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论文编号：	13602
作者编号：	2320200566
上传时间：	2022/12/4 23:41:57
中文题目：	黑金刚公司合规管理体系构建与实施研究
英文题目：	Research on the Construction and Implementation of the Compliance Management System of Hei Jin Gang Company
指导老师：	周建
中文关键字：	黑金刚公司；合规管理体系；食品生产企业；构建与实施
英文关键字：	Heijingang Company；Compliance Management System；Food Production Enterprises；Construction and Implementation
中文摘要：	2021年，合规管理被写入十四五规划，国家紧密出台系列政策大力推动国内企业合规管理建设，在此背景下，国内企业的合规建设迫在眉睫。食品生产企业也不例外，仅在2022年上半年“土炕酸菜”和网红牛奶“麦趣尔”丙二醇事件相继曝光，食品生产企业的合规问题不容忽视，不仅关系到食品安全，更关系社会民生，加强合规管理建设是企业行稳致远的发展底线。 本文从合规管理的现实背景和理论基础出发，以黑金刚公司作为研究对象，以真实数据作为依据，以PDCA循环理论、合规最优化、合规激励理论、全面风险管理等理论作为支撑，介绍了该公司的基本情况以及其开展合规管理的必要性和特殊性，从其内部管理、外部支持以及合规成本与收益的关系对其合规管理现状进行深入分析，总结出其存在组织建设、制度建设、运行机制以及文化建设的问题，并分别从内、外部环境对其成因进行剖析，得出其外部受政府监管和行业发展的影响，内部受管理体系不健全、管理者意识不足、员工素质不高的影响。由此，本文提出构建黑金刚公司合规管理体系，确定了体系构建的思路、依据和五个基本原则，以明确合规方针、建立合规管理组织体系、完善合规管理制度建设作为体系建设的三个基本要素，以识别合规义务并评估合规风险、制定并实施合规风险控制措施、评价合规效果、管理不合规并持续改进作为体系建设的四个具体步骤。同时，为保证体系的有效运行，从建立合规工作运行的支持保障、完善合规运行机制以及营造合规企业文化三个方面对黑金刚公司合规管理体系的实施内容进行论述。 本文的研究结论是，构建合规管理体系对于食品生产企业来说具有显著的必要性，构建黑金刚公司的合规管理体系，不仅可以全面地识别合规义务，防范合规风险，保证产品质量和食品安全，还提高企业的合规软实力，，助力食品生产企业合规管理体系建设和食品行业的健康发展。
英文摘要：	In 2021, compliance management will be included in the 14th Five-Year Plan, and the Government of China has closely introduced a series of policies to vigorously promote the construction of domestic enterprise compliance management. Under this background, the compliance construction of domestic enterprises is crucial to?the?success?of?the?company. Focusing on Food production enterprises，the frequent occurrence of food safety incidents caused widespread concern of the international community.For instance, the "earth pit pickled vegetables" revealing the lack of hygiene in the processing of cabbage,or the "Maiqu'er" milk incidents.Food safety incidents have been exposed one after another. The compliance problems of food production enterprises are not only related to food safety, but also related to society and people's livelihood. Strengthening Compliance management builds the bottom line for stable and long-term development of enterprises. Starting from the realistic background and theoretical foundation of compliance management, this thesis takes HeiJinGang Company as the research object, takes real data as the research basis, and uses theories such as PDCA cycle theory, compliance optimization and compliance incentive theory as the research support. The thesis describes the basic situation of the company and the necessity and special features of its compliance management, analyzes the current situation of its compliance management in terms of its internal management, external support and the relationship between compliance costs and benefits, and concludes that there are issues of organization construction, system construction, operation mechanism and culture construction. The thesis also analyzes its causes from internal and external environment respectively, and concludes that its external is influenced by government regulation and industry development, while its internal is influenced by unsound management system, insufficient managerial awareness and low staff quality. Based on this, this article proposes to build the compliance management system of Heijingang Company, determines the idea, basis and principle of system construction, and clarifies the three basic elements of system construction as clarifying compliance policy, establishing compliance management organization system and improving compliance management system construction. Identifying compliance obligations and assessing compliance risks, formulating and implementing compliance risk control measures, evaluating compliance effects, and managing non-compliance and continuous improvement are taken as the four specific steps of system construction. Meanwhile, for the effective operation of Heijingang Company compliance management system, it proposes to establish support and guarantee for the operation of compliance work, improve the compliance operation mechanism and create the guarantee measures for the compliance corporate culture. The conclusion of this thesis is that construction of a compliance management system is significantly necessary for food production enterprises. The construction of Black Diamond's compliance management system provides not only comprehensively identify compliance obligations, prevent compliance risks, ensure product quality and food safety，but also improves the soft power of enterprises, and helping the construction of compliance management systems for food production enterprises and the development of the food industry.
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