【作者】 于洋；

【导师】 邱国栋；

【作者基本信息】 东北财经大学 ， 企业管理， 2013， 博士

【摘要】 “新型国有企业”是国有企业改革进程中产生的具有鲜明本土特色的历史现象,是我国经济体制渐进式改革推进到一定阶段的产物。随着我国市场化进程的不断加快,传统国有企业在变化的市场环境下不断深化改革,激发其经营活力。由此,区别于传统国有企业经营不善、人浮于事的“新型国有企业”应运而生,并在国家经济发展过程中起到重要作用,社会关注度逐日提升。然而,由于监管不力,近年来新型国有企业频繁出现监管事故,对人民的人身及财产安全造成不利影响。在此背景下,本研究发现：政府管控以外的多维监管体系缺失,是造成目前新型国有企业监管不力的主要原因。通过系统的文献梳理,从政治、经济、社会三个维度构建系统性监管体系的研究尚不多见,更多的关注焦点是如何就其中的一个或两个维度进行系统构建。因此,探索并构建一种可行的多维度、多主体共同参与的新型国有企业监管体制,有着现实的迫切性和必要性。本文根据中国市场的独特环境及国企监管现状,界定新型国有企业的独特属性并梳理其组织运行机理与监管的独特需求,并据此构建新型国有企业的监管体制,以求丰富并发展新型国有企业监管的理论体系。同时,国有企业市场化改革日益走入“深水区”,如何结合改革实践中的具体问题,深入探讨新型国有企业的性质、功能及其监管体制,对于完善和丰富国有企业改革理论以及建立具有中国特色的国有企业理论体系都具有重要的理论意义。此外,本文对新型国有企业监管机制的研究有助于解决国有企业改革中面临的诸多现实问题,提升国有企业的监管效果。具体来说：一方面,有利于激活新型国有企业的经济活力,提升其在市场经济条件下的效率与效益；另一方面,有利于提升新型国有企业履行社会职能的能力,避免经营过程中出现的种种弊病,承担其特有的历史使命与社会责任。本文通过系统梳理新型国有企业监管研究的相关文献,构建了由政治监管、经济监管与社会监管组成的“三维监管体制”,以“构建多维度、多主体的新型国有企业监管体制”为研究目标,以新型国有企业监管体制为研究对象,在充分界定新型国有企业特殊属性与复合功能的基础上,深入探寻新型国有企业监管体制构建及其内在运行机理,并从新型国有企业的产生历程、复合目标体系(经济目标与非经济目标)、政府监管与企业内部监管的优缺点等方面逐项展开研究。主要研究内容包含以下五个方面：新型国有企业的性质及功能研究、新型国有企业监管的复合目标体系研究、新型国有企业监管体制的构成要素研究、新型国有企业监管的机制及运行机理研究、新型国有企业监管的经验研究。沿袭上述研究思路,本文共分为7章展开具体论述：第一章为导论,主要阐述本文的研究背景,并提出本文的核心研究问题及其研究意义。在此基础上,这一部分还简要介绍了本文的研究内容及研究脉络,并结合研究问题的特点和实际状况,提出本文的主要研究方法——以单案例研究为核心,辅以比较分析、系统动力学等研究方法。最后,该部分重点介绍了本文的创新点。第二章为文献综述及本研究的理论基础。该部分对国内外相关领域的研究文献进行了系统梳理与述评,发现现有研究成果对于“新型国有企业”监管问题的探讨尽管已从多个角度全面展开,但与中国现实情境结合的紧密程度有待进一步加强。因此,本文认为对于“新型国有企业”监管体制研究尚不成熟,存在较大的研究空间,并提出“三维监管”这一突破传统研究框架的研究视角。第三章为新型国有企业的基础性研究,包括新型国有企业的界定、新型国有企业的双重性质及监管的复合目标分析。该部分对新型国有企业的产生过程、概念、类别、内涵进行系统分析,从本质上区分新型国有企业相较于传统国有企业的特殊属性,并据此详细阐述新型国有企业监管的复合目标体系：由政治目标、经济目标、社会目标综合构建的三维目标体系。第四章重点研究新型国有企业监管体制的构成要素。这一部分主要从新型国有企业的监管主体与监管对象两个方面展开论述：一方面,在深入分析国有企业监管主体的演变历程及现有国有企业监管主体面临的现实困境的基础上,提出基于三维监管目标的新型国有企业监管体制的三维监管主体；另一方面,本文对新型国有企业监管框架内的的监管对象(经营者、重大事项和国有资产)及其之间的相互关系展开了深入分析。第五章重点分析新型国有企业的三维监管机制及其运行机理。这一部分在分析新型国有企业监管原则(“三分开”原则、“三统一”原则与“三结合”原则)的基础上,构建了新型国有企业监管的三维监管框架。该部分从政治监管、经济监管和道德监管三个角度阐述了三维监管框架的主要内容,并从经营者监管、重大事项监管和国有资产监管三个方面深入阐述基于“主体—对象—目标”的新型国有企业三维监管模型的运行机理。文章此部分突出强调了社会监管职能及监管渠道在新型国有企业监管体制中的作用,相对于传统国有企业监管体制主要依赖政治监管具有很多明显的优势,一方面它有效的制衡了政治监管主体,遏制了各政府监管部门之间职责不清、互相推卸责任的弊端；另一方面它吸收了公司治理结构的优点,使国有企业公司治理主体的经济监管作用得以充分发挥,同时强化社会监管职能,使得之前几乎被边缘化的社会大众得以充分行使监督权,大大的扩展了国有企业监管主体的范围。但目前我国社会监管主体的激励机制欠缺,监管主体的主动性不够,其制衡作用难以充分发挥。此外,社会主体监管手段单一,监督渠道不畅通,社会监管的效率难以保证。监督渠道的漫长和低效率也会严重打击社会公众的监督热情,降低社会监管的制衡作用。第六章为本文的案例研究。通过选取中国石油天然气集团为案例样本,本文多方位分析新型国有企业的现行监管体制并总结其存在的主要问题。通过对样本企业的监管主体、监管对象两大方面的深入分析,本文从政治、经济、社会三个维度进行理论构建与监管实践的匹配性分析,以考察理论与现实的拟合度。.第七章为本文的研究结论。这一部分综合阐述了本文的理论观点,并对本文存在的研究局限和未来的后续研究方向作出了具体说明。基于此,本文的研究路径可以梳理如下：在文献研究与现实问题分析的基础上建立研究视角,并据此构建新型国有企业监管体制的分析框架,最后通过以中国石油天然气集团为样本的案例研究,检验理论与现实的匹配性。所以,本文的主要研究工作与创新之处体现为以下方面：第一,提出了“新型国有企业三维监管体制”的理论构念。在当前市场环境变迁与国有企业转型升级的大背景下,新型国有企业——这一新兴组织模式作为时代背景下的特殊产物,其配套的监管模式与体系如何构建,是一个新颖而富于挑战性的课题。传统视域内的国有企业监管体系显然无法适应新型国有企业的监管要求,针对这一特殊发展阶段的现实诉求,本文着眼于“三维监管体制”的理论视角,通过“政府—经济—社会”三个监管维度,提出新型国有企业监管这一较为新颖的理论构念,尤其强调了社会监管职能及监管渠道在新型国有企业监管体制中的突出地位。第二,厘清了新型国有企业的双重性质及其复合目标体系。目前对新型国有企业的研究主要集中于其产生、定义、特征、分类及经济效益等表层内容,缺乏对其性质、功能和价值目标等深层内涵的挖掘。本文通过对新型国有企业在国家、社会及市场中扮演的各种角色及其承担的复合功能进行深入解读,厘清了新型国有企业的特殊性质及其由政治目标、经济目标与社会目标构成的复合监管目标体系。第三,构建了基于“主体-对象-目标”的新型国有企业三维监管机制模型。对国企监管机制的现有研究成果主要聚焦于国有企业经营者,忽略了将其与重大事项和国有资产的融合。本研究所构建的监管机制则以“人—事—物”为综合监管对象,并注重分析三者的内在联系,以便统一在一个监管框架内以利于协调与处理,从而完善新型国有企业监管目标体系,构建以新型国有企业“主体-对象-目标”为出发点的分析框架。伴随政府的职能转变,本文在现有监管框架——即国资委、国有资产控股公司(或国有资产经营有限公司)及其下属子公司三个层次构建的监管框架内,根据新型国有企业的多维监管目标,充分考量员工和社会公众利益诉求的提高,将企业员工和社会公众纳入新型国有企业监管体制的主体范畴之内,从而建立由政治监督、财务监督及道德监督构成的新型国有企业三维监管框架,并构建基于“主体-对象-目标”的三维监管机制模型,以阐释其内在的运行机理。综上,本文在对新型国有企业监管的深入分析基础上,在研究视角与研究内容等方面,相较以往研究做出了一定程度的突破与创新。同时,在研究内容、研究设计和研究方法上,本文也在一定程度上弥补了现有研究的不足。但是,新型国有企业监管作为区别于传统国有企业监管研究的新兴研究领域,未来研究仍存很大的探索空间。本文对新型国有企业三维监管体制的探索性研究,是一次完善理论与应对现实诉求的大胆尝试。希望借此研究,可以为新型国有企业的未来发展提供一定程度的理论借鉴与实践指导,并探索未来研究的发展方向,如新型国有企业监管的实证检验等,为新型国有企业监管领域的研究作出自己的贡献。更多还原

