日本中小企业发展与中小企业政策

【作者】 苏杭；

【导师】 刘昌黎；

【作者基本信息】 东北财经大学 ， 国际贸易学， 2006， 博士

【摘要】 不论是发达国家还是发展中国家，中小企业在国民经济中都具有不可替代和不容忽视的重要作用。中小企业的重要性不仅体现在数量上的绝对优势，而且体现在其提供的就业机会和所创造的国民财富上。随着知识经济社会的来临，中小企业所具有的创造性、灵活性和成长性优势有了充分发挥的舞台。与大企业相比，中小企业资源有限、市场占有份额低。因此，中小企业虽然具有灵活的机制和顽强的生命力，但仅仅依靠自身的努力是很难改变其在市场中的不利地位的。为此，世界各国普遍把促进中小企业发展作为国家发展战略的重要组成部分，把扶持中小企业作为一项重要的经济政策。在战后日本经济发展的过程中，中小企业发挥了不可替代的作用。日本也是发达国家中中小企业政策体系最为完备的国家之一。然而，进入20世纪90年代以来，随着国内外经济形势的发展变化，中小企业在经营过程中面临着重重挑战，中小企业理论研究滞后于实践的发展，中小企业政策的问题也日渐显现，无法满足中小企业发展的实际需要。本文以日本作为实证研究对象，运用理论分析和实证研究相结合的研究方法，通过大量的资料和数据，在对日本中小企业和中小企业政策发展进行全面而系统的总结和分析的基础上，对中小企业和中小企业政策进行了理论思考和理论总结，创新性地提出了解释知识经济条件下中小企业发展的中小企业优势论，论证了知识经济社会中小企业发展的必然性，总结了中小企业政策制定和实施过程中应遵循的六项原则，展望了知识经济社会中小企业政策的发展趋势。本文共分八章。第一章对中小企业理论和中小企业政策进行了文献综述。第二章论述了日本中小企业的发展及其地位和作用。在战后长期的发展过程中，日本的中小企业构成了各产业的基础，在专业化生产和分工体系以及稳定就业方面发挥了积极作用，为日本经济的飞速发展以及国际竞争力的增强做出了巨大贡献。第三章论述了20世纪90年代以来日本中小企业经营环境的新变化。全球化和信息化是20世纪90年代以来世界经济发展的两大特征和基本趋势。全球化和信息化在改变世界经济面貌的过程中，也在改变着中小企业长期赖以生存的环境。泡沫经济崩溃后日本经济的长期停滞以及金融体系的动荡，迫使中小企业寻找新的发展道路。系列化生产和交易关系的松动，推动中小企业探索新的发展方向。第四章论述了20世纪90年代以来日本中小企业的新发展。国内外经济社会环境的变化给中小企业的经营和发展带来了重重挑战，面对挑战，中小企业凭借自身的优势，在信息化、国际化和技术创新等方面都实现了新的发展。第五章论述了日本中小企业政策的发展和政策体系的构成。自1948年中小企业厅成立以来，日本中小企业政策经历了经济复兴时期、高速增长时期、稳定增长时期和泡沫经济形成及崩溃时期四个发展阶段，每个阶段政策实施的重点各有侧重。完善的中小企业立法是日本中小企业政策的特色之一，1963年制定、1999年修改的《中小企业基本法》在日本中小企业立法中居于核心地位。《中小企业白皮书》是依据《中小企业基本法》发行的年度政策性文件，白皮书的内容反映了日本中小企业的新发展以及中小企业政策的具体内容和实施效果。第六章论述了20世纪90年代以来日本中小企业政策的新发展。面对全新的国内外经济形势，中小企业政策在金融支持、创业支持、信息化支持、技术创新支持、劳动力支持以及国际化支持方面都有了新进展。不仅如此，中小企业政策还建立起经济社会安全网，帮助中小企业适应经济和社会环境的新变化。第七章对日本中小企业政策的实施效果进行了评价。日美两国分别是政府干预型和自由竞争型中小企业政策的代表。通过对日美两国中小企业政策的比较，概括出了日本中小企业政策的主要特点，即完备的中小企业立法和全方位的政府干预。从日本经济发展实践看，中小企业政策基本达到了预期的目标，提供了中小企业发展所需的生产要素，促进了中小企业经营管理的现代化和科学化，推动了中小企业的技术创新，改善了中小企业的交易条件，提高了中小企业的社会经济地位。尽管如此，日本中小企业政策中存在的问题也是显而易见的，如忽视了中小企业的自主努力，缺乏“适应性变化”，理论研究滞后等。第八章是全文的总结和升华，对知识经济时代中小企业发展和中小企业政策进行了理论思考和理论总结。随着外包的发展和企业对外部资源的利用，企业的边界变得模糊了。企业边界的模糊淡化了企业规模的重要性，企业大小与竞争力强弱之间不再存在必然的联系。在知识经济时代，知识要素取代了土地和物质资本要素，成为经济增长的主要动力和增长来源。一个人、一个企业、一个国家，只要能获取和使用知识，就可以实现新的发展。这种变化极大地改变了世界，动摇了企业有形资产的重要性，也给中小企业的发展和优势的发挥创造了新的空间。要充分发挥中小企业的优势和作用，就需要为中小企业提供一个良好的政策环境。实践证明，中小企业政策对中小企业的发展起到了积极的推动作用。面对中小企业的新发展，中小企业政策也与时俱进，在经历调整和变化的基础上，出现了一些新的发展趋势。本文的创新主要包括如下四个方面：第一，论述了知识经济条件下中小企业发展的必然性。信息化与网络技术的推广，引起了企业组织的变化，在一些领域出现了企业小型化的发展趋势。知识经济的发展推动了服务业的发展，为中小企业提供了发展机遇。在知识经济社会，企业间的竞争从规模竞争转变为速度竞争，从成本与价格的竞争转变为知识的竞争。市场竞争的变化对企业的机动性和灵活性提出了更高的要求。消费需求多元化和个性化的发展，给传统的大批量生产方式带来了很大冲击，中小企业可以凭借其多样化的发展来满足消费者多样化和个性化的需求，从而能够充分发挥自己的优势。在知识经济时代，企业生存和发展的基础在于技术创新，只有持续不断地推进技术创新，企业才能在市场竞争中获胜。与大企业相比，中小企业的创新驱动机制比较有效，创新成本也比较低，可以在竞争中获得新的发展。随着知识经济的发展，人们的就业观念和就业形态都在发生着变化。中小企业的用人形式比较多样，机制也比较灵活，可以满足多样化就业形态的需要。第二，提出了中小企业优势论。进入20世纪90年代，人类社会发生了翻天覆地的变化，占据各国企业绝大多数的中小企业也进入到了全新的发展时期。然而，中小企业理论却停滞不前了。这样一来，中小企业在新经济形态中的作用就无法得到科学的定位，中小企业的发展也缺乏理论上的支撑。因此，应该摈弃传统的中小企业弱势论，用与时俱进的中小企业优势论，重新构筑知识经济形态下新的中小企业理论。知识经济是注意力经济、多元化经济和成长性经济。知识经济社会的这些新发展突出了中小企业的创造性、灵活性和成长性，为中小企业优势的发挥提供了舞台。第三，提出了与时俱进的中小企业政策所应遵循的六项原则，即适应性原则、多样性原则、选择性原则、前瞻性原则、适度性原则和协调性原则。第四，从中小企业优势论出发，展望了知识经济条件下中小企业政策的发展趋势。为满足知识经济时代中小企业发展的实际需要，中小企业政策将强化对中小企业创业和创新的支持，建立企业需求主导型的政策体系，实现中小企业支持力量的分散化。本文也存在一定的不足之处。由于时间和条件有限，对数据使用得不够充分，也没有对实证数据进行计量分析。对于一些问题，如中小企业经营的发展研究得不够，因此，本文的中小企业和中小企业政策研究还是尝试性的分析和论述，未涉及的领域将留待今后的研究加以解决。更多还原

