论文标题:现代企业制度的效率困境与超越
Efficiency Predicament of Modern Enterprise Institution and Its Being Surmounted
论文作者 李文祥
论文导师 刘少杰,论文学位 博士,论文专业 马克思主义哲学
论文单位 吉林大学,点击次数 83,论文页数 145页File Size735k
2004-05-01论文网 http://www.lw23.com/lunwen_71388507/ 汇率制度; 发展中国家; 经济发展 ;对外开放; 东亚
Exchange Rate Regime ; Developing Country ; Economic Development ; Openness East Asia
构建以“产权明晰、权责明确、政企分开、管理科学”为特征的“现代企业制度”，既是当代中国企业的改制目标，也是市场经济体制的普遍要求。西方产权经济学从交易费用理论出发，认为现代企业制度能够安排出企业的高效生产。然而，产权经济学关于现代企业制度的效率假定却遭到了质疑：产权经济学视野下以高效自居的现代企业制度，呈现出的仅仅是由经济人构筑的理性系统，它与现实并不相符，并不能证明现代企业制度能够实现效率最大化。对现代企业制度的效率最大化预设提出的批判，首先是来自经济学内部的修正，这就产生了“比较条件”下的效率最大化，从而效率最大化预设仍然存在。社会学理论也以其特有的视野和方法关注了现代企业制度的效率最大化预设：经济学把理性行动与对稀有资源的有效利用等同起来并不正确，现实中的理性行动是在诸如公共忠诚、神圣价值等其他原则指导下的配置；经济学把与经济行动相对应的企业的正式结构与作为一个社会组织的企业等同起来也不正确，现实中的正式结构是在非正式结构的配合下运作的。但社会学理论并不否认现代企业制度能够安排出高效，反而明确表示，如果能够引入与人们的经济行动相匹配、相统一的社会性因素，现代企业制度还是能够安排出相对或现实条件下的生产高效的。然而，无论是行动层面的设计，还是结构层面的方案，它们在“现实实践”中并不奏效，这就为现代企业制度效率困境的分析拉开了序幕。进一步的分析表明：企业是一种规范个体行动的集体制度，它试图在企业成员的个体主义行动的基础上，实现企业的“集体”目标，这实际上就存在着个体行动与集体目标之间的矛盾。尽管作为经济学理论关注对象的正式组织试图通过各种规章制度把个体目标下的个体行动汇聚到集体目标之下，但现代企业制度下员工的个体目标与企业的集体目标恰恰并不一致。这就必然会导致这样两个结果：一方面，企业必须把个体的自主性压制到一定程度，以使之统一到集体的目标上来；另一方面，即使是自主性被压制到一定程度的个体行动也仍然缺乏集体性，即与集体的目标并不完全一致。这无疑就降低了企业的效率，即出现了效率困境。因而，现代企业制度效率困境的真正原因是其自身的“集体主义”缺失，只有建构出它所缺失的“集体主义”，协调个体行动与集体目标的矛盾关系，变个体行动的个体主义模式为集体主义模式，使个体行动成为集体性的个体行动，并由此降低对个体行动的压制而充分发挥个体的自主性，现代企业制度才能超越其效率困境而实现制度高效。以此反观社会学理论在行动与结构层面的思考，尽管二者并未获得现实印证，但它们的分析仍然不乏合理之处。由于社会性因素实质是一种为了实现社会整体的目标，即集体的目标，而要求个体必须予以遵循的各种规范和制度，因而行动层面所关注的社会性因素的功能实质上就是促使个体的经济行动朝向某种统一的集体目标的“集体主义”；由于非正式组织是一种把企业员工团结起来的“群体”，自然拥有一种集体主义情景。然而，由于社会的规模宏大与劳动分工，个体只能通过微观的组织参与宏观的社会，从而人类个体的集体性有两种形态，即存在于宏观的社会系统层面的集体性，以及存在于微观的社会组织层面的集体性，其中只有后者即存在于组织层面人的集体性，才是真正的决定企业效率的集体性。以韦伯为代表的行动层面的设计以社会经济系统为基础，它所构筑的集体主义恰恰居宏观的制度层面而不能直接在微观的企业领域发挥作用；而从结构层面所建构集体主义尽管落实在微观层面，但由于来源于非正式组织而并不真实，也无法真正协调企业内部的个体与集体之间的矛盾。进而，现代企业制度所缺失的这种“集体主义”能否被构筑呢？集体主义包括安全、自由与归属三个方面，西方企业理论界上个世纪以来所推出的企业组织理论、企业文化理论、员工持股计划这三种依次而来的思考，所安排出的正是安全、自由与归属，实质上就是在试图塑造企业内部的、即微观的社会组织层面的集体主义。然而，虽然企业组织理论、企业文化理论与员工持股计划塑造了微观的社会组织层面的集体主义并提高了效率，但这种集体主义并非真正的集体主义。根据马克思的思想，作为集体主义之实质的群体性需要是人的主体性的需要，这就要求作为集体主义载体的企业员工作为主体而存在。但现实中的企业组织以生产为唯一目标，作为主体的自主的人在企业组织中首先作为客体性的、不自主的人力资源而存在，其中并不存在主体性的员工，它所带来的实际上仅仅是企业员工的具有客体性的集体主义强制。 它根源于人类生产从工业生产向后工业生产演进的时代背景，需要“内在自主”的配合才能形成完整的集体主义。尽管如此，这仍不能认定现代企业制度因自身的确存在着效率困境，而并不适合作为中国企业改制的方向，因为“内在自主”仍然可以被建构。生活世界理论表明，立足现实的日常生活选择现代企业制度的具体形式，自然会在企业中产生内在的自主，从而与外在集体主义强制相结合，形成完整的集体主义而超越现代企业制度的效率困境。立足西方社会的生活世界，现代企业在建立内?
Title of Thesis: Efficiency Predicament of Modern Enterprise Institution and Its Being SurmountedMajor: Marxist PhilosophySupervisor: Professor Liu Shaojie?Modern Enterprise Institution, whose characteristics are distinct property right, clear right and duty, separating the enterprise from the government and rational management, is the target of the institution reforming of contemporary Chinese enterprises, and also a widespread request of market economy system. According to the trade expenses theory, the west property right economics theories suppose that the modern enterprise institution can arrange a enterprise to produce efficiently. However, property right economics theories have been doubted as for the efficiency of modern enterprise institution in the eyes of property right economics modern enterprise institution reside itself in highly efficiency, presenting