我国出版集团公司治理研究

发布时间：2018-05-12 05:12

本文选题：出版集团 + 公司治理　；参考：《武汉大学》2010年博士论文

【摘要】： 我国文化体制改革的全面启动拉开了出版集团产权制度的改革序幕,同时也吹响了以建立现代出版企业制度为导向的公司经营模式建设的号角。公司治理体系作为现代出版企业制度的基石之一,是我国出版集团培育核心竞争力和增强科学决策机制运行效能,从而实现做大做强目标成为国际一流出版企业的重要前提。然而,虽然我国大多数出版集团通过转企改制获得了企业法人身份,具有一定的独立自主经营权,并以此为基础在公司治理体系建设上进行了富有特色的有益探索,例如在党委领导体制与现代公司治理结构及其机制的融合方面,不少出版集团取得了颇有效果的初步成就,但由于以党委领导为代表的“老三会”依然在出版集团公司治理体系中占据核心地位,行政治理影响痕迹依然浓重,政企分开并得到没有真正和充分的实现,加上出资人缺位现象十分突出,以行政主导为主要特点的外部人控制问题对出版集团建设和发展形成较大的消极影响,同时由于国有出版产权代理机制设计的不科学,内部人利用信息不对称性的博弈优势,形成对出版集团的把持和控制,在“双重控制”态势下出版集团经营管理的科学性和规范性难以保证,由此带来许多治理问题。作为既具有一般企业经营属性又具有文化事业发展特性的企业单位,出版集团承担着社会效益和经济效益的双重目标任务,需要科学而有效地协调和处理产业经营管理和意识形态属性管理之间的关系,在当前外部治理体系及其功能依然不健全的情况下,出版集团公司治理问题的妥善解决迫切需要探寻新的对策思路。为此本论文通过借鉴一般公司治理理论,结合运用出版本身的专业理论,在对我国出版集团产权制度改革动因及其路径选择分析的基础之上,指出在产权制度变迁背景下我国出版集团公司治理的未来发展趋向,以此确立出版集团公司治理建设与发展的基本原则和指导思想。所以,在公司内部治理方面,我国出版集团应当基于出版智力资本作为出版业发展主动力的认识,充分考虑普通职工群体的公司治理诉求,以SOE共治目标为导向,对以三会四权制为主体框架的内部治理结构实施规范性和有效性建设,在此过程中需要注意以确立“新三会”的领导核心地位为目标,来科学处理“新三会”与“老三会”两者的关系,同时在规范和强化内部治理结构建设的同时,还要努力改变“重结构轻机制”的现象,有机结合出版集团的特殊性,加大信息披露、激励、约束等治理机制的建设力度,并兼顾集团内部核心人才的治理机制建设。而在外部治理机制构建及其职能作用发挥方面,首先是我国相关政府部门应进行角色转换,从传统的直接控制者转变为间接督导与政策服务者,形成政府间接监管下对出版集团的治理机制,并以政府为主导积极构建弹性化的出版准入与退出机制；其次是围绕出版产权、产品及其服务、经理人等要素市场以及以书评为核心的内容评价体系,形成出版集团的市场经营压力机制；再者是着力培育满足出版行业协调监管机制、外部直接利益相关者机制和包括新闻媒体、社会公众、竞争对手在内的其他社会性监督力量机制的治理有效性发挥的环境,其中作者治理机制的构建尤其要给予重视。而对于我国出版集团公司治理模式的构建,它应在综合内部和外部治理体系的基础之上,考虑国情特色和专业属性要求,立足于金股制来建立集团公司整体性治理模式、以经济绩效考核为导向来构建母子公司治理模式。为了保证出版集团公司治理建设有效性和执行力的充分实现,出版集团应采取多种灵活多样、科学高效的举措,构造公司治理人文性保障体系,同时适应数字化技术发展的时代需求,努力运用IT治理手段来加强公司治理建设与发展的保障。第一部分是论文的引言。此部分主要从分析本论文的研究背景出发,指出本论文所能起到的实践参考作用和学科理论价值,进而对国内外一般性公司治理研究进了简要回顾,并以此为基础较为详细地概述了出版发行领域公司治理研究成果,之后扼要地描述了本论文的研究对象与内容,同时指出了本论文运用的四种研究方法,最后以论文框架形式简要说明了本论文的创作思路。第二部分侧重于论述我国公司治理研究的理论基础。由于本论文强调借鉴经济管理学界的公司治理理论,所以论文的研究支撑先要介绍一般公司治理研究所运用到的理论基础,即包括不完全契约论、说明责任论在内的委托代理理论,和以股东利益最大化论、市场效益导向论为衍生理论的产权中心论,以及衍生出人力资本论和利益相关者论的超产权论,并着力论述它们在出版集团的实践应用。而在出版专业理论方面,主要侧重于双重效益兼顾理论、出版后发优势理论、出版智力资本理论的基本内容及其对公司治理研究的支撑作用论述。第三部分研究我国出版集团产权制度改革及其对公司治理的影响。这部分先从论述我国出版集团产权管理制度现状、改革动因与路径入手,论述在大多数出版集团所运用的四种主要产权改革模式,指出三级代理型模式成为我国出版集团产权管理制度的优先选择。然后在阐述我国出版集团产权制度改革对于公司治理建设的意义的基础上,分析了在产权制度改革背景下出版集团公司治理职能发挥的内涵,进而指出我国出版集团公司治理建设的指导原则与发展走向。第四部分主要是基于SOE共治框架及其目标来分析国内出版集团公司内部治理建设的有效性与发展的规范性。这一部分先是分析和阐述基于公司治理结构建设的出版集团公司治理现状,指出其内部治理方面存在的主要问题,提出以SOE协同治理为目标的内部治理原则,接着论述了出版集团围绕着SOE共治目标进行三会四权制规范性和有效性建设的重点内容,其中指出了建立“新三会”与“老三会”关系处理的长效机制的方式方法,然后阐述了出版集团信息披露、激励与监督机制科学性构建的基本要求,并对出版集团核心人才治理特征及其有效性进行了分析,最后探讨了出版集团母子公司治理问题及其对策。第五部分是探讨以压力约束机制构建为导向的我国出版集团公司外部治理建设及其应用。此部分通过出版集团作为特殊国有法人的属性定位分析,指出“官本位”思想和外部人控制现象在出版集团存在的严重性,要求有关政府部门在新型管理体制下构建间接监管机制和出版准入与退出机制,接着对出版集团资本运营中的产权交易市场机制、出版产品及其服务市场机制、出版职业经理人市场机制以及以书评为主的独立性内容评价机制的治理效果进行了论述,然后分析了出版行业协调监管机制所发挥的中观治理作用,并在对供应商、债权人、机制投资者约束机制研究的基础上,提出了作者治理的概念及其机制构建途径,最后对新闻媒体、社会大众、竞争对手等其它社会力量影响机制的治理功能了进行了剖析。第六部分是分析和研究如何适应国情特色和专业属性,推动我国出版集团公司实施治理模式创新。在这一部分首先回顾了出版集团公司治理模式发展历程,包括传统行政时期和转企改制时期的治理模式演变轨迹,指出在国情特点决定公司治理模式选择的情况下,基于出版集团独具特色的发展特点和经营特征阐述,提出我国出版集团以国情特点为导向的公司治理模式构建原则,主张围绕着国情特色来构建基于金股制的现代出版集团整体公司治理模式,和以经济绩效考核为核心导向的母子公司治理模式。第七部分是立足于人文和技术视角来探究我国出版集团公司治理保障性对策思路。这部分主要分为人文性和技术性两个方面的保障对策,在前者上主要阐述了我国出版集团围绕着出版法律法规与政策、公司章程与规章制度、组织文化和治理文化、治理评估指标与反馈机制等因素来构建人文性保障体系,对于后者则着重是基于数字技术环境提出出版集团公司治理的保障措施,先是介绍了IT治理内涵及其在出版集团的应用意义,进而论述了在数字化技术环境下我国出版集团可以利用网络远程通讯技术、人工智能推理技术、决策支持系统技术和联机知识挖掘技术等几种技术手段,分析了它们在强化公司治理保障的作用和效果。
