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论文编号：	2158
作者编号：	2006001
上传时间：	2010/3/25 10:41:52
中文题目：	中国企业海外公司治理力研究
英文题目：	Overseas Branches of Chinese Company
指导老师：	程秀生
中文关键字：	中国企业海外公司；公司治理力；公司治理；跨国公司
英文关键字：	Overseas Branches of Chinese Company, Corporate Governance Capacity, Corporate Governance, Multinational Company
中文摘要：	本文基于企业能力理论、公司治理理论、社会经济学和新制度经济学的基本理论，构建了一个公司治理力的理论分析框架，并据此，对中国企业海外公司治理进行了实证研究。 本文首次提出从公司治理力的新视角来研究公司治理问题。公司治理结构、公司治理机制等治理要素可以看作是企业的资源，这些资源对公司治理来讲是表面的和载体性的构成要素，本质的东西是存在于这些治理要素背后的能力。公司治理结构、公司治理机制、公司治理环境和参与公司治理者的治理能力等公司治理要素相互影响、相互作用而形成公司治理力。所谓公司治理力是指在一定的公司治理目标引导下和公司治理环境中，在科学规范的法人治理结构基础上，通过加强治理主体的个体治理能力建设，由治理主体应用治理工具，对权力运用者及其权力运用等治理客体进行治理而形成并不断发展的一种综合能力，也就是人们实现公司治理目标的能力。公司治理结构、公司治理机制、公司治理环境等公司治理要素的作用力是具有方向性的，公司治理力是这些具有方向性的作用力的合力，其方向性即公司治理的目标。公司治理力所追求的过程目标是实现公司科学决策与决策有效实施、权力有效制衡与高效运转等，其最终目标是持续提升公司绩效，实现以股东为主体的公司利益相关者的长期利益最大化，保障公司持续健康发展。公司治理力是一个动态的、开放的、不断运动发展的系统，有其特有的发展规律性。 本文也构建了公司治理力的一般分析框架。公司治理力理论是研究公司治理问题的最新理论探讨，是对现有公司治理理论的有益补充，主要分析了公司治理力的基本内涵、模型构建、结构分析、运行机制和公司治理力的基本特性等内容。（1）公司治理结构、公司治理机制、参与治理者的治理能力、公司治理环境等共同组成了一个完整的公司治理体系，并综合地体现为公司治理力系统。参与公司治理者的治理能力是公司治理力的重要组成部分，是公司治理力形成与有效发挥作用的最重要的能动性要素。参与公司治理者的个体治理能力，包括决策能力、审计监督能力、激励能力、选聘能力等具体要素；公司治理结构是公司治理力的基础；公司治理机制是公司治理力作用的发挥的保障；公司治理环境是公司治理力发挥作用的环境条件，同时，外部公司治理力又是整个公司治理力的组成部分。（2）一个公司的治理结构与治理机制、甚至整个公司治理模式是可以被学习与摹仿的，并容易被竞争对手借鉴与获取；但蕴含在这些要素后面的治理能力，却不易被学习与摹仿。 本文还对中国企业海外公司治理进行了较系统的实证分析。本文结合中国企业海外公司的治理现状分析了中国企业海外公司治理力的内部影响因素和外部环境支持。本研究认为，中国企业海外公司治理中存在“内部人控制”问题、“所有者越位”问题、海外经理人员激励不到位问题和国内母公司对海外子公司的控制问题。总体上讲，海外公司所处的公司治理环境给予海外公司较强的作用力，也就是说海外公司有较强的外部公司治理力；从参与公司治理者的治理能力要素来分析，海外公司更注重对参与公司治理者的治理能力的培育与提升，特别是在公司治理结构与公司治理机制不完善的情况下，对参与公司治理者的治理能力的培育与提升，成为增强海外公司治理力的最重要的途径。不断培育与提升公司治理力，有助于中国企业海外公司的持续成长。 论文共分为八章： 第一章介绍选题的有关情况，包括问题的提出，选题的理论和实践意义，理论创新所要达到的目标，并对基本的研究范畴概念作了界定，说明了研究的思路、方法等，为本文的写作提供理论平台和分析性的总体框架； 第二章构建公司治理力的一般分析框架，作为本文研究的逻辑起点。在本章，先是阐述了公司治理力的基本内涵，然后分别介绍了公司治理力的体系结构、运行机制和绩效分析，以此构建了公司治理力的理论分析框架； 第三章是对公司治理力的结构分析，包括公司治理力的内部环境体系的分析和外部环境体系的分析； 第四章着重分析了公司治理力的运行机制。在本章，先是阐释了公司治理力的作用原理，包括其动力源、作用途径、作用机制和作用效果；然后分析了公司治理力的演化趋势及其特性； 第五章深入分析了中国企业海外公司的治理现状。先是对中国企业海外公司的发展情况做了概述，然后分析了中国企业海外公司存在的问题及其成因； 第六章分析了中国企业海外公司治理力的影响因素，包括产权结构演变、组织结构演变及管理制度演变和外部环境等； 第七章深入分析了中国建筑工程总公司的海外公司和中油国际尼罗有限责任公司的公司治理力，进一步验证了公司治理力对于海外公司持续发展的重要作用。 第八章结论与展望。
英文摘要：	Basing on enterprise Competency, Corporate Governance, Social Economics and New Institutional Economics theories, the dissertation constructs a theoretical analysis framework of Corporate Governance Capacity. By this means, the dissertation makes a positivism study on the governance status of the overseas branches of Chinese companies. The dissertation discusses the corporate governance from the new perspective of corporate governance capacity for the first time. The author argues that corporate governance structure, mechanism and other governance elements can be looked upon as a company’s resources and they are only the external and carrying components of corporate governance. The essence is the capacity behind those components. Corporate governance structure, mechanism, environment, the competence of managers participating in governance process and other factors are interacting with each other to form the corporate governance capacity. Corporate governance capacity so-called refers to a kind of comprehensive, constantly developing competence which is the result of the main governing body’s governing power users and their utilization of power by employing governance tools and through strengthening the individual capability building of the main governing body, directed by a certain governance objective and basing on scientific and normative governance structure. In other words, it is the competence with which to realize the corporate governance objective. The acting forces of corporate governance structure, mechanism, environment and other elements are directional towards to the objective of corporate governance and the corporate governance capacity is the resultant force of them. The process target it pursues focuses on scientific decision making and its effective implementation, the balance of power and its efficient operation and etc, while its ultimate aim is to improve constantly the company’s performance and to maximize the long-term benefit for company’s stakeholders with shareholders as the majority. Corporate governance capacity is a dynamic, open and developing system with its own law of evolution. The dissertation also establishes a general analytical framework for corporate governance capacity. Corporate governance capacity theory is a new exploration in the field of corporate governance and will contribute to the reinforcement of current corporate governance theory. It analyzes mainly the basic connotation, modeling, structure analysis, operation mechanism and other characteristics of corporate governance capacity. 