内部编号：授学位单位编号：10011
分类号：密级：
北京工商大学
硕士生学位论文
论文题目:我国零售企业供应链风险管理研究
TITLE ：A Research on Risk Management of Retail
Enterprises’Supply Chains in China
学科：管理学
专业：企业管理
学生姓名：杨靓
指导教师：唐立军（职称）副教授
2007年05月
北京工商大学硕士学位论文
摘要
我国零售行业的全面开放对我国零售企业是一个严峻的挑战，零售行业竞争
更加激烈，供应链快速响应市场、柔性高且成本低的优势使其受到普遍重视，零
售企业为主导的供应链在逐渐形成。但是，供应链为零售企业带来竞争力的同时，
也因其存在风险使零售企业供应链不稳定进而导致价值损失，如何认识这些风
险、明确这些风险的成因、科学评估这些风险的效应并寻找有效的风险控制机制
是零售企业主导型供应链迫切需要解决的问题。
本论文以此为背景，以系统管理理论、供应链管理理论为基础，以系统工程
方法、控制论方法、数学分析方法为工具，以零售企业供应链风险为研究对象，
以风险管理理论为主线并结合我国零售企业供应链的特点，全面、系统地研究了
供应链风险构成、形成机理、风险管理体系及制度。
本论文从我国零售企业供应链及其风险管理现状切入，论述了供应链风险管
理的必要性；系统地分析了零售企业供应链生存环境、运行过程、物流系统等方
面存在的各种风险及其表现，并深入分析了形成供应链风险的主要原因及传导机
理，揭示了供应链风险的利益实质；阐述了供应链风险控制体系所要达到的目标
和构建原则，并在此基础上对风险控制系统的层次与制度设计进行了深入研究，
探讨了我国零售企业在实施供应链风险管理过程中的具体对策。在对我国零售企
业供应链制度设计研究过程中，针对我国零售企业在风险战略、成本、预测、决
策以及控制方面的缺陷，提出了零售企业供应链风险的控制要素、模式及方法，
为我国零售企业管理供应链风险提供一种理论思路。
关键词：零售企业；供应链风险；风险利益；风险管理制度
I
我国零售企业供应链风险管理研究
Abstract
The full opening of retail industry in China is a great challenge for local retailers.
The competition in this field is fiercer and fiercer.The supply chain gets the
advantage place in the enterprises and the academic field because of its capacity of
quick response,high flexibility and low costing.The retailer-leading supply chains are
formed gradually.Although supply chains strengthen retailers'competence,all kinds
of risks are still in existence because of its instability,which may lead to the loss of
value.Therefore,it is urgent for retailer-leading supply chain to identify the risks and
the causes of the risks,to evaluate the effects of the risks and to find effective way to
avoid them.
Under the circumstances,basing on the theory of the system management and
supply chain management,this paper studies on risks of retailers’supply chains.It
centers on the risk management theory combined with the characteristic of retailers’
supply chains.By the methods of system engineering,cybernetics and mathematics,it
analyzes the constitution,the formation mechanism and the risk management system
comprehensively and systematically.
This paper begins with the actualities of domestic retailers’supply chains and
risk management,and describes the necessity of risk management in supply chains.
Besides the analysis of the risks in living environment,functional process and
logistics system of retailers’supply chains,it also makes further analysis on the main
causes of formation as well as transition mechanism,which reveals the essential of
risks in supply chains.Then it introduces the goals and principles of the controlling
system of risks in supply chains.And on the basis of these,it makes deep researches
upon the arrangement of the risk controlling system and also the processes to
implement the risk management.During the research on system design of the
retailers’supply chains,according to the defects of risk strategy,cost,prediction,
decision and control in the present system,the paper elaborates the controlling
elements,patterns and methods of retailers’supply chains in order to provide an
II
北京工商大学硕士学位论文
academic direction for domestic retailers to control risks of supply chains.
Key words：retailers,risks in supply chains,risk benefit,risk
management system
III
我国零售企业供应链风险管理研究
目录
第一部分绪论..........................................................1
一、选题依据和研究意义................................................1
（一）选题的依据....................................................1
（二）研究意义......................................................2
二、国内外研究情况概述................................................2
（一）零售企业供应链研究现状........................................2
（二）供应链风险管理的研究..........................................3
三、主要研究方法......................................................4
四、主要研究内容......................................................5
第二部分零售企业供应链风险机理.........................................6
一、供应链风险管理的理论依据..........................................6
（一）风险管理基本理论..............................................6
（二）供应链风险管理理论............................................8
二、零售企业供应链风险特性及影响.....................................12
（一）零售企业及其供应链...........................................12
（二）零售企业供应链风险的特殊性...................................14
（三）我国零售企业对供应链进行风险管理的意义.......................15
第三部分我国零售企业供应链风险的现状及影响............................16
一、我国零售企业供应链的风险现状.....................................16
（一）我国零售企业供应链风险事件的表现.............................16
（二）我国零售企业供应链风险特点...................................17
（三）我国零售企业供应链风险的发展趋势.............................18
二、我国零售企业供应链风险管理存在的问题.............................20
（一）供应链管理注重局部，缺乏整体风险控制安排.....................20
（二）注重使用技术控制风险，对供应链关系风险认识不足...............21
IV