【作者】 唐作钧；

【导师】 李智勇；

【作者基本信息】 中国林业科学研究院 ， 生态学， 2014， 博士

【摘要】 随着全球经济一体化的发展，林纸一体化成为国内外大型造纸企业争相采用的最佳模式，把原料林生产环节作为企业内部发展战略的一部分，将市场交易内部化，不仅节约了交易成本，也带动了整个产业链的健康发展。近年来，国外对于林纸一体化的发展模式、经营管理模式均进行了大量的研究，国外大型林纸一体化企业如斯道拉恩索、芬欧汇川，对其原料林生产企业的经营管理已形成了一套成功的管理模式。我国虽然已是世界造纸产品的主要生产国和消费国，但是林纸一体化原料林生产企业发展时间不长，管理水平还比较低下，尚未形成一套完整的管理体系，在内部管理方面尚存诸多问题，影响了其持续健康的发展。本文以林纸一体化原料林生产企业为研究对象，旨在探索出适应中国国情的原料林生产企业的“围墙管理”模式，为促进国内林纸一体化原料林生产企业经营管理水平的提高奠定基础。首先，通过对企业管理相关理论的梳理，结合大型林纸一体化企业围墙管理实践，构建了以企业内部管理理论、内部控制理论、价值链管理理论以及企业边界理论、风险管理理论为基础的林纸一体化企业理论支撑体系。其次，通过对国内外林纸一体化的发展历程、演进趋势、管理模式进行分析，总结了主要经验及存在的问题:1）全球林纸一体化的实施进程与演进趋势表现为：基本实现了原料林基地与纸浆造纸企业的共同发展；原料类别方面，从非木材纤维转向木材纤维；原料来源方面，从以进口为主、自给为辅的发展道路逐步向与环境协调发展的现代化方向发展；2）中国林纸一体化的实施进程经历了一段较长时间的发展与变革，反映出的主要问题是：原料供应不稳定；管理体制不完善；环保压力凸显以及缺乏科学合理的理论基础做支撑；3）国外林纸一体化管理模式与各个国家或各个地区的资源禀赋相关，由于自然资源、资金资源、人力资源、技术条件、制度环境和交易成本的影响，其管理模式呈现多样化；4）国内的林纸一体化经营模式主要表现为：“公司+基地”林纸一体化模式；“公司+基地+林农”形式的林纸前向一体化模式；“林场+公司”形式的林纸后向一体化模式；引进外资型林纸一体化模式。再次，在综合分析国内外林纸一体化四种经营模式的基础上，以系统性、科学合理性以及灵活可操作性等为指导原则，运用层次分析法构建了包括和谐性、竞争力以及一体化程度等三个方面、十八个评价指标的林纸一体化经营模式综合评价指标体系；评价指标体系中包含定性和定量两种指标，运用专家咨询法对定性指标赋值并计算其功效系数；综合运用层次分析法与专家咨询法确定各指标权重，指出四种林纸一体化经营模式的重要影响因子并据此分析四种经营模式的异同。分析结果表明：1）三个准则层指标在四种经营模式中的权重分配差异化显著。和谐性对于M1和M3均是最重要的影响因子；竞争力是M2最重要的影响因子；一体化程度对于M4是最重要的影响因子；2）针对四种经营模式的和谐性指标，共包含6个相关评价指标。其中生态友好性、政策导向性与合作积极性等三个指标对于四种经营模式均非常重要；M2与M3中各指标重要性分布相似，政策导向性为两种模式共同的最重要影响因子，商业和自然风险为二者共同的最弱影响因子；合作积极性和生态友好性分别为M1与M4最重要的影响因子；3）针对四种经营模式的竞争力指标，7个相关指标对于各个经营模式的影响力总体相似，略有不同：差别化能力、规模经济性、资金投入额度等三个指标对四种经营模式竞争力的影响力较小；产业链长度对于四种经营模式均是最重要的影响因子；4）针对四种经营模式的一体化程度指标，5个指标的权重占比差异较小。交易环节整合度对四种经营模式的一体化程度均非常重要，除了对M2最重要的指标是交货准时性外，对其它三种模式均最重要；组织结构合理性对M1及M4的一体化程度影响程度最小；空间布局合理性对M2的一体化程度影响最小；对M3的一体化程度影响相对最低的是交货准时性。最后，在对价值链管理理论、内部控制理论、边界理论和风险管理论的应用情况进行总结的基础上，借鉴国外大型原料林生产企业的管理经验，结合林纸一体化原料林生产企业生产、经营、管理“无围墙”的特征，利用这四大理论构筑了原料林生产企业组织机构、人力资源、内控管理、主要业务流程的内部“围墙管理”体系，以及企业合理边界、风险控制的外部“围墙管理”体系，最终构建成林纸一体化原料林生产企业的“围墙管理”模式。并将“围墙管理”模式整体应用到典型的林纸一体化原料林生产企业—湖南茂源林业有限责任公司的经营管理中，利用内部控制理论对组织机构进行设置和调整、人力资源管理机制进行优化，建立健全内部控制和监督机制，利用价值链理论和内部控制理论做好主要业务流程的控制，在茂源林业内部形成“管理围墙”；并通过调控企业边界，建立风险防控措施，在茂源林业外部形成“管理围墙”，形成了茂源林业的内部和外部的“围墙管理”体系，提高了茂源林业的管理水平和市场竞争力，证明“围墙管理”模式在原料林生产企业的适用性和可行性。另外，针对林纸一体化原料林生产企业所面临的政策问题提出了政策建议，为国家制定林纸一体化原料林生产企业的相关政策提供依据，以促进国内林纸一体化原料林生产企业的快速发展，解决木材原料的需求，同时发挥更大的社会效益和生态效益。更多还原

