I 摘要 近年来，在国有企业推行职业经理人制度成为国有企业改革的一项重点任务， 需要通过各种政策持续深化。山东是国资大省，国有企业的资产规模、质量效益 在全国都位居前列。近年来，山东省根据国家要求，出台了一系列国企改革方面 的重要制度，国有企业治理结构不断完善，市场化程度逐步提高，经营效益也有 了明显提升。为了在山东省属企业推行职业经理人制度，山东省政府选择把经理 层成员契约化管理作为改革的切入点。 本文采用调查和文献研究的分析方法，对职业经理人的概念、特点做出界定， 提出国有企业职业经理人的四点认定标准：市场化选聘，契约化管理，差异化薪 酬，市场化退出。对与职业经理人制度相关的制度变迁理论、现代企业理论、经 理人理论和人力资本理论等进行了总结梳理。重点对山东省属企业推行职业经理 人制度的现状进行分析，剖析了山东省属企业的主要做法，从企业管理和经营效 益两个角度，总结山东省属企业推行职业经理人制度取得的成效。通过调查研究 和数据分析，本文指出山东省属企业在推行职业经理人制度过程中存在的四方面 问题，一是经理层成员市场化退出机制不完备，二是薪酬管理不规范，三是经理 层成员内部选聘比例过高，四是有部分企业的市场化程度偏低，并对出现这些问 题的内外部原因进行了分析。从企业内部来说，主要由于企业产权制度不合理， 现代公司治理机制、市场化培养机制、绩效考评机制、薪酬管理机制不完善等原 因；从外部环境来说，主要由于职业经理人任职资格不明确、职业经理人市场发 展滞后、职业经理人社会化评价体系不规范等原因造成。最后本文得出结论，山 东省属企业中实行契约化管理的经理层成员不是真正的职业经理人。 为了解决上述问题，本文对德国、新加坡职业经理人制度进行了分析，与中 国国有企业职业经理人制度进行对比；对中央企业和其他省市国有企业推行职业 经理人制度的做法进行整理，与山东省属企业的情况进行对比。从中得出山东省 属企业可以学习借鉴的经验和启示：一是要持续完善山东省属企业公司治理结构； 二是完善考核激励让职业经理人回归“市场本位”；三是要不断提高董事会战略 管理能力。 通过现状分析与比较分析，本文认为山东省属企业职业经理人制度的推行， 要以遵循问题导向、分类推进、试点先行等原则为前提，在以下两个层面进行改 进：基于山东省属企业层面，要推行产权多元化改革、完善法人治理结构、建立 职业经理人内部培养机制、完善职业经理人考核体系、建立职业经理人激励约束 机制；基于社会层面，要丰富职业经理人认定标准、加强职业经理人市场建设、 完善职业经理人外部培养体系、完善市场化职业经理人资质评价。 山东省属国有企业推行职业经理人制度对策研究 II 关键词：山东省属企业契约化管理职业经理人 Abstract III Abstract SincetheThirdPlenarySessionofthe18thCPCCentralCommittee,thereformof state-ownedenterpriseshasbeenfurtherdeepened,andtheimplementationofprofessional managerssysteminstate-ownedenterpriseshasbecomeakeytaskindeepeningthereform ofstate-ownedenterprises.Shandongprovincehasalargescaleofstate-ownedassets.The assetsscale,qualityandefficiencyofstate-ownedenterprisesinShandongareinthefirst rankofChina.Inrecentyears,accordingtotherequirementsofthecentralgovernment, ShandongProvincehaspromulgatedaseriesofimportantsystemsinthereformof state-ownedenterprises.Thegovernancestructureofstate-ownedenterpriseshasbeen constantlyimproved,thedegreeofmarketizationhasbeengraduallyimproved,andthe operatingefficiencyhasbeensignificantlyimproved.Inordertoimplementthe professionalmanagersysteminShandongprovincialenterprises,theGovernmenthas chosenthecontractualmanagementofmanagerialmembersasthestartingpointofreform. Thispaperadoptstheanalysismethodofinvestigationandliteratureresearch,defines theconceptandcharacteristicsofprofessionalmanagers,putsforwardthecriteriaforthe identificationofprofessionalmanagersinstate-ownedenterprises,thatis,market-oriented selection,contractualmanagement,differentiatedpayandmarket-orientedwithdrawal. Thispapercombstherelevanttheoriesofprofessionalmanagersystem,including institutionalchangetheory,modernenterprisetheory,brokertheoryandhumancapital theory.Thispaperfocusesonthecaseanalysisoftheimplementationofprofessional managersysteminShandongprovincialenterprises,introducesthemainpracticesof Shandongprovincialenterprises,summarizestheachievementsofimplementing professionalmanagersysteminShandongprovincialenterprisesfromtheperspectivesof enterprisemanagementandoperatingefficiency.Throughinvestigation,researchanddata analysis,thispaperpointsouttheproblemsexistingintheimplementationofprofessional managersysteminShandongprovincialenterprises.First,themarket-orientedwithdrawal mechanismofmanagerialmembersisnotcomplete,second,thesalarymanagementisnot standardized,third,theproportionofinternalappointmentofmanagerialmembersishigh， fourth,thedegreeofmarketizationofsomeenterprisesislow.Thispaperanalyzesthe