【作者】 蒋贤孝；

【导师】 赵振铣；

【作者基本信息】 西南财经大学 ， 产业经济学， 2010， 博士

【摘要】 监狱企业集团公司是近年来国家推进监狱体制改革的新生事物,它是以省内各监狱企业为子(分)公司,以省为区域范围而筹建的管理监狱企业的国有独资公司。到2010年3月,全国已经有20个省(市)组建了省监狱企业集团公司,其余省市也正在紧锣密鼓地筹建监狱企业集团公司。对这一新生事物,理论界研究甚少,目前国内尚未见全面系统研究监狱企业集团公司的文献。监狱企业是为监狱改造罪犯提供劳动岗位和劳动场所的经济组织,是与监狱同生共存的。监狱企业的价值在于为教育改造罪犯服务,实现监狱的社会效益,同时组织罪犯劳动创造物质财富,创造经济效益。监狱企业的生产经营问题是关系监狱企业生存,甚至关系监狱改造工作的重大问题,而监狱企业集团公司是监狱企业管理体制改革的新探索,因此,对它深入研究具有理论创新意义和重大的社会实践意义。本文对监狱企业集团公司的研究,首先从罪犯劳动的价值入手研究监狱企业的性质,研究监狱企业资源要素的特殊性、监狱企业生产经营状况。然后分析我国监狱企业管理体制及其不适应性,运用资源配置理论、交易成本理论、企业集团公司治理理论、产业选择、产业布局等经济理论,研究监狱企业集团化改革的必要性和特殊性；研究监狱企业集团公司如何抓治理,如何利用产业结构调整策略,抓好产业选择,调整好监狱企业的产业结构,依托监狱布局调整契机,抓好监狱企业的产业布局,推进监狱企业集团公司健康发展。监狱作为国家机器的重要组成部分,承担着关押和改造罪犯的政治职能。为实现这个职能,监狱要组织罪犯从事生产劳动改造,从而衍生了监狱组织生产获取经济效益的经济职能,其经济职能从属于政治职能。监狱组织罪犯劳动,有其历史渊源,新中国依然坚持用劳动手段改造罪犯,监狱组织罪犯劳动改造,也是国际通行做法。罪犯劳动,具有改造罪犯和创造经济效益的双重价值：一方面促进罪犯改造,帮助其矫正恶习、养成劳动习惯,还能让罪犯学会一定的生存技能和技术,有利于其回归社会；另一方面,罪犯劳动也能为社会创造一定的物质财富。监狱企业作为监狱的附属机构,具有天然的二重性质,它既有一般社会企业的共同属性,也有其特殊性质。其二重性质主要表现在监狱企业的职能、内部因素等方面。从职能看,监狱企业既要为改造罪犯提供劳动岗位和生产场所,为改造服务,又要通过生产经营获取一定的经济效益。从内部因素看,监狱警察是国家执法者,但同时又是监狱企业的管理者；罪犯既是执行刑罚的对象,又是监狱企业的生产者。监狱企业的管理过程,既是刑法执行和劳动改造过程,又是企业生产经营管理过程。监狱企业具有公共产品组织属性,它为社会提供两种公共产品——公共安全和改恶从善的公民。因此,其社会效益应当重于其经济效益,监狱企业生产必然是处于从属地位的。监狱企业的经济价值在于它能持续为罪犯劳动提供岗位,能有效、有序组织劳动,能积累劳动成果,维持监狱生产持续发展,创造社会财富。与新中国成立后的贫穷状况和长期实行的计划经济体制相适应,新中国的监狱逐渐形成了“监狱、监狱企业、监狱办的社会机构”三者合一的管理体制。这种体制在计划经济体制下曾经使监狱企业繁荣发展,为改造罪犯和国家经济发展作出了贡献。但随着我国市场经济体制改革深入推进,“监、企、社”合一的管理体制越来越不适应发展需要,影响到监狱监管执法和教育改造罪犯的质量；影响到监狱企业的可持续发展,许多监狱企业经营不善,负债累累,甚至濒临破产。为此,从上个世纪90年代后期,国家开始探索解决监狱困难问题的方法,推进新一轮监狱体制改革。到2000年,国家出台解决监狱困难问题的文件,到2003年,国家开始在江西、黑龙江、重庆等6个省市试点监狱体制改革,到2008年底,在全国全面推行监狱体制改革。这一轮改革中,重头戏是监狱与监狱企业分开,以省为单位组建监狱企业集团公司。监狱企业集团化改革,从理论上看具有合理性：一是利用企业集团化变革促进监狱企业现有资源优化配置和利用；二是利用企业集团经营优势,变监狱企业的外部交易为集团公司内部交易或管理,降低交易成本；三是可利用监狱企业集团的治理优势来经营监狱企业；四是结合监狱企业所从事的产业发展实际情况,做好产业选择,调整产业空间布局。再从国外实践看,有些经验和做法值得学习借鉴。世界上许多发达国家都采用公司化方式对监狱企业进行管理,监狱企业公司相对独立于国家监狱管理部门而运行,直接对监狱管理局或矫正局负责,如美国、加拿大、韩国等。国外监狱生产管理有几个特点值得借鉴,一是许多国家都强调监狱与监狱企业分开运行,对监狱采取行政管理,对监狱企业公司采取市场手段管理。二是重视罪犯的劳动技能培训,如加拿大、日本、意大利等国家都很重视在罪犯劳动中进行技能培训；三是重视罪犯生产项目和产业发展指导,如澳大利亚、美国等；四是重视罪犯劳动产品销售和政府政策支持,韩国政府及意大利等国政府就专门出台法令并督促实施。监狱企业集团化改革的背景是：近年来监狱企业经营日艰、负债严重、有的濒临破产,影响了监狱教育改造工作,促使国家推进监狱体制改革。其思路是“全额保障、监企分开、收支分开、规范运行”,重点是监狱企业集团化改革。其中,全额保障就是要实现国家财政对监狱经费的全部供给保障。监企分开是推进监狱与监狱企业的机构、人员、物质、经费的全面分开,将省监狱管理局机关原来负责管理生产的机构和人员剥离出来,组建成为省监狱企业集团公司；将监狱企业从监狱中剥离出来,组建成为集团公司的子(分)公司,专门负责管理监狱生产经营。收支分开就是要将监狱执法经费与监狱企业的生产经费分开,实现两者的收入与支出分开,监狱与监狱企业之间不再发生经费往来。规范运行就是要建立起监狱管理与企业公司管理两套运行机制,推进监狱与企业公司的相对独立运行,相互协调配合。推进监狱企业集团化改革,实践中也有质疑：此做法是否适合我国国情?监狱与企业公司有限分离的情况下,集团公司能真正独立运行吗?新体制下,能制约集团公司高层领导的权力运行吗,能达到改革预期效果吗?这些质疑意见值得深入思考和研究。监狱企业集团公司在改革运行中,面临不少实践困惑和问题,主要表现在：对监狱企业集团化改革可行性的认识不一；对监狱企业集团公司的性质理解不一；组建集团公司时争取机构、资产和人员不易；原监狱企业政策性破产困难重重；原监狱企业人员的去留安置难办；监狱及集团公司的财政保障缺口较大；公司与监狱的管理协作存在问题和监狱企业集团公司自身管理制度不够完善等问题。要解决好这些问题,需要在改革中摸索,在借鉴国有企业改革和国外监狱企业集团公司管理机制的基础上,重点做好监狱企业集团公司的内部治理、产业选择和布局等,全面推进监狱企业集团公司健康发展。对于监狱企业集团公司的内部治理,要注重构建运行机制。一是集团公司的产权规制及改进。我国监狱企业集团公司是国有独资公司,各省政府通常委托监狱管理局负责管理国有资产,负责国有资产的增值保值,我国监狱企业集团公司的单一产权结构也有其不适应性。国外监狱企业集团公司多采用多元持股的产权模式,笔者认为可借鉴。并大胆设想,我国监狱企业集团公司可探索多元持股的产权模式。二是集团公司的内部治理机构。需要合理设置公司的法人治理机构和内部组织管理机构。包括董事会、监事会和经理层机构设置,还包括集团公司内部组织机构及子(分)公司的内设机构的设置。三是集团公司的内部管控机制,包括集团公司对子(分)公司的管控；省监狱局对集团公司的监管；监狱与子(分)公司的协调配合三个方面。还包括做好监狱企业公司对罪犯劳动的管控。四是构建集团公司人力资源管理机制。建立职业经理人队伍培养管理机制、完善过渡时期公司警察的约束机制和公司职工管理机制等。五是建立监狱企业集团公司的财务管理和协调机制,包括监狱与企业公司财务收支分开和企业公司内部财务管理机制。六是公司与监狱的协调配合机制,要处理好省监狱管理局、监狱企业集团公司、监狱和子(分)司公司四者之间的相互关系。在监狱与监狱企业公司的协调配合方式上,主要通过建立联席会议制度、签订合同或协议等予以协调；建立公司与监狱的相互监督制约机制。对于监狱企业公司的产业选择和布局,应当重视监狱企业公司的产业结构、包括的产业的结构调整和产业空间布局调整等措施。一是客观分析我国监狱企业的产业发展现状及面临的问题。二是集团公司产业选择的影响因素及对策。集团公司产业选择应考虑罪犯劳动力的特殊性、监狱企业特殊性和国家对监狱企业的产业政策等因素。产业选择把握有利于保持和有效利用罪犯劳动能力、有利于执行刑罚和改造罪犯、有利于罪犯和监狱的安全、从实际出发因地制宜、充分利用现有优势资源等因素。对策是：果断退出高危险、高污染产业,大力拓展劳务加工产业,争取和发展政府采购型产业。三是集团公司调整产业空间布局的措施,要抓住监狱布局调整的良好契机,协调推进监狱布局和产业调整,依托地区资源优势和产业发展政策,调整监狱企业的区域布局和产业空间布局,最终实现监狱企业的产业可持续发展。更多还原

