【作者】 杨东星；

【导师】 高良谋；

【作者基本信息】 东北财经大学 ， 企业管理， 2013， 博士

【摘要】 随着文化体制改革日渐深入,我国传统的出版事业单位逐步转制成为出版企业,成为市场主体。但无论是以上市出版集团为代表的改制成功者,还是以大学出版社为代表的改制滞后者,其内外部的治理结构还存在着一系列亟待解决的问题,需要通过继续改革创新加以解决,从而进一步解放出版企业的生产力,繁荣我国出版市场,推进国家软实力的提升。本文从我国出版体制改革的实践出发,分析当前出版企业公司治理的发展现状和存在的问题,结合出版业的特殊情况,借鉴国内外新闻出版传媒企业以及国有企业公司治理的成功经验,以重塑出版市场主体地位、创新出版企业内部治理结构和外部治理机制等方面为重点,力求构建出我国出版企业现代治理结构,为改制后的中国出版企业完善公司治理、促进出版业的科学发展提供帮助和借鉴。本文主要内容包括以下八个部分：第一章为引言部分,在介绍本研究的背景的基础上,指出了研究具有实践经验参考与思想指导性、学科建设改善和理论丰富性价值的理论和实践意义,其次全面回顾了国内外一般公司治理结构和出版企业公司治理结构的研究,并总结了后者的特点和不足之处,最后提出了论文的研究框架,研究方法和创新点。第二章论述我国出版企业公司治理结构研究的理论基础,包括委托代理、政府管制、现代产权和双重效益兼顾等理论,探讨其各自对出版企业现代治理结构建设的要求,为建立现代治理结构奠定理论支撑。第三章在全面梳理了我国出版体制改革历程的基础上,总结出版机构多年来治理模式的制度变迁,并从产权和公司内外部治理三个方面阐述了转制背景下出版企业治理结构存在的弊端。第四章先深入分析了我国出版市场主体地位缺失的现状,然后提出出版企业要通过建立出版现代产权制度,并采取转企、改制和上市三个渐进的路径,重塑出版企业新型市场主体地位。第五章详细论述了出版企业内部治理结构和机制的创新策略。以数字模型的形式阐明了出版企业所有者和经营者之间的权责关系；将“三会四权”制作为出版企业内部治理结构的建设目标,提出完善措施；建议将内部信息披露制度、激励机制、“黄金股”制度作为企业内部机制的建设重点；针对我国出版企业改制独有的“新老三会”冲突问题,提出了改善对策。第六章从党和政府的管制、市场的监控和奖惩和社会公众及文化的控制三个方面提出了改善出版企业外部治理机制的创新之举。第七章是案例分析,以辽宁出版集团为例,主要介绍其市场主体地位的确立和目前的治理结构,并指出其存在的问题,力图为其他出版企业确立市场主体地位、创新内部治理结构提供借鉴和参考。第八章是结论和展望,综述本文的研究结论并对出版企业公司治理进行展望。本文主要采用文献研究法、跨学科研究法、定量分析法和案例分析法展开研究。在研究角度上,基础研究和应用研究相结合。在基础研究上,本文对出版企业现代治理结构的定义、功能、特征以及理论基础进行了阐述,形成了较为完整的出版企业现代治理结构理论体系。在应用研究上,本文以文化体制改革为背景,从出版企业公司治理结构的理论分析,引申到出版治理改革的模式创新上,进而引申到出版产权制度、管理制度、激励制度等多方面的改革,以图对出版体制改革的实践做出更为深入和科学的分析。在研究内容上,宏观研究和微观研究相结合。宏观研究上,本文从制度经济学的角度分析出版体制改革的变迁和出版机构治理模式的制度变迁,总结了我国出版业制度变迁及治理演进的历史轨迹与发展方向,对今后出版企业建立现代治理结构具有较好的现实指导作用。在微观研究上,通过重塑出版市场主体地位、创新出版企业内部治理结构和外部治理机制,努力构建出版企业现代治理结构。就出版企业个体而言,这是在文化体制改革背景下,在法律框架内,政治力量和资本力量协同管理,党委领导和法人治理结构相结合,多元主体既相互制衡又注重协调和持续互动的治理结构。在研究方法上,实证研究和规范研究相结合,前者回答“是什么”、“客观现实是怎样”的问题,后者回答“什么是好的”、“应该是怎样”的问题。在实证研究上,以马克思主义新闻出版理论、企业理论和文化产业理论为基础,对出版治理结构的一般概念作了理论分析,着重考虑其相比其他领域所独有的宣传性质和文化属性。在规范研究上,本文从制度分析、历史分析、现实发展分析及案例分析中总结了出版治理应遵循的规律,如,通过真实的案例分析,对出版类上市公司的企业性质、上市途径和经营情况进行对比,探讨了我国出版类上市公司的整体状况和不同发展模式的优势劣势,为我国其他出版企业是否上市,以及上市后的经营问题、资金利用问题等提供有力的借鉴和思考。更多还原

