作者：刘迎秋
出版社：社会科学文献出版社
格式: AZW3, DOCX, EPUB, MOBI, PDF, TXT
中国民营企业发展新论试读：
作者简介
刘迎秋 中国社会科学院研究员，南开大学经济学博士，著名经济学家。主要研究领域为宏观经济运行与管理、经济发展与增长、民营经济理论与政策，1996 年前在期货交易理论研究方面也曾有所建树。在国内外公开出版或发表学术专著20 余部，学术论文和研究报告400 余篇，其中多篇部获国家和省部级优秀成果奖。主要代表作有《总需求变动规律与宏观政策选择——1952—1990 年中国经验的理论分析》、《次高增长阶段的中国经济》、《利率、债务率、汇率与经济增长》、《浙江经验与中国发展》（总报告）以及《中国民营企业竞争力报告》（No.1-No.5）、《中国非国有经济改革与发展30 年》等学术专著。现为中国社会科学院研究生院院长、教授、博士生导师，中国社会科学院研究生院学术委员会主任、学位委员会主席兼中国社会科学院学位委员会秘书长，中国社会科学院民营经济研究中心主任、理事会理事长、研究员，中国城市发展研究会副理事长。1993 年起评为享受国务院特殊津贴专家，1996 年评为中国社会科学院院级突出贡献专家。
王红领 1952 年9 月生，1986 年毕业于中国社会科学院研究生院经济系，中国社会科学院经济研究所研究员，中国社会科学院研究生院教授、博士生导师，清华大学中国与世界研究中心（CCWE）研究员。曾先后在美国密西根大学中国问题研究中心、经济系和商学院作访问学者。在《经济研究》发表学术论文5 篇，出版专著《国有企业产权交易行为分析》。主持或作为子课题负责人参与国家社科基金重大招标项目、中国社会科学院A 类重大项目、世界银行资助项目以及美国福特基金会、美国路斯基金会等资助项目。主要研究方向：技术创新、公司治理、低碳经济。
摘要
本书以中国加入WTO后经济社会发展所处的新阶段为背景，以中国正在迈向经济大国和这次国际金融危机给中国民营企业发展带来的冲击为主要线索，分析和揭示了现阶段中国民营企业发展面临的新问题和需要应对的新挑战。通过阐述和论证新阶段中国民营企业大力度推进企业组织创新、技术创新、管理创新和实现国际化发展的必要性、紧迫性与必然性，阐明了实现中国民营企业更大发展的战略选择及其对策建议。
全书共13章。第一章，作为总论，以中国经济社会发展所处阶段为背景，根据中国成为经济大国这个现实，结合这次国际金融危机给中国民营企业发展带来的冲击，首先全面分析和揭示了新阶段中国民营企业实现新发展面临的新选择、新挑战和新对策。随着中国成为世界第二大经济体，随着中国经济的日益国际化，作为国民经济重要组成部分的民营企业，要实现持续健康发展，就必须抓住一切可以抓住的重要战略机遇，积极化解来自结构转换和产业升级过程中面临的体制与市场、自主创新与竞争力提升、空间布局调整与国际化发展等诸多挑战，通过体制机制创新、技术创新和组织创新，破解民营企业发展的体制和市场困境，构建以市场为导向的企业自主创新能力，在市场配置资源的基础性作用推动下，加快民营企业空间布局的调整和国际化发展。
第二章则在回顾民营经济发展对于中国国民经济所做贡献相关研究成果基础上，借鉴学习效应原理，通过构建管理者人力资本模型，分析和阐述了中国民营企业的发展壮大动态过程及其对经济增长的积极作用。研究表明，民营企业较高的管理者人力资本投入，为其高速成长作出了独特贡献；近年来民营企业学习效应出现降低倾向，需要促其改进，以使企业从城市化发展和技术创新过程中获得更大的成长空间；民营企业对中国长期经济增长和发展的推动作用将越来越明显。
第三章的研究表明，现阶段中国民营企业仍主要集中于低端产业领域。由于地区产业发展不平衡，推进民营企业产业转型与升级，仍然要把民营企业发展的现状作为出发点，既不能盲目放弃传统产业，又要通过推进产业集成创新、发展创新以及设计和整合产业链、推进产业区域转移等途径，实现民营企业的产业升级与转型。为此，必须进一步改善有助于促进民营企业发展的政策，创造良好的市场准入环境，鼓励民营企业进入新能源汽车、光伏发电和风电以及环保等战略性新兴产业。要在进一步降低市场准入和产业进入门槛的同时，扩大金融支持力度，为民营企业产业转型与升级创造公平有效的市场环境。
第四章的研究重点是垄断行业民营企业的进入壁垒问题，试图通过实证分析探寻和破解垄断壁垒的成因，说明实现市场公平竞争的条件，阐明推动中国国民经济更好更快发展的可行对策。通过对国内外大量相关制度法规和案例的研究，这一章得出了四个重要结论：第一，西方市场经济国家的制度与行政性壁垒属于外生性壁垒，而转轨国家尤其是中国，国有企业与政府间的特殊关系致使这类壁垒具有较强的内生性质。第二，外生的结构性壁垒具有很强的刚性。在短期内，不同垄断行业的结构性壁垒近乎常数，进入壁垒的高低与强度很难有规律可循；而从长期角度看，随着潜在进入企业实力的增强，结构性壁垒会大幅度降低，但即便如此，在位企业的策略性壁垒又会强化。因此，内生性壁垒不仅会成为中国垄断行业的一个长期特征，如果改革受阻，其强度将很难降低。第三，制度性和行政性壁垒的本质在于在位企业作为利益主体为“抽租”设置各种限制，较高的壁垒是政府部门和在位企业对市场的高度控制力和高抽租空间要求的集中反映。第四，对于不断成长壮大的民营企业来说，进入垄断行业的壁垒，主要是制度性和行政性壁垒，表现为较强的整体性制度壁垒特征。虽然有些垄断行业也会为吸引民间投资提供某些政策优惠，但由于这类行业的整体强行政、弱市场管制体制，制度性和行政性壁垒仍是民营企业进入的主要壁垒。因此，要进一步推进和深化垄断行业的整体改革，进一步降低行业和市场准入门槛，同时还要重新审视国家的大企业战略，探索建立民营企业进入垄断行业的援助机制，构建垄断行业中无效率企业退出机制，进行民营企业平等进入的形式和机制创新，促进企业平等进入，提高市场竞争效率。
