Analysis of System Innovation of Scientific Research Institution Reform.docx

1、Analysis of System Innovation of Scientific Research Institution Reform分类号 _ 密级 _公开_UDC 编号 20092710103 广东外语外贸大学硕士学位论文科研机构的制度创新分析 -以GAMARI为例Analysis of System Innovation of ScientificResearch Institution Reform A Case Study of GAMARI申请人姓名 曾瑞勇 导师姓名及职称 董小麟教授 申请学位类别 管理学 学科专业名称 工商管理硕士 培养单位 MBA教育中心 学位授予单位

2、 广东外语外贸大学 2012 年 5 月 12 日独创性声明本人郑重声明：所呈交的学位论文是本人在导师指导下进行的研究工作及取得的研究成果。据我所知，除了文中特别加以标注和致谢的地方外，论文中不包含其他人已经发表或撰写过的研究成果，也不包含为获得广东外语外贸大学 或其他教育机构的学位或证书而使用过的材料。与我一同工作的人对本研究所做的任何贡献均已在论文中作了明确的说明并表示谢意。 作者签名： 签字日期： 2012年5月12日学位论文版权使用授权书本学位论文作者完全了解 广东外语外贸大学 有关保留、使用学位论文的规定，有权保留并向国家有关部门或机构送交论文的复印件和磁盘，允许论文被查阅和借阅。本

3、人授权 广东外语外贸大学 可以将学位论文的全部或部分内容编入有关数据库进行检索，可以采用影印、缩印或扫描等复制手段保存、汇编学位论文。 作者签名： 导师签名： 签字日期：2012年5月12日 签字日期：2012年5月12日DEED OF DECLARATIONI, Zeng Ruiyong , hereby submit my MBA dissertation for oral defense, entitled Analysis of System Innovation of Scientific Research SystemA Case Study of GAMARI and truth

4、fully declare that the above-titled case analysis is a product of my original research investigation.I further declare that, should the school eventually discover that a substantial portion of my dissertation is lifted, into to, from original sources, using exactly the words of the author in more th

5、an 50% of the whole content, I reserve the right to Guangdong University of Foreign Studies to recall my MBA Diploma and cancel the degree granted to me.Signed this day of May 12, 2012 at Guangdong University of Foreign Studies, Guangzhou, China._MBA CandidateACKNOWLEDGEMENTSAfter painstaking prepar

6、ation and writing, my Masters thesis finally has been finished. Recalling the road of learning in GWMBA over the past few years, I want to thank for teachers, classmates, friends and relatives who gives me concern and help. Their sincere help and encouragement let me overcome difficulties and finish

7、 MBA course study and thesis.First of all, I would like to thank my dear Professor Dong Xiaolin who had devoted a lot of effort and guidance from selection of the thesis to final draf. Professor Dong is respected as one of the greatest instructors, with his words and deeds, and the stringent require

8、ments and then my masters thesis can be completed. Professor Dong is a keen vison of academics, attitude of rigorous academic and tireless scholar, honest and trustworthy and outspoken instructor, which not only enlightened me in studies, but also deeply influenced in personal moral characters.In th

9、e process of writing the thesis, I got the guidance and help of GAMARI leadership and colleagues; here I express my heartfelt thanks for this! And also, I would like to thank my classmates for their enthusiastic help and encouragement, in the pass three years I saw the sincerity, enthusiasm and tire

10、less attitude in your eyes.Finally, I would like to sincerely thank my family, in the road of my life, who have given me understanding, support, encouragement and motivation, which let me can go ahead.ABSTRACTIn view of relevant theories and practice of system innovation and on the basis of the rese

11、arch results home and abroad, this thesis examines the composite system innovation theory consisting of property right theory, human capital theory, corporate governance theory and internal control system theory. Taking Guangdong Province Agriculture Machinery Research Institute (GAMARI) as the targ

12、et, this thesis analyses system innovation in consideration of the ongoing reform of scientific research system. Through the analysis of GAMARI system innovation, this thesis puts forward a solution with property right theory and human capital theory as the core to help GAMARI achieve system innovat

