志愿组织风险管理研究

【作者】 孟志敏；

【导师】 党秀云；

【作者基本信息】 中央民族大学 ， 民族地区公共行政管理， 2012， 博士

【摘要】 长期以来,志愿组织与借助市场机制运作的企业,依靠行政权力配置资源的政府,共同推动着人类社会向前发展,成为社会稳定运行的三大基石。随着政府功能的收缩、社会捐赠和参与意识的增强,为志愿组织的发展提供了前所未有的大好机遇。但进入二十一世纪,全球经济环境的恶化、政府财政收紧、志愿组织信誉危机频发也给志愿组织带来空前的挑战。志愿组织经过近些年的发展,在某些领域已具有了一些一般性的原则,但尚缺乏普遍接受的有约束力的法律规则和制度约束。志愿组织风险管理就属于这样的领域。志愿组织内部、组织与组织之问、组织与社会之间关系的复杂性和困难性,是志愿组织在学界受到高度关注的重要原因。首先,有关志愿组织的研究包括组织运行、组织结构、组织机制等等,但在研究过程中发现不论从组织结构本身,还是从具体项目运作的过程中,都出现人为或外部环境对志愿组织造成某些损害。这些表现分散来看,只是某个部门或某个个人的意外所致,但随着事件曝光的增多,意外变成了志愿组织需要正视的组织风险。志愿组织具有风险性,已被国内外志愿组织的理论和实践所验证。其次,目前志愿组织对风险管理的思路相对单一,通常是以避免风险为目标,忽视了风险为组织带来的机会,包括获得更多的项目和资金支持,以及吸引更多地志愿者加入等等,帮助志愿组织发挥更大的社会效用。因此本文选择志愿组织为研究对象,期望通过系统研究,完善和拓展志愿组织管理的理论体系。志愿组织风险管理是一个动态、开放的过程,本文阐述了志愿组织、风险和风险管理等概念,及风险管理的技术模式；从志愿组织的特征、风险体现及风险管理原则入手。并根据对风险的可能性和风险带来的损失两个维度进行分析,分析导致志愿组织风险的关键环节、风险源和影响因素,设计具有可操作性的志愿组织风险识别模式,提出志愿组织控制风险的应对策略,以期推进当前志愿组织管理的研究与实践。首先是对基本概念的界定。借鉴国内外其他领域风险管理的研究成果,对志愿组织风险和志愿组织风险管理概念进行界定。从志愿组织的组织结构、资产、志愿者、利益相关者以及组织责任五个方面对志愿组织风险进行分析。其次是对志愿组织风险进行理论分析。志愿组织所处的一般外部环境,包括宏观政治经济社会风险属于较小概率风险；志愿组织风险的产生是基于组织特征,即行政管理的弱权威性、组织结构的松散性、物力资源和人力资源的外部依赖性、责任的模糊性等原因。志愿组织内部管理风险根据产生主体的不同分为管理者行为风险因素和被管理者反应行为风险因素,通过对两个风险因素的分析发现,志愿组织管理行为中的组织管理结构、资产收益中的产权所有和筹资过程、志愿者招募和配置方面,以及志愿组织和利益相关者之间的权责划分,是最容易导致志愿组织风险的环节。在被管理者反应行为中,组织内部管理制度的操作与监督的客观环境,和人的异质性和信息不对称性的主观意识,是产生道德风险和流失风险的主要环节。综合本文的研究内容和研究结果,本研究提出志愿组织风险管理。提出从志愿组织的组织对象入手,从风险环节与因素识别、风险评估、风险控制构建完整的志愿组织风险管理机制。特别是风险的识别环节,分为风险类型的识别,包括外部环境风险和内部管理风险、管理者行为风险和被管理者行为风险；以及风险产生环节的识别,组织管理、资产收益管理、志愿者管理、志愿组织法律责任来看。就志愿组织风险责任的价值层面而言,应根据各责任主体的实际能力合理配置风险责任,明确志愿组织与利益相关者之间的风险责任关系,加快志愿组织的相关立法,并寻求与社会、政府和其他组织的合作共同担当风险,保护和促进志愿组织的健康发展。更多还原

