中国软件企业成长路径和影响因素的实证研究
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摘要
软件产业是中国经济发展的重要产业。近年来，中国软件企业在数量上发展很快，但大部分规模较小，普遍缺乏国际竞争力。了解中国软件企业的成长特性将有助于我们促进中国软件产业乃至整个中国经济的发展。本论文将通过对中国软件企业成长表现的考察与比较，总结中国软件企业的主要成长路径，并分析在不同成长路径下企业成长的关键影响因素，特别是企业内部的资源和胜任。
本文采用了实地调研和案例分析的研究方法。作者对北京、济南和西安的24家软件企业及6家软件业相关单位进行了实地调研和访谈，调研的结果表明，中国的软件企业主要有基础软件商、应用软件商、系统集成商、专业加工者四种成长路径。文中建立了软件企业成长模型，用三个维度：软件产品化程度（开发活动特性）、软件服务化程度（用户参与度）、软件产品技术特性去描述这四种成长路径。
软件企业的成长受外部环境、战略、企业内部资源和胜任等多个因素的影响。由于技术和市场特性不同，不同的成长路径软件企业的成长关键影响因素有很大差异。本文根据所建立的软件企业成长阶段模型，分析了不同成长路径所具有的不同的技术和市场特性，从理论上演绎了各个影响因素对不同类型软件企业成长的作用程度。特别对于企业内部的资源和胜任，文中从营销和销售技能、合作活动能力、人力资源和管理能力、技术和管理能力四个管理领域分析了企业成长的关键胜任要素，并通过对两个软件企业的过程性案例研究深入分析了企业胜任在不同成长阶段的演进。
本文认为，企业必须认识到不同成长路径中所需企业胜任的差异，而将资源有效地配置到最重要的组织能力发展中去。在成长的过程中，企业需要不断发展和更新组织能力以适应不同成长阶段业务特性的变化。而政府应当有针对性地为软件企业创造有利的外部环境，并通过其他各种手段促进不同成长路径软件企业关键组织能力的发展。
Software industry is an important industry for the development of Chinese economy. In recent years, the Chinese software companies have increased quickly in term of numbers, but most of them are small and non-competitive. Knowing the nature of software companies' growth will help us promote the development of Chinese software industry and the whole economy. This paper is aimed at improving our understanding of software companies' growth, summarizing the major growth paths of Chinese software companies, and analysing the key factors in different growth paths, especially the internal resources and competencies of companies.
This empirical study is based on on-site interviews and case studies. Researchers had interviewed 24 software companies and 6 related organizations in Beijing, Jinan and Xi'an. The results show that there are four major growth paths: fundamental software provider, application provider, system integrator, and professional coder. We designed a growth stage model of software companies, describing the growth paths with three dimensions: product degree (nature of software development activities), service degree (customer-involved degree), and technological nature of software products.
There are three groups of factors in the growth of software companies: external environment, strategy, and internal resources and competencies. Due to the difference on technology and market nature, the key factors of companies in different growth paths are not the same. Based on the software company growth stage model, this paper analysed the different technology and market nature of different growth paths, and determined the effects of various factors on software companies. In specific, we analysed the key elements of internal resources and competencies: marketing and sales skills, cooperative skills, human resources management skills, technology management skills, and researched the evolvement process of competencies through case studies.
Based on above analysis, we suggest that software companies need to understand the different competencies needed in various growth paths, and allocate resources into the development of the core competencies. In the course of growth, companies need to develop and update capabilities continuously in order to adapt to the changing business natures in stages. In addition, the government should create customized policies for companies in different growth paths to promote the development of the key capabilities.