[Abstract]:The full start of the reform of our cultural system has opened the prelude to the reform of the property rights system of the publishing group, and also a bugle of the construction of a modern publishing enterprise system. As one of the cornerstones of the modern publishing enterprise system, the corporate governance system is the core competitiveness and increase of the Chinese publishing group. The operation efficiency of the strong scientific decision-making mechanism is an important prerequisite for becoming a first-class international publishing enterprise. However, although most of the publishing groups in China have acquired the corporate identity through the transformation of enterprises, they have a certain independent management right, and are based on this as a basis for the construction of the corporate governance system. The beneficial exploration of color, for example, in the integration of the Party committee leadership system and the modern corporate governance structure and its mechanism, many publishing groups have achieved preliminary achievements. However, the "third party", represented by the leadership of the Party committee, still occupies the core position in the corporate governance system of the publishing group, and the impact of administrative governance still remains. There is no real and sufficient realization of the separation of government and enterprise, and the phenomenon of the absence of investors is very prominent. The external control problem of the external person with the main characteristics of the administrative leadership has a negative influence on the construction and development of the publishing group. At the same time, the internal people use the information because of the unscientific design of the agency mechanism of the state-owned publishing property rights. It is difficult to guarantee the scientificity and standardization of publishing group management under the situation of "double control", which brings many governance problems. As an enterprise unit with both general business property and cultural development characteristics, the publishing group bears the society. The dual objective task of benefit and economic benefit needs to coordinate and deal with the relationship between industrial management and ideological property management scientifically and effectively. Under the condition that the current external governance system and its functions are still imperfect, the proper solution to the problem of corporate governance of the publishing group is urgently needed to explore new countermeasures.
