中国中小企业国际化经营及其面临的障碍

1、京第二外国语学院硕士学位论文中国中小企业国际化经营及其面临的障碍姓名：肖如欣申请学位级别：硕士专业：英语语言文学导教师：李向民20070510第六部分从政府宏观指导、中小企业自身能力建设、社会中介服务平台三个 层面提出具体建议以促进我国中小企业“走出去”。政府应该制定相应的法律法 规和鼓励政策，尤其是要采取切实推进措施促进企业走出去：同时中小企业自身 要通过技术、制度等创新，树立品牌，加强核心竞争力，构建海外“产业集群网 络”组织，选择最适合的国际化道路，增强企业实力；而中介服务机构应通过提 供法律、信息、咨询、海外考察展览等多种服务，畅通中小企业国际化之路。文章最后结语。中小企业走出国门，参

2、与国际竞争，是当代中小企业发展的 必然选择。中小企业要结合自身特点和发展阶段，准确定位，寻求能够持续发展 的国际化道路。关键词：中小企业；国际化；走出去：产业集群网络AbstractSince Chinese reform and opening-up, SMEs have been growing and developing rapidly, constituting the important part of national economy. With the deepening of economic globalization and regional integration, a

3、s well as the closer relations between countries, Chinese enterprises especially SMEs are provided beneficial environment for going outside to carry out cooperation in a wider area and heightened level. The trend for SMEs going global to attend international competition is inevitable. The purpose fo

4、r this thesis is to explore the factors for internalization, the advantages SMEs themselves possess, the role the government, industries, associations and intermediary institutions should play in SMEs internalization as well as the obstacles in this progression, analyze the different modes SMEs choo

5、se to enter the intemational market, and then put forward that establishing overseas industry cluster networking, forging own brand and specialized product marketing strategy are all the efficient ways for SMEs internalization.This paper mainly covers six chapters.The first chapter gives an overall

6、introduction to SMEs and the “going global” strategy. Firstly it focuses on the different definitions of SMEs in EU，USA, Canada, Japan and China, expounds the important position of SMEs in the national economic development. Secondly, it briefly introduces supporting policies in laws and capitals etc

7、., and analyzes the factors which cause the SMEs going global.The second chapter elaborates the theoretic elements of SMEs internationalization including theories of International Eclectic Paradigm scale economy, small scale technology, proprietary advantage, processing and five stages of internatio

8、nalization.The third chapter illustrates that since Chinas entry into the WTO and with incremental internationalization experiences, part of SMEs have successfully realized internationalized operations and built up their brands. Take typical SMEs in ASEAN, European and American markets, this paper c

9、oncludes several entering modes forSMEs into the international markets and analyzes how SMEs choose the suitable mode in different developing stages.The fourth chapter stresses the policy systems of promoting SMEs internalization as well as their implementing effects in other countries and internati

10、onal organizations, which aims to provide some implications for Chinese governments and enterprises.The fifth part emphasizes the obstacles that SMEs meet in going outside from the perspectives of governmental institution, the economic and political environments of local countries, the mfonnation ne

11、tworking and cultural conflicts, and the cultural conflicts includes language, custom, religion and local life.The sixth part puts forward some specific suggestions for SMEs going global from three angles of governmental macro-guidance, SMEs self-capacity construction and social intermediary service

12、s. The governmental departments should perfect the corresponding laws and regulations for encouraging SMEs development, and at the meantime, SMEs themselves should enhance the core competitions by innovating technology and management system, build up overseas industry cluster networking to rely on t

13、he group enterprises power to compete in the international market, while the intermediary institutions should help to smooth the internalization process of SMEs by providing all kinds of services such as legal, information consultation, overseas visits, exhibitions and expo services.The paper sums u

14、p that SMEs going global to take part in the international competition is the inevitable choice for further sustainable development. SMEs should take their own chacterises and position into full account to find their most suitable internalization way;Key Words: Small and Medium sized Enterprises (SM