13、ion. Besides, it is suggested to improve the corporate governance ability of GAMARI through corporate governance innovation, internal control system innovation and corporate culture innovation.This thesis believes that the system innovation discussed above can promote scientific research system refo

14、rm, upgrade the core competitiveness of scientific research systems and realise the strategic target of scientific research systems. Scientific research system reform takes time and needs to be carried out step by step until it reaches Pareto optimality. The study of the system innovation of GAMARI

15、can serve as inspiration for other relevant research and scientific research system reform.Keywords: System innovation, Reform of scientific research system, corporate governance, internal control, Property right system摘 要本文针对制度创新的相关理论与实践，在对国内外现有研究成果分析与评述的基础上，深入研究了以“产权理论”、“人力资本理论”、“公司治理理论”和“内部控制制度理论

16、”为基础的复合的制度创新理论，以广东省农业机械研究所（以下简称GAMARI）为研究对象，结合当前科研机构改革进行制度创新分析。本文通过GAMARI的制度创新分析，提出以“产权理论”和“人力资本理论”为核心实现产权制度创新，并通过“公司治理创新”、“内部控制制度创新”和“企业文化创新”完善GAMARI治理架构和提高公司治理能力，以此为模型完成GAMARI的制度创新分析模式。本文以为：通过上述制度创新以达到促进科研机构改革，提高科研机构发展的核心竞争力,实现科研机构的战略目标的实现。科研机构制度改革过程是一个渐进达到帕累托最优的过程，需要相关配套制度的相互促进，才能达到预想的效果。通过对GAMAR

17、I典型案例的制度创新研究，以点带面引导科研机构改革制度创新分析思考。籍此，希望能为科研机构改革的制度创新提供制度创新参考。关键词：制度创新、科研机构改革、公司治理、内部控制、产权制度TABLE OF CONTENTSACKNOWLEDGEMENTS IIIABSTRACT IVTABLE OF CONTENTS VILIST OF TABLES XLIST OF FIGURES XII1 INTRODUCTION 11.1Background 11.2 Purpose and significance 11.3 Research methods and techniques 11.3.1 Li

18、terature review 21.3.2 Case analysis 21.3.3 Interview method 21.4 Main content and logical structure 31.4.1 Research content 31.4.2 Framework of this thesis 42 LITERATRURE REVIEW AND COMMENT 52.1 Development of system innovation 52.1.1 Status of innovation theory research 52.1.2 Research on system i

19、nnovation theory 52.1.3 Research on system innovation theoryof scientific research systems 82.2 Construction and the role of enterprise management system 92.2.1 Enterprise management system construction 92.2.2 Systems role in business management 102.3 Concept and classification of system innovation

20、102.3.1 Definition of system innovation 102.3.2 Classification of system innovation 112.3.3 Steps of system innovation 122.4 Research Methods 132.4.1Property right theory 132.4.2 Human capital theory 152.4.3 PrincipalAgent Theory and corporate governance 172.4.4 Internal control system 202.5 Case St

21、udy Method 242.6 Summary 253 CASE DESCRIPTION 263.1 Overview of the reform of scientific research institutions 263.1.1 Development status and trends of the systm reform 263.1.2 Development opportunities for the systm reform 273.2 Overview of GAMARI 283.2.1 Industrial condition and prospect of GAMARI

22、 283.2.2 Overview of GAMARI 293.3 Major problems of GAMARI 333.3.1 Unidentified property right 333.3.2 Failure in Principal - agent relationship 343.3.3 Hollow position of the subject of state ownership and serious problem of “insider control” 343.3.4 Irrational corporate governance structure 343.3.