internalandexternalcausesoftheseproblems.Theinternalreasonsincludeunreasonable propertyrightssystemofenterprises,theimperfectionofmoderncorporategovernance, market-orientedtraining,performanceevaluation,salarymanagementandother 山东省属国有企业推行职业经理人制度对策研究 IV mechanisms.Themainexternalreasonsaretheunclearqualificationsofprofessional managers,thebackwarddevelopmentofprofessionalmanagers'market,andthe non-standardevaluationsystemofprofessionalmanagers'socialization.Finally,thepaper drawsaconclusionthatthemanagerialmemberswhoimplementcontractualmanagement inenterprisesaffiliatedtoShandongProvincearenotrealprofessionalmanagers. Afterthecaseanalysis,thispaperanalyzestheprofessionalmanagersystemin GermanyandSingapore,andcomparesitwiththeprofessionalmanagersysteminChina's state-ownedenterprises,sortsoutthepracticeofimplementingtheprofessionalmanager systeminthestate-ownedenterprisesofcentralenterprisesandotherprovincesandcities, andcomparesitwiththerelevantsituationofenterprisesaffiliatedtoShandongProvince. Throughcomparison,sumsuptheexperienceandinspirationthatShandongprovincial enterprisesshouldlearnfrom.First,continuouslyimprovethecorporategovernance structureofShandongprovincialenterprises.Second,improvetheassessmentand encouragement,sothatprofessionalmanagerscanreflectthecharacteristicsof marketization.Third,continuouslyimprovethestrategicmanagementcapabilityofthe board. Throughcaseanalysisandcomparativeanalysis,thispaperputsforwardsome countermeasuresandsuggestionsfortheimplementationofprofessionalmanagersystem inShandongprovincialenterprises.Generallyspeaking,Shandongprovincialgovernment shouldgrasptheprinciplesofreform,includingproblem-oriented,classifiedpromotion andactivepilot,toensurethesmoothimplementationofthesystemofprofessional managersinShandongprovincialenterprises,toavoidfluctuations.Inviewofthe problemsexistingintheimplementationoftheprofessionalmanagersysteminenterprises affiliatedtoShandongProvince,thepaperputsforwardsuggestionsforitsimplementation fromtwolevels.AtthelevelofenterprisesinShandongProvince,carryoutthereformof propertyrights,improvethecorporategovernancestructure,improveinternaltraining mechanismforprofessionalmanagers,perfectprofessionalmanagerassessmentsystem, establishincentiveandrestraintmechanismforprofessionalmanagers.Onthesociallevel, enrichthestandardsofprofessionalmanagers.Fourth,strengthentheconstructionof professionalmanagermarket.improvetheexternaltrainingsystemofprofessional managers.improvetheprofessionalqualificationevaluationofprofessionalmanagers. Keywords:ShandongProvincialState-ownedEnterprisestheContractual ManagementoftheManagersProfessionalManagers 目录 V 目录 摘要........I AbstractIII 目录........V 第1章绪论.......................1 1.1研究背景与意义.........1 1.1.1研究背景..........1 1.1.2研究意义..........2 1.2国内外文献综述.........2 1.2.1国外文献综述..2 1.2.2国内文献综述..4 1.3研究框架、方法和创新点........................6 1.3.1研究框架..........6 1.3.2研究方法..........8 1.3.3研究创新点......9 第2章相关概念界定及理论基础....................10 2.1职业经理人概念界定..............................10 2.1.1职业经理人概念...........................10 2.1.2职业经理人主要特点...................11 2.1.3国有企业职业经理人认定标准...12 2.1.4职业经理人制度界定...................13 2.2职业经理人制度相关理论......................13 2.2.1制度变迁理论13 2.2.2现代企业理论13 2.2.3经理人理论....14 2.2.4人力资本理论14 小结...15 第3章山东省属企业推行职业经理人制度现状...........................16 3.1山东省属企业范畴界定..........................16 山东省属国有企业推行职业经理人