【作者】 王丹；

【导师】 刘建华；

【作者基本信息】 辽宁大学 ， 企业管理， 2014， 硕士

【摘要】 企业间的竞争由于知识经济时代的到来而变得更加激烈,越来越多的企业认识到:组织的竞争优势不在于物质资本的雄厚,而在于其自身所拥有的人力资本的独特性、稀缺性和价值性。员工是独特、稀缺和有价值的人力资本的最终所有者,因此,理论界和实务界越来越重视其在企业中的作用,尤其是在公司治理方面的作用。纵观世界范围内公司治理的变革,以股东利益最大化为核心的股东单边治理机制逐渐向利益相关者尤其是员工参与的多边治理机制转变。我国是一个以人为本的和谐社会,员工参与公司治理符合我国的文化环境。我国国民经济的一个重要组成部分就是民营经济,民营经济发展的好坏直接影响我国国民经济的整体发展成效。民营企业通过各种方式上市不仅能够缓解民营企业融资难的问题,而且还能促进我国资本市场的健康发展。但是,我国民营上市企业以大股东控制为特点的内部人控制现象严重,中小股东尤其是员工的利益无法得到保障,民营上市企业出现了严重的治理危机。有关改革民营企业内部治理机制,尤其是让员工参与公司治理的呼声越来越大。因此,如何使民营上市企业员工更有效地参与公司治理,对于缓解我国民营上市企业的公司治理危机,保障员工的合法权益,促进我国资本市场健康、快速发展都有着十分重要的现实意义。本文运用理论与实践相结合的方法,对民营上市企业员工参与公司治理的问题进行研究,目的是通过考察中国民营上市企业员工参与公司治理的现状、存在问题及其成因,并借鉴德、日、美三国员工参与公司治理的成功经验,来提出完善中国民营上市企业员工参与公司治理的对策建议,为中国民营上市企业公司治理效率的提高提供可以借鉴的对策建议。本文首先对民营上市企业和员工参与公司治理的概念进行了界定,并选择了1992年-2012年间在沪深两市交易所A股上市的128家上市企业为最终的研究对象,运用描述性分析方法对员工参与公司治理的基本特征进行了描述,说明员工参与公司治理的现状并指出存在的问题,之后对德、日、美企业中员工参与公司治理的情况进行分析,在此基础上,从企业、领导和员工三个层面提出完善中国民营上市企业员工参与公司治理的对策建议。最后,简要概括总结了本文的研究结论,同时指出本研究存在的不足之处以及将来需进一步研究的方面。更多还原

【Abstract】 With the advent of the era of knowledge economy,the competition between companies becomes much more intense.An increasing numbers of companies have recognized that the competitive advantage of an organization comes from its unique,rare and valuable human resources.The role played in the corporation,especially in the corporate governance by the employees,who are the owner of the human resources,are catching more and more attention from the theorists and practitioners.Throughout the corporation revolution worldwide,it is noticeable that there is a gradual transformation from the unilateral governance mechanism,which aims to maximize the interests of shareholders,to the multilateral governance mechanism which encourages more participation from the employees in the corporate governance.This staff participation in corporate governance is especially in line with our cultural environment since China is a people-oriented society.The private economy is an important part of that of our national.By direct public offering or alternative public offering,private companies not only alleviate the financing difficulties themselves to some extent,but also greatly active the country’s capital markets.China’s private listed companies,however,are characterized by the serious internal control from the large minority shareholders.The interests of medium and small shareholders,especially the interests of the employees,cannot be guaranteed.A serious crisis emerges in the governance mechanism of private listed companies.Calls for the reform of private companies,especially for the internal governance mechanism to allow employees to participate in corporate governance are growing.Therefore,it is of a very important practical significance that studying how to play the role in corporate governance for employees,for improving the efficiency of China’s private listed companies,safeguarding the legitimate rights and interests of employees,and promoting the healthy and rapid development of China’s capital markets.In this paper,we study the issues of employee involved corporate governance in private listed companies using a combination of theory and practice method.The purpose of this investigation is to provide suggestions to enhance the employee participation in corporate governance and improve the efficiency of the corporate governance of China’s private listed companies,by studying the current status and the existed problems of employee participated corporate governance in China’s private listed companies,and comparing with the experience in developed country markets.Firstly,we define the employee participated corporate governance and private listed companies.Secondly,we select the panel data of 128 private companies listed in the Shanghai and Shenzhen Stock Exchange from 1992 to 2012 and describe the basic characteristics of employee participated corporate governance using descriptive analysis method.Then,we analyze the situations of employee participated corporate governance in Germany,Japan and US companies.Based on the analysis,we propose several suggestions to perfect the employee participated corporate governance in China’s private listed companies.Finally,we summarize the paper and point out the insufficiency of this paper and the direction of future research.更多还原