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BUSINESS STRATEGY AND MANAGEMENT OF RISKS AND CHALLENGES
EVANGELIA FRAGOULI, University of Dundee
NIKOLAIDOU ZOI, Hellenic Open University

ABSTRACT

Globalization created new opportunities and companies from developed countries expand to emerging
markets to increase their revenues and their market share. The present study reviews the factors that have
to be considered when companies expand to emerging markets, the practices that are followed in order
possible risks to be mitigated, the policies that should be applied in order challenges and opportunities that
arise from this expansion to be managed effectively. The study shows that even the largest and most well-
known enterprises, should take into account and adapt to the specific environment of each country in order
to have a successful presence. The study identifies risks and challenges companies face when expand
abroad and presents strategies these to be addressed effectively. It concludes emphasizing on the
importance of incorporation of risk management policies into the corporate management policy before and
during the entrance to new markets.

Keywords: risks, challenges, strategy, expansion, risk management

1. INTRODUCTION

Strategy development in foreign markets has been an interesting research topic since the rise of
globalization. When an organization plans to enter a foreign market, there are a variety of decisions to be
made, such as the entry mode (Sarkar & Cavusgil, 1996; Hill, 2007). The aim of a company’s decision to
enter a new market is to increase its profit on sales, to find new resources, new markets, build new strategic
capabilities (Dunning, 1993). The development of new markets is thought to be the most important reason
for internationalization (Floyd, 1996; Mayer, 1995; Ruzzier et al., 2006; Ramamurti, 2012). But there are a
great number of complex decisions that need to be made in order for the internationalization to be
successful, such as market selection, market entry, strategy formulation and implementation. When a
company decides to enter a new market, it has to consider its main strengths and weaknesses, but it should
also evaluate the opportunities and threats of the external environment (Prahalad & Hamel, 1990). In order
to examine the opportunities and risks of a new market, managers may use market growth and other rations
referring to the market (Kumar et al., 2004) but also factors affecting its adaptation costs, such as cultural
aspects (Wood & Robertson, 2000). Many companies decide to enter markets with great potentials as
shown in quantitative factors, such as the Chinese and the Indian market which have a great size and very
high market growth, but fail to capture more qualitative aspects, such as cultural differences. This may
have a great negative impact on their market entry.
The aim of this study is to explore how companies are managing opportunities and risks as they enter
emerging markets and also to explore the practices they use to become successful (in terms of market
share and profitability) in the new environment. The methodology used in this study is a critical literature
review approach following a qualitative analysis. A qualitative analysis helps the understanding of the
background of the examined subject (Richie & Lewis, 2003, Denzin & Lincoln, 2000).

2. STRATEGIES FOR INTERNATIONALIZATION

In a globalized era, the competitive position of companies in a national market is affected by the
competitive position they have in other national markets, so they have to formulate a global strategy
(Ghoshal, 1987; Prahalad & Bhattacharyya, 2011). The levels of strategy are the following: corporate –
level strategy, business – level strategy and strategic business – strategy. Corporate strategies are strategies
that affect the direction of the organization as a whole, such as internationalization development strategies.
Business – level strategies refer to business units, and include the competitive strategies each unit uses,
such as cost leadership. The third category of strategies refers to specific functions of each business, such

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as production or marketing. A global strategy is a corporate level strategy because it refers to the overall
direction of the company, such as geographical coverage, diversity of products and decisions about the
way resources are allocated between business units (Johnson et al., 2005).
But, are all multinational companies global as well? Rugman and Varbeke (2004) assess whether
multinational companies are actually global, regarding their penetration level in markets across the globe,
and more specifically, markets of NAFTA, the European Union and Asia. They used data from the 500
largest multinational companies and they find out that very few are successful globally, as an average of
80.3% of total sales are in their home region. So, many of the world’s largest firms are not global but
regionally based. This means that although they have expanded to a great number of foreign markets and
may implement other strategies there, they still count on their home country for their success as the great
majority of their sales happen in their home market. So, their main strategy is the one followed in their
mother country. These results show that global strategy is risky and complex even for the largest
companies in the world. So, it is critical for companies to adopt a strategy that treats decentralization and
centralization as complements. For example, MacDonalds have different menus for each country, but unity
remains in branding, technology and processes (Prahalad & Bhattacharyya, 2011).

2.1. Analysis of the environment
The environment has a critical role for internationalization decisions. The company needs to take into
consideration the impact of globalization, which has increased interdependence between economies
(Hamel & Prahalad, 1986). Moreover, there are many factors that need to be examined, such as political,
economic, social-cultural and technological factors. A strategic tool which may contribute to the
environmental audit of the strategy is PEST analysis. This is a very useful tool for understanding the larger
image of the environment in which the company is operating or is considering to operate in (Bowman &
Faulkner, 1996). More specifically, PEST analysis is a framework that divides environmental factors as
political, economic, social and technological (Jones & Hill 1992).
When a company decides to implement a global strategy, it has to consider its main strengths and
weaknesses, but it should also evaluate the opportunities and threats of the external environment. The main
views on the factors affecting a company’s strategy formation are resource based view and market based
view. The resource base view focuses on a company’s internal strengths when forming strategies, in order
to achieve a sustainable competitive advantage (Prahalad & Hamel, 1990). Accordingly, the market-based
view refers to strategies that are based on the market positioning of the company (Rumelt, 1991). So, the
factors that affect the company’s strategic decisions can either be external on internal. External factors
come from forces outside the organization, while internal factors come from inside the organization. The
factors of the internal environment are the structure, culture and tangible, intangible and human resources
(Mpourantas, 2002). The structure depicts the relations in an organization. Culture consists of the beliefs,
values, norms and beliefs in the organization, while the resources comprise of people, know-how,
factories, capital and other factors that help the company achieve its goals. The organization can only have
control on internal factors, so they have a critical importance when formulating a strategy. Finally, global
operating organizations deal with domestic forces of each host country they operate in (Ball et al., 2004).
The main international business challenges are the diverse international marketplace and the changing
nature of the international marketplace. The multinational companies with are successful recognize the
diversity of the world marketplace, and have the ability to cope with the uncertainties in the constantly
changing market environments. On the other hand, the changing world marketplace produces political
uncertainties, economic uncertainties, cultural uncertainties and financial uncertainties. In order for
executives to cope with these challenges, they need to focus on cultural understanding, use analytic tools
from a broad range of scientific disciplines (Hill, 2009). So the analysis of the environment has a close
relation to the risk management of the company, because it can reveal the new risks the company will
undertake.

2.2 Market selection
In order for a company to plan its strategic directions, there is a practice tool called the Ansoff product /
market growth matrix. According to this, the organization can either (Johnson et al., 2008): (1) penetrate in
the existing market, (2) develop new products for the existing market, (3) develop new markets for the

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existing products, or (4) diversify in new markets with new products. In the first choice (market
penetration), the organization can gain market share, through the achievement of economies of scale and
experience curve benefits. This is the most apparent choice for companies. The second strategic choice is
product development, which is more costly, as it requires expenditures for Research & Development
department, thus making it a riskier choice. Market development may refer to new segments or new areas,
so it is a risky and costly choice. The last strategic choice is diversification, which includes new markets
and new products, as well. So, market development and diversification are strategic choices most related to
internationalization. In this case, the organization has to decide which markets to enter (which is a
corporate strategy of development), which competitive strategy to use in each one (for example, cost
leadership, differentiation or focus), whether the product or other parts of the marketing mix need to be
changed and so forth. Furthermore, the organization needs to precede environmental audit, so as to
evaluate the external environment and its competitive features. Country selection is essential for the
organization’s success (Rahman, 2003). Accordingly, the country and the specific market are selected, and
the organization has to find out which is the best way to enter the market (Johnson et al., 2008).
The process of country selection the company will invest in is complex and includes questions, such as the
entry mode that is most suitable for entering the specific market (O´Farrel & Wood, 1994). For instance, if
a country has a totally different culture, such as China, it may be safer for a company to form a joint
venture with a local company, in order to be more easily accepted and reduce risk and cost. It is also useful
for the organization to conduct an analysis for the demand for a product. In this analysis, it is significant
for the company’s management to examine data such as average sales of the product, future trends and
growth rate of the market (Wood & Robertson, 2000). Market growth is considered to be a useful indicator
when examining potential markets (Kumar et al., 2004). There should also be an analysis on the adaptation
costs, which include changes in product or marketing due to the different preferences of the consumers in
the foreign market. The decision of market selection also involves cultural aspects, such as differences in
culture (Wood & Robertson, 2000). These factors include language, culture, level of education and level of
development and so forth. Other researchers state factors, such as distance (Malhotra et al., 2009) and
psychological distance (Dow, 2000). Koch (2001) also states that market entry and mode of entry are
affected by the same factors, so the two decisions should be faced as one.

2.3 Market entry
The next step after market selection is market entry, as the company has to choose the way it is better to
enter the new market. The most usual entry modes are the following: exporting, licensing, franchising,
joint ventures or alliances and foreign direct investment. The entry strategies that were first used are
exporting and Foreign Direct Investment (Sarkar & Cavusgil, 1996).
In order for an organization to make up its mind for the market entry it will implement, it has to make two
main decisions, the location and the mode of control. Control refers to the authority over operational and
strategic decision-making and this decision depends on the risk the company is willing to take and the
degree of control it desires to have. The level of control is minimum in licensing and maximum in wholly
owned subsidiary, while in joint ventures, it depends on the ownership conditions and the agreements
made (Hill et al., 1990). Another factor affecting the market entry mode decisions are the differences in
resource commitment requirements (Vernon, 1983).
Companies entering emerging markets need to make strategic decisions on the market entry mode, which
depend on the conditions that prevail on each country, and which may also vary within the host economy.
Meyer and Nguyen, (2009) analyze how institutions in an emerging economy influence entry strategy
decisions, by examining the determinants of two aspects of entry strategy: location and entry mode. The
results show that sub-national institutional variables have a significant influence on both dimensions. The
availability of scarce resources affects the location of FDI and the decision of Greenfield entry. On the
other hand, institutional pressures from state-owned firms lead to joint venture entry. In another research,
Meyer et al., (2009) show how resource-seeking strategies are implemented using different entry modes in
different environmental conditions. Greenfield, acquisitions, and joint venture give companies the
opportunity to overcome different kinds of market inefficiencies. They conclude that in a weaker
institutional framework, joint ventures are used to provide access to many resources. Contrary, in a
stronger institutional framework, acquisitions are proffered in accessing resources which are intangible and

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organizationally embedded. Pan et al. (1999) find that early entrants have higher market shares and
profitability than late followers. Moreover, they conclude that equity joint ventures tend to perform better
than wholly owned operations and contractual joint ventures.
Kwon and Konopa (1993) focus on the features of the host country that affect the entry mode decision of
exporting and foreign direct investment. The host country′s features examined are business environment,
production factors, and competitiveness of local companies. The results of the survey indicate that the level
of competition of local competitors and availability of local production factors have a greater impact on the
firm′s entry mode choice. Moreover, there are other factors affecting these decisions. Isobe et al. (2000)
examine whether early movers and technology leaders perform better in emerging markets in 220 cases of
joint ventures of Japanese companies in China. They find that high commitment and early entry had
positive impacts on the economic performance.

2.4 Strategy formulation and implementation
After making the above decisions, global companies have to design the competitive strategy they will
implement in the market The process of the strategy formulation takes into consideration the results of the
environmental analysis. The analysis of the external and internal factors of the company’s environment can
be summarized in a SWOT matrix. Then strategies can be designed, aiming at giving the company a
strategic advantage relative to its competitors. Another solution could be for the company to mimic
precede its competitors and expand to a market in order to compete them, even without analyzing the
environment and formulating an appropriate strategy.
Successful execution of each strategy requires different resources, strengths, organization, managerial style
and other practices and company culture, which are part of its internal environment (Kasimoglou, 2000).
Strategy formation and implementation in cases of internalization has been subject of research (Solberg &
Durrieu, 2006; Zou & Cavusvil, 2002), but there is little agreement on the results of different strategies.
Solberg and Durrieu, (2006) examine the generic and internationalization strategies followed by UK firms
and found out that generic strategies affect the internationalization strategy decision. Moreover, Zou and
Cavusvil (2002) suggest that there are internal (standardization of the product, standardization of
marketing activities etc) and external factors (standardization of the customers needs, worldwide
awareness of the product, standardized products from the competitors etc), that both affect global
marketing strategy. They also propose that that organizations prefer to enter markets whose cultural
background is similar to theirs (Buckley & Casson, 1998).
The strategic management process helps the company achieve strategic competitiveness and above-average
returns. The first step of this process is the external and internal environment analysis to determine the
strategic inputs. This information allows the company to develop its vision and formulate its strategy.
Referring to strategy implementation, the firm takes actions toward achieving strategic competitiveness,
using a dynamic process, as the environment evolves constantly. Nowadays, the global market has changes
the environment, and consequently, strategy formulation and implementation, For example, in the past;
China was seen as a low-competition and cost market, but today it is a very competitive market with local
companies that are more cost effective and faster in product development (Hitt et al., 2009). Moreover,
while it is true that China has been viewed as a country from which to source low-cost goods, lately, many
multinational companies became net exporters of local management talent; they have been dispatching
more Chinese abroad than bringing foreign expatriates to China (Luo, 2007). The situation is similar in
India, which is one of the fastest growing markets in the world, so many large companies turn to these two
countries in improve their profitability and market position (Khanna & Palepu, 2006).

3. THE PRACTICES AND STRATEGIES FOR ENTERING EMERGING MARKETS AND THEIR

EFFECTIVENESS

Top management of western multinational corporations are aware that globalization is the most critical
challenge they have to face, so they have to find internationalization strategies (Khanna et al., 2005). More
specifically, emerging countries show challenges and opportunities for global companies, as they include a
large number of potential customers and only a few competitors, so they offer great opportunities for
profits (Prahalad, 2006). But, these markets are more uncertain (Khanna et al, 2005). So, when a company

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identifies opportunities in an emerging market, it has to make sure it has the necessary capabilities to take
advantage of them (Johansen, 2014).
The financial crisis of 2007 increased economic uncertainty and led many companies to review their
strategies, so as to have a longer-term focus, which serves all of a firm’s stakeholders rather than just
shareholders. Moreover, the financial crisis affected more severely the developed economies, giving
emerging economies with large population, such as China and India the opportunity to strengthen their
market position (Witcher & Chaw, 2012). Deloitte (2014) conducted a survey for the prospects of
globalization. In the Globalization Survey, 423 executives share their opinions for the opportunities and
challenges of operating in developed and emerging economies. This sample is the most appropriate to give
information for the best practices a company can implement in emerging markets. The survey shows that
executives in emerging markets have more positive perspectives for the future, as emerging markets are
expected to increase their role in the global business environment and have greater economic growth and
demographic growth. Moreover, their consumers are expected to have increasing buying power. But, on
the other hand, operating in an emerging market poses more threats to the companies, such as
protectionism. The main practices proposed for expanding in an emerging market are the following:

 Engagement with local communities for recruitment and collaboration with locals. There are
talents in these markets that can be significant resources for the company

 External partnerships are crucial for achieving innovation. These partnerships can share their
know-how for the production of the products and also for the prevailing conditions in the
market.