【Abstract】 New State-Owned Enterprises have distinctive local features which produced in the process of state-owned enterprises reform, the product of gradual reform of economy system. With the process of marketization speeding up in China, the traditional state-owned enterprise continuous deepening the reform in a changing market environment to inspire their vigor. Thus different from the traditional state-owned enterprises which were poor managed, overstaffed, the " new state-owned enterprises " came into being, and played an important role in national economic development. However, due to poorly regulated in recent years, frequent monitoring accidents in new state-owned enterprises have a negative impact on people’s personal and property security. This has gradually been concern in the community. We can found in this article:the lack of multidimensional regulatory system outside of government control is the the main causes of poor regulation. Literature shows that the research from the political, economic, social three dimensions to build systematic regulatory system is still rare, most scholars focus on how to carry on the system construction in one of the dimensions, so the research of the new state-owned enterprise supervision system is urgency and necessity.This research according to the unique environment of Chinese market operation and the supervision of state-owned enterprises, study the properties of the new state-owned enterprises to find out the internal characteristics of the organizations, and according to those characteristics to design new oversight system for state-owned enterprises can enrich and development corporate governance theory. In addition, in the knowledge economy era that state-owned enterprises market-oriented reform to the depth, How to combine problems in the practice, explore the new nature, function and regulation of new state-owned enterprises have important theoretical value in the aspect of improving and enriching theory of state-owned enterprises reform and building state-owned enterprises theory with Chinese characteristics.In addition, this research help to solve many realistic problems existing in the reform of state-owned enterprises, and to improve the regulatory effect of state-owned enterprises. On the one hand, activate the new state-owned enterprise’s economic dynamism, enhancing competitiveness and economic efficiency in the market system; On the other hand, improve the state-owned enterprise’s ability of performing all kinds of political and social duties, avoid all kinds of social evils in the process of operation, complete function and mission of state-owned enterprise. In this paper, a systematic review of relevant literatures about the new regulation of state-owned enterprises has been done, focus on the problem of "how to build a multi-dimensional, multi-agent new oversight system for state-owned enterprises", take new type of state-owned enterprises under the modern enterprise system reform as the main study object. We start from the special