合同全生命周期风险防控对策探索

Exploration on Risk Prevention and Control Strategies for the Full Life Cycle of Contracts

摘要: 合同管理是企业经营管理的核心环节，其风险防控贯穿于准备、签订、履行及数字化管理全过程。本文基于交易成本理论、委托–代理理论及风险管理理论，构建合同全生命周期风险分析框架，系统识别各阶段的主要风险类型与制度成因，并提出差异化的防控策略。研究表明，合同风险的本质源于信息不对称条件下的机会主义行为与交易专用性资产投入形成的锁定效应。以准备、签订、履行三阶段及数字化管理为分析脉络，结合《中华人民共和国民法典》《中华人民共和国招标投标法》等法律规范，本文提出构建“事前审查–事中控制–事后救济”的闭环式防控体系，并就中小企业与大型国企的差异化需求提出针对性建议，以期为企业在合同合规管理中提升风险防控能力提供理论参考与实践路径。

Abstract: Contract management constitutes a core component of corporate operation and administration, and its risk prevention and control runs through the whole process of preparation, signing, performance and digital management. Based on the transaction cost theory, principal-agent theory and risk management theory, this paper establishes a risk analysis framework for the full life cycle of contracts, systematically identifies major types of risks and their institutional causes at each stage, and puts forward differentiated prevention and control strategies. The study reveals that the essence of contract risks stems from opportunistic behavior under information asymmetry and the lock-in effect arising from investment in transaction-specific assets. Taking the three phases of preparation, signing and performance together with digital management as the analytical thread, and in combination with legal norms including the Civil Code of the People’s Republic of China and the Bidding and Tendering Law of the People’s Republic of China, this paper proposes constructing a closed-loop prevention and control system featuring “pre-examination, in-process control and post-event remedy”. Targeted suggestions are provided to meet the differentiated demands of small and medium-sized enterprises and large state-owned enterprises, so as to offer theoretical references and practical approaches for enterprises to strengthen risk prevention and control capabilities in compliant contract management.