论文总字数：21449字

摘 要

近年来，随着国有企业改革不断深化，职业经理人制度在国有企业内部得到稳步推进。职业经理人制度作为我国新一轮推进国有企业深化改革的重要举措，对于我国国有企业转型升级、完善现代企业制度、增强国有企业竞争力具有重要的现实意义。

本文分为五章，其中国有企业推行职业经理人的困境、原因分析及对策研究是本文的重点。第一、二章为本文的理论基础，介绍了本文研究的基本情况，梳理委托代理理论和职业经理人理论，为后续的案例分析和对策研究提供理论支撑。第三章将DF公司作为案例研究的对象，对其在推行职业经理人制度中遇到的问题进行原因分析。第四章从企业内部和外部市场出发，针对第三章的问题提出对策。第五章对职业经理人制度进行研究总结，提出本文的结论并指出需要改进的方面。

本文的研究的重点在三、四章，对DF公司现行的职业经理人制度进行分析并提出改进意见。本文的主要的结论有：职业经理人制度在国有企业推行会面临公司制度、人员选聘方式、激励及约束制度等方面的问题。这些问题是公司制度不健全、机制不完善等内部因素和市场不成熟、评价体系缺失等外部因素综合作用的结果，需要针对性从公司制度、选聘方式、激励约束体系、外部市场等方面进行改进。

关键词：国有企业；职业经理人；法人治理结构；激励约束机制

Abstract

In recent years, state-owned enterprises have made significant progress in deepening reform. And the system of professional managers is gradually implemented in state-owned enterprises. The professional manager system is an important measure to strengthen the deepening reform of state-owned enterprises. The promotion of this system has important practical significance for the transformation and upgrading of state-owned enterprises and the improvement of modern enterprise system. This has important practical significance for improving the competitiveness of state-owned enterprises.

This article is divided into five chapters. Among them, the dilemma, reason analysis and countermeasure research of state-owned enterprises promoting professional managers are the focus of this article. The first and second chapters are the theoretical basis of this article, introducing the basic situation of this study, combing the relevant theories of professional managers, and providing theoretical support for subsequent research. The third chapter takes DF company as the object of case study and analyzes the reasons for the problems encountered in the implementation of the professional manager system. The fifth chapter summarizes the professional manager system, puts forward the conclusion of this article and points out the areas that need to be improved.

The research focus of this article is on chapters 3 and 4, which analyzes DF's current professional manager system and puts forward suggestions for improvement. The article draws several important conclusions. The implementation of the professional manager system in the state-owned enterprises will face problems in the company system, personnel selection and recruitment methods, incentive and restraint systems, etc. After raising questions in Chapter 3, Chapter 4 proposes countermeasures for the above problems from two aspects. One is the internal system of the enterprise, and the other is the external market environment. The results of the comprehensive effect of external factors such as the lack of an evaluation system require targeted improvements from the company system, selection methods, incentive and restraint systems, and external markets.

Key Words：State-owned enterprises; professional managers; corporate governance structure; incentive and restraint mechanism

目 录

第1章 绪论 1

1.1研究目的和意义 1

1.1.1研究目的 1

1.1.2 研究意义 1

1.2 国内外研究现状 2

1.2.1 国外研究现状 2

1.2.2 国内研究现状 2

1.3 研究方法及技术路线 3

1.3.1 研究方法 4

1.3.2 技术路线 4

第2章 国有企业职业经理人制度的理论基础 6

2.1 国有企业的界定和经济地位 6

2.2委托代理理论的含义与发展 6

2.2.1 委托代理理论的含义 6

2.2.2 委托代理理论的发展 6

2.3 职业经理人的含义 7

第3章 国有企业推行职业经理人制度遇到的障碍及原因分析 9

3.1 DF公司职业经理人制度的推行状况 9

3.2 职业经理人访谈 9

3.2.1 访谈对象介绍 10

3.2.2 访谈结果分析 10

3.3 DF公司推行职业经理人制度遇到的障碍 11

3.3.1 法人治理结构的欠缺 11

3.3.2 市场化选聘比例较低 11

3.3.3 存在“能进不能出、能上不能下”的问题 12

3.4 DF公司推行职业经理人制度遇到困境的原因分析 12

3.4.1 内部环境的影响 12

3.4.2 外部环境的缺失 14

第4章 国有企业推行职业经理人制度的对策 15

4.1 建立完善的现代企业制度 15

4.2 建立合理的市场化选聘程序 15

4.3 建立有效的激励和约束机制 16

4.3.1 企业的激励制度 16

4.3.2 企业的约束机制 17

4.4 加强职业经理人市场的建设 17

第5章 总结与展望 19

5.1 研究结论 19

5.2 研究展望 19

参考文献 20

致 谢 21

附录A 22

关于“职业经理人”的访谈提纲 22

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