本文采用了实地调研和案例分析的研究方法。作者对北京、济南和西安的24家软件企业及6家软件业相关单位进行了实地调研和访谈，调研的结果表明，中国的软件企业主要有基础软件商、应用软件商、系统集成商、专业加工者四种成长路径。文中建立了软件企业成长模型，用三个维度：软件产品化程度（开发活动特性）、软件服务化程度（用户参与度）、软件产品技术特性去描述这四种成长路径。
软件企业的成长受外部环境、战略、企业内部资源和胜任等多个因素的影响。由于技术和市场特性不同，不同的成长路径软件企业的成长关键影响因素有很大差异。本文根据所建立的软件企业成长阶段模型，分析了不同成长路径所具有的不同的技术和市场特性，从理论上演绎了各个影响因素对不同类型软件企业成长的作用程度。特别对于企业内部的资源和胜任，文中从营销和销售技能、合作活动能力、人力资源和管理能力、技术和管理能力四个管理领域分析了企业成长的关键胜任要素，并通过对两个软件企业的过程性案例研究深入分析了企业胜任在不同成长阶段的演进。
本文认为，企业必须认识到不同成长路径中所需企业胜任的差异，而将资源有效地配置到最重要的组织能力发展中去。在成长的过程中，企业需要不断发展和更新组织能力以适应不同成长阶段业务特性的变化。而政府应当有针对性地为软件企业创造有利的外部环境，并通过其他各种手段促进不同成长路径软件企业关键组织能力的发展。
Software industry is an important industry for the development of Chinese economy. In recent years, the Chinese software companies have increased quickly in term of numbers, but most of them are small and non-competitive. Knowing the nature of software companies' growth will help us promote the development of Chinese software industry and the whole economy. This paper is aimed at improving our understanding of software companies' growth, summarizing the major growth paths of Chinese software companies, and analysing the key factors in different growth paths, especially the internal resources and competencies of companies.
This empirical study is based on on-site interviews and case studies. Researchers had interviewed 24 software companies and 6 related organizations in Beijing, Jinan and Xi'an. The results show that there are four major growth paths: fundamental software provider, application provider, system integrator, and professional coder. We designed a growth stage model of software companies, describing the growth paths with three dimensions: product degree (nature of software development activities), service degree (customer-involved degree), and technological nature of software products.
There are three groups of factors in the growth of software companies: external environment, strategy, and internal resources and competencies. Due to the difference on technology and market nature, the key factors of companies in different growth paths are not the same. Based on the software company growth stage model, this paper analysed the different technology and market nature of different growth paths, and determined the effects of various factors on software companies. In specific, we analysed the key elements of internal resources and competencies: marketing and sales skills, cooperative skills, human resources management skills, technology management skills, and researched the evolvement process of competencies through case studies.
Based on above analysis, we suggest that software companies need to understand the different competencies needed in various growth paths, and allocate resources into the development of the core competencies. In the course of growth, companies need to develop and update capabilities continuously in order to adapt to the changing business natures in stages. In addition, the government should create customized policies for companies in different growth paths to promote the development of the key capabilities.
引文
[1] Alajoutsij?rvi K, Mannermaa K, Tikkanen H. Customer Relationships and the Small Software Firm: A Framework for Understanding Challenges Faced in Marketing. Information & Management, 2000, Vol. 37, Issue 3, 153-159
[2] Anchordoguy M. Japan's Software Industry: A Failure of Institutions? Research Policy, 2000, Volume: 29, Issue: 3, 391-408
[3] Andrews, K. The concept of Corporate Strategy. Homewood, I1.: Richard D. Irwin, Inc, 1987/1971
[4] Arora A, Arunachalam V S. The Globalization of Software: The Case of Indian Software Industry. Final Report, Software Industry in India Project Team, Carnegie Mellon University, 2000
[5] Barney J. Firm Resources and Sustained Competitive Advantage. Journal of Management, 1991, vol. 17. no. 1, 99-120
[6] Chandler A D. Strategy and Structure: Chapters in the History of the American Industrial Enterprise. Cambridge, Mass.: The MIT Press, 1962
