业务流程再造（Business Process Re-engineering，BPR）理论是上一世纪 90 年代非常热门的企业管理理论，在当时世界各国的大型企业有着广泛的应用。福 特公司、AT＆T、IBM 等美国著名公司是最先实施流程再造的企业，它们通过实 施流程再造实现了企业管理水平以及绩效的大幅提升，取得了空前的成功，由此 也引起了国内外众多企业的效仿。经过二十多年的发展，业务流程再造理论在众 多的管理学者的努力及企业的实践中逐渐成熟，成为改善企业经营能力，提高企 业竞争力的有效理论之一。深证通公司是深圳证券交易所旗下控股的子公司，肩 负着深圳股票交易市场的通信基础设施建设和维护的重任，是深圳证券市场不可 或缺的组成部分。由于深证通公司是个典型的技术公司，历来重视系统研发和运 维而对业务流程关注不够，公司对外业务管理水平与业务快速发展现状并不匹 配，对外业务办理信息化水平也不高，存在对外业务流程效率低、管理不清晰以 及业务数据不准确等问题，对公司的发展形成了制约。 本文以深证通对外业务流程为研究对象，结合业务流程再造理论探究其优化 方案。首先对公司的整体情况进行介绍，通过对公司领导、业务部门负责人、业 务骨干的调研，梳理出目前深证通对外业务流程的现状，并总结出对外业务在组 织架构和流程方面存在的问题。然后再从流程层面和流程内部两个方面，对公司 对外业务流程中三大关键流程：合同签订流程、业务办理流程、收费流程进行分 析，运用鱼骨图分析法找出存在的问题以及产生的原因。接着根据深证通实际情 况提出流程优化的目标和原则，再运用流程再设计方法给出新流程的优化方案以 及相应的组织架构优化方案。最后提出深证通对外业务流程再造实施的详细步骤 以及保障措施。 本文的研究成果应用于深证通公司业务流程再造，可达到提高公司业务办理 效率，提升公司管理水平以及客户服务水平的目的，实现公司竞争力的提升。同 时，本研究也可以为准备实施流程再造的企业提供借鉴与参考。 关键词：BPR，业务流程再造，信息化，证券II BUSINESS PROCESS DESIGN OF SSCC COMPANY BASED ON BPR THEORY Abstract Business process reengineering (BPR) theory is a very popular enterprise management theory in the 1990s. It has been widely used in large enterprises all over the world at that time. Ford, AT&T, IBM and other famous American companies are the first enterprises to implement BPR. Through BPR, they have achieved a great improvement in enterprise management level and performance, and achieved unprecedented success, which has also caused many enterprises at home and abroad to follow. After more than 20 years of development, BPR theory has gradually matured in the efforts of many management scholars and in the practice of enterprises, and has become one of the effective theories to improve the business ability and competitiveness of enterprises. Shenzhen Securities Communication Co.,Ltd.(SSCC) is a subsidiary of Shenzhen Stock Exchange, which is responsible for the construction and maintenance of communication infrastructure in Shenzhen Stock Exchange and an indispensable part of Shenzhen securities market. As SSCC company is a typical technology company, it always pays more attention to system development and operation than business. Its business management level does not match the current situation of rapid development of business, and its business management information level is not high. There are some problems such as low efficiency of business process, unclear management and inaccurate business data, which restrict the development of the company. This paper mainly takes the business process of SSCC company as the research object, and combines the business process reengineering theory to explore its optimization scheme. Firstly, the overall situation of the company is introduced. Through the investigation of company leaders, business department leaders and business backbone, the current situation of SSCC's business process is sorted out, and the existing problems in the organizational structure and process of business are summarized. Then from the two aspects of process level and internal process, the paper analyses the three core processes of SSCC's business process: contract signing process, business processing process and charging process, and uses Fishbone Diagram to find out the existing problems and the causes. Then, according to the theory of business process reengineering, the objectives and principles of process optimization are put forward. Then, the optimizationIII scheme of new process and the corresponding optimization scheme of organizational structure are given by using process redesign method. Finally, it puts forward the detailed steps and safeguard measures for the implementation of business process reengineering in SSCC company. The results of this study applied to business process reengineering of SSCC company can achieve the purpose of improving the efficiency of business management, improving the level of company management and customer service, and enhancing the competitiveness of the company. At the same time, this study can also provide reference for enterprises preparing to implement BPR. Keywords: BPR,Business process reengineering,Informationization,SecuritiesIV 目 录 中文摘要 ...............................................I Abstract ............................................... II 第一章 绪 论...........................................1 1.1 研究背景与意义 ................................... 1 1.1.1 研究背景 ..........................................................................................1 1.1.2 研究意义 ..........................................................................................2 1.2 研究内容 ......................................... 2 1.3 研究方法 ......................................... 