本文選題：國有獨(dú)資公司　切入點(diǎn)：職工監(jiān)事　出處：《南昌大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：國有經(jīng)濟(jì)在以公有制為基礎(chǔ)的我國國民經(jīng)濟(jì)中占有重要地位,確保了我國經(jīng)濟(jì)的持續(xù)、快速及其健康發(fā)展。國有獨(dú)資公司作為國有經(jīng)濟(jì)中一種重要的特殊組織形式,建立相互制衡的激勵(lì)和約束相結(jié)合的公司治理機(jī)制尤為重要。但我國國有獨(dú)資公司治理結(jié)構(gòu)的特殊性,即股東會(huì)的缺位及其監(jiān)事會(huì)的外派性,使得其治理結(jié)構(gòu)中的監(jiān)督職能的重要性凸顯,需要強(qiáng)化監(jiān)事會(huì)的監(jiān)督職能。1999年《公司法》立法設(shè)計(jì)國有獨(dú)資公司監(jiān)事會(huì)機(jī)制時(shí)引入職工監(jiān)事制度,以期強(qiáng)化對(duì)公司董事會(huì)及其經(jīng)理層的監(jiān)督職能。職工監(jiān)事制度是職工參與制的典型代表,體現(xiàn)了職工參與國有公司民主管理與監(jiān)督的主人翁的地位,也有利于實(shí)現(xiàn)現(xiàn)代公司治理的社會(huì)責(zé)任理念。然而,實(shí)踐中職工監(jiān)事制度并沒有發(fā)揮相應(yīng)作用,對(duì)于優(yōu)化國有獨(dú)資公司外派監(jiān)事會(huì)的監(jiān)督功能與體現(xiàn)民主管理精神的作用十分有限。這可能與我國職工監(jiān)事制度理論研究的缺乏及其實(shí)踐中制度的欠缺可操作性與不完備有關(guān),需要從理論及其立法角度做進(jìn)一步研究和安排。 全文分為四部分來論述：第一部分是職工監(jiān)事制度的概述,從分析職工監(jiān)事的定義出發(fā),指出公司社會(huì)責(zé)任理論是我國職工監(jiān)事制度確立的重要的理論基礎(chǔ)。在此基礎(chǔ)上,分析國有獨(dú)資公司監(jiān)事會(huì)外派性這一特征,進(jìn)而探討完善職工監(jiān)事制度對(duì)于強(qiáng)化我國國有獨(dú)資公司監(jiān)事會(huì)監(jiān)督功能,優(yōu)化其治理結(jié)構(gòu)的必要性。第二部分,首先重點(diǎn)介紹以德國的勞資協(xié)議制為代表的歐洲職工監(jiān)事制度的確立,然后分析西方職工監(jiān)事制度的典型模式,以期對(duì)其實(shí)施中所采取的對(duì)策進(jìn)行比較借鑒。第三部分著重以1999年和2005年《公司法》的修訂為基礎(chǔ)對(duì)我國國有獨(dú)資公司職工監(jiān)事制度的立法演進(jìn)現(xiàn)狀進(jìn)行研究。從而,指出我國國有獨(dú)資公司職工監(jiān)事制度凸顯的幾個(gè)問題：職工監(jiān)事不獨(dú)立、權(quán)義不對(duì)稱以及制度規(guī)定的抽象。第四部分主要試圖從保障職工監(jiān)事的獨(dú)立性、健全權(quán)義規(guī)則與激勵(lì)機(jī)制等方面尋求進(jìn)一步完善我國國有獨(dú)資公司職工監(jiān)事制度的制度安排,并從立法角度提出一些必要建議。
[Abstract]:The state-owned economy plays an important role in the national economy based on public ownership, which ensures the sustained, rapid and healthy development of our economy. It is particularly important to establish a mechanism of corporate governance that combines incentives and constraints with checks and balances, but the particularity of the governance structure of wholly state-owned companies in China is the absence of shareholders' meetings and the outward assignment of their supervisory boards. It is necessary to strengthen the supervisory function of the board of supervisors. In 1999, when the company law legislated to design the mechanism of the board of supervisors of the wholly state-owned company, the employee supervisor system was introduced. In order to strengthen the supervisory function of the board of directors of the company and its managers, the staff and workers supervision system is the typical representative of the staff and workers' participation system, which reflects the status of the workers and staff participating in the democratic management and supervision of the state-owned companies. It is also conducive to the realization of the concept of social responsibility in modern corporate governance. However, in practice, the employee supervisor system does not play a corresponding role. It is very limited to optimize the supervisory function of the external supervisory board of the wholly state-owned company and to embody the spirit of democratic management, which may be related to the lack of theoretical research on the supervisory system of the staff and workers in our country and the lack of operability and completeness of the system in practice. Need to do further research and arrangement from the angle of theory and legislation. The thesis is divided into four parts: the first part is an overview of the staff supervisor system. From the analysis of the definition of the employee supervisor, the author points out that the theory of corporate social responsibility is an important theoretical basis for the establishment of the staff supervisor system in China. This paper analyzes the characteristics of the outplacement of the board of supervisors of the wholly state-owned company, and then discusses the necessity of perfecting the staff supervisor system for strengthening the supervisory function of the board of supervisors and optimizing the governance structure of the board of supervisors of the wholly state-owned company in China. First of all, it introduces the establishment of the European staff supervisor system, which is represented by the labor agreement system in Germany, and then analyzes the typical model of the western worker supervision system. In the third part, based on the revision of the Company Law on 1999 and 2005, the author makes a study on the current situation of the legislative evolution of the employee supervisor system of the wholly state-owned company in China. This paper points out several problems in the supervision system of the staff and workers of the wholly state-owned companies in China: the staff supervisors are not independent, the rights and meanings are asymmetrical, and the system is abstract. Part 4th mainly tries to ensure the independence of the supervisors. From the aspects of perfecting the rules of right and justice and encouraging mechanism, this paper seeks to further perfect the system arrangement of the supervision system of the staff and workers of the wholly state-owned company in our country, and puts forward some necessary suggestions from the angle of legislation.
【學(xué)位授予單位】：南昌大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D922.291.91

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