外文翻译--中小型企业的国际化和国际企业经营：一个评论和政策影响

本科毕业论文外文翻译
外文题目：Internationalization of Small and Medium-sized Enterprises (SMEs) and International Entrepreneurship: A Critique and Policy Implications
出处：Regional Studies
作者：MIKE WRIGHT,PAUL WESTHEAD AND DENIZ UCBASARAN
原文：
WRIGHT M., WESTHEAD P. and UCBASARAN D. (2007) Internationalization of small and medium-sized enterprises (SMEs) and international entrepreneurship: a critique and policy implications, Regional Studies 41, 1013–1029. Practitioners are seeking to provide a supportive environment for growing ventures. An important policy challenge is the provision of support for small and medium-sized enterprises (SMEs) seeking to internationalize. To guide practitioner resource allocation decisions, recent conceptual and empirical developments relating to SME internationalization are discussed. An international entrepreneurship perspective is presented as a counterpoint to the established internationalization perspectives, which may have guided practitioner understanding of the aspirations and needs of SMEs. The emerging international entrepreneurship perspective relating to SME internationalization is critically reviewed with regard to the following seven themes: the timing of internationalization; the intensity and sustainability of internationalization; the mode of internationalization; the influence of the domestic environmental context on internationalization; the leveraging of external resources to internationalize; the unit of analysis (i.e. the firm or the entrepreneur); and the effect of internationalization on SME performance. Assuming an interventionist stance, a case for more balanced policy support towards SME internationalization is suggested that takes into account the diversity of SMEs (and entrepreneurs) that operate, or are capable of operating, in foreign markets. Implications for policy and researchers are present。

