【作者】 杨春晖；

【导师】 周国华；

【作者基本信息】 西南交通大学 ， 企业管理， 2013， 博士

【摘要】 面对社会发展对资源的需求,解决资源的可持续问题是人类面临的共同难题。重视资源和环境问题已成为全球共识,资源战略、环境战略亦成为国家战略。对矿产资源及矿产资源型供应链(以下简称资源型供应链)的研究逐渐引起广泛关注。资源型供应链的有效运作关系到资源开发企业和下游深加工企业,并最终影响到消费领域。对此研究首先是基于各国政府对资源开发的要求越来越苛刻,对环境保护力度越来越大,各种法律法规越来越健全,资源开发的外在压力越来越大；再者作为市场主体的企业也拟通过供应链上下游的合作增加资源供给稳定程度并提高资源的有效利用率,提高企业及供应链的整体运营效率及市场竞争力。深入研究资源型供应链的定价与合作问题,对供应链系统资源开发利用模式的优化、供应链中企业利益的合理分配、政府的宏观政策导向、企业的市场策略选择等方面,都具有重要的理论和现实意义。过去十几年基于制造业供应链管理方面的研究已取得丰硕成果,有关定价、系统决策建模方面的文献大量涌现,但这些研究对资源本身特点对定价及协调的影响涉及较少,基于市场结构变化对资源型供应链的影响涉及较少,对资源型供应链中的不同要素投入的合作研究较少,本文力求在以前研究的基础上进行一些拓展和完善,从资源型供应链的实际出发,充分考虑资源及资源型供应链本身所具有的特征、资源型供应链的市场结构、资源型供应链中上下游不同要素投入的合作等问题,构建相应的定价决策模型,探讨资源型供应链系统内的合作问题,实现资源型供应链系统的协调和效率优化。主要研究内容如下：论文首先是资源型供应链及其协调的基础理论研究。从资源的内涵、特点出发对资源型供应链的内涵进行界定,对其影响因素进行分析；归纳总结资源及其供应链的特点及影响因素,分析该类型供应链运作的关键流程。探讨供应链中的主从博弈问题和双体博弈理论。探讨基于产业生命周期理论、产业集中度理论在资源型供应链市场策略制定方面的应用。接着是对基于不同市场结构的资源型供应链定价的经济学分析及基于市场结构的产业集中度研究。基于经济学供给理论,分析归纳资源型供应链中三种典型的市场结构,对不同市场结构下的资源品定价及影响因素进行剖析,针对性给出政策方面的建议。在研究产业集中度对资源型供应链的影响时,借鉴已有研究成果推导出一些有益的结论,证明较大的寡头可利用优势快速扩产以扩大市场份额,提高整个产业运营利润及自身的利润；较大的寡头愿意以更高成本(低于价格)获取额外的生产能力；较大的寡头愿意以更高的价格(比较小的寡头高)来获取相对稀缺的资源以保证扩产实现。并用实际案例进行验证。基于对不同市场结构资源型供应链决策模型研究以及基于资源分布不均的资源型供应链博弈分析。遵循从定性到定量分析的原则,对三种典型的市场结构：上游主导型、下游主导型、上下游平衡型等现实中有代表性的例子进行定性分析并给出政策建议。建立决策模型研究资源型供应链中一方处于领导地位时的Stackelberg博弈以及资源供应链中的Nash均衡博弈,分析合作集中决策的均衡价格及收益,对不同情况下的均衡价格及收益进行列表对比,利用仿真验证。对资源型供应链中因资源分布不均而产生的议价问题进行双体博弈分析,研究表明并描述了下游企业的权威及其外部机会对议价结果的重要影响。最后是基于资源型供应链的合作问题研究。分析资源型供应链合作的必要性,指出资源型供应链上、下游的合作是提高供应链竞争力的有效方式。对不同竞争环境下的资源型供应链合作方式进行分析归纳,认为资源型供应链有同质型合作及异质型合作两种分类方式。针对资源型供应链中能代表其合作特点的一类特殊情况,即资源型供应链中上游投入资源勘探费用以获取更多资源,下游企业投入技术研发费用以提高资源的回收率及利用率的合作,分析双方合作时各种情况下的博弈均衡,同时对分析研究的结果进行数值仿真验证。更多还原