[7] --The visible Hand: The Managerial Revolution in American Business. Cambridge. Mass.: The Belknap Press of Harvard University Press, 1977. 中译本：看得见的手：美国企业的管理革命. 商务印书馆，1987
[8] --Scale and Scope: The Dynamics of Industrial Capitalism. Cambridge. Mass.: The Belknap Press of Harvard University Press, 1990. 中译本：企业规模经济与范围经济：工业资本主义的原动力，中国社会科学出版社，1999
[9] Churchill N C, Virginia L L. The Five Stages of Small Business Growth. Harvard Business Review, 1983, vol. 61, issue 3, 30-50
[10] Coase R. The Nature of the Firm. The Economics N. S., 1937, vol. 4, 386-405
[11] Cooper A C. Initial Human and Financial Capital as Predictors of New Venture Performance. Journal of Business Venturing, 1994, vol. 9, 371-395
[12] Cottrell T. Standards and the Arrested Development of Japan's Microcomputer Software Industry. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure, New York: Oxford University Press, 1996
[13] Dierickx I, Karel C. Asset Stock accumulation and the Sustainability of Competitive Advantage. Management Science, 1989, vol.35, no. 12, 1504-1511
[14] Eisenhardt K M, Schoonhoven C B. Organizational Growth: Linking Founding Team, Strategy, Environment and Growth Among US Semiconductor Venture 1978-1988. Administrative Science Quarterly, 1990, vol. 35, 504-529
[15] Galbraith J. The Stages of Growth. Journal of Business Strategy, 1982, vol. 3, issue 1, 70-79
[16] Greiner L E. Evolution and Revolution as organizations grow. Harvard Business Review, 1972, vol. 50, issue 4, 37-46
[17] Hanks S H. Tightening the Life-Cycle Construct: A Taxonomic Study of Growth Stage Configurations in High-Technology Organizations. Entrepreneurship Theory and Practice, 1993, vol. 18, issue 2, 5-29
[18] Hoch D J, Roeding C R, Purkert G and Lindner S K. Secrets of software Success: Management Insights from 100 Software Firms Around the World, Cambridge: HBS Press,1999. 中译本：软件业的成功奥秘：麦肯锡公司揭示全球100家软件企业的管理之道. 上海远东出版社，2001
[19] Langlois R N, Mowery D C. The Federal Government Role in the Development of the U.S. Software Industry. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press, 1996
[20] Kotabe M, Swan K S. The Role of Strategic Alliances In High-Technology New Product Development. Strategic Management Journal, 1995, vol. 16, no. 8, 621-636
[21] Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press. 1996
[22] ——The Computer Software Industry. In: Mowery D C, Richard R N, eds. Sources of Industrial Leadership: Studies of Seven Industries. Cambridge University Press, 1999
[23] Nambisan S. Software firm evolution and innovation-orientation. Journal of Engineering and Technology Management, 2002, vol. 19, 141-165
[24] Nelson R R, Sidney W. An Evolutionary Theory of Economic Change, Cambridge. Mass.: The Belknap Press of Harvard University Press, 1982. 中译本：经济变迁的演化理论. 商务印书馆，1997
[25] Nelson R R. Why Do Firms Differ, and How Does It Matter? Strategic Management Journal, 1991, vol. 12, winter, 61-74
[26] Penrose E. The Theory of the Growth of the Firm. New York: Oxford University Press, 1995/1959
[27] Porter M. Competitive Strategy, New York: Free Press, 1980. 中译本：竞争战略. 华夏出版社，1997
[28] Prahalad C K, Hamel G. The Core Competence of the Corporation. Harvard Business Review, 1990, May-June, 79-91
[29] Richardson G B. The Organization of Industry. The Economic Journal, 1972, September, 883-896
[30] ——Economic Analysis, Public Policy and the Software Industry. DRUID Working Paper 1997, No. 97-4
[31] Saxenian A. Regional Adnantage: Culture and Competition in Silixon Valley and Route 128. Cambridge: Harvard University Press, 1994
[32] Schumpeter J. Capitalism, Socialism and Democracy. New York: Harper&Row, 1975/1942
[33] Sepp?nen V. Evolution of competence in software subcontracting projects. International Journal of Project Management, 2002, Vol. 20, Issue 2, 155-164
[34] Shan W. An Empirical Analysis of Organizational Strategies By Entrepreneurial High-technology Firms. Strategic Management Journal, 1990, vol. 11, no. 2, 129-139
[35] Steinmueller W E. The U.S. Software Industry: An Analysis and Interpretive History. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press, 1996
