中国国有企业发展混合所有制的契约问题研究

发布时间：2018-03-24 14:41

本文选题：中国国有企业　切入点：混合所有制　出处：《吉林大学》2017年博士论文

【摘要】：中国共产党十八届三中全会提出了中国国有企业发展混合所有制的国有企业改革新方向。回顾中国国有企业发展混合所有制的历程,大致经历了萌芽(1980年-1993年)、实践探索(1993年-2013年)和深化发展(2013年至今)三个发展阶段。中国国有企业发展混合所有制的历程表明,中国国有企业的混合所有制改革取得了阶段性成绩,但仍然存在诸多制约和影响混合所有制契约关系发展的客观问题,为此,研究中国国有企业发展混合所有制的契约问题对于促进中国国有企业的混合所有制深化发展尤为必要。本文从中国国有企业发展混合所有制的契约关系演进角度,梳理和提出中国国有企业发展混合所有制存在的混合顾虑、逆向选择、混合目标冲突、资产专用性投入不足与搭便车、敲竹杠与控制权争夺以及单一所有制的低效率路径依赖等混合所有制契约关系发展问题,并综合运用完全契约理论、不完全契约理论、关系契约理论对中国国有企业发展混合所有制的契约问题进行理论分析,最后从混合所有制契约关系发展的混合环境、混合所有制契约关系缔结的市场资源配置、混合所有制契约关系履行的治理体系、混合所有制契约关系发展的制度安排以及混合所有制契约关系发展的政府监管体系五个方面提出完善和促进混合所有制契约关系发展的政策建议。本文研究的是中国国有企业发展混合所有制的契约问题,全文共分为八章:第1章是绪论。本章首先阐述了本文研究的意义与背景,其次是对中国国有企业发展混合所有制与混合所有制契约问题的已有研究进行文献综述与述评,再次,对于本文的研究思路、研究方法、研究的主要内容与框架进行介绍,最后指出本文的创新与不足。第2章是混合所有制契约问题研究的相关理论基础。本章首先对全文研究中国国有企业发展混合所有制的契约问题所运用的经济理论进行概述,主要包括完全契约理论、不完全契约理论和关系契约理论。其次,提出中国国有企业发展混合所有制的契约问题研究的契约理论分析视角。第3章是中国国有企业发展混合所有制的历程与契约问题。本章首先把中国国有企业发展混合所有制的历程划分为萌芽(1980年-1993年)、实践探索(1993年-2013年)和深化发展(2013年至今)三个发展阶段,并对中国国有企业发展混合所有制各阶段的状况和特点进行了概述。其次,在中国国有企业发展混合所有制的现实历程基础上梳理和提出中国国有企业发展混合所有制存在的混合顾虑、混合壁垒、混合对象逆向选择、混合目标冲突等混合所有制契约关系缔结问题以及混合所有制资产专用性投入不足、敲竹杠与控制权争夺、制度路径依赖等混合所有制契约关系履行问题。第4章是中国国有企业发展混合所有制的契约缔结分析。本章首先在论述国有企业与私有企业比较优势的基础上得出混合所有制的帕累托改进,这是中国国有企业发展混合所有制的基本前提和混合所有制契约关系缔结的基础,同时也是破除混合顾虑与混合壁垒问题的重要理论支撑。其次,针对混合所有制契约缔结的逆向选择问题本章通过构建混合信息搜寻博弈模型,分析和论述了中国国有企业发展混合所有制的混合信息搜寻策略与最佳混合对象搜寻次数决定。最后,针对混合所有制契约缔结的混合目标冲突问题,本章分析了中国国有企业发展混合所有制的多重委托代理关系与多任务目标,并通过构建混合所有制双重任务双重委托代理模型,得出满足国有企业与私有企业混合所有制发展目标实现的混合所有制股权分配与激励契约设计。第5章是中国国有企业发展混合所有制的契约再谈判分析。本章首先分析了中国国有企业发展混合所有制的初始激励契约不完全性以及产生的混合所有制资产专用性准租占用、敲竹杠等问题。其次,由于混合所有制初始激励契约的不完全性,为实现混合所有制契约的优化与履行,中国国有企业发展混合所有制需要进行基于治理结构调整与剩余权利配置的混合所有制契约再谈判,本章通过构建混合所有制资产专用性投入与治理结构模型、混合所有制剩余权利配置模型,分析得出混合所有制契约再谈判的治理结构调整与混合所有制剩余权利配置的合理范围。第6章是中国国有企业发展混合所有制的契约履行分析。本章首先分析了单一所有制的制度路径依赖性及由此产生的中国国有企业发展混合所有制的契约履行效率损失问题。由于在一次性博弈的条件下,混合所有制契约履行的效率损失难以避免,基于重复博弈的混合所有制关系契约治理就尤为必要。本章接下来论述了混合所有制关系契约的产生机理、混合所有制关系契约治理实现的条件以及关系契约治理结构选择,最后论述了基于声誉机制激励与信任机制保证的混合所有制契约履行的自动履约机制。第7章是完善和发展混合所有制契约关系的政策建议。针对中国国有企业发展混合所有制存在的契约问题,通过对中国国有企业发展混合所有制的契约缔结、契约再谈判与契约履行的理论分析,本章主要从混合所有制契约关系发展的混合环境、混合所有制契约关系缔结的市场资源配置、混合所有制契约关系履行的治理体系、混合所有制契约关系发展的制度安排和混合所有制契约关系发展的政府监管体系五个方面提出完善和促进混合所有制契约关系发展的政策建议。第8章是研究结论与展望。本章主要是总结全文的研究结论,并对进一步研究中国国有企业发展混合所有制的契约问题做一个研究展望。
[Abstract]:In the third Plenary Session of the 18th CPC Central Committee China Communist Party put forward the development of China new direction of state-owned enterprises of mixed ownership reform of state-owned enterprises. A review of the development of China course of state-owned enterprises of mixed ownership, experienced the bud (1980 -1993), practice (1993 -2013) and development (since 2013) the three stages of development. The development of state-owned enterprises of mixed China the ownership of the process showed that China mixed ownership reform of state-owned enterprises has achieved initial results, but there are still many constraints and the impact of mixed ownership contract development objective problems, therefore, the development of state-owned enterprises of mixed Chinese contract of ownership for the promotion of mixed ownership of state-owned enterprises China development is particularly necessary. In this paper the development of China state-owned enterprises of mixed ownership contract relationship evolution, combing and put forward state-owned enterprise development Chinese Mixed ownership concerns, the adverse selection, mixed goal conflict, asset specificity, insufficient investment and free riding, and for control and hold up problem single ownership inefficient path dependence of mixed ownership contract relations, and the integrated use of complete contract