从第五章开始，着重对民营企业发展过程中存在的问题及其解决途径展开分析和讨论。第五章运用实证分析方法，着重对中国民营企业治理结构及其治理机制存在的问题进行了较为深入的分析。分析表明，企业结构不同其经营业绩也不同，非家族企业的经营业绩较高，古典家族企业次之，其他类型的家族企业经营业绩较低。随着市场经济的发展和企业规模的扩大，当前要着力做好改善民营企业治理结构、完善民营企业治理机制等工作。
第六章则通过对新时期中国民营企业成长和发展过程中规模扩张和效率改进所呈现的新特征、新趋势的梳理和企业规模、效率和成长性三者之间关系的分析，探讨和阐明了中国民营企业成长和发展的合理路径，即中国民营企业不能把“做大”作为自身成长的一贯目标。在企业规模较小时，强调“做大”有利于提高企业的存活度及其市场竞争能力，但是，在企业发展达到一定规模后，就必须把“做强”作为企业成长与发展的重心，否则就会使企业掉入低效率或无效率规模扩张的陷阱。在引导民营企业实现规模扩张、加强技术创新和通过财税政策扶植民营企业创新以及完善民营企业市场进入与退出机制、提高民营企业“做强”意识、避免无效率规模扩张等方面，政府均具有十分重要的作用。
第七章着重分析和阐明了中国民营企业内部劳资收入分配关系及其发展，并用C－D生产函数对这一关系进行了实证检验。实证分析结果表明，加入WTO以后，中国民营企业劳动者平均收入增长不仅明显低于国有企业，而且明确低于集体企业。这是与劳动和资本对产出的贡献不对称的。统计分析表明，资本对产出的平均贡献率为40%左右，劳动对产出的平均贡献率为60%左右，但在收入分配中，劳动者获得的收入还不到估算值的一半，劳动报酬率明显偏低。运用多元线性回归模型和面板数据模型，分析合作型劳资关系对企业绩效的影响后，我们发现，员工工资和资金充裕度对企业绩效有明显的正向影响，员工流动性对企业绩效具有负向影响；员工培训支出对企业绩效有明显影响，培训支出越高，企业绩效越好。分析表明，政府、企业和劳动者三方共同努力，对于促进合作型劳资关系的建设具有积极意义。在这方面，政府应当有所作为。政府要更多地充当“利益表达规则和程序的制定者、利益表达和博弈过程的监督者与促进者、劳资争议的调停者”等角色。企业则应致力于扩大经营规模，提高企业效率，并在此基础上适当提高劳动报酬，要充分考虑利益相关者特别是劳动者的权益，承担更多社会责任。劳动者则要高度重视提高自身素质，既要懂得维权、培养健康的维权意识，提高与企业主间的谈判与博弈能力，又要做到爱岗敬业、不断提高劳动效率。
第八章结合中国经济发展进入“刘易斯转折区间”、廉价劳动力优势进入逐步消失阶段以及劳动力供求格局出现的新变化即中国经济转型进入新阶段这个现实的研究，分析得出了民营企业必须进一步提升自身竞争力才能获得持续健康的成长与发展的实证结论。这就要求企业学会借助比较优势实现动态升级，要进一步加大人力资本投入力度、扩大人力资本投资规模，以更大幅度地提高企业全要素生产率。在这些方面，政府也要给予必要支持。
第九章进一步从企业技术创新现状及其效率角度，分析和阐明了中国民营企业的技术创新路径及其实现等问题。这一章的分析表明，中国民营企业的总体技术创新能力虽然不断增强，但企业技术创新机制仍然不够完善、企业技术创新的法制环境仍然不太健全、企业融资仍然面临较多困难、企业创新型人才仍然比较匮乏。这一章通过运用单要素技术创新效率模型、技术创新函数模型和数据包络分析方法对1998—2003年中国30个省、自治区、直辖市的大中型工业企业面板数据进行统计分析发现，民营企业比国有企业的技术创新效率高。这意味着明晰的产权结构对于激励企业创新和提高企业创新效率具有重要意义。为促进民营企业创新，政府部门要在技术创新和创新成果保护方面做更多的工作。民营企业也要改革和完善家族式管理方式和机制，要大胆聘用和培养适合企业发展要求的高级管理人才。要选择适当的创新模式，加强对创新过程的管理，通过强化企业管理创新提升企业技术创新。
第十章以中小企业融资难为背景，分析、探讨和阐明了大力发展微型金融机构对于中国经济长期持续健康发展所具有的特殊意义。整个分析以浙江、山西和内蒙古等实地调研获得的第一手资料为基础，重点讨论了社区银行在中国银行体系中占有的特殊地位，阐明了社区银行的本质及其不可替代的融资功能与作用，指出了“银行信贷业务的经营半径”和“银行员工中客户经理的比重”是确认社区银行边界的两个重要变量。通过对美国社区银行和中国台州商业银行、泰隆银行等城市商业银行的比较研究，得出了在中国不仅要积极发展社区银行，而且要引导中小银行自觉放弃盲目“做大”倾向以及通过国家立法等方式有效限制社区银行的经营半径，防止这类银行业务走偏，损害国民经济的应有发展。