[36] Teece D, Pisano G, Shuen A. Dynamic Capabilities and Strategic Management. Strategic Management Journal, 1997, vol. 18, no.7, 509-533
[37] Torrisi S. Firm Specialisation and Growth: A study of the European Software Industry. Liuc Papers, 1996, Serie Economia e Impresa 9
[38] Tschang T. The Basic Characteristics of Skills and Organizational Capabilities in the Indian Software Industry. International Experts Seminar, ADB Institute, 2001
[39] Wernerfelt B. A Resource - Based View of the Firm. Strategic Management Journal, 1984, vol. 5, 171-180
[40] Williamson O. The Economic Institutions of Capitalism. New York: The Free Press, 1985
[41] Yasunori B, Takai S, Mizuta Y. The User-Driven Evolution of the Japanese Software Industry: The Case of Customized Software for Mainframes. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press, 1996
[42] Zahra S, Bogner W. Technology Strategy and Software New Ventures' Performance. Journal of Business Venturing, 1999, vol. 15, 137-173
[43] 曹霞，唐元虎. 中印软件产业发展比较研究. 上海经济研究，2001.10, 15-21
[44] 林竹. 中国软件产业发展历程. 中国高新技术企业，2001.3, 24-28
[45] 路风. 动态企业理论的发展. 国际经济评论，2000.5，46-51
[46] ——从结构到组织能力：钱德勒的历史性贡献. 世界经济，2001.7，61-76
[47] ——寻求加入WTO后中国企业竞争力的源泉——对宝钢在汽车板市场赢得竞争优势过程的分析. 管理世界，2002.2，110-127
[48] 苏俊, 等. 中国、印度软件产业对比及我国软件产业发展对策研究. 清华大学学报（哲学社会科学版），2000.1, 31-38
[49] 王聪，李军. 我国软件产业发展的现状、问题与对策. 中国工业经济，2000.8, 25-30
[50] 袁德磊. 中、印软件产业比较及发展我国软件产业的对策研究. 中国科技产业，2001.12, 32-37
[51] 张淑奇，蒋华. 关于发展我国软件产业的几点思考. 中国软科学，2001.3, 42-47
[52] 赵玮，姚辉. 论软件企业竞争优势. 技术经济与管理研究，2001, 28-34
[53] 中国软件行业协会. 2001年度中国软件产业研究报告. 2001
[1]
[2] Anchordoguy M. Japan's Software Industry: A Failure of Institutions? Research Policy, 2000, Volume: 29, Issue: 3, 391-408
[3] Andrews, K. The concept of Corporate Strategy. Homewood, I1.: Richard D. Irwin, Inc, 1987/1971
[4] Arora A, Arunachalam V S. The Globalization of Software: The Case of Indian Software Industry. Final Report, Software Industry in India Project Team, Carnegie Mellon University, 2000
[5] Barney J. Firm Resources and Sustained Competitive Advantage. Journal of Management, 1991, vol. 17. no. 1, 99-120
[6] Chandler A D. Strategy and Structure: Chapters in the History of the American Industrial Enterprise. Cambridge, Mass.: The MIT Press, 1962
[7] --The visible Hand: The Managerial Revolution in American Business. Cambridge. Mass.: The Belknap Press of Harvard University Press, 1977. 中译本：看得见的手：美国企业的管理革命. 商务印书馆，1987
[8] --Scale and Scope: The Dynamics of Industrial Capitalism. Cambridge. Mass.: The Belknap Press of Harvard University Press, 1990. 中译本：企业规模经济与范围经济：工业资本主义的原动力，中国社会科学出版社，1999
[9] Churchill N C, Virginia L L. The Five Stages of Small Business Growth. Harvard Business Review, 1983, vol. 61, issue 3, 30-50
[10] Coase R. The Nature of the Firm. The Economics N. S., 1937, vol. 4, 386-405
[11] Cooper A C. Initial Human and Financial Capital as Predictors of New Venture Performance. Journal of Business Venturing, 1994, vol. 9, 371-395
[12] Cottrell T. Standards and the Arrested Development of Japan's Microcomputer Software Industry. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure, New York: Oxford University Press, 1996
[13] Dierickx I, Karel C. Asset Stock accumulation and the Sustainability of Competitive Advantage. Management Science, 1989, vol.35, no. 12, 1504-1511
[14] Eisenhardt K M, Schoonhoven C B. Organizational Growth: Linking Founding Team, Strategy, Environment and Growth Among US Semiconductor Venture 1978-1988. Administrative Science Quarterly, 1990, vol. 35, 504-529
[15] Galbraith J. The Stages of Growth. Journal of Business Strategy, 1982, vol. 3, issue 1, 70-79
[16] Greiner L E. Evolution and Revolution as organizations grow. Harvard Business Review, 1972, vol. 50, issue 4, 37-46
[17] Hanks S H. Tightening the Life-Cycle Construct: A Taxonomic Study of Growth Stage Configurations in High-Technology Organizations. Entrepreneurship Theory and Practice, 1993, vol. 18, issue 2, 5-29