nature of the new state-owned enterprises and the composite function construct, and study around the new regulatory system of state-owned enterprises combining with the new generation course of state-owned enterprises course, the mix of economic and non-economic goals and the advantages and disadvantages of government regulation and internal regulation. The main study contains the following five aspects:the nature and functions of the new state-owned enterprises, the composite regulation target system of the new state-owned enterprises, elements of the new regulatory system of state-owned enterprises, the new state-owned enterprises’ supervision mechanism and operation mechanism, the new state-owned enterprise governance experience.According to the research ideas above, this paper and is divided into seven chapters.Chapter one Introduction expounded the background of the research, put forward the core problem, and introduce the main approach to the study. The main research methods about this paper is case study method, and comparative analysis and system dynamics and so on.The second chapter is the literature review and theoretical foundation introduction. Through literature and theoretical research, the author found that although many scholars have discussed the regulatory issues of the new state-owned enterprises but not closely combined with the Chinese scene. The research of "new type of state-owned enterprise" regulatory regime in the field of business management is still mature.Chapter three mainly talk about the definition and the dual nature of the new state-owned enterprises and the analysis of the composite target of its regulatory. Through the analysis of the generation, concept and category of new state-owned enterprises, this part distinguishes the new type of state-owned enterprises from the traditional state-owned enterprises in essence. According to the particularity of new state-owned enterprises, the author elaborated the composite target system of supervision of the new state-owned enterprises which contains three aspects:economic, social and political.Chapter four studies the main elements of the new regulatory system of state-owned enterprises and this section discusses the subjects and the objects of the regulatory regime. This part proposed the main body of the new regulatory regime based on the three-dimensional monitoring mechanism of the new state-owned enterprises.Chapter Five deeply analyzed the three-dimensional monitoring mechanism of the new state-owned enterprises as well as its operation mechanism. This part proposed the regulatory principals and frameworks, such as "three-separate","three-dimension" and "three-pronged". What’s more, in this part, the author further elaborated object-Target running mechanism from three aspects.Chapter VI is the part of case study. Using the multi-faceted analysis of China National Petroleum Group, the author in-depth analyzed the regulatory regime of the new state-owned enterprises which contain three-dimension:the political, economic and social.Chapter VII is the concluding part. The main comprehensive description of the research and related policy recommendations are proposed.This paper build a new type of oversight system for state-owned enterprises, and prove it with the case of PetroChina Company Limited. The innovation of this article in the following