第十一章在分析中国民营企业在高新技术产业领域发展状况基础上，研究和探讨了民营企业进入高新技术产业领域的可行机制及其面临的困难和问题，并运用协同度模型和岭回归计量分析方法，揭示了高新技术产业发展对中国民营企业发展的带动作用，得出了现阶段中国民营企业与高新技术产业协同发展程度仍然整体偏低、需要通过改革进一步加强的重要结论。
第十二章运用民营企业省级固定资产投资数据，以影响民营企业区域投资的因素为研究重点，从区位经济发展的角度，分析和阐明了新阶段民营企业投资的区域分布不平衡和技术创新的区域差异是民营企业发展的一个新的动力来源。随着中国经济市场化发展程度的进一步深化，产业转移和集聚将成为民营企业规模扩大和市场拓展的新的重要支撑。促进FDI在地区间合理分布，对于推动中国民营企业投资实现新的持续健康增长同样具有重要意义。
第十三章作为本书的最后一章，紧紧抓住人民币的国际化这个中心，从后国际金融危机时代全球经济大调整和实现再平衡的角度，着重分析和阐明了中国民营企业跨国发展也将进入一个新的阶段及其面临的新环境、新问题、新机遇和新挑战。分析表明，在民营企业国际化发展方面，合资以及新建仍然是中国民营企业的常规性投资选择方式，并购并非民营企业的首选；在海外建立销售网络、建造工厂和设立办事处，仍然是中国民营企业跨国经营的首选方式。在中国民营企业跨国发展方面，尤其需要政府部门发挥更大的作用。
关键词 民营企业 发展 环境 政策
Abstract
After entry into the WTO and experiencing the impact of worldwide financial crisis，Chinese economy has been moving toward big power.This book regarded the coming new economic and social development stage as the background and the impact after the accession to WTO and worldwide financial crisis on the non-governmental enterprises（NGEs）as the principal axis，analyzed and revealed new problems and new challenges with which the Chinese NGEs are confronted currently.It also presented the important strategies for the future development of the NGEs through describing and demonstrating the necessity，urgency，and inevitability of the NGEs' organizational innovation，technological creation，managerial improvement，and internationalization.The book incluted thirteen chapters which pertinently put forward the corresponding policy recommendations that based on expounding on the NGEs' survival environment，upgrowth stage，development problems and ways.
The first chapter，as the pandect，deeply discussed the new problems and challenges Chinese NGEs are facing under the background of new stage of China's economy and its social development after the WTO and the shock from world financial crisis.China，playing a soaring role in the world economy，has been increasingly integrated with the world and become the world's second large economy.Non-governmental economy，an important part of the national economy in which China is still in a position to maintain sustainable economic growth and development in the present and future，should seize the strategic opportunities.Enterprises should not only resolve the challenges of system and market，independent innovation and