现代企业的经济往来，主要是通过合同的形式进行的，合同既是利润源， 也是风险源。合同管理工作不仅要保障我方合法利益的顺利实现，更要防患于 未然，预防合同纠纷的发生，是企业法律工作的中心内容之一。合同管理涵盖 自选商、谈判、签订、履行直至终结等各个环节，合同风险也贯穿于合同管理 的每个环节。合同风险管理是否规范、科学是衡量企业管理水平的标准之一， 合同风险管理的完善程度能够充分地反映出企业的真实管理水平。因此，建立 科学规范的合同风险管理体系对企业至关重要。中国石化 H 公司是隶属于中国 石化销售有限公司的省级油品销售分公司，其市场交易频率高，业务特有的高 危、高风险特质决定了合同风险管理在维护其企业自身利益中的重要性。 本文以 H 公司合同风险管理情况作为研究对象，在对 H 公司的合同风险管 理现状介绍的基础上，通过文献研究法、案例分析法、调查问卷法对合同风险 管理存在的问题及产生原因进行深入分析，提出构建一套科学的合同风险管理 体系，阐述了设计的目标和原则。从合同风险管理制度、合同风险管理流程、 合同风险管理内容三个方面设计合同风险管理体系框架。将合同风险管理具体 内容划分为合同管理层面风险及合同法律层面风险，分别进行识别、评估和防 控对策设计，对合同管理风险防控设计包含了组织机构、人力资源、管理制度、 业务流程、信息系统风险防控五个方面的防控措施设计，对合同法律风险防控 设计包含了合同准备阶段、合同订立阶段、合同履行阶段、合同终结阶段法律 风险防控四个方面的防控措施设计。最后，从五个方面提出配套 H 公司合同风 险管理体系实施的保障措施，确保管理体系有效推进实施。 通过本文的研究，有助于清晰地认识到 H 公司合同风险管理存在的问题， 为 H 公司合同风险管理体系提供系统的构建方案，对提高 H 公司合同风险管理 能力、保障 H 公司依法合规健康发展提供有益的借鉴。同时，希望通过本文的 研究，能够为其他石化企业的合同风险管理体系构建提供一定的参考。 关键词，合同管理；风险管理；体系构建哈尔滨工业大学工商管理硕士学位论文 II Abstract The economic exchange of modern enterprises is mainly carried out through the form of contract, which is not only the source of profits, but also the source of risks. Contract management should not only protect the realization of our legitimate interests, but also prevent the occurrence of contract disputes, which is one of the central contents of the legal work of enterprises. Contract management covers all aspects of choosing partners, negotiation, signing, fulfillment and ending. Contract risk also runs through all aspects of contract management. Whether the contract risk management is standardized and scientific is one of the standards to measure the level of enterprise management. The perfection degree of contract risk management can fully reflect the real management level of the enterprise. Therefore, the establishment of a scientific and standardized contract risk management system is of vital importance to enterprises. Sinopec H Company is a provincial oil sales branch affiliated with Sinopec Sales Co., Ltd. Its market trading frequency is high. The unique high-risk characteristics determine the importance of contract risk management in safeguarding the interests of its own enterprises. Based on the introduction of the contract risk management of H company, this paper makes an in-depth analysis of the problems and causes of contract risk management through literature research method, case analysis method and questionnaire method, and puts forward the construction of a set of scientific contract risk management system. The objectives and principles of the construction are expounded. The contract risk management system framework is designed from three aspects of contract risk management institution, contract risk management process and contract risk management content. The specific contents of contract risk management content are divided into contract management risk and contract legal risk. The risk recognition, assessment, prevention and control design are carried out respectively. The design of risk prevention and control of contract management includes five aspects of organizational structure, human resources, management system, business process and information system. The design of contract legal risk prevention and control includes four aspects of contract preparation stage, contract formation stage, contract fulfillment stage and contract termination stage. Finally, the implementation of H company contract risk management system safeguard哈尔滨工业大学工商管理硕士学位论文 III measures are put forward from five aspects, which ensures that the management system is promoted and implemented effectively. This study helps to understand the problems of H company contract risk management clearly. A systematic construction plan is provided for H company contract risk management system, which provides useful guidance and reference of improving the ability of H company contract risk management, and ensuring healthy development according to law compliance of H company. Moreover, it is hoped that through the research of this paper, it can provide some reference for the construction of contract risk management system in other petroleum and petrochemical companies. Keywords: Contract Management, Risk Management, System Construction哈尔滨工业大学工商管理硕士学位论文 IV 目 录 摘要......................................................................................................................I ABSTRACT ........................................................................................................... II 第 1 章 绪 论 .........................................................................................................1 1.1 研究背景目的与意义 ................................................................................... 1 1.1.1 研究背景................................................................................................. 1 1.1.2 研究目的................................................................................................. 1 1.1.3 研究意义................................................................................................. 2 1.2 国内外相关研究综述 ................................................................................... 2 1.2.1 国外研究现状 ......................................................................................... 2 1.2.2 国内研究现状 ......................................................................................... 5 1.2.3 国内外研究现状综述 ............................................................................. 6 1.3 本文研究内容及研究方法............................................................................ 7 1.3.1 研究内容................................................................................................. 7 1.3.2 研究方法................................................................................................. 8 第 2 章 H 公司合同风险管理现状及问题原因分析 .............................................9 2.1 H 公司概况.................................................................................................... 9 2.1.1 公司简介................................................................................................. 9 2.1.2 公司组织架构 ......................................................................................... 9 2.1.3 公司合同概况 ....................................................................................... 