【作者】 王子林；

【导师】 潘石；

【作者基本信息】 吉林大学 ， 制度经济学， 2014， 博士

【摘要】 第一章导论通过四个方面对论文进行了基本的架构说明，分别是研究背景与意义、研究文献评述、研究方法与思路、可能创新与不足。第二章，中国私营企业成长与创新相关理论基础。研究中国私营企业成长与创新所涉及的理论很多也很复杂，在此本文不能面面俱到，只能将与本研究相关的理论涵盖进来，主要包括马克思主义经典作家私有制理论、私营企业成长理论与新制度经济学理论。首先，私营企业在中国的成长与发展是以马克思主义经典作家私有制理论为基础的；其次，在现实的经济生活里，中国私营企业在发展的过程中普遍遭遇了成长危机，此时我们应当借鉴西方世界相对成熟的企业成长理论来丰富指导实践；最后，由于传统的主流经济学坚持完全理性人、完全信息、交易成本为零等假设，使其理论与现实脱轨，无法真正有效地描述企业的运营与成长过程，因此中国私营企业成长研究离不开新制度经济学理论的支持与指导。第三章，中国私营企业的现实分析。这一章总结了中国私营企业当前的发展概况，分析了中国私营企业在国民经济建设中的重要作用。中国私营企业通过改革开放30年来的发展逐渐成为了我国社会主义市场经济的主要组成部分，在整个国民经济中起着举足重轻的作用。然而在中国私营企业抓住机遇不断成长的同时，也有许多曾经在商海叱咤风云的巨头在愈加激烈的市场竞争中渐渐步入困境，陷入成长危机。本章从新制度经济学的视角切入进行了私营企业成长障碍的制度机理分析，得出结论：从目前来看实现我国私营企业可持续成长的关键因素在于决定企业成长的制度集合（包括企业内部制度结构与企业外部制度环境）的相容性。这里的相容性包涵了两层意思，一是指企业设计的内部制度结构与国家制定的外部制度环境是否与企业发展的现实相容；二是指决定私营企业成长的制度集合中企业内部制度结构与企业外部制度环境是否相容。其中前者的相容性决定了后者的相容性。接下来本章具体探讨了当前我国私营企业成长的外部制度环境与内部制度结构存在哪些障碍需要通过制度创新来得以攻克。第四章，中国私营企业外部制度环境变迁分析。制度环境是指影响私营企业成长所有外部制度因素的总和，这些因素由国家力量与社会力量共同支配着，主要可以分为四个方面：法律环境、政治环境、经济环境与社会服务环境。其中法律环境是整个制度环境的保障，对于一个健全的法律体系来说最基本的要求有三项：立法完备、司法公正、执法严格；政治环境的构建包含两个层面，一是中央政策方针的设计，二是政策的贯彻与执行；经济环境被视为是私营企业成长制度环境中最重要的组成部分，其中最为关键的两个方面是金融环境与市场管理；社会服务环境的完备与否影响着私营企业成长所需生产要素的流动性，同时也会侧面反映一个国家经济发展的先进程度，考察社会服务最主要的两个方面一是社会中介组织的建立，二是专业市场的发展。本章从市场和国家两个方面入手，一方面梳理了市场经济制度变迁的轨迹，论述了国家对市场制度的选择行为；另一方面探讨了我国私营企业制度环境的演进历程与地方政府行为偏好对私营企业成长的影响。最后进行了我国私营企业成长制度环境的需求与供给模型分析，为私营企业制度环境创新路径的选择提供了理论导向。第五章，中国私营企业制度结构变迁分析。首先，本章探讨了我国私营企业的产生路径，并在此基础上总结出中国私营企业的制度特征以及制度特征对私营企业成长的辩证影响。其次，本章以中国私营企业发展模式为归类单位对其成长过程中的制度变迁轨迹进行了梳理，总结探讨了“温州模式”、“苏南模式”、“珠江模式”企业制度结构变迁对东北老工业基地与中西部地区发展私营企业的启示。最后，本章进行了中国私营企业成长内部制度结构的需求与供给模型分析以及均衡博弈分析，为私营企业制度结构创新路径的选择提供了理论导向。第六章，美、日私营企业比较制度分析及其对中国私营企业成长与制度创新的启示。相对于我国的私营企业而言，发达国家的私营企业已经有百年的发展历史，在企业制度变迁与创新方面积累了非常丰富的经验，这在很大程度上都依赖于它们相对成熟完善的企业制度，所以在研究我国私营企业成长与制度创新的过程中，有必要借鉴发达国家企业制度创新的经验。本章将以美国与日本的私营企业为例，对它们的产权制度、组织制度以及管理制度进行的比较制度分析，以期得出一些对我国私营企业制度创新可行建议与有益启发。第七章，中国私营企业成长的相容性制度集合创新路径选择。通过前几章对中国私营企业的现实分析以及中国私营企业制度环境与制度结构变迁轨迹的梳理和发达国家间私营企业的比较制度分析可知，对于当前的中国私营企业成长来说，最关键的因素在于决定企业成长的制度集合（包括企业内部制度结构与企业外部制度环境）的相容性。中国私营企业要实现健康可持续成长，就一定要在清醒认识企业发展现实的基础上大力推进企业成长的内外环境相容性制度集合创新，以解除企业成长外源性障碍的同时增强企业成长的内生动力。本章将具体探讨怎样通过制度创新来规避当前私营企业外部制度环境与内部制度结构中存在的障碍对企业成长的制约性。更多还原

【Abstract】 In the introduction chapter, the basic structure of this paper are introduced andillustrated briefly through four aspects, namely research background and significance,literature review, research methods and ideas, and innovation as well as inadequacies.The second chapter: Growth and innovation-related fundamental theories ofprivate enterprises in China. Because theoretical study of Chinese private enterprisesinvolved with growth and innovation are vast and complex, it’s nearly impossible thatthis particular article can cover everything, and only theories related to this particularresearch will be covered, including private ownership theory of the Marxism classicalwriters, private sector growth theory and new institutional economics theory. Firstly,the growth and development of private enterprises in China is based on the privateownership theory of Marxism classical writers; secondly, in economic reality, Chineseprivate enterprises mostly encountered and suffered from growth crisis in the processof development, then we should draw from growth theory of relatively matureenterprises of western world to guide and put into practice; finally, the traditionalmainstream economics, which adhere perfectly rational people, perfect information,and hypothesis such as zero transaction costs and so on, lead to the contradiction andconflicts between theory and reality, so it can not really effectively describe theenterprise operations and growth process, and consequently, the research on thegrowth of private enterprises in China cannot implement and succeed without thesupport and guidance of new institutional economics theory.The third chapter: