【作者】 黄宝荣；

【导师】 佘廉；

【作者基本信息】 华中科技大学 ， 行政管理， 2009， 博士

【摘要】 国有企业是国民经济的重要支柱,关系到国计民生、经济安全和社会稳定。以完善惩治和预防腐败体系为重点,加强国有企业反腐倡廉建设,是全社会反腐倡廉工作的重要组成部分,也是推动国有企业实现可持续发展的重要保证。本论文对反腐倡廉理论的发展和现状进行研究,并探讨反腐倡廉理论在国有企业更加有效深入开展的理论方法和实际措施。论文从我国国有企业监管制度现状及其实效出发,借鉴软实力理论的研究角度和思路,提出“企业廉实力”的概念并对其内涵进行阐述。企业廉实力是指企业通过以“廉”为组织、管理和行为的核心理念和基本准则,从而获得的在同等竞争中处于优势地位的能力,其内涵主要包括民主科学决策、高效执行制度规范、加强权力监督和廉洁自律。企业廉实力是对企业价值体系、组织规范等的内在行为要素的制度化安排与战略导向,表达的是一种符合现代企业管理和当代社会规范的能力。结合企业全面风险管理理论,论文从滥用职权、以权谋私、违反民主制度和公款挥霍浪费等角度分析了国有企业廉实力面临的主要受损风险,从思想根源、制度原因和工作原因等方面对其产生根源进行阐述,探讨了相应的重点防范措施。论文构建了国企廉实力风险评价指标体系,由盈利能力评价指标、内部控制评价指标和廉洁从业评价指标等构成;探讨了各类指标的定量化和归一化处理,并应用层次分析法和方根法确定各项指标的权重值,可计算得到国有企业廉实力的综合评价结果。该评价结果可用于判断企业的廉实力建设现状并预防受损性风险,还可用于辨识影响企业廉实力的主要指标或元素从而进行针对性解决。论文以石油行业的某国有企业作为案例分析,对该评价体系及其计算方法进行说明。论文在最后总结企业廉实力研究中的局限与不足,并对企业廉实力的概念与内涵、评价指标体系、定量计算方法、调查问卷设计等方面研究提出建议和展望。更多还原

【Abstract】 The state-owned enterprises are very important for the national economy, and they are related to people’s livelihood, economic security and social stability. In order to improve the system for punishing and preventing corruption, promoting the combating corruption and upholding integrity of state-owned enterprises is an important component of the the whole society anti-corruption, and is an important guarantee for achieving sustainable development of state-owned enterprises. In this dissertation, the development of anti-corruption theory and its research status are analyzed, and the theoretical approaches and practical measures for promoting the anti-corruption theory to implement more effectively are discussed.From the status quo of management system with its effctiveness for China’s state-owned enterprises, the conception of ’integrity power’ for corporation is put forward in virtue of soft power point of view and ideas, and the features and the importantce of corporation integrity power are expounded. Integrity power for corporation is the ability to get the priority for a corporation in the competition, which is gained by putting the intergrity as the core idea and basic criteria of organization, management and implemention. The basic contents of corporation intergrity power include democratic and scientific decision-making, efficient implementation of standards, abidance by state laws and CCP rules, and integrity of self-discipline. It is the institutional arrangements and strategic orientations of intrinsic behavior factors such as enterprise value system, organizational norms, etc., which expresses one kind of capabilities complied with modern enterprise management and contemporary social norms for corporations. With the theory of enterprise risk management (EMR), the major risks which would damage the building of corporation integrity power are analyzed from the perspectives of abuse of power, corruption, violating the democratic system, excessive post consumption, etc. The root causes which give rise to these risks are explained the corresponding preventive measures are brought forward, which include ideological causes, system causes and work causes.The comprehensive evaluation system for corporation integrity power is built, which is composed of index of profit, internal control, combating corruption and upholding integrity. The quantification and normalization motheds of all index are discussed and the results of comprehensive evaluation can be calculated by the weighted values which are determined according to the analytic hierarchy process (AHP) and square-root method. The evaluation results could be used to determine the status of corporation integrity power, prevent the related damage risks, and identify the main indicators related to such risks to be solved targetbally. In this dissertation, a case analysis of one of state-owned enterprises in the oil industry is done using the comprehensive evaluation system for corporation integrity power, risk early warning system and their related calculation methods. The system itself and its methods of calculation and evaluation are explained and applied. In the end, the dissertation summarizes the limitations and inadequacies in research on corporation integrity power, and makes some recommendations and prospects for the research about the concept and connotation of corporation integrity power, risk evaluation system, the quantitative method of risk early warning system, etc.更多还原