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论文编号：	9345
作者编号：	1120120801
上传时间：	2017/6/20 16:10:36
中文题目：	国有企业领导人员选拔任用及其有效性研究
英文题目：	Research on the selection and appointment of leaders and their effectiveness in State-owned enterprise
指导老师：	崔勋教授
中文关键字：	国有企业；领导人员；选拔任用；适应性绩效；自我效能感
英文关键字：	sate-owned enterprise; leaders; selection and appointment; adaptive performance; self-efficacy
中文摘要：	本研究针对国有企业领导人员的选拔任用机制及其有效性这一国有企业改革中的关键难题开展研究，通过系统地理论回顾、现状分析和调查研究，分析了国有企业领导人员选拔任用机制中存在的问题及其成因，研究了国有企业领导人员选拔任用的标准及其标准权重确立的方法。本研究还通过案例分析研究了国有企业领导人员选拔任用机制、候选人应聘意向和专业能力、国有企业领导人员选拔任用有效性也即领导人员的适应性绩效和自我效能感之间的关系。第一章为绪论部分，主要回顾了本论文的现实研究背景和理论研究背景，指出国企领导人员的选拔任用问题是当前国企改革中的重点与难点，也是理论研究中相对欠缺的。同时，这部分内容进一步明确了论文的研究目的：通过理论研究，理顺国家、国资委与组织部门、企业董事会和职业经理人之间的关系，探讨国企领导人员选拔任用标准和有效性的有效衡量方式，研究国企领导人员选拔任用有效性的影响因素。第二章为相关基础理论与文献研究部分。论文首先回顾了与领导和领导力有关的理论，包括概念界定、领导与管理的区别、领导风格相关理论。然后，针对中国党政机关和国有企业领导人员的选拔，论文回顾了我国当前领导人员选拔任用的机制，包括胜任素质、职业兴趣与岗位相匹配、个人与组织匹配等基础理论，系统回顾了委任制、选任制、考任制和聘任制等国有企业领导人员选拔任用的主要方式和选拔流程。这部分内容还回顾了适应性绩效和自我效能感的相关研究，主要包括适应性绩效的概念、前因后果、维度划分和测量，自我效能感的概念、维度划分和测量以及自我效能主要通过认知、动机、情感和选择四个过程协同发挥作用的机制。第三章内容系统地梳理了国有企业领导人员选拔任用方式的演变历程。论文首先系统回顾了国有企业放权让利、政企分开与两权分离、抓大放小以及股份制明显实现四个时期的国有企业改革历史，并对应梳理了这四个时期国有企业领导人员选拔任用的方式。然后，重点分析了现阶段国有企业领导人员选拔任用存在的问题，包括选拔主体错位、领导人员的权利和责任被弱化、选拔渠道较窄、选拔程序不够科学、选拔标准不科学、领导人员和企业目标不一致、领导人员知识结构不合理等7个方面的问题，同时指出这些问题主要是因为选拔任用方式的路径依赖、对公司产权结构不了解、国有资产管理体制不完善以及尚未建立规范的选拔任用制度等4个方面的原因。这部分内容同时还分析了国有企业领导人员选拔任用方式改革的必要性和可行性。第四章系统研究了国有企业领导人员选拔任用标准及其权重确立的方法两个方面的问题。论文首先基于领导特质理论回顾了国内外关于企业领导人员选拔任用标准的相关研究，然后基于上述研究结论，利用访谈的方法，对T市42名国有企业领导人员进行访谈，并由此归类出32项反映领导人员综合能力的评价指标。然后，利用287份针对国有企业领导人员的问卷调查，通过探索性因子分析和验证性因子分析的方法将上述32项评价指标聚合为知识、智力、素质和健康4个方面的因子。论文同时还利用层次分析法(AHP法)研究了国有企业领导人员选拔任用方式评价指标体系的指标权重构建的方法，并以T市某次公选国有企业领导人员过程为例，对上述方法进行了演示。第五章通过理论分析和案例分析研究了国有企业领导人员选拔任用有效性的影响因素。论文首先通过文献研究回顾了股权结构、董事会构成、领导人员来源等传统的影响因素，并结合前文对我国国有企业领导人员选拔任用方式的系统梳理，构建了选拔主体、选拔渠道、选拔方法、选拔标准等选拔机制对国有企业领导人员的适应性绩效和自我效能感产生影响的分析模型，同时考虑了国有企业领导人员的应聘意向和专业能力的影响。论文同时利用案例分析的方法，针对TD投资控股有限公司、T旅游（控股）集团、BH银行和ZH电子信息集团有限公司在选拔副总经理、总会计师、首席风险官和总经理的具体案例，对四家企业的选拔背景和应聘人信息以及对应的访谈记录进行系统梳理，进一步检验了之前推导的理论分析模型。第六章为论文的结论部分。论文首先总结了前五章的主要研究内容，然后进一步指出了论文的研究不足：理论分析不够深入，主要采取访谈和案例分析的方法对理论模型进行验证，没有进一步深入设计研究方案，通过问卷调查和统计分析的方法进行模型验证。论文同时还提出了完善我国国有企业领导人员选拔任用方式的政策建议，主要包括明确国有企业领导人员的选拔任用主体、扩大国有企业领导人员选拔任用的范围、制定科学的选拔标准、规范选拔任用程序等内容。
英文摘要：	This study focuses on the mechanism for selection and appointment of State-owned enterprise leaders and its effectiveness. By systematically reviewing the theories, current situation analysis and empirically study, this study analyzes the problems and their reasons of the mechanism for selection and appointment of state-owned enterprise leaders. This study also analyzes the standard of the mechanism for selection and appointment of state-owned enterprise leaders as well as the weights of those standards At the same time, this study also analyzes the relationship between the mechanism for selection and appointment of state-owned enterprise leaders, candidates’ intentions for applying and their professional abilities and the effectiveness of the mechanism for selection and appointment of state-owned enterprise leaders through the case study. The first chapter is the introduction part. This chapter mainly reviewed the research backgrounds of practices and theories, and pointed out that the problems for selection and appointment of state-owned enterprise leaders were the key points and difficulties in the reform of state-owned enterprises. At the same time, this part further clarified the research purpose: firstly, this study would straighten out the relationship between the country, the state-owned assets supervision and administration commission and organization department, the board of directors of the enterprise and professional managers through the theoretical researches; secondly, this study would discuss the measurements of standards and their effectiveness for selection and appointment of state-owned enterprises leaders; thirdly, this study would study the influence factors for selection and appointment of state-owned enterprises leaders. The second chapter is basic theories and literatures reviewing part. This part firstly reviewed the relating theories of leadership, including the definition, the differences between leadership and management, and the leadership style. Then, this part reviewed the selection and appointment mechanism of state-owned enterprises leaders, including the competency model, the fit of jobs and career interests as well as the fit of individual employees and company. This chapter also systemly reviewed methods and processes of the appointment system, selecting system, examination system and systems of employment under