I 摘要 2014 年 10 月，中共十八届四中全会召开，首次以全会的形式，专题研究和部 署全面推进依法治国，而全面依法治企是全面依法治国的重要组成部分。对于涉 及法律规范幅度较宽，经营法律关系较为复杂的建筑施工类企业，依法治企显得 更为迫切和重要。在上个世纪后期，国有建筑企业都带有极其浓烈的计划经济色 彩，任务分配是项目承接的来源，行政命令是项目管理的方式，整个生产链条中 看不到任何“现代法治”的影子。本世纪初，随着市场经济全面席卷整个行业，工程 任务开始需要自找，生产要素必须依赖组合，管理介质全都变成合约，而已有的 企业内在管理资源中找不到与其相匹配的成份。 为了适应市场的新变化，以最大化刺激人的主观能动性为目的的“内部承包”、 “挂靠经营”等经营模式被建筑企业广泛应用，带来了建筑市场的高度活跃，但也诱 发了建筑行业的各种乱象。巨大的经营风险难以用一纸责任书实现转移；巨大的 利益趋动让一些承包人穿破道德底线，与供应商联合挖企业的墙角，甚至是卷款 跑路。这两种经营模式是建立在对产品特征缺少全面的客观分析，对管理活动缺 少必要的科学评价，对权力运行缺少应有的制度规范的基础之上的，是典型的“人 治思维”管理，直接的后果是造成了企业在内部权力分配上的权责不对等和合同权 利、义务的不匹配。 本案例阐述的背景故事正是WY集团有限公司在面对市场经济的外在冲击时， 不当地选择了内部承包式和挂靠经营式的企业经营模式，并因此而遭遇了滑铁泸 式的下行危机和四面楚歌的债务危机的经历。在这样的背景基础上，WY 集团有限 公司开始思考究竟什么样的经营模式才是适合于企业的，企业究竟需要什么样的 管理理念、管理方法、管理流程和组织架构，是采取“集权”管控，还是继续“授权” 承包，是继续延续“人情化”、“随机化”管理传统，还是全面推行“制度化”、“合规 化”管理体系。最终，WY 集团有限公司新任总经理、法律专业毕业的程强先生给 出了答案。他认为，缺少制度理念和法治规范，导致权力的无原则授让与权利的 无节制滥用是问题发生的根本原因。为此，在他的引领下，WY 集团有限公司从组 建自己的法律事务部和法律专业团队入手，果断运用法律手段积极应诉，成功破 解债务危机；进而以法律思维为引领，客观科学地分析了行业的内外部特征，深 度挖崛被诉案件频发的原因，查找企业组织体系、管理活动中存在的问题，以权 力制衡、权责相当、权责法定、程序法定的法治化授权理念引导企业实施集权式 组织模式再造，将签约权、成本控制权、资金调配权等关键性权力从项目部剥离。摘要 II 与此同时，以合同为抓手、为主线，布局法律风险控制体系，重树企业管理流程， 并配套修订企业管理制度，完善企业经营制度保障体系和监督防范体系，全面打 造法商行为准则，持续培育企业法商文化，实现法商融合。最终，程强先生带领 企业摆脱困境，走向了健康、可持续的全面发展之路。企业产值、利润、资产连 续十几年保持高位增长，成为了同类企业学习的典范。 关键词，依法治企，法商融合，合同管理，组织再造ABSTRACT III ABSTRACT In October 2014, the Fourth Plenary Session of the Eighteenth Central Committee of the Communist Party of China (CPC) was held. For the first time, in the form of the Plenary Session, thematic research and deployment were carried out to promote the rule of law in an all-round way. And comprehensively managing enterprises according to law is an important part of overall rule of law. It is more urgent and important to manage enterprises according to law, especially those construction enterprises which involve a wide range of legal norms and operate complicated legal relations. In the late last century, state-owned construction enterprises have a very strong color of planned economy, task allocation is the source of project undertaking, administrative order is the way of project management, no traces of modern rule of law can be found in the whole production chain. At the beginning of this century, with the market economy sweeping across the entire industry, engineering tasks began to be self-searched, production factors must rely on combination, management media are all turned into contracts, and the existing internal management resources of enterprises can not find a matching component. In order to adapt to the new changes in the market, the management modes such as internal contract and affiliated management, which aim to maximize the stimulation of subjective initiative, have been widely used by construction enterprises, bringing about a highly active construction market, but also causing various disorders in the construction industry. Great business risks are difficult to shift with a paper liability; great interest make some contractors break through the bottom line of morality, joint with suppliers to poach from the enterprise, or even abscond with the funds. These two modes of operation are based on the lack of comprehensive and objective analysis of product characteristics, the lack of necessary scientific evaluation of management activities, and the lack of proper institutional norms for the operation of power. They are typical rule by man management. The direct consequence is the unequal distribution of power and responsibility, and mismatch of contractual rights and obligations. The background story of this case is WY Group Co., Ltd. in the face of external shocks of the market economy, improper choice of internal contracting and affiliated management mode of enterprise management, and thus encountered the downwardABSTRACT IV crisis of Waterloo-style and the experience of debt crisis in all directions. In this context, WY Group Limited began to think about what kind of business model is suitable for the enterprise. what kind of management concept, management methods, management process and organizational structure do the enterprise needsShould the company adopt centralized control or continue to authorized contractingShould the company adhere to the tradition of humanization and randomization management, or fully implement the institutionalization and compliance management system in an all-round wayEventually, Mr. Cheng Qiang, the new general manager of WY Group Co., Ltd. and a graduate of law major, answered these questions. He believes that the lack of the concept of the rule of law and norms of the rule of law, leading to the unprincipled transfer of power and unrestrained abuse of rights, which is the root cause of the problem. To this end, under his leadership, WY Group Co.Limited started with the establishment of its own legal affairs department and legal professional team, resolutely using legal means to actively respond to litigation and successfully solving the debt crisis. By legal thinking, then objectively and scientifically analysed the internal and external characteristics of the industry, in-depth excavation of the causes of frequent litigation cases, and find problems in enterprise organization and management activities. What had to be done were to guide enterprises to reengineer centralized organizational model with the concept of legalized authorization of power balance, power and responsibility equivalence, power and responsibility legality and procedure legality. Key powers such as contract right, cost control right and fund allocation right are separated from the project department. At the same time, taking contract as the main line, it should lay out the legal risk control system, reestablish the business management process, revise the business management system, improve the guarantee system and supervision and prevention system of the business management system, comprehensively build the code of conduct for jurisprudence and business, continuously cultivate legal business culture, and realize the integration of law and business. Finally, Mr. Cheng Qiang led the enterprises out of the predicament and moved towards a healthy, sustainable and comprehensive development road. The output value, profit and assets of enterprises have kept high growth for more than ten years, which has become a model for similar enterprises to learn. Key words: rule by law, integration of law and business, contract management, organization reengineering目录 V 目录 第一章 引言.................................................................................................................... 1 1.1 案例研究的背景及意义 .................................................................................... 