我国中小企业利基战略、调节因素与绩效之间的关系研究
摘要
中小企业在国民经济发展中发挥着重要作用。由于资金、规模和行业竞争等条件的约束,中小企业倾向于选择“小而精”、“小而专”的利基战略。然而,大量研究表明,选择利基战略中小企业的绩效存在显著差异。因此,深入研究和分析中小企业利基战略与绩效逻辑关系中的调节因素,具有重要的理论意义。
本论文立足中国情境和中小企业的特点,借鉴生态学、产业经济学和战略管理的理论成果,从理论上推衍出影响采用利基战略中小企业绩效的调节因素,即企业发展阶段、政治关系和技术能力;进而采用多元线性回归和案例研究方法,给出了利基战略与上述调节因素协同作用于企业绩效的内在机理。研究思路和结论如下:
第三章构建了我国中小企业利基战略、调节因素与绩效之间关系的理论(概念)模型。本文认为中小企业利基战略对绩效的影响是在“时间”和“空间”两个维度的耦合中演化的:在“时间”上,不同的发展阶段对绩效影响不同;在“空间”上,从外部影响环境中找出“政治关系”,从内部影响环境中找出“技术能力”成为影响中小企业绩效的主要调节因素,并在此基础上构建出“我国中小企业利基战略、调节因素与绩效之间关系的理论(概念)模型”。
第四章利用了深圳证券交易所中小企业板机械设备行业2007～2009年数据,基于动态的观点,把发展阶段作为调节因素,实证研究利基战略对绩效的影响。结果表明,中小企业产品利基与绩效并没有直接的联系,但产品利基和企业发展阶段的相互作用对中小企业的绩效有正向影响,即在创业期产品利基对其绩效结果有正向的影响关系。
第五章基于强关系理论、弱关系理论和交易成本理论,以深圳证券交易所中小企业板上市的机械设备行业2007～2009年的数据为研究样本,实证研究中小企业政治关系的强弱对绩效的影响。研究结果显示:中小企业的强政治关系对企业绩效有负向影响;产品利基和强政治关系的相互作用对中小企业的绩效有正向影响。
第六章用MY公司的案例,把技术能力作为调节因素,通过访谈、实地研究、历史与档案数据等研究方法,分析了影响利基企业绩效因素中,利基市场选择与技术能力演化路径之间的动态匹配关系。结果表明,技术能力与利基市场动态匹配是决定MY公司绩效的重要因素。
最后,总结了本文的研究结果,并给出了一些未来值得研究的问题。
Small and Medium Enterprises (SMEs) play an important role in Chinese economic development. Due to constraints of capital, size and industrial competition, the SMEs tend to choose niche strategy of "small but excellent ", "small and specialized ". However, a large number of studies have shown that the performance of SMEs with same niche strategy might be significantly different. Therefore, in-depth research and analysis of the moderating factors to logic relations between the niche strategy and performance of SMEs has important theoretical significance.
Based on Chinese context and characteristics of SMEs, using the theoretical results of ecology, industrial economics and strategic management for references, this study theoretically develops the moderating factors of SMEs’performance drawn from the niche strategy. The moderating factors are stage of SME’s development, political relationships and technological capacity; then multiple linear regression and case study are used to develop the internal mechanism of synergy of niche strategy and moderating factors impacting on performance. Research approach and conclusions are as follows:
In Chapter 3, this dissertation builds up a theoretical model of SMEs’based on the relationship among performance, moderators and niche strategy. We argue that the impact of SMEs’niche strategy on performance evolves in the coupling of two dimensions as“time”and“space”. For“time”, the impact on performance would be diversified in different development stages. For“space”, t we find out“political relationship”from external environment and“technological capability”from internal environment as main moderators.
In Chapter 4, in perspective of dynamics, we make an empirical study of the impact of niche strategy on performance with the moderator of development stages based on a sample of machinery and equipment industry in the SME board of Shenzhen Stock Exchange from 2007 to 2009, and with the help of the product categories description from“Guidelines on Industry Classification of Listed Companies in China”and“National Economic Industry Classification and Code (GB/T7454-2002)”. The results show that the interaction between product niche and firm’s development stages has a positive impact on SMEs’performance, namely product niche has positive impact on SMEs’performance in start-up stage.
In Chapter 5, in perspective of strong relationship theory, weak relationship theory, and transaction cost theory, we make an empirical study of the impact of political relationship on performance based on the sample referred above. The results reveal that the strong political relationship has a negative impact on SMEs’performance, while the interaction between product niche and strong political relationship has a positive impact on SMEs’performance.
In Chapter 6, we make a case study on MY Corporation with technological capability as moderator; analyze the dynamic matching relationship between the evolution path of technological capability and niche market through interview, field research and historical archival data analysis. The study gives rise to a conclusion that the dynamic matching between technological capability and niche market is an important factor determining MY’s performance.
