摘要

摘要：在全面深化国有企业改革的进程中，推行职业经理人制度已成为大势所趋。国有企业经营管理者是国有企业做强做优做大的关键少数，调动其积极性对国企改革全局意义重大。职业经理人制度是破解国有企业选人用人机制的关键一招，打造一支专业化、职业化、市场化和国际化的国有企业职业经理人队伍，有利于激活经营管理层活力，进一步完善现代企业制度，不断增强国有经济竞争力、创新力、控制力、影响力和抗风险能力。尽管在国有企业推行职业经理人制度的实践中，尚存问题和困难，但该制度既是国企引入市场化机制的迫切要求，也是深化改革发展的现存需求，更是构建中国特色企业理论的使命召唤。

理论探讨层面，本研究将国有企业职业经理人界定为狭义的国有企业职业经理人，即高级管理人员，应具备政治品格、领导能力、工作作风以及心理素质四个关键要素。国有企业的职业经理人本质上仍然是职业经理人，具有与民营企业和跨国公司等其他所有制企业职业经理人相同的一般属性，但在引入动机、基本原则、责任、能力要求、选聘、薪酬与激励及退出机制等方面又具有特殊性。在深入挖掘不完全契约理论、委托代理理论、人力资本理论、管理层权力理论等经济学和管理学理论对国有企业职业经理人议题的理论阐释的基础上，我们尝试从宏观、中观、微观三个层面对新时代国有企业职业经理人制度进行理论架构。

演变历程层面，对应改革开放初期、经济转型时期、国资监管时期和纵深推进时期四个阶段，将中国国有企业职业经理人制度发展分为1978—1992年改革准备阶段，1993—2002年初步酝酿阶段，2003—2012年试水调整阶段和2013年至今的推广深化阶段四个阶段，回顾总结国有企业职业经理人制度的发展脉络。同时，对西方国有企业职业经理人制度的发展历程进行了系统回顾，划分为经理层主要受制于政治政策，经理层逐渐掌握企业控制权，以及经理层受到的政府管制和市场监督增强三个阶段。通过对中外国有企业职业经理人制度发展沿革进行比较发现，国有企业职业经理人制度的改革本质上是对国家和企业关系的重新界定，而党组织的嵌入则彰显了中国国有企业职业经理人制度的特色。

改革进展层面，以党的十八大为主要标志，中国国有企业职业经理人制度政策探索呈现由缓到快的明显转变。中央企业和地方国企以试点为抓手，正在推进“自我革命”式改革，成效初显，市场化选聘比例逐步加大、经营机制进一步完善、企业效益明显提升。国有企业推行职业经理人制度促进了企业法人治理结构的协调运转，规范了企业法人治理结构，董事会职权进一步落实；企业不断健全市场化经营机制，深化企业“三项制度改革”，企业活力得到不断释放；加快了企业“去行政化”的步伐，加快了国企干部制度改革；绩效和薪酬管理机制更加完善，激励约束效应显著增强，推动了国有企业高质量发展。然而，职业经理人制度试点整体进展不充分，职业经理人制度在国有企业中尚属新鲜事物，没有可借鉴的成熟经验，中央企业、部分省市区目前主要是在少数公司进行试点，很多工作都是边试边改、边改边完善，存在发力点不足的情况。推进中仍存在选聘市场化和身份市场化程度还不够、管理契约化还存在提升空间、薪酬市场化差异化还存在差距、退出制度化仍不够彻底、培养与监管机制还需健全等问题。

实践探索层面，根据中央企业及各地方国有企业推行职业经理人制度的情况，将国有企业推行职业经理人制度的典型方式概括为四种：“四化管理方式”、现有领导人员“转身方式”、“市场化的经理人方式”、“个别岗位市场化选聘方式”。以华润集团、中粮集团、新兴际华集团、深投控、河南能源为典型案例，分析中央企业和地方国企按照“市场化选聘、契约化管理、差异化薪酬、监督管理”等路径开展实施的国有企业职业经理人实践探索。

基于此，本书认为在中国国有企业推行职业经理人制度是一项系统性的制度创新，应依据历史轨迹和现实基础渐进推进，通过坚守宏观改革方向，按照党管干部原则与市场化改革相融合的原则，将加强党的领导与市场化发展统一起来；遵循中观改革原则，分类、分层、分阶段，有先后、有主次并且有轻重地推行；推进微观改革模式，进一步完善“市场化选聘、契约化管理、差异化薪酬、体系化培训、市场化退出、流程化监管”主要环节，逐步形成具有中国特色的国有企业职业经理人制度体系。