[18] Hoch D J, Roeding C R, Purkert G and Lindner S K. Secrets of software Success: Management Insights from 100 Software Firms Around the World, Cambridge: HBS Press,1999. 中译本：软件业的成功奥秘：麦肯锡公司揭示全球100家软件企业的管理之道. 上海远东出版社，2001
[19] Langlois R N, Mowery D C. The Federal Government Role in the Development of the U.S. Software Industry. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press, 1996
[20] Kotabe M, Swan K S. The Role of Strategic Alliances In High-Technology New Product Development. Strategic Management Journal, 1995, vol. 16, no. 8, 621-636
[21] Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press. 1996
[22] ——The Computer Software Industry. In: Mowery D C, Richard R N, eds. Sources of Industrial Leadership: Studies of Seven Industries. Cambridge University Press, 1999
[23] Nambisan S. Software firm evolution and innovation-orientation. Journal of Engineering and Technology Management, 2002, vol. 19, 141-165
[24] Nelson R R, Sidney W. An Evolutionary Theory of Economic Change, Cambridge. Mass.: The Belknap Press of Harvard University Press, 1982. 中译本：经济变迁的演化理论. 商务印书馆，1997
[25] Nelson R R. Why Do Firms Differ, and How Does It Matter? Strategic Management Journal, 1991, vol. 12, winter, 61-74
[26] Penrose E. The Theory of the Growth of the Firm. New York: Oxford University Press, 1995/1959
[27] Porter M. Competitive Strategy, New York: Free Press, 1980. 中译本：竞争战略. 华夏出版社，1997
[28] Prahalad C K, Hamel G. The Core Competence of the Corporation. Harvard Business Review, 1990, May-June, 79-91
[29] Richardson G B. The Organization of Industry. The Economic Journal, 1972, September, 883-896
[30] ——Economic Analysis, Public Policy and the Software Industry. DRUID Working Paper 1997, No. 97-4
[31] Saxenian A. Regional Adnantage: Culture and Competition in Silixon Valley and Route 128. Cambridge: Harvard University Press, 1994
[32] Schumpeter J. Capitalism, Socialism and Democracy. New York: Harper&Row, 1975/1942
[33] Sepp?nen V. Evolution of competence in software subcontracting projects. International Journal of Project Management, 2002, Vol. 20, Issue 2, 155-164
[34] Shan W. An Empirical Analysis of Organizational Strategies By Entrepreneurial High-technology Firms. Strategic Management Journal, 1990, vol. 11, no. 2, 129-139
[35] Steinmueller W E. The U.S. Software Industry: An Analysis and Interpretive History. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press, 1996
[36] Teece D, Pisano G, Shuen A. Dynamic Capabilities and Strategic Management. Strategic Management Journal, 1997, vol. 18, no.7, 509-533
[37] Torrisi S. Firm Specialisation and Growth: A study of the European Software Industry. Liuc Papers, 1996, Serie Economia e Impresa 9
[38] Tschang T. The Basic Characteristics of Skills and Organizational Capabilities in the Indian Software Industry. International Experts Seminar, ADB Institute, 2001
[39] Wernerfelt B. A Resource - Based View of the Firm. Strategic Management Journal, 1984, vol. 5, 171-180
[40] Williamson O. The Economic Institutions of Capitalism. New York: The Free Press, 1985
[41] Yasunori B, Takai S, Mizuta Y. The User-Driven Evolution of the Japanese Software Industry: The Case of Customized Software for Mainframes. In: Mowery D C eds. The International Computer Software Industry: A Comparative Study of Industry Evolution and Structure. New York: Oxford University Press, 1996
[42] Zahra S, Bogner W. Technology Strategy and Software New Ventures' Performance. Journal of Business Venturing, 1999, vol. 15, 137-173
[43] 曹霞，唐元虎. 中印软件产业发展比较研究. 上海经济研究，2001.10, 15-21
[44] 林竹. 中国软件产业发展历程. 中国高新技术企业，2001.3, 24-28
[45] 路风. 动态企业理论的发展. 国际经济评论，2000.5，46-51
[46] ——从结构到组织能力：钱德勒的历史性贡献. 世界经济，2001.7，61-76
[47] ——寻求加入WTO后中国企业竞争力的源泉——对宝钢在汽车板市场赢得竞争优势过程的分析. 管理世界，2002.2，110-127
[48] 苏俊, 等. 中国、印度软件产业对比及我国软件产业发展对策研究. 清华大学学报（哲学社会科学版），2000.1, 31-38
[49] 王聪，李军. 我国软件产业发展的现状、问题与对策. 中国工业经济，2000.8, 25-30
[50] 袁德磊. 中、印软件产业比较及发展我国软件产业的对策研究. 中国科技产业，2001.12, 32-37
[51] 张淑奇，蒋华. 关于发展我国软件产业的几点思考. 中国软科学，2001.3, 42-47
[52] 赵玮，姚辉. 论软件企业竞争优势. 技术经济与管理研究，2001, 28-34
[53] 中国软件行业协会. 2001年度中国软件产业研究报告. 2001
[1]