【作者】 邹俊；

【导师】 徐传谌；

【作者基本信息】 吉林大学 ， 产业经济学， 2014， 博士

【摘要】 在经济全球化的浪潮下，中国国有企业国际竞争力问题逐渐成为政府、企业和学术界关注的热点问题。竞争力是关系企业生存和发展的决定性因素。在激烈的市场竞争中，只有那些经营灵活，不断创新，富有竞争力的企业才能长期生存；而那些缺乏活力，反应迟缓，缺乏创新，没有竞争力的企业终将被市场淘汰。当前中央企业是我国国有经济的主体，是国有企业保持对国民经济的影响力、控制力和带动力的中坚力量。在当前全球竞争的背景下，国务院国资委要求中央企业积极实施“走出去”战略，充分利用两个市场、两种资源，提高国际竞争力。培育和发展具有国际竞争力的大企业集团，提升中央企业的国际竞争力需要采取多种措施，从国际跨国公司发展的经验来看，积极实施战略重组是企业快速成长的有效途径，也是一项重要的企业战略举措。后金融危机时代，国内外市场存在大量的战略重组的机遇，但也暗藏着风险，如何抓住历史机遇有效提升中央企业国际竞争力，培育一批具有自主知识产权、知名品牌和国际竞争力较强的大企业集团，是一个迫切需要研究和实践的课题。虽然企业竞争力问题一直以来是理论界和实业界研究和关注的热点，但针对中央企业国际竞争力的研究却较少，尤其深入研究中央企业战略重组与国际竞争力提升关系的就更少。因此，研究中央企业战略重组及其国际竞争力提升问题不仅具有重要理论价值，也有着重大现实意义。本文在深入研究企业重组和国际竞争力相关理论的基础上，从多学科、系统性和动态发展等研究角度出发，将产业组织理论、交易成本理论、竞争优势理论和博弈论相结合，以中央企业战略重组和国际竞争力提升为研究对象，从理论和实践两个层次分析了中央企业战略重组和国际竞争力提升的相关理论问题，着重分析了它们之间的互动关系和作用机理，并选取两家中央企业做深入的案例对比分析，最后进一步分析研究了加快推进中央企业战略重组和提升国际竞争力的对策和举措。全文除去导论和主要研究结论外，共分为八章。在导论中，首先，阐述本文写作的背景和意义；其次，对中央企业由来及其概念进行界定，进而对中央企业国际竞争力和中央企业战略重组的内涵和概念进行界定和相关说明；再次，对本文研究思路、基本框架和研究方法进行了介绍；最后，指出了本文的主要创新和不足之处。第一章主要是相关理论与文献综述。本章主要对企业重组、国际竞争力相关理论进行梳理，并对近年来有关企业重组和竞争力问题的研究文献进行综述，从而为本文的研究打下坚实的理论和文献基础。第二章主要分析国有企业的性质与功能定位。首先，从产业组织视角对传统的企业性质问题进行深入考察，从产业组织的演化发展角度探讨不同时代产业组织的发展的特点，进而对现代企业性质进行再思考；其次，在对现代企业性质反思的基础上，对国有企业性质从一般性质和特殊性质两方面进行重新认识；最后，对中央企业功能定位问题进行深入分析，先从宏观的对国有经济定位着手，然后再探讨中央企业的功能定位。第三章主要回顾和总结了中央企业战略重组的历程。本章对从2003国务院国资委正式成立后中央企业经历的几次特点鲜明的战略重组历程划分为起步阶段（2003—2004年）、发展阶段（2005—2007年）、深化阶段（2008—2010年）和攻坚阶段（2011年至今），并进行归纳总结。第四章主要对中央企业战略重组问题进行理论分析。首先，本章从企业自身、产业组织发展以及国家竞争三个层面分析了中央企业战略重组的动因问题；其次，对中央企业战略重组的不确定性进行了分析，指出战略重组中存在交易成本、规模经济、产业结构和人力资本等方面的不确定性问题；最后，着重分析了中央企业战略重组的规模与垄断边界问题，从市场结构角度分析中央企业的规模边界问题，并指出中央企业战略重组可以在生产成本和交易成本上实现规模经济，然后从市场势力、是否存在垄断利润和可竞争市场构建三个角度分析了中央企业战略重组是否会带来垄断问题。第五章主要对中央企业国际竞争力问题进行理论分析。首先，本章分析了中央企业国际化发展的现状及其存在的问题，以及加快国际化发展的对策；其次，分析了中央企业国际竞争力现状与进一步提升存在的瓶颈；最后，研究构建中央企业国际竞争力评价指标体系，从资源、能力和创新三个核心要素出发，以央企资源、跨国经营能力、技术创新以及组织制度创新四个核心指标为中心来构建适合中央企业的国际竞争力评价指标体系，共分为十一个一级指标和四十一个二级指标。第六章主要从交易成本角度考察中央企业战略重组与国际竞争力提升问题。首先，分析零交易成本下的市场模型和企业对重组战略的选择，发现零交易成本下企业重组战略并非是企业的最优选择；其次，分析了在现实世界的正交易成本下的市场模型和企业对重组战略的选择，发现正交易成本下企业若要迅速提升竞争力，获取竞争优势，战略重组就会成为企业的理性选择；再次，着重分析了正交易成本下中央企业战略重组与国际竞争力提升的互动机理，分析了战略重组对中央企业交易成本的影响，以及战略重组对国际竞争力提升的作用机理；最后，对中央企业战略重组与国际竞争力提升进行博弈分析，主要进行了中央企业战略重组的选择、市场阻扰、囚徒困境和动态博弈分析。第七章主要是中央企业战略重组与国际竞争力提升的案例对比分析。本章选取了正反两方面的案例来分析中央企业战略重组提升国际竞争力的着力点和关键点。一个是中国建材集团大力推进战略重组，通过战略重组获得协同效应，提高资源使用效率，提升了技术创新能力，优化了公司治理结构，从而使企业国际竞争力不断提升；另一个是中国中钢集团公司，战略重组活动中盲目扩张、战略目标短浅，重组后整合乏力导致企业内部管理混乱，治理结构不完善，内部监督机制失效，最终不但没有提升公司国际竞争力反而拖累了公司经营业绩，致使企业国际竞争力下降。通过这两个案例对比研究我们发现了很多有益的启示。第八章主要是深入推进中央企业战略重组及其国际竞争力提升的对策研究。为了有效推进中央企业战略重组，打造一批具有国际竞争力的世界一流的跨国企业，中央企业有许多方面需要配套改革，进行系统的体制和机制创新。本章提出了中央企业战略重组模式创新，公司治理结构完善、跨国经营制度创新、技术创新融合发展以及大力推进中央企业混合所有制改革等对策建议。最后，对论文的全部内容和相关结论作简要总结。更多还原

【Abstract】 Under the wave of economic globalization, China’s state-owned enterpriseinternational competitiveness problems gradually become the hot topic in government,business and academia. Competitiveness is a decisive factor in the enterprise survivaland development. In the fierce market competition, only the flexible management,continuous innovation, competitive enterprises can survive in the long run. And theenterprises lack of energy, response, innovation will be eliminated by the market. Thecurrent central enterprises is the main body of the state-owned economy, which is thebackbone of the state-owned enterprise keep influence on national economy. Under thebackground of the current global competition, the state-owned assets supervision andadministration commission of the state council asked the central enterprises to activelyimplement the "going out" strategy, make full use of two markets and two kinds ofresources, improve the international competitiveness. Cultivating and developinginternationally competitive large enterprise groups, promoting the internationalcompetitiveness of central enterprises need to take a variety of measures, from theexperience of international multinational company development, actively implementthe strategic reorganization is an effective means of the enterprise which have rapidgrowth, also is an important strategic moves of the enterprise. After the financial crisisera, there are a large number of opportunities of strategic restructuring in domestic andinternational markets, but also contains a number of risks. how to seize the historicalopportunity to effectively enhance international competitiveness of the centralenterprise, cultivate a batch of large enterprise group with independent intellectualproperty rights, well-known brands and international strong competitiveness, is anurgent project needs to study and practice. Although enterprise competitiveness