国有企业集团研究与铁路企业集团实证分析

【作者】 黄庆；

【导师】 武振业；

【作者基本信息】 西南交通大学 ， 管理科学与工程， 2002， 博士

【摘要】 企业集团是一种先进的组织形式，它的产生和发展，是市场经济高度发展的结果，是社会化大生产和专业化分工的必然产物，是工业与现代化达到一定阶段共有的经济现象。在经济发达国家，企业集团成为推动生产力发展的重要组织形式，成为国家的经济命脉。企业集团在促进资源优化配置，实现产业结构合理调整和生产手段现代化方面，将发挥重要作用。 在建立社会主义市场经济体制过程中，中国必须深化国有企业改革，搞活国有大中型企业，这也是改革开放以来经济工作的核心内容。组建和发展企业集团是国有大中型企业改革和发展的一项重大选择。以资产为基本联结纽带，以大中型骨干企业为核心，组建大型企业集团，有利于改善企业组织结构一明晰产权，改善内部管理，理顺内部管理体制，深化企业改革。改革开放以来，我国企业集团取得了较快发展，但仍存在较多问题，如体制不健全、集团组织结构不合理、政府过度干预、管理水平低、科研开发能力差、产品竞争力差等。这说明我国企业集团的发展仍然处于初级阶段，需要随着社会主义市场经济体制的建立和健全，逐步建立现代企业制度，重视规范化建设，完善公司法人治理结构。 本论文在界定企业与企业集团、国有企业与国有企业集团概念和历史沿革的基础上，比较分析了世界各主要国家的国有企业，并从经济学角度分析了中国国有企业的发展和改革，较为系统地对企业集团特别是铁路企业集团的发展模式进行了理论和实证分析。全文的主要内容如下： 第一章首先对企业和企业集团进行了严格的界定，对企业集团的产生和发展从市场交易费用的存在方面进行了经济学分析，认为企业集团是使企业组织与市场组织进行灵活地相互替代的，更适应现代市场经济的组织形式。在此基础上，提出了本论文所要研究的主要问题，以及在一系列基本假定的前提下，给出了本论文的基本分析思路与研究框架。 西南交通大学博士研究生学位论文 第＊页一—一 第二章定国有企业，分析了国有企业的产生与历史沿革，国有企业不仅穴在于社会主义国家而且也存在于资本主义国家。本章还对当代世界分国家的口有企业的基本型态、结构作用进行了比较分析，得出了一些有价值的经验教训，并对部分发达国家企业集团的一些问题与情况进行了比较分析。 第三章研究了规模经济与企业规模问题，指出组建和发展企业集团是增长企业规模的重要手段之一，然后试图从改革前后的中国国有企业来分析说明小国国有企业改革的必然性和以及改革过程当中理论、制度创新出现的合理性。进而对企业集团的组织结构的分析、比较和选择以及企业集团法人治理结构方面研究了我国企业集团产生和发展的现状，并从经济理性的角度分析了我国囚有企业集团发展的动因，提出了适合中国企业集团的组织结构模式和法人治现结构模式，提出了“六会七方”如何进行相互协调的解决思路和方法建议。 第四章里，本文通过非线性最优化数学模型的构建，论述了明晰产权、明确界定企业的不同产权的经济效率和其对经济系统的作用。模型的结论有利于我国在国企构建中宏观管理和微观组织过程中决策变量的选取井进行相应决策。 在对国有企业及企业集团进行理论分析之后，第五章从几种客运方式竞争能力的比较分析人手对我国铁路所处的困境作了分析，然后借鉴世界上部分囚家铁路改革的经验，从资本运作的角度对我国铁路改革和发展中的几个重要（’题作出思考和回答。 组建铁路企业集团是一种比较现实的铁路改革思路，第六章对此作了详别的探讨。随着铁道部政府职能的转换，铁道部的组织机构相应做了调整，这D铁路企业改革的必需保证。该章然后对组建中国铁路企业集团做了理论分析，详细界定了铁路企业，分析了铁路企业的行业特征，解决了组建铁路企业集团的前提条件，基本原则和股权选择等问题，实证分析了分析代表运输企业和饮路工程企业的广铁企业集团和中铁二局集团的组织结构模式和深人治结构极式，并提出了一些值得注意和加以改善的问题。 第七章是全文的结论。更多还原

【Abstract】 Enterprise group is an advanced form,which is the result of high development of market economy and the socialization manufacture. In the developed courtier,the enterprise group becomes the state’s economical lifeline and the important form which promotes the development of productivity. It plays an important role in facilitating the resource allocation,and achieving the equitable adjustment of industry framework as well as the modemization of manufacture instrumentality.During the course of establishing the socialism market economy system the enterprise reform must be deepened and the state-owned enterprise must be reformed,which has been the key contents of the economical works since 1978. Organizing and developing enterprise group is a major choice of the relbun and development of state-owned enteiprises. It is advantageous to improve the enterprise’s organization,to clarify the property,to ameliorate the administration,to put the management system in order and to depth the enterprise’s reform. Since reforming and opening,the Chinese enterprise groups have developed rapidly,but there are some problems,such as imperfect systems,unreasonable organization structures,over-intervening government,low-level management,low-ability to research and develop as well as short competition of products. It is still (lie primary stage for the enterprise groups to develop. It requires to establish modern enteiptise institution,step by step to pay attention to standardizing building and to improve corporate governance for the better environment of the enterprise groups.On the foundation of defining the notion of enterprise and enterprise group,thestate-owned enterprise and the state-owned enterprise group as well as their history,this thesis compares and analyses the state-owned enterprises in the world,and analyses the development and reforms of Chinese state-owned enterprises in the view of economics. It also systematically analyses the development patterns of enterprise group especially railway enterprise group theoretically and positively. It consists of six chapters.In chapter 1,after defining the enterprise and enterprise group,the article stales the appearance and development of the enterprise group in the point of the existence of market exchange costs. The enterprise groups are considered to be organization forms which not only fit for the modern market economy,but galso make the enterprise organizations and the market ones alternate mutually. Then the proposition provides the main problem and the research framework.In chapters,The state-owned enterprise is defined,moreover,the emergence and the history of the state-owned enterprise are introduced. The state-owned enterprise exists not only in socialist states,but also in capitalist states. This chapter also compares and analyses the state-owned enterprise’s model and construction of the most countries in the world,which puts forward some valuable-expei ience. The following clarify the certainty of Chinese state-owned enterprises’ reforms and the reasonability of the theory innovation and the institution innovation during 1he progress of the reforms.In chapters,the economies of scale and the firm’s scale will be discussed. Forming and expanding the enterprise group is one of the means by which the firm’s scale grows. Afterwards it studies the generation and evolution of the Chinese enterprise groups in aspect of the comparison and choice of the construction and corporate governance of the enterprise groups. It also makes a study of the motiveforce of the development of the Chinese plate-owed enterprise groups in the point of the economical rationality,and provides ’he organization model and corporate governance model which fit for (he Chinese enterprise groups,resavcs the relationship of "six committees and seven sides".Chapter 4 analyses the difficult position of the Chinese railways,then consider and settles some important problems in the progress of the reform and development of the Chinese railways.It is a realistic thinking of railw更多还原