中小企业如何实现技术创新与社会责任的可持续发展？

创新生态失衡与组织认知陷阱：中国中小企业技术创新的可持续发展与社会责任治理路径研究

（作者：王连升）

摘要：在中国科技创新势不可挡的宏观背景下，一种结构性的张力日益凸显：一方面是资源向“学术大咖”集中与成果转化梗阻的体制困境，另一方面是大量中小企业在取得初步技术突破后陷入“自嗨”的认知与发展陷阱。本文基于可持续发展与社会责任治理的理论视角，将这一现象置于“资源分配-创新生态-组织行为”的三维框架中进行剖析。研究发现，中小企业的“自嗨”陷阱（表现为闭门造车、藐视专业、拒绝评价、伪创新等）并非孤立的企业家精神缺陷，而是外部扭曲的创新生态环境与内部脆弱的治理结构共同作用的结果。它本质上是一种在资源约束和竞争压力下，由短视的生存策略异化而成的、背离可持续发展原则的组织病态。破解这一困境，需要构建一个将外部激励与约束（政策、金融、市场）同内部治理升级（开放合作、社会责任整合、评价体系构建）相耦合的系统性方案。本文旨在为促进中国科技创新体系形成“顶天立地”与“铺天盖地”良性互动的新格局，提供理论解释与实践路径。

关键词：科技创新；中小企业；可持续发展；社会责任治理；创新生态

Abstract:Against the backdrop of unstoppable technological innovation in China, a structural tension is becoming increasingly prominent: on the one hand, there is a systemic dilemma of resource concentration towards "academic giants" and obstacles to the transformation of achievements; on the other hand, a large number of small and medium-sized enterprises are trapped in the cognitive and development trap of "self indulgence" after achieving initial technological breakthroughs. This article is based on the theoretical perspective of sustainable development and social responsibility governance, and analyzes this phenomenon within the three-dimensional framework of "resource allocation innovation ecology organizational behavior". Research has found that the "self indulgence" trap of small and medium-sized enterprises (manifested as working in isolation, disrespecting expertise, refusing evaluation, pseudo innovation, etc.) is not an isolated deficiency in entrepreneurial spirit, but the result of the combined effect of an externally distorted innovation ecosystem and a fragile internal governance structure. It is essentially an organizational pathology that deviates from the principles of sustainable development and is alienated from short-sighted survival strategies under resource constraints and competitive pressure. To solve this dilemma, it is necessary to construct a systematic plan that couples external incentives and constraints (policies, finance, markets) with internal governance upgrades (open cooperation, social responsibility integration, evaluation system construction). This article aims to provide theoretical explanations and practical paths for promoting the formation of a new pattern of benign interaction between China's scientific and technological innovation system, which is "towering" and "overwhelming".

Keywords:technological innovation; small and medium-sized enterprises; Self pleasure trap; Sustainable development; Social responsibility governance; innovation ecosystem

1. 引言：势不可挡的浪潮与深藏水下的漩涡

1. Introduction: The Unstoppable Tide and the Hidden Underwater Vortex

当前，中国正处在从科技大国迈向科技强国的关键历史阶段，技术进步的整体势头锐不可当。然而，在这股澎湃浪潮之下，两股相互关联的暗流构成了创新体系的深层挑战。其一，是资源配置的结构性矛盾。大量科研经费集中于少数“大咖”、“学霸”主导的体系内，虽然催生了大量论文与专利，但“从书架到货架”的转化通道仍不顺畅。与此同时，作为创新生力军的中小企业却长期面临“融资难、融资贵”的窘境。其二，是一些历经艰辛、掌握了一点核心技术的中小企业，在取得产品突破后，非但没有乘势而上，反而跌入“自嗨”的认知与发展陷阱——固步自封、盲目自大、拒绝协同，最终在市场的快速迭代中错失良机

Currently, China is at a critical historical stage of transitioning from a technological powerhouse to a technological powerhouse, and the overall momentum of technological progress is unstoppable. However, under this surging wave, two interrelated undercurrents pose a deep challenge to the innovation system. One is the structural contradiction in resource allocation. A large amount of research funding is concentrated in a system dominated by a few "big shots" and "academic elites", which has generated a large number of papers and patents, but the conversion channel from bookshelf to shelf is still not smooth. At the same time, small and medium-sized enterprises, as innovative forces, have long faced the dilemma of "difficult and expensive financing". Secondly, some small and medium-sized enterprises that have gone through hardships and mastered some core technologies, after achieving product breakthroughs, not only fail to seize the opportunity, but also fall into the cognitive and development trap of "self indulgence" - being stagnant, blindly arrogant, and refusing collaboration, ultimately missing the opportunity in the rapid iteration of the market.