关键词：职业经理人；国有企业；制度改革

Abstract: In the course of deepening the reform of state-owned enterprises,it has become the general trend to carry out professional manager system.Managers are the key minority to make SOEs stronger,better and bigger.Arousing their enthusiasm is of great significance to the overall reform of SOEs.Professional manager system is a key move to break the hiring mechanism of SOEs.To build a professional,market-oriented and international team of professional managers of SOEs is conducive to activating the vitality of the management team,further improving the modern enterprise system,and constantly enhancing the competitiveness,innovation,control,influence and anti-risk ability of the state-owned economy.Although there are still some problems and difficulties in the practice of implementing professional manager system in SOEs,this system is not only the urgent requirement for SOEs to introduce market-oriented mechanism,but also the existing demand for deepening reform and development,and it is also the call of duty to construct the theory of enterprises with Chinese characteristics.

From the theoretical perspective,this study defines professional managers of SOEs in a narrow sense,that is,senior managers,who should possess four key elements:political character,leadership ability,work style and psychological quality.The professional managers of SOEs are still professional managers in essence.They have the same general attributes as those of professional managers of other ownership enterprises such as private enterprises and multinational corporations,but they also have special characteristics in introducing motivation,basic principles,responsibilities,ability requirements,selection and employment,remuneration,incentive and exit mechanism.In deep mining incomplete contract theory,principal-agent theory,human capital theory in economics and management theory，we try to construct the professional manager system of SOEs in the new era from macro,medium and micro levels.

In terms of evolution process,corresponding to the initial reform and opening up period,economic transformation period,state-owned assets supervision period and in-depth promotion period,the development of SOEs professional manager system can be divided into the preparation stage from 1978 to 1992,the preliminary incubation stage from 1993 to 2002,the testing stage from 2003 to 2012 and the stage of promotion and deepening since 2013.At the same time,the development course of professional manager system in western SOEs is systematically reviewed,which can be divided into three stages:the managers are mainly subject to political policies,the managers gradually grasp the control of the enterprise,and the managers are subject to the enhancement of government regulation and market supervision.By comparing the development and evolution of professional manager system of SOEs in China and foreign countries,it is found that the reform of professional manager system of SOEs is essentially a redefinition of the relationship between the state and enterprises,and the incorporation of the CPC organization into the professional manager system of shows the characteristics of the manager system of SOEs in China.

In terms of reform progress,with the 18 th CPC National Congress as the main symbol,the policy exploration of professional manager system in SOEs presents an obvious transition from slow to quick.Taking pilot projects as the starting point,central and local SOEs are carrying out“self-revolution”reform,which has achieved initial results,gradually increasing the proportion of market-oriented recruitment,further improving the operating mechanism,and significantly improving enterprise performance.The implementation of pro fessional manager system in SOEs has promoted the coordinated operation of the corporate governance structure,standardized the corporate governance structure,and further implemented the functions and powers of the board of directors.Enterprises continue to improve the market-oriented operation mechanism,deepen the“three institutional reforms”of enterprises,and continue to release the vitality of enterprises.SOEs accelerate the pace of“de-administration”and the reform of the cadre system.Performance and compensation management mechanisms have been improved,incentives and constraints have significantly increased,and high-quality development of SOEs has been promoted.However,pilot professional manager system overall progress is not sufficient,professional manager system in SOEs is still something new,no mature experience for reference,the central SOEs,some provinces and cities at present is mainly carried out in a few companies,a lot of work is to try and improve,while improving,there are still shortcomings.In the process of promotion,there are still some problems,such as insufficient market-oriented identity of recruitment,room for improvement of management contract,gap of market-oriented differentiation of salary,insufficient institutionalization of exit,and improvement of training and supervision mechanism.

At the level of practice,according to the central and local SOEs' practice,the typical way to carry out professional manager system in SOEs can be summarized as four patterns,“four modernizations management approach”,“existing leaders turn around approach”,“market-oriented approach”,“market-based selection of individual positions”.Taking China Resources Holdings,COFCO,Xinxing Cathay International Group,Shenzhen Investment Holdings and Henan Energy ＆Chemical Group as typical cases,this paper analyzes the practical exploration of professional managers in SOEs carried out by central and local SOEs.

This book holds that the promotion of professional manager system in China's SOEs is a systematic institutional innovation,which should be carried forward gradually according to the historical track and realistic basis.By adhering to the direction of macro reform,the strengthening of the CPC's leadership and market-oriented development should be unified.Following the principle of meso reform,we should carry out the reform in different categories,levels and stages,with priority and weight.We will promote the micro reform model,further improve the main aspects of“market-oriented selection and employment,contractual management,differentiated compensation,systematic training,market-oriented exit,and process-based supervision”and gradually form a professional manager system of SOEs with chinese characteristics.

Key words: Professional Manager;State-owned Enterprises;System Reform