1 摘要 电力市场竞争随着国家电力体制改革的不断深入而日益加剧，多种新型能源的 出现，导致电力市场化程度不断扩大，两者都对电价产生较大影 响，进而直接影响 到核电企业的营收利润。服务外包作为企业压降成本、提高核心竞争力的重要手段， 在现代企业经营管理中扮演着非常重要的角色，尤其核电这种本身具有建 设成本高、 周期长特点的企业来说，服务外包管理显得格外重要。然而，由于接包方选择范围 过小，以及服务外包流程管理能力不足和缺乏系统规划，导致接包方人员业务能力 达不到预期，并由此引发的安全行为意识不高，工作质量降低，人员设备安全风险 增加，机组稳定运行受到威胁。因此，如何优化服务外包管理，保障机组安全稳定 运行和促进 企业健康发展将是一个亟需解决的重要问题。在此背景下，本文综合运 用核电安全理论、流程管理及风险管理相关理论，通过问卷调查法和层次分析法深 入研究并提出H核电企业 服务外包管理体系的优化策略，就具有重要的现实意义。 本文共分为六个部分，首先对已有服务外包管理文献中关于外包决策、外包风 险管理、外包绩效管理相关研究成果进行 归纳和总结，对服务外包相关概念和理论 进行梳理。其次，对H核电企业服务外包管理范围、特点及现状进行了概述。接着， 通过问卷调查全面查找和诊断H核电企业服务外包管 理过程中存在的问题，并运用 层次分析法对关键问题进行分析和评估，再针对性地提出了具体优化策略。最后， 就如何落实H核电企业服务外包管理优化提出了实施保障措施。 本文通过对H核电企业和接包方的问卷调查发现，H核电企业在服务外包管理中 主要存在三方面问题：第一，接包方选择管理机制不完善导致选择范围受限和选择 不当；第二，对 服务外包流程管理的重视和支持不够，缺乏总体的系统规划，叠加 自身综合管理能力不足；第三，在服务外包绩效管理中，存在考核评价指标设置不 合理以及激励导向性不强等 问题。本文结合H核电企业服务外包实际，提出了以下 可操作性的优化策略：（一）通过提高接包方资格评价针对性和调整接包方选择导向 来扩大可选范围；（二）从制定服务外 包管控计划、整合服务外包管理流程，对重要 环节和难点工作提前做好防控措施等方面加强对服务外包流程管控；（三）从服务外 包管理人才梯队配置、健全服务外包管理培训 内容和完善服务外包管理人员考核制 度方面强化提升综合管理能力；（四）通过构建服务外包考核评价指标数据库和动态 维护更新，确保指标的全面和准确性等。最后，本文从 建立服务外包管理委员会专 项组织机构，明确各领域职责分工，以及通过完善服务外包双方沟通和动态管理制 度，增进企业文化认同几个方面提出保障服务外包管理优化策略落 实的建议。 关键词：核电企业；服务外包管理；管理体系优化； H核电企业服务外包管理体系优化研究 I Abstract With the deepening of the reform of the national electric power system, the competition in the electric power market has become increasingly intensified. The emergence of various new types of energy has led to the increasing marketization of electric power. Both of them have a greater impact on the price of electricity, and then directly affect the profit of the nuclear power enterprise. As an important means to reduce costs and improve core competitiveness, service outsourcing plays a very important role in modern enterprise management, especially for nuclear power enterprise, which has the characteristics of high construction cost and long cycle. However, due to the small selection range of the contractor, the insufficient management capacity of the service outsourcing process and the lack of systematic planning, the operational capacity of the contractor is not up to expectations, resulting in low awareness of security behavior and lower quality of work, increasing the safety risk of personnel and equipment, and the stable operation of the unit is threatened. Therefore, how to optimize service outsourcing management, ensure the safe and stable operation of units and promote the healthy development of enterprises will be an important issue to be solved. In this context, this paper comprehensively uses the nuclear power safety theory, process management and risk management theory, through questionnaire survey and AHP to study and put forward the optimization strategy of service outsourcing management system for H nuclear power enterprises is of great practical importance. This paper is divided into six parts, first of all, the outsourcing decision-making, outsourcing risk management, outsourcing performance management related research results are analyzed and summarized, both the concept and theory of service outsourcing are sorted out. Secondly, the scope, characteristics and current situation of service outsourcing management of H nuclear power enterprises are summarized. Then, a questionnaire survey was used to comprehensively find and diagnose problems in the management process of service outsourcing of H nuclear power enterprises, and used AHP to analyze and evaluate key issues, and then proposed specific optimization strategies. Finally, it puts forward implementation safeguard measures on how to optimize the service outsourcing management of H nuclear power enterprises. Based on the questionnaire survey of H nuclear power enterprises and the contractors, this paper finds that H nuclear power companies have three main problems in service outsourcing management: Firstly, the contractor selection management mechanism is not perfect, which leads to the limitation of the selection scope and improper selection; Secondly, insufficient attention and support to the process management of service outsourcing, lack of overall system planning, overlaying their own lack of comprehensive Abstract II management capacity; Thirdly, there are some problems such as unreasonable setting of evaluation index and weak guidance of motivation in service outsourcing performance management. Based on the service outsourcing practice of H nuclear power enterprises, this paper puts forward the following operability strategies: (1) expanding the range of choices by improving the pertinence of qualification evaluation and adjusting the orientation of contractor selection; (2) strengthening the management and control of the service outsourcing process from the aspects of formulating the service outsourcing control plan, integrating the process management process of the service outsourcing, and doing the prevention and control measures well in advance for the important links and difficult tasks; (3) strengthening and improving the comprehensive management capability in terms of the echelon deployment of service outsourcing management personnel, improving the training content and the assessment system for service outsourcing management personnel; (4) to ensure the comprehensiveness and accuracy of the indicators through the construction of the database of evaluation indicators and dynamic maintenance updating .Finally, this article puts forward suggestions to ensure the implementation of service outsourcing management optimization strategies from the aspects of establishing a special organization of the service outsourcing management committee, clarifying the division of responsibilities in various fields, improving the communication and dynamic management system, enhancing the corporate culture identity. Keywords: Nuclear Power Enterprises; Service outsourcing management; Management system optimization H核电企业服务外包管理体系优化研究 1 目 录 导 论 ······ 1 一、选题背景与研究意义 ·············· 1 二、文献综述 ··········· 2 三、本文研究的目的与方法 ········ ··· 8 四、本文研究的内容 ·· 8 五、本文研究的创新 ·· 8 第一章 相关概念和理论基础 ····· 10 第一节 基本概念及其内涵 ············· 10 一 、外包 ··············· 10 二、服务外包管理体系 ··············· 12 三、服务外包绩效管理 ··············· 12 第二节 H核电企业服务外包管理的相关理论基础 · 14 一、核安全理论 ······ 14 二、流程管理理论 ··· 15 三、服务外包风险管理理论 ········· 16 第二章 H核 电企业概况及服务外包管理体系现状 ··········· 18 第一节 H核电企业简介及其服务外包运营现状 ···· 18 一、H核电企业简介· 18 二、H核电企业服务外包 运营现状· 19 第二节 H核电企业服务外包管理体系现状 ·········· 20 一、H核电企业服务外包