15、Es); Internationalization; Going Global; Industry Cluster Network北京第二外国语学院学位论文写作声明和使用授权说明学位论文写作声明本人郑重声明：所呈交的学位论文（论文题目：中国中小企业国际化经营及 其面临的障碍)，是本人在导师的指导下，独立进行研究工作所取得的成果。除 文中已经注明引用的内容外，本论文不含任何其他个人或集体己经发表或撰写过 的作品或成果。对本文的研究做出重要贡献的个人和集体，均已在文中以明确方 式标明。本声明的法律结果由本人承担。论文作者签名： 日期：卯;7年：r月曰学位论文使用授权说明本人（姓名）肖如欣学号呈交的

16、论文（论文题目：中国中小 企业国际化经营及其面临的障碍)完全了解北京第二外国语学院关于收集、保存、 使用学位论文的规定，即：按照学校要求提交学位论文的印刷本和电子版本；学 校有权保存学位论文的印刷本和电子版，并提供目录检索与阅览服务；学校可以 采用影印、缩印、数字化或其它复制手段保存论文；在不以嚴利为目的的前提下， 学校可以将学位论文编入有关数据库，提供网上服务。（保密论文在解密后遵守此 规定）论文作者签名：导师签名： 日期：年J月/0日AcknowledgementsI wish to express my deepest gratitude to my tutor. Professor L

17、i Xiangmin, a patientj responsible and knowledgeable person, for his earnest guidance in the past three years, I am particularly grateful to his valuable suggestions and continuous encouragement, without which the thesis would be impossible.I am equally indebted to all the teachers who taught me, ga

18、ve me lectures during my postgraduate schooling, whose teaching prepared me for the accomplishment of this paper.My gratitude also goes to my colleagues during internship in China International Cooperation Association of Small and Medium sized Enterprises, who give me some suggestions and implicatio

19、ns on this paper.Last but not least I want to express my sincere thanks to the experts who have spent or will spend time on the examination and assessment of my thesis.I myself am the only one to blame for all the defects in this thesis.IntroductionChinas reform and opening-up policy has created a g

20、ood environment for the development of small- and medium-sized enterprises (SMEs), especially the burgeoning SMEs in the private sector. SME is recognized as the most vigorous economic group. From the global view of point, SME becomes the significant factor for creating economic miracles in some cou

21、ntries and regional around the world.In our country, SMEs have been playing an important role in Chinas economic reform and development and, to some extent; have become a growth engine in the Chinese economy and industry.However, with the deepening of economic globalization, Chinese economy is fusin

22、g closer into the world economy. The domestic market is no longer the profits arena only for the domestic enterprises. According to the statistics of World Investment Report made by UNCTAD every year, there are about 63000 transnational corporations to control 45% of world product output, 60% of tra

23、de business, 70% technology transferring and 80% of FDI through 700 thousand overseas companies. Chinese enterprises cannot escape from the international competition no matter in the global m-ket or in the internationalized domestic market. In this case, doing the international business is no longer

24、 the patent of big enterprises, SMEs which account for 99% of the total enterprises no doubt should be the important player for the internationalized operations. Only Chinese SMEs actively go outside to take advantage of opportunities to realize internationalization, could they constantly enhance th

25、eir competitiveness to survive and better develop in the wave of globalization.Countries in the world not only recognize the importance of SMEs for both the social and economic development, but also, they clearly aware of the deep globalization of the world economy. Therefore they adopt various meas

26、ures and forms to support the development and internalization of their local SMEs, Some have gain great achievements and some learn lessons. Such successes and failures would giveA Study on Chinese SMEs Going Global” Strategies and Main Obstacles Encountered useful implications to Chinese government

27、 and enterprises.Some SMEs involve themselves in the international market indirectly by providing necessary products and services to MNC. Some SMEs actively invest in the foreign markets.SMEs have their own characteristics. They are bom small in size and weak in strength, but they are flexible and i

28、nnovative in the markets. Such features decide that SMEs will form and create their unique method to enter and win in international markets on the basis of learning from the MNCs experiences or with the help of MNC. At the meantime, SMEs face many barriers in the process of internalization partially

