摘要
I
摘要
国内科技型中小企业虽然仅占中小企业的5%，但是科技型中小企业在中小
企业中的发明专利、创新成果和产品研发上分别占据78%，70%和80%的巨大比
例。目前我国科技型中小企业已超过30万家，而其4年以上存活率不足50%，所
以科技型中小企业的生存困境一直受到包括党中央、国务院等多方的高度关注
本文认为合法性获取是解决其生存困境的关键。本文选取了两家四川省科技型中
小企业作为典型案例进行分析，同时对四川省科技型中小企业进行了问卷调查研
究
对于案例研究方面：我们首先通过对案例A、B公司的里程碑事件进行整
理，划分出它们的生命周期并对应出企业成长绩效；其次将A、B公司在不同生
命周期里采取的资源获取途径进行了分析；最后整理出A、B公司在不同生命周
期下采取的合法性获取战略，并分别进行了说明，得出了我们的3个研究发现：
（1）企业的成长绩效并不取决于公司采取的获取合法性战略的数量；（2）企业的
成长绩效由获取合法性后资源是否可以变现及可变现的程度决定；（3）企业可以
采取控制环境或创造环境的战略获取新的合法性
对于调查问卷研究方面：我们设计了《四川省科技型中小企业发展情况调查
问卷》，发放回收问卷后进行分析，并得到了我们的3个研究发现：（1）大多数
电子行业科技型中小企业更倾向于选择遵从环境与选择环境的战略获取合法性；
（2）企业想要解决融资问题，需要更加主动的接触资本及积极加入协会；（3）
企业应更多地建立与相关企业的联系，成为合作伙伴。随后我们结合研究发现给
出了4个政策建议，包括：积极加入行业协会、增加与资本的接触机会、与更多
企业联盟、选择更主动的合法性获取战略
关键词：科技型中小企业，企业生命周期，合法性获取，组织合法性
第一章 绪论
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ABSTRACT
In China, Tech SMEs although accounts for only 5% of small and medium-sized
enterprises, but Tech SMEs in the country for a patent for invention, innovation and
product development, respectively, 78%, 70% and 80% of huge proportions. There are
more than 300 thousand Tech SMEs in China, however, only less than half of them can
be survived over four years, which remains a difficult problem to be solved. This paper
uses the method of case study and argues that legitimacy acquisition is the key to break
the dilemma. In this paper, two Tech SMEs in Sichuan province were selected as the
typical cases, and the questionnaire survey was carried out for Tech SMEs in Sichuan
province.
For case study: Firstly, Life Cycles were recognized by analyzing the milestones of
the two enterprises, as well as the corresponding performances to different Life Cycles.
Secondly, we analyzed the resource acquisition approaches adopted by company A and
B during different life cycles. Finally, the legitimacy acquisition strategies adopted by
company A and company B in different life cycles were analyzed respectively and
obtained three research findings：(1) the growth performance of an enterprise does not
depend on the number of strategies about the Legitimacy acquisition by the enterprise;
(2) the growth performance of the enterprise is determined by whether the resources can
be realized after obtaining legitimacy acquisition; (3) enterprises can choose the strategy
of control the environment or create the environment to obtain new legitimacy.
Regarding the questionnaire survey, we designed the Questionnaire on the
Development of Sichuan's Tech SMEs Survey, issued a questionnaire for recovery, and
conducted three research findings, they are: (1) most electronic industry technology
SMEs tend to choose the strategy to comply with the environment and choose the
environment to obtain the legitimacy ; (2) enterprises want to solve the financing
problem, need more active contact capital and actively join the Association; (3)
enterprises should more establish contact with the related enterprise and become
partners. Then we combined the research findings and gave four policy
recommendations, including: actively participating in associations, increasing access to
capital, alliance with more companies, and choosing a more proactive legitimacy
acquisition strategy.
第一章 绪论
III
Keywords: Tech SMEs, Enterprise life cycle theory, Legitimacy acquisition,,
Organizational legitimacy。