“自嗨”现象绝非简单的企业家个性问题，它是中国特定转型时期创新生态在微观组织层面的病理映射。本研究认为，必须超越对企业个体行为的道德批判，转而从可持续发展与社会责任治理的整合性视角进行深层次解剖。可持续发展要求创新活动不仅追求经济利润，更需具备环境可持续性、社会包容性和长周期生命力；社会责任治理则强调企业需建立包括对员工、客户、合作伙伴及行业生态负责在内的内部决策与监督机制。中小企业“自嗨”行为的种种表现，恰恰是对这两大核心原则的背离。本文旨在揭示“自嗨”陷阱形成的系统性根源，并探索通过内外部治理的协同变革，引导中小企业将技术创新转化为可持续市场竞争力的有效路径。

The phenomenon of "self excitement" is not simply a problem of entrepreneurial personality, but a pathological mapping of the innovation ecology at the micro organizational level during China's specific transformation period. This study suggests that it is necessary to go beyond moral criticism of individual corporate behavior and instead conduct in-depth analysis from an integrated perspective of sustainable development and social responsibility governance. Sustainable development requires innovative activities to not only pursue economic profits, but also possess environmental sustainability, social inclusiveness, and long-term vitality; Social responsibility governance emphasizes the need for enterprises to establish internal decision-making and supervision mechanisms that include responsibility for employees, customers, partners, and industry ecology. The various manifestations of the "self promotion" behavior of small and medium-sized enterprises are precisely a deviation from these two core principles. This article aims to reveal the systematic roots of the "self pleasure" trap and explore effective ways to guide small and medium-sized enterprises to transform technological innovation into sustainable market competitiveness through collaborative changes in internal and external governance.

2. 理论框架：创新生态、资源扭曲与组织认知

2. Theoretical Framework: Innovation Ecosystem, Resource Distortion, and Organizational Cognition

为系统剖析上述问题，本文构建一个三维交互分析框架：

To analyze the above issues systematically, this article constructs a three-dimensional interaction analysis framework:

· 维度一：资源分配的宏观体制与政策调节。这是创新活动的起点。中国的科技投入体系正在从“重分配、轻绩效”向“放管结合、权责对等”改革。例如，审计推动内蒙古完善科技专项资金管理，设立基本科研业务费；寻乌县通过研发后补助、科技计划项目、创新积分贷等多元化方式支持中小企业。然而，政策在基层的“最后一公里”仍存堵点，“追星式”创新导致的资源错配时有发生。

·Dimension 1: Macro system and policy regulation of resource allocation. This is the starting point of innovative activities. China's technology investment system is undergoing a reform from "heavy allocation, light performance" to "combination of decentralization and management, and equal rights and responsibilities". For example, auditing promotes Inner Mongolia to improve the management of science and technology special funds and establish basic research business expenses; Xunwu County supports small and medium-sized enterprises through diversified methods such as post research and development subsidies, technology plan projects, and innovation credit loans. However, there are still bottlenecks in the "last mile" of policies at the grassroots level, and resource misallocation caused by "star chasing" innovation occurs from time to time.

· 维度二：市场竞争的中观生态与行业秩序。这是企业生存的直接环境。健康的生态应鼓励基于产品和技术的理性竞争。但现实存在扭曲，如硬科技企业可能遭遇“黑水军”对技术公信力的系统性狙击和供应链“二选一”的排他性封锁。这种“内卷式”竞争非但不能优胜劣汰，反而污染了技术讨论空间，抬高了所有企业特别是中小企业的创新风险与成本。

·Dimension 2: Mid level ecology and industry order of market competition. This is the direct environment for the survival of enterprises. A healthy ecosystem should encourage rational competition based on products and technologies. But there are distortions in reality, such as the possibility of hard tech companies facing systematic attacks from the "black water army" on their technological credibility and exclusive blockades from the supply chain's "two choices". This kind of 'involution' competition not only fails to eliminate the fittest, but also pollutes the space for technological discussion and raises the innovation risks and costs for all enterprises, especially small and medium-sized enterprises.

