体系的建立。拉动内需靠的是中国企业真正开发出中国消费者需要的商品与服务，需要的是价值、技术、营销、服务的全面创新。所以在构建中的国家创新体系里，创新型企业尤其是创新型中小企业是创新的重要力量，作为国家经济发展的微观载体，创新型中小企业正以强烈的创新动机、专业化的创新技术以及快速灵活的成长机制成为国家创新体系建设的重要支撑。近年来我国的政策旨在建设创新型国家，进而促使了大批创新型中小企业不断涌现。所以，创新型中小企业的持续快速成长，对于全面、有效提升我国企业的自主创新能力和国际竞争力，推动我国经济增长方式的转变和产业结构升级具有重要的战略意义，也是实现建设创新型国家的必由之路。这也本文研究内容的出发点和主旨。
本文利用理论分析与实证分析相结合的方法从智力资本的角度研究了我国创新型中小企业成长路径情况，主要研究内容可以归纳为两大部分，一部分是我国创新型中小企业成长的基本情况、整体上走的是哪一种成长路径，另一部分是智力资本在我国创新型中小企业成长路径形成过程中处于何种角色，对创新型中小企业的成长路径以及经营绩效的影响又如何。除了这两大部分之外，本文还对企业成长理论、企业创新理论、中小企业智力资本理论等相关进行了比较详细的介绍，以及辅助主体内容的展开。具体来说本文的研究内容有以下几个部分：
第一章为绪论部分，对全文的研究背景、研究意义以及研究技术路线进行了介绍，勾勒了全文的研究框架。
第二章详细综述了国内外学者在创新型中小企业成长方面的研究成果，并详细介绍了创新型中小企业理论、企业成长理论以及智力资本理论，总结归纳了各位学者的观点和研究结论，为后文主要研究内容的展开提供参考和基础。
第三章在上一章综述内容的基础上，阐述了创新型中小企业成长路径的形成机理，分析了创新型中小企业的成长内涵及动力，从我国实际情况出发对创新型中小企业成长路径进行了分类，并探讨了各种成长路径之间的关系。
第四章在前文理论分析的基础上运用灰色经济计量组合模型、收集了七十余家上市创新型中小企业数据对我国创新型中小企业目前整体的成长路径状况进行了实证分析。
第五章从创新中小企业成长路径以及经营绩效两个方面出发实证分析了智力资本在创新型中小企业成长路径形成过程中的作用和影响状况。
第六章从智力资本视角和其他视角给出了我国创新型中小企业在成长过程中如何提升经营效率的对策和建议，以帮助我国创新型中小企业的更加健康的成长。
第七章总结全文，归纳创新和不足之处。
经过全文的研究主要得出以下几条结论：（1）创新型中小企业在国家政策的扶持和帮助之下，最近几年得到了长足发展，不但市场规模和企业数量每年都在快速的上涨，企业自身的规模也在不断扩大，更主要的是我国创新型中小企业的整体经济效益以及技术创新能力在快速上升，这充分体现了我国创新型中小企业的强大生命力和市场竞争力；（2）我国创新型中小企业之所以能够快速成长，是因为企业的内外部力量以及智力资本力量共同作用的结果，根据我国创新型中小企业的实际情况，本文把我国创新型中小企业的成长路径归结为三种类型，分别是技术创新主导型、市场创新主导型和组织管理创新主导型，每一种类型的成长路径的形成都是受到企业的创新意识、创新资源、创新行为等多种因素作用的结果。作为创新型企业，其生命力的强大与否最主要受企业在各方面的创新能力的影响，而企业各种创新能力的决定因素则是企业的智力资本，所以创新型中小企业的智力资本对其成长路径的影响也尤其深刻；（3）现阶段我国创新型中小企业的成长路径以技术创新主导型和市场创新主导型两种为主，中市场创新主导型成长路径在我国创新型中小企业成长过程中表现的最突出，市场创新主导变量对创新型中小企业成长性变量的影响幅度最大，而技术创新主导变量对企业成长性变量的影响最深刻，不但有显著的直接影响，还通过影响市场创新因素施加间接影响力；（4）我国创新型中小企业各种成长路径之间的协同效应有限。创新型中小企业会以某种成长路径为主的基础上，将其他成长路径因素作为辅助动力共同推动企业的发展，目前我国创新型中小企业成长路径之间的协同性并不是很明显，协同效应只存在与技术创新主导型成长路径和市场创新主导型成长路径之间；（5）智力资本对创新型中小企业成长路径的形成有一定影响。现阶段我国创新型中小企业受到企业智力资本的影响还比较有限，智力资本对我国创新型中小企业的影响主要局限在技术创新主导型和市场创新主导型两种成长路径上，智力资本的增加能够推动选择这两种成长路径的形成、加速企业的成长，而对于组织管理创新主导型路径形成的影响力却不存在；（6）智力资本对我国创新型中小企业经营绩效的影响既有长期性又有短期性。智力资本对创新型中小企业经营绩效的影响是长期存在的，同时具有滞后效。创新型中小企业的智力资本与其经营绩效之间呈的长期协同关系是社会经济现象内在规律的结果，也是短期内各变量持续调整的结果。
关键词：创新型企业，中小企业，成长路径，智力资本
Abstract
With the "national entrepreneurship, put forward the innovation concept, upsurge again caused the domestic market participants focus on independent innovation. Especially after 2008-2009 years of global financial turmoil, China's enterprise innovation inertia should be said to be walking to the end of life, adhere to the nearly 30 years of production" light, R & D, low cost and low profit manufacturing mode light service "is no longer suitable for the current market situation, and should be upgraded by focusing on the advantages of energy and resources to achieve the establishment of R & D products, and customer service system. Chinese enterprise relies on stimulating domestic demand for goods and services Chinese real development needs of the consumers need is the value, technology, marketing, comprehensive service innovation. So the national innovation system in the construction of innovative enterprises, especially the innovation of small and medium enterprises is an important force of innovation, as The micro carrier of national economic development, the innovation of small and medium enterprises with innovation strong motivation, professional innovation technology and fast and flexible growth mechanism has become an important support for the construction of national innovation system. In recent years, China's policy aims to build an innovative country, and then make a large number of innovative small and medium enterprises continue to emerge. Therefore, the sustained and rapid growth, innovative small and medium enterprises for comprehensive, effectively enhance our enterprise independent innovation ability and international competitiveness, has important strategic significance in promoting China's economic growth mode transformation and upgrading of the industrial structure, but also the only way which must be passed the construction of innovative country. It is also the starting point and purpose of this paper.
