【作者】 徐昱东；

【导师】 徐坡岭；

【作者基本信息】 辽宁大学 ， 世界经济， 2009， 博士

【摘要】 近一个时期以来,国内外学界对俄罗斯经济增长的可持续性问题较为关注,并尝试从不同的角度加以分析。因为,各研究的分析视角和分析工具不同,得出的结论也不尽相同。在这种背景下,俄罗斯中小企业发展问题,因与俄罗斯经济结构升级、经济竞争力提升等涉及俄罗斯经济增长可持续性的问题密切相关,而受到学术界越来越多的重视。这样,通过分析俄罗斯中小企业发展问题,帮助人们理解整个俄罗斯经济发展问题并为中国的中小企业发展提供有益的借鉴即为本研究的理论意义和实践意义所在。问题在于,如何研究俄罗斯中小企业问题。除了纯粹的理论研究之外,流行的分析范式大多围绕中小企业面临的具体问题展开,就问题谈论问题,缺乏解释力。因此,本研究尝试从新的视角切入,将研究对象聚焦于俄罗斯中小企业总体性发展问题上,在归纳分析俄罗斯中小企业发展过程中出现的税收、法律、行政壁垒等中小企业面临的共性问题的同时,进一步分析这些问题的深层原因,并尝试解答以下几个问题,即作为经济发展微观载体的俄罗斯中小企业,其在国民经济中的地位和作用如何,其发展会对俄罗斯经济的可持续性增长产生怎样的影响;在转型的不同历史时期即叶利钦时代、普京时代,在俄罗斯主要经济、政治矛盾演变过程中制约俄罗斯中小企业发展的主要经济、政治因素及其机制是什么;俄罗斯联邦主体之间中小企业发展水平的差异程度及主要影响因素有哪些;俄罗斯转型条件下的中小企业发展的经验教训及对转型条件下的中国中小企业发展的借鉴意义主要体现在哪些方面等,对上述问题的回答则充分体现了本研究的视角及创新之处。根据上述分析进路,论文主体部分的主要内容如下:绪论,该部分一般性地介绍了研究的目的及意义、文献综述、拟解决的问题、创新点以及理论分析工具和分析方法等内容。其中,文献综述部分比较详细地考察了国内外学界对俄罗斯中小企业研究的现状,并对近期研究的四个主要方面分别给予了扼要评述,即关于俄罗斯中小企业的融资问题;影响俄罗斯中小企业发展等?铡⑿姓喙艿戎贫然肪澄侍?产权私有化与产权保护的激励问题以及国家扶持中小企业的效率问题等。第1章,首先阐述了俄罗斯中小企业的概念、类型以及发展阶段等基本特征,这是论文分析的逻辑前提。然后分析了俄罗斯中小企业的总量和结构性特点,并从吸纳就业、总产值、中产阶级培育等角度分析了其对国民经济的贡献,最后借鉴国内学者的研究构造了“俄罗斯经济体制结构动态模型”,用以大致评价中小企业发展对俄罗斯经济增长的长期影响。第2章,基于新制度经济学的视角,考察分析了影响俄罗斯中小企业发展的一般性制度因素,即历史发展道路的影响;经营传统、意识形态、宗教信仰等非正式制度;以及税收、行政壁垒、法律等正式制度因素的影响。第3章和第4章则以时间为线索,利用新制度经济学理论、公共选择理论、利益集团理论等理论分析工具,剖析了俄罗斯转型的两个重要时期,即叶利钦时代和普京时代影响俄罗斯中小企业发展的重大经济政治因素。在分析叶利钦时期时,论文首先讨论了叶利钦时代启动的重大改革,如小私有化、大私有化等对中小企业发展影响,然后,分析了转型初期在国家制度能力弱化、制度供给不足的条件下,作为正式制度的不完全替代的中小企业商业关系网络的作用、中小企业部门之间的契约关系对中小企业发展的影响;在分析普京时代俄罗斯中小企业的发展时,先后分析了普京上台后国家企业间关系的重构、产权结构的变动以及产业政策调整对中小企业的影响,然后以融资制度、协会制度的发展为例分析了制度需求与制度供给的演进对中小企业发展的影响。第5章则以空间为线索,分析了俄罗斯中小企业发展的地区不平衡性,即根据俄罗斯国家企业问题系统研究所公布的系列报告提供的数据,设计出6个衡量中小企业发展水平的指标,即X1:每十万居民注册小企业数;X2:就业人数占总就业人数的比重;X3:居民人均固定资产投资额;X4:工人人均固定资产投资额;X5:人均产值;X6:工人人均产值。利用多元统计的因子分析方法,对俄罗斯诸联邦主体中小企业发展的不平衡性进行实证分析。第6章则总结了俄罗斯中小企业发展的经验教训,与大型企业相比,中小企业的健康发展更需要政府的扶持;俄罗斯经济政治转型的过程中正式制度与非正式制度的联合演进制约着中小企业发展,演进的动态性为不同历史时期的中小企业提供不同的制度环境和制度安排,提供不同的激励结构和约束条件;中小企业有效的集体行动是维护自身利益、表达本群体声音的必然途径,只有这样才能在某秩?壬峡购獯笮徒鹑诠ひ导藕吐⒍鲜屏Φ募费埂Ｆ羰静糠?着重分析了俄罗斯非银行小额信贷的发展给我们带来的启发。最后的展望部分指出,本文在研究俄罗斯中小企业发展方面虽然有些创新之处,但也存在一些不足之处,有待于今后继续努力完善。更多还原