【Abstract】 For a long time, voluntary organizations, enterprises based on the market mechanism, and the government with power to allocate resources, become foundations of social stability and push the society forward. With the shrink of government functions and the increase of consciousness to donate and participate, voluntary organizations achieve unprecedented opportunities to develop. However, in twenty-first century, the deterioration of global economy environment, the deflation of government finance, and the credit crisis of voluntary organizations, all bring big challenges for voluntary organizations.With years of development, voluntary organizations have formed ordinary rules in some areas, but still situations exist where voluntary organizations lack generally accepted and binding laws and regulations. The risk management of voluntary organizations belongs to this situation. An important reason of attention from educational circles to voluntary organizations is the complexity and difficulty of relationship between these organizations and the society, and relationship among voluntary organizations. Firstly, researches on voluntary organizations include operation, structure, system, and so on. And it is identified that damage from human behaviors and environments to voluntary organizations exists both in their structures and in specific programs. More and more similar incidents make it impossible to ignore organization risks. It is confirmed by theory and practice of voluntary organizations from home and abroad that Voluntary organizations possess risks.Secondly, the goal of risk management for voluntary organizations is mainly to avoid risks but ignores benefits induced by risks, including getting more programs and financial supports, attracting more volunteers and enlarging social effectiveness of voluntary organizations.Therefore, this article takes voluntary organizations as subject to promote theory on the management of voluntary organizations. The risk management of voluntary organizations is a dynamic and open process. This article, based on features, risk reflections and risk management of voluntary organizations, states concepts of voluntary organizations, risks and risk management, and technology mode of risk management. And it analyzes key contributions to risks of voluntary organizations, risk sources and influencing factors by two dimensions:possibility of risks and losses caused by risks, and devises operable risk identification mode and raises coping strategies to control risks, in order to push forward the theory and practice about management of voluntary organizations.Basic concepts defined. The concept of risk of voluntary organizations and the one of risk management of voluntary organizations are defined, with achievements of risk management from home and abroad as a reference. Analysis on risks of voluntary organizations is from five facets:organizational structure, assess, volunteers, stakeholders and organizational responsibilities.Theoretical analysis on risk of voluntary organizations. External environment risks for voluntary organizations, including politics risks, economy risks and societal risks, belong to small-probability ones. Risks of voluntary organizations derive from organizational features:weak authorities of administration, loose of organizational structure, external dependencies of material and human resources, vagueness of responsibilities, and so on. According to the difference of risk subject, the management risk in voluntary organization could be divided into two categories:behavior risk by managers and the reaction behavior risk by the being managed. It is identified that risks of voluntary organizations occur more possibly in organizational management behaviors, property possessions, financing process, recruitment and disposition of volunteers, and the division of responsibility and authority between organizations and stakeholders. In the reaction behavior risk by the being managed, objective environment of organizational operations and supervision, and subjective consciousness of human heterogeneity and asymmetric information, mostly cause moral risks and loss risks.The research outcomes considered, this article raises risk management of voluntary organizations and construction of risk management system from organization object, identification of risk factors, estimation of risks, and control of risks.Identification of risks include, risk type identification:external environment risks and internal management risks; behavior risk by managers and the reaction behavior risk by the being managedRisk generation identification:organization management risks, property and income risks, managing volunteer risks and legal liability risks.As far as the value of risk liability is concerned, the article suggests distributing risk responsibilities on the basis of subjects’capacities, clarifying the relationship between voluntary organization and stakeholders about liability of risks, speeding up the relevant legislation about voluntary organization, promoting cooperation with the society, government and other organizations to shoulder risks together, and pushing development of voluntary organizations.更多还原