hasbeen the hot spot in the research and the theoretical circle, but the studies of centralenterprise international competitiveness is few, especially in-depth studies of therelations between the strategic reorganization of central enterprises and internationalcompetitiveness improving are even less. So research on the strategic restructuring of central enterprises to enhance their international competitiveness not only hasimportant theoretical value, also has important practical significance.Based on the further study of relevant theories of corporate restructuring andinternational competitiveness, From multiple disciplines, systemic and dynamicdevelopment, research perspective, Combining the industrial organization theory,transaction cost theory, competitive advantage theory and game theory. By promotingstrategic reorganization of central enterprises and international competitiveness as theresearch object, analyze these theoretical issues related to the strategic reorganizationof central enterprises and international competitiveness from both theoretical andpractical levels. This paper mainly analyzes the interactive relationship between themand the mechanism, selects the two central enterprises to do in-depth case analysis.Finally this article analyzed the countermeasures and measures to further accelerate thestrategic reorganization of central enterprises and promote the internationalcompetitiveness.Except the introduction and the main research conclusions, this paper is dividedinto eight chapters.In the introduction, first of all, this chapter expounds the background andsignificance of the writing. Second,it defines the origin and concept of the centralenterprises, and then explains the central enterprise international competitiveness andthe connotation of the strategic reorganization of central enterprises and defines theconcept and related instructions. Again, the research ideas, basic framework andresearch methods of this article are introduced. Finally, this paper pointed out the maininnovation and deficiency.The first chapter mainly relates theories and literature review. This chapterreviews the theory of corporate restructuring and international competitiveness, thuslaying a solid foundation for the study of the theory and literature of this article.The second chapter mainly analyzes the nature and function of state-ownedenterprises. First of all, from the perspective of industrial organization, this chapterexamines the nature of traditional enterprise. From the perspective of the evolution anddevelopment of industrial organization, it investigates the characteristics of thedevelopment of different eras of industrial organization, and then rethinks the nature ofthe modern enterprise. Secondly, on the basis of reflection on the nature of the modernenterprise, it re-understands the nature of state-owned enterprises from the general nature and the special nature; Finally, it analyze the central positioning of theenterprise features, starting with the macro-economic positioning of state to proceed,and then explore the functional orientation of central enterprises.The third chapter reviews and summarizes the restructuring process of the centralbusiness strategy. From2003to the formal establishment of the SASAC centralenterprises have experienced several distinctive characteristics of the strategicrestructuring, the course is divided into the initial stage (2003-2004), stage ofdevelopment (2005-2007), deepening phase (2008-2010) and crucial stage(2011-present), and summarized.The fourth chapter mainly carries out theoretical analysis of the problems of thestrategic reorganization of central enterprises. First of all, this chapter analyses threelevels of the central enterprise strategic restructuring of problem from the enterpriseitself, the development of industrial organization and national competition. Second, theuncertainty of the strategic reorganization of central enterprises are analyzed, and itpoints out the transaction cost, economies of scale, industrial structure and theuncertainty of human capital and so on questions of the strategic restructuring. Finally,it emphatically analyzes the scale and monopoly boundary problem of the strategicreorganization of central enterprises, from the perspective of market structure analysisof the scale of the central enterprise boundary problem, and points out that the strategicreorganization of central enterprises to achieve economies of scale on the productioncost and transaction cost, and then from market forces, whether