1 摘要 随着世界经济的持续下行和经济全球化的深入，市场竞争日益激烈。人力成本 也不断上涨，制造型企业面临的生存压力越来越大。原来一家企业几乎垄断整个产 品供应链的模式在目前的市场环境下已经变得不再现实，因为这样的重资产运作模 式使企业的负担越来越重，运行越来越难。因此，许多企业不得不抛弃原来老旧的 思维和运营模式，开始向外部寻找供应链合作伙伴，合作的内容包括原材料加工、 劳动密集型生产工序和新产品研发等。DL公司（一家制造型企业）正是在这样的 背景下，不仅在2010年将其最大的工厂从深圳搬迁至越南，而且在深圳设立采购 中心，专门负责开发和管理原材料及技术研发的供应商，ODM项目也应运而生， 主要是指DL公司与M公司（供应商）的战略合作。项目实施过程中在产品设计优 化上取得了一些成就，但是也存在许多问题，其中双方在协同创新中的利益协调矛 盾尤其突出。因此，如何减少利益冲突，稳定战略合作关系，提高战略供应商在协 同创新过程中的积极性和协同能力，这些都成了迫切需要解决的问题。 本文针对DL公司战略供应商协同创新过程中的利益协调机制进行研究，根据 DL公司战略供应商协同创新和利益协调的实际情况，结合问卷调查与实际走访， 挖掘出战略供应商协同创新过程中的利益协调问题，分析问题产生的原因，并提出 DL公司战略供应商协同创新利益协调机制的完善措施。文章以协同理论、创新理 论和收入分配理论为研究的理论依据，首先对DL公司战略供应商的协同创新和利 益协调机制现状进行分析。接下来就详细研究了DL公司战略供应商协同创新过程 中的利益协调机制问题，分别从现状、问题及原因三个方面加以论述，提出利益协 调机制存在的问题主要包括规划不足、缺乏激励、导向欠缺三方面，导致这些问题 的原因主要是信息不对称、合作经营模式协同不足和分配方式缺乏支撑。在此基础 上，文章最后提出了DL公司战略供应商协同创新中利益协调机制的完善方案和具 体改进措施。 本文的创新之处在于利用供应链收益共享契约理论来指导协同创新中的利益 协调机制研究，并且结合DL公司的供应商协同创新项目（ODM）进行实际分析， 将理论和实践相结合，不仅扩展了理论研究的范围，而且优化了DL公司和供应商 的整体供应链，促进了双方未来的稳步发展，起到双赢的效果。论文的主要不足在 于研究数据还有待进一步补充和完善。 关键词：战略供应商；协同创新；利益协调 DL公司战略供应商协同创新中利益协调机制研究 I Abstract With the continuous decline of the world economy and the deepening of economic globalization, the market competition is increasingly fierce. The human cost also keeps rising, which causes the manufacturing enterprises to be facing more and more pressure to survive. The original mode that an enterprise almost monopolizes the whole product’s supply chain is no longer realistic in the current market environment. It’s because such an operation mode with heavy assets makes the enterprises’ burden heavier and heavier. And the operation becomes more and more difficult. Therefore, many enterprises have to abandon the old thinking and operation mode. They start to look for external supply-chain partners, which includes the raw materials’ manufacturing, production processes require intensive labor, new products’ development and so on. Under such circumstances, DL company not only moved its largest factory from Shenzhen to Vietnam in 2010, but also set up a procurement center in Shenzhen to specialize in sourcing and managing of the suppliers which are dedicated in the raw materials and new technology’s development. The ODM project just emerged at such a special moment. ODM project mainly represents the strategic cooperation between DL company and M company which is one of DL company’s strategic suppliers. In the process of project implementation, some achievements have been made on design optimization. In addition, there are also some other problems. The most outstanding one is the conflict of benefit coordination between the two companies in the collaborative innovation. Therefore, it becomes crucial on how to avoid benefit conflict, stabilize the strategic relationship, how to improve the strategic suppliers’ motivation and capability in the process of collaborative innovation. This dissertation studies the benefit coordination mechanism in the process of DL company's collaborative innovation with the strategic suppliers. According to the actual situation of DL company's collaborative innovation and the benefit coordination with the strategic suppliers, combining with the survey of questionnaires and actual visit, it digs out the problems with benefit coordination in the process of collaborative innovation with the strategic suppliers, analyzes the causes of the problems, and also puts forward the measures to improve the mechanism of benefit coordinating in DL company’s collaborative innovation with the strategic suppliers. This dissertation takes collaboration theory, innovation theory and income distribution theory as the theoretical basis of the Abstract II research. It firstly analyzes the current situation of DL company's collaborative innovation with the strategic suppliers. Next, this dissertation studies the problems with benefit coordination mechanism in the process of DL company's collaborative innovation with the strategic suppliers in details. It further discusses in three aspects: the current situation, problems and causes. Hence it points out that the problems with current benefit coordination mechanism majorly include the inadequate planning, insufficient incentives and lack of guidance. The main causes of the problems are information asymmetry, insufficient coordination in cooperative mode and lack of support on the distribution methods. On this basis, this dissertation finally puts forward the improvement schemes and corrective actions to improve the benefit coordination mechanism in DL company's collaborative innovation with its strategic suppliers. The innovation of this dissertation lies in the using of the Revenue Sharing Contract of supply chain to guide the study on the benefit coordination mechanism in collaborative innovation. And the analysis is made basing on the real case (ODM project) of DL company’s collaborative innovation. By combining the theoretical and practical study, it not only expands the scope of theoretical research, but also optimizes the overall supply chain of DL company and its strategic suppliers. Furthermore, it also promotes the future development for both parties and brings a win-win result. The main deficiency of this dissertation is that the supporting data used in the research needs to be further supplemented. Keywords: Strategic supplier; collaborative innovation; benefit coordination DL公司战略供应商协同创新中利益协调机制研究 1 目 录 导 论 ················· 1 一、研究背景和目的 ··············· 1 二、研究意义 ········ 3 三、研究思路和方法 ··············· 3 四、研究内容和论文框架 ······· 4 五、创新之处 ········ 5 第一章 理论基础及文献综述 ·············· 6 第一节 理论基础 ······· 6 一、创新理论 ········ 6 二、协同理论 ········ 6 三、收入分配理论 · 7 第二节 文献综述 ······· 8 一、协同创新 ········ 8 二、利益协调 ········ 9 三、供应链收益共享契约 ····· 10 四、文献评述 ······ 10 第二章 DL公司战略供应商协同创新项目的总体状况 ········ 12 第一节 公司及供应商管理的总体状况 ······· 12 一、公司的总体状况 ············· 12 二、内部供应链部门的总体状况 ············ 13 三、外部供应商管理的总体状况 ············ 13 第二节 协同创新ODM项目的总体状况 ···· 16 一、项目简介 ······ 16 二、开发流程 ······ 16 三、内部团队的组织架构 ····· 17 四、项目合作现状 ················· 18 第三章 利益协调机制的现状分析 ···· 20 第一节 利益冲突现状分析 ········ 20 一、利润空间压缩 ················· 20 二、利益分配混乱 ················· 21 三、合作过程冲突加剧 ········· 22 四、利益关系不稳 ················· 23 第二节 利益协调机制现状及冲突的协调情况 ·············· 24 一、利益协调机制现状调查 ·· 24 目录 2 二、利益分配矛盾的协调情况 ················ 26 三、利益关系冲突的协调情况 ················ 28 第四章 利益协调