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论文编号：	5695
作者编号：	2220110864
上传时间：	2013/12/2 15:58:01
中文题目：	国有投融资企业廉洁风险防控建设对策研究
英文题目：	State owned investment corporation and Countermeasures of prevention and control of construction risk
指导老师：	马连福
中文关键字：	国有投融资企业 廉洁风险 防控建设
英文关键字：	State owned Investment Corporation; Integrity risk; Prevention and control of construction
中文摘要：	我国自改革开放以来，到现在已经30多年了。在这30多年中，中国社会的各个层面都发生了前所未有的深刻历史性变化，中国的经济、政治、文化和社会建设都取得了前所未有的历史性进步。然而，在我们取得辉煌成就的同时，也出现许多新的问题，这些问题表现就是发展中的不平衡、不同步、不协调、不对称。在国有企业中体现在滥用职权、贪污、行贿受贿等方面。我们党提出推进物质文明、精神文明、政治文明、社会文明和生态文明共同发展，对于国有企业而言，对促进和推动社会的全面进步及和谐发展有着不可推卸的责任。现在，我国的改革已经直到了一个关键的时期，即所谓的涉入改革的深水区。这个时期是对取得成绩总结的时期，是吸取经验教训的时期，是对改革开放30多年来产生问题沉淀、纠治、解决的时期，是对以后的发展方向和目标作出选择及确定的时期。习主席在十八结束时对中外记者的讲话中强调：“打铁还要自身硬。”我国改革开放是没有历史先例可以作为参照，没有国外成功经验可以借鉴的前提下，要继续深入推进改革开放和经济建设，只有我们自身硬起来，大力反腐倡廉，加强党风廉政建设，认真深入实践群众路线，这样十八大的既定方针和目标才能顺利实施，“中国梦”才能顺利实现。这就是现在大力反腐倡廉，大抓党风廉政建设，认真深入实践群众路线的历史选择和时代要求。作为国有投融资企业而言，这就是推进廉洁风险防控机制建设的先决条件和最终目标。也是实现“中国梦”有力支持，同时也是实现“企业梦”、“职工梦”的重要保证。在经济环境竞争日益激烈化的今天，企业也好，组织也罢，要想取得成功，与行之有效的管理风险是离不开的。而不管是对于企业高层还是组织高层，掌握着决策权的同时要有与之匹配的风险管理。不管何时何地相较风险企业更加注重收入，是以企业内部可能存在的潜在的不利通常会被企业的管理层忽略。所以对风险的管理，要紧密结合长期的发展战略和不断变化的形势特点运用相应的办法。除了要有应对风险的战略和技术外，还要融汇贯通将其与整个管理过程中的每个节点结合起来时期流畅，并注重绩效控制好成本，才能有条不紊的应对风险管理中所面临的各方挑战。这就要求风险管理者需要更好地了解他们自己的企业存在的风险，才能更好的采取有效应对策略。廉洁风险与其自身的具体职务及任职岗位有着重要的联系，可以说，风险贯穿着权力运作的始终，具有客观、随机、高危、可预防、反复五个特征。首先是其客观性：用公家的时间、资源来服务于私人、以权谋私在当今的社会背景影响下已是常态，而无论是谁享有了权力都有可能利用这种权力来谋私，无形中增加了腐败发生的风险。其次是指风险的随机性：不管处在什么职务什么岗位，是直接掌握资源配置还是间接地可以参与，在风险贯彻始终的同时随时都可能有发生腐败行为的危险。第三方面是其具有高危性：千里之堤毁于蚁穴，任职岗位的廉洁风险可谓是牵一发而动全身，除了造成资源浪费及不合理的配置外还会损害企业及职工的利益，同时使企业在信誉方面造成不可估量的损失。第四方面是其具有可预防性：风险只是可能发生，并非必然发生。有针对性、有目的性地开展防控工作，就能减少廉洁风险变成现实伤害的可能性。第五方面是其具有反复性：风险不是一成不变的，随着客观因素的改变风险的程度和潜在危害性发生变化，是一个动态变化的。风险的发生，并非一次性就能解决，随着时间的推移会重新发生。全面推进廉洁风险防控机制建设是深入贯彻中纪委《加强廉洁风险防控建设指导意见》（中纪发〔2011〕42号）的重要指示，是全面的学习体会了我党十八大的精髓的重大体现，对提升我党党风廉政建设水平、提高我党反腐倡廉工作具有里程碑意义，也使得各级党组织、纪检监察机关加强了深化与学习。通过深入分析企业开展廉洁风险防控建设基本现状、存在的基本问题和开展运行中监管措施的不当、薄弱之处，进行了全面分析并防患于未然，从而形成了企业反腐倡廉科学化的运营与管理，将廉洁风险防控深入企业内部，使得企业反腐倡廉与企业发展相辅相成共同前进，对企业在科学发展观道路上和谐、稳健、快速发展具有实际意义和理论指导。随着中国特色社会主义市场经济的发展，国有投融资企业如雨后春笋般迅速增加，国有投融资企业是社会公共资源的重要组成部分，是国家政权建设不可缺少的物质基础。一方面承担了政府的公共服务的职能，另一方面在盘活国有资产，实现集中化管理方面也起着极其重要的作用。但是国有投融资企业在发展的同时，也面临着各种风险和挑战，因此，加强对国有投融资企业的监督管理是摆在企业领导人员面前的一项亟待解决的切实性问题。总之，企业廉洁风险防控建设工作是一项长期的系统工程，也是一项创新工作，需要循序渐进，逐步有效推进。只有认真按照中纪委、监察部的统一部署，结合企业生产经营实际和特点，把促进企业改革和生产经营作为工作的出发点和落脚点，采取多种措施，标本兼治，才能收到实效。本文以廉洁风险的概念为出发点，引申出企业廉洁风险，再由其定义及特征到廉洁风险防控的作用及意义、廉洁风险防控管理的概念及内涵，廉洁风险的类型。分析了国有投融资企业廉洁风险防控建设的基本现状，廉洁风险防控建设风险点及存在的问题。提出了廉洁风险防控的措施：抓好廉洁风险教育，提高风险防范意识；抓牢廉洁责任意识、加强制度执行力度；抓硬人才教育培养，健全干部队伍建设；抓实关键环节分析、完善有效预防机制；通过重视教育、完善体系、强化监督、狠抓管理等方式加强廉洁风险防控建设，确保权力在监督中行使，业务在阳光下操作，有效预防降低企业风险，确保国有资产保值增值。关键词：国有投融资企业 廉洁风险 防控建设
英文摘要：	It has been more than 30 years since the reform and opening up in China. During the 30 years and more, all levels of Chinese society has undergone unprecedented and profound historic changes. The economic, political, cultural and social construction in China has made unprecedented and historical progress. However, when we have made brilliant achievements, we also face many new problems. And the problems are reflected in the unbalanced, unsynchronized, uncoordinated and asymmetry development. As for the state-owned enterprises, the problems are reflected in the abuse of power, corruption, bribery and other aspects. The Communist Party of China has put forward to promote the common development of material civilization, spiritual civilization, political civilization, social civilization and ecological civilization. As for the state-owned enterprises, they have an inescapable responsibility for promoting and advancing the all-round progress and harmonious development of the society. At present, China's reform has been at a critical stage, that is to say, the so-called deep end of the reform. This period is a summary period of the achievements which has been made, a period of learning lessons, a period of precipitation, correction and solution of problems arising during more than 30 years’ reform and opening up, and a period of choosing and determining the future development direction and goals. At the end of the 18th National Congress of the Communist Party of China, Chairman Mr. Xi emphasized in his speech to domestic and foreign reporters: "To be turned into iron, the metal itself must be strong." We have no historical precedent or foreign successful experience which can be used as a reference during China's reform and opening up. Therefore, if we want to continue to push forward reform and opening up and economic development, we should toughen ourselves, vigorously combat corruption and build a clean government, strengthen the construction of the Party's working style and a clean & honest administration, and seriously go deep into and experience the mass line, so that we can successfully realize the designated policy and objective of the 18th National Congress of the Communist Party