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本文以江苏省 162 家中小企业为样本进行问卷调查，从理论和实证方面研究了知
识链对于中小企业技术创新能力的影响。首先，文章分析了中小企业在技术创新过程
中面临的融资约束，在此背景上引入知识链，从速度经济和规模、范围经济两方面阐
述了知识链提升企业技术创新能力的机理，随后文章借助关系强度理论分析了三种资
源获取方式下，技术创新能力提升的差异。最后，从企业自身的角度出发，研究了企
业吸收能力与合作意愿对于这种提升效果的影响作用
研究结果显示：首先，处于知识链中，中小企业技术创新能力显著提升，并且这
种提升在母子公司知识链企业中最为明显、供应链组织次之；对于母子公司而言，这
种提升作用主要体现在资源投入能力与技术创新管理能力上，而对于基于供应链关系
的企业来说，这种提升主要体现在技术创新管理能力与研究开发能力上。其次，在引
入 MOA 框架后本文发现：中小企业的吸收能力与合作意愿对这种提升作用有显著的
正向调节作用，并且这种正向调节作用对于母子公司的创新资源投入能力和技术创新
管理能力、供应链企业的技术创新管理能力和研究开发能力会产生更为突出的促进作
用
关键词：知识链 中小企业 技术创新能力 融资约束
作 者：马怀柯
指导教师：罗正英
II
Research on the technology innovation capability of small
and medium sized enterprises in the context of financing
constraints
——Analysis based on the knowledge chain
Abstract
Under the background of increasingly fierce competition in domestic and foreign, the
enterprise can only obtain the competitive advantage through continuous technological
innovation. There is a large number of small and medium-sized enterprise in our country,
which is different from the state-owned large-scale enterprise, for whom it’s smaller scale
and the weak political connection lead to it’s lack of resource. In order to give full play to
the SMEs which organization is flexible, dare to adventure, active thinking, SMEs need to
seek the help of other enterprises to obtain the knowledge needed for innovation.
Taking the 162 of the SMEs in Jiangsu Province as a sample, we use the
questionnaire date to analyze the influence of knowledge chain to the technology
innovation ability of SMEs. Firstly, start from the view of resource constraint, the paper
analyze the bottlenecks SMEs may encounter in their technology research. Then the paper
shows the mechanism of knowledge chain to enhance enterprise&39;s technology innovation
ability from the aspect of the economies of speed and the scale. Next, the paper analyzes
the differences in the improvement of the technological innovation ability under the three
kinds of resource acquisition by the relationship strength theory. At last, the paper discuss
how the cooperation willingness and absorption ability may affect the former improvement
effect.
The research results show that: (1) the technological innovation capability of SMEs in
Jiangsu Province under the knowledge chain situation was significantly higher than that
without the knowledgechain situation; (2) knowledge chain segments research is under
different results: the SMEs based on the relationship between a parent company and a
subsidiary company show the most significant improvement in technological innovation
capability , followed by enterprises based on the supply chain relationship, the SMEs
which it’s relationship based on the commodity transaction are improved the less; (3)
SMEs based on the relationship between a parent company and a subsidiary company, the
III
resource input ability and the management of technological innovation ability are strong;
the SMEs based on relationships among supply chain enterprises show the advantage in the
management of technical innovation ability and development ability; (4) the absorption
ability and cooperation willingness can significantly improve the knowledge transfer
efficiency and has a significant role in promoting technological innovation capability. This
promoting effect is mainly reflected in innovation resources input capacity improvement
and technology innovation management capability improvement.
Keywords: Knowledge chain; small and medium sized enterprises; technology
innovation ability; financing constraints
Written by Ma Huaike
Supervised by Luo Zhengying
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目 录
第一章 绪 论 .......1
1.1 研究背景...... 1
1.2 研究方法、思路及内容框架.......... 4
1.3 研究意义及创新之处.......... 6
1.4 相关概念界定.......... 8
1.4.1 企业技术创新能力.... 8
1.4.2 知识链及相关概念.... 9
第二章 理论基础及文献回顾 .....12
2.1 中小企业技术创新能力的理论基础与文献综述 12
2.1.1 理论溯源...... 12
2.1.2 文献综述...... 15
2.2 知识链的理论基础及文献综述.... 18
2.2.1 理论溯源...... 18
2.2.2 文献综述...... 19
2.3 文献评述与本文研究视角 20
第三章 知识链影响中小企业技术创新能力机理分析...22
3.1 中小企业融资约束的特征性事实 22
3.1.1 中小企业融资现状.. 22
3.1.2 融资约束背景下中小企业研发现状.......... 25
3.2 知识链—缓解融资约束的重要途径........ 27
3.2.1 知识链组织的速度经济...... 27
3.2.2 知识链组织的规模经济和范围经济.......... 29
3.2.3 知识链细分情境下中小企业技术创新能力提升比较分析.......... 29
3.3 假设提出.... 31
第四章 知识链对中小企业技术创新能力影响研究的实证分析.........33
4.