11 2.2 H 公司合同风险管理现状........................................................................... 12 2.2.1 组织机构设置 ....................................................................................... 12 2.2.2 人力资源情况 ....................................................................................... 14 2.2.3 合同管理制度 ....................................................................................... 14 2.2.4 合同管理业务流程 ............................................................................... 14 2.2.5 合同基础事务管理 ............................................................................... 15 2.2.6 合同检查监督情况 ............................................................................... 16 2.2.7 合同生命周期的风险管理.................................................................... 16 2.3 H 公司合同风险管理现状问卷调查 ........................................................... 17 2.3.1 调查问卷设计 ....................................................................................... 17 2.3.2 调查问卷统计 ....................................................................................... 17 2.4 H 公司合同风险管理存在的问题 ............................................................... 24哈尔滨工业大学工商管理硕士学位论文 V 2.4.1 组织机构设置不合理 ........................................................................... 24 2.4.2 队伍建设不专业 ................................................................................... 24 2.4.3 管理制度不健全 ................................................................................... 25 2.4.4 业务流程不完善 ................................................................................... 26 2.4.5 合同基础事务管理薄弱 ....................................................................... 27 2.4.6 缺乏对合同的检查监督与考核 ............................................................ 28 2.4.7 对合同生命周期的风险管理不到位 .................................................... 29 2.5 H 公司合同风险管理存在的问题原因分析................................................ 29 2.5.1 内部原因分析 ....................................................................................... 29 2.5.2 外部原因分析 ....................................................................................... 30 2.6 本章小结 ..................................................................................................... 31 第 3 章 H 公司合同风险管理体系构建...............................................................32 3.1 合同风险管理体系设计目标、原则与框架 ............................................... 32 3.1.1 设计思路............................................................................................... 32 3.1.2 设计目标............................................................................................... 32 3.1.3 设计原则............................................................................................... 32 3.1.4 体系框架............................................................................................... 33 3.2 合同风险管理制度设计 .............................................................................. 33 3.3 合同风险管理流程设计 .............................................................................. 34 3.4 合同管理层面风险管理内容设计 ............................................................... 35 3.4.1 合同管理风险识别与评估.................................................................... 35 3.4.2 组织机构风险防控 ............................................................................... 38 3.4.2 人力资源风险防控 ............................................................................... 40 3.4.3 合同制度风险防控 ............................................................................... 42 3.4.4 业务流程风险防控 ............................................................................... 43 3.4.5 信息系统风险防控 ............................................................................... 45 3.5 合同法律层面风险管理内容设计 ............................................................... 46 3.5.1 合同法律风险识别与评估.................................................................... 46 3.5.2 合同准备阶段风险防控 ....................................................................... 47 3.5.3 合同订立阶段风险防控 ....................................................................... 48 3.5.4 合同履行阶段风险防控 ....................................................................... 49 3.5.5 合同终结阶段风险防控 ....................................................................... 50 3.6 本章小结 ..................................................................................................... 51 第 4 章 H 公司合同风险管理体系实施的保障措施 ...........................................52哈尔滨工业大学工商管理硕士学位论文 VI 4.1 坚实组织机构和制度落实保障 .................................................................. 52 4.1.1 明确组织领导及管理部门职责 ............................................................ 52 4.1.2 加强与各业务部门的沟通合作 ............................................................ 52 4.1.3 完善制度落实保障 ............................................................................... 52 4.2 充分利用信息系统的监控职能................................................................... 53 4.2.1 合同处理效率监控 ............................................................................... 53 4.2.2 合同审批效率监控 ............................................................................... 53 4.2.3 标准文本使用监控 ............................................................................... 53 4.2.4 合同备案监控 ....................................................................................... 54 4.2.5 合同履行监控 ....................................................................................... 54 4.2.6 合同终结监控 ....................................................................................... 54 4.3 完善合同管理检查考核机制 ...................................................................... 54 4.3.1 细化考核标准 ....................................................................................... 54 4.3.2 强化合同基础事务管理检查 ................................................................ 56 4.4 深化合同的审计监察管理 .......................................................................... 56 4.5 加强合同风险的系统性分析 ...................................................................... 57 4.6 本章小结 ..................................................................................................... 57 结 论.....................................................................................................................58