· 维度三：企业行为的微观认知与内部治理。这是外部环境作用的最终落脚点。在资源紧张和恶性竞争的压力下，中小企业容易形成扭曲的认知模式与短视的生存策略。“自嗨”是其极端表现，其本质是在不确定性环境中，为维护脆弱的竞争优势感和控制感，而构建的自我封闭、拒绝反馈的心理防御机制与组织壁垒。缺乏社会责任治理理念的企业，难以将开放、合作、诚信、对行业进步负责等原则纳入战略考量

·Dimension three: Micro cognition of corporate behavior and internal governance. This is the ultimate destination of external environmental effects. Under the pressure of resource scarcity and vicious competition, small and medium-sized enterprises are prone to forming distorted cognitive patterns and short-sighted survival strategies. Self indulgence "is its extreme manifestation, which is essentially a psychological defense mechanism and organizational barrier constructed to maintain a fragile sense of competitive advantage and control in an uncertain environment, characterized by self isolation and rejection of feedback. Enterprises lacking the concept of social responsibility governance find it difficult to incorporate principles such as openness, cooperation, integrity, and responsibility for industry progress into their strategic considerations.

这三个维度相互强化，形成一个闭环：资源分配不均和生态恶化诱发了企业的短期行为和封闭认知；而大量企业的“自嗨”与伪创新，又反噬创新生态，浪费社会资源，使政策效果大打折扣，进一步加剧资源错配。打破这一恶性循环，需要可持续性视角下的系统性治理

These three dimensions reinforce each other, forming a closed loop: uneven resource allocation and ecological degradation induce short-term behavior and closed cognition of enterprises; However, the self indulgence and pseudo innovation of a large number of enterprises have backfired on the innovation ecosystem, wasted social resources, greatly reduced the effectiveness of policies, and further exacerbated resource misallocation. Breaking this vicious cycle requires systematic governance from a sustainability perspective.

3. “自嗨”陷阱的病理学剖析：表现、根源与不可持续性

3. Pathological analysis of the "self pleasure" trap: manifestations, root causes, and unsustainability

中小企业的“自嗨”陷阱，具体可解剖为以下四种相互关联的“症状”，每一种都直接背离可持续发展与社会责任原则。

The "self indulgence" trap of small and medium-sized enterprises can be dissected into four interrelated "symptoms", each of which directly deviates from the principles of sustainable development and social responsibility.

3.1 闭门造车与拒绝开放合作：对创新社会网络的背离

3.1 Working in isolation and refusing open cooperation: a departure from innovative social networks

取得初步成功便“目空一切”，拒绝与同行、高校及产业链合作，本质上是切断了组织外部的知识流入与协同创新网络。可持续发展依赖于系统的共生共荣，而封闭系统必然走向熵增和衰败。安徽推动前沿技术“沿途下蛋”的成功经验恰恰相反，它依赖于科研院所、企业、资本以专利为节点的深度协同。企业社会责任治理要求企业对产业链伙伴负责，封闭合作是责任的缺失。

To achieve initial success by being arrogant and refusing to cooperate with peers, universities, and industry chains is essentially cutting off the external knowledge flow and collaborative innovation network of the organization. Sustainable development relies on the symbiosis and prosperity of the system, while closed systems inevitably lead to entropy increase and decline. The successful experience of Anhui in promoting cutting-edge technology "laying eggs along the way" is exactly the opposite, relying on deep collaboration among research institutes, enterprises, and capital with patents as nodes. Corporate social responsibility governance requires companies to be responsible to their industry chain partners, and closed cooperation is a lack of responsibility.