3 1.3.1 访谈调查法 ......................................................................................3 1.3.2 文献研究法 ......................................................................................3 1.3.3 鱼骨分析法 ......................................................................................4 1.3.4 ESIA 分析法 .....................................................................................4 1.4 研究思路 ......................................... 5 第二章 相关理论........................................6 2.1 BPR 理论 ......................................... 6 2.1.1 BPR 理论定义...................................................................................6 2.1.2 BPR 理论发展历程...........................................................................6 2.1.3 BPR 理论实施方法...........................................................................7 2.1.4 BPR 实施步骤...................................................................................7 2.1.5 BPR 实施原则...................................................................................8 2.1.6 BPR 流程再设计方法.......................................................................9 2.2 BPM 理论 ........................................ 10 2.3 信息化理论 ...................................... 10 2.3.1 信息化理论定义 ............................................................................10 2.3.2 信息化在 BPR 中的作用...............................................................11 第三章 深证通对外业务办理流程现状.....................13 3.1 公司概况 ........................................ 13V 3.1.1 深证通组织架构 ............................................................................13 3.1.2 深证通人力资源概况 ....................................................................14 3.1.3 深证通主营业务 ............................................................................15 3.1.4 深证通信息化概况 ........................................................................17 3.2 深证通对外业务流程现状........................... 19 3.2.1 对外业务办理流程概览 ................................................................19 3.2.2 合同管理流程现状 ........................................................................21 3.2.3 各产品线业务办理流程现状 ........................................................21 3.2.4 收费管理流程现状 ........................................................................24 3.3 深证通对外业务流程存在的问题 .................... 24 3.3.1 深证通对外业务组织架构方面的问题 ........................................24 3.3.2 对外业务流程存在的问题 ............................................................25 第四章 深证通对外业务流程分析.........................27 4.1 对外业务流程分析目标 ............................ 27 4.2 对外业务流程分析对象 ............................ 27 4.3 流程层面分析 .................................... 28 4.4 流程内部分析 .................................... 29 4.4.1 合同签订流程分析 ........................................................................29 4.4.2 对外业务办理流程分析 ................................................................31 4.4.3 收费流程分析 ................................................................................33 第五章 深证通对外业务流程优化方案设计.................35 5.1 对外业务流程优化目标与原则 ...................... 35 5.1.1 优化目标 ........................................................................................35 5.1.2 优化原则 ........................................................................................35 5.2 深证通对外业务流程优化设计 ...................... 36 5.2.1 对外业务流程优化设计总述 ........................................................36 5.2.2 建立客户信息管理流程 ................................................................37 5.2.3 建立收费账单预审流程 ................................................................38 5.2.4 合同签订流程优化设计 ................................................................38 5.2.5 对外业务办理流程优化设计 ........................................................39 5.2.6 收费流程优化设计 ........................................................................40VI 5.3 组织架构优化设计 ................................ 42 第六章 方案实施与保障措施.............................43 6.1 方案的实施 ...................................... 43 6.1.1 流程再造实施步骤 ........................................................................43 6.1.2 方案实施计划 ................................................................................45 6.2 保障措施 ........................................ 45 6.2.1 取得公司上下的支持 ....................................................................46 6.2.2 明确流程责任人 ............................................................................47 6.2.3 修订相关管理制度 ........................................................................48 6.2.4 建立配套的绩效考核机制 ............................................................48 6.2.5 完善信息化系统建设 ....................................................................49 第七章 结 论..........................................50 7.1 主要结论 ........................................ 50 7.2 研究展望 ........................................ 50