【Abstract】 State Prison Enterprise Group is a new thing as the result of promoting prison reform in recent years. it is a solely state-owned enterprise made by all prison enterprises (branch) companies aiming at regional management at provincial scope. To March 2010, the country has had 20 provinces (cities) set up a provincial prison Enterprise Group, the other provinces are also busy to prison Enterprise Group. The current domestic prison system has not yet see a comprehensive enterprise group’s literature., the academic field has little knowledge about this new thing.Prison business is a kind of economic organization to provide labor for the rehabilitation of offenders prison jobs and work places, it co-exists with the prison. The value of the prison business is to service for the education and reform offenders, realize the social benefits of the prison, while organizing criminals to work to create wealth and economic benefits. Production and operational problems of the prison business are the significant problems which connect with the survival of prison enterprises, and even prison transformation. And prison Enterprise Group is the new exploration of prison Management System, therefore, to deeply research in it has theoretical innovative meaning and important community practice meaning.This article explores the prison enterprises from the value of criminals’ working, to the nature of prison enterprises, the special points of the prison enterprises resources and the production situation of prison enterprises. Then, analyse the prison system and it is not adaptable for the business management, use resource allocation theory, transaction cost theory, theory of corporate governance of companies, industry selection, industrial distribution and other economic theory, to study the need of reform of the prison enterprise groups. And to study how prison enterprises to control the management, how to use the existing industrial restructuring strategy todo a good job in industry selection, how to adjust the industrial structure of the prison business, relying on the opportunity to adjust the prison layout, good job layout of the prison industrial enterprises, and promote prison in healthy way to develop the prison enterprises.As an important part of the state machinery, prison undertakes the political functions of rehabilitation of offenders. To achieve this function, the prison arranges prisoners to engage in productive labor reform, which gives rise to the prison to obtain economic benefits of the economic organization of production functions, which subordinates to political functions. Prison labor organization has its historical origins, the new China labor measures still persist in using the rehabilitation of offenders, prison labor reform criminal organizations, and it is also international practice. Prison labor, with the rehabilitation of offenders and the creation of economic double value:on the one hand, to promote the rehabilitation of offenders, help correct bad habits, develop work habits, also let criminals learn some survival skills and techniques, enabling their return to society; on the other hand, the offender can work for the community to create a certain degree of material wealth.As a subsidiary body of the prison, with the duality of natural quality, Prison company has both the common property of the general social enterprise and its special character. The duble properties mainly result in the prison business functions