【作者】 蓝海林；

【导师】 黄德鸿；

【作者基本信息】 暨南大学 ， 产业经济， 2004， 博士

【摘要】 企业集团是各个国家普遍采用的一种产业组织形式。国外对企业集团行为的各种解释主要有三种：经济学解释、社会学解释和政治学解释。我国是一个独特的经济转型国家，企业集团，尤其是国有企业集团不仅大量存在，而且发挥了非常特殊的作用。 已有的关于经济转型过程中我国国有企业集团行为的研究存在一定的局限性：第一、侧重从经济学理论进行一般性分析，忽视了从政治学角度对国有企业集团在经济转型中的行为特点进行研究；第二、在对国有企业集团行为的宏观评价与微观解释之间缺乏一个连接的纽带，因为企业集团、集团公司、附属企业没有得到有效地区分；第三、在已有的研究国有企业集团行为的文献中，采用定量研究的少，所得到的结论缺乏说服力。因此，本论文的研究目的就是希望在一定程度上能够克服已有研究存在的问题，从我国经济转型的特点出发，选择政治学的理论与定量研究方法分析国有企业集团的行为。 本论文以150家国有企业集团和684家附属企业为样本，通过问卷调查采集数据，利用SPSS软件工具对研究假设进行了检验和分析。实证研究结果表明：第一、在经济转型过程中，政府对国有企业集团附属企业的行为产生了显著的影响，政府目标与政策的冲突，直接导致了国有企业集团附属企业的行为冲突；而它们的基本行为导向偏向保持雇佣规模，而不是市场创新。第二、集团公司可以对附属企业的行为发挥影响，强化或者弱化政府对附属企业的影响，但是作用不明显。第三、虽然国有企业集团的改革已经进入了实质性阶段，但是它们能否发挥集团优势将取决于产权和管理模式的改造。因此，对国有企业集团行为的解释和作用的评价不能够单纯依靠经济学或者社会学，还必须从政治学的角度加以补充。按照政治学解释，国有企业集团可以被认为是我国政府在经济转型过程特定阶段中扶持和依靠的一种有利于同步实现两个具“冲突”性的目标——稳定与发展——的特殊政治工具。 本论文的价值在于以政府、集团公司与附属企业的相互影响为切入点，运用比较规范的定量研究方法去研究经济转型过程中我国国有企业集团的行为，从而证实了关于企业集团行为的政治学解释，提出国有企业集团是我国政府在经济转型特定阶段中为实现稳定与发展两大目标而扶持和依靠的一种政治工具，丰富了对经济转型过程中我国国有企业集团行为的认识。更多还原

【Abstract】 Business groups prevail as an organizational form of industry throughout the world. Internationally, explanations about the behavior of business groups have been proposed from economic, social and political perspectives. Since China is experiencing a unique economic transition, business groups, especially state-owned business groups, abound and have been playing an unusual role.There are some limitations in existing studies on the behavior of China’s state-owned business groups in the economic transition. First, they have paid more attention to general analysis from theories of economics than to research on the behavioral characteristics from a political perspective. Second, the macro-level evaluation and the micro-level explanation of the behavior of the state-owned business groups are disconnected in that business groups, group headquarters, affiliate firms are not well distinguished. Third, existing literature suggests that the research on the behavior of state-owned business groups has taken little quantitative approach, making the conclusions less convincing. Such being the case, this dissertation attempts to overcome the existing problems by using the theories of political science and the quantitative approach based on the characteristics of China’s economic transition.The dissertation takes as samples 150 state-owned business groups and 684 of their affiliated firms, collects data by questionnaire surveys, and tests and analyzes the research hypotheses by SPSS. The empirical results indicate: First, in the course of economic transition, the government has exerted a remarkable influence on the behavior of the affiliate firms of the state-owned business groups. The conflicts between the government’s goals and its policies have led to the behavior conflicts of the business groups, whose basic behavior tends to seek after employment size ratherthan market innovation. Second, group headquarters can affect the behavior of theiraffiliate firms, thereby strengthening or weakening the government’s impact on the affiliate firms, but the effect is not significant. Third, although the reform of the state-owned business groups has already entered into a substantive stage, their ability to create the groups’ advantage will depend on the reform in their property right arrangement and management mode. Therefore, it does not suffice to explain the behavior of state-owned business groups and evaluate its role from an economic or sociological perspective; additional analysis from a political perspective is also crucial. In political terms, the state-owned business groups as an organizational form of industry are a special political tool taken advantage by the government to achieve the two "conflicting" goals-stability and development at the specific stage of economic transition.The academic value of the dissertation lies in the fact that it starts with the mutual influence of the government, group headquarters, and their affiliate firms, studies quantitatively the behavior of China’s state-owned business groups in the economic transition, verifies that the groups’ behavior can be explained from a political perspective, and proposes that the state-owned business groups are a kind of political tool taken advantage by the government to attain stability and development at the specific stage of economic transition, thereby deepening the understanding of the behavior of China’s state-owned business groups in transition economy.更多还原