THEMES SURROUNDING THE INTERNATIONALIZATION OF SMALL AND
MEDIUM-SIZED ENTERPRISES
Theme 1: Timing of internationalization
The timing of internationalization is an important distinguishing factor between traditional internationalization studies and international entrepreneurship studies. Within the latter theoretical perspective, international new venture (INV) theorists guided by strategic choice theory and learning/knowledge theory question the stage model theory, and suggest that many new private SMEs can internationalize from the inception of business operations (AUTIO et al., 2000).
INVS are viewed as organizations that, from inception, seek to derive significant competitive advantage from the use of resources and the sale of output to multiple countries. Moreover, INV theorists assert that many firms no longer regard international markets as simple adjuncts to the
domestic market. SMEs with specific competitive advantages linked to their technological level and product and/or service characteristics may be alert to opportunities in international markets from the outset (OVIATT and MCDOUGALL, 1994, 1997).These opportunity-driven firms, therefore, do not follow an incremental internationalization path (BELL et al., 2001). Firms that internationalize from the outset may be associated with the asset of newness. Most notably, new SMEs do not have to unlearn procedures focused on developing a domestic market presence (AUTIO et al., 2000). MCDOUGALL et al. (1994) asserted that international entrepreneurs try to avoid domestic path-dependence by establishing ventures that have routines for managing multicultural workforces, for coordinating resources located in different nations, and for targeting customers in multiple geographic locations simultaneously.
Theme 2: Intensity and sustainability of internationalization
International entrepreneurship scholars have highlighted the importance of more dynamic aspects associated with the acquisition and assimilation of new knowledge (ZAHRA et al., 2000; DE CLERQ et al., 2005). AUTIO et al. (2000), for example, found that the growth in international sales reported by SMEs was associated with earlier initiation of internationalization, and greater knowledge intensity related to learning behaviour. A development of stage model theory is exhibited by the latter theorists who appreciate the role of knowledge and learning as well as entrepreneurial strategic choice. The implicit implication from the latter studies is that more knowledgeable firms and firms that have learnt from their successes (i.e. intelligent learning from mistakes) will increase their commitment to internationalization.
Theme 3: Mode of internationalization
The mode of internationalization selected by a firm is an important strategic choice that can influence its position in the selected markets, and its ability to gain access to vital information and acquire resources (HOLMLUND and KOCK, 1998). Firms can internationalize through a variety of modes (O’FARRELL et al., 1998), and each mode is associated with risk, control and cost issues that need to be considered by the SME. The most frequently cited modes by private SMEs relate to direct exporting without an overseas base, or establishing an overseas base through some form of FDI associated with a greenfield site, an acquisition or a joint venture. Stage model theorists who suggest a unilinear evolutionary internationalization process, with incremental stages and a well-defined mode of internationalization at each stage, have attracted extensive criticism (BELL et al., 2004).
Studies focusing on new technology-based firms suggest that they are able to develop networks that raise the probability of selecting a joint venture to enter the foreign market (DANA and WRIGHT, 2004).Growing enthusiasm for internationalization by new technology-based firms has led to a general perception that all SMEs, irrespective of industrial activity, can enter foreign markets through FDI (EIM, 2005).However, this mode may only be applicable to the internationalization of a small subsample of private SMEs engaged in knowledge and technology-based activities.
O’FARRELL et al. (1998) suggested that the internalization/transaction cost framework of internationalization is inappropriate when exploring business services SMEs. This is because business services firms require an understanding of what is required best to support collaboration with clients. Moreover, they suggested that the transaction cost framework is unable to handle complex choices among alternative modes, and it is difficult to differentiate between experienced
and inexperienced business service firms.
The modes of entry into foreign markets are likely to differ on key dimensions such as the amount of resource commitment, the extent of risk, the potential for returns and the degree of managerial control. Some modes of entry involve higher levels of commitment and higher transaction costs and costs relating to acquiring resources. ZAHRA et al. (2000) found important relationships between the international mode of entry and learning in new high-technology ventures. Most notably, they detected that foreign acquisitions and other higher control modes of entry facilitated greater breadth and speed of technological learning than low control modes such as international export and licensing agreements. However, these modes may not be appropriate for all SMEs that internationalize.
Theme 4: Influence of domestic environmental context on internationalization
