【作者】 张兵；

【导师】 韩毅；

【作者基本信息】 辽宁大学 ， 经济史， 2008， 博士

【摘要】 企业是现代经济社会的细胞和重要单元,是经济发展的基础和关键。公司是一种高级企业组织形式,是依照法律规定,由股东出资设立的以营利为目的的社团法人。近代公司制度的建立和发展是西方资本主义迅速发展的根本所在。正如马克思所言:“假如必须等待积累使单个资本增长到能够修建铁路的程度,那么恐怕直到今天世界上还没有铁路,但是集中通过股份公司转眼之间就把这件事完成了”。中国改革开放已经走了30个年头,取得了许多辉煌的成就,但也有许多问题还需要进一步解决。其中最棘手和最困难的恐怕要数如何进行现代企业制度改革,特别是国有大型和特大型的企业的改制问题,这是中国计划经济迈向市场经济的关键。该问题引起许多经济学家的关注,他们广征博引,介绍了西方发达国家近现代企业制度的演变和发展,以便给中国的改革提供借鉴。然而,他们却忽略了近代中国历史上曾经出现和生成过的公司制度,忽略了对近代中国近百年的公司制度变迁、演进的历史考察,忽略了对近代中国公司制度变迁的移植性的探究。历史是最好的老师;历史经验是历史留给我们的最宝贵的财富。因此,系统全面地考察和研究近代中国公司制度的变迁,探究制度变迁的动因和逻辑,总结制度移植的历史经验,不仅具有一定学术意义和学术价值,而且还具有直接的现实意义和价值。本文主要采用历史分析方法与逻辑论证方法相结合,归纳分析与演绎分析方法相结合,方法论集体主义与方法论个人主义相结合的分析方法,以移植性制度变迁假说为主要分析框架,阐释了近代中国公司制度移植的原因、过程和内在的演进逻辑。从中得出如下结论:相关制度要素既是制度移植的阻碍因素也是制度移植成功的促进因素;创新性制度调整是移植成功的根本;持续的学习能力是移植成功的基础;与社会目标协调的扶植型政府是移植成功的保证。本文的主要内容如下:第一章是本文的绪论部分。第二章是在制度变迁理论的基础之上提出移植性制度变迁假说。第三章分析了近代中国公司制度移植的动因:制度需求和制度距离。第四章从商人和政府的成本与收益分析出发,论述了洋务大员推动制度嫁接,产生官督商办特许公司制度的原因以及制度嫁接结果。第五章阐述了知识存量增加、其他制度要素变迁以及政府与商会实力对比变化引发的近代中国公司制度调整,建立商办准则主义公司制度。该制度实现了制度互补,制度配置效率和适应性效率都大幅度提高,制度移植比较成功。第六章主要是分析近代中国公司制度发展的逆转与移植失败的过程和原因。第七章是本文的结论和启示。更多还原

【Abstract】 Enterprise is the cell and important unit of modern economic society. It is the base and crux of economic development. Corporation is higher organization form of enterprise. A corporation is a nonhuman entity which is established by the shareholders according to the laws to make profit. It was corporations’ establishment and development in modern time that had made Western Worlds rapidly develop. As Karl Marx had said that if must wait for someone accumulating enough money to build railways, we are afraid that we have no railways today, while corporations can do it in an instant.We have reformed and opening up for 30 years, there got a lot of splendid improvement, and there are still some problem waiting to solve. Perhaps the most intractable and difficult problem is how to establish the modern corporation system, especially how to change the large-scale state-owned firms to modern corporation. It attracts many economists. They introduced the road of western corporation’s development and change for reference, but ignore that there are corporations in modern China, they had develop for about one hundred years, and they also transplanted the western corporation institutions. History is the best teacher, and historical experience is the most valuable wealth history gave us. So it will be valuable for both academic study and real life to systematically review and study the change of corporation institution in modern China, dig the reason and logic of the change and sum up the history experience of institutional transplantation.We build a framework of transplanting institutional change, and use it to explain the reson, the process and the logic of China’s corporation institutional change in modern times by combining the historical analysis method with the logical reasoning method, the concluding method and deducting method, the collectivism and individualism in method. And we conclude that other institutional factors pertaining to the transplanting one are both the baffling and stimulating factors for success; innovative institutional adjustment is the fundament; persistent learning is the bedrock; and the government who has the same goal with the society and prop up the corporation’s development is the gurantee for the success.The paper has seven chapters. The first is introduction. The second is the framework of transplanting institutional change based on the theory of institutional change. The third is analysizing the reasons of institutional transplantment of China’s corporation in Modern times, which includes demand of the institution and the distance between original institution and objective one. In the fourth chapter we discuss the expected cost and revenue of businessmen and the government to explore the reason why the government selected license corporation institution which is supervised by the government offical and managed by businessmen, and to evaluate the transplanting result. In Chapter Five, we talk about that as the deposit of knowledge increases, other institutions pertaining to the transplanting one changes, and the balance between government and chamber of commerce incline to the latter, the corporation institution changed, and the license corporation institution was replaced by lawism. That is to say the transplanting is successful comparing with the license one. In Chapter Six, we analyse the reason why the development of China’s corporation institution turn back, which make the institutional transplantment of China’s corporation in modern times fail. And the last one is the conclusions and suggestions.更多还原