I 摘要 随着党中央对国资改革的力度不断增强，有史以来对国有经济的重视程度空前，对 国有企业提升价值创造能力，进一步做大做强的要求越来越高，大型企业集团间的重组 整合成为一种国资改革的常用模式，这就需要研究适合于重组整合后的企业的区域管控 模式。这对企业管理，特别是管控模式提出了新的更高要求。 国家能源投资集团是由神华集团和中国国电集团重组整合的超大型能源企业，资产 规模巨大、产业类型众多，区域跨度大，虽然总部已经实现平稳过渡，但正面临着如何 对现有的区域内的企业进行整合，如何选择区域管控模式的现实问题。 本文以国家能源集团新疆区域的管控模式为研究主题，运用管控模式的相关理论原 理和分析工具，分析了影响管控模式的主要因素，在充分理解党中央、国家对新疆的定 位、国家能源集团对新疆公司的战略要求，客观研判国家能源集团新疆区域管控现状的 基础上，提出了区域管控的四种模式，即专业型、专业矩阵型、区域矩阵型、区域型， 阐述了国家能源集团新疆公司采用“战略管控与运营管控”相结合的区域型管控模式的 原因，明确了区域公司是决策指挥中心、利润中心和管理主体，分析了区域型管控模式 的特质、主要内容和优缺点，提出了区域公司的目标、定位和产业布局，设计了区域公 司的治理体系、组织结构和部门设置，并在区域重组整合的实施方式、重点工作和保障 措施等方面提出了一揽子具体建议。笔者希望通过对区域管控模式的应用研究，能为我 国大型企业集团重组整合的区域管控模式选择提供参考。 关键词，重组整合，管控模式，能源企业 研究类型，应用研究西北大学硕士学位论文 II ABSTRACT With the gradual deepening of the CPC Central Committee's reform of state-owned capital, unprecedented attention has been paid to the state-owned economy throughout history,more and more demands are being made on state-owned enterprises to enhance their ability to create value and to do more, the reorganization and integration of large enterprise groups has become a common mode of state-owned reform, which needs to study the regional control model suitable for the reorganization and integration of enterprises.This has put forward new and higher requirements for business management, especially the control model. China Energy Investment Corporation，is a super-large energy company reorganized and integrated by Shenhua Group and China Guodian Corporation，whose assets are huge, types of industries are numerous, and the regional span is large. Although the headquarters has achieved a smooth transition, it is facing how to integrate enterprises in existing area and how to choose realistic issue of the regional control model. This paper focuses on the control model of the Xinjiang region of the China Energy Investment Corporation, uses the relevant theory and analysis tools of the management and control model,and analyzes the main factors affecting the control model.Based on a full understanding of the position of the CPC Central Committee and the state to Xinjiang, the strategic requirements of the China Energy Investment Corporation for subsidiary company of Xinjiang ,objectively judging the current situation of regional control and control of the China Energy Investment Corporation in Xinjiang, four models of regional control have been put forward,which is specialized type, professional matrix type,regional matrix type,regional type.The paper describs the reasons for adopting the combination of strategic control and operation control in the Xinjiang region by the National Energy Investment Group, makes it clear that the regional company is the decision-making command center, profit center and management mainstay, analyzes the characteristics, main contents, advantages and disadvantages of the regional control model, and puts forward the goals, positioning and industrial layout of the regional company,and gives organizational structure and departmental setting of regional companies,and design the governance system,and makes a package of suggestions on the implementation mode, key work and safeguard measures of regionalABSTRACT III reorganization and integration.The author hopes that through the application of the regional control model, which can provide reference for the choice of regional control model for the reorganization and integration of large enterprise groups in China. Keywords ， Reorganization and integration ， Management and control mode ， Energy enterprises Research Type，application research西北大学硕士学位论文 IV 目 录 摘要...................................................................................................................................I ABSTRACT.......................................................................................................................II 目 录................................................................................................................................IV 第一章 绪论.................................................................................................................... 1 1.1 研究背景与意义 ..................................................................................................... 1 1.1.1 选题背景.......................................................................................................... 1 1.1.2 选题意义.......................................................................................................... 2 1.2 研究思路及方法 ..................................................................................................... 3 1.2.1 研究思路.......................................................................................................... 3 1.2.2 研究方法.......................................................................................................... 3 1.3 研究内容 ................................................................................................................. 3 1.4 本文贡献 ................................................................................................................. 4 第二章 企业管控模式的理论和实践.............................................................................. 5 2.1 集团管控和管控模式 ............................................................................................. 5 2.2 管控模式的影响因素 ............................................................................................. 7 2.3 企业管控模式的主要类型及比较 ......................................................................... 8 2.3.1 财务管控型...................................................................................................... 8 2.3.2 战略管控型...................................................................................................... 8 2.3.3 运营管控型...................................................................................................... 9 2.3.4 三种管控模式的综合比较.............................................................................. 9 2.4 能源企业集团已有管控模式类型 ....................................................................... 12 2.4.1 和记黄埔、华润集团----财务管控型 .......................................................... 12 2.4.2 英国石油、埃克森美孚----战略管控型 ...................................................... 12 2.4.3 中国国电集团公司、神华集团----运营管控型 .......................................... 14 第三章 国家能源集团区域管控现状、存在问题及成因............................................ 16 3.1 管控模式选择必要性分析 ................................................................................... 16 3.1.1 中央要求与国家需要.................................................................................... 16目 录 V 3.1.2 新疆地方经济与社会发展需要 ....................................................................17 3.1.3 企业自身发展需要 ........................................................................................18 3.2 国家能源集团新疆区域管控活动的现状............................................................18 3.3 国家能源集团新疆区域既有管控活动存在的问题............................................19 3.3.1 合而不同，各自为战 ....................................................................................19 3.3.2 内部竞争互相制约 ........................................................................................20 3.3.3 内部交易成本高 ............................................................................................20 3.3.4 市场影响力低 ................................................................................................21 3.3.5 对地方政府影响力不高 ................................................................................21 3.4 国家能源集团既有管控活动存在问题的成因分析............................................21 3.4.1 历史成因 ........................................................................................................21 3.4.2 政策成因 ........................................................................................................22 3.4.3 企业战略成因 ................................................................................................23 第四章 国家能源集团新疆地区管控模式选择............................................................24 4.1 管控模式选择影响因素分析................................................................................24 4.1.1 党中央、国家、自治区对新疆的区域定位 ................................................24 4.1.2 党中央、国家对国家能源集团的企业定位 ................................................24 4.1.3 国家能源集团新疆企业的自身功能定位 ....................................................25 4.1.4 国家能源集团在新疆的公司集分权状况 ....................................................25 4.2 区域竞争需要........................................................................................................26 4.3 管控模式的具体选择............................................................................................27 4.3.1 现有管控理论与实际结合的创新 ................................................................27 4.3.2 四种区域管控模式对比 ................................................................................27 4.3.3 国家能源集团新疆管控模式的选择 ............................................................31 第五章 国家能源集团新疆地区管控模式的运行保障................................................36 5.1 思想观念准备........................................................................................................36 5.2 过渡期间的重点工作安排....................................................................................37 5.2.1 人事冻结 ........................................................................................................37 5.2.2 严控物资招标 ................................................................................................37 5.3 周密筹划与分阶段实施........................................................................................37西北大学硕士学位论文 VI 5.4 制度保障 ............................................................................................................... 38 第六章 结论与进一步研究建议.................................................................................... 40 6.1 结论 ....................................................................................................................... 40 6.2 进一步研究的建议 ............................................................................................... 40