俄罗斯企业制度研究

【作者】 张聪明；

【导师】 许新；

【作者基本信息】 中国社会科学院研究生院 ， 国际政治学， 2002， 博士

【摘要】 本文讨论的是俄罗斯的(工业)企业制度。 第一篇是理论和历史篇，包含三章。在第一章，用整一章的篇幅介绍了现代企业理论的主要内容和观点，为全文提供一个理论基础。 第二章和第三章是对苏联企业制度安排和变迁的考察。这是对俄罗斯企业制度“前身”的考察，它的基本特征是：国家就是企业，国家既是剩余索取权拥有者，又是剩余控制权拥有者；国家的多目的性、过长的委托链、激励和监督的缺乏使这种制度安排没有效率，改革(制度变迁)因为没有触及问题的实质而功效甚微，这—切就成了日后俄罗斯重建企业制度的最根本的原因。 第二篇是重建和现状篇，由五章构成。第四章主要讨论俄罗斯企业制度的重建，它是以私有化的形式出现在历史舞台上的。俄罗斯的私有化，单就重建企业制度来说，它已经使俄罗斯的企业从苏联时期的国家就是企业的大一统中蜕变出来，形成了非国有为主的混合所制结构，企业产权趋于明晰，公司制度成为企业的基本制度。第五章专门讨论俄罗斯公司治理。俄罗斯公司的特殊性表现在治理结构上，就是兼具英美和德日两种公司治理模式的某些特征，成为一种转轨国家特有的、尚未成熟的综合型治理结构。这种治理结构的特点是：公司的剩余索取权与控制权结合失当，内部人控制过度，股权与资本脱节，委托和代理一体，管理与经营失衡；根本问题是主体缺位、市场幼稚、产权缺乏切实保护；结果是企业无效率运行。第六章讨论的是俄罗斯的国有企业，中心是考察俄罗斯国有企业的地位、组织形式和管理方式。俄罗斯的国有企业处于一种不稳定的过渡状态，它的特点是一方面国有企业在国民经济中所占比重大，影响也大，另一方面，国有企业(股份)的有效管理还是需要解决的问题。第七章从动态的角度考察了俄罗斯的企业制度，那就是企业的重组。本文只是从产权制度变迁的角度考察企业资本结构的变化和相应的控制权的变化，基本的问题还是产权得不到应有的保护，内部人排斥外部资金和管理的进入。第八章简单讨论了俄罗斯的小企业。俄罗斯的小企业得到了相当的发展，但进一步的发展还有赖于制度环境的改善。 第三篇是背景和环境篇，主要讨论俄罗斯企业生存的环境。第九章涉及俄罗斯的市场、财政、金融和社会保障等企业制度得以运行的宏观环境。高通货膨胀、要素市场的发育不足、财政的紧缩和过重的税赋、紧的货币政策和脆弱的商业银行系统、效率不高的社会保障使企业处于一个相对艰难的宏观环境中。第十章讨论了俄罗斯企业的制度环境，即国家和意识形态。主要问题是：国家不能提供有效的制度环境，宪法出台艰难，实施机制缺失，法律和法令大多无法贯彻执行，产权也因此得不到有效保护。问题的严重性还在于，俄罗斯的文化特质和民族根性与市场经济的要求并不一致，这将是俄罗斯企业制度发挥其效率作用的根本困难。 本文的结论是：俄罗斯已在某种程度上建立起了符合市场经济要求的企业制度，一些私有化的公司制企业产生了优于国有企业的经济效果，但要充分发挥现代企业制度的效率作用，需要俄罗斯人民做出长期甚至是痛苦的努力。本文在结束语中从企业制度的角度提出了俄罗斯社会的动力结构问题：面对外部世界的竞争，知识分子要高扬理性的旗帜，公民要以自己积极的行为为自己负责，企业家要通过创新追求财富，政府要以廉洁捍卫公正，国家机器要以稳定、安全和统一为最高目标。俄罗斯的希望，可能就在于尽快实现这些积极力量的整合。更多还原

【Abstract】 This dissertation is a research on the enterprise institution in Russia.The dissertation fells into three parts and consists of ten chapters. Part one is on "the theory and the history"; part two is on "the restructure and the current situation,"prt three is on "the economic, political and cultural environment of the enterprises in Russia"There are three chapters in prt one. Chapter One is a review and discussion about the theory of firm. They are the contractal theory of the firm, the principal-agent theory of the firm, the managerial theory of the firm, the entrepreneurial theory of the firm and the entrepreneurial-contractal theory of firm etc..They are the theoretical basis for the discussion on the enterprise institution in RussiaChapter Two and Chapter Three is a studying about the arrangement and change with the enterprise institution in SovieLThe State is the enterprise in SovieLThe state hold the residual claims, and residual controLBecause there are multi-aims of the state and long chain of the principal,but there is not the effective incentive and monitoring in the arranggementdie institution is uneflective.lt is the why the enterprise institution was restructured at the beginning of The New Russia.There are five chapters in part two. Chapter Four is a discussion about the restructue of the enterprise institution in Russia, which was called "Privatization". In Russia the structure of ownship has established to certain extent in which the non-state-owned property is majior by way of the privatization. The property-rights tend clear gradually. The corporation became the majior enterprise institution. Chapter five discusses the corporate governance in Russia-The model of the corporate governance in Russia included both some characteristics of the model of Britain- American and German- Japanese, it is a special ante-ripe comprehensive model of corporate governance. There are some problems as follows: both the residual claims and die residual control making a bad match; excessive control by insiders; proporty rights without match of capital; lack of the real body making good match with market economy; incomplete market; lack of real protected property rights. Chapter six is on the position, orgnization and management of the state-owned enterprises.They are changing in the transition.Its efficincies of management need an improvemenLChapter seven is on die restructure of the enterprise in RussiaHere only discuss the change of die construction of die capital and controLThe problems are die lack of protection with property rights,insiders repelling outsiders yetChapter eight is a simple discussion about small enterprise.The small enterprises had quite developed ,but die sustainable development rely on the amelioration of the institutional environmentThere are two chapters in part diree, it is a discussion about the existent environment of die enterprise in RussiaChapter nine is on die market system and die financial and social security institution in Russia-The environment of die enterprise needs to improve. Chappter ten is on die institutional environment of the enterprise in RussiaThe law and regulation had taken effect not good. Specially, die Russian culture is not a match for market economy.Conclussion:the institution of the enterprise has already been established to a certain extent which is a match for market economy,but it neets a had work long time tiiat die effeciency of die institution is realised folly.更多还原