HEALTH外资医疗企业合规管理研究_企业变革与组织创新

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No text of specified style in document.1I-HEALTH 外资医疗企业合规管理研究摘 要随着我国医疗行业的发展，吸引了众多外资医疗企业进入中国。市场竞争愈趋激烈，企业经营面临的风险日益多样和复杂化。在此背景下，医疗行业的合规经营、健康可持续发展成为社会共同关注的焦点。本文以 I-HEALTH 外资医疗企业为研究对象，对该公司在合规管理方面的现状及存在的问题进行了系统调研和分析，并基于合规管理与法商管理理论，制定出更适合企业长远发展的合规管理对策，使之更好地为 I-HEALTH 公司的持续发展服务。论文分为六章：第一章绪论，说明论文选题的背景、研究内容、研究的目的和意义以及研究方法。第二章文献综述，对合规管理理论、法商管理理论的概念、研究成果进行综述，同时对优秀企业合规管理实践做介绍。第三章描述 I-HEALTH 公司合规管理现状。医疗行业的合规管理总体呈现出风险意识差、认知不到位、体系不完善、法律法规不健全等特点。I-HEALTH 公司自在中国大陆开展业务以来，反复强调合规在商业行为中的重要性。2013 年成立了合规委员会，2014 年成立了专门的合规部门，对合规政策和流程进行优化，颁布各种 SOP 规范及违规处罚条例，为员工提供合规培训，并负责合规监督和内部调查等等。第四章分析和诊断 I-HEALTH 公司合规管理中存在的问题。主要中国政法大学硕士学位论文 I-HEALTH 外资医疗企业合规管理研究2表现在三方面：第一行为规范方面。调查问卷结果显示对合规细则及内部举报渠道了解不足，贿赂和不正当利益、与商业合作伙伴交往、礼品和娱乐、利益冲突四项是合规高风险领域，同时也是员工希望获得相关培训内容的重点。在日常业务活动中，员工在贿赂和不当好处、虚假记录和帐目及利益冲突上也存在一定的问题。第二制度资源方面。公司知识产权的保护、第三方知识产权的尊重都应引起注意，另外记录的规范性、可用性、完整性和保密性也需进一步改进。第三工作指南方面。合同管理尚存漏洞，对相关员工的法律法规培训教育不足。第五章基于合规管理与法商管理理论提出如何完善 I-HEALTH 公司合规管理的对策，着重从完善 I-HEALTH 公司合规管理的思路、框架及配套措施三方面阐述。完善 I-HEALTH 公司合规管理对策共分为五个阶段：第一设计阶段-组建合规队伍、设置机构；第二运行阶段-完善制度流程、合规培训；第三监查阶段-加强内控监管、防范风险。第四应对阶段-严惩违规行为、补救损失；第五强化阶段-强化合规理念、培育文化。公司管理层的高度重视、员工的积极配合及先进的科技信息手段为合规管理对策的顺利执行提供了有力保障。第六章结论与展望。给出本文的结论，阐述这些对策对 I-HEALTH 公司健康、持续发展的重要意义及预计推广效果。关键词：合规管理 法商管理 医疗行业ABSTRACT3RESEARCH ON COMLIANCE MANAGEMENT OF FOREIGN MEDICAL COMPANY I-HEALTHABSTRACTWith the development of the medical industry in our country, many foreign medical enterprises have been attracted to China. The diversity and complexity of the risk that all enterprises are facing in this fierce competitive increasing market are definitely rising in a faster pace than before. Against this background, people have expanded their attention and focused on the healthy and sustainable development of the medical industry. Taking foreign company I-HEALTH as example, this paper concentrates on the existing problems in compliance management through both conducting internal survey and analyzing the current situation. Then, based on the theory of compliance management as well as legal-business management, this paper tries to put forward strategies for company I-HEALTH for a long-term development. This paper consists of six chapters:The first chapter is introduction. This chapter provides an introduction about the research background, research content and significance, and research methods.The second chapter is literature review. This chapter summarizes the theory of compliance management and legal-business management from the perspectives of concept and research results. Excellent compliance management practices from different enterprises will be described and used 中国政法大学硕士学位论文 I-HEALTH 外资医疗企业合规管理研究4to unscramble the theories.The third chapter is to describe company I-HEALTHs current compliance management status. Generally speaking, compliance management of medical industry is featured by poor risk awareness, insufficient cognition, weak system as well as inadequate laws and regulations. Company I-HEALTH has emphasized the importance of compliance in business behavior since its entrance to Chinese market. Compliance Board and Compliance Department were set up in 2013 and 2014, separately, which are responsible for optimizing company policies and procedures, promulgating SOP meanwhile, they are not familiar with the internal reporting channels. Bribery & improper advantages, business partners engagement, gifts & entertainment and conflict of interest do not only bring high risk, but also represent the training requirement from employees. The second is resources and assets. It should be noted that protecting our intellectual property and paying respects to the intellectual property rights of third parties are both important and necessary. Besides, it is needed to improve the records normalization, availability, integrity and confidentiality. The third is work guideline. The problems mainly come from flaws in contract management and insufficient trainings on laws and regulations.The fifth chapter is to put forward strategies to improve compliance ABSTRACT5management for company I-HEALTH, which includes plans, framework and supporting measures. This strategy is divided into five parts. The first step is to set up compliance team. The second step is to complete policies & processes and provide trainings. The third step is to enhance internal control & supervision. The fourth step is to punish violation and save the loss. The fifth step is to cultivate compliance culture. Moreover, the management attitudes, employees participation as well as advanced technological means will provide a powerful guarantee for this program.The sixth chapter is conclusions and prospects. This chapter presents the conclusion of this paper. The above strategies have shown its significant influence on I-HEALTHs healthy and sustainable development. The effect of the promotion is included.KEY WORDS: compliance management, legal-business management, medical industry 目 录1目 录第一章 绪 论 .1第一节 研究背景 .1第二节 研究内容 .3第三节 研究方法 .4第二章 文献综述 .5第一节 合规管理理论 .5一、合规管理的概念 .5二、合规管理理论相关文献综述 .5第二节 法商管理理论 .6一、法商管理的概念 .6二、法商管理理论相关文献综述 .6第三节 优秀企业合规管理实践介绍 .7一、建立专门的合规管理队伍 .7二、形成健全有效的合规运行机制 .8三、培育深入人心的合规文化 .8第三章 I-HEALTH 公司合规管理的现状 .10第一节 I-HEALTH 外资医疗企业简介 .10一、I-HEALTH 集团简介 .10中国政法大学硕士学位论文 I-HEALTH 外资医疗企业合规管理研究2二、I-HEALTH 公司简介 .10第二节 医疗行业合规管理的特点 .10一、医疗行业违规事件 .10二、合规管理现状 .12第三节 I-HEALTH 企业合规管理的相关规定 .13一、I-HEALTH 公司合规管理宗旨 .13二、I-HEALTH 公司合规管理部门 .13三、I-HEALTH 公司合规相关规定 .14第四章 I-HEALTH 公司合规管理中存在的问题 .15第一节 行为规范方面存在的问题 .15一、合规调查结果分析 .15二、日常行为问题分析 .24第二节 制度资源方面存在的问题 .26一、知识产权 .26二、记录管理 .26第三节 工作指南方面存在的问题 .27一、合同管理 .27二、法律法规 .29第五章 完善 I-HEALTH 公司合规管理的对策 .30第一节 完善 I-HEA