-
ABSTRACT:Small and medium sized
enterprises (SMEs) are playing an increasingly
important
role in the Chinese socialist
market economy.
摘要：中小型规模企业（中小企业）正发挥着越来越
重要的作用，在中国社会主
义市场经济。
Despite their
importance to the Chinese economy, little is known
about Chinese SMEs activities
in
internationalization markets.
尽管它对于中国经济
十分重要的，
但中国中小企业在国际化市场活动却很少被知
道。
Why
and
how
do
they
internationalize?
Do
they
behave
in
similar
ways
with
SMEs
from
developed western economies?
怎么样才能使得他们国际化？他们的行为方式与西方发达国家
中小企业是否存
在同样的方式？
Or are they unique type of firm with
different approach to internationalization?
又或者是有独特类型的公司对于国际化有不同的做法吗？
This thesis
aims to study why and how Chinese SMEs go
international and assess whether they
conform to extant theories of
internationalization.
本文目的是
研究中国中小企业为什么以及如何去国际评估它们是否符合国际化
的现存理论。
It begins with an
overview of the extant research in the discipline
and is followed by a theoretical
review
of firm internationalization.
它首先概述了现有的学科研究，其次是企业国际化理论述评。
Next,
the
research
methodology
will
be
discussed.
Finally
an
overview
of
thesis
plan
will
be
provided.
接下来，对研究的方法进行讨论。最后将提供一个论文概述计划。
1
．
INTRODUCTION
1.1
Overview
一般来说
Global
competition and accelerating technological
development now are forcing firms to
<
/p>
全球竞争和加快科技发展正迫使企业国际化的速度比几十年前更迅速。
internationalize more rapidly than some
decades ago. Internationalization has been shown
to have
国际化已经被证明对经济增长和创造就业有
重要的意义（澳洲，
2002
）。
great
significance
to
economic
growth
and
job
creation
(Austrade,
2002).
Prior
research
in
internationalization theories has been
based almost exclusively on western developed
economies.
先前的关于国际化理论的研究几乎是
完全依据西方发达国家而建立的。
Since
the
opening
of
the
china?s
economy
during
the
Deng?s
era,
a
number
of
leading
Chinese
firms
have
begun
to
internationalize
with
a
view
to
becoming
global
player
in
international
market.
自从邓小平时代的改革开放，
许多领先的中国公司已经带着成为国际市场的一
员的态度开始
国际化。
In
the
face
of
the
weakness
in
innovation,
limited
marketing
capability,
and
lack
of
brand
development,
Chinese
firm?s
initially
started
internationalization
through
?inward?
internationalization by means of joint
venture partnerships and original equipment
manufacturer
(OEM) (Child and
Rodrigues, 2005).
从表面上来看存在的
弱点是创新，
营销能力有限，
以及缺乏品牌发展，
中国企业
最初的国际化是通过合资合作伙伴和原始设备制造商
（贴牌）
的方法内向国际化。
（儿童和罗德里格，
2005
）。
The
government
also
encouraged
firms
in
?attracting
foreign
investment?
with
a
series
of
preferential policy.
政府还以一系列的优惠政策鼓励企业在吸引外资。
In the year 2004 alone
foreign investment projects with $$61 billion
contract value of world widely
as the
second largest Foreign Investment recipient
country (USCBC, 2005 ).
2004
年价值
61
亿美元的外商投资项目合同，
使之成为世界第二大的外国投资接
受国（美中商业委员会，
2
005
）。
In the past decades, some
Chinese firms with more experien
ce and
capital started to ?outward?
internationalization by means of
acquisition and organic expansion abroad (Child
and Rodrigues,
2005).
在过去的几十年中，
一些富有经验和资本的中国公司开始以收购和有机海外
扩张
的方式外向国际化。（儿童和罗德里格，
2005
）。
The
representative
examples
of
these
include
Lenovo,
Huawei,
and
Haier
which
had
already
developed strong position in domestic
market before they started internationalization.
一些具有代表性的例子包括联想、
华
为、
海尔，
他们都是在开始国际化之前在国
内市场已经发展了强大的地位。
In view of recent interest in Chinese
business, amount of studies paid attention to
Chinese firm?s
internationalization, but mostly has
focused on large-scale, mature multinational
enterprises (Deng,
2004; Warner,Ng and
Xu, 2004 Child and Rodrigues, 2005).
