【作者】 陈亚荣；

【导师】 汤兵勇； 李令遐；

【作者基本信息】 东华大学 ， 控制理论与控制工程， 2005， 博士

【摘要】 中小企业的生存和发展问题正日益受到各国的广泛关注，对中小企业的研究已成为各国的一个研究热点。中小企业对于促进国民经济发展具有不可替代的作用，它们与大企业一起共同推动社会经济的发展。世界上许多国家(或地区)都制定了鼓励和扶持中小企业发展的法律、法规和政策，中小企业迅速成长起来，并已成为这些国家支撑经济增长的一支举足轻重的力量。中小企业是经济增长的重要推动力，中小企业量大面广，分布在经济的各个领域，因此，中小企业日益成为经济增长的主要因素。中小企业投资少，经营方式灵活，对劳动力的技术要求低，同样的资本可吸纳更多的劳动力，是失业人员重新就业和新增劳动力就业的主要渠道。中小企业在技术创新方面发挥着重要作用，其技术创新不仅在数量上占有相当的份额，而且其创新的水平和影响也并不亚于大企业。近年来大量中小企业进入高技术企业，并在许多行业显示出明显的优势。同时，技术创新也有效地改善了中小企业的形象，促进了中小企业的发展。中小企业对市场反应灵敏，能够满足日益多元化、个性化的市场需求，是活跃市场不可或缺的重要力量。在市场经济条件下，众多中小企业要以大企业为自己稳定的市场，大企业要依托众多小企业为其提供大量廉价的零件、部件和产前、产中、产后的服务支撑，两者相得益彰，各得其所。发展中小企业，创造合理的大企业与中小企业群体结构，形成大企业与中小企业的协作联盟，实现社会化协作、专业化生产，能够不断提高各类企业的市场竞争能力。随着我国市场经济的发展，中小企业将在保证国民经济持续、快速、健康发展和维护社会稳定等方面，发挥越来越重要的作用。中小企业的生存和发展问题涉及到方方面面，包括中小企业融资、创新方式、经营战略、项目管理、技术创新、营销策略、产业定位、国际化经营、起步策略、财务管理、管理模式、退出策略、服务体系，相关政策，等等。国内外众多学者对中小企业的研究做出了贡献，研究成果众多，研究非常深入。从众多文文献可以看出，这些文献的研究成果多数集中于定性方面，有关定量研究的成果不是很多。本文作者曾参与了国家自然科学基金项目“中国小企业生存基础、增长方式与可持续发展的关联研究”的部分研究工作，对中小企业问题有了一定的关注，结合所学专业，对中小企业生存和发展过程中出现的主要问题应用系统分析与控制方法进行深入研究，从定性和定量相结合的角度进行探讨，提出相应的解决问题的思路及模型。本论文围绕中小企业生存和发展过程中出现的几个主要问题展开研究，从定性和定量两方面进行探讨和研究。论文主要做了以下一些工作：第二章中小企业的界定。作者首先对中小企业的内涵进行了的界定，这是本论文研究的基础工作。论文介绍了各国界定中小企业的标准，阐述了中小企业的地位和作用及中小企业的基本特点，回顾了我国中小企业的现状和发展过程。第三章中小企业生存与发展的理论基础。在大量文献基础上，作者梳理了各国学者对中小企业问题研究的各种理论，把这些理论归纳为三个方面：包括中小企业存在理论、中小企业发展理论以及中小企业成长阶段模型。这样，使论文对中小企业问题的进一步分析和研究的思路更加清晰。第四章探讨了中小企业生存基础的模糊综合评价问题。结合作者所参与的国家自然科学基金项目的工作，构建了中小企业生存基础的模糊综合评价指标体系和模糊状态的综合评价算法。第五章中小企业生存基础与经营业绩的模糊关联分析。在第四章的研究基础上，设计了中小企业经营业绩指标体系的框架及评分标准，进一步建立了中小企业的生存基础条件与其经营业绩模糊关联分析模型。第六章中小企业的核心能力战略。分析了核心能力的内涵和特征及影响中小企业核心能力形成的主要因素，探讨了中小企业的核心能力的识别及培育方法。构造了核心能力评价的指标体系的框架。第七章中小企业的创新策略。回顾了中小企业创新的各种理论，分析了中小企业创新的类型及其特征，进一步运用模糊模式识别方法，提出了一种中小企业创新类型识别的新方法，具有较大的应用价值。第八章中小企业的集群战略。中小企业集群现象日益引起人们的关注，中小企业集群是中小企业生存的重要方式，各国产业布局的现实为中小企业集群理论提供了强有利的证据。本章介绍了中小企业集群的经典理论、基本概念及基本分类，分析了中小企业集群的典型案例，并从定量角度对中小企业集群机制进行了研究。第九章研究了中小企业与大企业的共生战略。首先介绍了共生理论的基本概念和共生模式的分类，从定量角度描述了共生单元的特征指标，分析了共生模式形成的基本原理和中小企业与大企业的共生状态与机制，进而定量分析了中小企业与大企业共生关系，比较了中小企业与大企业的共生模式，最后探讨了我国中小企业与大企业的共生模式的优化问题，指出：中小企业与大企业的共生模式的目标是以对称互惠的连续共生模式为主体，并提出了我国中小企业与大企业的共生模式的优化途径。第十章中小企业与生存环境的协调发展模式。越来越多的企业意识到企业的可持续发展离不开其生存与发展的环境。中小企业必须寻求和环境的双向协调。本章讨论了中小企业环境一经济双向控制的数学模型体系，从其基本结构出发，重点研究了最低级(第一级)的中小企业经济分析模型，中间级(第二级)的中小企业环境一经济双向协调控制模型，以及最高级(第三级)的中小企业环境一经济协调发展指数模型。这些模型具有较强的理论学术意义和广泛的实际应用价值。本论文围绕中小企业生存和发展过程中出现的几个主要问题作为主线展开研究，运用大系统理论和控制理论，对中小企业的生存和发展问题做了一些探讨和研究工作，本论文对中小企业研究有一定的理论价值，对中小企业实践有一定的指导意义和参考价值。本论文的主要创新点如下：1．探讨了中小企业生存基础的模糊综合评价问题。构建了中小企业生存基础的模糊综合评价指标体系和模糊状态的综合评价算法。2．设计了小企业经营业绩指标体系的框架及评分标准，进一步建立了中小企业的生存基础条件与其经营业绩模糊关联分析模型，该指标体系可以用于衡量小企业的经营业绩，对中小企业具有实用价值。3．分析了中小企业创新的类型及其特征，进一步运用模糊模式识别方法，提出了一种中小企业创新类型识别的新方法，具有较强的应用价值。4．分析了核心能力的内涵和特征及影响中小企业核心能力形成的主要因素，探讨了中小企业的核心能力的识别及培育方法。在前人研究的基础上构造了核心能力评价的指标体系的框架。更多还原

【Abstract】 The issues of living and development of small and medium-sized businesses are attracting the attentions of the countries all around the world. The researches on small and medium sized businesses have become the hot points.Small and medium-sized businesses, which have promoted the development of the social economy together with the large sized businesses, are vital component of the economy. Many countries or districts have constituted laws, rules or policies to encourage and support the development of small and medium-sized businesses. So small and medium-sized businesses have grown up rapidly and become crucial for sustaining the increase of the economy.Small and medium-sized businesses are large in number and distribute in different economic areas. They promote the development of the economy and are contributing more and more to the increase of the economy.Small and medium-sized businesses require for few investments and can be operated more flexibly. The same amount of the capital in small and medium sized businesses can hold more labors, for these businesses have low technical demands to labors. Small and medium-sized businesses have become one of the main channels to solve the unemployment and provide jobs to new labors.Small and medium-sized businesses act the vital roles in technology innovation. Neither the amount nor the level nor the influence of the technology innovations from small and medium-sized businesses is less than that from the large. In recent years, a lot of small and medium-sized businesses have turned technology intensive and showed advantages in many industries obviously. Meanwhile, small and medium-sized businesses have improved their images because of technology innovations and got development from that.Being sensitive to the market, small