Theme 4 arises from the notion that firms accumulate resources in domestic markets and they can leverage these resources (and learning) to internationalize their fi rm’s activities (WIEDERSHEIM-PAUL et al., 1978).Resource-based theorists suggest that some firms gain a competitive advantage based on the quality and distinctiveness of their products and/or services rather than low price alone. These advantages can accrue to individual SMEs when many firms specializing in the various levels of the production chain are clustered together in a particular geographical locality. Certain localities may, therefore, acquire a global strength that enables individual SMEs located in the cluster to leverage a broad range of resources (i.e. legitimacy, technological and marketing knowledge, brand name, etc.) that can be used to circumvent obstacles to internationalization. LE GALE ` S et al. (2001) suggested that local government or local business associations have an important role in supporting specialized clusters by facilitating the accumulation and spread of local collective competition goods, particularly knowledge, between various actors in the cluster.
Theme 5: Leveraging external resources to internationalize
Rather than focusing solely on the role of internal resources on a fi rm’s ability to enter foreign markets (BLOODGOOD et al., 1996; AUTIO et al., 2000), there may be benefits associated with viewing the firm as part of a network(s). From a resource-based perspective, being part of a network can provide external tangible and intangible resources that aid internationalization (DANA, 2001). These inter-firm relationships impact on both market selection and the internationalization mode utilized by SMEs. Networks may involve large and small firms in a symbiotic relationship that facilitates internationalization (DANA and WRIGHT, 2004). Evidence suggests that some SMEs find it difficult to market their activities to the global economy, even when local support agencies and associations try to develop their competencies. Barriers to internationalization can be circumvented when one or more large firms move into an area and make the connections from local to global with smaller firms becoming the suppliers of the corporate prime-movers (LE GALE ` S et al., 2004). Similarly, ACS et al. (1997) suggest that barriers to internationalization by SMEs can be circumvented by using larger multinational firms as international conduits for international expansion. SME internationalization can be facilitated when large firms provide designs, technology support, quality control mechanisms and established brand names. SMEs with smaller resource pools may, therefore, be able to borrow size (PHELPS et al., 2001) and resources from (larger) organizations located elsewhere.
To retain existing customers in domestic markets, SMEs with limited resources may be ‘pulled’ into foreign markets by the internationalization activities of larger network partners, such as domestic clients who have established relationships with organizations in foreign markets. In order to defend or maintain a position in a business network, a fi rm may be ‘pushed’into becoming an exporter, particularly if the major customers have entered foreign business networks. This is consistent with the ‘piggy-back’ mode of entry. Some SMEs internationalize because they are reactive exporters with a larger partner organization obtaining the contract to service foreign customers (O’FARRELL et al., 1996). By joining networks and forming alliances particularly with larger organizations SMEs can expand their social capital. SMEs can subsequently utilize knowledge (YLI-RENKO et al., 2002) and value-creating resources that cannot be created independently. However, there may be major constraints on the ability of some SMEs to develop broader social and business networks.
Theme 6: Unit of analysis (i.e. the firm or the entrepreneur)
Traditional internationalization theories exclusively focus on the firm as the unit of analysis. This literature may direct policy-maker attention toward firm issues to the detriment of entrepreneur issues who actually create and/or discover opportunities in foreign markets. Similarly, international entrepreneurship scholars purporting the INV perspective focus on the accumulation of knowledge by the firm rather than by the individual entrepreneur. Indeed, most international entrepreneurship studies generally fail to consider entrepreneur specific variables. Although AUTIO et al. (2000) considered owner-managed firms, they did not consider the internationalization experience of the entrepreneur. ZAHRA et al. (2000) considered internationalization experience but only at the firm level. However, during the early stages of private firm development, owner(s), no organization, characteristics play a pivotal role in shaping export performance (KUNDA and KATZ 2003). In many SMEs, the owner(s) is the key resource. They can accumulate human capital and social capital leading to industry and management know-how physical and financial capital needed to develop a venture; and the organizational capital that enables the competitive production of goods and services offered by a firm (BRUSH et al., 2002) in both domestic and international markets. It is reasonable to assume that entrepreneurs (and entrepreneurial teams) can acquire and leverage foreign business knowledge, foreign institutional knowledge and internationalization knowledge (ERIKSSON et al., 1997).
Theme 7: Effect of internationalization on SME performance
The view that internationalizing firms report superior performance is a widely received wisdom and can be regarded as theme 7. It is acknowledged here that this view is widely assumed although not directly stated (or validated) by many academics and practitioners (EIM, 2005). A review of the evidence, however, indicates no clear and consistent relationship between an SM E’s propensity to export and ability to report superior firm performance. There is no consensus surrounding how to measure internationalization performance (KATSIKEAS et al., 2000). The variety of performance indicators used makes comparison across studies difficult. Moreover, results may be affected by the sectors analysed and the time frames of analysis. Indeed, many studies have failed to consider inter-industry differences between non-exporters and exporters.
译文：
中小型企业的国际化和国际企业经营：一个评论和政
策影响
中小型企业的国际化和国际企业经营：一个评论和政策影响，区域研究41，1013–1029。