鉴于最近的兴趣在中国业务，大量的研究关注中国企业国际化，但大多还是集中在大型的
，
成熟的跨国企业（邓，
2004
；华
纳，和徐，
2004
；儿童和罗德里格，
2005
）
。
Little attention is paid to the small
and medium sized enterprises? internationalization
in China.
很少注意中国中小规模企业的国际化。
At
present,
the
number
of
China's
SMEs
registered
with
the
Industrial
and
Commercial
Administration has exceeded 8 million,
accounting for 99 percent of the country's total
registered
businesses (China Daily,
2002).
目前，
中国一些注册
与工商管理的中小企业已超过
8
百万，
占全国总注册企业的
百分之
99
（中国
日报，
2002
）。
In the last few decades
many SMEs have successfully set up activities
beyond their home market
and their role
is increasingly crucial in contributing to Chinese
economic growth.
在过去的几十年里，
许多已经成功建立的中小企业参与活动超出其国内市场，
并且在促进中
国经济发展中的作用越来越关键。
In 2007, WTO statistics suggested
that by 2007 China had already overtaken the
United States as
the second largest
exporter in the world in terms of export volume
(WTO, 2008).
2007
，世贸组织统计表明，<
/p>
2007
年的中国在世界上的出口量已经超过美国成为
世界第二大的出口国（世贸组织，
2008
）。<
/p>
Most
of these exports come from Chinese SMEs. SMEs
contribute 68 percent of China?s exports
(China Enterprises Association 2007).
大多数这些出口来自中国中小企业。中小企业促进中国百分之
68
的出口（中国
企业协会
2007
）。
This
is
a
much
higher
proportion
than
in
any
other
economy
in
the
OECD
or
APEC.
China?s
export growth is
about double its GDP growth (China Daily, 2002).
这是一个非常高的比例比任何其他在经合组织和亚太经济合作
组织中的经济组
织。中国的出口增长是国内生产总值增长的大约两倍（中国日报，
2002
）。
In last decades, research on the
internationalization of SMEs mainly in western
economic context
(Oviatt and McDougall, 1999,2005;
Knight and Cavusgil, 1996; Autio, 2005; Rialp et
al., 2005).
近几十年来，研究中小企业国际化主要集中在西部经济背景。
Chinese
SME
as
a
major
contributor
to
national
economic
growth,
however,
there
are
limited
researches on its internationalization.
中国中小企业作为国家经济增长的主要贡献者，
无论如何，
在它的国际化上也有
有限的研究。
This
paper
aims
to
contribute
to
the
internationalization
of
Chinese
SMEs
research
and
emphasizes
on
the
practices
of
mainstream
perspectives,
including
Uppsala
model,
Network
perspective,
Eclectic
Paradigm,
and
specific
foreign
market
entry
mode
as
well
as
their
significance for
Chinese SMEs.
本文的目的是研究中国中小企业国际化，
和强调实践的主流观点，
包括乌普萨拉模型，
网络
视角，折衷范式，和具体的国外市场进入模式等同于中国中小企业的意义。
< br>
Furthermore, probes
into an explanation for Chinese SMEs going
international.
此外，还探讨了中国中小企业走向国际化的一个说明。
1.2
Research
Question
研究问题
This thesis aims to discus the
internationalization of Chinese SMEs. There are
two main research
questions to be
addressed thesis.
本文主要目的是讨论
中国中小企业国际化。
有两个主要的关于解决论文的研究问
题。
Question 1
As shown in the literature
(Deng, 2004; Warner, Ng and Xu, 2004; Child and
Rodrigues, 2005),
most
prior
research
in
the
internationalization
of
Chinese
firms
focus
on
large
Chinese
firms/multinationals, little attention
has been made on Chinese SMEs
internationalization.
就好像文学
（邓，
2004
；华纳，和徐，
200
4
；儿童和罗德里格，
2005
），大
部
分以前的研究都是在中国重点大企业或者跨国公司的国际化，
很少有人注意了中
国中小企业国际化。
Why
and
how do
they
internationalize?
What
factors drive
and
inhibit
their
internationalization
process?
