【作者】 徐剑；

【导师】 赵希男；

【作者基本信息】 东北大学 ， 管理科学与工程， 2008， 博士

【摘要】 本文选题是国家自然科学基金项目“企业动态联盟的风险管理机制和风险防范体系研究(编号：70172042)”的重要研究内容之一。经济全球化和科学技术的快速发展,尤其是信息网络技术的突飞猛进和市场环境的持续多变,时间和对环境变化的快速响应已成为当今企业竞争的焦点。因此,20世纪90年代美国率先提出了以敏捷制造为核心的企业动态联盟这种新型的企业组织形式。由于企业动态联盟适应了环境变化特点和市场竞争需要以及企业组织开始朝着网络化、敏捷化与竞争性合作发展的趋势,并可使联盟成员企业优势互补、风险和费用共担、资源和利益共享,迅速抓住市场机遇而实现共赢,因而近年来它受到了国内外理论界和企业界的广泛重视,并得到了迅速发展。但是,这种组织形式因其成员主体的多元性、功能集成完整性、地域分散性和组织临时性等特性,不仅使得联盟中单个成员企业面临的所有风险仍然存在,而且还面临着许多新的风险问题,致使企业联盟实践中的合作成功率仅接近50%,而以往有关一般企业或专业性的风险管理理论和方法对此又缺乏针对性。为此,美国、欧洲和日本等发达国家对敏捷制造、企业动态联盟及其风险管理进行了大量研究,我国的管理界对企业动态联盟的风险问题也尤为重视和关注,近年来有关的研究和著述颇多,并取得了许多有益的研究成果,但其中大多是针对单一风险或是某些风险问题而提出的防控方法及对策措施,缺少系统性、专题性和机制性的研究工作,尚未形成企业动态联盟风险管理的理论和方法体系。本文在实际调研和对国内外有关研究现状分析的基础上,针对企业动态联盟风险问题及以往研究工作的不足和空白点,着重研究了以下几方面内容。(1)企业动态联盟及其风险的识别与评估。在阐述企业动态联盟的特征、类型、形态与生命周期的基础上,按照一定的识别程序和方法对联盟风险进行了全面识别和诱因分析,研究给出了联盟风险的分类方式和相对风险评估方法。(2)企业动态联盟风险管理的策略及其机制的构成与整合。在区分和明确企业动态联盟与成员企业的风险及其管理职责和管理关系的基础上,研究给出了企业动态联盟风险管理策略。根据联盟风险不同的影响过程和作用机理,构建了由风险转移机制、阶段性风险管理机制、传递性风险管理机制和全程性风险管理机制构成的联盟风险管理机制,并研究确立了四类风险管理机制的整合关系。(3)企业动态联盟风险管理机制的构建。对联盟风险管理机制中的四类机制分别进行了具体研究,建立了包含风险转移评判程序、评判方法和转移方式的联盟的风险转移机制；包含联盟的组建、运作、解体各阶段风险管理的联盟阶段性风险管理机制；包含风险监控机制、检查考核机制和动态调适成员机制的联盟传递性风险管理机制；包含信任机制、信息共享与流通机制、沟通与协调机制、激励机制和约束机制的联盟全程性风险管理机制。其中特别注重了对含奖惩制度在内的动态合同机制、动态调适成员制和检查考核机制的构建,以及激励机制与约束机制的耦合。(4)企业动态联盟风险防范体系的构建。面向联盟生命周期全过程企业动态联盟风险防范过程,不仅给出了包含联盟风险防范的治理结构与职责、联盟各阶段风险防范的对策与措施、例外风险防范措施和联盟风险预控方法工具的联盟风险的风险管理机制运行方式,以及包含联盟风险防范的法律体系、信用体系和传媒体系的联盟风险管理机制的外部环境保障,而且将内生的自防作用和外生的他律作用结合起来,成为联盟风险管理机制的载体和风险管理的工具。不同于一般企业的经营风险管理或专业性风险管理,也不同于以往企业动态联盟风险防控的研究,本文的创新之处主要有以下几方面：(1)提出了企业动态联盟风险的相对风险评估方法和联盟风险管理策略。(2)给出了动态联盟风险管理机制的各构成机制及其整合关系。包含联盟风险转移机制、联盟生命周期各阶段性及传递性和全程性风险管理机制以及各构成机制的整合关系模型。(3)有针对性地构建起面向生命周期全过程的风险管理方式、制度、方法、程序和形式,以形成具有预防规避风险功能、利于提高联盟效率、促使合作目标实现的联盟风险转移机制和阶段性、传递性和全程性风险管理机制。(4)给出的企业动态联盟风险管理机制的载体,即联盟风险防范体系。以上创新不仅对以往风险评估方法的进行了补充和修正,而且弥补了企业动态联盟风险管理机制构成与整合研究上的空白,丰富了企业风险管理理论,而且在联盟风险管理实践中更具有实用性和应用价值。本文的研究不仅丰富和发展了企业风险管理理论,对于防控动态联盟实践中面临的诸多风险问题,保证企业联盟迅速形成、无间协作、有效运行、共担风险并易解散和重组,以及以后的再次合作具有重要作用。对于制造业企业和其它行业中的企业联盟合作具有应用价值和推广意义,具有较广泛的应用范围和推广前景。更多还原