 The companies should have in mind social impact issues, concerning worker rights, improving
the local community and local infrastructure and environment.

 Social business tools, such as collaboration with customers and real time information, are very
useful in emerging markets. These tools can be obtained through the social media.

 Greater protectionism in policies followed in emerging markets is more intense, so this has to
be taken into consideration.

 There are more supply chain challenges, as it more difficult to access supply chain capabilities
in emerging markets.

 Global issues have to be addressed with local solutions. This practice can be implemented with
local market research, customized strategies, joint ventures with local companies, partnership
with government, local R&D, employment of local vendors and talents, design of products
suitable for local customers and transfer of managers from the headquarters at the host country.

Companies in developed countries are used to having infrastructure available for the execution of their
business models in their home markets, but infrastructure is usually underdeveloped in emerging markets.
Moreover, in emerging countries companies can’t find market research companies to get information for
the market it considers entering. There is also lack of logistics providers and human resources firms to
screen large numbers of candidates. Because of all those institutional deficiencies, multinational companies
perform poorly in developing countries. This is the reason why many CEOs are avoid emerging markets
and prefer to invest in developed countries. So, companies cannot do business in emerging markets the
same way they do in developed countries, because of the quality of the market infrastructure, which has
differences from country to country. Less-developed economies tend to have unskilled intermediaries and
less effective legal systems (Khanna et al., 2005).
So, companies can achieve success in an emerging market if they fit to their environments. Johansen
(2014) conducted 12 interviews with managers responsible for emerging markets marketing, in order to
define the key issues for superior performance in emerging markets. The results show the factors that
improvise firm capabilities and competitive advantages in emerging markets. The firm’s willingness to
operate in uncertainty is an important driver of performance in emerging markets. Other factors that may
help managers in an emerging market entry are rapid decision making; persuasiveness; autonomous
decision making; less risk-averse attitude in hiring and training practices. The characteristics of the
managers are important as they lead the company gain knowledge on the new market and building the
necessary capabilities to manage the risks and the opportunities of the emerging markets. This process
should include a thorough understanding of each market infrastructures. Multinational organizations take
into consideration either the macro factors (openness and sociopolitical environment) or market factors, but

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only a few of them examine both. Referring to political and social factors, every country’s political system
has an impact on its market, while the country’s social environment is significant as well. The relationships
between ethnic, regional, and linguistic groups a market may also affect the market entry
decision. Referring to openness, economies need to be open in order for companies to enter, because they
welcome direct investment. The two macro contexts determine the market contexts. Accordingly, market
analysis includes product markets (as companies try to get reliable information about consumers), labor
markets (multinational companies have difficulties recruiting skilled personnel, as the quality of human
resources is difficult to ascertain), capital markets (financial markets in developing countries lack of
sophistication and reliability) (Khanna et al., 2005).
So, in order for multinational companies to succeed, they have to be aware of the conditions in the
emerging market environment and try to fit its activities and internal capabilities to the environment. These
conditions may require that the company has to alter its business model for each country it enters, and at
the same time, it has to keep its core business values, because if changes are too radical, it will lose its
advantages of global scale and global branding. Finally, it may be uneconomical for some companies to
adapt their business models to emerging markets, so they have to abandon this market entry (Khanna et al.,
2005) or proceed to other option, such as strategic alliances and so forth, in order to reduce the cost (Parsa
& Kwansa, 2010). A distinctive example of the need for adjustment of the global companies to the local
conditions is the entry of some global companies in the Indian market. The contribution of the study is that
it shows that even the best known companies in the world had to adjust their strategy in this market. When
the Indian market was opened to the world, most of the global brands decided to enter. The main reason is
that India is one of the largest markets along with China, as the two countries account for 37 percent of the
overall world population. It was a surprise to most global companies that most of them failed, as they could
not understand the needs of Indian consumers and features of the Indian market, On the other hand, there
are a few companies that succeeded in positioning their brands into the Indian. Their key to success was
their attempt to understand in depth the needs of the consumers before entering the market. The Indian
market is complex and much diversified, as the habits and preferences of consumers alter in each region of
the country. Furthermore, the Indian market is very complex, due to the large number of cultures, religions,
diverse levels of income of the population. These features of the market make it a necessity for global
companies to adapt to the local market conditions. Even some of the most successful brands started their
operations in India making mistakes. For example, Kellogg’s, McDonald’s, LG, Reebok and Coca-Cola
are among those companies. They initially introduced standard products using standardized global
strategies, but they realized their fault, so they s modified their product to fit the needs of Indian consumers
and became successful. So, global brands need to focus on strategies that adapt to the local market
conditions and try to be as local as possible, or as it is called, they should try to get glocal (Taneja et al.,
2012). This study examines the way three specific companies used glocality, in order to succeed in
emerging markets.
UK Trade & Investment (2010) along with the Economist Intelligence Unit conducted a global survey of
523 companies from all major industries, which either already operate in emerging markets or plan to do
so. The results of the survey show that emerging markets are now viewed as sources of new consumer
demand, and not just low-cost production hubs ( as mentioned by 76% of the respondents). Moreover,
emerging markets are getting more familiar, as nearly half of the companies have been operating in
emerging markets for at least a decade, while and two-thirds have been operating there for at least six
years. In order to enter successfully an emerging market, companies look for partnerships and alliances
with local companies because of the need for local knowledge and contacts.
Deloitte Consulting (2011) conducted a survey of 628 executives to examine revenue opportunities in
emerging markets. The results showed that success in emerging markets did not come from establishing a
sales office for their existing products, but the companies had to understand the preferences of customers
in each market and design a strategy to meet their needs at appropriate prices. The research identifies three
features of successful growth strategies. The first one refers to locality. In order to become successful,
companies have to establish company-owned production, use local service support centers, employ
company-owned distribution or sales, conduct R&D locally, and other operations, in order to approach to
customers and the local community. Companies with company-owned operations in emerging markets are
considered to be more successful. Local operations have other advantages, such as better knowledge of the

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market, brand awareness and more experience in navigating government approvals and procedures. The
second successful strategy is organic growth for expanding in emerging markets followed by joint ventures
with local companies. The third important key for success is adapting to the market. Companies have to
customize their offerings to local customers’ needs, by designing products specifically for the local
emerging market and offering a different value proposition. So, the results of the survey show that
successful strategies include local operations, organic growth and adapting to the market. On the other
hand, the participants note that there are also strategies that are considered to be unsuccessful, such as,
non-traditional models, non-traditional distribution channels, offering products in smaller packages at
lower prices and partnering with non-governmental organizations (Deloitte, 2011). These results are in
accordance with Taneja et al., (2012) and Deloitte (2014).
Boston Consulting Group (2013) conducted a survey in more than 150 top executives in order to
understand their priorities and their performance in emerging markets. The survey seeks for the key
elements that make companies successful in emerging markets. For the respondents, the first priority is
China, followed by Brazil and India. The results showed that the success factors are the following: top
management support, local talents, market knowledge, and a broad range of capabilities. The survey
concludes with a checklist, which can guide companies to enter an emerging market. According to this, the
companies should:

 Identify opportunities, set priorities and specific targets. This is the first step in strategy formulation
procedure, and managers seem to implement it.

 Identify their strengths and weaknesses, conduct market research, analyze how their products fit the
local needs and learn more about the function of formal and informal distribution and marketing
channels.

 Develop and test their business model, in order to identify changes that need to be made.
 Develop relationships with stakeholders and analyze the local environment for potential mergers

and acquisitions, joint ventures and other types of market entry.
 Assess and evaluate their workforce, set training programs and find potential rising stars in the

emerging markets.
 Set emerging market issues on agenda of top management, hold meetings with stakeholders, locate

managers in the emerging markets, create incentives for the success in emerging markets and make
sure that the managers have the skills for adaptation, forecasting and best-practice sharing.
The above list helps managers identify and face the opportunities and risks of emerging markets, the roots
of these risks and the factors that influence them and their relation the company’s internal environment.
The above procedure shows that the respondents have the right priorities, but they do not seem to have
identified the practices that would help them succeed. The basic opportunity of emerging markets is the
fact that they offer 28% of the overall revenues on the companies and their prospects for the future are very
positive, as emerging countries already contribute to 38% of the global GDP. On the other hand, the most
important threat that managers reported, are local competitors, who have the ability to react faster than
multinationals. Referring to the internal environment, none of the participants responded that their
companies’ capabilities were sufficient for these markets. A solution to this lack of capabilities could be
local talent employment, which would help to the creation of new capabilities and market knowledge,
while leadership support is also considered to be important.
London and Hart (2004) state that multinational companies expand to emerging markets to exploit the
opportunity to gain the largest and fastest-growing segment of the world's population, which are almost
four billion people and that it is a great challenge for companies to form capabilities for emerging markets.
They conduct an exploratory analysis, consisting of interviews with managers, case studies, and other data,
and they find that the transnational model of national responsiveness, global efficiency and worldwide
learning may not be sufficient. Companies develop strategies that rely on leveraging the strengths of the
existing market environment outperform and not try to overcome weaknesses. These strategies may
include relationships with non-traditional partners, collaborations for inventing custom solutions, and
building local capacity.

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4. RISK MANAGEMENT IN GLOBAL STRATEGIES

A global strategy requires adaptation of the company’s risk practices, as environmental uncertainty rises.
Most companies focus on risks before they enter the market, but they tent to underestimate the risks that
come after the entry, a fact that leads to the underestimation of new threats that were not present at the time
of the entry, so business leaders must constantly re-adjust their risk management strategy (PwC, 2012).
Risk management consists of risk identification, assessment and mitigation (Olsson 2002). Risk
management is an integrated approach to the evaluation, control and monitoring of the different types of
risks. Risk management enhances the effectiveness and efficiency of the operations of a company.
Moreover, it ensures that the selected strategy in effective and efficient, so it is able to deliver the expected
results. Risk management can also contribute to the avoidance of a future global financial crisis. In order
for this to happen, there should be common processes and practices, a deep understanding of risk
tolerances. Its practices should be incorporated in all decisions and processes, while the information used
in these decisions should be of high-quality (Hopkin, 2014).
According to Hallikas et al. (2004), a typical corporate risk management process consists of four stages:
Risk identification, risk assessment, risk monitoring and control and decision and implementation of risk
management actions. Risk identification includes the finding of risks and the possible damage to the
company. Risk assessment involves the determination of the severity of risks and their effect through
financial function, production, logistics etc, and the probability of a risk. Risk monitoring refers to control
of risk using planned actions or reactions in the short, medium and long term, implementation of protection
measures, staff training and so forth. Risk decisions implementation includes strategies for risk
management such as risk transfer, risk taking, risk elimination, risk reduction, and analysis of individual
risks (Lavastre et al., 2012). The first step is risk identification. Emerging markets are characterized by
high uncertainty, so risk management is even more necessary as it involves probabilities and possible
results. There are numerous types of risks related to expanding in emerging markets. Emerging markets
have greater political risks, as their political systems tend to be more unstable, they have elections more
often or rarely and they lack transparency, the political system may encourage clienteles (Henisz & Zelner,
2010), there is greater state intervention, higher debt, small capital markets (Olsson, 2002). Moreover,
there are financial risks due to the different stage of the business cycle they are in; economic crises may be
more severe due to fiscal imbalances etc. Exchange risk is also important, as emerging countries tent to
have unstable currencies (Bailey & Chung, 1995). Social factors may also increase risks, due to tribal
divisions which cause instability, religion may cause conflicts, health care conditions (many diseases as
AIDS, malaria etc, are common in emerging countries) (Olsson, 2002). Another type of social risk is the
risk that the society will be hostile towards foreign companies and multinationals (Henisz & Zelner, 2010).
Physical risks refer to size, location, physical attributes of the country, climate (as most emerging countries
are in tropical zones), natural disasters (as many emerging countries are located in areas vulnerable to
earthquakes, floods and other disasters). There are also legislation risks, due to the lack of an appropriate
regulatory framework (Olsson, 2002). Many of these risks can be addressed through stronger international
law and risk management (Henisz & Zelner, 2010). The above risk factors contribute to the emergence of
the following risk types (Olsson, 2002): credit risk, market risk, business risk, sovereign risk, liquidity risk,
operational risk, country risk, political risk, industry risk environmental risk, accounting risk, regulatory
risk, systemic risk, reputational risk.
The Economist Intelligence Unit (2006) conducted a survey about the operating risk in emerging markets.
Its results showed that managers increase the time and resources for risk management and they appear to
think that the risk/return ratio is getting more favorable. The respondents understand the importance of
operating risk in emerging markets, as the political stability is recognized as the biggest threat. Referring to
the risk management practices, managers note that the majority of companies do not have a formal process
operating risk management, while 49% of the companies have a formal process for integrating political
risk management into their investment process. The importance of the political risk for managers shows
that emerging markets remain highly volatile and that the due diligence processes are fairly robust. For the
majority of the companies, risk management focuses on the period of environmental analysis, before the
investment, while only 44% manage risk on a continuous basis. The next step is to measure these risks, by