and medium-sized businesses can meet the demands of the diversified and individuated market. They have composed of indispensable forces for activating the market.In the market economy, small and medium-sized businesses depend on the large ones to stabilize the market and provide the large ones with accessories, parts and services before, during and after the production. They have got best from each other. Different sizes of businesses can improve their competitive advantages through establishing reasonable structure with each other, setting up synergic unions, realizing socialized cooperation and professional manufacture.With the development of the market economy in China, small and medium-sized businesses are to play more and more important roles in guaranteeing the continuous, fast and healthy development of the national economy and in maintaining the social stability.The living and development of small and medium-sized businesses refer to many issues, such as financing, innovation mode, management strategy, project management, technology innovation, marketing strategy, industrial positioning, international management, financial management, setting up strategy, managing mode, withdrawing strategy, services system, correlated policies, etc.There are a lot of researches about small and medium-sized businesses. The researches are not only broad, but also deeply. Most of the researches in the documents concerned are qualitative. The quantitative researches are not enough.The author has taken part in the research of "study on the living base, increasing mode and continuous development of the Chinese small and medium sized businesses " , which is the project of the national fund of the natural science. Combining the specialty, the author has made qualitative and quantitative research on the main issues of living and development of small and medium-sized businesses through systematic analysis and control methodology, and raised the frame of problem solving and the models concerned.The dissertation has discussed the following issues:Chapter II, the author defined small and medium-sized business. The author has defined the meaning of small and medium-sized business. This is the base of the study in the dissertation. The dissertation has introduced the defining standards of different countries, expounded the position, functions and characteristics of small and medium sized businesses, and reviewed the states and the development of Chinese small and medium-sized businesses.Chapter III, theory foundations of living and development of small and medium-sized businesses. Integrating kinds of related theories at home and abroad, the author has reduced these theories to three areas: theories of living of small and medium sized businesses, theories of development of small and medium-sized businesses, and the models of the growing phases of small and medium-sized businesses. It is helpful for this dissertation to make further analysis and researches clearer at frame.Chapter IV, the author discussed the fuzzy comprehensive evaluation of the living basis of small and medium-sized businesses. Based on the former research results in the project of the national fund of the natural science, the author has not only established an index system of the fuzzy comprehensive evaluation of the living basis of small and medium-sized businesses, but also designed the arithmetic of the fuzzy comprehensive evaluation.Chapter V, the fuzzy conjunction analysis of the living basis and the management achievements of small and medium-sized businesses. Based on the research results in chapter IV, the author has designed the frame of the index system and the evaluating standards of the management achievements of small and medium-sized businesses in chapter V. Further more, the author set up the model of fuzzy conjunction analysis of the conditions of the living basis and the management achievements of small and medium-sized businesses. Chapter VI, the strategy of the core competence of small and medium-sized businesses. The author analyzed the meaning and the features of the core competence and the factors that affect the core competence of small and medium-sized businesses, and discussed the way to identify and train the core competence for small and medium sized businesses.Chapter VII, innovation strategy of small and medium-sized businesses. The author reviewed related theories of the innovation strategy, then the author analyzed