为什么以及他们如何国际化？什么因素推动
和抑制了他们的国际化进程。
Therefore, this thesis aims to ask an
important question:
因此，本文的目的是让得到一个重要的问题：
What factors induce Chinese
SMEs internationalization?
什么因素促使中国中小企业国际化？
Question 2
As
the
global
market
later
comer,
Chinese
enterprises
play
the
catch-up
role
to
compete
with
western counterparts.
随着全球市场的到来后，中国企业发挥的作用可以与西方同行
相媲美。
In
particular China?s SMEs, compared with the large
enterprises, their capitals and resources are
inadequate.
特别是中
国的中小企业，同大企业相比，他们的资本和资源不足。
The internationalization process of
SMEs in developed economy reflectan accelerated
version of
the
stage
model
perspective,
and
is
driven,
facilitated,
and
inhibited
by
a
set
of
formal
and
informal network
relationships(Coviello and Munro, 1997).
在国际化进程中，
中小企业在经济发展的阶段模型的观点中加速，
< br>并带动，
促进
和抑制，由一组正式和非正式网络关系（科
维洛和蒙罗，
1997
）。
These
relationships
impact
foreign
market
selection
mode
of
entry
as
well
as
product
development and market diversification
activities (Coviello and Munro, 1997; Ellis and
Pecotich,
2001).
这些关系影响国际市场选择进入方式以及产品的开发和市场多样化的活动
（科维
洛和蒙罗，
1997
；埃利斯和
pecotich
，
2001
）。
Due to most
of these results are generated from SMEs of
well-
developed economies, this paper?s
attention will be devoted to exploring
how do Chinese SMEs internationalize?
由于大多数这些结果产生于中小企业发达的经济，
本文将关注如
何做中国中小企
业的国际化？
Therefore, the second research question
is:
因此，第二个研究问题是
Whether the internationalization of
western theoretical models are applicable to
Chinese SMEs or
not?
西方的国际化理论模型是否适用于中国中小企业？
1.3
Contribution of this Study
本次研究的贡献
The
main
contribution
of
this
study
is
to
enrich
the
mainstream
internationalization
theory
by
studying a new context in
the internationalization of an emerging economy:
China.
本次研究的主要贡献是通过研究一个新的上下文在国际化的一个新兴经济体：
中
国来丰富国际化理论的主流。
This thesis also attempts to offer some
practical and policy to Chinese SMEs and
government by
understanding the
strengths and weaknesses of Chinese SMEs.
本文也试图通过对我国中小企业长处和短处的理解向企业和政
府提供一些实际
和政策。
2. LITERATURE REVIEW
文献综述
2.1 Overview of Internationalization
国际化的概述
Since Welch and Luostarinen?s (1988)
comprehensive analysis of the internationalization
concept,
a
number
of
reviews
have
assessed
and
synthesized
the
general
internationalization
process
literature (eg.
Johanson and Vahlne, 1990, 1992; Andersen,1993). <
/p>
自从韦尔奇和奥斯塔里宁（
1988
）对
国际化概念的全面分析，一些评论已评估
和合成一般国际化进程的文献
< br>（如约翰森和瓦尔尼，
1990
，
1992
；
安徒生，
1993
）
。
The definition offered by Beamish
(1990) described internationalization as the
process by which
firms
both
increase
their
awareness
of
the
direct
and
indirect
influences
of
international
transactions on their future, and
establish and conduct transactions with other
countries.
Beamish
（
1990
）关于描述的国际化进程提供了定义是，公司直
接的或者间接的
提高其认识影响国际交易对自己的未来，并建立与其他国家进行交易。<
/p>
This
definition
allows
for
recognition
of
the
fact
that
firms
may
begin
the
internationalization
process
through involvement in activities such as foreign
sourcing or countertrade, i.e. reflection
an “inward” pattern of
internationalization (Wel
ch and
Luostarinen, 1993; Korhonen et al., 1995).
这个定义承认了可识别的事实，
公司
可能通过参与例如国外采购或全反射，
即
“
内
向
”
模式的国际化等的活动来开
始国际化进程
（韦尔奇和奥斯塔里宁，
1993
马克；
等人。
1995
）。<
/p>
In last decades,
research on the internationalization of SMEs
mainly in western economic context
(Oviatt and McDougall, 1999, 2005;
Knight and Cavusgil, 1996; Autio, 2005; Rialp et
al., 2005).