实践者正在寻求为企业发展提供一个有利的环境。

一个重要的政策挑战是为中小型企业寻求国际化提供支持。

为了指导从业者资源分配的决策，最近与中小企业国际化相关的概念和经验的发展进行了讨论。

一个国际企业家的观点是一个既定的国际化的对位角度，这可能指导从业者了解中小企业的愿望和需要。

正在形成与中小企业国际化相关的国际创业的观点是严格审查了关于以下七个主题：国际化的时机;国际化的强度和可持续性;国际化模式;国内的环境背景对国际化的影响; 外部资源利用国际化，单位分析（即企业或企业家），以及国际化对中小企业绩效的影响。

假设干预的立场，一个为中小企业提供更多平衡的政策建议的案例建议考虑到中小企业的多样性（企业家）的操作，或者是在国外市场经营能力。

政策和研究人员给出的启示。

围绕中小企业国际化的专题
主题一：国际化时机
国际化的时机是一个重要的区别传统的国际化研究和国际化企业家精神研究的因素。

在后一种理论的角度来看，国际新企业（INV）的理论指导下的战略选择理论与学习/知识理论问题的阶段模型理论，并提出许多新的私营中小型企业可以从企业国际化经营开始(AUTIO et al., 2000)。

INVS被视为从一开始，争取从资源利用和产出销售到多个国家带来巨大的竞争优势的组织。

此外，INV理论家断言，许多企业不再把国内市场作为国际市场的简单附属物。

与他们的技术水平和产品或服务联系的竞争优势特点的中小企业从一开始就对国际市场中的机会警觉(OVIATT and MCDOUGALL, 1994, 1997)。

因此这些机会驱动的企业，不遵循渐进式国际化道路(BELL et al., 2001)。

企业的国际化从一开始就可能与崭新的资产有关联。

最值得注意的是，新的中小企业没有忘记把发展集中在现有的国内市场上(AUTIO et al., 2000)。

MCDOUGALL et al. (1994) 宣称国际企业家尽量避免国内路径通过建立合资企业已在管理协调位于不同国家的多元文化的劳动力资源和程序，以及针对客户在多个地理位置的同时依赖。

主题二：国际化的强度和可持续性
国际创业学者都强调了与收购及相关的新知识同化相关的更具活力方面的重要性(ZAHRA et al., 2000 ; DE CLERQ et al., 2005). AUTIO et al. (2000) ，例如，发现在中小企业国际销售增长报告与先前相关的国际化起步和更大的知识密度与学习行为有关。

一个阶段模型理论被领会知识和学习的角色和企业战略选择的后面理论者表现出来。

后者研究隐含的含义是，知识化公司和企业已经从他
们的成功经验中学习（即从错误中学习）会增加他们的国际承诺。

主题三:国际化模式
被企业选择的国际化模式是一种在市场选择中可以影响它的位置的重要的战略选择,并有能力去获得必要的信息和获得资源(HOLMLUND AND KOCK,1998)。

企业可以通过多种方式国际化(O’FARRELL et al., 1998), 并且每一个模式下中小企业都是需要考虑风险、控制和成本之间的问题。

最常被引用的方式是被一些没有海外基地的民营中小企业用来直接出口的,或通过某种形式的外国直接投资相关的绿地网站、获得物或者合资企业建立海外基地。

建议使用直线发展的国际化程序的阶段模型理论者,用国际化进程递增阶段和在国际化的每个阶段一个定义明确的模式,吸引了广泛的争议(BELL et al., 2004)。

研究重点集中在建议科技型企业能够去发展网络,提高了他们选择一个合资企业进入外国市场的可能性(DANA and WRIGHT, 2004)。

越来越多的新技术为基础的积极的企业国际化，导致人们普遍认为所有中小型企业，无论工业活动，通过外国直接投资可以进入国外市场(外商EIM,2005)。

但是这种模式可能只适用于从事知识和技术型活动的民营中小企业中的一小部分进入国际化。

O’FARRELL et al. (1998)认为当以国际化角度探讨中小型企业的商业服务时，国际化交易成本国际化的框架是不恰当的。

这是因为商业服务公司需要去了解什么是必需的，去尽最大的努力去支持与客户的合作。

此外,他们认为运用交易成本框架是无法去处理在可供选择方案模式中的复杂选择，并且它是很难区分有经验的和没有经验的商务服务公司。

进入外国市场的模式可能在资源数量保证,在一定程度上的风险,潜在的回报,管理控制的程度上是不同。

一些涉及更高水平的承诺和更高的交易成本和相关的费用的进入方式去获取资源。

ZAHRA et al. (2000) 发现在进入国际化模式和在高新技术合资企业学习的重要关系。

最值得注意的是,他们发现海外并购和其他更高的进入控制模式比如国际出口和许可协议的低控制方式更容易促进更大的广度和速度去推动技术学习。

然而,这些模式可能并不适合所有的中小企业国际化。

主题四:国际化中国内环境的影响
主题四起因于公司准备在国内市场积累资源和他们认为可以利用这些资源(和学习)使企业的活动置于国际管理下的见解(WIEDERSHEIM-PAUL et al., 1978).资源基础理论家建议一些公司通过他们的产品或服务而不是低价来获得基于产品的质量和独特性的竞争优势。

这些优点归属于民营中小企业将许多公司专门从事各级生产链条聚集一个特定的地理位置。

因此,某些地方具备国际力量使民营中小企业集群去利用广泛的资源(如合法性、技术、营销知识、品牌等)可以用来规避国际化阻碍。

LE GALE ` S et al. (2001) 建议地方政府或当地商会在支持促进积累和当地集体竞争商品的传播的专业集群方面扮演着一个重要的角色，特别是知识在产业集群中扮演着不同的角色。