of China and "China dream". This is the historical choice and requirements of times of vigorously combating corruption and building a clean government, strengthening the construction of the Party's working style and a clean & honest administration and seriously going deep into and experiencing the mass line. As for a state-owned investment and financing company, it is a prerequisite for promoting the construction of clean risk control mechanism and the ultimate goal. It is also a strong support for achieving "China Dream" and important guarantee to achieve "Enterprise Dream" and "Employee Dream". In this increasingly competitive economic environment, both for enterprises and organizations, their success can’t separate from their effective risk management. No matter senior administrators in a company or senior administrators in an organization should have not only the decision-making power but also the risk management in match with it. The risk enterprises pay more attention to income regardless of when and where. As the potential adverse usually existing within the enterprise may be ignored by the administrators of the enterprise. Therefore, the management of risk should be closely combined with the long-term development strategy and changing situation characteristics through the appropriate approach. Besides strategies and technologies to deal with the risk, we need to master it and combine it with each node of the entire management process and focus on performance and good cost control to methodically face the various challenges of risk management. It requires the risk managers to better understand the risks of their own corporate in order to better take effective measures and strategies. Integrity risk has important links with its own specific duties and job position, that is to say, risk is always throughout the operation of power, and it has five characteristics of the objectivity, randomness, high risk, preventability and repeatability. The first characteristic is its objectivity: making use of public time and resources to serve privately and abusing one’s power for personal gains greatly influence today's society, which has become common thing. Regardless of who is entitled to the power is likely to use this power to seek personal gains, which has potentially increased the risk of corruption. The second characteristic is randomness o risk: no matter in what position or post they are, directly control the allocation of resources or indirectly can participate in, while there may be danger of corruption throughout the risk. The third characteristic is its high risk: one ant hole may cause the collapse of a thousand li dike. The integrity risk of any professional post can be described like that pull one hair and the whole body is affected. In addition to causing an unreasonable allocation of resources and resource waste, it would damage the interests of the companies and employees, and it may also cause incalculable damage in terms of credibility of the enterprises at the same time. The fourth characteristic is its preventability: risk just might happen but not will necessarily occur. Targeted and purposeful implementation of prevention and control work can reduce the possibility of integrity risk turning into real injury. The fifth characteristic is its repeatability: the risk is not static. The extent of the risks and potential dangers will change according to objective factors, and it is a dynamic change. We can’t solve the occurrence of the risk at one go, and the risk will occur again as time goes by. Based on the concept of integrity risk as the starting point, the enterprise and risk, the definition and characteristics of the concept and connotation of clean risk prevention and control function and meaning, and risk management, and risk of type. Analysis of the basic situation of the state-owned enterprise financing and risk prevention and control construction, the construction of the risk and risk prevention and control and the existing problems. The clean risk prevention and control measures: to clean fingered risk education, improve risk prevention awareness, strengthen the sense of responsibility; hold clean system enforcement; catch hard talent education and training, and improve the building of the contingent of cadres; analysis, key to realistically effective prevention mechanism and risk prevention and control; strengthen the construction through education, perfect the system, strengthen supervision, pay close attention to management, ensure that power in the supervision of exercising, business operation in the sunshine, effectively reduce the risk of enterprises, to ensure the maintenance and appreciation of state-owned assets. Keywords: State owned Investment Corporation; Integrity risk; Prevention and control of construction
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