I 摘要 2019 年，YD 公司共执行项目采购活动 700 余次，涉及金额 50 多亿元，这么 巨大的采购量，需要一套高效可靠的管理规范与制度支撑项目采购活动的正常运 行。从业务发展维度来讲，项目采购活动一直贯穿于公司的发展始终，其相应的 项目采购流程、规范和制度上已经相当完善和成熟了，但是从廉洁风险的管理维 度来看，还有很多的工作需要开展与完善。与国内外同行业或类似企业进行对比， 大部分企业对于廉洁风险管理都有比较成熟的理念与方法，比如使用项目风险管 理的应用理论与工具技巧，对公司项目采购廉洁风险进行有效管控；而项目风险 管理理论与工具，不仅在公司的项目采购廉洁风险管控中具有重要参考和借鉴意 义，也有利于其它专业领域的廉洁风险管理水平的提升。 本文以 YD 项目采购活动廉洁风险的防控为研究对象，以目前在项目采购廉 洁风险管理中存在的问题为切入点，解读与分析了现在廉洁风险管理中存在的问 题及原因，引入项目风险管理理论与工具，将 YD 公司实际项目采购工作存在的 问题对应解决，最终搭建 YD 公司项目采购廉洁风险防控管控体系。 本文先从项目风险管理的国内外理论基础入手，引申出目前风险管理的主流 使用工具、技术和方法，然后依据目前 YD 公司生产运营活动现状，对公司目前 项目采购管理现状进行了原因分析，并运用项目风险管理的理论，研究了项目采 购活动过程的主要风险管理五大环节。依据项目风险管理理论与 YD 公司的项目 采购活动实际情况，对项目采购廉洁风险管理在公司内的实践运用进行探讨，从 廉洁风险管理规划、成立项目专家团队、廉洁风险点的识别与定性、专家团队的 二次人为干预判断、对重点关注的廉洁风险进行应对以及建立定期的廉洁风险检 查计划等数个维度进行研究。用项目风险管理的理论与工具探索出一个 YD 公司 可以参考、运用的廉洁风险管理体系，让公司内的项目采购廉洁风险管控有一个 标准模板可以参考，也让项目采购廉洁风险可防、可控。 关键词：廉洁风险，项目风险管理，项目采购，廉洁风险管控ABSTRACT II ABSTRACT YD Company totally completed more than 700 project procurement activities in 2019 and the procurement amount accumulated more than 5 billion yuan. Such a huge procurement volume requires efficient and reliable management practices and systems to assist procurement activities. From the perspective of business development, project procurement activities have always been throughout the development of our company, and corresponding project procurement processes, specifications and systems have been quite complete and mature. However, there are still many work needs to be developed and improved from the perspective of integrity risk management. Compared with the same industry or similar companies in China and abroad, most companies have relatively mature concepts and methods for integrity risk management, such as using application theory and skills of project risk management to effectively control the company’s project procurement integrity risk; and project risk management theories and tools not only have important reference and significance in the company's project procurement integrity risk management and control, but also improve the level of integrity risk management in other professional industries. Regarding the prevention and control of the integrity risk in YD project procurement activities as the research object, this study took the current problems in integrity risk management as starting points and analyzed existing problems and reasons for integrity risk management. Then, it introduced project risk management theories and tools to solve the problems actually existing in YD project procurement work, finally build YD project procurement integrity risk prevention and control system. Firstly, this study introduced the tools, techniques and methods that were generally used in risk management from theoretical basis at home and abroad. Then, it completed cause analysis to current status of project procurement management on the basis of existing production and operating activities in YD company. In addition, it also studied five steps of major risk management during project procurement process from theoretical perspective. Practice and application of project procurement integrity risk management in the company were discussed from several dimensions based on project risk management theory and actual situation of YD company, including integrity risk management planning, organizing experts team, qualitative identification of risks,ABSTRACT III secondary intervention and judgment of expert team, how to cope with critical integrity risks, regular embellishment of inspection plan, etc. Consequently, a integrity risk management system, as a standard reference template for project procurement in YD company, was explored by using the theory and tools of project risk management, making integrity risks preventable and controllable. Keywords: probity risk, risk management, procurement project, probity risk control目录 IV 目 录 第一章 绪论.................................................................................................................... 1 1.1 研究背景............................................................................................................. 1 1.2 研究的意义......................................................................................................... 3 1.2.1 YD 公司项目采购风险管理存在问题 .................................................... 3 1.2.2 YD 公司项目采购实施项目廉洁风险管理的意义................................. 4 1.3 研究内容及方法................................................................................................. 4 1.3.1 廉洁风险防控应用实践方面的研究...................................................... 5 1.3.2 廉洁风险防控机制方面的研究.............................................................. 5 第二章 项目风险管理理论综述.................................................................................... 7 2.1 项目风险管理概述............................................................................................. 7 2.2 项目风险管理组织............................................................................................. 7 2.3 项目风险管理目的............................................................................................. 8 2.4 风险管理过程..................................................................................................... 8 第三章 YD 公司项目采购廉洁风险管理现状分析 ....................................................11 3.1YD 公司简介......................................................................................................11 3.2YD 公司项目采购廉洁风险管理现状..............................................................11 3.3YD 公司在项目采购廉洁风险管理中存在的问题及原因分析..................... 12 3.3.1 YD 公司项目采购廉洁风险存在问题................................................... 12 3.3.2 YD 公司项目采购廉洁风险管理存在问题的原因分析....................... 14 第四章 YD 公司项目采购廉洁风险规划、识别及分析 ........................................... 16 4.1 规划风险管理................................................................................................... 16 4.1.1 风险管理的目标.................................................................................... 16 4.1.2 专家小组及管理流程............................................................................ 16 4.1.3 风险管理的措施及工具选择................................................................ 19 4.2 廉洁风险识别................................................................................................... 20 4.2.1 项目采购廉洁风险识别的方法和依据................................................ 20 4.2.2 廉洁风险识别技术和工具.................................................................... 21 4.2.3 廉洁风险识别的结果............................................................................ 23 4.3 项目采购廉洁风险分析................................................................................... 28 4.3.1 廉洁风险定性分析................................................................................ 28目录 V 第五章 YD 公司项目采购廉洁风险的应对和监控 ................................................... 34 5.1 廉洁风险应对................................................................................................... 34 5.1.1 廉洁风险应对的方案............................................................................ 34 5.1.2 廉洁风险应对的结果............................................................................ 36 5.1.3 实施风险应对过程................................................................................ 38 5.1.4 其它应对改进措施................................................................................ 43 5.2 廉洁风险监控................................................................................................... 46 5.3 项目采购廉洁风险的应对及监控结果........................................................... 46 第六章 结论.................................................................................................................. 47 6.1 论文的主要工作............................................................................................... 47 6.2 论文的主要研究成果....................................................................................... 47 6.3 展望................................................................................................................... 48 致谢................................................................................................................................ 49