【作者】 周作伟；

【导师】 田也壮；

【作者基本信息】 哈尔滨工业大学 ， 管理科学与工程， 2010， 博士

【摘要】 认识、解决学习西方公司治理制度过程中出现的“形似神不似”问题,是落实完善中国公司治理制度面临的新任务。这里的“形”是指外在的公司治理制度规则,而“神”则是指其背后内在的组织权力价值观。我们可以直接借鉴西方公司治理制度的具体做法,但却无法给人们简单移植制度规则后面的权力价值观,所以才会出现所谓的“形似神不似”问题。从组织权力价值观与制度规则关系角度深入研究,有利于建设具有中国特色的公司治理制度。本文在明确组织权力价值观对权力制度的决定性影响的公司治理新观点基础上,研究了公司组织的“公权力”价值观和制度特点,按组织权力价值观标准划分了公司治理模式。通过问卷设计、实施、分析实证了组织权力价值观对组织权力制度的决定性影响。最后,总结了中国公司治理制度建立完善过程中取得的成绩,分析了至今仍然存在的主要问题,并提出基于并超越我国文化价值观和权力制度传统的、适合我国国情的公司内外治理机制的设计原则和经理激励与利益相关者利益兼顾设计中应该注意的问题。主要的研究内容如下:研究了组织权力价值观与组织权力制度规则之间关系。基于亚里士多德对组织权力制度的划分,明确了组织权力价值观在组织权力制度中的地位和对组织权力制度规则的基础和决定作用,分析了不同权力价值观下组织权力制度特征,并进一步阐明了个人利益分配与个人激励与组织权力价值观的密切联系,奠定了本研究的理论基础。研究了公司权力价值观和公司治理治理制度之间关系。明确了西方公司治理理论实践也是源于组织权力是“公权力”的价值观,提出了理性经济人是有道德前提和基础的观点,介绍了“公权力”价值观下公司治理内外部机制。从组织权力制度角度分析了英美、德日两种公司治理模式和家族、国有公司治理模式的治理特点,提出了以组织集体权力价值观为标准划分公司治理模式的观点。进行了组织权力价值观对组织权力制度规则影响的实证研究。根据前两章理论研究成果设计了初测问卷,经因子分析分别确定了单位组织和国家组织权力价值观和权力制度规则构成因素,提出了研究假设,构建了理论模型,进行了问卷质量分析,选取结构方程方法进行统计分析,最后总结出基于组织权力价值观调整中国公司治理制度设计原则的启示。总结了中国公司治理制度建立完善过程中取得的成绩,分析了至今仍然存在的主要问题,提出在公司治理机制设计原则上,应针对“私权力”价值观传统,完善“私权力”价值观下维系组织稳定与活力的权力制度规则的原则。认为从公司内部必须明确个人的责任,必须选择公正、有道德的负责人,必须提倡“公权力”价值观念、提倡对个人的道德约束,必须对个人有实质的制度约束,从根本上改变不合理的、对个人终极无限制的传统做法;从保障利益相关者权益上,应公正分配利益,并实现对公司内部人的健康激励。更多还原

【Abstract】 To understand and solve the problem of“appearance likeness but spirit unlikeness”appears in the process of learning corporate governance institution is a new task that implements and perfect Chinese corporate governance institution. Here the“appearance”refers to the outside corporate governance institution rules, and“spirit”is the internal organizational power values. We can use for reference specific practices of western corporate governance institution directly; however, we cannot give the power values behind by simply transplanting the rules. So it appears the so-called problem of“appearance likeness but spirit unlikeness”. It is helpful to construct the Chinese characteristics of corporate governance institution through further research in the view of the relationship between organizational power values and institution rules.This paper researches on characteristics of "public power" values and institution of corporate organization and divides corporate governance model by organizational power value standard basd on clearing new management concept that the organizational power value has a decisive influence towards organization. Meanwhile, it verifies that organizational power value has a decisive influence on organizational power institution via designing, carrying out and analyzing questionnaires. Then it further studies on different maintenance, efficiency and vitality of various cultural backgrounds .Finally, it brings out some suitable designing principles which are based on but even beyond the traditional cultural values and power institution in China. It also points out the issues that should be taken into consideration in the designing to balance the motivation of managers and the benefits of relatives.The main content and research results are as following:This paper studies the relationahip between organizational power value and organizational power institution. Based on the division of organizational power by Aristotle, we clarify the position of organizational power value in organizational power institution and basic and decisive role of organizational power value to organizational power institution rules; analyze characteristics of organizational power institution under different power values and further elucidate a close connection of individual interests distribution and individual incentive with organizational power value, which establish theoretical basis of this study.This paper also researches on the relationahip between company power values and corporate governance system. This paper clarifies that western theoretical practice in corporate governance also originates from organizational power which is "public power" values, proposes that rational economic man has a moral premiae and foundation and introduces internal and external mechanism of corporate governance under "public power" values. This paper also analyzes corporate governance model of the Anglo-Saxon and Japanese-Germany and governance characteristics of family mode and state-owned company mode, and proposes the views that division of corporate governance model is based on organizational collective power value.A empirical study on the effect of organizational power values to organizational power institution rules is carried out in this article. According to the first two chapters of the results of theoretical studies designe to test the initial questionnaire. Identify component factors of power values and power institution rules in unit organizations and national organizations by factor analysis. Propose research hypothesis and construct a theoretical model, conduct a qualitative analysis of the questionnaire, select the structural equation model to statistical analysis and finally sum up the inspiration to adjust principles on designing Chinese corporate governance mechanism based on the organizational power values.At last, this paper summarizes the results obtained in the course of establish and improve of Chinese corporate governance system, analyzes major problems still exist and proposes that principles on designing corporate governance mechanism should be based on the value of "private power" while improving the power institution to maintain organizational stability and validity. The personal responsibilities should be clear inside the company, the person in charge should have a judicial mind and high morality, and the value of "public power" and moral constraints of the individuals should be promoted, so as to fundamentally change the unreasonable practice that has no limitation for individuals. As for protecting the rights and interests of stakeholders, the interests should be justly distributed and healthy incentives to the internals should be actualized.更多还原