ABC公司稀土原料供应链风险识别与防范研究
摘
要
为防止全球气候变暖，通过清洁能源替代技术、提高能源效率等技术减少碳排放已
成为全人类保护环境的共同举措。ABC公司生产制造的稀土产品广泛运用于新能源汽
车，变频家电、3C产品等领域，凭借其过硬的技术能力赶上了绿色发展的“经济动车”，
展现蓬勃生机并实现飞速发展。然而，基于稀土原料的不可再生原则和战略性原则，处
于稀土产品供应链中下游的制造加工企业仍然存在稀土原料供应长期处于不稳定状态。
主要体现在上游惜售，以及前端稀土原料价格的大幅波动导致的供应不稳定给企业供应
链带来风险，严重情况下可导致整条供应链瘫痪。因此，如何对供应链前端稀土原料风
险进行有效的识别与防范成为专家学者和企业的研究课题。
ABC公司拥有典型的供应链网络，企业的供应链风险管理水平决定了企业市场地
位、市场份额及企业活性。本文以中国稀土永磁生产企业 ABC公司为对象，对其稀土
原料供应链风险进行深入调查与研究，并识别企业面临的供应链前端存在的风险。本文
首先采用了情景分析法与问卷调查法，识别 ABC公司稀土原料供应链面对的外部环境
风险、内部运作风险（采购风险、生产风险、运输风险）与企业合作风险（合作伙伴风
险、信息风险）在内的 6大类风险。其次收集了ABC公司内部供应链相关职能部门人
员对 6大风险因素的评价与评分，最后运用层次分析法对 6大风险类型进行权重分析研
究并排定相对优劣次序，从而得出结论：ABC公司稀土原料供应链风险影响程度排序
为生产风险>采购风险>信息风险>运输风险>合作伙伴风险>环境风险。
最后,本文针对以上所述风险提出相应的防范措施。针对外部环境风险的防范措施为
实时关注政策动向、从容应对贸易制裁、自行规范行业生产、实施精益生产与拉动式生
产、提高研发工艺效率、合理利用专利信息。针对内部运作风险的防范措施为转移原料
价格风险、利用套期保值锁定价格、采购规划与成本控制、建立多级供应商、提前准备
应对交货延迟措施、加强文档管理、进行全面质量管理、加强安全培训与员工素质、严
格遵照包装说明书操作、选取正确运输方式、加强仓管管理培训。针对企业合作风险的
防范措施为建设人才队伍、加强供应商关系纽带、大数据应用、获取各节点有效信息、
使用信息系统。
关键词：稀土原料；供应链风险；风险识别；风险防范
I
Abstract
Abstract
In order to prevent global warming, reducing carbon emissions through technologies
such as clean energy alternative technologies and improving energy efficiency have become
common measures for all mankind to protectthe environment. The rare earth products
produced and manufactured by ABC Company are widely used in new energy vehicles,
frequency conversion household appliances, 3C products and other fields. With its excellent
technical ability, it has caught up with the "economic bullet train" of green development,
showing vitality and achieving rapid development. However, based on the non renewable
principle andstrategic principleof rare earthmaterials, manufacturingand processing
enterprises in the middle and lower reaches of the supply chain of rare earth products still
have a long-term unstable supply of rare earth materials. This is mainly reflected in the
upstream reluctance to sell, as well as the supply instability caused by the sharp fluctuation of
the front-end rare earth raw material price, which brings risks to the enterprise supply chain,
and can lead to the paralysis of the entire supply chain in serious cases. Therefore, how to
effectively recognize and prevent the risk of rare earth raw materials which are at the front
point of the supply chain has become a research topic for experts and enterprises.
ABC company has a typical supply chain network, and the level of the company's supply
chain determines the company's vitality, market position and market share. This article takes
the rare earth magnetic material manufacturing company ABCEnterprise as the object,
researches its front-end rare earth raw material supply chain risk management and identify the
front-end risks of its supply chain. At first the essay uses scenario analysis and questionnaire
survey to identify six major types of risks, including environmental risk, purchasing risk,
production risk, transportation risk, partner risk and information risk faced by ABC's supply
chain. Secondly through the form of a questionnaire survey, evaluation and scores of the six
major risk factors of ABC Company's internal supply chain related functional departments
were collected. At last, the essay uses the Analytic Hierarchy Process to analyze the weights
of the six risk types and rank the risks, so as to draw the conclusion that the influence degree
of the supply chain risk of ABC Company is production risk>purchasing risk>information
risk> transportation risk> partner risk>environmental risk.
At last, the essay describes in details about the prevention methods those for risks. For
example, the preventive measures againstexternal environmental risks include real-time
attention to policy trends, calmly dealing with trade sanctions, self regulating industrial
II
ABC公司稀土原料供应链风险识别与防范研究
production, implementing lean production and pullproduction, improving R&D process
efficiency, and rationaluse of patent information.Preventive measures against internal
operational risks include transferring raw material price risk, using hedging to lock the price,
purchasing planningandcost control,establishing multi-levelsuppliers, preparingfor
delivery delaymeasuresin advance,strengthening documentmanagement, conducting
comprehensive quality management, strengthening safety training and staff quality, strictly
following the packaging instructions, and selecting the correct transportation mode Strengthen
warehouse management training. The preventive measures against enterprise cooperation
risks are to build a talent team, strengthen the ties between suppliers, database management,
obtain effective information at each node, and use information systems.
Key Words: Raw material of rare earth; Supply chain risk; Risk identification; Risk
prevention
III