【Abstract】 This thesis is one of the important parts of "Study on the Risk Management Mechanism and Risk Avoiding System of Enterprise Dynamic Alliance" which is supported by the National Natural Science Foundation (No.70172042)Along with the globalization of economy, the fast growth of science and technology, esp. IT and internet and the various changes of in market environment, the quick response to the changeable environment becomes the focus of competition among enterprises. Thus, USA brought the new enterprise organizational structures, enterprise dynamic alliance, forward firstly, which is about agile manufacture. Owing to the features of quick adaption to the changale environment and market competion, the net structrue of the organization, the agility of competitve cooperation, the mutual benefit for the members, sharing the risk, expenses, resources and profits together, grasping the market chances quickly and realizing the common success, enterprise dynamic alliance theory gains a lot of concern recently both in the academic and business circles and develops rapidly.At the same time, the other features of this organizational structure, such as the diversity of members, integration of functions, decentralization of locations and provisionality of organization, not only keep the risk facing individual member but also lead to a lot of new problems, which result in only 50% possibility of success in the practice. In the past, the methods and theories about the risk management both in general and in specialized enterprises are sort of pertinence in this field. Trying to resolve this problem, in USA and Japan, numerous research work have been done in the fields of agile manufacture, enterprise dynamic alliance and the their risk management. In China, much more attention has been paid for this problem, which proved by the huge academic books and beneficial study fruits. However, most of these studies are focus on raising resolving methods to the single or some certain risks, the systematic research work about theories and methods is still waiting to be done.The author mainly studies the following points about the risk of enterprise dynamic alliance, which has not been done or still needs further work in after the practical investigation and research done in foreign countries:(1) Recognition and estimation of the enterprise dynamic alliance and its risks. After giving the features, types, forms and life cycles, the author raises his methods of classification and estimation for risk alliance. (2) Setting up the structure and integration of strategies and mechanisms of risk management of enterprise dynamic alliance. Based on distinguishing the relationship between enterprise dynamic alliance and the risk and managerial responsibilities of the members, the author gives the strategies. According to the different affecting processes and functional mechanisms of alliance risks, the author sets up the alliance risk managerial system, which is made up of risk transfering system, staggered risk managerial system, passing risk managerial system and whole process risk managerail system. The integrational relatioship of these four risks are studied as well.(3) Setting up the managerial system of enterprise dynamic alliance. The author studies the four types in detail and sets up several systems to manage and control the risk of enterprise alliace. Among which the author emphasizes the dynamic contract system, dynamic member adjustment system, checking system and coupling of stimulation and restriction.(4) Building the risk avoiding system of enterprise dynamic alliance. The alliance life cycle process of risk avoiding from enterprise dynamic alliance not only includes the governance structure and resposibilities of avoiding alliance risk, methods to the problems of different steps of avoiding risk process, irregular methods for avoiding risk and controlling risk tools, exterior enviroment including law system, credit system and media system, but also integrates the inner and exterior factors to be the tools for avoiding and managing the risks.Unlike the risk management of enterprise of general or specialized enterprise and the research work in the past, the author has some new contributions:(1) Giving the methods of comparative risk estimation of risk management for enterprise dynamic alliance;(2) Giving the structure and the integration relationship of dynamic alliance risk management;(3) Buiding up the risk management methods, system, ways, process and forms for life cycle overall process;(4) Giving the carrier of enterprise dynamic alliance, the risk avoiding system for the alliance. These contributions not only are the supplement and adjustment to the past method for risk estimation, but also make up the blankness in the research field of management system as well as integrate and enrich the applicable theory of enterprise risk management.In summary, in this thesis the author enriches and develops the theory of enterprise risk management. The various methods the author raises to risk problems are very important for alliance rapid forming, efficient operation, risk sharing and reengineering and repeated cooperation. This research result is valuable and worth popularizing for enterprise alliance cooperation of manufacture type enterprises and other industries.更多还原