3.2 藐视专业与反智倾向：对知识积累规律的背离

3.2 Disregarding professionalism and anti intellectual tendencies: deviation from the law of knowledge accumulation

部分创业者凭借实践经验取得突破后，滋生出“读书无用”、“科班无能”的偏见。这混淆了“知识”与“应用场景”的区别，否定了科学训练的体系化价值。可持续发展依赖于知识的代际积累与跨界融合。例如，重庆医科大学团队将抑郁症诊断研究成果转化，正是深厚专业基础与市场洞察结合的典范。藐视专业，等于拒绝了借助人类共同知识财富实现跨越式发展的可能。

Some entrepreneurs, relying on practical experience to make breakthroughs, have developed biases such as "reading is useless" and "academic incompetence". This confuses the difference between "knowledge" and "application scenarios" and denies the systematic value of scientific training. Sustainable development relies on intergenerational accumulation and cross-border integration of knowledge. For example, the Chongqing Medical University team's translation of research results on depression diagnosis is a model of combining deep professional foundation with market insights. Disregarding professionalism is equivalent to rejecting the possibility of achieving leapfrog development through the common wealth of human knowledge.

3.3 忽视第三方评价与盲目自大：对市场信任基石的背离

3.3 Neglecting third-party evaluations and blind arrogance: a deviation from the cornerstone of market trust

“自说自话”、拒绝客观评价，是建立市场公信力的大忌。现代市场经济的运行建立在第三方认证、检测、评估构成的信任体系之上。影石公司遭遇的“黑水军”攻击，其核心目标正是摧毁这种公信力。一个重视社会责任的企业，必须主动拥抱透明、客观的评价，因为这是对客户和投资者负责的基本表现。拒绝评价，就是将自己隔绝于主流市场信任体系之外

Self talk and refusal of objective evaluation are major taboos in establishing market credibility. The operation of modern market economy is based on a trust system composed of third-party certification, testing, and evaluation. The core goal of the "Blackwater Army" attack on Yingshi Company is to destroy this credibility. A company that values social responsibility must actively embrace transparent and objective evaluation, as this is a fundamental manifestation of being responsible to customers and investors. Refusing evaluation means isolating oneself from the mainstream market trust system.

3.4 以低充高的“伪创新”：对创新本质与资源效率的背离

3.4 "Pseudo Innovation" with Low Charging and High Charging: Deviation from the Essence of Innovation and Resource Efficiency

将简单改进包装成重大创新，并归咎于人才“无能”，这是最大的资源浪费和诚信失范。它消耗了本已紧张的人才、资金和社会期待。审计发现的问题项目被终止、资金被追回，正是社会对这类行为的外部纠偏。“伪创新”直接违反了社会责任治理中诚信经营、珍惜社会资源的核心要求，也与可持续发展的“质量优先、效率优先”原则相悖。

Packaging simple improvements into major innovations and blaming talent for 'incompetence' is the biggest waste of resources and a loss of integrity. It has consumed already scarce talent, funds, and social expectations. The termination of problematic projects and the recovery of funds discovered in the audit are the external corrective measures taken by society towards such behavior. Pseudo innovation directly violates the core requirements of honest management and cherishing social resources in social responsibility governance, and also contradicts the principle of "quality first, efficiency first" in sustainable development.

4. 走向可持续创新：社会责任治理的整合路径

4. Towards sustainable innovation: an integrated path for social responsibility governance

将中小企业从“自嗨”陷阱中解救出来，并引导其走向可持续创新，必须构建一个内外联动的社会责任治理体系，将可持续性原则内化于企业战略与运营。

To rescue small and medium-sized enterprises from the trap of "self indulgence" and guide them towards sustainable innovation, it is necessary to establish a social responsibility governance system that is interconnected internally and externally, and internalize the principle of sustainability into corporate strategy and operation.

4.1 外部治理：构建“激励-约束-服务”三位一体的政策与市场环境

4.1 External Governance: Building a Three in One Policy and Market Environment of "Incentive Constraint Service"

· 精准化、持续性的金融与政策激励：借鉴寻乌县“创新积分贷”、“科贷通”等经验，以及国家层面加强对科技型中小企业金融支持的政策导向，将资源向真正有创新潜力且治理规范的企业倾斜。政策应“滴灌”而非“漫灌”，并建立基于长期绩效的滚动支持机制。

·Accurate and sustainable financial and policy incentives: Drawing on the experience of Xunwu County's "Innovation Credit" and "Science and Technology Loan Connect", as well as the policy guidance of strengthening financial support for technology-based small and medium-sized enterprises at the national level, resources will be tilted towards truly innovative and well governed enterprises. Policies should be 'drip irrigation' rather than 'flood irrigation', and a rolling support mechanism based on long-term performance should be established.