23、5 Absence of human capital incentive system 353.3.6 Serious brain drain phenomenon 353.3.7 Fetter of enterprise culture 353.3.8 Absence of the internal control system 363.3.9 Lack of sufficient money 363.3.10 Decrease of enterprise core competitiveness 363.3.11 Economic burden 373.4 Summary 374 CASE

24、 ANANLYSIS 384.1Analysis of the problems of GAMARI 384.1.1 Indistiction of property right relationship 384.1.2 GAMARIs lack of corporate governance structure 394.1.3 Absence of incentive system and low efficiency 404.1.4 Negative enterprise culture restrict the develop of GAMARI 414.1.5 Severe loss

25、of asset due to the absence of internal control system 424.1.6 Analysis of financial problem 424.1.7 Lack of advantage in violent competition 424.1.8 Brain drain due to irrational human capital managemet system 434.1.9 High cost restrain the exploration of market 434.2 Summary 435 SUGGESTONS AND ENL

26、IGHTEMENT 455.1 Actualize the property right system innovation 455.1.1 MBO Model 465.1.2 Employee buy-out (EBO) 485.1.3 Introduce strategic investors of the same industry 505.2 Establishment and improvement of corporate governance 535.3 Establishment and improvement of internal control system 545.4

27、Innovation of the Human capital system 555.5 Innovation of enterprise culture system innovation enchances enterprise cohesion 575.5.1 Study-oriented enterprise 575.5.2 A “fair, equal and open” culture 585.6 Summary 596 CONCLUSIONS 60REFERENCES 61Thesis published by the period of study for a masters

28、degree 63目 录感 谢 III摘 要 V目 录 VIII表 目 录 XIII图 目 录 XIII1 绪 论 11.1背景介绍 11.2 目的与意义 11.3 研究的方法 11.3.1 文献综述 21.3.2 案例分析 21.3.3 访谈法 21.4 主要研究内容及结构 31.4.1 研究内容 31.4.2 论文研究框架 42 文献综述与评论 52.1 制度创新的发展 52.1.1 创新理论的研究现状 52.1.2 制度创新理论的研究现状 52.1.3 科研机构制度创新理论研究现状 82.2 企业管理制度的作用与角色 92.2.1 企业管理制度的作用 92.2.2 企业管理中制度的角色

29、102.3 制度创新的定义与分类 102.3.1 制度创新的定义 102.3.2 制度创新的分类 112.3.3 制度创新的步骤 122.4 理论研究方法 132.4.1产权制度理论 132.4.2 人力资本理论 152.4.3 代理理论与公司治理 172.4.4 内部控制制度 202.5 案例分析方法 242.6 本章小结 253 案例描述 263.1 科研机构改革的概述 263.1.1 制度改革的现状与趋势 263.1.2 制度改革的发展机遇 273.2 GAMARI概述 283.2.1 GAMARI产业的行业现状和发展前景 283.2.2 GAMARI概述 293.3 GAMARI面临的

30、主要问题 333.3.1产权关系不明晰，政企（所）不分，产权关系模糊 333.3.2委托代理关系失效 343.3.3最终所有者虚置，内部人控制严重 343.3.4企业的法人治理结构不合理 343.3.5 人力资本激励缺失 353.3.6人才流失严重 353.3.7企业文化的束缚 353.3.8内部控制制度管理的缺失 363.3.9资金的限制束缚企业的发展 363.3.10市场竞争激烈，企业核心竞争力逐渐丧失 363.3.11经济负担重 373.4 本章小结 374 案例分析 384.1 GAMARI存在问题的分析 384.1.1产权关系不明，政所不分制约GAMARI发展 384.1.2单一的产

31、权关系导致GAMARI没有建立现代企业法人治理结构 394.1.3缺乏人力资本激励制度，导致企业的效率地下 404.1.4消极的企业文化影响了企业的效率，制约企业的发展 414.1.5内部控制制度管理的缺失导致财产管理失控，资产流失严重 424.1.6资金的限制束缚问题分析 424.1.7市场竞争激烈，在竞争中逐渐失去优势 424.1.8人力资本管理制度导致人才流失严重制约企业发展 434.1.9产品成本相对较高制约了企业产品市场的拓展 434.2 本章小结 435 建议与启发 455.1实行产权制度创新，实现产权明晰关系和产权多元化 455.1.1 MBO模式 465.1.2 EBO模式 485.1.3 引入战略投资者 505.2建立和逐步完善企业治理结构，提高