competitiveness improvement，spatial layout amelioration and internationalization during the period of structural transformation and upgrading，solve the dilemma between market and government，but also establish enterprise innovation capability based on market economy by the means of institutional mechanisms，technological and organizational innovation，speed up the pace of the NGEs' spatial layout adjustment and internationalization which is driven by the market fundamental role in the resources allocation.
The second chapter，based on existing research，by drawing on the learning effect of modern economic growth theory，in reviewing on the contribution of non-governmental economy to China's economic growth，constructed a model of manager's capital to analyze the development of economic growth in China.This chapter's conclusion is that the managers' capital of the NGEs is higher than the capital of state-owned enterprises，so the NGEs have made a unique contribution to economic growth in China.At present，the learning effect of the NGEs appears lower tendency.To improve the standard of management system and get more space from urbanization and innovation are the more important things to the NGEs.
The study of the third chapter found that the NGEs in China have played more important role in promoting the development of national economy.The NGEs are mainly concentrated in low value-added industries and their developement are imbalanced in different areas.Industrial transformation and upgrading must be based on the basic reality of the NGEs development，so they are needed to give up the traditional industries.The traditional industries transformation and upgrading can be achieved by innovative design，integration of industrial chain，and the transfer means through industrial area.The development policies and market admittances to the NGEs have been improved in recent years.The NGEs could try to enter the field of new energy vehicles，solar，wind power，environmental protection and other emerging industries.The government should reduce the market admittances and industry barriers，and expand financial support for NGEs in the industrial transformation and upgrading to create a fair and effective market competitive environment.