and internal factors. From the view of function, the prison enterprises should provide the rehabilitation of offenders and post production sites for the transformation of services, and also through the production and management for certain economic benefits. From internal factors, the prison police states law enforcement, but at the same time the prison business managers; criminal penalty is the implementation of the object, but also a producer of Prison Enterprises. Prison enterprise management process is both criminal law enforcement and labor reform process. Prison enterprise organizations has public goods properties, which provide the community with two public goods-public safety and Gaiecongshan citizens. Therefore, the social benefits should focus on its economic benefits, the prison production must subordinate. The economic value of Prison Enterprises is that it can continue to provide jobs for offenders, can effectively, orderly organize working, and can accumulate the fruits of labor to maintain the sustainable development of prison production and create social wealth.Being suited to the founding of New China’s poverty and long-term implementation of the planned economic system, the new prison in China has gradually formed a "jail, prison enterprises, social institutions run by the prison," three-one of the management system. This system has made great contribution to national economic development under the planned economic system to make the prison flourish, for the rehabilitation of offenders. But with the advance of China’s market economy system, deeply "monitoring, enterprises, social" unity of management system can no longer meet the development needs of the prison regulation. It affects law enforcement and the quality of education and reform of criminals; affects the sustainable development of prison business. Many prisons manage badly, heavily in debt, and even at the verge of bankruptcy. To this end, from the late 90s of last century, countries began to explore solutions to these difficult problems and promote a new round of prison reform. By 2000, the State introduced the paper to solve difficult problems of the prison, to the year of 2003, the state began the trial implementation of the national prison system in Jiangxi, Heilongjiang, Chongqing six pilot provinces and cities in the prison system, at the end of 2008, the state begins the full implementation of the national prison system nationwide.In this round of reform, the main event is to separate the prison from the prison enterprises and set up provincial prison Enterprise Group as a unit. The reform of prison enterprise groups is reasonable in theory:First, make use of enterprise groups to promote optimal allocation of prison enterprises and use of existing resources; Second make use of enterprise groups operating advantages to promote variable external transaction within the group transactions or management, lower the transaction costs;Third make use of the management of prison enterprise groups to show the prison business advantage; Fourth make combination of the prison industrial enterprises engaging in the development of the actual situation, choose good industries, to adjust industrial layout. From the practices abroad, some experience and practice is worth learning. Many developed countries have adopted the company way of business management, prison enterprises is relatively independent from the national prison administration and operation, directly responsible to prison administration or the Department of Corrections, such as the United States, Canada, South