respects:Firstly, Put forward the theoretical construct-" three-dimensional regulatory mechanism new state-owned enterprises ". With the background of changing market environment and the transformation and upgrading of state-owned enterprises,"new state-owned enterprise" is the special product of times-such a new organization is new and challenging topic. Traditional state-owned enterprise supervision system can meet the development requirements of the new state-owned enterprises, according to the research of this special historical period, this paper focuses on the theoretical perspective of "three dimensional" regulatory system, through the "government-economy-society " three dimensions, put forward the new theory of regulation of new state-owned enterprises.Secondly, to clarify the dual nature and composite target system of state-owned enterprises. The present study focus on the production, definition, characteristics, classification and economic benefits, lack the deep foundation excavation of the nature, function and value goal. This paper study various roles and their composite function of new state-owned enterprises, clarify the special nature and compound regulatory target system consist of political target, economic target and social target.Thirdly, build three dimensional regulation mechanism model based on "target-object". Existing research focus on state-owned enterprise operators, ignored the combination with important matters and state-owned assets. This paper established regulatory regime target on "people-business-things", Analysis the relationships between those three, unification on the basis of a problem conducive to coordination and dealing with the relationship between those three things, achieve the regulation target of state-owned enterprises, build an analytical framework with the starting point of "object-target". Along with the functions of the service-oriented government, this paper based on the existing framework, that is three levels of state-owned assets supervision and administration commission, state-owned assets holding company (or state-owned assets management co., LTD.), and its subsidiaries, according to the compound multi-dimensional goal that new state-owned enterprises have showed, fully consider the improvement of employees and social public interests, bring enterprise employees and the public should into the state-owned enterprise supervision system, established a new state-owned enterprise three-dimensional regulatory framework constitute of political and financial supervision and moral supervision, to interpret its internal operation mechanism.Through the above research, this paper analyzed and verified the problem of state-owned enterprise supervision system, made a push and innovation on the research angle and content of the previous research, and make up for the deficiency of the existing research and improvement, but, the research about new state-owed firms that difference with the traditional state-owned enterprises have enormous explore space. This article attempts to study the three-dimensional supervision mechanism of new state-owned enterprise, hoping to find the new supervision mechanism of state-owned enterprises, find out new direction for further research, such as empirical test of three-dimensional supervision mechanism, make my own effort for related research.更多还原