This paper uses the method of theoretical analysis and empirical analysis from the perspective of intellectual capital for innovative SMEs growth path, the main research contents can be pided into two parts, one part is the innovative SMEs in China the basic situation of growth, the overall take what kind of development path, the other is part of the intellectual capital in innovative SMEs growth path formation in what role in the process of the growth path of innovative small and medium-sized enterprises and the impact of business performance and how.In addition to the two parts, the theory of enterprise growth, enterprise innovation theory, the small and medium-sized enterprise intellectual capital theory in detail the introduction, main content and auxiliary expansion.Specifically,the research content of this paper include the following aspects:
The first chapter is the introduction part, the research background, research significance and the research technical route are introduced, the paper Outlines the research framework.
Chapter two scholars at home and abroad were reviewed in detail in the research of innovative small and medium-sized enterprise growth, and introduced the theory of innovative small and medium-sized enterprises, enterprise growth theory and the theory of intellectual capital, sums up the viewpoint of a fellow scholars and research conclusion, for the later research content to provide the reference and basis.
The third chapter reviews the content in the last chapter, on the basis of elaborated the formation mechanism of innovative small and medium-sized enterprise growth path, analyzes the connotation and the power, the growth of innovative small and medium-sized enterprise embarks from the actual situation in our country for innovative small and medium-sized enterprise growth path are classified, and probes into the relationship between the various growth path.
The fourth chapter on the basis of the above theoretical analysis using the combination of gray econometric model, has collected more than seventy listed innovative small and medium-sized enterprise data path for the growth of the innovative small and medium-sized enterprises in our country at present the overall situation has carried on the empirical analysis.
The fifth chapter from the innovation of small and medium-sized enterprises growth path and two aspects of the business performance empirical analysis of the intellectual capital on the formation of the innovative small and medium-sized enterprise growth path effect and influence.
Chapter sixth from the perspective of intellectual capital and other Angle of innovative small and medium-sized enterprises in China are given in the process of growth countermeasure and the suggestion of how to improve management efficiency, to help the healthy growth of the innovative small and medium-sized enterprises .
Chapter seven summarizes the full text, and summarizes the innovation and deficiencies.