【Abstract】 Small and medium enterprises (SMEs) play an important role in the economy, which can neither be substituted nor ignored both in developed countries and developing countries. The significance of SMEs is not only embodied in the incomparable quantity, but also in the job opportunities and national wealth created by SMEs. The approaching knowledge-based economy provides SMEs with a stage for full exertion of their creativity, flexibility and growing. Compared with big enterprises, SMEs have limited resources and low market share; therefore, it is very difficult for them to switch the adverse position in the market with their own efforts even though they have flexible mechanism and tenacious vitality. Thus, fostering SMEs has become a part of national development strategy and supporting SMEs an important economic policy all over the world.During the postwar economic development in Japan, SMEs had played an irreplaceable role. Japan is one of the developed countries with the most complete SME policy system. Since 1990s, however, with the economic development domestically and abroad, SMEs have been confronted with kinds of challenges, meanwhile, the theoretical study of SMEs has lagged behind practice and problems of SME policies also gradually emerge, unable to satisfy the developing needs. Taking Japan as a research object, combing theoretical analysis with empirical study, this dissertation devotes to theoretical reflection on SMEs and SME policies based on an overall and systematic summary and analysis of Japanese SMEs and SME policy development supported by plentiful materials and data, creatively proposing the SMEs advantage theory accounting for the development of SMEs in knowledge-based economy, demonstrating the development inevitability of SMEs in knowledge-based economy, summarizing six principles that should be followed by SMEs in policy formulation and implementation and expecting the developing trends of SME policy in knowledge-based economy.The dissertation is composed of eight chapters.The first chapter recalls the study summarizations on the theories of SMEs and the policies of SMEs.The second chapter discusses the development as well as the status and functions of SMEs in Japan. Since the Industrial Revolution, the research on the causes for the existence of SMEs have given birth to various SME theories, which have explained the reasons for the co-existence of SMEs and big enterprises from different aspects. In the course of postwar development Japanese SMEs have constituted the foundation of all industries and played a positive role in the specialized production and division system as well as the employment stabilization, which have made a substantial contribution to the rapid economic development and enhancement of international competitiveness of Japan.The third chapter is devoted to the new changes of Japanese SMEs’ managing environment since 1990s. Globalization and informatization are the two characteristics and trends of world economy since 1990s, whose development has been changing the living environment which SMEs have long been relying on while changing the basic features of world economy. The aftermath of bubble economy—long stagnancy and instability of financial environment—compels SMEs to search for new developing methods. The loosening of series manufacture and trade relations foster the SMEs to grope for the new developing direction.The fourth chapter involves the new developments of Japanese SMEs since 1990s. The changes of economic and social environment at home and abroad have subjected SMEs to kinds of challenges concerning management and development. Facing challenges, depending on their advantages in terms of informatization, internalization and technical innovation, SMEs have realized new developments. The