论文标题:地方国有资产经营公司研究
Research on Manufacturing Enterprise Agility under the Age of Agility Competition
论文作者 曾毅
论文导师 吴潮,论文学位 硕士,论文专业 产业经济学
论文单位 西南财经大学,点击次数 60,论文页数 89页File Size199k
2002-04-01论文网 http://www.lw23.com/lunwen_562072227/ ：授权经营 国有资产 国有资本 公司
: Authorized management; State-owned Capital; Corporation
建国以来，我国长期实行高度集中的计划经济。政府以行政权力为基础，借助财政计划等手段，集中了几乎所有的社会经济资源，并形成规模宏大的国有资产。随着经济体制改革和经济建设的推进，我国的国有资产的规模更是得到迅速扩张。其中，按照“国家所有，分级管理”的原则，由地方政府管理的国有资产也在国民经济中发挥重要作用。建立国有资产的授权经营体制，是深圳、上海等城市地方政府对国有资产管理体制的一种探索。地方国有资产经营公司正是这一探索过程中，由地方政府组建而产生的。地方国有资产经营公司作为政府授权投资的机构，在国有资产授权经营体系中居于中间层级，是以国有资本出资人身份，并主要以股权运作方式从事国有资本投资、管理和运作的公司法人。以1987年全国第一家地方国有资产经营公司--深圳投资管理公司成立为起点，上海、厦门、武汉、青岛等地纷纷开始进行构建国有资产的授权经营体系，成立了数十家的地方国有资产经营公司。1999年，中共十五届四中全会对授权经营的探索给予肯定之后，在全国各地更是掀起了建立授权经营体系和设立国有资产经营公司的热潮。国有资产经营公司作为授权经营体系中的中间层级，向上衔接政府机构改革和政企职能分离，向下负责组织国有企业的产权经营和产权改革，是地方政府开发、控制和使用国有经济资源的重要工具，在地方经济生活中具有相当重要的地位。地方国有资产经营公司作为国有资产管理体制改革和国有企业改革的产物，对其性质、功能、行为和演化方向的研究，对我们认识经济转轨时期的政府行为和经济改革路径有很重要的意义。对于地方国有资产经营公司这一改革过程中的新生事物，理论研究的步伐远远落后于其实践。以张冀湘等人发表研究报告《国有控股公司的比较研究》为标志，我国经济学界对于国有控股公司的深入研究，起始于1994年。其后，张冀湘、魏杰、费方域、程恩富、朱志刚、芮明杰、杨其静、何诚颖、何东霞等人分别对国有控股公司的性质、职能、产权关系等进行了研究，其中杨奇静、何诚颖等人较多地涉足了地方国有资产经营公司的研究。这些研究的成就体现在以下三个方面：一是全面介绍了国外国有控股公司的基本情况并进行了各种模式的比较研究；二是对国内已有的各类国有资产经营公司进行调查研究和经验总结；三是结合我国转轨经济的特点，借鉴西方企业理论和产权理论对我国国有控股公司或者地方国有资产经营公司的性质、与政府的关系、对市场结构的影响、它内部的治理结构和与被控股企业的产权关联等问题进行了一些探讨。遗憾的是，笔者发现大多数研究都是按照“列举现象－列举成就-列举问题－列举政策建议”的模式在进行，而没有去解释所研究的经济现象，很少有人用经济学的原理去解释国有控股公司或地方国有资产经营公司产生的原因。是什么样的利益机制的驱动，使人们赞同或反对组建国有资产经营公司？与国有资产经营公司相关的各类利益主体之间是怎样通过冲突和妥协，来影响国有资产经营公司的组建过程和治理结构的？笔者检索到的所有文献，都没有对以上问题进行合理的解答。理论的作用在于解释现象和预测现象。由于现有的研究成果对国有资产经营公司这种经济现象产生和存在的原因缺乏符合逻辑的解释，因此它们对公司的性质、功能的界定也就缺少说服力。这些研究成果无法说明公司的功能和历史使命，也就无法对其发展和演化的方向做出符合逻辑的预测。在上述研究成果中，只有少数文献讨论了以下问题：地方政府是将国有资产经营公司当作一个竞争者来组建还是把它当作政府的多元化目标的实现者来组建? 是为了大力发展它还是只把它当作一种过渡组织?只有何诚颖、何东霞等少数学者将国有资产经营公司置于国有经济改组的大趋势之下进行考察，提出国有资产经营公司是国有经济改组中的一种过渡组织。本文立意于解释经济现象，立意突破“列举现象-列举成就-列举问题-列举政策建议”的模式，代之以“列举现象-分析原因-实证检验-预测方向”的研究范式。本文综合运用新古典经济学、公共选择理论、企业理论、新制度经济学、公司治理结构理论的方法和结论，结合大量的案例材料，理论实证与经验实证并重。文中也进行了规范分析，但决不以规范分析的结果作为实证分析的天然假设。为了探求地方国有资产经营公司产生的内在原因，笔者从公共选择理论的三个基本假设出发，对地方政府首脑官员的目标取向和行为方式进行了理论实证研究，得出以下结论：地方政府首脑官员追求多元化的“政绩目标”，在行为方式上体现为两类经济行为，一是为实现政绩目标而进行的广义的“政绩工程”建设行为，二是为前一类行为整合经济资源的行为，包括改进政府效率、开发政府资源、控制和改组国有经济等。在此基础上，笔者对国有资产经营公司产生的原因做出了解释：出于改进政府效率、开发政府资源、控制和改组国有企业的需要，地方政府组建了地方国有资产经营公司，希望能以企业经营替代低效的政府行政手段，来运作和整合国有资产，开发政府资源，为实现其政绩目标服务。在推演出地方国有资产经营公司产生的原因
With the further development of economic reform and construction, the state-owned capital have accrued at a considerably scale scattered in the segments of all industries which has constituted the majority of the gross social capital of China. According to the principle of "State Own, hierarchy management", the state-owned capital managed by the local governments is also holding a prominent position in the national economy.The authorized management of state-owned capital mechanism is the outcome of the expedition of the state-owned capital management mechanism, which was originally conducted by the local government of Shanghai and Shenzhen. In the exploration of the local State-owned Capital Operation Corporation is the institution started up by the local governments, authorized by them as the investment institution and acting as the funding party of state-owned