· 刚性约束与生态净化：强化知识产权保护，严厉打击“黑水军”诋毁商誉和供应链不正当排他行为。严格执行科研诚信管理，对“伪创新”和资金滥用“零容忍”，建立失信名单和联合惩戒机制。

·Rigid constraints and ecological purification: Strengthen intellectual property protection, severely crack down on the "black water army"'s defamation of reputation and unfair exclusionary behavior in the supply chain. Strictly implement scientific research integrity management, have zero tolerance for "pseudo innovation" and fund abuse, establish a list of dishonest individuals and a joint disciplinary mechanism.

· 赋能型服务体系建设：搭建高水平的第三方评价、检测认证和概念验证平台。推广安徽“技术经理人”模式和职务科技成果赋权改革，专业化地弥合实验室与市场间的“死亡之谷”。政府应提供产业链对接、应用场景开放等公共服务，而非代替企业决策。

·Empowering service system construction: Building a high-level third-party evaluation, testing and certification, and concept verification platform. Promote the "Technology Manager" model and the empowerment reform of job-related scientific and technological achievements in Anhui, and professionally bridge the "valley of death" between laboratories and markets. The government should provide public services such as industry chain integration and open application scenarios, rather than replacing enterprise decision-making.

4.2 内部治理：培育“开放-诚信-共生”的组织文化与治理结构

4.2 Internal Governance: Cultivating an Organizational Culture and Governance Structure of "Openness Integrity Symbiosis"

· 将开放合作嵌入企业战略：中小企业需主动“拆墙”，与高校、科研院所建立“柔性引才”机制，与产业链伙伴构建创新联合体。学习“从市场中来，到市场中去”的科研思路，确保创新方向不偏离真实需求。

·Embedding open cooperation into corporate strategy: Small and medium-sized enterprises need to actively "break down barriers", establish "flexible talent introduction" mechanisms with universities and research institutes, and build innovation alliances with industry chain partners. Learn the scientific research approach of 'coming from the market, going to the market' to ensure that innovation direction does not deviate from real needs.

· 建立基于诚信的内部评价与决策机制：设立内部技术伦理与创新评审委员会，引入外部专家，对研发项目进行客观评估。坦诚面对自身技术的优缺点，建立允许失败但严禁造假的容错纠错文化。

·Establish an internal evaluation and decision-making mechanism based on integrity: Establish an internal technical ethics and innovation review committee, introduce external experts, and objectively evaluate R&D projects. Be honest about the strengths and weaknesses of your own technology, and establish a fault-tolerant and error correcting culture that allows for failure but strictly prohibits fraud.

· 明确企业对多重利益相关者的责任：将社会责任报告（哪怕是简易版）纳入管理流程，明确企业对客户（提供真实价值的产品）、对员工（提供成长平台、杜绝“人才流水”）、对行业（维护健康竞争生态）、对社会（珍惜资源、避免伪创新）的具体责任。这将是企业穿越周期、赢得尊重的软实力。

·Clarify the responsibilities of enterprises towards multiple stakeholders: incorporate social responsibility reports (even in simplified versions) into management processes, clarify the specific responsibilities of enterprises towards customers (providing products with real value), employees (providing growth platforms and eliminating "talent turnover"), industries (maintaining a healthy competitive ecosystem), and society (cherishing resources and avoiding pseudo innovation). This will be the soft power for enterprises to overcome cycles and earn respect.

5. 结论与展望

5. Conclusion and Outlook

中国科技创新的磅礴之势，既需要“国之重器”的顶天立地，也离不开“隐形冠军”的铺天盖地。中小企业“自嗨”陷阱的根源，在于一个尚不完善的创新生态与尚未成熟的内部治理结构之间的碰撞。本文的分析表明，破解这一难题，不能仅寄望于企业家的自我觉醒，更需要一场深刻的系统性变革。

The magnificent momentum of China's technological innovation requires both the towering position of the "national treasure" and the overwhelming presence of "invisible champions". The root of the "self indulgence" trap for small and medium-sized enterprises lies in the collision between an imperfect innovation ecosystem and an immature internal governance structure. The analysis in this article indicates that solving this problem cannot rely solely on the self awakening of entrepreneurs, but also requires a profound systemic change.