Analysis on reality of private enterprises in China. Thischapter summarizes the overview of current development status of private enterprisesin China, and analyzes the important role of private enterprises presented in thenational economy construction. Through reforming and opening up in recent30years, Chinese private enterprises have become the major component of China’s socialisticmarket economy, keeping playing a more and more important role in the entirenational economy. However, as some private enterprises in China seizing theopportunity to grow bigger and further, there are also many private enterprises, whichonce upon have been more successful than others, trapping in the increasingly fiercecompetition in the market and facing the growth crisis. This chapter will use the angleof new institutional economics to conduct analysis of barriers to the growth of privateenterprises, and concludes: In order to achieve sustainable growth of Chinese privateenterprises, the key factor is the compatibility of the collection system that decidesthe growth of an enterprise (including the internal institutional structure of theenterprise institution and the external institutional environment of the enterprise).Here the compatibility contains two meanings, first referring to, in the institutionalcollection, the compatibility between the internal institutional structure of theenterprise and the external institutional environment of the enterprise; secondreferring to, in the reality of enterprise growth, the compatibility between thecorporate design of the internal structure of the enterprise and the externalinstitutional environment formulated by the government. Next, the chapter discusses,of Chinese private enterprises in the current growth condition and among externalinstitutional environment and internal institutional, what specific existing institutionalbarriers structure has to overcome through institutional innovation.The fourth chapter: Analysis on the change of external institutional environmentof private enterprises in China. Institutional environment is the sum of all externalinstitutional environment factors that impact the growth of private enterprises. Thesefactors are dominated both by national and social forces, and can be divided into fourareas: legal environment, political environment, economic environment and socialservices environment. Legal environment is the safeguard to the entire institutionalenvironment, and there are three basic requirements for a proper legal system:Completed legislative, fair justice, and strict law enforcement; the construction ofpolitical environment consists of two levels, the design of the central policy objective and the implement and execution of the policies; economic environment is consideredas the most important part of the institutional environment to the growth of privateenterprises, of which the two most critical aspects are the financial environment andthe market management; social services environment, if fully functional, plays animportant role to the mobility of production elements required by private enterprisesin order to grow, and also reflects the degree of advancement of a country’s economicdevelopment, and the most important aspect of social services environment can beinvestigated through two sides, of which one is by establishing social intermediaryorganizations, and the other is by the development of the professional market. Thischapter starts the discussion from two aspects of the market and the governments,from which on one hand sorting and classifying the route of changes of marketeconomy system, and discussing the national selection behavior of the market system,and on the other hand investigating and exploring the evolution process of theinstitutional environment