近几十年来，研究中小企业国际化
主要集中在西部经济背景（
oviatt
和麦克杜格
尔，
1999
，
2005
；
骑士和卡瓦斯基尔，
1996
，
视频；
2005
；
rialp
等人。
，
< br>2005
）
。
With respect to Chinese
firms, there are limited researches on its
internationalization. Although a
great
number
of
studies
focused
on
Chinese
firm?s
internationalization,
mostly
has
centered
on
large-scale,
mature
multinational
enterprises
(Deng,
2004;
Warner,Ng
and
Xu,
2004
;Child
and
Rodrigues, 2005).
就中国企业而言，
对它的国际化只有非常有限的研究。
虽然
有大量的研究集中在
中国企业的国际化，但是大多集中在大规模的，成熟的跨国企业（邓
，
2004
；
华纳，和徐，
2004
；儿童和罗德里格，
2005
）。
Chinese
SME
as
a
major
contributor
to
national
economic
growth,
however,
there
are
scant
research on the SMEs?
internationalization in China.
中国中小企业作为国家的经济增长的主要贡献者，
无论如何，
< br>中小企业的国际化在中国的只
有很少有研究。
The recent empirical research
summarized in Table 1 to show the Chinese SMEs
research gap.
最近的实证研究总结在表
1
中显示了中国中小企业的研究差距
Table 1 Empirical research summary
表
1
实证研
究综述
Empirical
study in internationalization of Chinese
enterprises
在中国企业国际化的实证研究中
Author(s) Topic of
主题
Study
Theoretical Framework Key Findings
研究理论框架和主要结果
Child,
J.
and
Rodrigues,
S.B.
(2005)
MNCs
Institutional
perspective
Examined
the
patterns
of
internationalization by prominent
market-seeking Chinese firms.
Child, J. and Rodrigues,
S.B. (2005)
跨国公司通过卓越的中国企业寻求市
场制度化来检查国
际化的模型。
Found
that
Chinese
firms
are
seeking
technological
and
brand
assets
to
create
a
competitive
position in
international market.
发现在国际
市场中国企业有寻求技术和品牌资产的创造竞争优势。
While
mainstream
theory
tends
to
assume
that
firms
internationalize
to
exploit
competitive
advantages.
虽然主流理论倾向于认为，国际化企业的开拓竞争优势。
Found
that
Chinese
firms
are
engaging
in
?inward?
internationalization
by
means
of
original
equipment manufacturer (OEM) and joint
venture partnerships, and ?outward?
internationalization
by means of
acquisition and organic expansion abroad.
发现中国企业从事的内向国际化的方式是原始设备制造商（贴
牌）和合资伙伴，
而外向国际化的方式是收购和有机的海外扩张。
Rui.H and Yip,G.S.
(2008)
MNCs,
OFDI
OLI,
Institutional
perspective
Chinese
firms
strategically
use
cross-border
acquisitions
to
achieve
goals,
such
as
acquiring
strategic
capabilities
to
offset
their
competitive
disadvantages
and
leveraging
their
unique
ownership
advantages,
while
making
use
of
institutional incentives
and minimizing institutional constrains.
（
2008
）跨国公司对外直接投资的动因，制度视角，中国企业用跨国并购的战
略来实现目标，<
/p>
如在利用制度激励与制度约束的最小化的同时，
获取战略能力来<
/p>
抵消竞争劣势，利用其独特的优势。
Buckley,P. et al.(2007) MNCs, OFDI OLI,
Institutional perspective
Buckley,P. et al.
（
2007
）跨国公司对外直接投资，制度视角
The
study
investigated
the
determinants
of
Chinese
outward
direct
investment
and
extent
to
which
three special explanations (capital market
imperfections, special ownership advantages and
institutional factors) need to be
nested within the general theory of the
multinational firm.