110

assessing the probability of each one to take place and the damage it can cost to the company. This step is
also different when applied to an emerging market, due to the lack of available and reliable data. After
that, the company has to manage risks, by setting a coherent strategy and an effective risk management
framework, which it implements robustly but with flexibility (Olsson, 2002).
Lassar et al. (2010) hypothesize that a company’s risk management strategy consists of three factors, the
resources it uses, network systems and performance criteria. Lassar et al. conducted 24 interviews with IT
firms, and the results reassured the importance of performance evaluation as a critical success factor in
supply chain management. The findings also show that the above factors can give the company a
competitive advantage. Anil and Cakir (2010) suggest that when companies know better the similarities
between the business styles and the local culture of the host country, they choose joint ventures. Moreover,
uncertainty can affect the selection of the entry mode. Wholly-owned Subsidiaries are preferred when
uncertainty makes contracts ineffective and leads the partners to delays (Brouthers & Hennart, 2007).
Another aspect is the company’s previous experiences in the host country or internationalization, as
companies with significant international experiences would prefer wholly owned subsidiaries because they
are less in need of local partners (Dikova & Wittelloostuijn, 2007). Meyer et. al., (2009) note that firms
which enter emerging markets prefer to use joint venture when the institutional conditions are weak.
Accordingly, when the institutional environment is stronger, they prefer acquisition strategy. Several
researchers (Wright et al., 2005; Meyer & Peng, 2005; Brouthers & Hennart, 2007) note that there are
many factors that affect companies’ decisions, especially in the emerging markets, so it is difficult to
explain the strategies of international companies with the use of only one theory. Dunning’s Eclectic
Approach can be useful, as it covers many theories (Brouthers & Hennart, 2007).
Risk management has become more intense and necessary for global companies since the 2008 financial
crisis. Harvard Business Review Analytic Services (2011) conducted a survey of 1419 business executives,
and more than two-third of them said that risk management is now more important than it was three years
ago. Most managers, though, still believe that their companies do not have an effective risk culture. Since
the financial crisis, companies are creating risk management processes or improving the existing ones
(42% of companies say they have a chief risk officer, compared with 11% three years ago). The risk
management capabilities that are considered to be critical for organizational performance are the
following:1) For effective risk identification, companies should have a risk-aware culture at all levels and
proactively identifying current and possible future risks, 2) Referring to risk assessment, companies have
to get enough information to predict losses from risks and to ensure that all decisions remain within the
organization’s risk tolerance, 3) For a successful risk management and decision-making, companies should
link risk information to strategic decision making, use risk management practices and responsibilities
within strategy and operations and drive risk mitigation activities.
So, the determination of a strategy for an emerging market and risk management should be interrelated.
Companies have to set a coherent strategy related to the external environment, in order to exploit its
opportunities, but the riskier the strategy the more it should focus on risk management. Accordingly, they
have to design an effective risk management framework that fits the strategy. The strategy and risk
management framework need to be constantly adapted to fit the changes, while more resources have to be
invested in their function (Olsson, 2002). Global activities can cause many benefits to organizations, but it
can also expose them to a number of risks. Martin et al. (2011), find that most companies do not have a
structured risk management system, but instead they use a number of informal approaches to cope with
risk. So, there should be a multidisciplinary approach when dealing with global sourcing risks. In that
case, risks are divided in four categories: supply risk, process and control risks, environmental and
sustainability risks, and demand risks. After the recent financial crisis in Eurozone, Risk Management
became a corporate imperative’. The growing regulatory and governance requirements, made many
companies form risk committees in order to give a formal role to risk management.

4.1 The influence of crisis
Crises are time periods during which output decreases (Grewal & Tansuhaj, 2001) and unexpected, rapidly
occurring, high risk events threaten the organizations’ viability (Singh & Yip, 2000). In such times of
crises, organizations have to adjust their strategy quickly, so as to regain control and improve their position
in the market, as changes may be unexpected and rapid (Tripsas & Gavetti, 2000). However, some firms

111

manage to sustain competitive advantage even during crises (March, 1981). Gaining access to foreign
markets is sometimes necessary for a firm’s strategy to get strategic competitiveness (Lee et al., 2009).
Economic crises have different consequences for organizations. Some of them are obliged to close or
reduce their production, due to the reduction of the consumer demand for their products. At the same time,
input prices may raise, a fact that leads to increases of the product prices, thus reducing their
competitiveness. Companies may also have to reduce their human resources or their wages (Zehir & Savi,
2004), while for investment it is often for companies to delay or abandon their projects. Foreign companies
tend to react better when the market they entered is in crisis, as they have an untouched international
reputation, while local companies face difficulties getting credit, or negotiate with foreign suppliers.
Companies can better manage crises through market orientation and strategic flexibility (Grewal &
Tansuhaj, 2001). These changes require quick actions by the organizations, which have to take some
suitable measures in order to adjust their behavior, accordingly to the consumers’ behavior. Some of these
measures are cost reduction, production cutting, investment delay or abandonment, expansion to foreign
markets, efficiency improvement, debt re-structuring and many more (Zehir, 2005; Laitinen, 2000). So,
crisis management includes changes in marketing strategies, while in terms of general strategy,
organizations have to leave or diminish their presence is some markets in which they are not viable and
concentrate on others, where they are strong (Ang et al., 2000).
Companies were affected by the financial crisis so they have developed crisis strategies and looked for
new, in order to understand the consumers and their changing attitudes and behaviors (Kirtis & Karahan,
2011). The financial crisis is one of the most crucial environmental threats for a company’s viability and
profitability (Pearce & Michael, 2006). Companies are also affected in different ways by economic crises,
as companies may be obliged to close down or decrease their production due to insufficient consumer
demand. Furthermore, input prices are possible to increase, causing higher costs for companies, which
would have to increase their prices (Koksal & Ozgul, 2007). So, they have to make changes, such as
reducing costs, production capacity and investments, as they would have to use equity capital and improve
efficiency (Zehir, 2005). Similarly, international strategies can increase strategic flexibility, as well (Tang
& Tikoo, 1999). Exports allow companies to respond rapidly to unexpected changes in demand in the
domestic and international markets. This can be achieved by proceeding to sales from more beneficial
markets. Companies can use their international investments, such as foreign direct investments and
exporting investments, to adjust their operations to crises (Lee & Makhija, 2009). Companies with FDIs
located in many countries can benefit from their ability to change production locations to face adverse
changes, such as increases in labor costs or exchange rate volatility (Reuer & Leiblein, 2000), and
increased political risks. With FDIs, multinational companies can face country-specific threats by shifting
production across national borders (Lee & Makhija, 2009). Referring to the emerging markets, the
economic crisis of 2008 changed the distribution of global growth. When most developed economies tried
to recover from the financial crisis, the larger emerging countries, such as China, India, Brazil etc, account
for a great percentage of the growth in global gross domestic product. These companies are now the basis
for revenues for multinational companies, and not just a way to reduce costs (Deloitte, 2011). So, after the
recent crisis, emerging markets lead world growth, and the crisis was an opportunity for them.

5. CONCLUSION

Many multinational companies cannot develop successful strategies in emerging markets, as they attempt
to implement their previous strategy (Khanna et al., 2005). But, emerging markets have significantly
different prevailing conditions. Multinational companies cannot avoid emerging markets, as they have
more positive prospects (Deloitte, 2014). So, companies have to implement effective global strategies for
emerging markets engaging with local communities for recruitment and collaboration (Deloitte,
2014),examining both macro-environmental factors and market factors (Khanna et al., 2005), developing
external partnerships and alliances (Deloitte, 2014; UK Trade & Investment, 2010), addressing social
impact issues (Deloitte, 2014) , managing supply chain challenges (Deloitte, 2014), and generally
companies have to adapt to the local environment (Johansen, 2014; Khanna et al., 2005; Deloitte
Consulting, 2011; Boston Consulting Group, 2013). Companies have to understand the preferences of
customers in each market, to establish company-owned production, service, distribution, R&D, and other

112

operations (Deloitte Consulting, 2011), providing top management support (BCG, 2013), recruiting local
talents (BCG, 2013), having a broad range of capabilities (BCG, 2013), applying glocal strategy (Taneja et
al., 2012). From the above, it is clear that companies that aim to succeed in emerging markets; have to
understand the local preferences and culture, by conducting a detailed environmental analysis (Rahman,
2003; Johnson et al., 2008; O´Farrel & Wood, 1994). After they have a clear view of the opportunities and
challenges they have to face, they have to form their strategy for the market entry and adapt their
operations and strategy to fit their new environment (Sarkar & Cavusgil, 1996; Hill, 2007). Additonally,
they must adapt their risk practices. They have to predict new risks, the possibility of each risk to happen
and to schedule new ways to face them. Companies have to invest money and time to improve constantly
their risk management systems, so as to avoid losses for unexpected risks that may have a negative impact
to their reputation as well, apart from an economic impact. Global companies seem to realize the increased
need for risk management, (Economist Intelligence Unit, 2006), but the majority of companies do not yet
have an effective risk management framework (Economist Intelligence Unit, 2006; Ernst & Young, 2007;
Harvard Business Review Analytic Services, 2011; KPMG, 2011).
The practices used by many companies when expanding abroad are: 1) Use of a glocal strategy that fits
the emerging market, but keeps the main characteristics of the global brand, 2) Different pricing, as the
macro-economic environment is different and wages are lower in the emerging market, 3) Manufacture the
products and infrastructure in the emerging market, 4)Advertisements that fit the local attitudes, 5)
Different product mix, with new products, more suitable for the new market. These results may seem
obvious for most of the companies trying to expand their activities abroad, but some of the largest brands
in the world would expect to be more welcome in new countries, without any significant changes in the
way they function.. However, very large and successful companies may sometimes be blinded by their ego
and not realize the extensive changes they have to make, in order to be accepted in a country with a
different environment.

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118

STUDY ON EXPRESSWAY MARKETIZATION IN CHINA
HONGQIAN FENG, Hebei University of Economics and Business
XIAOJUN GUO, Hebei University of Economics and Business

Abstract: Expressway is the national traffic artery and one of the monopoly basic industries, promoted the
development of the economy. However, with the development and accomplishment of Market Economy,
many new forms continue to emerge: Expressway and Bridge toll, Sino foreign joint ventures, paid
transfer, joint ventures, BOT model etc. But the operation of the expressway is still state-owned in China.
Government-oriented operating mode have its advantages, but more disadvantages as well such as high
operation cost, low efficiency, rent-seeking and expansion issues also can not be ignored. Therefore,
through the analysis of expressway history and its present situation, comparing the advantages and
disadvantages between the state-owned expressway operating mode and that of the marketization, we
conclude that expressway in China is facing operation mechanism reform and its marketization is
imperative.

Key words：Expressway, Marketization, Operation mode

1.Introduction
Expressway network in China is the basic industry with the features of national monopoly, externality and
public welfare. The appearance of expressway is the inevitable outcome of the economy development. The
world expressway develops rapidly Since the 1960s and the earliest expressway in China appeared in 1988
named shanghai-Hujia expressway. From then on, Chinese expressway construction continued increasing,
toll stations, traffic police, service area, management office, expressways, maintenance and other
departments sprung up across the country, which all their building and operating are solely invested and
managed by the government.

With the rapid development of the market economy, many new forms continue to emerge: Expressway and
Bridge toll, Sino foreign joint ventures, paid transfer, joint ventures, BOT model etc. However, the
operation of the expressway is still dominated by the government. Government-oriented operating mode
have its advantages, but high operation cost, low efficiency, rent-seeking and expansion issues also can not
be ignored. Now reforms in China has come to the deep water period, the expressway operation
mechanism reform is imperative.

2. Current Expressway Study
Past study on the expressway has tried various angles, hoping to find a operation mode that can reduce the
operation costs and improve the operation efficiency. There are three views about the forms of expressway
toll system. One is to break the monopoly, the implementation of franchising, deepen market reforms.
Second, government invest in its building and operated by institutions, as state-owned enterprises. Third is
the government operation mode of the loan repayment toll road to implement the unified credit system and
operational toll roads is franchise mode.
Market in a sense is privatization, industrialization. So in the expressway industrialization scope, there are
three types: first refers to the expressway management of industrialization. The second is along the
turnpike and service facilities industrialization. The third refers to the integration of the expressway
construction, management, operation, maintenance, green and other integration of industrialization. There
are also three types of management mode: Quasi enterprise management, such as Sichuan. Full
government management, such as Liaoning. Semi enterprise management, such as Shandong.

3.Analysis
Hebei Province Shi-Huang Expressway Hengshui section is a good example of Government-oriented
mode. Expressway administration is managed by the Department of transportation, expressway
management bureau is responsible for the management of all the high-speed road network in Hebei
province. Each line is divided into several sections and each section is divided into expressways, service
area, maintenance work area, management, monitoring, auditing, electromechanical, toll stations and other

119

different departments. Each department has its own system, different departments need to cooperate with
one another. In addition, also need to be linked to the high-speed traffic police, rescue companies, 120, 119
and other agencies to carry out all kinds of guidance and rescue. Obviously, the government-oriented mode
have many disadvantages, such as excessive management levels, cross departments, miscellaneous
personnel, imperfect relevant laws, imperfect system and management difficulties. Relatively speaking, the
market-oriented operation mode is more focus on efficiency, and could be far better to solve the above
problems. Table 1 shows the superiority of the expressway market-oriented mode in contrast with that of
Government-oriented.

Table 1 The Difference Between the Expressway mode of market-oriented and Government-oriented

Government-oriented mode Market-oriented mode

Pay more attention to social benefits Pay more attention to enterprise benefit

Industry leading to monopoly Free competition in the industry

Low operational efficiency Higher operating efficiency

Money depends on the government Cash to revitalize

Through comparative analysis and case study, the government-oriented expressway operation mode has
low efficiency, capital dependence, industry monopoly and other issues, while the market-oriented
expressway operation mode can make an inventory of capital, free competition, and high efficiency.
Therefore, the market-oriented reform is the right direction of the development of the expressway
operation.

Expressway construction and development must be advanced, economic development need the market-
oriented expressway operation. The core of the industrialization of China's expressway operations should
be the marketization of construction, operation, maintenance and management. The market needs the
diversified investment subject, the decentralized management main body, the diverse Main body of
property rights so as to stimulate the vitality of the operating mechanism. The government must increase
investment and policy support, so that private capital can intervene and format the scale efficiency. First
treat franchise differently, and then co-ordinate overall to promote the quasi business management of the
expressway, and finally to achieve the integration and industrialization of the expressway construction,
management, maintenance, green and so on.

4. Conclusion
At the present stage of economic development, the problem of expressway operation is obvious, and the
way to solve this problem is to take the road of marketization. Let "invisible hand" intervene in the
expressway operation, and let the market plays a decisive role in the allocation of resources. The market of
free competition can not only allow the government to withdraw the position and play the real role of
supervisors, but also improve the efficiency, and make an inventory of resources, and truly promote the
construction and management of expressway road network.

References
[1] Liu Shan(2009) Research on the market operation mechanism of China's expressway.Chang'an
University
[2] Shi Yongmin, Li Haibin(2002). Chinese Journal of expressway market. Journal of Chang'an University
(NATURAL SCIENCE EDITION), 2002,04:55-58.
[3] Xu Haicheng(2002). The industrial attribute and development of the expressway. Journal of
transportation engineering, 2002,03:85-89.
[4] Liu Hongyu, Zheng Jiefen(2003). China's toll roads of private. expressway traffic technology,
2003,02:112-116.