29、 in result of their inherent features, such as shortage of funds, reluctant stay of people of talents, lack of modem and scientific management system, cultural conflicts etc. How SMEs overcome these obstacles to take part in internalization and realize transnational expansion successfully become a t

30、opic of concern. By the virtue of some theoretic basis of SMEs internalization, some valuable suggestions are proposed here for both the governmental ftinctions and SMEs themselves.Chapter I General situation of SMEs and going globalstrategies，in ChinaSME is widely recognized as the most active fact

31、or in economy not only in China but also in many other countries. With the deepening of integration of global economy, competing in the international market is no longer the sole activity of large scaled enterprises, more and more SMEs are entering the global market and play a role which cannot be n

32、eglected. This chapter will focus on the terminologies of SME and enterprises internalization and then the general development situation of SMEs in China will be reviewed as well.1.1 Definitions of SMEsSMEs stand for Small to Medium Enterprises. But there is no unified definition of what is meant by

33、 a small or medium-sized enterprise. Different countries define SMEs differently according to the characteristics of each industry and on basis of the needs of the governments intervention. 1.1.1 ChinaIn China, the definitions of SMEs have been altered and amended for several times. According to the

34、 Law of the Peoples Republic of China on Promotion of Small and Medium-sized Enterprises which went into effect as of January 1 2003, the new unified tentative classification criteria on SMEs was set on the basis of the number of employees, sales volume, total assets, etc. of an enterprise and in li

35、ght of the characteristics of different trades in seven industries. (Zhang Junxi Ma Jun&Zhang Yuli,2005)In the field of industry, a small and medium enterprise is defined as an enterprise with fewer than 2000 employees，less than 300 millions Yuan of volume of sales and less than 400 millions Yuan of

36、 total assets. For the medium sized enterprise, it should have more than 300 employees, more than 30 millions Yuan of volume of sales andA Study on Chinese SMEs Going Global Strategies and Main Obstacles Encountered more than 40 millions Yuan of total assets. The enterprises which fail to reach such

37、 standards belong to small business.In the field of construction, a small and medium enterprise shall satisfy the following criteria: fewer than 3000 employees, less than 300 millions Yuan of volume of sales and less than 400 millions Yuan of total assets. The medium sized enterprises should have mo

38、re than 600 employees, 30 millions Yuan of sales volume and 40 millions of total assets. The rest enterprises are defined as small business.In the field of retailing and wholesales, a small and medium enterprise for retailing is defined as an enterprise with fewer than 500 employees, less than 150 m

39、illions Yuan of volume of sales. For the medium sized enterprise, it should have more than 100 employees, more than 10 millions Yuan of volume of sales. The enterprises which fail to reach such standards belong to small business. While for the wholesale, a small and medium enterprise is defined as a

40、n enterprise with fewer than 200 employees and less than 300 millions Yuan of sales volume. Among them medium sized enterprises have more than 100 employees and 30 million Yuan sales volumes and the others are small business.In the field of transportation and post a small and medium enterprise of tr

41、ansportation is defined as an enterprise with fewer than 3000 employees, less than 3 billion Yuan of sales volume. Among these, enterprises with more than 500 employees, and 30 million Yuan or above of sales volume are defined as medium sized enterprises, while the rest are the small enterprises. Fo

42、r the post industry, SMEs should follow the conditions of fewer than 1000 employees and less than 3 billion Yuan of sales volume, and among these, enterprises with 400 or above employees and 30 million or above Yuan of sales volume are medium sized enterprises，while the rest are small enterprises.In

43、 the field of lodging and food industry, SMEs is defined as an enterprise with fewer than 800 employees or less than 0.15 billion Yuan of sales volume. Among these medium sized enterprises will be with 400 or above employees and 30 billion Yuan of sales volume, while the rest are small businesses.A

