摘要
供应链管理战略已经成为企业创造竞争优势的核心战略，实现了营销端到供应端的全流程管理，扩展了企业边界，强化了企业间合作模式的构建，实现了KPI绩效评价与管理。
随着我国钢铁行业快速发展，行业竞争更加激烈，企业从原来在一定成本控制下，生产出合格产品就能够盈利，到必须比竞争对手更快、更全面地为客户提供质优价廉的产品和服务才能获得竞争优势的转变。钢铁企业管理的重点，除了产销管理外，必须将采购、营销网络等都要纳入到企业供应链管理中来。此外，随着后金融危机时代增长方式的改变，钢铁企业面临的天花板越来越低，地板越来越高，企业需要通过强化原材料和能源的采购管理来降低产品成本，通过与客户加强联系和信息沟通，对市场波动及时反应，避免市场波动带来的库存风险。所以强化钢铁企业原材料与燃料采购和供应管理，开展采购供应链管理，对增强钢铁产业链的竞争力和降低产品成本，意义重大。
由于钢铁产业自身的特点，决定了钢铁企业的供应链往往有很多的节点企业，为了实现供应链管理的优化，需要对这些供应厂家的资源进行统一集成和协调，使它们能作为一个整体来运作。在此基础上，还要考虑把为供应链提供服务的金融机构和物流企业纳入供应链集成系统。进一步研究供应链上下游企业之间和横向企业之间的协调合作形成机制，分析钢铁企业供应链系统面临的风险和约束，以及供应链系统的物流、信息流和资金流之间的协调与优化，降低核心企业的资金成本和供应链合作企业的融资难度，实现供应链企业的合作共赢。
本文通过将期权和掉期理论引入到钢铁企业的供应链管理理论中，把过程系统工程和财务规划理论相结合，研究钢铁企业供应链集成管理理论。主要研究内容包括七部分。
第一部分主要介绍本文研究的背景意义、文献综述、研究内容和方法，首先对我国钢铁企业和行业在后金融时代面临的发展背景和问题进行分析，提出钢铁企业经营需要的主要原材料和产品越来越金融化，分工越来越国际化的发展趋势，指出钢铁企业取得竞争优势的方式需要通过对钢铁供应链的集成化管理，将物流、信息流和资金流三流集成，通过与金融工程的理论方法相结合，才能化解后危机时代的经营困境，取得整体竞争优势。在此基础上，对国内外学者在供应链期权和供应链金融方面的研究进行归纳整理，对他们的研究观点进行评述，指出其贡献和不足，为本文的进一步研究指明方向。然后对本文的主要研究内容和方法进行分析，给出全文研究技术路线。
第二部分主要研究了钢铁企业供应链发展的基本演化模型，从钢铁企业的供应链的基本原理图开始，分析钢铁企业供应链不同历史阶段的表现模式，主要研究了20世纪90年代和21世纪初两种钢铁企业的集成化方式，综合研究了钢铁供应链集成化发展的历史，对钢铁企业供应链的发展阶段进行划分，并提出了20世纪90年代和21世纪初钢铁企业供应链演变发展的模式。在此基础上研究了不同形式的钢铁供应链集成化方式对于企业运营方面的影响，从生产、库存和需求模式之间的关系分析钢铁企业供应链集成的特点。
第三部分主要研究了钢铁企业供应链集成化的管理方式。首先从供应链三流（物流、信息流、资金流）合一的角度给出钢铁企业的供应链综合集成模型，从战略视角和供应链金融视角分析钢铁企业供应链集成化模型的特点，由于钢铁企业的供应链运营方面的理论研究已经成熟，不在此过多赘述，仅在此基础上将钢铁企业的运营过程控制和财务规划相结合，借鉴过程系统工程理论和财务规划理论，将二者相结合研究钢铁企业生产和财务集成化的供应链管理模式，并建立这一模式的定量分析模型。
第四部分主要研究钢铁企业上游供应链基于期权契约的建模问题，及钢铁企业的原燃料（原材料和燃料）采购问题。首先分析钢铁企业采购原燃材料的类型和特点，并根据其特点重点分析钢铁企业采购具有期权安排和掉期对冲性质的原燃材料采购问题，分析钢铁企业采购期权安排的原燃材料时通过引入期权定价B-S模型影响因素的供应链期权协调模型，构建钢铁企业采购大宗商品时利用期权契约的供应链协调模型，然后分析铁矿石在长协定价机制破环后，钢铁企业如何通过场外交易对冲现货价格波动风险，进而构建商品掉期交易模式模型，并分析了铁矿石对冲交易对于企业产生的风险影响。
第五部分主要研究钢铁企业在供应链期权担保销售量的销售模式和建模问题。首先分析了钢铁企业目前的销售模式发展趋势，在此基础上根据钢铁企业主要的产品具有提前期长、需求波动大、占压资金量大等特点，构建钢铁厂和经销商之间基于期权契约的销售量担保销售模式，研究此模式下钢铁厂、经销商和供应链整体利益优化下的决策模型，以及此销售模式对于供应链上下游企业的影响。
第六部分主要以TG集团为例，研究在管理实践中钢铁企业如何进行供应链的集成化管理。首先介绍TG集团的发展状况及供应链集成化管理背景，然后分析TG集团的战略采购、铁矿石采购、浅柔性化制造系统和大客户战略联盟销售模式，并对TG集团实施供应链集成化管理的成效进行分析。
第七部分主要对全文研究的内容进行总结，回顾全文的主要研究工作，总结本文的主要创新点，对未来的研究方向进行展望，为后续研究指明方向。
The strategy of Supply Chain Management (SCM) had been the core strategy tocreate the competitive advantage for enterprises. SCM realized the whole processmanagement from marketing to supply, strengthened the structure of inter-firmscooperation, and achieved KPI evaluation and management.