未来，我们期待看到一个更加清晰的创新生态：资源分配更公平、市场竞争更有序、专业服务更发达。更重要的是，我们期待涌现出一大批具有可持续创新基因的中小企业：它们敬畏专业、拥抱合作、珍视信誉、敢于在核心技术上进行长期主义投资。它们将社会责任治理视为核心竞争力的一部分，而非负担。只有当外部环境的“土壤、阳光、雨露”得到改良，同时企业内部生长出健康的“根系和茎干”（治理结构），中国科技创新的森林才能既长出参天大树，也遍布生机勃勃的灌木与花草，从而真正形成支撑高质量发展和科技自立自强的、强大而坚韧的创新生态系统。

In the future, we look forward to seeing a clearer innovation ecosystem: fairer resource allocation, more orderly market competition, and more developed professional services. More importantly, we look forward to the emergence of a large number of small and medium-sized enterprises with sustainable innovation genes: they respect professionalism, embrace cooperation, value reputation, and dare to make long-term investments in core technologies. They view social responsibility governance as part of their core competitiveness rather than a burden. Only when the "soil, sunshine, rain and dew" of the external environment are improved, and healthy "roots and stems" (governance structure) are grown within the enterprise, can the forest of China's scientific and technological innovation grow towering trees, as well as thriving shrubs and flowers, thus truly forming a strong and resilient innovation ecosystem that supports high-quality development and technological self-reliance.

作者简介：王连升，研究员，构建了以"责任闭环"为哲学本体论、以"价值沉默"为战略方法论、以"CSR为魂，ESG为体"为价值论的完整思想体系。兼任广东省企业可持续发展研究会CSR专委会副会长，北京ESG研究院专家顾问，上海市计算机行业协会顾问。自2019年入职工业和信息化系统，深耕社会责任与可持续发展（供应链责任追溯等）及政产学研用媒利益相关方影响等领域。支撑完成工业和信息化部课题40余个。发表诸如《绿色金融与电子信息产业可持续发展的矛与盾》等学术研究200余篇。主导参与或编制《电子信息行业社会责任指南》等多项行业关键标准。主导编制《电子信息行业社会责任建设与可持续发展报告》行业报告6本。2022-2025年，被评为“2021年度中国产业研究突出贡献者”“2022年度电子信息企业社会责任建设年度突出贡献者”“2024年度全球电子协会亚洲标准委员会杰出服务服务个人”“2025全球电子协会亚洲标委会杰出服务个人”“2025全球电子协会中国ESG杰出个人”。

报告

撰写《中电标协社会责任工作委员会2021-2022年度工作报告》《中电标协社会责任工作委员会2022-2023年度工作报告》《中电标协社会责任工作委员会2023-2024年度工作报告》 《中电标协社会责任工作委员会2024-2025年度工作报告》。编制《2021-2022年度中国电子信息行业社会责任建设发展报告》 《2022-2023年度电子信息行业社会责任建设与可持续发展报告》《2023-2024年度电子信息行业社会责任建设与可持续发展报告》 《2024-2025年度电子信息行业社会责任建设与可持续发展报告》。

工作要点

撰写《中国电子工业标准化技术协会社会责任工作委员会2022年企业社会责任工作要点》《中国电子工业标准化技术协会社会责任工作委员会2023年企业社会责任工作要点》《中国电子工业标准化技术协会社会责任工作委员会2024年企业社会责任工作要点》《中国电子工业标准化技术协会社会责任工作委员会2025年企业社会责任工作要点》《中国电子工业标准化技术协会社会责任工作委员会2026年企业社会责任工作要点》

文章

发表《浅谈绿色金融在电子信息产业可持续发展中的矛与盾》（《金融电子化》期刊4月刊上）《电子信息行业社会责任标准化研究》（ 《信息技术与标准化》2024年第6期）《第八届中国电子信息行业社会责任年会在京成功举办》（《中国标准化》2022年01期)《电子信息行业年度社会责任报告发布》（中华工商时报 2025-01-13 第04版：四版）《八成企业借电子信息技术促产业升级》（中华工商时报 2023-02-15 第06版：六版）《 第十一届电子信息行业社会责任年会》（《中国经营报》2026-01-31）

论文

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