主题五:利用外部资源到达国际化
而不是集中单独依靠一家公司的内部资源的作用去进入国外市场(BLOODGOOD et al., 1996; AUTIO et al., 2000), 这可能有利于有联系的观察
公司做为网络的一个组成部分。

从资源的角度来看,作为网络的一部分能够提供有形资产和无形资源去援助国际化发展(DANA, 2001)。

这些公司间的关系影响市场选择和中小企业利用国际化模式两个方面。

网络包含能促进国际化发展的共生模式的大小公司(DANA and WRIGHT, 2004)。

有证据表明,一些中小企业发现很难进入市场全球经济的活动,即使本地支持机构和协会试图去创造他们的能力。

走向国际化的障碍可能被包围当一个或者多个大公司进入一个区域并且由区域性向全球性的连接通过更小的公司成为企业初期公司的供应商(LE GALE ` S et al., 2004)。

同样, ACS et al. (1997)认为发展国际化的障碍可能被中小企业包围通过利用更大的跨国公司进行国际扩张。

中小企业的国际化可以促进大公司提供设计、技术支持、质量控制机制和建立品牌。

因此拥有更小的资源库的中小企业，可以借用位于其他组织的规模和资源(PHELPS et al., 2001)。

为了保持在国内市场的现有客户,中小企业以有限的资源通过更大的网络伙伴的国际化活动去‘拉”进入国际市场,例如本国客户与海外市场中组织建立了良好的关系。

为了保持和维持在业务网络中的一个位置,一个公司可能被“推“的转变成为一个出口国,特别是如果主要客户已进入外国商业网络。

这有符合“采取模式”的入口。

一些中小企业国际化因为他们是有更大的合作伙伴组织的反应性的出口商，去获得合同以保持国外顾客(O’FARRELL et al., 1996)。

通过加入网络和形成联盟特别是更大的组织，中小企业可以扩展其社会资本。

中小企业可以接着利用知识(YLI-RENKO et al., 2002)和不能创造独立性的创造价值资源。

然而,可能会有大量的约束条件去制约中小企业发展更广泛的社会和商业网络。

主题六:分析单位(例如：公司或企业家)
传统的国际化理论专门集中在作为理论分析的单位的公司。

这些著作可以指导决策者将注意力趋向于对公司不利的在海外创造或发现机会的企业家问题上。

同样,国际创业学者们声称INV观点集中于累积企业知识而不是个人的企业家。

的确,多数国际创业者研究一般没有认真考虑到企业家特定的变量。

虽然AUTIO et al. (2000)认为拥有管理公司,他们没有考虑拥有国际化经验的企业家。

ZAHRA et al. (2000) 被认为是拥有国际化经验, 但只在公司的水平上。

然而,在私营公司的早期发展中,所有者不是组织，特点在处于良好状态下的出口业绩中扮演着一个重要的角色 (KUNDA and KATZ 2003)。

在许多中小企业中,所有者是关键资源。

他们可以积累人力资本和社会资本导致产业和管理的物理专业技能与需要的金融资本去发展企业，然后组织资本,使得公司在本国以及国际市场上提供有竞争力的商品和服务 (BRUSH et al., 2002)。

我们有理由相信,企业家(和创业团队进行)可以获得和利用外国商业知识、外国机构知识和国际化知识(ERIKSSON et al., 1997)。

主题七:国际化对中小企业绩效的影响
国际化公司报告性能优越的观点是一种被广泛接受的智慧并且可以作为主题七。

在这里,这一观点广泛的被假定是被普遍接受的，尽管没有直接被许多学者和实践者规定（或验证）(EIM,2005)。

然而, 复习的证据表明不是清晰地和有一致的关系在中小企业倾向于出口和能力去报告上级的公司业绩。

没有一致的环境如何衡量国际化性能(KATSIKEAS et al., 2000)。

各种各样的绩效指标使所有的研究进行的比较困难。

此外,结果可能会受其行业和时间框架分析的影响。

事
实上,很多研究没有考虑内部产业在无出口商和出口商之间的差异。