The following conclusions are mainly drawn from the following conclusions:
(1) the innovative small and medium-sized enterprises (smes), under the support of national policy and help get a rapid development in recent years, not only the size of the market and the number in the rapidly rising every year, the scale of the enterprise itself is also growing, more major is an innovative small and medium-sized enterprises in China's overall economic benefit and technology innovation capacity in rapidly rising, which fully embodies the powerful vitality and market competitiveness of China's innovative small and medium-sized enterprises;(2) innovative small and medium-sized enterprises in China are able to grow quickly, because of enterprise's internal and external forces as well as the outcome of combined action of intellectual capital strength, according to the actual situation of innovative small and medium-sized enterprises in our country, this article innovative small and medium-sized enterprises of our country's growth path is summed up in three types, respectively is leading, market innovation, leading technology innovation and management innovation, the formation of each type of growth path is enterprise's innovation consciousness, innovation resources and innovation behavior, the result of a variety of factors. As an innovative enterprise, the main by the strong vitality of the enterprise in all aspects of the innovation ability, the influence of the various determinants of innovation ability is the enterprise intellectual capital, so innovative small and medium-sized enterprise intellectual capital also particularly profound effects on the growth path;(3) the growth of the innovative small and medium-sized enterprises in our country at present stage path with leading technology innovation and market innovation leading two is given priority to, innovation in market leading growth path in the growth of innovative small and medium-sized enterprises in our country the most outstanding performance, market innovation leading to innovative small and medium-sized enterprise growth variables influence the sharpest, and the influence of the technological innovation leading to the enterprise growth variables, the most impressive not only have a significant direct effect, indirect influence through the factors influencing the market innovation;(4) there are limited synergies between the various growth paths of innovative smes in China. Innovative small and medium-sized enterprises (smes) will be given priority to with some sort of growth path, on the basis of the growth path of other factors as the auxiliary power to promote the development of the enterprise, at present our country innovative collaborative between small and medium-sized enterprise growth path is not obviously, synergies exist only and export-led growth path of technological innovation and market innovation between leading growth path;(5) intellectual capital has certain influence on the growth path of innovative smes. Innovative small and medium-sized enterprises in our country at present stage under the influence of enterprise intellectual capital is relatively limited, intellectual capital's influence on the innovative small and medium-sized enterprises in China are mainly limited in leading technology innovation and market innovation leading two growth path, the increase of intellectual capital can promote choose the formation of the two kinds of growth path, accelerate the growth of enterprises, and influence on organization