【Abstract】 In recent years, China’s publishing industry restructuring become increasingly in-depth accompanied by the reform of the cultural system. Many publishing enterprise successfully restructured, and gradually become the main players in the market. Whether they are restructuring leaders represented by listed publishing group, or restructuring laggards represented by university press, in whose governance structure there are still a series of problems to be solved by reforming and innovating, to further emancipate the productivity of publishing enterprise, to prosper China’s publishing market, and to strengthen the national soft competitiveness.As a consequence, this paper is being carried out in the practice of publishing system reform, the author analyzes the development status and the existing problems of the publishing enterprises corporate governance, combined with the special situation of the publishing industry, draw successful experiences from domestic and international media enterprises and the corporate governance of state-owned enterprise. Focus on the reestablishment of the market entity of publishing and the innovation of internal and external corporate governance mechanism and strategic management, Striving to build a modern corporate governance structure of publishing enterprise to help improve the corporate governance of the Chinese publishing enterprises that have been reformed, and to promote the scientific development of the publishing industry. This paper consists of eight parts.Chapter1for the introduction of the background of this study, on the basis of that the paper point out theoretical and practical significance that has Experience reference, ideological guidance, discipline construction improvement and theory of value. On the other hand, this paper reviews comprehensively of domestic and international general corporate governance structure and publishing enterprises governance structure, and summarizes the characteristics and inadequacies of the latter. Last, this paper concluded the research frame and the research ways of it, the innovations in this dissertation.Chapter2for the theoretical basis of the research on the modern corporate governance structure of publishing enterprise, including principal-agent theory, Government regulation theory, modern property rights theory and theory of double benefit balance. The four theories respectively discussed the requirement of the modern corporate governance structure of publishing enterprise, lay theoretical support for the establishment of a modern management structure.Chapter3reviews in detail the steps of China’s publishing system reform, based on which summarized the publishing system reforms over the years, expound the drawback of corporate governance structure of publishing enterprise in the background of restructuring.Chapter4analyzes the status quo of the missing dominant position of publishing market in China firstly, then proposes that publishing enterprise should remodels a new dominant position of publishing market by establishing a modern property rights system, and taking three progressive path of transformation, restructuring and listing.Chapter5discusses in detail the innovative strategy of publishing internal governance structures and mechanisms. Clarify the powers and responsibilities’ relationship between the owners and operators of publishing enterprise in the form of a digital model; take the modern corporate governance structure as the goal of building internal governance structure, put forward a sound measures; proposes take the internal information disclosure system, incentives, a "golden share" system as an internal mechanism construction focus; proposes improved countermeasures to the problem about the relation between modern corporate governance structure and old one.Chapter6proposes innovative initiatives to improve publishing enterprise external governance mechanism from three aspects of the control of the party and the government, the market monitoring and incentive and public and culture.Chapter7is the case analysis of LIAONING publing group. Mainly introduces the establishment of the market main body status and the current corporate governance.It includes the problems as well.Chpater8is the Conclusions and outlook.The innovation of this paper is reflected in three aspects of the research point of view, research content and research methods. In the research point of view, combining the basic research and applied research. The paper described the definition, features, characteristics, as well as the theoretical basis of publishing enterprise of modern governance structure, forms a complete publishing structure theory of modern enterprise management system in basic research. The paper extends to a mode of publishing enterprise governance reform innovation and the reform of publishing property rights system, management system, incentive system, and many others from the theoretical analysis of the corporate governance structure of publishing enterprise, attempting to make more in-depth and scientific analysis of the practice of publishing reform.This paper combines macroscopic research and microscopic research. In terms of macroscopic research, from the view point of system economics, this paper analyzes the change of publishing system reform and corporate governance structure of publishing enterprise, summarizing the historical trajectory and direction of development of the Institutional Change and governance evolution of China’s publishing industry,which can provide guidance to Publishing enterprise that build Modern Corporate Governance Structure. In terms of microscopic research, this paper proposes to build a modern governance structure of the publishing companies by reestablishing the market entity of publishing, innovating internal and external corporate governance mechanism. In terms of publishing enterprise, it is the governance structure that in the background of the reform of the cultural management system, the collaboration management of legal, political and capital power, the checks and balances of the multiple-relations.This paper combines empirical study method and normative study method, the former answers the question of "what it is" and "how is objective reality ", the latter answers the question of "what is good" and " how it should be ". Empirical research based on the Press and Publication of Marxist theory, the theory of the firm and the cultural industries theory, focusing on its unique propagandistic and Cultural attributes. In normative research, this paper summarizes the law of publishing enterprises’ corporate governance. For example, this paper reviews in detail the regulations, documents, regulations, or even notice, the views about publishing system reform over the years through literature research method, Investigating its evolution process and development direction.更多还原