【作者】 侯锡林；

【导师】 黎志成；

【作者基本信息】 华中科技大学 ， 管理科学与工程， 2004， 博士

【摘要】 在中国加入WTO之后,伴随着经济全球化、贸易与投资自由化和信息化进程的不断加速,国有企业的经营环境已经发生了深刻的变化,其突出的特点是经营环境中的不确定性和复杂性日益加剧,客观上迫切需要一大批具有特殊才能的职业化企业家成为国有企业的“灵魂”和“脊梁”,从而使国有企业在激烈的国际化市场竞争中立于不败之地。所以,着力研究企业家成长问题不但具有重要的理论价值,而且还具有深刻的实践意义。然而,在过去的许多年里,特别是近20年来,尽管国内外诸多学者对企业家问题作了大量的理论研究工作,并在这一领域中取得了较大的进展,其中也不乏具有理论价值和实践应用前景的研究成果,但是围绕着企业家成长问题展开的研究性论著并不多见,其成果呈现出局部性、分散性和孤立性等特点,并未形成完整而又系统的理论分析框架。基于此,本文在系统地回顾与继承既有的企业家成长研究成果的基础上,以中国经济体制转轨和国有企业改革的现实为背景;以企业家角色及其行为特征分析为切入点,以贯穿全文始终的企业家成长为主线,在有效利用经济学和管理学相关理论和方法前提下,按照“从一般到特殊”的研究思路,系统地研究了企业家,特别是国有企业家的成长机制与相应的成长模式。在本论文中,我们首次将企业家成长分为狭义和广义两种机制和相应的模式。狭义企业家成长机制是指企业家的产生、发展、选择机制和模式,换言之,就是研究企业家在进入企业任职之前的成长机制和模式。但有时为了便于对问题的研究,我们也会把从企业退出并重新进入企业家市场等待所有者选择的企业家成长问题归于狭义成长的范畴。狭义企业家成长机制是为了解决企业家的来源或供给问题,它是构成企业家制度的重要基础。狭义企业家成长机制与激励约束机制,以及法律、文化等社会环境机制共同构成了本论文所定义的广义企业家成长机制。广义企业家成长机制所发挥出的作用决定了企业家在企业中的经营行为,进而在很大程度上决定了企业的效率与绩效,而效率与绩效则是企业所有者不变的目标追求,也是经济学和管理学共同关注的永恒主题。在狭义企业家成长的理论分析框架内,侧重研究了企业家成长的人力资本机制、制度变迁机制和选择机制。具体而言,就是以人力资本理论为基础,进一步讨论企业家成长的人力资本理论分析框架,深入研究了企业家人力资本产权的内涵、结构与功能,提出了基于人力资本投资的企业家成长模式与分析方法,探索了企业家人<WP=4>力资本成长的一般规律性;以制度经济学理论为基础,努力探索企业家成长与企业制度变迁的内在联系,提出了基于企业制度变迁的企业家成长模式与分析方法,研究了企业家成长的性质、阶段及其结果,揭示了制度变迁约束下的企业家成长的一般规律性,以及中国国有企业家成长的特殊规律性;以委托——代理理论为基础,提出了企业家成长的选择模式与分析方法,给出了企业家流动的近似计算方法及其重要的宏观经济含义,建立了合意企业家选择模型,系统分析了不同选择模式对企业家成长的影响,从中筛选出最有利于中国国有企业家成长的选择模式。在广义企业家成长的理论分析框架内,通过引入激励约束机制和法律、文化等社会环境机制,在深入研究企业家成长机制体系中有关机制之间的内在联系与相互作用机理的基础上,侧重研究了对于企业家成长不可或缺的重要动力机制——激励约束机制。具体而言,就是以管理学和经济学的激励约束理论为基础,提出了相对完整的、具有一般性的广义企业家成长模式与分析方法;建立了包括人力资本机制、制度变迁机制、选择机制、激励约束机制和法律、文化等社会环境机制在内的,满足企业短期和长期绩效目标约束条件的广义企业家成长数学模型,从而使一直以来处于局部的、分散的和孤立的企业家成长理论模式得以统一;分析了影响企业家成长的激励约束因素之间内在的相互作用机理,提出了优化企业家成长激励约束机制的基本思路;通过对中国国有企业家成长的激励约束现状与问题的深刻剖析,针对完善国有企业家成长的选择机制和激励约束机制,提出了符合“可操作性、有效性、激励相容和低成本”标准的“过渡方案”。通过对企业家成长与激励约束机制研究,不但给出了相对完整的企业家成长理论分析框架、系统的成长模式和分析方法,而且也提出了促进中国职业化企业家队伍健康成长的政策建议。此外,也努力尝试了对当前人们普遍关注的,有关企业家成长的热点和难点问题给予基本原理层面上的理论澄清和具有实践指导意义的分析与解答。更多还原

