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论文编号：	4114
作者编号：	2120102347
上传时间：	2012/5/28 11:29:29
中文题目：	公司治理对企业创新的作用机制研究
英文题目：	Research on the Influencing mechanism of Corporate Governance on Enterprise Innovation
指导老师：	杨斌
中文关键字：	公司治理，创新，利益主体
英文关键字：	Corporate Governance，Innovation，Stakeholders
中文摘要：	本文从百年企业如何通过创新建立竞争优势，又是如何因为创新决策失误导致经营危机的问题意识出发，探讨公司治理对企业创新的具体作用机制。我们通过对公司治理理论和创新理论的相关研究，认为公司治理主要通过影响创新主体投入，从而影响企业创新能力，并由此产生不同的创新结果。创新涉及多个利益主体，其固有的特征，如风险性、收益滞后性和外溢性，会激发企业利益主体间的矛盾，如股东与管理层之间，管理者与工人之间。这些利益主体是企业创新活动资源的关键提供者，创新势必打破原有利益主体格局，损害一部分人的利益而遭到抵制，因此如何协调这些利益主体间的关系，满足创新过程的关键资源投入和确保创新决策不受影响成为关键。公司治理作为公司资源配置和利益分配的一套制度安排，协调的是各种利益相关者之间的关系，其可以通过调和利益主体间的矛盾，使其做出支持创新投入的承诺。为了对公司治理如何作用于企业创新进行详细研究，我们构建了基于制度和组织整合视角的公司治理与企业创新作用机制模型，将公司治理层面的活动看成一个政治协调过程，将具体的创新过程看成一个认知协调过程，并引入利益主体间关系作为中介变量，通过分析利益主体间关系如何影响创新主体投入，和公司治理对利益主体间关系的协调如何促进创新主体投入来具体阐述公司治理对企业创新的作用机制。在利益主体间关系如何影响企业创新投入的分析中，我们指出了股东、管理者、工人三个利益主体在公司中的地位不一致，极易产生心理对立、价值冲突、互动支配、利益争夺，这使得三方在利益和目标上不同，并由此产生对抗情绪和对抗行为。合作是通过共同参与、责任共担和利益共享，实现各利益主体整体利益最大化的方法，它有助于创新主体做出创新承诺，增加创新投入。为了促进利益主体间的合作，公司治理必须解决创新过程所加剧的信息不对称和某些利益主体机会主义行为等问题。针对信息不对称，我们提出股东参与维度，针对机会主义行为，我们提出利益相关者包含度维度。而对现有公司治理模式难以同时满足渐进式创新和激进式创新的难题，又提出调节度维度，试图对公司治理与企业创新关系做出完整解释。最后为了说明这个模型，我们通过美日两国公司治理演变如何影响企业创新的对比分析中得到验证。
英文摘要：	This paper aims at researching the influencing mechanism of corporate governance on enterprise technology innovations to illuminate the reasons why lasting enterprises could build competitive advantage. We think that corporate governance makes influences on technology innovations mainly through innovation input on the basis of theories of corporate governance and innovation. Innovation involves multiple stakeholders, and the inherent characteristics of it may stimulate the contradictions between shareholders, managers and workers. So it is important to decrease the conflict between stakeholders and make commitment to innovation. As an institution arrangement of resource allocation and benefit distribution, corporate governance deals with the relationship between various stakeholders in order to obtain the commitment to support innovation. We build up a model to explain the mechanism from the view of combination of institutions and organizations. We consider corporate governance as a political process of coordination and see the activities of innovation as a cognitive process of coordination. The relationship between the various stakeholders is a mediating variable. Through the analysis of the way of relationship influencing innovations and corporate governance coordinating the relationship, we explain the mechanism. In the part of the way of relationship influencing innovations, we point out that it is easy to generate the psychological confrontation, value conflict, interactive domination, competing interests which aggravate antagonism and confrontation behavior. Cooperation is beneficial to every side. Corporate governance help resolve the question by the mechanism of supervision and encouragement. In addition, as the main channel between employers and employees, corporate governance plays an important role in maintaining the balance of equality and organizational system of property rights system, which can promote labor-management cooperation. To illustrate this model, we take examples of America and Japan.
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