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[5] Fan Jianqiang(2009). Research on the reform of the system of industrial regulation and regulation of
the toll road. Chang'an University.
[6] Lu Zheng, Xu Li, Dai Dongchang, Lv Tie, Zhu Tong, Li Yutao, Zhou Weifu, Lu Xiaohua, Li, Xiaohua,
song(2008), China's expressway management research. economic research, 2008,37:23-42.
[7] Yang Junqing(1999). Reflections on Adam Smith's "invisible hand" of the. Journal of Shanxi
University of Finance and Economics, 1999,02:8-9.
[8] Zhao Kang(2012). Adam Smith's theory of "ethics and the invisible hand" exploring the value. of the
Zhejiang University of Finance and Economics.
[9] Xin Sheng(2003). Research on the management mode of expressway. Chang'an University.
[10] Wang Haili(2006). Research on the management mode of the expressway. Northwestern University.
[11] Zhang Bang. Research in China [D]. expressway management system of Chang'an University, 2005
[12] Feng Lei. Research on the management mode of the expressway [D]. Tianjin University, 2003
[13] Xu Jie. Research on the management system of Expressway in China, Chang'an University, 2010
[14] jinqili. Contemporary China expressway management system present situation and countermeasure
research to improve [D]. Jilin University, 2004
[15] is an auspicious. Based on the integration of investment diversification of expressway management
[D]. Wuhan University of Technology, 2009
[16] Liu Rong. Problems and Countermeasures of China's expressway management system, [J]. industry
and Technology Forum, 2010,01:242-244.
[17] Zhao Bo. Research on the management mode of expressway operation in China [D]. Chongqing
Jiaotong University, 2013
[18] what is grand. The Chinese and foreign expressway management system research [J]. transportation
technology, 2006,05:114-117.
[19] Guo Chao, Fan Jian Qiang. The expressway management system present situation and reform of [J].
Journal of Chang'an University (SOCIAL SCIENCE EDITION), 2006,03:12-16.
[20] Li Baohua, the reflection and construction of the expressway management system in our country [J].
Beijing automobile, 2011,03:1-3-26.

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STUDY ON THE SUPERVISION MECHANISM OF PUBLIC POLICY IMPLEMENTATION IN
CHINA
WANG XIN, Hebei University of Economics and Business
XIAOJUN GUO, Hebei University of Economics and Business

Abstract: The analysis of public policy is a dynamic process, which includes public policy constituting,
implementing and so on. Before the mid 1970s, the majority of experts and scholars were more concerned
about the public policy formulation, but in practice, people gradually found the effect of public policy
implementation. The latest study on public policy implementation turns to the supervision mechanism in
order to strengthen the healthy, high efficient public policy implementation and combating corruption.
Therefore, by reviewing the past literature on the supervision mechanism of public policy implementation
and analyzing the dilemmas that China is facing, conclusions and countermeasures are discussed.

Keywords: Public policy implementation; supervision mechanism; Policy analysis.

5.Introduction
In the past, We have paid much attention to the formulation of public policy, however, in practice we find
that the phenomenon of “Comply in appearance but oppose in heart, " occurs from time to time. In this
sense the most important aspects of a policy is whether it can be truly implemented. The shift of the focus
on policy implementation supervision started from the beginning of 1970s, due to the Johnson
administration, the development of the "big society" is not fully realized, and the problem lies in the policy
implementation. This has caused the attention of policy researchers. As a result, in the middle of the 1970s,
the majority of experts and scholars turned their attention from policy formulation to the implementation of
the public policy, and developed some valuable theories, such as the action theory of policy
implementation, the organization theory of policy implementation and the game theory of policy
implementation. Therefore, the theoretical significance for the study of policy implementation supervision
lies in three aspects (1) To make up for the lack of previous policy supervision study; (2) To Deepen the
relevant theoretical research and (3)Further improve the scope of supervision research.

2. Literature Review
Scholars at home and abroad have defined the concept of public policy implementation from different
perspectives. The author believes that policy implementation is a dynamic process, which the policy
makers adopt various policy resources and actions such as explanation, propaganda, experiment,
implementation, coordination and monitoring. Policy implementation supervision mechanism could be the
organic unity of the subject, object, social environment, assessment system, responsibility system and so
on.

The western scholars have put forward many policies to implement the theory of public policy
implementation, which mainly has three kinds of representative views: firstly, the action theory of policy
implementation. Action theory is the theory of policy implementation and the course of action. In this
theory, policy implementation is a kind of practical activity, and it is the center of the research on the
implementation of the action. Secondly, theorganization theory of policy implementation. Organizational
theory is the theory of the implementation of the organization in the role and characteristics of the policy
implementation. The theory demonstrates that the implementation of the policy is implemented through the
implementation of the organization, the organization's settings, characteristics, operation, communication
and internal structure and so on, which affects the effective operation of the policy. Therefore, the
organization is the key factor for the formulation of policy. The game theory is that policy implementation
is a kind of interest trading behaviors of different interest groups, mutual compromise between mutual
bargaining, and ultimately achieves a win-win result.

3. The Policy Implementation Supervision in China

123

As for the policy implementation supervision, China is facing some dilemmas: (1) The characteristics of
administrative system determines the policy implementation faced the dilemma between highly centralized
administrative system, regardless of party, and the trend of decentralization and democracy, which brought
about the lack of the policy implementation and the difficulty of supervision; (2) The administrative
culture of bureaucracy and the black box of the operation for administrative affairs, preferring the rule of
man to the rule of law culture is not conducive to the effective supervision of the implementation of
modern expansion policy; (3) The main body of public policy implementation supervision itself lacks of
legislation and the main authority is limited by a lack of coordination between the policy supervision and
the lack of strong support and supervision rights. Therefore, to solve the supervision problem, we must do
a comprehensive consideration, the specimen and the treatment.

4. Suggestions for China supervision mechanism reform
4.1 Complete the policy implementation supervision mechanism
Through the analysis of China's policy implementation supervision mechanism, we conclude that the
implementation of public policy supervision is a complex dynamic process, to establish a sound public
policy implementation of the supervision mechanism; we must strengthen the implementation of public
policy supervision and construction. The key measure is to improve the supervision of architecture
construction, namely "supervision framework of five in one", including the subject of public policy,
supervision and oversight of the implementation of public policy implementation and supervision object,
social environment, public evaluation of the implementation of the responsibility system of public policy,
public policy implementation system.

Professor Chen Zhenming believes that increasing the intensity and depth of policy monitoring is an
important prerequisite for strengthening the supervision of public policy implementation. To strengthen
policy supervision is to ensure that the policy of the main body in the policy process, in particular the
policy implementation, to ensure the authority, legitimacy and policy effective implementation, to achieve
a specific policy objectives and the implementation of the process of the deviation of the process of
discovery and correct behavior". Professor Chen Zhenming mainly from the policy monitoring process to
analyze how to strengthen the supervision of the implementation of the policy, so that the supervision of
the program into a more important position. This is in accordance with the law of China's administrative
procedures for the administration of law.

4.2 Referencing the experience of the international public policy implementation supervision
The western developed countries in the policy monitoring undergone hundreds of years of construction and
has formed a relatively complete operating system. To construct and perfect the supervision mechanism of
public policy implementation in accordance with the national conditions of China, we can draw lessons
from the beneficial experience of the western developed countries in the aspect of policy supervision, so as
to speed up the construction of China's policy supervision mechanism, such as the implementation of the
supervision system, the compliance with the national policy evaluation system, the policy implemented by
the legislative, administrative, judicial, nongovernmental independent assessment agencies as well as the
reconstruction of the administrative system, the basic the principle of separation of powers and checks and
balances are all good references. Although China socialist country, but in the administrative system of
internal appropriate attempt to balance the system design, to monitor the implementation of the policy, is a
useful attempt. What’s more, improving the social supervision system gives a greater power, which is
called the fourth Western powers of public opinion and the supervision responsibility system from the
source to ensure that the policy implementation of the autonomy can also be used as reference.

5. Conclusion
It is a new topic in China for the study on supervision mechanism of public policy implementation. We
have traditionally attached great importance to the comprehensive supervision of public policy research,
and less on the issue of policy implementation. The process of public policy includes five aspects: policy
formulation, policy implementation, policy evaluation, policy termination and policy supervision.
Although this division involves policy supervision, but more emphasis is on the policy of the

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comprehensive supervision, rather than for the supervision of policy implementation. Along with the
acceleration of the process of socialist modernization construction, the introduction of public policy and
the renewal of our country are becoming more and more frequent. In practice, we often encounter the
policy implementation is not accurate, how to curb the situation, which is the focus of the problem, that is,
how to build a scientific policy implementation of the supervision mechanism to ensure the scientific,
effective and orderly implementation of the policy.
Reference
Chen Zhenming. Public policy analysis. Renmin University of China press, 2002
Chen Qingyun. Public policy analysis. China Economic Publishing house. Two thousand
Yu Keping. Governance and good governance, social science literature press, 2000
Rousseau. Social contract theory. He Zhaowu, the Commercial Press, 2003
Montesquieu. On the spirit of law. Zhang Yanshen, the Commercial Press, 1987

125



THE INTERNET THINKING INFLUENCE ON THE PUBLIC HUMAN RESOURCE MANAGEMENT
REASERCH - BASED ON THE PERSPECTIVE OF “CHAORD THEORY”
NIE XIAOGUANG, Hebei University of Economics and Business
MA BIN, Hebei University of Economics and Business

Abstract:With the acceleration of the economics,the development of social, and the emerging of the
“Internet +”,the traditional public human resource management have appeared in the new trend and new
changes.This paper focus on the the traditional problems of public human resources management, and
analyses the influence of "Internet +" and its profound influence to the public human resources
management,combining the Dee Hawke’s “chaord ”theory from the emotional interaction to analyze how
to strengthen the public human resource management and the innovation of public human resources
management incentive mechanism, try to find out the reality of our public human resource management
and the special reasons for this situation, the further to get the new methods and new measures for
strengthening it.In addition,the respect such as large data analysis put forward effective countermeasures,to
intrduce the "Internet +" on public human resource management on the individual and the overall harmony,
so as to improve the efficiency of modern public human resource’s management and benefit.

Key words: Internet Thinking; Public human resource; Internet+; incentive mechanism; public human
resources innovation; Big data

Introduction
Actually the Internet's influence on the public human resource management are various,and it has

reflected its open-end and democracy.At the same time, the Internet has already made some newer and
higher requirements. Requires more stereoscopic thinking, the Internet further change human resources
market, existing public organization structure, more reasonable treatment can make public organization
personnel to do relevant human resource management issues, to promote the management of human
resources change, make the management more scientific and informationized.

1.Conception about the Internet thinking
1.1 source of the Internet thinking

When it comes to the Internet thinking, it is link to the background of mobile client or big data
processing.It is a new way to makes rethink about the whole social model. Yanhong Li,the baidu founder,
put forward the concept of thinking in the Internet firstly. It is not required to transform traditional
industries, as the Internet industry, but can use the Internet mode of thinking, the pattern and concept in the
process of gradual development, has been accepted by more and more entrepreneurs, it have been used in
different areas. "Internet thinking" is directly related to the produce and labour.It have a big influence on
the development of public institutions .For public institutions ,they should pay more attention to the
Internet thinking so that to keep pace with the Times,and to implement the continuous development4.
1.2 Internet thinking in public human resource

To keep up with the Internet equality, open-end, interactive and iterative the overall trend, using the
Internet thought form implementation of human resource management innovation. Due to Internet
decentralized characteristics significantly, it is given new human resource characteristics, the role of the
existing human resources managers, working method and policy mechanism has brought a certain degree
of innovation, compared with the traditional human resources management to produce the bigger
difference5.
2. The Dee Hawke’s “chaord” theroy

4 Jimmy Law.The Internet under the thinking of human resource management innovation[J].Professional，2015(10):30-31.

5 Peny Jianfeng.Hu lian wang shi dai de ren li zi yuan guan li xin si wei [J].ZHONG GUO REN LI ZI YUAN KAI FA,2014(12):6-9.

127

Dee Hawke said: For any self-organization, self-management, social-adaption , nonlinear complex
organisms, or community organization, all combining chaos and order the two proper system, whether
physical, biological, or social behavior, it can exist in harmony .So a sound organization should be open-
end, one is the "chaos" and the other is "order" between "orderly" organization. If the organization can't
keep the open-end of the entirty, it will follow the principle of entropy increase then gradually decay to a
stable state, become a "dead" structure. The order of the organization's central idea is clearly on the
interpersonal relationship, it can make a person sincerely for the hope, vision, value, significance and
freedom and the pursuit of common dedication. Such organizations will be induced and motivate people's
enthusiasm and constructive. The chaord’s principles are as follows.
Principle 1： The powers and functions must be down on Subordinate departments to the most extent.

For any function, if it can be shared by multiple departments,then it does not focus on any sector; For any
power, if you can by more departments at the grass-roots level to exercise, do not control at the top.
Principle 2 : self-organizing.

For somewhat reason, any member should have the right at any time, in any size for self organization or
management, and also have inviolable rights to participate in higher level and the management right of the
organization.
Priciple 3: Management must be spread.

For any individual or organization, or alliance, between each other managers, in particular, shall not
control or dominate any level of any decision or conclusion. It will be the perfect combination of
competition and cooperation. Every part of the organization can be able to in a unique way unfettered free
competition, but to contact each other again, in order to understand the demand of the other members, and
as a whole when you want an integral part to work together. Any related party has the right to participate in
business and management, and enjoy the ownership.

Dee Hawke believes that Industrial revolution formed the organization form of "command - control"
is outdated, it goes against the human nature, has formed the destruction of the biosphere and the harm to
society, therefore, dee hawke hope to establish a new type of organization with the help of the concept of
the biosphere, a kind of like the human body, the brain or biosphere, can self organizing, self management,
self development organization, this is order a prototype of the organization. "Order" at the same time has a
dual characteristic chaord, but no one feature can overwhelm the other side, is a kind of state between the
two. "Order" concept is complexity, organization and management is one of the most important
achievements6. In summary, refers to any order with a self-organizing, adaptive, nonlinear complex
systems, Their behavior showed the characteristics of order and chaos.

The Characteristics of “ chaord ”
1 Based on clear of target and principle;
2 The whole and the parts are self organization and the management;
3 ensure the consistent’s exitense in a realization way;
4 getting power from peripheral and subjecting to the core;
5 target and principle is sustainable,the form and function is variable;
6 evenly distributed power, rights, responsibilities and rewards;
7 the harmonious combination of cooperation and competition;
8 learn, adapt in circulating forever extension and innovation;
9 compatible with the human spirit and the ecosystem;

10 liberation, and multiply resourceful, creative and judgment;
11 compatible and plant diversity, complexity and change.
12 constructively use and conflicts and coordination;
13 try to suppress but the proper use of command and control means.
3. Problems of traditional public sector human resource
Although the traditional human resource management achieve the change from personnel management to
human management, but for the development of public institutions , there are still some restrict factors.
The universality of traditional human resource management, outstanding problems summarized as follows.

