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论文编号：	2036
作者编号：	032914
上传时间：	2010/4/8 15:24:26
中文题目：	项目导向型企业风险管理体系研究
英文题目：	project oriented company; risk management; management system
指导老师：	戚安邦
中文关键字：	项目导向型企业；风险管理；管理体系
英文关键字：	project oriented company; risk management; management system
中文摘要：	随着社会经济的发展，转型为项目导向型企业成为企业发展的重要趋势。项目导向型企业必须要建立科学完善的风险管理体系，使之能够系统地管理企业内部的所有风险，特别是项目风险。 本研究系统地分析了项目导向型企业风险管理的独特性，探讨了影响项目导向型企业风险管理效果的主要影响因素，结合传统的项目风险管理体系与企业风险管理体系，构建了科学的、适合项目导向型企业需要的项目风险管理体系和企业风险管理体系。全文包括如下五个核心部分： 一、相关理论综述 深入广泛地归纳和总结了关于风险管理、项目风险管理、企业风险管理以及项目导向型企业的基本理论及其发展历程，深入分析了其中存在的缺陷与不足，并评述了产生这些缺陷的原因，为本文的后续研究打下了坚实的基础。 二、项目导向型企业风险管理的独特性 分析了项目导向型企业所面临的风险、风险管理以及风险管理体系的独特性，揭示了由于项目的广泛采用给企业的风险管理带来的挑战和影响。发现，项目导向型企业所面临的风险在风险的来源、风险的构成、风险对企业产生影响的路径、风险的关联性以及历史数据等方面都与非项目导向型企业存在显著区别。这些区别决定了，项目导向型企业的风险管理在风险管理的主体、管理的客体、管理的目标导向和管理手段上都存在着一定的独特性，这也进一步决定了其风险管理体系在组织构成、责任机制和协同机制等方面的独特性要求，决定了必须将项目导向型企业的项目风险管理体系作为企业风险管理体系的核心。 三、项目导向型企业风险管理效果的影响因素 本研究从一般运营风险管理效果的影响因素和项目风险管理效果的影响因素两个方面进行了系统的分析和实证研究。研究表明：风险管理的工具、目标导向、风险文化、组织安排、领导的支持以及内部沟通和信息传递是影响一般运营风险管理效果的关键因素；而与企业的协同、团队的经验、过程体系的适用性、目标导向、领导的支持力度和团队氛围对项目风险管理效果有着显著的影响和解释能力。这些因素都需要在所构建的风险管理体系中得到体现。 四、项目导向型企业的项目风险管理体系 首先从项目导向型企业的项目风险管理体系所必须满足的功能入手，分析了现有的项目风险管理体系的缺陷，并再结合项目导向型企业风险管理的独特性和项目风险管理效果的影响因素的基础上，提出了项目风险管理体系模型。该模型是目标导向、协同网络、风险文化、工具与过程体系以及项目经理和项目团队的有机整合体。该体系模型强调对团队风险管理的指导、协调与监控，强调企业战略目标与其他利益相关者期望的集成，强调与企业的接口关系，强调从企业整体的角度来进行风险的分析与管理。它以企业战略目标的实现为基本目标导向，由项目经理和项目团队具体进行风险的管理工作，通过严格规范的过程体系和工具集合来处理各种风险，要求团队成员具有强烈的风险意识和积极的风险态度，并与企业风险管理体系中的风险小组、风险管理职能部门、项目管理办公室以及内部审计部门进行积极的协作，接受项目风险管理职能部门的协调，从风险管理小组那里获取帮助，与企业的业务部门进行畅通的横向协调。 五、项目导向型企业的企业风险管理体系 根据对现有的企业全面风险管理理论及其管理体系的研究，笔者识别出了这一理论对于项目导向型企业风险管理的优点和不足。同时，结合项目导向型企业风险管理体系的独特性，笔者构建了适合于项目导向型企业需要的企业风险管理体系模型。该模型由董事会/CEO、风险管理委员会、内部审计部门、风险管理职能部门和项目管理办公室等职能部门，以及顾问和风险小组等智囊机构，以及业务部门和项目团队等风险的具体管理部门作为基本骨架，以风险文化、统一术语、风险数据库和内部沟通网络作为软环境，以风险管理工具和过程体系作为手段，实现在全企业范围内的风险管理（特别是对于项目风险的管理）。模型强调了项目团队在企业风险管理中的基础性地位，强调了对项目风险管理过程的支持与控制，强调了企业风险管理体系内部的协作与沟通，强调了要将项目风险作为企业风险的关键部分并从整个企业的视角来进行整体化的分析和优化，并分配给最具效率的机构来进行管理。从而，这套体系可以有效提升项目导向型企业的风险管理能力和效果。
英文摘要：	Along with the development of society and economy, project oriented company has been the trend of modern company. Forming a scientific and perfect system of risk management plays a key role in project oriented company to manage the whole risks, especially the project risks, faced by the company. In this dissertation, the author analyzes the specificalities of the risk management in project oriented company, distinguishes the factors which affect the risk management efficiency in project oriented company. On the basis of the analysis of the former project risk management system and risk management system, the zuthor forms a scientific and perfect system for project risk management and company risk management, which meet the need of risk management in project oriented company. The key five parts of this dissertation are following: In the first part, the author sums up and analyzes the key literatures on risk management, project risk management, enterprise risk management, and the theory on project oriented company, and finds out the main shortcomings on these theories and the corresponding causes. Secondly, the specificalities on the risk management in project oriented company have been analyzed. The differences of risk management between project oriented company and non project oriented company include: the sources of the risks, the path of risks’ influence, the conjunction of risks, and the historical data, which are caused by the abroad use of the project management. All these differences determine the specificalities of the risk management subject, the risk management objective, the risk management target and the risk management methods, and further determine the special needs of the risk management system, such as organization, duty, cooperation, etc. And more importantly, all these specificalities turn the project risk management system into the key of the risk management system of the whole company. In the third part, the factors that will affect the efficiency of operation risk management and project risk management have been studied deeply. The results show that risk management tools, target, risk culture, organization arrangement, the support of leaders, and the communication are the key factors for operation risk management result. And the coordination with the company, the support of leaders, experience of the team, risk management procedure, target, the atmosphere of the team are the main six factors for the good result of project risk management. All these factors have to be embodied in the risk management system. In the fourth part, the author put forward project risk management system for project oriented company. On the basis of the analysis of the fundamental functions of the project risk management system of project oriented company, combing the specificialities of risk management of project oriented company, the author brings forward the system. The components include target, communication net, risk culture, tools and procedure, and project manager and team. In this system, the team is under the company’s direction, coordination, and monitor, and the interface between project and company is emphasized. The project risk must be managed for the strategy of the company. Project manager and the team are the basic organization for the project risk management, the achieving the strategy is the target, tools and procedures are the measures, and company risk management system is the basis of the project risk management system for the project oriented company. In the last part, the author brings forward the company risk management system suitable for the project-oriented-company. On the basis of the specificalities of the risk management and the risk management system suitable for the project oriented company, the author puts forward the model of the company risk management system. The organizations include CEO, risk management committee, internal auditing agency, risk management functional departments, project management office, consultants, and risk group, business departments, and project management team, etc. And risk culture, the united terms, and risk data base are the environment, the tools and procedures are the measures, and managing the whole risks faced by the company is the basic opinion.
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