1 1.2 需待解决的问题及方法 .................................................................................... 1 1.3 案例研究的框架及结论 .................................................................................... 2 第二章 案例主体............................................................................................................ 4 2.1 企业基本情况 .................................................................................................... 4 2.2 问题发生时的行业背景 .................................................................................... 4 2.3 企业面临的困境 ................................................................................................ 4 2.4 分析问题产生的原因 ........................................................................................ 5 2.4.1 思考现象背后的本质 .............................................................................. 5 2.4.2 原有的体系和模式存在的问题 .............................................................. 7 2.5 具体措施与执行情况 ........................................................................................ 8 2.5.1 实施组织再造 .......................................................................................... 8 2.5.2 完善法律事务组织体系 .......................................................................... 9 2.5.3 加强管理集权 ........................................................................................ 10 2.5.4 以合同为主线设定管理流程 ................................................................ 10 2.5.5 修订管理制度 .........................................................................................11 2.5.6 执行与反馈 ............................................................................................ 14 2.6 取得的成效与后续安排 .................................................................................. 16 2.6.1 高质量的发展成效 ................................................................................ 16 2.6.2 继续完善与改进 .................................................................................... 20 第三章 案例分析.......................................................................................................... 22 3.1 全面依法治国背景下法商融合的意义及内涵 .............................................. 22 3.1.1 依法治企是社会主义市场经济对企业的必然要求 ............................ 22 3.1.2 合规治理是依法治企的内在基石与前提 .......................................... 23 3.1.3 扶业兴商是合规治理的行为方向与目标 ............................................ 23 3.2 集中治权是法商融合下的组织配置 .............................................................. 24 3.2.1 建筑企业常见的“授权”管理................................................................. 24 3.2.2 授权应当遵循怎样的规则 .................................................................... 25 3.2.3 建筑企业集权管理的必要性 ................................................................ 26目录 VI 3.2.4 建筑企业集权管理的法治内涵 ............................................................ 27 3.2.5 集权管理下的权力制衡 ........................................................................ 28 3.3 合同管理是法商融合的关键环节 .................................................................. 30 3.3.1 契约精神就是法商精神 ........................................................................ 30 3.3.2 合同是商业意志的法律载体 ................................................................ 31 3.3.3 正确认识合同主体地位平等 ................................................................ 31 3.3.4 合同管理是对合同权利与义务的管理 ................................................ 32 3.3.5 重视信守合约的商业价值 .................................................................... 33 3.4 制度建设是法商融合的有效保障 .................................................................. 34 3.4.1 依法治企需要构建科学完备的制度体系 ............................................ 34 3.4.2 内部控制基本制度确立了企业的法治架构 ........................................ 34 3.4.3 合同管理制度健全了企业依法治企新流程 ........................................ 37 3.5 监督预防是法商融合的执行保证 .................................................................. 38 3.5.1 管理监督的法律属性 ............................................................................ 38 3.5.2 内部审计的作用与分类 ........................................................................ 38 3.5.3 WY 集团内部审计的亮点...................................................................... 39 3.5.4 WY 集团监察工作的亮点...................................................................... 39 3.5.5 监督预防的要点及意义 ........................................................................ 39 3.6 企业法律顾问队伍是法商融合的中坚力量 .................................................. 40 3.6.1 企业法律顾问存在的现实意义 ............................................................ 40 3.6.2 企业法律顾问的使命 ............................................................................ 41 3.6.3 企业法律顾问应当具备的基本素质 .................................................... 41 3.7 管理标准是法商融合的文化沉淀 .................................................................. 42 3.7.1 法商融合最终体现于法商文化 ............................................................ 42 3.7.2 营造法商文化离不开统一的行为标准 ................................................ 42 3.7.3 法商准则应在企业法律人主导下制定 ................................................ 43 3.8 不忘商业的本质是法商融合的最终归宿 ...................................................... 43 3.8.1 什么是商业的本质 ................................................................................ 43 3.8.2 法与商的关系是管理与经营的关系 .................................................... 43 3.8.3 全面扫除法与商的对立“死角”............................................................. 44 第四章 结论与启示...................................................................................................... 45 致谢................................................................................................................................ 47