本文選題：國(guó)有企業(yè)改革 + 混合所有制　； 參考：《北京第二外國(guó)語學(xué)院》2017年碩士論文

【摘要】：改革開放以來,中國(guó)作為一個(gè)新興與轉(zhuǎn)軌經(jīng)濟(jì)體,不斷深化市場(chǎng)化改革,不管在微觀企業(yè)績(jī)效,還在宏觀經(jīng)濟(jì)效率取得舉世矚目的成就。自上世紀(jì)90年代,作為中國(guó)公有制經(jīng)濟(jì)的微觀經(jīng)濟(jì)主體,國(guó)有企業(yè)不斷引進(jìn)社會(huì)資本和外國(guó)資本參與國(guó)有企業(yè)改革。在新的階段,國(guó)有企業(yè)改革也進(jìn)入了攻堅(jiān)期和“深水區(qū)”,經(jīng)過長(zhǎng)期的國(guó)企改革實(shí)踐和理論探討,在政府政策選擇中混合所有制改革成為國(guó)有企業(yè)改革的方向和目標(biāo),以期進(jìn)一步激發(fā)國(guó)有企業(yè)的活力。同時(shí),中共“十八大”提出了創(chuàng)新驅(qū)動(dòng)發(fā)展戰(zhàn)略,中國(guó)的經(jīng)濟(jì)發(fā)展動(dòng)力正在由資源要素驅(qū)動(dòng)向創(chuàng)新驅(qū)動(dòng)。作為一國(guó)經(jīng)濟(jì)運(yùn)行的微觀主體,企業(yè)無疑是國(guó)家創(chuàng)新體系的核心環(huán)節(jié)。唯有企業(yè)不斷增強(qiáng)其自身自主創(chuàng)新能力,我國(guó)才能早日成為創(chuàng)新型國(guó)家。顯然,若想提高我國(guó)企業(yè)的自主創(chuàng)新能力,則需要企業(yè)持續(xù)不斷地加大研發(fā)投入。國(guó)有企業(yè)混合所有制改革重要目標(biāo)之一,是能夠進(jìn)一步提高企業(yè)研發(fā)創(chuàng)新水平,進(jìn)而提高企業(yè)效率。異質(zhì)性社會(huì)資本參與國(guó)有企業(yè)改革,必然改變企業(yè)的產(chǎn)權(quán)結(jié)構(gòu)以及企業(yè)的控制權(quán)。在此背景下,本文探析混合所有制企業(yè)的所有權(quán)特征因素及控制權(quán)特征因素對(duì)企業(yè)研發(fā)創(chuàng)新行為的影響。我國(guó)國(guó)有上市公司,通過股份公開發(fā)行,在融資的同時(shí),實(shí)現(xiàn)了產(chǎn)權(quán)多元化,是國(guó)有資本與社會(huì)資本混合形成的混合所有制企業(yè)的典型代表。本文以2011-2015年度的制造業(yè)和信息軟件行業(yè)作為樣本,通過股東異質(zhì)性理論、委托代理理論、資源互補(bǔ)理論和股權(quán)制衡理論分析所有權(quán)特征因素對(duì)企業(yè)研發(fā)創(chuàng)新行為的影響;通過財(cái)富轉(zhuǎn)移觀和財(cái)富支持觀分析控制權(quán)特征因素對(duì)企業(yè)研發(fā)創(chuàng)新行為的影響;通過新制度經(jīng)濟(jì)學(xué)理論分析制度環(huán)境對(duì)混合所有制企業(yè)研發(fā)創(chuàng)新行為的影響;通過以上理論分析,本文提出研究假設(shè),進(jìn)行實(shí)證檢驗(yàn),探討在中國(guó)特殊經(jīng)濟(jì)制度環(huán)境下,混合所有制企業(yè)所有權(quán)特征因素及控制權(quán)特征因素對(duì)企業(yè)研發(fā)創(chuàng)新行為的影響。本文通過利用Tobit模型實(shí)證檢驗(yàn)發(fā)現(xiàn):所有制混合的深入有利于混合所有制企業(yè)的研發(fā)創(chuàng)新行為,所有制混合制衡會(huì)促進(jìn)國(guó)有企業(yè)研發(fā)強(qiáng)度,但兩者之間會(huì)呈“倒U型”關(guān)系,即多元化產(chǎn)權(quán)配置合適比例才能達(dá)到最優(yōu)研發(fā)激勵(lì)�；旌纤兄破髽I(yè)中非國(guó)有產(chǎn)權(quán)代表董監(jiān)事分享控制權(quán)會(huì)抑制混合所有制企業(yè)的研發(fā)創(chuàng)新行為。但是,制度環(huán)境深刻影響著兩者關(guān)系,相比制度環(huán)境薄弱的地區(qū),制度環(huán)境健全的地區(qū)通過所有制混合所形成的產(chǎn)權(quán)結(jié)構(gòu)與控制權(quán)特征更有利于激發(fā)企業(yè)的研發(fā)創(chuàng)新行為。
[Abstract]:Since the reform and opening up, China, as a new and transitional economy, has continuously deepened the market-oriented reform, not only in the performance of micro-enterprises, but also in the macroeconomic efficiency has made remarkable achievements. Since the 1990s, as the microeconomic subject of China's public ownership economy, state-owned enterprises have continuously introduced social capital and foreign capital to participate in the reform of state-owned enterprises. In the new stage, the reform of state-owned enterprises has also entered a critical period and a "deep water area." after a long period of practice and theoretical discussion on the reform of state-owned enterprises, the reform of mixed ownership has become the direction and goal of the reform of state-owned enterprises in the choice of government policies. In order to further stimulate the vitality of state-owned enterprises. At the same time, the 18th National Congress of the Communist Party of China put forward the strategy of innovation-driven development, and the driving force of China's economic development is being driven by resource factors to innovation-driven. As the microcosmic main body of a country's economic operation, the enterprise