1) Corporate governance structure, mechanism, environment, the competence of managers participating in governance process and etc. constitute a complete corporate governance system and synthetically reflects a system of corporate governance capacity. Among them, the competence of managers participating in governance is not only the most important components of corporate governance capacity, but also the most critical initiating element necessary for the formation and effective exertion of it. The individual capacity of managers participating in the company’s governance includes the capacity of decision making, audit and supervision, motivation, selection and recruitment and other specific elements; corporate governance structure is the basis of corporate governance capacity; corporate governance mechanism is the safeguard for the functioning of corporate governance capacity; corporate governance environment provides the environmental condition for the effect of corporate governance capacity. Meanwhile, the external corporate governance capacity is also the component of whole corporate governance capacity. 2) The corporate structure and mechanism, even the governance model of a company can be learned and copied, and is easily used and attained by its competitors. The corporate capacity behind those elements, however, is not so easy to be learned and replicated. In addition, the dissertation does a positivism analysis on the overseas branches of China’s companies. It studies the internal effecting elements and external environmental support of the governance capacity of those branches according to governance status of them. It argues that there are problems such as “control by insiders”, “owner’s offside”, demotivation of managers, and the control of them by their mother companies in the governance of those overseas branches. Generally speaking, the corporate governance environment where those overseas branches situate impose more effect on them. In other words, the external corporate governance capacity of those overseas branches is comparatively stronger. In terms of the capacity of managers participating in the company’s governance, those overseas branches attach more importance to the development and improvement of the manager’s governance capacity, especially when their corporate structure and mechanism are not perfect. Therefore, to develop and improve the governance capacity of managers participating in governance has been the most important approach to strengthen of those overseas branches. Correspondingly, the continuous development and improvement of the corporate governance capacity will help the sustainable development of those overseas branches. The dissertation is composed of 8 chapters: Chapter 1 indicates the relevant information about the research topic, including the raise of the question, theory of the selected topic and its practical significance, goal of the theoretical innovation, and definition of basic research category and concept, research ideas and approaches and so on, which provides a theoretical platform and a general framework for analysis for the paper. Chapter 2 constructs a general analysis framework of corporate governance capacity as the logical starting point of this paper. It expatiates the basic connotation of corporate governance capacity in the beginning and then introduces respectively the system structure, operation mechanism, and performance analysis of corporate governance capacity, and hereby constructs the theoretical analysis framework for it. Chapter 3 focus on the structure analysis of the corporate governance capacity, including the analysis of its internal and external environment system. Chapter 4 focuses on the functioning mechanism of corporative governance capacity. Firstly, it explains the functioning theory of corporative governance capacity, including the origin of its driving force, functioning channels, mechanism and effect, and then analyzes its evolution trend and characteristics. Chapter 5 goes deep further into the governance status quo of the Chinese companies’ overseas branches. Firstly it introduces briefly the development of those overseas branches, and then analyzes the exiting problems and causes of formation with those branches. Chapter 6 analyzes the factors influencing the corporate governance capacity of these overseas branches of Chinese companies, which includes the evolution of property structure, organizational structure and management system, and the external environment etc. Chapter 7 deeply analyzes the corporate governance capacity of the overseas branches of CCEC and that of CPI, which further proves the importance of corporate governance capacity to the sustainable development of those overseas branches. Chapter 8 concludes and looks ahead.
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