Korea. Some features of Production and management of foreign prisons are worth learning, first, many countries have stressed the separation of the prisons and the prison enterprises, place the administration measures on the prison and place market-based instruments on prison enterprises. Second, the attention of criminals work skills training, countries such as Canada, Japan, Italy and other countries attach great importance to skill training to offenders; Third, attach importance to criminal production projects and industrial development guidance, such as Australia and the United States; Fourth stressing Prison labor product sales and government policy support, the South Korean government and Italy government urge the implementation of special laws introduced.The background of the reform of Prison Enterprise Group is that in recent years the prison business stuck in difficulties, indebtedness, and some at verge of bankruptcy, affecting the education and reform of prisons which urge the State to promote prison reform. The idea is "full protection, monitoring separate enterprises, income and expenditure separately, standardized operation," focusing on the reform of the prison enterprise groups. In which is to achieve full protection of the state financial funds on all supply security prison. The separation of supervisors and enterprises is to promote the separation of the prison business organization, personnel, material, funding. Building the provincial prison administration authority responsible for managing the production of the original organizations and personnel to form a provincial prison Enterprise Group; the enterprise from prison stripped out of the prison, set up a sub-group (sub-) firm, specializing in production and operation management of the prison. Balance of payments is to separate from the prison to prison, law enforcement funding and production of enterprises funding, to achieve both income and expenditure separately, prisons and prison funding for exchanges between enterprises will no longer occur. To establish the normal operation is to build two operating mechanism in prison and prison enterprises, thus to promote independent running, mutual coordination and cooperation in prisons and prison enterprises.Promoting the reform of the prison enterprise groups, the practice is also questioned:whether this practice is appropriate for our country’s situation? Being separated from the prison and the prison enterprises, can the company truly work independently? In the new system, can the power of senior leadership group be restricted to achieve the expected effection of the reforms? These views should be considered and learned deeply.In the reform of the prison operation, Enterprise Group faced a lot of confusion and problems, mainly showed as follows:the understandings toward the reform of the prison enterprise groups are different; the understandings toward the nature of the prison business group varies; acquiring institutions, assets and personnel when groups are organized is not easy; former prison business’ bankruptcy is difficult; the placement of the former prison workers is difficult; prison and a larger group of financial security gap; collaboration with prison management problems and prison Enterprise Group the company’s own management system is not perfect and so on. To solve these problems well, groping in the reform is needed, drawing on SOE reform and foreign prison enterprises group management mechanism based on the important prison Enterprise Group of internal good governance, industry selection, etc. and thus stimulate