6 Fu Xiang.Wu jie zhi ye sheng ya fa zhan yu qi ye ren li zi yuan guan li[J].XIANG TAN GONG XUE YUAN XUE BAO(SHE HUI KE XUE
BAN),2012(3).

128

3.1 Lack organizational centripetal force
Traditional public human resource always pay more attention to the side of management, but give too

little care to the influence of organization’s structure, it's easy to have a separate internal personnel,who is
not willing to collaborate, "each person should sweep the snow from his own doorstep" conditions.
Between different departments, different with department staff, lack of sense of team spirit and cooperation
between relatively cold working environment also dampened enthusiasm and potential of the play, team
cohesion and centripetal force is weak7.
3.2 Affected by a bureaucratic culture of patrimonial individualism

The Chinese bureaucratic culture of patrimonial individualism, including favouritism, nepotism,
localism, and factionalism prevailing within Chinese officialdom as the ethos, value, psychological
disposition, and behavioural orientation of civil servants, has undermined the development in China of a
modern meritocracy-based civil service system8. the Chinese civil service institutions, derived from an
opposite culture of hierarchical collectivism, failed to address the cultural constraints over the
implementation of the meritocracy principle.
3.3 No reasonable human strategic planning.
There is almost fews measures have been taken in the talent, education and talents utilization and so on
,each link is lack awareness of strategic planning.Looking at the macro picture,talent demand can't
combine the long-term development of the enterprise, distribution and circulation. When hiring needs
Talent shortage of effective positioning does not have enough professional knowledge and skills as a
support, the lack of a comprehensive investigation personnel overall quality means. Personnel distribution
more just to fill the job vacancy, did not do, proper people owning suitable and effective talent potential
into full play. Because there is no unit strategic planning, human resources management is relatively
disorder, high staff turnover rate, unable to provide strong support for the enterprise strategic9.
3.4 Lack of staff career planning.

Although the establishment of a perfect organizational system and organizational structure, but still more
severe bureaucracy within the organization, power is relatively concentrated in the upper structure of
individual leadership, human resources department of voice and the decision is very limited.
Organizational structure and the rigidity of the power system failed to provide talents with comprehensive
career planning, employee's expectations of personal vision, easy and organization produce centrifugal
force.
3.5 The lackness of effective incentive.

In the traditional public human resources management, widespread the problem of insufficient incentive.
On the one hand, the use of incentive means is relatively single, that give employees a raise can effectively
arouse their work potential and work enthusiasm, and ignored the spiritual needs of employees and to
pursue higher level; Traditional human resource management, on the other hand, rely too much on
application and system constraints for employees, often prolonged labor and ignore the additional
incentives, even deep cuts in vacation time, cause depression, underpowered, enthusiasm is alway in a low
state.
4. Internet thinking’s revolution in public human resources management

With the continuous development of society and progress, network tools also in the process of gradually,
People's daily life and work has been inseparated from the Internet, Internet thinking’s makes profound
revolution in public human resources management,such as the decentralized,the new normal of evaluation
and incentive,so as to the transition of the staff and the leader.Last but not least the Internet can promote
sharing of human force resource10.
4.1 An independent operation and management, decentralization and employees

7 Fu Hongmei.Chuang xin zhan lue dao xiang xia de ren li zi yuan guan li nei han tan xi[J].MIN YING KE JI， 2013(12):183.
8Zhibin Zhang .Crowding Out Meritocracy? – Cultural Constraints in Chinese Public Human Resource Management[J].Australian Journal of

Public Administration, 2015, Vol.74 (3)

9 Li Zhaoqi.Hu lian wang shi dai dui chuan tong ren li zi yuan guan li de dian fu [J].ZHONG GUO REN LI ZI YUAN GUAN
LI， (1)164一165.
10 Chen Rui.Dui hu lian wang shi dai xia de qi ye ren li zi yuan guan li xin mo shi de si kao [J].CHANG CHUN SHI FAN DA
XUE XUE BAO,2015 (2):192-193.

129

According the chaord principle 1, The powers and functions must be down to the most extent.For any
function, if it can be shared by multiple departments,then do not focus on one sector; For any power, if
you can by more departments at the grass-roots level to exercise, do not control at the top.In the Internet
age, the public sector should also present the mesh and parallel connection of ecological organic system.
Organization is no longer defined the core employees, every employee can play a key role in their jobs.At
the same time, the authority of the organization and voice become scattered. The past organization say is
top-down, the single resource allocation system. But in the Internet age, who is the most close to the
customer, who is the most close to the department of the value chain to liquidate the terminal, who is the
most have a say, most likely to become the core of the organization11.

An organization is likely to change direction toward organization non-core, this is also a feature of the
Internet era. A worm, big contribution The age of the Internet is actually a revolution, the revolution is a
person's ability to revolution, the revolution of value creation. As the organization flattening, custom and
routing, value creation ability of its people and benefit to enlarge. As long as the shot point can be found,
the individual can help organization of digital platform to enlarge their effect of human resources.
4.2 Evaluation and incentive in a new normal

The age of the Internet makes human communication distance and cost tends to zero, the information
symmetry and information transparency can make employees more free to express their own emotional
change and value pursuit, and in the community consensus and opinion leaders. So enterprise in research
and development design and provide product library human resources, to pay more attention to the
emotional needs of the employees and the value realization of appeal, the value of the products and
services and increase talents in human resources experience.

In the Internet times, the staff problem and requirement can be completed timely feedback
communication; For any valuable employee behavior, the recognition and encouragement to anywhere at
any time; Let the evaluation and incentive ever-present, everywhere. Especially under the condition of the
premise of total wages don't rise, if you want to arouse the enthusiasm of employees at the grass-roots
level, to improve their experience value, improve the quality of products and services of human resources,
establishment of a comprehensive recognition of incentive system, such as loyalty, love, acceptance,
performance acceptance, behavior recognition, growth, recognition, and so on. Human resource in the
future will be like army, fans is a circle of value creation, rather than the individual. So the public sector to
build "fans", create the value of human resources to create circles, and improve the viscosity of value
creation circle and loyalty.
4.3 Employees shift from "economic man" to "knowledge",Leaders shift from the "commander"
into "collaborators"

As the traditional human resources management theory, human resource usage should maximize revenue
and cost savings. Admitted that the theory is the important resources in the enterprise, while now the think
should adhere to the minimum investment in human capital and the lowest reward maximize revenues.As
the early economics principle, it always pay attention to human resource development requirements at the
same time, saving the cost of human resources as far as possible. Therefore in the human resources
management, always try to use third-rate salary keep second-rate talent, and then encourage their first-class
contribution to the human resources. In essence, such human resources management of enterprise, equating
employees to economics in the sense of "person", think that the essence of human resources is measurable
economic units. As the Internet penetration of information technology and information transfer,China's
demographic dividend gradually weakened, corporate profits rely more on employees' mental work,
instead of cheap Labour, machinery operation skills and knowledge employees.

While the leaders shift from the "commander" into "collaborators". According to the chaord principle 3,
the anagement must be spread. For any individual or organization, or alliance, between each other
managers, in particular, shall not control or dominate any level of any decision or conclusion. Traditional
human resource management thought, the leader should be the power and ability in the midrange, nothing
is not, omnipotent. Leaders need to know the big picture and think long-term, formulate strategic planning
design, the management level, and through the implementation of various management system to supervise
staff to carry out; Leaders based on their own understanding and ideas, through collective activities and

11 Bai Yu.Hu lian wang shi dai xia de ren li zi yuan guan li yu chuang xin[J].XIAN DAI JING JI XIN XI，2015 (3):106-108

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encourage employees to constantly into; Leader according to employee performance rewards and
punishment, encouragement, and make the employees improve work efficiency and effectiveness. Through
advanced thinking, long-term perspective, rational system and the strong great ability of condensation,
leader is able to effectively manage enterprise. However, with the advent of the era of Internet, the staff
common their own individual thinking and independent values deeply rooted in the original enterprise and
organization role, interpersonal relationship, work process, system, could be questioned, and subversion.
4.4 The Internet to promote human force resource sharing

In the future, a department within the shortage of talent flow is the inevitable trend in the development.In
order to adapt to the current, it is necessary to increase the strength of human resource management, in
addition to the need to look normal human flow, also need to realize the sharing of human resources, to be
able to solve the problem of high level talent scarcity, not just rely on the mobility of the enterprise, also
need to ensure the sharing of social resources, to avoid the reality by time or space, ensure the effect of
resource sharing, and promote the development of the Internet HeJinYan HR long all open positions on its
web site information, for example, by certified HR recommend candidates again, give full play to both
HR's abundant human resources, and ensure that the quality of the recommended personnel. Registered HR
through successful candidates recommended candidates, help on suitable post to work for a long time,
generous commission on a monthly basis. HR will no longer need to be busy in the talent market to find a
resume, but to help candidates more long-term cooperation work on better jobs, help candidates combing
career development plans.
5. The countermeasures of the background of the Internet thinking
5.1 To Establish talents interactive channels, improve the value experience of employees

The "Internet +" has showed a stronger interaction interactivity. Affected by the positive mesh type
enterprise organization structure transformation, the network economic effect. In the parallel structure of
the mesh type, the more close to the customer, the more can be created value and realize the products and
services the new. Therefore, the traditional enterprise upper has power and discourse.Rights situation will
greatly change, every level of employees Can be the center of the enterprise operation. Therefore, modern
Human resource management should be improved step by step around the upper and nuclear Heart work
talent management train of thought, forms the enterprise Interact with all levels of employees channel,
makes people all share the organization value system find existence move and inspire points, thus further
enlarge enterprise human resource management effectment. The flattening management, KPI drivers,
etc.are in the manifestation of self-independence of heart and staff management. In order to achieve this
goal, "Internet +" human resource management control should pay attention to the means to pay attention
to the product and the service transition, the real enterprise staff will as a product And the experience of the
designer and service, make employees enterprise human resources management of real customers. On the
other side, the human resources management should pay more attention to the price of the employees and
make all kinds of platform Value experience, let employees use platform to participate in enterprise
decision-making To develop and product research and development, the design and the experience of
service.
5.2 To establish a new talent incentive mechanism

The sense of honor and sense of mission. Traditional organizational incentive mechanism generally
based on the contract commitments, and the relationship of constraints for the enterprise and employees to
obey,Therefore enterprise's salary, benefits and other hr policies based on the logic of rewards and
punishments. But as the "Internet+ " attached to organization and staff have the stronger and stronger since
the drive and self-discipline force, so as to the greater sovereignty, change the position of ever bound,
become the enterprise centripetal force and ascension.I n order to adapt to “Internet+”trend, human
resource management also need to build trust the cornerstone of building improve employees sense of
honor, sense of mission, career are long-term incentive mechanism. In recent years, haier said that without
boundary, management without leadership, supply chain enterprise Scale-free, staff independent ,the new
strategy is just the embodiment of both accords with the trend of the "Internet +". In completion of
strategic decision, human resource managers should be cut real peace will motivate focus on employee
career development platform to build, build let employees setting goals, to promote make employees self
driven development platform, the realization of individual and enterprise win-win, arouse the creativity of
employees, the sense of responsibility and initiative.

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5.3 To establish a quantitative analysis of talent management
In the public human resources management, the rational sense can be said to be two nagement, in

addition to performance appraisal, compensation statistics such as part of the quantitative analysis,the same
as recruitment, culture and training is not fully programmed decisions. However, in the "Internet + ", under
the influence of employees and managers, staff and guests families, and many of the staff and the staff
interaction of the Big data, summary, analysis and comparison of large data, it provides a quantitative
analysis and process for human resources managers on the basis of ordering decisions. The usage of big
data can assist public hr management from small samples to predict big trend potential and future
evolution, forecast for staff salary expectations value, for human resource post system Settings, labor
disputes resolve disputes, predicting recruitment training needs, etc.
5.4 Enhance knowledge management

As to the government departments, a knowledge management can help enhance administrative efficiency
and promote the effective use of human resources12. Traditional government personnel administration
functions have been unable to adapt to the time’s needs. In the future, we should stand in a development
view of human resource, lined up the talent who is good at learning and thinking. Put a way to motivate the
production of public knowledge of human resources, and the will of creation and sharing. In order to avoid
the depreciation of knowledge, we need to invest a lot of resources in existing manpower training and re-
education.

Reference

[1] Jimmy Law.The Internet under the thinking of human resource management
innovation[J].Professional， 2015(10):30-31.
[2]Peny Jian feng.Hu lian wang shi dai de ren li zi yuan guan li xin si wei [J].ZHONG GUO REN LI ZI
YUAN KAI FA,2014(12):6-9.
[3] Fu Xiang.Wu jie zhi ye sheng ya fa zhan yu qi ye ren li zi yuan guan li[J].XIANG TAN GONG XUE
YUAN XUE BAO(SHE HUI KE XUE BAN),2012(3).
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KE JI， 2013(12):183.
[5]Zhibin Zhang .Crowding Out Meritocracy? – Cultural Constraints in Chinese Public Human Resource
Management[J].Australian Journal of Public Administration, 2015, Vol.74 (3)
[6]Li Zhaoqi.Hu lian wang shi dai dui chuan tong ren li zi yuan guan li de dian fu [J].ZHONG GUO REN
LI ZI YUAN GUAN LI， (1)164一165.
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CHUN SHI FAN DA XUE XUE BAO,2015 (2):192-193.
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XI， 2015 (3):106-108
[9]LIU Xin, NUO Min.The New Initiatives for Strengthening Public Human Resource
Management[J].Management Science and Engineering.2014(4)

12LIU Xin, NUO Min.The New Initiatives for Strengthening Public Human Resource Management[J].Management Science and
Engineering.2014(4)

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ANALYSIS OF SUPERVISION MEASURES IN LOCAL NETWORK MARKET
ZIXING MO, Hebei University of Economics and Business
XIAOJUN GUO, Hebei University of Economics and Business

Abstract： With the arrival of the Network economy era, the whole social and economic life has undergone
tremendous changes. Network economy changes the traditional way of business activities; Regional
economy produced a significant and far-reaching influence. And The economic development of China's
Internet is swift and violent, in the past decade, rapid development has become the world's largest network
retail market, by the end of 2014, our country network commodity transaction size has reached 10.2 trillion
yuan. With the rapid development of network economy, network offense also to ten times or even non-
linear growth. Sustained and healthy development of the network market, Urgently need to meet the needs
of economic development, the Government in formulating a new economic system to maintain a fair and
just order of network transactions. Based on case, this paper has introduced network market status,
analyzed the network market problems, then economic regulation for the current network problems and
challenge, verify that the network operator market, building business credit monitoring system, and to
strengthen the construction of supervision team to put forward some countermeasures.