44、Study on Chinese SMEs Going Global Strategies and Main Otacles Encountctd 1 丄2 EUThe European Union made a distinction between medium-sized, small and micro-enterprises in April, 1996 (Zhang Junxi, Ma Jun&Zhang Yuli, 2005).A medium-sized enterprise was defined as an enterprise with less than 250 emp

45、loyees, an annual turnover of less than 40 million EUR or a total annual balance of less than 27 million EUR. No more than 25% of the capital or the rights to vote could be in the hands of one or more enterprises, which are not small or medium-sized enterprises themselves. This was the so-called cri

46、terion of autonomy.A small enterprise was defined as an enterprise with less than 50 employees, an annual turnover of less than 7 million EUR and must comply with the autonomy criterion explained above. A micro-enterprise was defined as an enterprise with less than 10 employees.However, a new defini

47、tion was applicable ftom January 2005, which represented a major step towards an improved business environment for SMEs and aimed at promoting entrepreneurship, investments and growth.MicroSmall-sizedMedium-sizedCriteriaenteiprisesenterprisesenterprisesMax. number of employees1050250Max. turnover in

48、 million ECUS-750Max. balance sheet total in million ECUs-43Source: Commission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (Text with EEA relevance). Official Journal L 124，p. 36-41, of 20 May 2003.The new definition is an important

49、 tool in EU for implementing efficient I and programs to support the development of SMEs, 1.1.3 USAThe Small Business Act states that in determining what constitutes a small.A Study on Chinese SMEs Going Global Strategies and Main Obstacles Encountered business, the definition will vary from, indust

50、ry to industry to reflect industry differences accurately in order to create more opportunities to participate in American national programs and facilitate the preference to small business. Generally speaking, in the field of industry, small business shall have employees fewer than 500, while for th

51、e wholesale industry it should have employees fewer than 100. (Zhang Junxi, Ma Jun&ZhangYuli, 2005).Industry Canada uses the term SME to refer to businesses with fewer than 500 employees, while classifying firms with 500 or more employees as large businesses. Breaking down the SME definition, Indust

52、ry Canada defines a small business as one that has fewer than 100 employees (if the business is a goods-producing business) or fewer than 50 employees (if the business is a service-based business). A firm that has more employees than these cut-offs but fewer than 500 employees is classified as a med

53、ium-sized business. A micro business is defined as a business with fewer than five employees.Statistics Canada defines an SME as any business establishment with 0 to 499 employees and less than $50 million in gross revenues. 1.1.5 JapanIn 1999, the Small and Medium Enterprise was defined again in th

54、e new law.The Small and Medium Enterprise Agency is mainly in charge of the SME affairs and provide service to SME. The Previous Small and Medium Enterprise Basic Law of Japan set the criterion for the SME size standard.SME DefinitionIndustriesCapital Size (million yen)Number of employeesManufacturi

55、ng and Others100 or less300 or lessWholesale30 or less100 or lessRetail10 or less50 or lessServiceswas amended and SMESME DefinitionIndustriesCapital Size (million yen)Number of employeesManufacturing and Others300 or less300 or lessWholesale100 or less100 or lessRetail50 or less50 or lessServices10

56、0 or lessSource: the Report of China SME Development, 2005, P241-243From the definitions of SMEs in different countries, we could find that the common characteristics of them, that is fewer employees, small total assets and small operations size. The more developed the market economy of one countay

57、is, the more specialized the collaboration between industries becomes, and the larger number of SME will come into being.1.2 The development phases of SME in ChinaOver the past two decades，Chinese small and medium-sized enterprises (SMEs) have gone through roughly three development phases, along wit

58、h the development of Chinas reform and opening-up. The first phase was from 1978 to 1992, characterized by the expansion of SMEs in number and scale. This resulted from the governments encouragement of and support for the development of township, collective and self-employed enterprises. The rapid e

59、xpansion of these enterprises has made great contribution to economic development and improvement of the peoples living standards. According to the statistics, in 1980, the number of industrial enterprises at the level of collective township and village enterprises and above (excluding village and family enterprises), wa