【作者】 任明；

【导师】 陈通；

【作者基本信息】 天津大学 ， 技术经济及管理， 2007， 博士

【摘要】 伴随我国社会主义市场经济的建立与完善、全球经济一体化进程的加快,我国企业的改革发展取得了巨大成效,企业的国际化经营已经成为大趋势。但是,中国企业在国际化运作中也暴露出其法律软肋。这不仅引起了政府部门的高度重视,同时也激发了理论界的研究热情,尤其是对法律风险防范与管理手段之一的合同管理。在对风险管理、合同管理、法律风险理论研究综述的基础上,提出了本研究的着力点——合同风险管理。根据内部控制与风险管理的关系构建了合同风险管理框架,将合同风险主要分为合同管理风险和合同法律风险,按照风险管理流程将合同风险管理流程分为合同风险识别、合同风险分析和评价、合同风险规划和合同风险监控四个环节,并根据合同管理特点选择了各流程适用的方法。建立了法律风险及其评估理论,作为合同风险管理理论的重要部分。首先介绍了我国法律体系框架,分析了法律在企业中的作用和地位,对我国法律风险的现状做出总结;接着界定法律风险概念,分析法律风险特征,并对法律风险做出分类;然后将法律风险成因分为法律环境造成的法律风险和企业自身原因引致的法律风险,并指出企业市场化程度、企业规模、组织形式、业务性质和范围、社会敏感度是法律风险的主要影响因素;最后构建了法律风险评估流程。在合同风险识别环节,分别识别了合同管理风险和合同法律风险,利用调查表法将合同管理风险分为组织结构风险、人力资源风险、合同管理制度风险、合同业务流程风险和合同管理信息系统风险;利用生产/业务流程法将合同法律风险分为合同签订法律风险、交易主体法律风险、合同文本法律风险和合同履行法律风险;并利用系统动力学研究合同管理系统运行机理。在合同风险分析和评价环节,结合识别出的风险点和中石油实地调研情况,对中石油的合同风险做出评价并做出分析。合同信息监控除了具有合同风险监控作用外,还能进行统计分析并提供管理决策依据,因此提出五个统计分析维度即地区公司、合同类别、合同管理部门及人员、合同相对人和纠纷索赔维度,并对每一维度提出具体分析性指标和分析意义;对于合同管理绩效评价,构建了合同管理绩效考评框架,并提出了考评指标。更多还原

【Abstract】 With establishing and perfecting of social market economy in China and quickening of integrative course of global economy, innovation and development of enterprises has gained great effect, and international operation of them has become a trend. However, Chinese enterprises has exposed its legal weakness, which arouses high recognition of government and research passion in theory domain, especially for contract management as one of measures keeping away and managing legal risk. Contract management is the focus of research on the basis of the theoretic summary of risk management, contract management and legal risk.Contract risk management framework is set up according to the relationship between internal control and risk management, and contract risk is separated into contract management risk and contract legal risk. Contract risk management includes for parts: contract risk identification, contract risk analysis and assessment, contract risk plan and contract risk monitor and control and methods are chosen for each part combining with the characteristics of contract management.Legal risk and its assessment theory are building as the important part of contract risk management theory. Chinese law system framework is introduced, function and status of law in enterprises is analyzed, and the reality of legal risk in China is summarized. The concept of legal risk is defined, characteristics is analyzed, and classify is given. Cause of formation of legal risk is separated into legal circumstance and enterprises themselves, and the degree of marketizaion, scale, organization form, operation character and range, and social sensitivity are the primarily influence factor. Legal risk assessment process is set up then.In the course of contract risk identification, contract management risk and contract legal risk are identified respectively. The former is made up of organization structure risk, human resource risk, contract management institution risk, contract operation process risk and contract management information system risk through questionnaire survey method. The latter is made up of legal risk of signing contract, transaction body, contract text, and performing contract through method of producing process. The movement mechanism of contract management system is analyzed through system dynamics. In the course of contract risk analysis and assessment, contract risk of CNPC is assessed and analyzed on the basis of risk point and investigation. Except for monitoring and controlling contract risk, contract information can be statistically analyzed and provides gist of management decision. So five statistical dimensions are put forward such as regional corporate, contract sort, contract management department and personnel, contract opposing party, and dispute and claim, and analysis index and its meaning are advanced. The framework of contract management performance evaluation is built and evaluation index is set up.更多还原