The focus of China's market reform has advanced to the field of monopoly industries.However，because China's monopoly industries are the most concentrated areas of state-owned economy，especially of large central state-owned enterprises，the mutual combination of natural monopoly and institutional monopoly has made the reform extraordinarily difficult.So，chapter four will lay the research emphasis on the barriers to the NGEs to entry to the monopoly fields，and seek to develop various flexible solutions to these barriers.Through a large number of studies of related domestic systems and foreign regulations，four important conclusions were drawn on.Firstly，Western system of market economy countries and administrative barriers are exogenous barriers，but transition countries，especially China，the special relationship between state-owned enterprises and government make these barriers show strong endogenous nature.Then，exogenous institutional barriers are highly rigid.In the short term，various structural entry barriers to monopoly industries are nearly constant，and the level and intensity of barriers have no disciplines.But from the long-run perspective，structural barriers will be significantly reduced with the potential strength growth of enterprises.Even so，the current enterprises which got the monopoly power will strengthen the strategic barriers.Therefore，endogenous barriers in long-run will not only become Chinese monopoly industries characteristics，but also，its strength will be difficult to reduce if reform blocked.Next，the nature of institutional and administrative barriers is that these stakeholders set limits in order to get rent.High barriers are the concentrated reflection of space requirements and high rent.Finally，as for the continually growing the NGEs，enter barriers to the monopoly industries mainly the institutional and administrative barriers which are tended to have the overall characteristics of the system barriers.Although some monopoly industries will also attract non-governmental investment by offering some preferential policies in daily life，but because of the overall strength of industry executive and weak market regulation system，institutional and administrative barriers are the main barriers to the NGEs.We believe that we should further promote and deepen the overall reform of monopoly industries，reduce trade and market access threshold，re-examine the state's major business strategies，explore and build the aid mechanism of NGEs entering to the monopoly industries，build exit mechanism for inefficient enterprises，encourage in the form of equal access and mechanism innovation and enhance all enterprises to get equal access power and higher market efficiency.
The fifth chapter analyzes and discusses a number of problems and solutions during the process of the NGEs development.This chapter which based on the different corporate governance theory makes a deepen study to the problems and improvement of management structure and governance mechanisms by using the empirical analysis.The conclusion indicates that the performance of non-family enterprises is better，classical enterprises moderate，family enterprises poor，so it is imperative to boost reformation of corporate governance with the development of the NGEs.At last we try to illustrate the way and the measure that should be taken for improving the NGEs corporate governance structure and mechanism.The growth path of the NGEs can be regarded as the dynamic equilibrium process between evolutionary expansion and enterprise scale efficiency.During the new period of growth and development of the NGEs in China，there are some new features and big changes in the external environment.And they are including the full range of financial penetration on the real economy，information and network technology innovation，the weakening of economic borders，and the integration of inter-industry，etc.Changes in the external environment have a direct impact on the growth path of the NGEs.
Chapter six hackled the presented new features and new trends and analysed the relationships among the enterprise scale，efficiency and growth，and explored and clarified a reasonable path of the NGEs growth and development.Chinese NGEs cannot take “bigger” as a consistent goal.Smaller enterprises should emphasis on bigger ones，and this will contribute to increase market competitiveness and viability，but when the enterprise reaches a certain size，“stronger” should the focus to them in order to avoid inefficient or ineffective scale expansion.The government should guide them to strengthen their expansion in the scale of technological innovation，support their innovation activities through the fiscal policy，improve and perfect the mechanism for their entry and exit the markets，improve the sense of “strong” they believed and to help them avoid the inefficiency scale expansion，etc.
After careful studying on the history of imcome distribution between labor and capital-owner of the NGEs，the seventh chapter draw a conclusion that in the post-WTO era there was a slow improvement of the average income of the labor share，and the labor share was much less than the capital share.But the empirical test tells us that the contribution of capital to aggregate output is approximately 40%，while labor's contribution is about 60%.So the actual share is less than one half of the estimated share.The empirical test also shows that the wages and bonus as well as the training on workers exert a significant influence on the growth of enterprises while more mobility of the workers leads to negative impact on the development of the enterprises.In order to realize harmonious development，the cooperative relationship of the government，enterprises，and labors should be established gradually.In this regard，the government should act as “the maker to expression of interest rules and procedures”，“supervisor and facilitator of the interest expression” and “game process and mediator of labor disputes”.Government should have more functions in improving laws and regulations，promoting the collective wage negotiations and establishing coordination mechanism between the trade unions，employers and Government.The Government should also pay more attention to improve the social security system and to promote the establishment of harmonious labor relations.At the same time，enterprises should find ways to expand the scale，improve economic efficientcy，and raise the labors remuneration.Profitable enterprises should undertake more social responsibility in the same time of obtaining profits.The workers have to seriously improve their own quality，to know how to safeguard their rights，to improve human rights awareness，and enhance negotiations ability between the owner and game capabilities.