fifth chapter includes the formation of SME policies and contents of policy system in Japan. Since the establishment of Small and Medium Enterprise Agency in 1948, Japanese SME policies have gone through four developing phases—economic recovery, rapid growth, steady growth and the forming and collapse of bubble economy. Each phase places weight on different policies. Perfect legislation concerning SMEs is one of the characteristics of Japanese SME policies. SME Basic Law in 1963 and in 1999 lie at the core of SME legislation in Japan. White Paper on SEMs in Japan, a policy document, issued annually based on SME Basic Law, reflects the new developments of Japanese SMEs as well as the contents and implementation effects of SME policies.The sixth chapter discusses the new development of Japanese SME policies since 1990s. Facing the totally new economic situation domestically and abroad, SME policies develop further in supporting finance, business creation, informatization, technical innovation, workforce as well as internationalization. Moreover, SME policies also establish economic and social safety nets and policies helping SMEs adapt to the changes of economy and society.The seventh chapter evaluates the implementation effects of SME policies in Japan. Japan and the US are the representatives in terms of SMEs policies characterized respectively by government intervention and free competition. By comparing the SME policies in Japan and those in the US, the main characteristics of Japanese SME policies are summarized, that is, the complete SME legislation and all-around government intervention. From the perspective of economic accomplishments, SME policies in Japan have attained the expected goal on the whole. Production factors needed by SMEs have been offered, management modernization and scientification fostered, technical innovation in SMEs promoted, trade terms improved and social and economic status enhanced. The problems in Japanese SME polices, however, are apparent. For example, independent efforts of SMEs are ignored, adaptable changes are lacked and theoretical studies lag behind.The last chapter is the conclusion and the pith of the dissertation, reflecting on and concluding the development and policies of SMEs in the age of knowledge-based economy. The development of outsourcing and utilization of external resources have obscured the border of enterprises. The vagueness of the enterprise border lessens the importance of enterprise scale; therefore, the inevitable relationship between the enterprises’ scale and their competitiveness disappear. In the age of knowledge-based economy, knowledge substitutes land and capital as the major power and growth source of economic growth. Anyone, no matter who it is, an individual, an enterprise or a nation, can realize new development as long as it can acquire and employ knowledge. Such developments have greatly changed the world, reduced the importance of tangible assets of enterprises and also created new space for the SMEs’ development and advantage exertion. A good policy environment is needed for the SMEs to fully exert their advantages and functions. Practice demonstrates that SME policies have played an active role in fostering the development of SMEs. Facing the new development of SMEs, SME policies also experience adjustments and changes, presenting some new development trends.The originality of this dissertation lies in the following