这项研究调查是关于中国对外直接投资和程
度上三个特殊的解释
（资本市场的不
完善，
特殊的所有权优势和体制因素）
需要被嵌套在跨国公司的一般理论的决定
因素。
Luo,X
et al. (2005) Transition economy Entrepreneurship
Examined corporate entrepreneurship in
an emerging economy of china, the
research proposes and substantiate an integrative
framework
that characterized
determinants for corporate entrepreneurship
(institutional, organization-specific,
and
strategic
market
factors)
and
consequences
of
entrepreneurship
(sales
growth
and
market
share performance).
Luo,X et al. (2005)
< br>转型经济创业研究中国的一个新兴的创业公司，研究提出和证实
了一个综合框架的
特点决定了创业企业（机构，具体组织，和战略市场因素）和
创业的后果（销售增长和市
场份额的性能）。
Found
that
internationalization,
firm
size
and
age,
and
market
orientation
all
impact
on
the
practice of corporate entrepreneurship,
which in turn contributes to superior performance.
发现，
国际化，
企业规模和年龄，
以及市场取
向这些都会在企业的创业精神的实
践上有影响，而这反过来又有助于优越性能。
Found that the
Chinese firms appear to be integrating
institutional changes and market-oriented
activities to facilitate organizational
growth.
发现中国公司似乎是以整合的体制变化和以
市场为导向的活动来促进组织的成
长。
Liu,X. et al. (2005) MNCs,
OFDI OLI, Institutional perspective
Liu,X. et al.
（
2005
）跨国公司对外直接投资的动因，制度视角
This
study
suggested
three
theoretical
developments
in
relation
to
first,
the
alleged
needs
to
accommodate new variables specific to
transition and developing economies;
本研
究提出了三个有关的理论发展，
第一，
所谓的需要适应新的具体
的变量的过
渡时期和发展中经济；
second,
the
necessity
for
other
refinements
to
the
IDP
hypothesis
that
should
apply
to
all
countries;
其次，需要其他适用于所有国家的改进计划的假设；
third, the
theoretical need to accommodate interdependence
and co-movement between variables.
第三，理论需要适应变量之间的相互依存以及一体化。
Erdener,C. and Shapiro,D.
M. (2005) Large-scale CFEs OLI The paper applied
Dunning's eclectic
paradigm of OLI
advantages to the international activity and
performance dynamics of the CFE.
Erdener,C.
and
Shapiro,D.
M.
(20
05)
大范围的进修学院是
运用邓宁的折中范例学院优势
来做国际活动和动力学性能的进修学院
Found
that
the
CFE
is
analytically
distinct
from
other
kinds
of
firms
with
respect
to
OLI
advantages.
发现进修学院因尊重学院优势而有别于其他类型的公司。
Yang,M.
(2009) MNEs, Cross-border M&As,
Isomorphism Institutional perspective
（
2009
）跨国公司，跨国并购，同构的制度视角
The paper draw on
institutional theory to examine whether
isomorphism and mimetic, coercive,
and
normative
mechanisms
apply
to
cross-
border
mergers
and
acquisitions
initiated
by
Chinese
firms.
本文借鉴新制度理论来研究同构和模仿、
强制性以及规范机制是
否适用于跨国并
购发起的中国公司。
The results of this study indicate that
the degree of conformity in cross-border M&As
decreases
over time and not all
strategic choices of cross-border M&As react to
the forces of conformity in
the same
way.
这项研究的结果表明，
一
定程度的整合并购随时间推移会以相同的方式影响整合
的力量，而不是所有的跨国并购战
略选择。
Factors
that significantly affect the degree of conformity
include the experiences of failure other
firms in the industry, regulatory
changes, and membership or entry into the WTO.
重要的因素影响着整合程度包括其他企业在该行业失败的经验
，监管政策的变
化，和会员或加入世贸组织。
Schü
ler-Zhou,Y.
and Schü
ller,M.
(2009) MNEs, OFDI,
Schü
ler-Zhou,Y.
and Schü
ller,M.
（
2
009
）跨国企业，对外直接投资
Cross-border M&As institution-based,
跨国并购制度，
resource-
based
view,
latecomer
The
paper
based
on
the
Dealogic
database
instead
of
China?s
official statistics to explore the
pattern of Chinese OFDI in general and cross-
border mergers &
acquisitions (M&As) in
particular.