of our private enterprises and the impact of preferences oflocal government on private enterprises. Ultimately, for providing theoreticaldirection of the choice of the path of institutional innovation of private enterprises,the chapter exemplifies and analyzes the demand-supply model of the institutionalenvironment of in-growth private enterprises.The fifth chapter: Analysis on the change of institutional structure of privateenterprises in China. Firstly, this chapter discusses the emergence path of privateenterprises in China, through which summing up the characteristics of Chineseprivate enterprise system and exploring the dialectical impact of institutionalcharacteristics on private enterprise growth. Next, this chapter classifies the change ofgrowth trajectory by sorting out modes of the development of Chinese privateenterprises, summing up and exploring the inspiration of the enterprise institutionalchanges of "Wenzhou mode","Sunan mode","Zhujiang mode" brought to theNortheast old industrial bases and the Midwest developing private enterprises. Finally,the chapter exemplifies and analyzes the demand-supply model of the internalinstitutional structure of in-growth private enterprises and the equilibrium-game model to provide theoretical direction of the choice of the path of institutionalinnovation of private enterprises.The sixth chapter: Analysis on comparisons of the institution of American andJapanese enterprises and its revelation and enlightenment for the growth andinstitutional innovation of private enterprises in China. Compared to our country’sprivate enterprises, private enterprises in developed countries has accumulated a greatwealth of experience of institutional change and innovation through their history ofcenturies, which are primarily dependent on their relatively sophisticated enterpriseinstitution and system, so in order to study growth of private enterprises andinstitutional innovation in our country, it is necessary to draw and learn from theexperience of institutional innovation of enterprises in developed countries. Thischapter will take examples of enterprises of the United States and Japan, comparingand analyzing their institution and system of property, organization and management,in order to draw some practical advice and useful inspiration for the institutionalinnovation of private enterprises in our country.The final chapter: Suggestive options of the environment-compatibleinstitutional innovation path of in-growth private enterprises in China. Throughprevious chapters, by analyzing the reality of Chinese private enterprises, the changeof institutional environment and institutional structure of Chinese private enterprisesand the comparison with institution and system of enterprises in developed country, itis clear understood that, as to the growth situation of current Chinese privateenterprises, the most critical factor is the compatibility of the institution set withinitself which determines the growth of the enterprise (including internal institutionalstructure and external institutional environment) as well as its compatibility with thereality that the enterprise is in. In order to achieve healthy and sustainable growth,private enterprises in China must vigorously promote institutionalenvironment-compatible innovation after clearly understanding the reality on thedevelopment basis of enterprises, to relieve from external barriers of enterprisegrowth while enhancing the internal power of enterprise growth. This chapter will discuss in details, through institutional innovation, how to avoid and overcomeobstacles, which heavily impact and impede the growth of enterprises, existed withinexternal institutional environment and internal institutional structure of currentprivate enterprises.更多还原