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论文编号：	4076
作者编号：	2220091926
上传时间：	2012/3/15 14:20:15
中文题目：	海南农垦集团改制中的董事会治理研究
英文题目：	A Study of Board Governance in the Restructuring of Hainan State Farms Group
指导老师：	李维安
中文关键字：	国有企业改制 ， 董事会治理 ，海南农垦集团
英文关键字：	restructuring of state-owned enterprises, governance of the board of directors, Hainan State Farms Group.
中文摘要：	深化国有企业的改革要求企业建立现代企业制度，建立和完善法人治理结构，而董事会作为法人治理结构的核心，对企业的发展起着重要作用。从我国国企治理结构的设计来看，对国企治理完全可以发挥重要的作用。但是，从运行情况看，董事会制度还不健全，董事会难以发挥出应有的作用。因此，如何建立和完善符合《公司法》要求的国有独资公司董事会制度，以实现出资人职责到位和企业依法自主经营的目的，是我国国有企业改革面临的现实问题。本文在阐述董事会治理概念及其相关理论（即委托代理理论、资源依赖理论、阶级霸权理论）的基础上，深入剖析海南农垦集团在改制中的公司治理结构特别是董事会变革，悉心探查当前我国国有企业董事会试点工作遇到的一些主要问题，例如股权结构不合理，国有股“一股独大”；职责边界不清，各方关系尚未理顺；董事素质有待提高，来源比较单一；董事会的许多职能虚化，且运作不规范；董事长的产生程序不合理，容易产生“关键人控制”等等，可以为构建适应现实社会经济条件、运营高效、决策科学的海南农垦集团治理结构框架提供参考。同时，通过比较分析新加坡、瑞典、德国等国家国有独资公司董事会治理模式，旨在为完善海南农垦集团董事会治理提供可资借鉴的经验，最后探索性提出加强海南农垦集团董事会治理的对策建议。本文研究认为，政府对于海南农垦集团的职能应在于引导和监督，要授予公司充分自主权，要规范政府和董事会的关系，理顺董事会、经理层及党委会人员的管理体制，真正按照现代公司制度的要求选拔董事会人员。同时，由于外部董事制度，特别是独立董事制度是防止董事会“内部人控制”、实现董事会决策的科学化和民主化的有效手段。为此，海南农垦集团董事会应该引入外部董事制度，从而实现董事会内外平衡并有效运转。海南农垦集团董事会通过调整公司股权结构，实现投资主体多元化；明确界定各自职责权限，规范董事会运作；引入独立董事制度，改善董事会结构；健全董事会工作结构，完善董事会运作机制；明确董事长权力，清晰定位董事长角色等措施，能够进一步提高董事会治理的成效。
英文摘要：	Deepening the reform of state-owned corporations requires establishing a modern enterprise system and establishing and perfecting the corporate governance structure. As the core of the corporate governance structure, the board of directors plays an important role in enterprise's development, which should be played an important role in managing state-owned enterprises. But in an operational aspect, the system of board of directors is not perfect, so it is difficult for the board of directors to play a proper role. Therefore, the reform of these corporations is faced with a practical problem of how we can establish and perfect the system of board of directors of state-owned proprietary corporations in accordance with the requirements of the Company Law to achieve the goal of the contributor's duties in place and enterprises operating independently as per the law. Based on elaborating the conceptions and theories related to the governance of the board of directors (i.e. the Principal-agent Theory, the Resource Dependence Theory and the Class Hegemony Theory) and their characteristics, this paper makes a deep analysis for corporate governance structure during restructuring of enterprise, especially the reform of board of directors, and meticulously surveys the encountered main problems in the governance of the board of directors of restructuring of enterprise. For example, the irrational shareholding structure and monopoly of state-owned shares, unclear boundary of responsibility and failure to rationalize the relationship between all parties, directors sourcing simply and their quality to be required to improve further, many virtual function and non-standard operation of board of directors, occurrence of being controlled by key persons due to unreasonable generating procedure of board chairman, etc.. The paper provides a reference for the Hainan State Farms Group in restructuring the corporate governance structure frame for its to adapt actual social economic conditions, achieve high efficient operation and scientific decision. At same time, by the comparison and analysis for the patterns of the governance of the board of directors of state-owned corporations in Singapore, Sweden, Germany, this paper also offers the experiences and theoretical guide for the governance of the board of directors for the Hainan State Farms Group, finally putting forward countermeasures and suggestions for strengthening and improving the governance of the board of directors of the Group. The paper argues that the government’s function within the Group should be in guiding and supervising, to grant sufficient autonomy within the Group and to set a normative relation between the government and the board and to have a harmonious managerial system between the boards, the managers and the members of the party committee within the Group, to select the members of the board according to requirement of the modern corporate system. At same time, because outside director system, especial independent director system, is an effective mean to avoid the board of directors “interior personnel control” and for the board of directors to achieve scientific and democratic decision-making; thus, the Group should introduce an outside director system, in order for the boards to achieve internal and external balance and effective operation.The board of directors of the Hainan State Farms Group will adjust the ownership structure of companies to realize diversified sources of investment companies, explicitly define responsibilities and authorities respectively to regulate the operation of board of directors, introduce the system of board of directors to improve the structure of board of directors, perfect the working structure of board of directors and improve the operation system of board of directors, explicitly define the power of the chairman of the board and clearly locate the role of the chairman of the board to further improve the governance of the board of directors.
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