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1、 I摘摘 要要 在影响企业经营运作的环境中，政府政策、法规、社会公共事项等非市场因素，对工商企业的经营活动都具有显著的影响。因此，影响企业经营运作的公共政策与法规的出台一直是社会各种利益团体权力斗争和利益平衡的结果。由于缺乏必要的规范和制度约束我国企业影响政府政策和立法的不规范的非市场行为产生了大量的伦理问题，对我国的经济体制改革和民主政治建设产生了极其消极的影响。因此，本文把我国企业非市场行为的规范和治理作为主要的研究内容。 由于游说是大多数政治策略的主要特征， 因此我们从游说的角度来考察我国企业影响政府决策和资源配置行为的伦理规范。在文献研究的基础上，我们建立了一个企业游说行为的分析框架，
2、然后通过与企业高层的深度访谈，分析了我国企业游说常用的方式以及游说中的潜规则。针对企业游说中的伦理问题，我们探讨了企业游说活动的伦理，提出了规范企业游说伦理问题的可行步骤。 在我国企业众多的游说方式中，有两种特殊的方式在新世纪之初呈现出愈演愈烈的趋势：一方面，大量的政府官员下海经商，另一方面，越来越多的民营企业家通过各种途径参政议政。我们通过统计数据说明了官员下海和商人参政的现状、本质及所隐含的伦理问题。针对这些问题以及现有规范的缺陷，我们提出了一个分析企业政治行为伦理的框架。在此基础上，我们分析了官员下海和商人参政的伦理，为我国大量存在但却缺乏规范的官员下海和商人参政现象界定了一个合理的范围
3、，并对这两种现象的治理提出了相应的政策建议。 我国企业不规范的非市场行为对我国的经济体制改革和民主体制建设已经产生很严重的后果。因此，急需对企业不规范的非市场行为进行规范。为此，我们首先要了解此种状况产生的原因。基于资源依赖理论，我们提出了关于我国企业非市场活动的 13 个假设，然后通过对 175 位企业高层问卷调查的数据验证了这些假设。实证研究的结果表明，企业讨价还价的权力资源、高层管理导向、非市场环境的复杂性对企业的非市场活动具有显著的影响。 II基于实证研究的结果，我们分析了我国企业不规范的非市场行为的治理问题。由于企业的非市场桥梁活动是一种规范的活动，而非市场缓冲活动是规范的和不规范的
4、交织在一起。所以，我们首先对企业的非市场缓冲活动进行了分类，然后探讨了我国企业大量的非市场缓冲活动产生的原因，以及不规范的非市场缓冲活动给社会所带来的负面效应。最后，我们分析了对我国企业非市场行为的治理措施。 关键词关键词： 非市场行为; 游说; 官员下海; 商人参政; 伦理; 桥梁; 缓冲; IIIAbstract Nonmarket factors, such as government policies, laws and regulations, social public issues and so on, have remarkable influence on the busin
5、ess. In the countries with more developed market economy, As a result, government policies and regulations are always results of power struggling and interests balancing among all kinds of interest groups. As there are lack of essential norm and institutional restriction, the nonstandard non-market
6、action of the enterprises have caused a large amount of corruption. Consequently, this thesis focuses on the norm and governance of non-market behavior of the enterprises in our country. As lobbying is the primary characteristic of the corporate political strategy, we study the behaviors of enterpri
7、ses that influence government decision and resource allocation from the point of lobbying. On the basis of literature research, we build a framework of analysis the corporate lobbying, and then analyses the common methods and the hidden rules of lobbying by the depth interview with top managers. Aim
8、ed at the ethical issues found in the depth interview, we study the criterion of corporate lobbying and bring forward feasible steps of standardizing corporate lobbying. There are two particular kinds of lobbying tactics, which are very popular in the new century. On the one hand, many government of
9、ficials go into business; on the other hand, more and more private entrepreneurs participate in politics. We describe the state of two phenomena, and analyze ethical issues behind the two phenomena and the defects of the existing criterion. In order to define a reasonable scope for the two phenomena
10、, we propose a framework of ethical analysis of corporate political action. And then analyzes the ethic of government officials going into business and businessmen participating in politics on this basis. Finally, we put forward corresponding policy suggestions for standardizing government officials
11、 going into business and businessmen participating in politics of Chinese enterprises. IVNowadays, the nonstandard non-market action of our companies is exerting greater and greater negative influence on economic system reform and democracy system construction of China. Therefore, it is urgent to st
12、andardize the nonstandard non-market action of enterprises. First of all, we need to find out the determinants of corporate non-market action. Based on resource dependency theory, we propose 13 hypotheses on non-market action of our enterprises, and then we testify these hypotheses by questionnaire
13、data from 175 top managers. The result shows that the bargaining resource is positively related to non-market action, while top management orientation plays a mediator role. Whats more, we find that redundant government control and intervention increase non-market buffering activity, while the chang
14、e of social value and the increase of Non-Government Organizations urge the enterprises to conform the request of the society. Based on the results of empirical research, we analyze governance issues of non-market action of the enterprises. As the nonmarket bridging activity is a kind of standard ac
15、tivities, while standard buffering activities and nonstandard buffering activities are mixed. Hence we classify buffering activity first, and then discuss the reasons why there are so many buffering activities and the negative effect of nonstandard buffering activities. Finally, we analyze measures
16、for standardizing the non-market action of the enterprises. Key words: Corporate non-market action; Lobbying; Government officials going into business; Ethic; Businessmen participating in politics; Buffering; Bridging; 独创性声明独创性声明 本人声明所呈交的学位论文是我个人在导师指导下进行的研究工作及取得的研究成果。尽我所知，除文中已经标明引用的内容外，本论文不包含任何其他个人或集体已经发表或撰写过的研究成果。对本文的研究做出贡献的个人和集体，均已在文中以明确方式标明。本人完全意识到，本声明的法律结果由本人承担。 学位论文作者签名： 日期： 年 月 日 学位论文版权使用授权书学位论文版权使用授权书 本学位论文作者完全了解学校有关保留