Keywords： Network market Supervision Measures Market order

1. Introduction
Case introduced: In July, market supervision administration of Xinle received an inform against report
from a consumer of other city. Consumers from Xinle network operators to buy $twenty thousand worth of
furniture. Late the consumer found what the website claimed that the products such as green environmental
protection is unsubstantiated, believed the network operator is suspected of fraudulent advertising, then
turn to market supervision administration, asked for investigation and disposal.

2. Disposal
Received a consumer reports, our law enforcement officers investigated the matter immediately, found out
the furniture company belongs to two areas. Law enforcement officers found that the company’s address
shown on the website is in a store of Xinle, but it was empty, no workers were found. By examining the
enterprise registration information, law enforcement officers found the company’s address is false as well.
By phone, the legal representative of the company said he was only a nominal legal person, not privy to
day-to-day operations of the company, told law enforcement officers Mr. Liu is the real legal person. Law
enforcement officials informed and order Mr. Liu to come to Xinle market supervision administration to
cooperate with the investigation. Till now, Mr. Liu still could not be reached, cases cannot be settled. Xinle
market supervision administration listed the furniture company in the abnormal operation list.

3. Analysis
With the development of the Internet, online shopping has become one of the most important forms of
consumption. At the same time in the network economy booming, the illegal behavior of network
commodity transaction also go hand in hand, emerge in an endless stream. Regardless of the individual
network business, or third party network trading platforms, there are problems including infringing of
trademark rights, unqualified commodity, fraudulent advertising, releasing illegal advertising and other
illegal behaviors. All these seriously affected the normal order of the network market, hindered the healthy
development of the network economy.
In order to ensure the sustainable and healthy development of the network economy, must establish the
good network market order, which depends on the relevant departments of the network commodities
trading supervision. For each relevant functional departments, belongs to a new thing of network
commodity transaction, the network commodity transaction regulation is a new field, compared with the
traditional supervision, network commodity trading regulation network in the method of division of
responsibilities, supervision way are obviously different.

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4. Problem

4.1. The illegal behavior of network commodity transaction hard to investigate
Network commodity transaction happens in a virtual market, web page information or transaction data and
other evidence are quite easy to be destroyed. After the consumer disputes, some businesses adopt the
strategy of delaying, hiding, acting shamelessly, even modify, destroy, or delete the transaction data.
Transaction data often controlled by the enterprise or its authorized third party, market supervision
administration’s investigating needs the enterprise’s cooperation, and limited by the equipment and means
of obtaining evidence in local market supervision administration, increases the difficulty of forensics work.

4.2. Online commodity trading violations punished hard
With super time, super regional characteristics of the Internet, the activities of network operators is very
subtle, unable to take a common regulatory approach to addressing complaints, investigation and handling
of cases. In practice, some complaints reporting maybe across the jurisdictions, some even involve
overseas operators, it’s difficult to sanction parties, even though the law enforcement official handled a
complete evidence, as a direct result of cases not solved completely.

4.3. Network commodity transaction supervision effect is poor
Network commodity transaction involves e-commerce, computer networks, and much other areas of
science and technology knowledge, regulators have to master proficiency in Internet-related knowledge
and network knowledge, as well as in transaction management and business law. Current law enforcement
personnel is unable to meet this requirement, regulatory means still stay on by searching the web, door-to-
door to collect information, which is heavy in workload and low efficiency. It is still unable to build an
network commodity transaction supervision method to detect illegal behavior effectively on the Internet.

5. Countermeasures

5.1. To strengthen the supervision of market access
The enterprises or individuals which will trade commodities through the network, should be required to
register the communications department or Internet trading platform(Taobao, dangdang, etc.), check the
companies or personal real information, then the communications department or Internet trading platform
open e-commerce platform for legal affairs, and allows the query information.

5.2. Speeding up the construction of the network credit system and the supervision platform
To strengthen the construction of credit warning platform of network commodities transaction. The
platform would exposure the illegal behavior that seriously violated consumers legitimate rights real-
timely, regularly published online shopping consumer alert to remind consumers trading risks.. Transaction
data, web site, detailed address and contact telephone number, payment vouchers and other information
must be saved to ensure the safety of trading.

5.3. To strengthen the construction of supervisor team．
According to the age and responsibility division of labor, reasonable determination of the content of study
and training, adjust and improve the daily duties. Law enforcement officials should contact theory and
practice, through real work and real time to resolve outstanding issues. To strengthen the construction of
supervisor team, including enhancing network monitoring of staffing, training and management, network
supervision, strengthening the fiber network monitoring platform search material equipped with network
support, professional supervision, and so on. Obviously, if only by constantly explore new means and
methods of supervision, we will make our government more reasonable and scientific.

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References
[1] Cao Jie. Regulation research of online transactions. East China University of Political Science and
Law, 2014.
[2] Liu Donghong. Regulation of network commodities trading research in China. Shandong University of
Finance and Economics, 2013.
[3] Yang Yue. Regulation of online transactions. China business press, 2014.
[4] Liu hongliang. Strengthening network market supervision and boost healthy development of the
Internet market. Study on China Administration for Industry & Commerce,2013 (11).
[5] Zhang zhiqiang.The current situation and countermeasures of the network commodity trading
regulation in China. Shandong University,2015.
[6] Tthe China Internet network information center. 35th China statistical report on Internet development
in 2015.
[7] David Coen,Chris Doyle,Designing economic regulatory institutions for european network
industries,October 2006.

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A SURVEY ON THE PUBLIC’S SMOKING AND SMOKING CONTROL IN HANDAN CITY
YANG MENGJIE, Hebei University of Economics and Business
FENGQI LIN, Hebei University of Economics and Business

【 Abstract】 Smoke control is a worldwide trend, but China is the country with big tobacco production
and consumption , so that smoke control is a very difficult task yet. Smoking prohibition in public places
has aroused widespread attention. The author through to observe the smoking in bus stop, high-speed rail,
some hospitals and restaurants, analyses the reason of smoking effect is not obvious, and puts forward the
corresponding countermeasures and suggestions. This is helpful to promote and protect the public health.

【 Key words】 Public places; Smoking; Smoking prohibition; Measures

1.Introduction
Tobacco is a very special items. On the one hand, in any country in the world, the production of

tobacco are bring huge economic benefits, and provides huge tax revenue for the government; On the other
hand, the consumption of tobacco and thereby causes the loss of the people's health, productivity, life, and
even cause the increase of medical expense. According to the medical study, cigarette smoke, 92% for gas,
such as carbon monoxide, dimethyl phosphite ammonium nitrate, hydrocyanic acid, 8% for tar, it contains
nicotine, polycyclic aromatic hydrocarbon, arsenic and some radioactive paperless. It is proved that have
more than 40 kinds of carcinogens. Smoking not only harmful to smokers himself, also for non-smokers
passive inhalation of environmental tobacco smoke harm to their health.

To reduce non-smokers received the dangers of tobacco, universal restricting smoking areas of
government controls. The world health organization's framework convention on tobacco control came into
effect on February 27, 2005, one of its guiding principle is develping the law of banning smoking in public
to protect nonsmokers from the dangers of tobacco smoke. Framework convention on tobacco control
formulated by the world health organization, was full implemented in China,2011. It means that for China
we must realize the promise of a ban on smoking in indoor public places, indoor workplaces and public
transport in 3 years . On May 1, 2011 ,the ministry of health started the Public health management
regulation rules. The provisions is smoking is forbidden in indoor public places and corresponding control
measures should be taken. The state council legislative affairs office released Regulations On Control Of
Smoking In Public Places’ on November 24, 2014 , and seek public opinion on it. This is the first time in
our country to formulate administrative regulations to control smoke in our country. June 1, 2015, Known
as the most severe smoking prohibition in the history ,The Regulations On Control Of Smoking In Beijing
is released, has attracted wide attention in society.

Tobacco is one of the most serious factors endangering human health, smoking in public places has
become an important public health problem. Analyses the reason of smoking effect is not obvious and puts
forward the corresponding countermeasures and Suggestions, which is beneficial to promote and protect
the public health.

2.Review
The international community’ study of tobacco hazard has quite mature. With the development of

medicine, scientists have confirmed that smoking not only harmful to smokers, but also non-smokers by
"passive smoking". "Smoking and health" began to become a global topic, people begin to pay more
attention to the harm of smoking on health. Richard ,"Tobacco causes cancer discovery" and the "father of
epidemiological” pointed out that smoking increases the risk of death, can lead to 40 kinds of diseases,
each kind of deadly.

On October 19, 2015, the world health organization, the international tobacco control policy
evaluation project project (ITC) and the Chinese center for disease control and prevention jointly issued
"China smoke-free policies - effect evaluation and policy recommendations”. According to the report,
tobacco use has brought great harm to China's public health. If you do not take effective measures to ban
smoking in public places, China's illness and death caused by secondhand smoke will continue to rise,

137

thereby more aggravating about the dangers of tobacco use. From the perspective of public health and
people health, the government control policy is beyond doubt.

3.Methods
Observation method

4.Results
This investigation through to observe the smoking in bus stop , high-speed rail, some hospitals and

restaurants in Handan city, and found that more than half of the phenomenon of smoking in public places
have occurred, restaurant indoor smoking prohibition were in poor condition, bus station indoor smoking
situation is good, hospitals, high-speed rail indoor smoking situation is best, smoking rates are low.

5.Discussion
The survey found that the main cause of smoking effect is not obvious as follows:
First, the Handan city not issued relevant laws, regulations and rules on smoking in public places.

Means people often gather in public places for public use and/or services in the public places. Smoking in
public places will affect other people, namely has the externality, and lead to efficiency loss. Coase
theorem has tell us profoundly, clearly defining propriety rights is more important than who has the right .
This provides theory basis for smoke control policy for the government.

Second, different of literacy has a significant association with smoking effect. The literacy is higher
,the will of control smoking and discourage others from smoking in public places is stronger. The higher
literacy may be pay more attention to health, more aware of the dangers of secondhand smoke, so they
against smoking in public places.

Third, the part of public places have no "no smoking" signs , mainly for the restaurant. Smoking
identification is one of the smoke control measures. Most of restaurants are operated by a private owner,
lack of corresponding control regulator. And restaurant manager don't want to post "no smoking" signs and
discourage customer smoking ,because they may worry that it may affect operating revenue and meet with
customers’ opposition.

6.Conclusion
At present, secondhand smoke has become an important cause of disease and early death, so control

smoking in public places, the decrease of secondhand smoke is the important measures to protect every
citizen public health right .For improving the efficiency of smoking in public places, we should be make
improvement:

First, perfect the laws and regulations, clear scope of smoking, law enforcement main body, legal
responsibility and punishment procedures, punishment rules, provide system guarantee for control smoking
in public places.

Second, strengthen advocation of CCDC in public places, especially to people with lower literacy ,
which is easy to understand, easy to obtain with illustrations.

Third, promote Smoking prohibition in public places, especially should strengthen the supervision
and management of the private restaurant.

References
No. 80 of the People's Republic of China health ministry ,Public health management regulation rules.
Wang Jian , Zeng Zhaofang, Wu Chengbin, etc. The analysis of the situation and countermeasures study in

Chongqing city[J]. Journal of laser, 2011, 32 (2) : 92-93.
Gu D,Wu X,Reynolds K,et al.Cigarette Smoking and Exposure to Environmental Tobaccao Smoke in

China:The International Collaborative Study of Cardiovacular Disease in Asia[J].American Journal of
Public Health,2004,94:1972-1976.
Gruber J,Koszegi B.A Modern Economic View of Tobacco Taxation[R].Paris:International Union Against
Tuberculosis and Lung Disease,2008.
Hu Dewei, Mao Zhengzhong. The economic research of tobacco control in China [C]. Beijing: economic
science press, 2008

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Mons U,Nagelhout GE,Guignard R,et al.Comprehensive smoke-free policies attract more support from
smokers in Europe than partial policies[J].Eur J Public Health,2012,22(Suppl 1):10-16.

139



THE GUIDING OF LOW-CARBON LIFE
YINGDONG ZHANG, Hebei University of Economics and Business
JINGLIU, Hebei University of Economics and Business

Abstract: Under the background of the human environment deteriorating and the growing shortage of
energy, low-carbon economy becomes a new type of economics to seek ways to reduce carbon emissions
in order to solve global warming and other issues arising. In addition to relying on advanced technology to
adjust the structure of enterprises, we should also rely on consumers to take a low-carbon living patterns to
achieve this goal. A survey of 100 questionnaires indicates that around 96% respondents are familiar to
“low-carbon life” and 85% of them have higher awareness of low carbon lifestyle but unfortunately only
70% hold it in practice. This conclusion shows that low carbon lifestyle has become increasingly popular
in China.

Keywords: guiding; low-carbon life; low-carbon economy; low-carbon consumption

1. Introduction
With the growing global population and economic scale, in order to meet people's pursuit of material

wealth, the high energy-consuming consumer products pour into people's lives, such as refrigerator, TV,
computer, air conditioner, washing machine, car, housing and so on. However, in order to meet the
production and use of these products, the energy extraction of coal, oil, gas, forest, has reached an
unprecedented level. High level of economic activities by over-exploitation and energy consumption
results in limited resources reserved on Earth. Energy crisis overlaps constantly. Mankind would have been
deposited in the high-carbon consumption resulting in the formation of "carbon pool" to compare fast flow
of the atmosphere, leading to global warming, so the human environment increasingly worse. Development
of the concept of low-carbon economy emerges. Under the background of the human environment
deteriorating, the growing shortage of large energy, low-carbon economy is a new type of economics to
seek ways to reduce carbon emissions in order to solve global warming and other issues arising. In the
pattern of low-carbon economy, people's life can gradually move away from the irrational use of energy
and adverse effects, and people will enjoy the economic energy and green energy as the theme of a low-
carbon life. As the name suggests, it is a low-carbon life to reduce carbon dioxide emissions, also it is to
lower energy consumption, lifestyle characterized by low expenditure. It is a process of human and social
development of the fundamental requirements to deal with climate warming, and people aspire to achieve
ecological civilization, to protect the environment, so that consumption behavior and consumption
structure of human beings are becoming more and more scientific.

