2.独立董事来源地以北京、上海、深圳、广州的著名高等院 校为主；
3.独立董事以具有高学历、高职称的精英人才为主；
4.独立董事所从事 专业以经济管理类为主；
5.现阶段独立董事的报酬对独立性的影响较小；
6.独立 董事在董事会中的比例较低。独立董事的构成现状体现出其商业经验不够，参与 性不够，独立性不够，多元化不够的缺陷。现阶段独立董事构成现状的主要原因 可以归纳为职业经理人市场发育层次不够，上市公司弱化独立董事职能的倾向， 特有的人际关系的影响以及经济管理专业的高校教师是上市公司合适的顾问人 选。
其次，从独立董事整体独立性的切入点我们研究了独立性的影响因素。决策 人因素是影响动态独立性的首要因素，谁来选拔就决定了独立董事对谁负责，企 业所有权的依存状态要求独立董事服务于利益相关者。独立董事的个人素质是独 立董事发挥作用的基础，也深刻的影响着独立性。而缺乏成熟的独立董事激励和 约束机制使得独立董事缺乏维护独立性动力。
最后，在廓清这些因素作用机理的基础上，我们初步探讨了如何增强独立董 事的独立性，并提出以下建议。1.建设独立董事协会和独立董事提名委员会从而 确保独立的选拔机制。2.选拔具备以下七项素质思考问题深刻的人、商业经 验、人际关系技巧、高效的贡献、责任心、独立性及权威性的独立董事，建 设一只职业化独立董事队伍。3.建设独立董事的声誉激励机制。独立董事声誉激 励是一种低成本并且较为有效的激励方式，但是声誉机制的建立是一个长期的过 程和需要多方面的配套措施。4.改革现有的独立董事薪酬激励方式。给独立董事 足够的经济激励并采取适当的形式需要对现有的薪酬方式进行改革,而让独立董 事承担民事赔偿责任应该是有效的法律激励手段。
关键词上市公司；
独立董事；
初始独立性；
动态独立性；
－III－ 上市公司独立董事独立性研究 Abstract As to the independent director system, independence is its core and soul. The independence means that there must be no relations between independent directors and big shareholders or company operators, which may hinder independent director doing their works. And the independence also means that independent directors can catch commercial incident essence and dare to express their own view. This research divides the independent directors independence into introductory independence and operating independence. According to this, the main views of this thesis can be described as First of all, we can draw six conclusions from the independent directors’ positive study 1. Universities’ teachers and scientific experts are main part of the independent directors. 2. The famous universities in Beijing, Shanghai, Shenzhen and Guangzhou are the collective source places of the independent directors; 3. The independent directors have a well education and a high professional title; 4. Most of the independent directors are major in economic management; 5. The independent directors’ remuneration has a little effect on independence at the present stage; 6. The independent directors’ proportion in boards is relatively low. The current composition embodies the following defects insufficiency of business experiences, insufficiency of attendance, insufficiency of independence and insufficiency of diversification, which affect the operating independency. The main reasons are that there is not a fully developed managers market, the listed companies weaken the independent directors’ functions, the university teachers with special knowledge are suitable consultants and that there is effect of the peculiar interpersonal relationships. Secondly, on the basis of positive study, we analyses the influent factors of the independence. The decision-maker is a primary factor, which determines the independent director and whom they are responsible for. The changing state of enterprises ownership requires the independent directors to serve the stakeholders. The independent directors’ personal characteristics are basic element for them to work, and deep affect the operating independence. Since there is lack of ripe motivation and commitment mechanism, the independent directors are not willing to work hard. On above-mentioned analysis we tries to set up an analysis frame of the influent factors. Finally, on above-mentioned analysis, the thesis puts forward some suggestions to strengthen the independence. 1. Build the independent directors association and －IV－ 硕士学位论文 nominating committee to guarantee an independently choosing mechanism. 2. It is necessary to choose the independent directors, who possess the following seven characteristicsincisive thinker, business experience, interpersonal skills, effective contribution, commitment, independence, command attention and respect, to maintain the operating independence. 3. Reputation mechanism is a low cost and effective , but the building of the reputation mechanism is a long-term course and needs the supplementary measures in many aspects. 4. In order to give independent directors enough economic motivation in proper way, we should re the existing remuneration way. And it is an effective way to let the independent directors bear civil compensation responsibility. Key words The listed companies; Independent directors; introductory independence; operating independence; －V－ 湖 南 大 学 学位论文原创性声明 本人郑重声明所呈交的论文是本人在导师的指导下独立进行研究所 取得的研究成果。除了文中特别加以标注引用的内容外，本论文不包含任 何其他个人或集体已经发表或撰写的成果作品。对本文的研究做出重要贡