only the rational system built by the economic person, it is not agree with reality.It has been criticized from the economics inner part first that modern enterprise institution can not be proved to be able to realize the efficiency maximizes, then produced the next efficiency maximizes on condition of comparison, so the hypothesis of efficiency maximizes still exists. The sociology theories also paid attention to this hypothesis with its special method and visual field, thinking the economics equals rational actions to the valid exploitation of the rare resources is not right, in reality rational actions is installed by such as public loyalty, sacred value and other principles. And the economics equals the due form of an enterprise as a social organization is not also right, the operation of the due form is companied by the informal organization in the reality. But sociology theories do not deny the modern enterprise institution can arrange efficiently, it demonstrates definite on the contrary, if pay attention to the social factor, realize the union between economical action and social factor, modern enterprise institution can also arrange production efficiently on condition of relativity or reality. However, whether the thought on the layer of action or on the layer of structure, their projects designing for realizes the efficiency maximize do not execution in “actuality practice” so this drew apart the prologue for the analysis of the modern enterprise institution efficiency predicament.?????? The further analysis expresses, modern enterprise institution originating from the western is collective system regard individualism as the basal，as far as the essential provision of modern enterprise institution be concerned, it contains the antinomy between individuals and collectivity, only handles well this self-contradict relation then can realize valid movement in modern enterprise institution, then can acquire high-efficiency from carrying out modern enterprise institution. However, in the process of promoting modern enterprise institution, we could not to notice wholly that?it includes this inside self-contradict, usually stands opposite them, or emphasize the individual competition unilaterally, neglect the collective coordination, or we are unilateral to emphasize collective benefits, collective system and collective control, neglect the individual independence, personal value and individual choose, causing modern enterprise system can not carry out validly.?????From this the thought on the layer of action and structure is still reasonable, though it did not be proved in the reality. The social factor noticed on the layer of action is just the collectivism which unites the individual economic action to a collective object, for The social factor is just the institution requiring the individual to obey to realize the collective object. The informal organization also owns collectivism, for it is a group uniting the staff together. But the individual is able to join the society only though the microcosmic organization, for the society is large and work-divided. So the collectivity of the individual has two kind of situation, the c
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