management innovation leadership path formation doesn't exist;(6) the influence of intellectual capital on the operation performance of China's innovation-oriented smes has both long-term and short-term effects. The influence of intellectual capital on the operational performance of innovative small and medium-sized enterprises is long-standing and has lagged effect. The long-term cooperative relationship between the intellectual capital of the innovative smes and their operation performance is the result of the internal law of the social and economic phenomena, and the result of the continuous adjustment of the variables in the short term.
Keywords: innovative enterprises; small and medium-sized enterprises; growth path; intellectual capital
目录
1 绪论 1
1.1 研究背景及问题提出 1
1.2 研究目的与意义 2
1.3 研究内容及方法 3
1.3.1 主要内容与框架 3
1.3.2 主要方法 6
2 国内外文献综述及基础理论 7
2.1 国内外文献综述 7
2.1.1 创新型中小企业相关研究 7
2.1.2 企业成长理论相关研究 12
2.1.3 智力资本理论相关研究 16
2.1.4 文献评述 20
2.2 创新型中小企业理论 21
2.2.1 创新型中小企业的内涵 21
2.2.2 创新型中小企业的主要特征 22
2.2.3 企业创新系统的构成 23
2.3 企业成长理论 24
2.3.1 经济学视角下的企业成长理论 24
2.3.2 战略视角下的企业成长理论 25
2.3.3 智力资本视角下的企业成长理论 27
2.4 智力资本理论 28
2.4.1 智力资本的概念 28
2.4.2 智力资本的测量 29
2.4.3 智力资本的管理 34
2.5 灰色经济计量理论 35
2.5.1 灰色GM(1,1)模型 35
2.5.2 经济计量模型 36
1．相关性检验 36
2．ADF单位根检验 37
3．协整检验 37
4．Granger因果关系检验 39
2.6 本章小结 41
3 我国创新型中小企业典型成长路径分析 42
3.1 我国创新型中小企业成长基本情况 42
3.1.1 企业数量快速增长 42
3.1.2 企业规模不断扩大 43
3.1.3 经济效益显著上升 45
3.1.4 技术创新能力不断提高 47
3.2 我国创新型中小企业成长环境 48
3.2.1政治环境 48
3.2.2经济环境 49
3.2.3社会文化环境 50
3.2.4 技术环境 50
3.3 创新型中小企业定位与特征 51
3.3.1 创新型中小企业定位 51
3.3.2 创新型中小企业特征 52
3.4 我国创新型中小企业成长动因 54
3.4.1 成长的内部动因 54
3.4.2 成长的外部动因 55
3.4.3 成长动因的智力资本特征 56
3.5 创新型中小企业成长路径概念 58
3.5.1 创新型中小企业成长路径内涵 58
3.5.2 创新型中小企业成长路径特征 58
3.6 我国创新型中小企业成长的若干典型路径 59
3.6.1 创新型中小企业成长路径的智力资本模型 61
3.6.1.1 智力资本对创新型中小企业成长路径形成的影响 61
3.6.1.2 智力资本对创新型中小企业经营绩效的影响 63
3.6.2 技术创新主导型成长路径 64
3.6.3 市场创新主导型成长路径 67
3.6.4 组织管理创新主导型成长路径 70
3.7 创新型中小企业成长路径的交互性 73
3.8 本章小结 74
4 我国创新型中小企业成长路径影响因素分析 76
4.1 创新型中小企业成长路径候选影响因素选取 76
4.1.1 内部影响因素选取 76
4.1.1.1 创新意识 76
4.1.1.2 创新资源 76
4.1.1.3 成长绩效 78
4.1.1.4 创新行为 79
4.1.2 外部影响因素选取 81
4.1.3创新型中小企业成长路径框架 82
4.2 智力资本视角下企业分析样本选取 84
4.2.1 典型成长路径企业样本选取 84
4.2.2 成长路径智力资本模型分析指标体系构建 85
4.3 基于灰色模型的成长路径影响因素相关性分析 87
4.3.1 灰色GM(1,1)模型建模原则与过程 87
4.3.2 平稳性检验与协整分析 89
4.3.3 Granger因果关系检验与回归分析 90
4.3.4 实证分析结果解读 93
4.4 本章小结 95
5 技术创新与市场创新路径的企业自主选择模式分析 96
5.1 技术创新与市场创新路径相关因素分析 96
5.1.1 技术创新成长路径相关因素选取 96
5.1.1.1 企业外部环境 96
5.1.1.2 技术资源集中状况 96
5.1.1.3 企业家能力 97
5.1.1.4 创新能力 98
5.1.2 市场创新成长路径相关因素选取 99
5.1.2.1 外部环境 99
5.1.2.2 市场创新意识和倾向 99
5.1.2.3 行业发展动向 100
5.1.2.4 市场研究人才 100
5.1.3 技术创新与市场创新的相关性分析 100
5.2 企业自主选择下的成长路径演进 102
5.2.1 典型技术创新型企业样本选取 102
5.2.2 典型市场创新型企业样本选取 103
5.2.3 企业自主选择行为对成长路径演进的影响分析 104
5.3 基于灰色模型的企业自主选择成长路径仿真 105
5.3.1 指标选择 106
5.3.2 灰色模型建模原则与过程 108
5.3.3 企业成长路径仿真结果 110
5.3.3.1 技术创新主导型成长路径与市场创新因素相关性分析 110
5.3.3.2 市场创新主导型成长路径与技术创新因素相关性分析 113
5.3.4 实证分析结果解读 115
5.4 本章小结 117
6 智力资本作用下我国创新型中小企业成长路径的形成 119
6.1 智力资本对我国创新型中小企业成长路径影响的实证分析 119
6.1.1 智力资本VAIC测量 119
6.1.2 智力资本灰色预测 120
6.1.3 智力资本与成长路径关系检验 120
6.1.4 模型拟合结果分析 124
6.2 智力资本对我国创新型中小企业经营绩效影响的实证分析 124
6.2.1 经营绩效指标选择 125
6.2.2 经营绩效指标灰色预测 126
6.2.3 智力资本与企业经营绩效间的长短期关系 127
6.2.4 模型拟合结果分析 129
6.3 本章小结 130
7 提升我国创新型中小企业经营效率的对策建议 131
7.1 智力资本视角 131
7.1.1 加强人力资本管理 131
7.1.2 推动技术创新活动 132
7.1.3 树立智力资本投资理念 133
7.1.4 营造学习型企业文化氛围 133
7.1.5 注重智力资本的检测、监督和报告 135
7.2 全面因素视角 135
7.2.1 国家政策支持和规划 135
7.2.2 树立路径选择的全过程观念 138
7.2.3 构建有效的动态路径监督、评估和反馈机制 138
7.2.4 注重成长路径的风险防范与规避 139
7.2.5 努力构建技术创新的产学研合作 139
8 结束语 141
8.1 基本结论 141
8.2 创新点与贡献 143
8.2.1 研究创新点 143
8.2.2 研究的理论与实务贡献 144
8.3 启示与展望 144
8.3.1 研究启示 144
8.3.2 未来展望 145
参考文献 146