there is a monopolyprofits and competition in the market to build three angles analyzes whether thestrategic reorganization of central enterprises brings monopoly problem.The fifth chapter mainly carries out theoretical analysis of the problems of theinternational competitiveness of central enterprise. First of all, this chapter analyzespresent situation and problems of the central enterprise internationalization, and thecountermeasures of speeding up the internationalization development. Secondly, thispaper analyzes the central enterprises and further enhance the internationalcompetitiveness of the existing bottleneck. Finally, the construction of centralenterprise international competitiveness evaluation index system, from the three coreelements: resources, capabilities, and innovation. From the state resources,multinational management, technical innovation and system innovation of organizationof four core index to construct the central enterprise international competitiveness evaluation index system, which is divided into11primary index and41a secondaryindicator.The sixth chapter mainly studies strategic reorganization of central enterprisesand the promoting of the international competitiveness from the perspective oftransaction cost. First of all, this chapter analyses the zero transaction cost under themarket model and enterprise’s choice of restructuring strategy, it finds businessrestructuring strategy under the zero transaction costs is not is the optimal choice of theenterprise. Secondly, analyzes in the real world is market model under transactioncosts and enterprise’s choice of restructuring strategy, discovery is the transaction costto rapidly promote the enterprise competitiveness, obtain competitive advantage,strategic restructuring will become an enterprise of rational choice. Again, analyzed isthe transaction cost under the strategic reorganization of central enterprises andpromoting the international competitiveness of the interactive mechanism, analyzes thestrategic reorganization of central enterprises the influence of transaction cost, and thestrategic reorganization of the mechanism of promoting international competitiveness.Finally, the strategic reorganization of central enterprises and promoting theinternational competitiveness of game analysis, mainly on the choice of the strategicreorganization of central enterprises, market block, the prisoner’s dilemma anddynamic game analysis.The seventh chapter mainly carries out the comparative analysis of strategicrestructuring of central enterprises with international competitiveness. This chapterselected the pros and cons of the case to analyze the strategic reorganization of centralenterprises to enhance the international competitiveness of the focal point and keypoints. One is promoting the strategic restructuring of China’s building materials group,which has synergistic effect through strategic restructuring to improve the efficiency ofresource use, promote the technology innovation ability, optimize the corporategovernance structure, thus makes the enterprise international competitivenessconstantly improve. Another is China steel group co., LTD., blind expansion of thestrategic restructuring, strategic target, after restructuring integration weak lead to theenterprise internal management confusion, the governance structure is imperfect, theinternal supervision mechanism of failure, ultimately did not increased internationalcompetitiveness have to drag down the company’s business performance, the enterprise international competitiveness. Through the comparative study on the two case wefound a lot of beneficial enlightenment.The eighth chapter is mainly to further promote the countermeasures of thestrategic restructuring of central enterprises and enhance international competitiveness.In order to effectively promote the strategic restructuring of central enterprises andbuild a batch of internationally competitive world-class multinational companies, thereare many aspects need to form a complete set of central enterprises reform, system andmechanism innovation of system. This chapter put forward the strategic reorganizationmode innovation of central enterprises, the improving of the corporate governancestructure, international management system innovation, integration development oftechnology innovation and vigorously promoting the reform of the mixed ownershipenterprises, etc. countermeasures and suggestions.Finally, This chapter briefly summarizes all of the content and conclusions of thepaper.更多还原