In the light of the coming of the Lewis turning point in China，the advantage of abundance of cheap labor force is disappearing in duality economy.After step into the Lewis turning point phases，there must be a fundamental change in the supply and demand of the labor force in China，the chapter eight analysed.Upgrading the comparative advantage of the NGEs is the only way to improve the competitiveness，which must rely on the investment on human capital.Improving the NGEs human canpital will play more important roles for increasing the Total Factors Productivity（TFP）in the new stage of the Chinese economy reform and development.The NGEs should work hard on the upgrading of the comparative advantage and the improvement of competitiveness，the government support is also an indispensable condition.
In the eighth chapter，the author pointed out that according to classical economic theory on the division of labor，specializations in a country helped to improve the efficiency of resource allocation.This conclusion could be extended to the financial sector，and it is easy to see that the banking industry specialization helps to improve the efficiency of resource allocation based on economies of scale.The community bank is a product of this specialization.China，having obvious “dual economy” characteristics of a large developing country，lacks community banks in the financial system，and financial system must be distorted.If we do not pay close attention to solve this problem，then it will be the long-run development problem.Financing difficulties of the small and middle enterprises in China is the external manifestations of these issues.The ninth chapter explained these problems.
Based on above analysis，the chapter nine analyses the technology innovation path and its realization of the NGEs from the perspective of current situation of technological innovation and technological efficiency.The analysis shows that the overall innovation capacity of the NGEs have been increased in recent years and at the same time the NGEs faced some obstacles in the process of innovation that include innovation mechanism，legal environment，financing and human resources.Based on the 1998-2003 regional panel data of large and medium-sized enterprises，we also find that the innovative efficiency of the NGEs is higher than that of state-owned enterprises by using both innovative efficiency regression model and data envelopment analysis model.Studies has shown that at this stage in China，the NGEs must strengthen the concept of innovation，abandon the old way of thinking，break the traditional concept of constraints，improve the innovative ideas and innovation system，and speed up technological innovation in order to enhance their competitiveness.Governmental departments should do more works of technological innovation and the protection of innovation，including classifies，revise，supplement and further clarify and improve relevant rules.Government，enterprises and market regulators should further deal with the financial problems of technological innovation by common participation.NGEs also should reform the traditional family management methods and mechanisms，employ boldly and train efficiently more higher ability CEO and senior management personals，choose appropriate model of innovation，strengthen the management of the innovation process，which should be under the guidance of the market for deepening technological innovation and management improvement，strengthen coordination among various departments，enhance corporate governace ability and strengthen the enterprise independence innovation by creating of the specialized organizations.
The tenth chapter focused on how to develop the micro-financing institutions to deal with the problem in bank financing for the small business in China.Based on the field investigations in Zhejiang，Shanxi and Mongolia，we analyzed the function of community banks in the financial system in China.And we disclosed the essence of the community banks，gave a brief definition，and distinguished two variables describing the boundary of the community banks：management radius of credit and ratio of clients' manager among bank staffers.These two variables are important to decide the boundary of the community banks，furthermore，they are useful in pushing the development in positive research in this field.Compared with the American Community Bank，China Taizhou Commercial Bank and Tyrone Commercial Bank，we concluded that the commercial banks should not only to develop，but also to be stronger.We should limit the operating radius of the community banks to prevent such banks from its function and the essential requirements，which will damage to the proper development of the national economy.
The eleventh chapter analyzed the development situation of China's NGEs in high-tech industries，and discusses the viable mechanism and problems with regard to the NGEs' enter into high-tech industries.On this basis，this chapter，by using the coordinating model and ridge regression method，studied the collaborative development and leading role between China's NGEs and high-tech industries，we find the coordinating degree is on the low side.If we want to rise this degree，the stranger reform to be needed.
By using the investment in fixed assets of the NGEs with provincial data，the twelfth chapter illustrated the regional investment factors of the NGEs，and analyzed and clarified the new driving force of the NGEs' growth and development in the new stage.The empirical
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