【Abstract】 As the global economy develops in an integrated manner, integrating forest and paperindustry has become the best pattern adopted by both domestic and foreign paper-makingenterprises. Including raw material production as one step of internal development strategy andinternalizing market transaction not only saved transactional cost, but also drives up thehealthy development of the whole industrial chain. In recent years, a large number of studieson the development pattern and management pattern featuring integrated forest and paperindustry have been carried out by foreign countries. Some large-scale foreign enterprisesintegrating the two industries, such as Stora Enso and UPM-Kymmene, have alreadyestablished a whole set of successful management pattern for their raw material producers.Although China is the main producer and consumer country of paper products in the world,raw material producers integrating forest and paper industry do not have a long history ofdevelopment. The poor management, incomplete management system and problems inmanagement impaired their sustainable and healthy development. The paper, basing on rawmaterial producers integrating forest and forest industry, aims at exploring an “enclosuremanagement” pattern for raw material producers suitable for Chinese situation, and laying thefoundation for improving the management in those producing enterprises.Firstly, a supporting system for the theory of enterprises integrating forest and paperindustry, was established on the basis of international management theory, internal controltheory, value chain management theory, corporation boundary theory and risk managementtheory, through combing through relevant theories of business management and combining thepractice of the enclosure management in large-scale enterprise integrating forest and paperindustry.Secondly, it summarizes main experience and problems through analyzing thedevelopment history, evolution trend and management pattern of the integration of forest and paper industry both at home and abroad, which provides an important basis for study onmanagement pattern of raw material producers integrating both forest and paper industry.Thirdly, it established an index system for comprehensive evaluation of managementpattern featuring integrated forest and paper industry, analyzed and commented on the fourdevelopment patterns, as well as laid the foundation for the construction and evaluation ofmanagement pattern adopted by raw material producers integrating forest and paper industry.Finally, based on the summary of application of value chain management theory, internalcontrol theory, boundary theory and risk management theory, we borrowed the managementexperience from large-scale foreign raw material producers and considered the “non-enclosure”characteristics of production, operation and management in raw material producers integratingforest and paper industry, and eventually established an internal “enclosure management”system for organizational mechanism, human resource, internal control and management, aswell as main business procedure, an external “enclosure management” system for reasonableboundary and risk control, and finally an “enclosure management” pattern for raw materialproducers integrating forest and paper industry.We adopted the “enclosure management” pattern in the operation and management intothe most typical raw material producer integrating forest and paper industry--Hunan MaoyuanForestry Co., Ltd., by establishing and adjusting the organizational mechanism, optimizinghuman resource management mechanism, building and improving internal control andsupervision mechanism with the internal control theory, as well as controlling main businessprocedures with chain value theory and internal control theory, and eventually formed a“management enclosure” inside Maoyuan Forestry; Externally, we formed a “managementenclosure” outside Maoyuan Forestry through adjusting and controlling corporation boundary,laying down risk control and prevention measures. With the internal and external “managementenclosure” system, we improved Maoyuan’s management and market competitiveness, as wellas demonstrated the “management enclosure” pattern’s adaptability and practicality for rawmaterial producers. In addition, this paper provides policy suggestions addressing the policy problems facedby raw material producers, and lays the foundation for formulating state policy towards rawmaterial producers integrating forest and paper industry, so as to promote rapid development ofthose enterprises, meet the demand for raw material, as well as realize greater social andecological efficiency.更多还原