2. Literature review
Experts study showed that low carbon life is not only the inevitable outcome of the low carbon

economy development, but also the inherent requirement of their own development and the harmony of
body and mind. TaoMan of Hunan university of technology thought that exploring a low-carbon life path
needed to start with the social system, policy environment, low carbon consumption culture atmosphere,
the guiding role of theory of science and technology and ecological moral culture of subjective and
objective (Try to talk about the path of the low carbon lifestyle, journal of nanhua university, April 2011) ;
Xue Hongyan of Daqing petroleum institute of economic management institute thought that the
development of low carbon life needed various efforts ,such as government, enterprise, public media,
consumers and others(New perspective, March 2013); Ren Zhifen of The law school of shaoxing liberal art
&science thought that low carbon life is the key to grasp the essence of low-carbon life, put into effect to
popularize low carbon consciousness, shape the future life, improve the policies and regulations, perfect
life order, insist on scientific development and return to natural life (Economic view, April 2011).

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3. Methodology
In order to guide consumers to implement low carbon life by exploring the correct method, a

questionnaire survey to 100 people has been done, and input "low-carbon economy", "low-carbon life",
"green consumption" keywords to Chinese Hownet to retrieve the recent research results.

4. Results

4.1People have a high recognition about "low-carbon "
The results of the survey shows that 96% of respondents have heard of "low carbon economy" or

"low-carbon life", and "low-carbon life" has been highly recognized. Not heard of low carbon is only 4%.

4.2 "low-carbon life" - diet
At the cognitive level, the awareness of low carbon diet is about 70%, basic cognitive level is higher.

On a practical level, the ratio of avoiding fried, eating more vegetables and less meat diet keeping in good
health is about 85%, the practice rate is higher.

4.3"low-carbon life" - the household life
Household life has higher awareness of low carbon lifestyle, such as turning off lights when leaving

rooms, opening window ventilated frequently, reducing the use of air conditioning, choosing energy-
efficient appliances, planned shopping, moderate consumption, taking reusable shopping bags, using less
disposable utensils, unplugging water dispenser power when not in use, flushing toilet with washing water
and so on. More cognitive levels is at 85% or more. But practice rate is about 70%, relatively low hand-
wash clothes, cook rice earlier, especially the use of cloth handkerchiefs with lowest rates is only 43%.The
biggest recognition rate is 42% higher than practice.

4.4 "low-carbon life" - the transportation
In terms of transportation of low carbon, cognitive level is higher, the rate of awareness in an average

is 82%, the rate of walking and riding a bike to travel is as high as 88%. In many kinds of low-carbon ways
to travel there is a big difference in practice, driving less as far as possible, choosing the practice of public
transport, the rate is as high as 86.9%, choosing the train as far as possible while on a business trip, less
choice aircraft rate is less than 60%, the practice and the cognition practice gap, matching degree is bigger.

4.5 "low-carbon life" - work office
The recognition of the low-carbon lifestyle of office daily work is about 80%, cognitive level is

higher. On a practical level, the rate of the office air purification plant is 73%, the practice of recognition is
less than 8%, macmillan deviation is bigger. Printing double-sided each paper, turning off the computer
when not in use, the rate is above 80%, the practice of other ways including practical situation is better.

5. Discussion
Through the results of the survey, we can see that people have high cognition of low-carbon life

generally, but the rate of practice still needs to be further enhanced. To implement low carbon life, in large,
is to develop low carbon economy on the basis of low energy consumption, low emissions and low
pollution. Its essence is to improve the energy efficiency and new innovative clean energy structure, and
the core is the change of technology innovation, system innovation and development. In small, to
implement low carbon life is to raise public awareness and public participation enthusiasm, With food,
clothing, shelter, transportation and other details to implement low carbon life, such as China's urban
residents life with energy accounts for about a year, account for 26% of the national energy consumption,
but carbon dioxide emissions by 30% of the residents living behavior and meeting the needs of these
behaviors. According to statistics, discarded plastic bags a year in China is equal to the consumes 10
million barrels of gasoline; Printing each paper double-sided, equivalent to half of the forest will not be
cut; After washing clothes without washing machine to dry, but to choose natural air can reduce 2 kg of
carbon dioxide emissions; Turn off the computer and display when you don’t use it, these appliances for

142

carbon dioxide emissions reduce a third. As long as everyone has a good habit, low carbon consumption,
low carbon travel, low carbon life will become a reality.

6. Conclusion
As a simple and frugal lifestyle, low carbon life requires people to form the good habit of saving

energy in our daily life, so it will improve people's quality of life, and build a resource-conserving and
environmentally friendly society. Low-carbon life is not only a way of life, but also a kind of
environmental responsibility of sustainable development. Low-carbon life requires people to set up the
brand-new life view and attitude, to reduce carbon emissions and promote the harmonious development of
man and nature. It is an important way to coordinate the economic and social development to protect the
environment.

Global warming is not only the responsibility of the government and enterprises, also is not only the
environmentalists or experts and scholars have to worry about, but is closely related to everyone’s life.
Low carbon life is a kind of brand-new concept, only to seize the opportunity of low carbon, master the
future development, choose low carbon life will be able to enjoy a better future.

Reference
[1]Zhang,Y.P. (2009). Low-carbon economy and low carbon life (in Chinese).Chinese and foreign
energy,2009(3):14-15.
[2]Sun,L.N.(2010).Discussion of low-carbon lifestyle(in Chinese). Technology wind,2010(10):12-15.
[3]Tian,C.(2008). Low-carbon life is a better way of life, World Environment, 2008(2):31-35.
[4]Chen,X.F.(2008). Simple life(in Chinese).Friends of Nature Communication,2008(3):48-50.
[5]Huang,X.L.,Lu,Z.N.,&Wang,L.(2011).The overview of residents of low carbon life behavior research,
Science and Technology Management Research,2011(18).
[6]Zhang,J.(2010). Thinking about urban residents enjoy low carbon life, Society, 2010(09).
[7]Feng,X. (2014). The education thinking of Urban residents' awareness of low carbon life, 2014(8).
[8]Fan,X.X. (2010). The moral appeals of Low-carbon living environment, Social sciences in qingh,
2010(5).
[9]Qiang,J.(2015).The research of life science and technology practice about Green energy efficiency
power low carbon , Tianjin Science & Technology ,2015(5).
[10]Yao,X.N.(2011). Low carbon life: environmental ethics construction of our daily life , Study &
Exploration ,2011(01).
[11]Toshihiko NAKATA,Mikhail RODIONOV,Diego SILVA.,Joni JUPESTA(2010).Shift to a low carbon

society through energy systems design. Science China(Technological Sciences),2010(1).

143



A PERSPECTIVE ON THE ANTI-CORRUPTION ACCUMULATED FUND SYSTEM---- AN
EXAMPLE OF JIANGMEN CITY IN CHINA
NUAN LU, Hebei University of Economics and Business
JIANGUO SHEN, Hebei University of Economics and Business

Abstract: Anti-corruption accumulated fund system is an innovative system to prevent corruption，and
which is our local governments actively explore to effectively control and govern corruption. This fund
system has played an important role in the prevention of corruption, it reduces the motivation and behavior
of corruption of public officials, so it is an anti-corruption mode worth learning. The fund system not only
has a positive meaning for the anti - corruption, but also encourage civil servants’ honest political
behavior. So from the beginning of 2000, China began the exploration of the anti-corruption accumulated
fund system, especially in Jiangmen City, Guangdong Province, the trail of the fund system caused great
impact in china. But due to various reasons, the trial of the fund system failed ultimately. It is pointed out
questions about the fund system of Jiangmen from all sectors, such us fairness, impartiality, rationality and
effectiveness, and finally basing on these questions, constructive solutions about anti-corruption
accumulated fund system was given.
Key word: anti-corruption accumulated fund system, Jiangmen city, anti-corruption

对我国廉政公积金制度的思考

——以江门市廉政公积金制度为例

摘要：廉政公积金制度是我国地方政府为了有效地控制和治理腐败，而积极探索的一种创新性的预防腐败
的制度。廉政公积金制度在预防腐败上发挥了重要的作用，它降低了公职人员的腐败动机，减少了公职人
员的腐败行为，这是一种值得借鉴的反腐模式。 廉政公积金制度不仅对防腐治腐有积极意义，而且对公务
员廉政行为具有激励作用。所以从 2000 年开始，我国开始了对廉政公积金制度的探索，尤其是广东省江门
市对廉政公积金制度的试行在全国引起了不小的影响。但是由于各种原因使廉政公积金制度的试行最终走
向失败。文章通过指出各界对江门市廉政公积金制度的公平性、公正性、合理性和有效性方面的质疑，最
后就这些质疑提出对我国廉政公积金制度的建构策略。
关键词：廉政公积金制度 江门市 反腐

受中国香港、新加坡的经济反腐经验启迪，2000 年后，我国一些地方开始了廉政公积金的制度探索。
不可否认，廉政公积金在反腐实践中具有积极的意义，它通过制度设计把经济学中的激励相容原理融入公
务员薪酬制度，使我国廉政制度建设走向经济学思维。2010 年 7 月 1 日，广东省江门市试行廉政公积金制
度，这一做法引起人们的热议。究竟是什么将江门市的廉政公积金制度推向失败，我国的廉政公积金制度
应该走向何处，值得讨论和研究。本文指出了各界对江门市廉政公积金制度在试行期的质疑，并就这些质
疑提出对我国廉政公积金制度的建构策略。

1.廉政公积金制度概述
1.1 概念

在我国推行廉政金的地区，各地对其有不同的称呼。比如“廉政保证金”、“廉洁从警退休金”、“
廉政公积金”等等，但因为性质特点大致相同，所以本文将之统称为廉政公积金。

廉政公积金制度是一种期权制度，公积金由政府和公务员双方按照规定的比例按月存缴，如果公务员
在退休以前没有任何腐败记录，退休以后就可以一次获得廉政公积金，是高薪养廉的形式之一。13我国的廉
政公积金制度是借鉴了新加坡“中央公积金”的做法，以期达到与新加坡相似的防腐效果。
1.2 推行廉政公积金制度的意义

13 毛昭辉.监察学[M].北京:中央广播电视大学出版社,2008.120、120.

145

1.2.1 防腐治腐
廉政公积金是政府与公务员按规定比例按月存缴的资金，公务员需要在退休时以廉洁从政为条件才能

获得这笔公积金。所以廉政公积金就成为了公务员的腐败成本，而且廉政公积金的金额逐年累计，使公务
员的腐败成本也逐年递增，这在一定程度上起到了防止腐败的作用。我国治理腐败一般都是事后治理，廉
政公积金制度是一种事前防腐，防患于未然的做法可以大大减小治腐成本。

1.2.2 激励廉政行为
现行的公务员激励机制中多为负激励，体现为对腐败行为的行政处分和刑事处罚，这种负激励的结果

是让公务员产生对职业的倦怠感。虽然这种负激励也可以在一定程度上防止腐败行为的发生，但是却缺少
了人文关怀。廉政公积金的尝试为解决这个问题提供了思路：公务员只要廉洁从政，不仅可以获得廉政考
核奖金，而且退休时可以获得大额的廉政公积金。这不仅使他们退休后的生活有了丰裕的物质保障，还能
使他们获得清廉的名誉。可见，廉政公积金制度在促进公务员廉洁从政方面发挥了物质激励和精神激励的
两种功效。

2.江门市廉政公积金制度的试行内容
2010 年 7 月 1 日，江门市委专门下发了《江门市市直廉政公积金试行办法》，对“廉政公积金”的缴

存、支付、管理等内容进行了明确。按照江门市的试行办法，廉政公积金针对江门市直机关的公务员，采
取自愿加入的方式。

市财政资金列入年度预算安排，并且根据责任越大、风险越大的管理原则，廉政公积金的缴存标准按
现任职务拉开档次。其中，个人和市财政的出资比例釆用各占 50%的办法。当个人职务发生升降时，从任职
通知时间的次月起，廉政公积金缴存标准随职务变化作相应的调整。单位在办理工资变动时，同时办理缴
存标准变动手续。凡遵守党风廉政纪律规定，未受到处分的公务员，5 年可兑现累积全额的 70%，余款为长
期基金存至退休时一并领取；如个人发生违纪违法情况，则要按一定比例(50%-100%)扣除账户资金并上缴
国库。

3.对江门市廉政公积金制度的质疑
3.1 公平性质疑

廉政公积金其实是一种变相的加薪行为。事实上，公务员已经享受到了应有的工资福利待遇，在公众
眼中公务员是稳定、体面的代表，其待遇总体上高于多数的社会阶层。从大多数人的择业行为中就可以看
出公务员还是公众普遍认为较好的工作。现在如果对公务员群体再增加一笔不小的工资来换取其廉政服务
，而且廉政公积金制度实质是用纳税人的钱做担保，这必然会引起新的分配不公问题。这就是对江门市廉
政公积金制度公平性的质疑。
3.2 公正性质疑

一项制度的公正性应在参与者的多样性和民主性中体现，制度的制定者、执行者和监督者必须分属不
同群体才能显示其公正性，必须互相监督才能防止以权谋私等行为的发生。但是廉政公积金制度的制定者
、执行者和受益者均为公务员群体，这样该制度运行起来就很难令人信服了。
3.3 合理性质疑

廉政公积金制度的实行意味着国家对公务员履行应尽的义务还要给予奖励，这种做法不仅没有法律上
的根据，于情于理也是行不通的。如果公务员的公职行为退化为一种十足的经济行为，那么，法律和道德
的权威也会因金钱奖励而异化，人们原本应有的自律行为也将变为金钱诱惑之下的他律行为。14在江门市廉
政公积金制度试行以来，部分专家学者也提出了廉政公积金存在的合理性问题。
3.4 有效性质疑

廉政公积金全额领取的条件有两个：一个是退休后，一个是在职期间没有腐败行为。退休这个时间点
很容易核验，但是在职期间有没有腐败行为是需要有科学的廉政考核体系以及完善的监管制度作为支持的
。但事实上，目前还没有一个科学的让人信服的廉政考核体系，这就不容易判断公务员在职期间是否有腐
败行为；而且现行的监管体系并不完善，官官相护以及层层庇护使有些腐败行为即便发生了，也不一定会
被查处。所以没有违规行为以及违规行为没有被查处的公务员就算廉洁的公务员，退休后就可以获得全额

14 丁寅.”重奖不闯红灯”是对”廉政基金”的回应?[EB/OL].http://focus.cnhubei.com/original/201007/t1293168.shtm,2010-07-
12.