is undoubtedly the core link of the national innovation system. Only if the enterprise enhances its own independent innovation ability, can our country become an innovative country at an early date. Obviously, if we want to improve the independent innovation ability of our enterprises, we need to continuously increase R & D investment. One of the important goals of the reform of mixed ownership in state-owned enterprises is to further improve the level of R & D innovation and further improve the efficiency of enterprises. The participation of heterogeneous social capital in the reform of state-owned enterprises will inevitably change the structure of property rights and the control rights of enterprises. Under this background, this paper probes into the influence of ownership and control characteristics of mixed ownership enterprises on R & D innovation behavior. Through the public issuance of shares, the state-owned listed companies in China have realized the diversification of property rights while financing, which is a typical representative of the mixed ownership enterprises formed by the mixture of state-owned capital and social capital. This paper takes the manufacturing and information software industry in 2011-2015 as a sample to analyze the impact of ownership characteristics on R & D innovation through shareholder heterogeneity theory, principal-agent theory, resource complementarity theory and equity balance theory. Through the view of wealth transfer and wealth support, this paper analyzes the influence of the characteristic factors of control rights on R & D innovation behavior of enterprises, analyzes the influence of institutional environment on R & D innovation behavior of mixed ownership enterprises through the theory of new institutional economics. Through the above theoretical analysis, this paper puts forward the research hypotheses, carries on the empirical test, discusses under the Chinese special economic system environment, the mixed ownership enterprise ownership characteristic factor and the control right characteristic factor to the enterprise research and development innovation behavior influence. By using Tobit model, this paper finds that the deepening of ownership mixing is beneficial to R & D innovation behavior of mixed ownership enterprises, and ownership mix checks and balances will promote the R & D intensity of state-owned enterprises, but the relationship between them will be "inverted U-shaped". That is, the appropriate proportion of the allocation of diversified property rights can achieve the optimal incentives for R & D. The non-state-owned property rights representative of mixed ownership enterprises, directors and supervisors share control rights will restrain R & D innovation behavior of mixed ownership enterprises. However, the institutional environment has a profound impact on the relationship between the two. Compared with the weak institutional environment, the property structure and the characteristics of control rights formed through the ownership mix in the areas with sound institutional environment are more conducive to stimulate the R & D innovation behavior of enterprises.
【學(xué)位授予單位】：北京第二外國(guó)語學(xué)院
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F273.1;F276.1

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