【Abstract】 Faced with the demand of social progress for resources, to solve the sustainable use and development of resources is a major issue facing the country. The great attention to resources and environment has become a global consensus, at the same time, resource strategy and environmental strategy have become national strategies. Now the research of mineral resources and mineral resources supply chain (hereinafter referred to as to resource supply chain) has gradually caused wide spread concern.The effective functioning of resource supply chain is related to the resource-development enterprises and deep-processing enterprises downstream, thus, finally affect the consumer industries. On one hand, the reason why enterprises start this study is that they feel the external pressure from the related-resources and environmental laws and policies of the government; on the other hand, the reason why these enterprises study it is more likely that they can expand the stability of resources supply and useful utilization of resources through cooperation between upstream and downstream in the resource supply chain, thus increasing the profits and improving their market competitiveness. The related study of pricing and cooperation between each enterprise in the resource supply chain system has an extremely important theoretical and practical significance on the resources development in resource supply chain system, the selection of utilization mode, the performance management of supply chain, the distribution of income in supply chain system and the improvement of overall operational efficiency in the system, the policy-oriented government gives to the resources and the corporate choices in marketing strategies, etc..Modeling research of the traditional manufacturing supply chain systems has made a great progress in the past several years, and a number of pricing and coordination models emerged. However, these models rarely studies the influences of the characteristics of the resources to pricing and coordination, or the influences of market structure to the resource supply chain. There areas well few collaborative researches in which these models put different elements in the resource supply chain. Moreover, there do exist kinds of defects in both theory and method inside these models,and there is a big gap in management and operation practices of resource supply chain system.This thesis, from the perspective of real practices, fully considers thevarious situations much closer to reality,such as the connotation features of resources and resources-based supply chain,the market structure of resource supply chain,the cooperation of investment the different elements between upstream and downstream in the resource supply chain and so on. It also attempts to build the related pricing decision model for analysis and research in order to achieve the optimization of the coordination and efficiency in the resource supply chain system.Additionally, this thesis also explores the inner cooperation in the resource supply chain system.The main contents are as follows:This thesis begins with the research of theoretical basis of the resource supply chain and coordination, includingthe definition of the connotation ofresource-based supply chain, the main characteristics and the main influencing factors. The thesis defines the connotation of the resource supply chain from the part of connotation and characteristics of resources; and analyzes the key processes of this kind of supply chain operations. The thesis explores the meaning and characteristics of game theory, at the same time, analyzes the Stackelberggame issues in the supply chain,and also discusses the biform game theory. The thesis explores the application for strategy formulation in the resource supply chain market based on the industry life cycle theory and the theory of industrial concentration as well.Then, this thesis makes economic analysis for resource supply chain pricing based on the different market structures, and makes research for industrial concentration based on the market structure.Based on the view of economics, the thesis analyzes and summarizes the three typical market structures in the resource supply chain. What’s more, the thesis analyzes supplier pricing under different market structures and influencing factors based on the supply elasticity theory, and gives some corresponding policy recommendations. Meanwhile, it analyzes endogenous mechanisms produced in market structure. Different industrial concentration of upstream and downstream industry in the supply chain will directly affect its position in the supply chain, and affect whether it will lead the supply chain to gain more benefits,so the research about the generation mechanism of industrial concentration is a further exploration to this issue. The thesis does some reasonable inferences and proves them later,gives some useful conclusions. It proves that larger oligarchs can expand production rapidly with its advantages in order to expand its market share, and to improve the operating profit of the whole industry and its own profit; proves that larger oligarchs are willing to obtain additional production capacity at a higher cost (less than the price); proves that larger oligarchs are willing to get the relative scarce resources at a higher price (higher than smaller oligarch) in order to achieve the expansion.And the thesis validates these with actual cases.Based on the decision model researches of resource supply chain under the different market structures and the game analysis of resource supply chain based on the unevenly distributed resource, implementing the principle of conducting quantitative researches after the qualitative analysis, this thesis makes a deeply qualitative analysis for the examples in reality under the three typical market structures firstly, which including upstream-oriented, downstream-oriented and upstream&downstream-balanced, and makes theoretical analysis and explanation for the phenomenon in iron ore, rare earth, the bulk metal trading and makes some policy recommendations. The thesis constructs models and analyzes the different game theories based on them, including Stackelberg game led by resource developers, Stackelberg game led by downstream processing enterprises, Nash equilibrium game of resource-developers and processing enterprises, and analyzes equilibrium price and revenue in cooperation. It also makes a comparison of equilibrium prices and revenue in four kinds of different circumstances, and verifies the above researches using simulation. After the analysis of the biform game in bargaining of resource supply chain caused by the uneven distribution of resources, studies shows that the external opportunities of downstream enterprises is a key factor to determine the supply chain bargaining results.Finally, the thesis makes cooperation research based on the resource supply chain. The thesis analyzes the necessity for cooperation on resource supply chain and points out that the cooperation between upstream and downstream is an effective way to improve the competitiveness of the supply chain. At the same time, the thesis inducts the ways of resource supply chain’s collaboration under different competitive environment and suggests the classification of the homogeneous cooperation and heterogeneous cooperationin resource supply chain. And this thesis analyzes two typical situations in resource supply chain cooperation based on it. The thesis analyzes a special case of the resource supply chain cooperation, which is also a representative with prominent features in resource supply chain collaboration, namely the cooperation under different input factors between upstream and downstream entities in resource supply chain. In this situation, the upstream invests in resource exploration costs to get more resources and downstream invests in technology R&D costs in order to improve the recovery and utilization of resources, the thesis makes the game analysis for all kinds of situations under the cooperation, and verifies the study results through numerical simulation at the same time.更多还原