the types and characteristics of the innovations and brought out a new method to identify the innovation types of small and medium-sized businesses through fuzzy identifying mode, which is practical.Chapter VIII, cluster strategy of small and medium-sized businesses. Cluster of small and medium sized businesses is drawing more and more attentions of the world. Cluster is the main way for the small and medium- sized businesses to live. The industrial distributions of the countries have provided strong proofs for the theory of cluster.In this chapter, the author has introduced typical theories of cluster, including basic concepts and classification. The author analyzed typical cases of cluster of small and medium-sized businesses, and discussed the mechanism of cluster quantitatively.Chapter IX, the strategy of symbiosis of small and medium-sized businesses with the large sized ones. At the first of the chapter, the author introduced the concept of the theory and the mode of symbiosis, and described the feature indexes of the symbiosis unit quantitatively. The author also analyzed the basic principles of the forming of the symbiosis, the states and mechanisms of the symbiosis of small and medium-sized businesses with the large sized ones. Secondly, the author analyzed quantitatively the symbiosis relationships of small, medium and large-sized businesses and compared the symbiosis modes of the small and medium-sized businesses with that of the large. At the end of the chapter, the author also discussed the optimization of the symbiosis modes of different sized businesses and concluded that the object of symbiosis is to establish a continuous symbiotic community in that different sizes of businesses are symmetric mutual benefit to each other. The author also put forward the way of optimization for symbiosis modes.Chapter X, the model of harmonious development for small and medium-sized businesses within the living surroundings. More and more businesses have realized that the surroundings of living and development are necessary to sustainable development. Small and medium-sized businesses have to seek bi-directional coordination with the surroundings. The author has discussed the mathematic model systems of bi-directional control between the surroundings and the economy for small and medium sized business. Starting from the basic construction, the author has mainly studied the model of economic analysis at the lowest level (the first level), the model of the bi-directional coordination and control between the surroundings and the economy at the middle level (the second level), and the index model of coordinative development between the surroundings and the economy at the highest level (third level). These models are not only meaningful for theory, but also practical.Focused on the main issues of living and developments of small and medium-sized business, the author made some deeply discussion and study on these issues through general systematic theory and control theory. This dissertation is meaningful at theory and can also provide practical guidance.The main innovations of the dissertation are as follows:First, the author discussed the fuzzy comprehensive evaluation of the living basis of small and medium-sized businesses. The author has not only established an index system of fuzzy comprehensive evaluation of the living basis of small and medium-sized businesses, but also designed the arithmetic of the fuzzy comprehensive evaluation.Second, the author designed the frame of the index system and the evaluating standards of the management achievements of small and medium-sized businesses. Further more, the author set up the model of fuzzy conjunction analysis of the conditions of the living basis and the management achievements of small and medium-sized businesses, this index system and the model is practical.Third, the author has analyzed the types and characteristics of the innovations and brought out a new method to identify the innovation types of small and medium-sized businesses through fuzzy identifying mode, which is practical.Fourth, the author analyzed the meaning and the features of the core competence and the factors that affect the core competence of small and medium-sized businesses, discussed the way to identify and train the core competence for small and medium sized businesses. Based on the former research, the author designed the frame of the index system of evaluating core competence.更多还原