aspects:Firstly, the development inevitability of SMEs in the knowledge-based economy is discussed. The popularity of informatization and network techniques has induced changes in enterprise organization and enterprises tend to become smaller in some fields. The progress of knowledge-based economy fosters the development of service industry, which offers SMEs the opportunity for developing. In the information economy, competition between enterprises shifts from scale to speed and from cost and price to knowledge. The changes of market competition pose higher requirements for the enterprises in flexibility. The progress of diversification and individualization of consuming needs has a huge impact on traditional mass production, however, SMEs, depending on their diversified developments, are able to fulfill consumers’ diverse and individualized needs and fully exert their advantages. In the age of knowledge-based economy, enterprises have to base their survival and development on technical innovation. Only the constant technical innovation can guarantee their success in market competition. Compared with big enterprises, SMEs have more effective innovation driving mechanism and lower innovation cost so that they are able to further their development in the competition. With the development of knowledge-based economy, people’s employment concepts and employment patterns are changing. With more diverse human resource management patterns and more flexible mechanism, SMEs can satisfy the needs of diversified employment patterns.Secondly, SMEs advantage theory is proposed. Human society experienced tremendous changes in 1990s. SMEs, the overwhelming majority of enterprises in each country, also entered into a totally new development stage. Theoretical studies concerning SMEs, however, came to a halt. Thus, the functions of SMEs are unable to be oriented scientifically in the new economic pattern and their development is also lack of theoretical support. Therefore, the traditional SMEs disadvantage theory should be discarded and new SMEs theory should be built in the knowledge-based economy with the keeping-pace-with-the-times SMEs advantage theory.Knowledge-based economy is attention economy, diversified economy and growth economy. These new developments of knowledge-based economy give prominence to the creativity, flexibility and the growing of SMEs and also provide SMEs with a stage to exert their advantages.Thirdly, six principles that SME policies should follow are put forward. These are adaptability principle, diversification principle, selectivity principle, foreseeability principle, moderation principle and harmony principle.Fourthly, from the basis of SMEs advantage theory, the development trends of SME policies in knowledge-based economy are expected. To satisfy the practical development needs of SMEs in knowledge-based economy, SME policies should strengthen the support for SMEs business creation and innovation, establish enterprise need-oriented policy system and decentralize their supports.The dissertation also has some defects. Due to the limited time and conditions, data are neither sufficiently employed nor quantitatively analyzed. Some issues, such as the development of SMEs management, are inadequately studied. Therefore, the studies of SMEs and SME policies in this dissertation are trial analyses and discussions. The untouched areas will be left for a further study in the future.更多还原