【Abstract】 After China entered WTO,with the process of economy globalization, trade and investment high freedom and hi-info being accelerated constantly, the deep changes have taken place in the business management environment of state-owned enterprises. The outstanding features of these changes are that the uncertainty and the complexity in it are being aggravated day by day. That a lot of professionary entrepreneurs, who have idiosyncratic human capital or entrepreneurship, are going to be soul and backbone of state-owned enterprises is a kind of objective demand. Only by relying them can enterprises establish themselves in an unassailable position in the fierce internationalized market competition. Therefore, putting our efforts on researching entrepreneur growth problem not only has important theory value, but also practical significance. However, in last many years, especially recent twenty years, though scholars at home and abroad have done plenty of theory research work about entrepreneur problem and made progress in this field, the research results possessed theory value and the prospects for practical application, the advanced treatise of entrepreneur growth problem is a fat lot. The research results take on the traits of local, decentralization and insulation, not formed the theory analysis framework of integrity and system. Based on these, through critical retrospection and inheriting the present research results of entrepreneur growth, with the background of Chinese economy system transfer and state-owned enterprises reform, by way of the cut-in point with the analysis of an entrepreneur role and his behavior character, with the masterstroke of entrepreneur growth penetrating full text, under the premise of effectively utilizing the correlative theory and method of economics and management, according to research ideal which is from general to the particularity, this paper systemically researched entrepreneur’s growth mechanism, especially state-owned one’s and corresponding growth model.In this paper, entrepreneur growth was firstly divided into two mechanisms and corresponding models of narrow sense and extensive sense. In narrow sense, the mechanism and the model of entrepreneur growth is his producing, developing and choice mechanism, as well as a corresponding model; in other words, it is the mechanism and the model of entrepreneur growth before an entrepreneur enters enterprise to hold a post. In order to study problem convenience, the problem of who were retreated from enterprises and entered entrepreneur market to wait for owner’s choice may be included in the <WP=6>category of narrow growth. In narrow sense, the mechanism of entrepreneur growth is to solve the problem of entrepreneur resource and supply, which is an important basis of entrepreneur system. On the basis of the narrow sense mechanism of entrepreneur growth, a motivation mechanism and the mechanisms of law and culture and social environment, and so on, constituted the mechanism of entrepreneur growth in extensive sense, which was defined in this paper. The role of it decided the behaviors of an entrepreneur’s business management in an enterprise, as well as the efficiency and the performance of an enterprise to a great extent; however, efficiency and performance are the unaltered economic goal pursued by owners, furthermore it is also the forever topic jointly followed with interest by economics and management.In the theory analysis framework of entrepreneur growth in narrow sense, this paper mainly studied the mechanisms of human capital, institutional change and competitive choice on entrepreneur growth with the purpose of investigating systematically. In details, on the basis of human capital theory, newly defined the theory analysis framework of human capital on entrepreneur growth; deeply researched the connotation, the configuration and the functions of the property rights on entrepreneur human capital; put forward the entrepreneur growth model and analysis method founded on the investment to promote the growth of entrepreneur hu更多还原