基于资源的观点，
最后本文以数据库为基础来代替中国官方统计去探索在一般和
跨国兼并收购（并
购）中中国对外直接投资的模式的特别。
The results indicated that the growth
of China?s OFDI has not been as fast as expected,
while the
development of cross-border
M&As has been very impressive.
结果表明，
在跨国并购的发展已经非常可观的同时中国对外直接投资的增长并没
有预期的那样快。
Second, although official OFDI
statistics reveal that Asia remains the most
important investment
destination, our
M&A data analysis shows that the developed
countries in the West have attracted
most Chinese cross-border
M&A investments.
其次，
虽然官方对外直接投资的统计数字显示，
亚洲仍然是最重要的投资目的地，
而我们的并购数据分析表明，西方发达国家已经吸引了大多数中国跨国并购投
资。
Third,
in
contrast
to
the
official
OFDI
statistics,
the
findings
reveal
a
heavy
concentration
of
M&As in mining and
manufacturing.
第三，不同的官方对外直接投资统计，结果表明高度的
并购在采矿业和制造业。
Finally,
the
cross-border
M&A
data
suggest
that
Chinese
companies
predominantly
seek
high-level equity participation in the
acquired target companies abroad.
最后，
跨国并购的数据显示，
中国公司主要是寻
求在国外的目标收购公司的高层
次股权参与。
Empirical study in
internationalization of SMEs
在中小企业国际化经营的实证研究
Author(s) Topic of Study Theoretical
Framework Key Findings
作者研究话题是理论框架，主要调查结果
Coviello, N.E. and Munro,
H.J., (1995) SMEs Network Found foreign market
selection and entry
initiatives come
from opportunities created through formal and
informal network contacts.
科维洛，东北与蒙罗，学者，（
1995
）中小企业网络发现国
外市场选择和进入
的倡议来自通过正式和非正式的网络联系的机会创造。
Found network
relationships facilitate rapid growth and actively
influence the internationalization
process and growth pattern of the small
software firm.
发现网络关系，
促进快速增长和对小软件公司的国际化进程和增长方式有积极影
响。
Found
small
software
firms
rely
on
network
relationships
for
marketing-related
activities
in
foreign markets.
发现小软件公司在国外市场营销活动是依靠网络关系。
Coviello, N.E. and McAuley,
A. (1999) INVs Stage model
Coviello, N.E. and McAuley, A.
（
1999
）投资阶段模型
Network The
internationalization process of small software
firms reflects an accelerated version of
the
stage
model
perspective,
and
is
driven,
facilitated,
and
inhibited
by
a
set
of
formal
and
informal network
relationships.
小软件公司的国际化网络进
程反映了由一系列正式和非正式的网络关系观点，
并
带动，促进
和抑制的加速变化的阶段模型。
These
relationships
impact
foreign
market
selection
and
mode
of
entry,
as
well
as
product
development and market diversification
activities.
这些关系影响了国际市场的选择和
进入方式，以及产品的开发和市场多样化的活动
Chetty,S. and Agndal, H.
(2007) Internationalization mode
Chetty,S. and
Agndal, H.
（
2007
）国
际化模式
SMEs
Network Found that social capital influences a
firm to change its internationalization mode.
中小企业网络发现，社会资本会影响一个企业改变它的国际化
模式。
The roles of
social capital include the efficacy capital, the
serendipity role, and the liability role of
social capital.
社会资本的作用包括有效资
本，偶然作用，社会资本的责任作用。
These three roles
incorporate both the positive and the negative
aspects of social capital.
这三个作用将积极的和消极的社会资本方面合并了。
The liability role is the
most frequently observed form of social capital to
influence mode change.
责任作用是最常见的社会资本的形式来影响模式的转变。
The most frequent type of
mode change is toward a high-control
internationalization mode.
最常见的转变模式的类型是一种关于高控制下的国际化模式。
Freeman, S. Edwards, R.,
and Schroder, B. (2006) INVs Network The born-
global firms face three
key
constrains:
lack
of
economies
of
scale,
lack
of
resources
(financial
and
knowledge),
and
aversion to risk taking.
自由人士，
S. Edwards,
R., and Schroder, B. (2006)
The
born-global<
/p>
网络投资公司面临
三个主要的限制：缺乏规模经济，缺乏资源（金
融和知识），和回避风险考虑。
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