In this paper, based on the general corporate governance theory and the professional theory of publishing itself, based on the analysis of the motivation and path selection of the reform of the property rights system of China's Publishing Group, this paper points out the trend of the future development of the corporate governance of the publishing group in China under the background of the change of the property right system, so as to establish the publishing group company. The basic principles and guiding ideology of governing construction and development, therefore, in the internal governance of the company, China's publishing group should be based on the knowledge of publishing intellectual capital as the initiative of the development of the publishing industry, taking full consideration of the corporate governance demands of the ordinary workers and workers, taking the goal of SOE co governance as the guidance and the internal framework of the three meeting and four rights system. In this process, we should pay attention to the establishment of the core position of the "new three meeting" as the goal, to scientifically deal with the relationship between the "new three meetings" and "the third party", and to change the "heavy structure and light mechanism" at the same time in standardizing and strengthening the construction of the internal governance structure. The phenomenon, organically combining the particularity of the publishing group, increasing the construction of the governance mechanism of information disclosure, incentive and restraint, and taking into account the construction of the governance mechanism of the core talents within the group. In the aspects of the construction of the external governance mechanism and its function, the first is the role transformation of the government departments in China, from the traditional direct control. The system is transformed into indirect supervision and policy service, forming the governance mechanism of the publishing group under the indirect supervision of the government, and constructing the elastic publishing admittance and exit mechanism with the government as the leading role, followed by the publishing property, the product and its service, the manager and other factors, as well as the content evaluation system based on the book review. The market operation pressure mechanism of the publishing group, and the environment for the effective exertion of the governance mechanism of meeting the coordinated regulatory mechanism of the publishing industry, the external direct stakeholder mechanism and other social supervision forces including the news media, the public and the competitors, in particular, the construction of the mechanism of the author's governance. We should pay attention to it, and for the construction of the governance model of China's Publishing Group, it should be based on the integrated internal and external governance system, considering the national characteristics and professional attributes, based on the gold share system to establish the overall governance model of the group company, and construct the parent and subsidiary corporate governance model with the economic performance appraisal as the guidance. To ensure the effectiveness and implementation of the corporate governance of the publishing group, the publishing group should adopt a variety of flexible, scientific and efficient measures, construct the humanistic guarantee system of corporate governance, and meet the needs of the development of digital technology at the same time, and try to use IT to strengthen the guarantee of the construction and development of corporate governance.
The first part is the introduction of the paper. From the analysis of the research background of this thesis, this part points out the practical reference function and the theoretical value of this paper, and then briefly reviews the research on general corporate governance at home and abroad, and gives a detailed overview of the research on the governance of the publishing and issuing of Domain company. As a result, the research objects and contents of this paper are briefly described. At the same time, four kinds of research methods used in this paper are pointed out. Finally, the creative ideas of this paper are briefly explained in the framework of the paper.