Finally, this dissertation concludes all research results and put forward some questions worth investigating in future studies.
本论文立足中国情境和中小企业的特点,借鉴生态学、产业经济学和战略管理的理论成果,从理论上推衍出影响采用利基战略中小企业绩效的调节因素,即企业发展阶段、政治关系和技术能力;进而采用多元线性回归和案例研究方法,给出了利基战略与上述调节因素协同作用于企业绩效的内在机理。研究思路和结论如下:
第三章构建了我国中小企业利基战略、调节因素与绩效之间关系的理论(概念)模型。本文认为中小企业利基战略对绩效的影响是在“时间”和“空间”两个维度的耦合中演化的:在“时间”上,不同的发展阶段对绩效影响不同;在“空间”上,从外部影响环境中找出“政治关系”,从内部影响环境中找出“技术能力”成为影响中小企业绩效的主要调节因素,并在此基础上构建出“我国中小企业利基战略、调节因素与绩效之间关系的理论(概念)模型”。
第四章利用了深圳证券交易所中小企业板机械设备行业2007～2009年数据,基于动态的观点,把发展阶段作为调节因素,实证研究利基战略对绩效的影响。结果表明,中小企业产品利基与绩效并没有直接的联系,但产品利基和企业发展阶段的相互作用对中小企业的绩效有正向影响,即在创业期产品利基对其绩效结果有正向的影响关系。
第五章基于强关系理论、弱关系理论和交易成本理论,以深圳证券交易所中小企业板上市的机械设备行业2007～2009年的数据为研究样本,实证研究中小企业政治关系的强弱对绩效的影响。研究结果显示:中小企业的强政治关系对企业绩效有负向影响;产品利基和强政治关系的相互作用对中小企业的绩效有正向影响。
第六章用MY公司的案例,把技术能力作为调节因素,通过访谈、实地研究、历史与档案数据等研究方法,分析了影响利基企业绩效因素中,利基市场选择与技术能力演化路径之间的动态匹配关系。结果表明,技术能力与利基市场动态匹配是决定MY公司绩效的重要因素。
最后,总结了本文的研究结果,并给出了一些未来值得研究的问题。
Small and Medium Enterprises (SMEs) play an important role in Chinese economic development. Due to constraints of capital, size and industrial competition, the SMEs tend to choose niche strategy of "small but excellent ", "small and specialized ". However, a large number of studies have shown that the performance of SMEs with same niche strategy might be significantly different. Therefore, in-depth research and analysis of the moderating factors to logic relations between the niche strategy and performance of SMEs has important theoretical significance.
Based on Chinese context and characteristics of SMEs, using the theoretical results of ecology, industrial economics and strategic management for references, this study theoretically develops the moderating factors of SMEs’performance drawn from the niche strategy. The moderating factors are stage of SME’s development, political relationships and technological capacity; then multiple linear regression and case study are used to develop the internal mechanism of synergy of niche strategy and moderating factors impacting on performance. Research approach and conclusions are as follows:
In Chapter 3, this dissertation builds up a theoretical model of SMEs’based on the relationship among performance, moderators and niche strategy. We argue that the impact of SMEs’niche strategy on performance evolves in the coupling of two dimensions as“time”and“space”. For“time”, the impact on performance would be diversified in different development stages. For“space”, t we find out“political relationship”from external environment and“technological capability”from internal environment as main moderators.
In Chapter 4, in perspective of dynamics, we make an empirical study of the impact of niche strategy on performance with the moderator of development stages based on a sample of machinery and equipment industry in the SME board of Shenzhen Stock Exchange from 2007 to 2009, and with the help of the product categories description from“Guidelines on Industry Classification of Listed Companies in China”and“National Economic Industry Classification and Code (GB/T7454-2002)”. The results show that the interaction between product niche and firm’s development stages has a positive impact on SMEs’performance, namely product niche has positive impact on SMEs’performance in start-up stage.
In Chapter 5, in perspective of strong relationship theory, weak relationship theory, and transaction cost theory, we make an empirical study of the impact of political relationship on performance based on the sample referred above. The results reveal that the strong political relationship has a negative impact on SMEs’performance, while the interaction between product niche and strong political relationship has a positive impact on SMEs’performance.
In Chapter 6, we make a case study on MY Corporation with technological capability as moderator; analyze the dynamic matching relationship between the evolution path of technological capability and niche market through interview, field research and historical archival data analysis. The study gives rise to a conclusion that the dynamic matching between technological capability and niche market is an important factor determining MY’s performance.
Finally, this dissertation concludes all research results and put forward some questions worth investigating in future studies.
引文
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