theory, incomplete contract theory, relational contract theory analysis on the development of China state-owned enterprises of mixed ownership contract problems, finally from the mixed ownership contract between the development of a mixed environment, mixed ownership contract concluded the allocation of market resources, mix all fulfill the contractual relationship for governance system, mixed ownership contract relationship development institutional arrangements and mixed ownership contract relations the government supervision system in five aspects to improve and promote the development of mixed ownership contract policy recommendations. This study is in The development of state-owned enterprises of mixed contract of ownership, the full text is divided into eight chapters: the first chapter is the introduction. This chapter first describes the background and significance of this study, followed by the research on the development of China state-owned enterprises of mixed ownership and mixed ownership contract problems of literature review and commentary, again, for in this paper, the research ideas, research methods, the main research content and framework are introduced, finally pointed out the innovation and shortcomings of this paper. The second chapter is the theory study on the mixed ownership contract. This chapter begins with the development of the research Chinese state-owned enterprises mixed contract of ownership by the use of economic theories are summarized, mainly including the complete contract theory and incomplete contract theory and contract theory. Secondly, the analysis of apparent contract theory research on contract of ownership of state-owned enterprises China mixed development Angle. The third chapter is the development Chinese of state-owned enterprises of mixed ownership process and contract problems. Firstly, the development of Chinese state-owned enterprises of mixed ownership history into bud (1980 -1993), practice (1993 -2013) and development (since 2013) the three stages of development, and the development of state-owned Chinese mixed ownership enterprises in various stages of the status and characteristics are summarized. Secondly, combing in the course of the basic reality of state-owned enterprises of mixed ownership development Chinese on Chinese and put forward the development of state-owned enterprises of mixed ownership concerns, the presence of mixed barriers, adverse selection of mixed objects, mixed mixed ownership conflict concluded contract relationship problems and mixed ownership lack of special assets investment, and hold up for control system, path dependence of mixed ownership to fulfill the contractual relationship problems. The fourth chapter is China state The development of enterprises of mixed ownership contracts. This chapter first analysis based on comparative advantage of state-owned enterprises and private enterprises of mixed ownership of Pareto improvement, which is the development of Chinese state-owned enterprises of mixed ownership of the basic premise and foundation of mixed ownership to conclude contract relationship, but also an important theoretical support to get rid of worries and mixed mixed barriers. Secondly, based on the mixed ownership contracts adverse selection problems through this chapter to construct a hybrid information search game model, analyzes and discusses the development of China mixed ownership of state-owned enterprises of mixed information search strategies and optimal mixed object search times decision. Finally, according to the mixed ownership contracts mixed goal conflict