capital, which is a corporate person engaged in state-owned capital investment, management and operation usually in the way of stock capital operation and stock transaction. As the middle hierarchy of the authorized management mechanism, the local State-owned Capital Operation Corporation is the link between the governmental institution reforming and the organization of the state-owned enterprises" asset management and transformation. It is also the powerful tool for the local governments to explore, manipulate and utilize their local state-owned economic resources, which remains to be very significant in the local economic life. What is more, the research of the nature, functions, behaviors and evolution of the local State-owned Capital Operation Corporation is of vital importance to the study of government behavior and the path of economic reform in the transitional period.Being an economic entity, the local State-owned Capital Operation Corporation is the aggregation of all the interests and the outcome of the conflicts together with the compromises resulted from the interest parties. To investigate the innate reason of the birth of the local State-owned Capital Operation Corporations, the author of the thesis starts out with the three basic speculations of the public choice theories, and probes the target orientation and behavior mode of the local government with both theory and case study and finally reaches a conclusion: the pursuit of the versatile " local government achievements" is embodied in two economic behaviors. The first behavior, in a broad sense, is the construction behavior of the " achievement project", and the second is the behavior intended to accumulate the economic resources for the former behavior which is comprised of the promotion of government efficiency, exploration of government resources, control and re-construction of state-owned economy. Hence, the author provides the proposed the explanations for the origin of the State-owned Capital Operation Corporation: to implement the " achievement project", the local governments have established the local State-owned Capital Operation Corporation with the hope that enterprises can switch from the low efficient government administration to enterprise management in order to operate and rectify the state-owned capital, explore government resources and serve its " achievement management" goal.Followed by the investigation of the cause of Local State-owned Capital Operation Corporation, the thesis gives a logical definition of its nature and function, pointing out that it is the accretion of the local government, the consequence of the reorganization and rectification of the government, one sort of government institution in the name of enterprise operation, and a particular enterprise perform certain functions in place of the government. In short it is expected to play the five following roles. First,the representative of the funding party of the state-owned Capital with the authorized range. Second, the partition zone between the government and enterprise. Third, the outcome of the government organization. Fourth, the executive of the enterprise tr
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