contracts for selection and appointment of state-owned enterprises leaders. This part also reviewed the researches about the adaptive performance and self-efficacy, including the concept, antecedents and consequences, dimensions and measurements of adaptive performance, as well as the concept, dimensions and measurements of self-efficacy. The third chapter systematically reviewed the evolution process of selection and appointment for state-owned enterprise leaders. This chapter firstly reviewed the history of the reform of state-owned enterprises, including four periods which are decentralization of power and transfer of profits, separating government functions from enterprise management, invigorating large enterprises while relaxing control over small ones, and realization of shareholding system. Then, this chapter reviewed the mechanism of selection and appointment for state-owned enterprise leaders in these four periods. Thirdly, this part analyses the existing problems in the leaders selection and appointment of state-owned enterprises, including the dislocation of selection subjectives, weakness of leaders’ rights and responsibilities, the narrowness of selecting channel, non-scientific selecting procedure and selecting standard, inconsistentness of leaders’ and enterprises’ goals, unreasonable knowledge structure of leaders. Fourthly, this chapter analyzed the main reasons of the seven problems above which are path dependence of selection and appointment methods, non-understanding of corporate ownership structure, faultiness in state property management system, and lack of standardization in selection and appointment system. Finally, this chapter analyzed the necessity and feasibility of the reform of the mechanism for selection and appointment of state-owned enterprise leaders The fourth chapter studied the standards and weights of strandands of the selection and appointment of state-owned enterprise leaders. Based on the theories and literatures review of relevant studies, by using the method of interview, this study interviewed 42 state-owned enterprise leaders in T city, and identified 32 indexes about the comprehensive abilities of state-owned enterprise leaders. Then, using the 287 questionnaires from state-owned enterprise leaders, this chapter integrated four dimensions of knowledge, intelligence, comprehensive quality and health from the 32 indexes above by using exploratory factor analysis and confirmatory factor analysis method. This chapter also studied the method of weighting the standards of selection and appointment of state-owned enterprise leaders by using the method of analytic hierarchy process (AHP), and verifying the method by using the example of public selection of state-owned enterprise leaders in T city. The fifth chapter studied the influence factors and effectiveness of selection and appointment of state-owned enterprise leaders through theoretical analysis and case analysis. This chapter firstly reviewed traditional influence factors, sucha as ownership structure, board composition, and selection channels of leaders through leteritural review, and then proposed an analysis framework which clarifys the influencing mechanism on the state-owned enterprise leaders’ adaptive performance and self-efficacy from the selection and appointment methods, including selection subjectives, selection channel, selection methods, as well as selection criteria. This framework also considered the moderating effects of candidates’ intentions for applying and their professional abilities. Finally, by analyzing the case of selection and appointment of senior executives from TD investment holding co., LTD., T travel (holding) group, BH Banks and ZH electronic information group co., LTD., this chapter verified the analysis framework above. The sixth chapter is the conclusion. Firstly, this part summarized the five chapters before, and further pointed out the weakness of this research, including not-deeo-enough in theoretical analysis, mainly taking the methods of interview and case analysis to verify this model, and lack of further research design as well as using questionnaire investigation and empirical analysis. Finally, this chapter puted forward corresponding policy proposals for the selection and appointment of state-owned enterprise leaders, including clarifying the subjectives of selection and appointment, enlargement of the selection sources and channels, making scientific selection criteria, as well as standardlization the selection and appointment procedures, etc.
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