146

的廉政公积金。可见虽然廉政公积金制度的设想是好的，但现实中还没有使该制度发挥防腐和激励廉政行
为作用的客观条件。

4.我国廉政公积金制度建设的建构策略
近十五年来我国各地有多次廉政公积金制度或者类似制度进行试点，但大多没有建立起长期的制度架

构。通过讨论各界对我国江门市廉政公积金制度存在的质疑，下文对我国廉政公积金制度提出以下建构策
略：
4.1 引导公众正视廉政公积金制度

政府应该积极引导公众正视廉政公积金制度，因为公务员的廉政行为是对社会有贡献的，公务员廉洁
的从政是对社会和公众的一种服务行为，可以促进我国经济的发展。公务员本身也应该享受到这种经济发
展的结果，廉政公积金制度给了他们享受由于廉政行为带来的经济发展成果的机会，所以是一种正常的制
度设计。

当然在引导公众正视廉政公积金制度的同时，政府机构内部必须进行相应的制度变革，必须设计相应
的机制来约束公务员的行为，严整“吃拿卡要”的不正作风，让人民群众能够感受到公务员确实在廉洁地
工作，无私地为人民群众服务，从而认为给予他们奖励是应该的。这样才能从根本上让公众接受并且正视
廉政公积金制度。从而弱化公众对廉政公积金制度公平性以及合理性的质疑。
4.2 公众参与廉政公积金制度

正如文章第三部分对制度公正性问题的描述，廉政公积金制度的制定者、执行者和受益者均为公务员
群体，这很难让公众相信制度是有效的，所以廉政公积金制度的展开必须加入公众的参与。政府机构应积
极听从公众对于廉政公积金制度建立的意见，并严格按制度执行，最后公众的参与在监督方面尤为重要。
因为公务员是服务于社会大众的，所以对于公务员有没有廉洁从政，公众很有发言权，所以如果要想让廉
政公积金制度起到其应有的防腐治腐以及激励廉政行为的作用，就必须引入公众的监督，积极听取公众的
建议。让廉政公积金制度的运行处于阳光之下，让公众切实感受到公共服务质量的提高，才能社会各界信
服该制度的合理之处，回应社会各界的公正性质疑。
4.3 完善相关配套措施

廉政公积金制度作为推进廉政建设的一种创新是无可厚非的，但是，它只是反腐体系的一个环节，若
缺乏其他相关环节的配套，廉政公积金就很难发挥预期的作用。

首先，要建立科学的绩效考核体系。从文章第三部分中对制度有效性的质疑可以看出，如果公务员没
有违纪违法行为就可以在退休时拿到全额廉政公积金，但是没有违纪违法并不代表其在职时廉洁从政，比
如在职时的不作为不能归结为违纪违法，但是不作为会严重影响社会经济的发展，这跟违法违纪行为造成
的后果是一样严重的，所以建立一个科学的绩效考核体系是排除违法违纪以及不作为人群的基本保证。

其次，必须建立完善的监督机制。廉政公积金要发挥较好的作用，必须依赖于严明的监管体系。法网
越是严密，腐败行为就越容易被发现和查处，从而保证廉政公积金制度的有效性。比如加强政务公开，包
括政策制度公开、政务信息公开、公务员收入公开等，以减少腐败行为“暗箱操作”；增强社会舆论的监
督，引入公众的参与，用社会力量促进反腐倡廉。

最后，要建立终身追责制。终身追责制的意思是公务员无论其在职与否，无论其是否领到全额廉政公
积金，一旦其违法违纪行为被查处，依然要完全没收其全额廉政公积金并且接受相应的处罚。这种终身追
责制给公务员在物质和精神上强大的震慑作用，从而使其廉政行为始终如一，保证廉政公积金制度的有效
性。

结语
我国广东省江门市的廉政公积金制度最终走向失败有着具体的问题与原因，找到这些根本的问题是建

立符合中国国情的廉政公积金制度的前提和基础。这些问题不是一朝一夕能够解决的，建立符合中国国情
的廉政公积金制度的土壤需要慢慢培养。我们期待各项反腐制度的建立与完善，期待祖国越来越好。

参考文献
[1]刘现宏. 江门市廉政公积金制度研究[D].辽宁大学,2011.
[2]于学强. 深化廉政公积金制度改革辨析——基于江门市试行廉政公积金制度争议的思考[J]. 广州大学学报(
社会科学版),2011,02:12-17.
[3]林学飞. 廉政公积金改革的理性透视——由江门试行廉政公积金引发的思考[J]. 中共浙江省委党校学报
,2010,05:17-22.

147

[4]林东海. 经济反腐新思维:从廉政保证金到廉政年金[J]. 领导科学,2015,05:12-14.
[5]记者 张有义 秦夕雅. 廉政公积金 十年地方试验路[N]. 第一财经日报,2013-10-29A05.
[6]李传军,符丽丽. 廉政公积金制度及其在我国的适用性分析[J]. 学习论坛,2012,03:45-48.

148

THE PROVISIONS ON MIGRANTS SMUGGLING IN THE UN CONVENTION AGAINST

TRANSNATIONAL ORGANIZED CRIME AND IN THE HELLENIC LEGAL ORDER. THE
MANAGEMENT OF THE HELLENIC SEA BORDER BETWEEN HELLAS AND TURKEY IN THE

PERIOD 2006-2012
TRYFON KORONTZIS

Abstract
Organized crime has a global character and is one of the most serious threats to modern societies for
decades. This phenomenon because of the characteristics that govern modern societies and economies,
namely globalization, transnational flows, reduction of distances due to the technology evolution has taken
international dimensions. These evolutions help the development of international profitable illegal
activities.
Organized criminal groups are operating simultaneously in more than one countries internationalizing with
that way crime, making difficult and painful its effective and comprehensive combat. Besides the
international character of modern organized crime, an additional problem is the modernization of mode
and methods of action that are used by criminal groups. In criminal phenomena that characterize our time
is included illegal immigration. A social – political, and economic phenomenon that leads people to search
better quality living in various places different of their origin place. Consequently the hope of these people
was and is a profitable business for others.

ΟΙ ΠΡΟΝΟΙΕΣ ΓΙΑ ΤΗ ΛΑΘΡΑΙΑ ΔΙΑΚΙΝΗΣΗ ΜΕΤΑΝΑΣΤΩΝ ΣΤΗ ΣΥΜΒΑΣΗ ΤΩΝ Η.Ε.
ΓΙΑ ΤΗΝ ΑΝΤΙΜΕΤΩΠΙΣΗ ΤΟΥ ΔΙΕΘΝΟΥΣ ΟΡΓΑΝΩΜΕΝΟΥ ΕΓΚΛΗΜΑΤΟΣ ΚΑΙ ΣΤΗΝ
ΕΛΛΗΝΙΚΗ ΕΝΝΟΜΗ ΤΑΞΗ. Η ΔΙΑΧΕΙΡΙΣΗ ΤΩΝ ΕΛΛΗΝΙΚΩΝ ΘΑΛΑΣΣΙΩΝ ΣΥΝΟΡΩΝ
ΜΕΤΑΞΥ ΕΛΛΑΔΑΣ ΚΑΙ ΤΟΥΡΚΙΑΣ ΚΑΤΑ ΤΗΝ ΠΕΡΙΟΔΟ 2006-2012
Τρύφωνας Χαρ. ΚΟΡΟΝΤΖΗΣ

Περίληψη
Το οργανωμένο έγκλημα15 έχει παγκόσμιο χαρακτήρα και είναι μία από τις σοβαρότερες απειλές για τις
σύγχρονες κοινωνίες εδώ και δεκαετίες. Το συγκεκριμένο φαινόμενο λόγω των χαρακτηριστικών που
διέπουν τις σύγχρονες κοινωνίες και οικονομίες, ήτοι παγκοσμιοποίηση, διακρατικές ροές, περιορισμός
των αποστάσεων λόγω της εξέλιξης της τεχνολογίας έχει λάβει διεθνείς διαστάσεις. Οι εξελίξεις αυτές
βοηθούν την ανάπτυξη διεθνών κερδοφόρων παράνομων δραστηριοτήτων .
Οργανωμένες εγκληματικές ομάδες δραστηριοποιούνται ταυτόχρονα σε περισσότερες από μία χώρες,
διεθνοποιώντας με αυτόν τον τρόπο το έγκλημα, καθιστώντας δύσκολη και επίπονη την αποτελεσματική
και συνολική αντιμετώπιση του. Εκτός όμως του διεθνούς χαρακτήρα που έχει το σύγχρονο οργανωμένο
έγκλημα, επιπρόσθετο πρόβλημα αποτελεί ο εκσυγχρονισμός του τρόπου και των μεθόδων δράσης που
χρησιμοποιούν οι εγκληματικές ομάδες. Στα εγκληματικά φαινόμενα που χαρακτηρίζουν την εποχή μας,
περιλαμβάνεται και η παράνομη μετανάστευση. Ένα φαινόμενο κοινωνικό – πολιτικό και οικονομικό που
οδηγεί τους ανθρώπους στην αναζήτηση καλύτερων ποιοτικά συνθηκών διαβίωσης σε μέρη διάφορα από
τον τόπο καταγωγής τους. Συνακόλουθα η ελπίδα των ανθρώπων αυτών αποτέλεσε και αποτελεί
κερδοφόρα επιχείρηση για άλλους.

Λέξεις-κλειδιά: Μετανάστες, Σύμβαση Η.Ε., Διακίνηση, Οργανωμένο έγκλημα, Ελλάδα, Τουρκία

Εισαγωγή
Η μετανάστευση αποτελεί ένα φαινόμενο με συγκεκριμένες αιτίες, όπως η διεύρυνση των κοινωνικών και
οικονομικών ανισοτήτων, οι εμφύλιοι πόλεμοι, οι κλιματολογικές αλλαγές, οι περιβαλλοντικές
καταστροφές κ.λπ.. Λαμβάνοντας υπόψη το γεγονός ότι η Ευρωπαϊκή Ένωση (Ε.Ε.) σε γενικές γραμμές

15Τ. Κοροντζής, «Η έννοια του οργανωμένου εγκλήματος στην εθνική και διεθνή έννομη τάξη», Λιμενική Ρότα, τχ 10, Ιούλιος
– Αύγουστος – Σεπτέμβριος 2012, σ. 27-29.

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αποτελείται από Κράτη – Μέλη (Κ-Μ) τα οποία στην πλειοψηφία τους χαρακτηρίζονται από οικονομική
ευημερία αλλά και πολιτική σταθερότητα, γίνονται κατανοητοί οι λόγοι για τον οποίους η Ε.Ε. αποτελεί
έναν κύριο προορισμό για κάθε άνθρωπο που επιθυμεί να βελτιώσει την ποιότητα της ζωής του,
προσβλέποντας σε ένα καλύτερο μέλλον. Σημαντικό ρόλο στην επιλογή της Ε.Ε. ως τελικού προορισμού
των μεταναστών διαδραματίζει επίσης η εγγύτητα της στην Ασία και την Αφρική.

Χάρτης 1: Μοντέλα μεταναστευτικών ροών στη Μεσόγειο

Πηγή: Γραφείο Αξιωματικών Συνδέσμων Ελλάδος Europol, 11/2013

Η Ελλάδα από τις αρχές της δεκαετίας του 1990, έχει μετατραπεί σε χώρα υποδοχής μεταναστών και
μάλιστα εμφανίζεται να έχει τον μεγαλύτερο αναλογικά αριθμό μεταναστών στην Ε.Ε.. Οι αιτίες για την
μετατροπή της Ελλάδας σε χώρα υποδοχής μεταναστών εδράζονται αφενός στην οικονομική ανάπτυξη της
Χώρας που είχε επιτευχθεί τα προηγούμενα χρόνια και αφετέρου στις γενικότερες πολιτικές και
κοινωνικές εξελίξεις που επήλθαν στην Ευρώπη και στο χώρο της Βαλκανικής Χερσονήσου τα
προηγούμενα χρόνια. Για την αντιμετώπιση του εν λόγω φαινομένου έχει προβεί στην λήψη πολλών
νομοθετικών πρωτοβουλιών σε εθνικό επίπεδο αλλά και σε διεθνές, συμμετέχοντας στην κατάρτιση και
υπογραφή διεθνών κειμένων, τα οποία ακολούθως ενσωματώνει στην εθνική έννομη τάξη.
Για να τεθεί τέλος στην λαθραία μεταφορά μεταναστών διά ξηράς, αέρος και θαλάσσης ο Ο.Η.Ε.,
αποφάσισε να προωθήσει την συνεργασία και την ανταλλαγή πληροφοριών μεταξύ των Κρατών και να
θέσει τις προϋποθέσεις ώστε να ληφθούν τα κατάλληλα μέτρα σε περιφερειακό, εθνικό και διεθνές
επίπεδο, μέσω ενός πρωτοκόλλου, το οποίο συμπληρώνει την σύμβαση των Ηνωμένων Εθνών κατά του
Διεθνικού Οργανωμένου Εγκλήματος και ερμηνεύεται από κοινού με αυτήν.
Με το Ν. 3875/2010 (Α΄ 158) με τίτλο «Κύρωση και Εφαρμογή της Σύμβασης των Ηνωμένων Εθνών
κατά του Διεθνικού Οργανωμένου Εγκλήματος και των τριών Πρωτοκόλλων αυτής και συναφείς
διατάξεις», το Ελληνικό Κοινοβούλιο κύρωσε την Σύμβαση κατά του Διεθνικού Οργανωμένου
Εγκλήματος, που υπεγράφη στο Παλέρμο της Ιταλίας στις 12-15 Δεκεμβρίου το 2000 και τα τρία
Πρωτόκολλα αυτής, μεταξύ των οποίων και το Πρωτόκολλο κατά της Λαθραίας Διακίνησης Μεταναστών
από τη Γη, την Θάλασσα και τον Αέρα.
Η Σύμβαση προβλέπει τα εξής:
Πρόληψη και καταπολέμηση του λαθρεμπορίου μεταναστών καθώς και προώθηση της συνεργασίας
μεταξύ των κρατών μερών, με ταυτόχρονη προστασία των δικαιωμάτων των μεταναστών.
Κάθε κράτος υιοθετεί νομοθετικά μέτρα για να καθιερώσει ως ποινικά αδικήματα όταν τελούνται εκ
προθέσεως και με σκοπό την απόκτηση άμεσα ή έμμεσα, οικονομικού ή άλλου υλικού οφέλους την
μεταφορά μεταναστών, την παραγωγή, προμήθεια ή κατοχή παρανόμων ταξιδιωτικών εγγράφων , την

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