the healthy development of prison enterprises.For the internal management of the prison business group, attention should be paid to build operation mechanism. First group of property rights regulation and improvement. China’s prisons is wholly state-owned enterprise group, commissioned by the provincial governments are usually responsible for the management of state assets, the prison administration is responsible for preserving and increasing the added value of state assets, China’s prison business group structure of a single property has its adaptability. Prison Enterprise Group and more foreign ownership of property by multiple modes, I think we can learn from it. And bold vision, our prisons can explore the diverse group holding company of property rights. Second, of the internal governance bodies. We need a reasonable set of corporate governance institutions and companies within the organization and management. Including the board of directors, supervisors and managers institutional setup, including the internal organization of agencies and sub-group (sub) to set up the company’s internal organization. Third, the group’s internal control mechanisms, including the group pair (sub-) control of the company; Provincial Bureau of Prisons regulation of the group; prison and child (sub) coordination of the three aspects of the company. Prison Enterprises also do work on the control of criminals. Fourth is to build human resource management. Training professional managers to establish management mechanisms, and improve the transition mechanism for restraining the company and the company Police staff management mechanism. Fifth, the establishment of the prison business group’s financial management and coordination mechanisms, including financial accounts of the prison and the separation of enterprises and corporate in-house financial management system. Sixth, the coordination with the prison system, properly handle the Provincial Prison Administration, Prison Enterprise Group, prisons and child (sub) Company Secretary relationship between the four. Enterprises and the prison coordinate mainly through the establishment of joint systems, such contract or agreement will be established with the prison system of mutual supervision.The choice and layout of the prison industrial enterprises should pay attention to the prison industrial enterprises, including industry restructuring and industrial layout adjustment measures. First the objective analysis of the Prison Industry development and business problems is needed. Second, the factors and countermeasures of group selection. Selecting group industrial labor reform should consider two special factors criminals and prison enterprises. Industry Select grasp conducive to maintain the ability to work and effective use of offenders, facilitate the implementation of penalties and rehabilitation of offenders, be conducive to the safety of offenders and the prison, make full use of existing advantages of resources. Accordance with the relevant industrial policies, to develop out of high-risk, high-pollution industries, strategies, major expansion of processing industries, and development for government procurement based industries. Third, groups should adjust industrial layout measures, to seize the good opportunity to coordinate the promotion of the prison layout and industrial restructuring, relying on regional resources and industrial development policies, adjusting the prison and industrial enterprises in the regional spatial layout, at last achieve sustainable development of Prison Enterprises industry.更多还原