Chinese, this chapter analyzes the development of state-owned enterprises of mixed ownership of multiple principal-agent relationship and multi objectives, and To construct a mixed ownership dual task principal-agent model that can meet the state-owned enterprises and private enterprises of mixed ownership development to realize the goal of ownership allocation and incentive contract design. The fifth chapter is the development of Chinese state-owned enterprises of mixed ownership and contract negotiation analysis. This chapter first analyzes the development of state-owned enterprises of mixed Chinese initial excitation the ownership of the incomplete contract and the mixed ownership of the asset specificity of quasi occupation, extortion and other problems. Secondly, due to the incompleteness of mixed ownership incentive contract for the realization of the initial, mixing and fulfill all the contract optimization, the development of China mixed ownership of state-owned enterprises need to mix governance structure and surplus the allocation of ownership rights based on contract re negotiation, this chapter through the construction of mixed ownership specific assets investment and governance model, mixed Co ownership residual rights allocation model, analysis of mixed ownership contract renegotiation governance structure and mixed ownership allocation of residual rights reasonably. The sixth chapter is the development of Chinese state-owned enterprises of mixed ownership contract analysis. This chapter first analyzes the system for the single path dependence and the resulting the development of state-owned enterprises of mixed ownership China efficiency loss performance system contract. Due to the one-time game under the condition of mixed ownership contract efficiency loss is difficult to avoid the repeated game based on mixed ownership contract governance is particularly necessary. This chapter then discusses the formation mechanism of the mixed ownership relation contract, mixed ownership conditions the relationship between contractual governance and relational contract governance structure choice, finally discusses the reputation incentive mechanism and guarantee mechanism based on trust The mixed ownership contract to perform automatic fulfillment mechanism. The seventh chapter is the improvement and development of mixed ownership contract policy suggestions for the development of state-owned enterprises. China mixed ownership contract problems exist, through the development of China state-owned enterprises of mixed ownership contracts, contract negotiation and contract performance analysis and the theory of this chapter mainly from the contractual relationship between the development of mixed ownership mixed environment, mixed ownership contract concluded the allocation of market resources, fulfill the contract relationship between the mixed ownership governance system, mixed ownership system arrangement of contractual relationship and the development of the five aspects of mixed ownership contract development of relations between the government supervision system to improve and promote the mixed ownership contract the relationship between the development of policy recommendations. The eighth chapter is the conclusion and Prospect of the research. This chapter mainly summarizes the research conclusion, and further study China's state-owned enterprises to develop a mixed ownership of the contract issues to do a research prospect.

【学位授予单位】：吉林大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：F276.1;F271

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