【Abstract】 For a recent period, much attention has been paid to the sustainability of the Russian economic growth by academic circle both at home and abroad, which has managed to analyze this subject from different perspectives. Conclusions are various, drew from different perspectives and with different analysis tools. Under this kind of circumstance, the development of Russian small and medium-sized enterprises (SME) has been paid increasing attention by academic circle, and it has close relation to the sustainability of the Russian economic growth including the structure’s upgrading, the improvement on the economic competitive capacity and so on. The theoretical and practical significance of the analysis is to help people to understand the subject regarding the economic growth of Russia thoroughly and offer beneficial references to the development of Chinese small and medium-sized enterprises, by analyzing the problem on the growth of Russian SME.The problem is how to analyze this subject. Besides pure theoretical studies, the prevailing analysis paradigms extend themselves around the specific problems on Russian SME, which argue the problem on the problem itself, lacking of the capacity on explanation. So this study manages to analyze the problem from a new perspective. Its studying object focuses on the problem about the development on the Russian SME as a whole. The study summarizes and analyzes the common problems such as taxes, law, administrative barrier, which are faced by SME in their developing process and further analyzing the underlying reason. The studying mana??to answer the following questions. That is what the position of the Russian SME in the national economy, what their function as a micro-carrier of economic development, what influence on the sustainable growth of Russia caused by their development, and what major factors and mechanisms of economy and politics, which constrains the growth of the Russian SME during the different transitional historical periods such as Putin and Yeltsin times, in the evolutionary process of the major economic and politic conflicts on Russia, and what different extent of developing level of SME among the Russian federal bodies, and also what the major influential factors are; what are the lessons drew from the development of Russian SME under the condition of the transition and what references to the Chinese SME development and so on. The answers to above questions thoroughly reflect the perspectives and the innovations of this study.According to the above way of analysis, the main content of the paper as follow:Prolegomenon, this section generally introduces the study’s purpose, meaning, literature reviews, problems for solving, as well as the innovative point, tools and methods of analysis and so on. Among them, literature reviews analyze the current situation of the study on the Russian SME by academic circle in details, and offer brief comments on the four main aspects of recent studies, which are the problems about the finance of Russian SME, the problems about institutional circumstance including taxation, administrative supervision influencing the development of Russian SME, the incentive problems about the protection of private property rights, as well as the efficiency of government support on SME. First, chapter one introduces the basic concept of Russian SME, the types of SME, and characteristics of developing stages, which is the logic premise of the analysis of the dissertation. And then it analyzes the total amount of and structural features of Russian SME, and their contributions to national economy from the perspectives of creating employment, total output value as well as cultivating the middle class. At last, with the references of the study of the domestic scholars, the dissertation constructs a dynamic model on the structure of Russian economic system, which briefly evaluates the effect on the long-term economy growth of Russia caused by the develop?? of SME.Chapter 2, on the perspective of new institutional economy, the dissertation analyzes the general institutional factors, the influences by the history developing path, the influences by informal institution like business tradition, ideology, religious belief as well as the influence by formal institution factors such taxation, administrative barrier and law.Chapter 3 and chapter 4 analyzes the important economic and political factors affecting the development of Russian SME during the two important periods of Russian transition (Yeltsin and Putin times) with time clue, using theoretical analysis tool of public choice theory, interest groups theory. When analyzing the times of Yeltsin, the dissertation firstly discusses the influence on SME by the crucial reforms started in Yeltsin times, such as privatization in small and large scale. Then this dissertation analyzes the function of the network of commercial relations of SME on the beginning of the transition, which are the incomplete replacement of formal institution under the conditions that the national institution was weakening and the supply of institution was not enough, as well as the influence on the development of SME by the contract relation between the sections of them. When analyzing the development of SME in Russia at Putin times, the dissertation analyzes successively the reconstruction of the relationship between government and enterprises, the changes in the structure of property rights as well as the influence on SME by the industrial policy adjustment after Putin came to power. And then, it analyzes the influence on SME by the evolution of institutional demand and supply with the example of the development on financing system and association system.Chapter 5 analyzes the regional imbalance of the development on Russian SME with the space as a clue. According to data of the series of reports by National Institute for System Studies of Enterpreneurship, six indexes are made for measuring the development level of SME, that is X1: the number of registered enterprises by every 100,000 residents; X2:the proportion of the employment group to the whole employment group; X3:per capita investment amount of residents in fixed assets; X4:per capita investment amount of workers in fixed assets; X5:per capita GDP; X6:per capita GDP of workers. The dissertation carries out the empirical analysis about the unbalanced development of small and medium-sized enterprises amo??he subjects of the Russian Federation, by using factor analysis of multivariate statistical analysis.Chapter 6 summarizes the experiences and lessons from the development of Russian SME. Compared with enterprises in large scale, SME need more support from the government for a healthy development. In the process of economic and political transition of Russia, the joint evolution of formal and informal institution restricted the development of SME. The dynamic feature of evolution offers different institutional circumstance and institutional arrangement, and different incentive structures and constraints for different SME on different historical periods. The effective collective action of SME is the necessary means for safeguarding their own interests and expressing group voice. Only in this way can they, to some extent, counter the extrusion of the large financial industrial groups and monopoly power. In the part of enlightenment, the dissertation emphasizes the analysis on the inspiration for us drew from the development of the Russian non-bank micro-credit. Prospect in the last part points out, there are some innovations in the dissertation of the study on the development of the Russian SME, but there remains some shortages, which needs further improvement in future.更多还原