The second part focuses on the theoretical basis of the study of corporate governance in China. As this thesis emphasizes the theory of corporate governance in the field of economic management, the research supports the theoretical basis of the general corporate governance research, that is, the theory of principal-agent, including the incomplete contract theory, and the theory of responsibility, and the theory of principal and agent. On the basis of maximizing the interests of shareholders, the theory of market benefit orientation is the theory of property rights in the derivative theory, and the theory of super property rights derived from the theory of human capital and the stakeholder theory, and the practice and application of them in the publishing group. The theory of double benefits is mainly focused on the theory of double benefits and the post advantage theory of publishing. The basic content of intellectual capital theory and its supporting role in corporate governance research are discussed.
The third part studies the reform of the property right system of China's Publishing Group and its influence on the corporate governance. This part begins with the discussion of the status of the property management system in China's Publishing Group, the motivation and the path of the reform, and discusses the four main property rights reform modes used by most publishing groups, and points out that the three level agency model has become a publishing collection in China. On the basis of explaining the significance of the reform of the property right system of China's Publishing Group on the construction of corporate governance, this paper analyzes the connotation of publishing group corporate governance under the background of the reform of property rights system, and then points out the guiding principles and development trend of the construction of China's publishing group company.
The fourth part is mainly based on the SOE co governance framework and its objectives to analyze the effectiveness and standardization of internal governance construction of the domestic publishing group company. This part first analyzes and expounds the status of the corporate governance based on the construction of corporate governance, points out the main problems in its internal governance, and puts forward the SOE The internal governance principle of the cooperative governance is the goal, and then the key content of the construction of the three meeting and the four rights of the publishing group around the goal of SOE co governance is discussed, in which the method of establishing the long effect mechanism of establishing the relationship between the "new three meeting" and the "old three meeting" is pointed out, and then the information disclosure of the publishing group is expounded. The basic requirements of the scientific construction of the incentive and supervision mechanism, and the analysis of the characteristics and effectiveness of the core talent management of the publishing group are analyzed. Finally, the problems and Countermeasures of the parent subsidiary company governance of the publishing group are discussed.
The fifth part is to discuss the construction and application of the external governance of the publishing group company, which is guided by the pressure constraint mechanism. This part points out the seriousness of the "official standard" thought and the external person control phenomenon in the publishing group through the attribute orientation of the publishing group as a special state-owned legal person. Under the new management system, the indirect supervision mechanism and the publishing admittance and exit mechanism are constructed. Then, the market mechanism of property rights trading in the capital operation of the publishing group, the publishing product and its service market mechanism, the publishing of professional manager market mechanism and the governance effect of the independent internal capacity evaluation mechanism based on the book review are discussed. After analyzing the medium governance role played by the coordination regulatory mechanism of the publishing industry, and on the basis of the research on the constraint mechanism of suppliers, creditors and mechanism investors, the concept of author governance and the way to build the mechanism are put forward, and the governance functions of other social forces, such as the news media, the public, and the competing opponents, are put forward. The analysis was carried out.
The sixth part is to analyze and study how to adapt to the national characteristics and professional attributes to promote the innovation of governance model in China's publishing group. In this part, it first reviews the development process of the corporate governance model of the publishing group, including the evolution of the traditional administrative period and the period of the transformation of enterprises to enterprises, and points out that the characteristics of the national conditions are determined. In the case of the choice of corporate governance model, based on the unique characteristics of the development and management characteristics of the publishing group, this paper puts forward the principle of building the corporate governance model of China's Publishing Group Based on the national characteristics, and advocates the construction of the overall corporate governance model based on the state characteristics of the modern publishing group based on the national characteristics and the economic performance. Effective assessment is the core oriented parent subsidiary corporate governance model.
The seventh part is based on the humanistic and technical perspective to explore the Countermeasures of the protection of China's Publishing Group corporate governance. This part is mainly divided into two aspects of the humanistic and technical protection. The former mainly expounds the publishing group around the publishing laws and regulations and policies, the articles of association and rules and regulations, and the organization culture. In order to construct the humanistic guarantee system with the factors such as the governance culture, the evaluation index and the feedback mechanism, the latter is focused on the protection measures of the corporate governance of the publishing group based on the digital technology environment. First, it introduces the connotation of IT governance and its application significance in the publishing group, and then discusses our country under the digital technology environment. The publishing group can make use of network remote communication technology, artificial intelligence reasoning technology, decision support system technology and online knowledge mining technology to analyze their role and effect in strengthening corporate governance guarantee.

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：G239.2-F

【引证文献】