With the development of steel industry, the competition becomes more and moreardent. Steel enterprises could gain profit only to produce qualified products underregular cost control formerly. They had to supply customers super quality andcompetitive price products and services more quickly and more comprehensive thanrivals for gaining competitive advantage now. So the management emphasis of steelenterprises had to take purchase, marketing network etc. into the SCM besidesproduction and marketing management. More-over, with the growth pattern change ofpost financial crisis, steel enterprises are faced with lower ceiling and higher floor.They must strengthen purchase management of raw material and energy to reducecost, and increase communication with customers to response the market fluctuationand decrease the stock risk. So it’s very significant for steel enterprises to strengthenpurchase management of raw material and fuel and carry out purchase SCM forincreasing competitiveness and cost reduction.
Because of the feature of steel industry, the supply chains of steel enterprisesoften have many node enterprises. It’s necessary to incorporate and coordinate theresource of these supply venders to operate as a whole and realize optimization SCM.On this basis, the finance institutions and logistics enterprises provided services forsupply chain should be taken into Integration system of supply chain. And then thecoordination and cooperation mechanism was studied between upstream anddownstream and lateral enterprises of supply chain. The risk, restraint and thecoordination, optimization between logistics, information and cash flow of supplychain system were analyzed to decrease capital cost of core enterprises and financialdifficulty of the cooperation enterprises, and to realize win-win Cooperation forsupply chain enterprises.
This dissertation studied the supply chain Integration management of steelenterprises by taking share option and swap theories into SCM of steel enterprises andcombining Process Systems Engineering (PSE) with Financial Planning Theory (FPT).The main research includes seven sections.
The first section mainly introduced the research background, literature review,research content and method of this dissertation. Firstly the background and problemsfaced by steel enterprises of China in the post financial crisis were analyzed. The mainraw material and products of steel enterprises become more and more financialization.The production sharing of steel enterprises becomes more and moreinternationalization. The steel enterprises need to intergrate logistics, information andcash flow by Integration management of steel supply chain to achieve competitiveadvantage, and combine financial engineering theory with SCM to reduce theoperation difficulty of post financial crisis and gain whole competitive advantage. Onthis basis, the researches of supply chain option and finance were inductive studiedfrom home and abroad, and their research perspectives were reviewed, thecontribution and shortage were pointed out. These help to define research directions.Afterwards, the main research content and method were analyzed, and researchtechnology road map was provided.
The second section mainly studied the evolution models of supply chaindevelopment of steel enterprises. Different historical models of steel enterprises’supply chain were studied from the schematic diagram mainly includes two typeintergrations of steel enterprises from the1990s to the beginning of the21st century.And the supply chain evolutionary models of steel enterprises were proposed. On thisbasis, the affection on enterprises operations was studied for different Integrationsupply chain styles. And the feature of steel enterprises supply chain Integration wasanalyzed between production, stock and demand model.
The third section mainly studied supply chain Integration management of steelenterprise. The comprehensive Integration model of steel enterprises supply chain wasprovided from the view of tree flow (logistics, information and cash flows)intergration. And its feature was analyzed on the view of strategy and supply chainfinance. Because the supply chain operation research of steel enterprises had beenperfect, it wouldn’t been studied here. Main research focused on combining operationprocess control with financial planning of steel enterprises to study SCM ofIntegration of production and finance. And the quantitative analysis model wasstructured for this pattern.
The fourth section mainly studied how to model the upper reaches supply chainof steel enterprises based on Option Contracts and raw material purchase of steelenterprises. The raw material type and feature were analyzed purchased by steel enterprises. And the research emphasis was the option sharing arrangement and swaptransaction purchase of raw material for steel enterprises. When the raw materialpurchase with option sharing was analyzed for steel enterprises, the option pricingB-S model factors were taken into supply chain option coordination model tostructure the supply chain option coordination model with the Option Contracts forbulk commodity purchase. And then the commodity swap transaction pattern wasstructured that the steel enterprises hedge the risk of fluctuations in prices by curbexchange after long association mechanism pricing of iron ore. In addition, the riskaffection on enterprises for iron ore swap transaction was analyzed.
The fifth section mainly studied the marketing patterns and modeling with thesecurity sales volume for supply chain of steel enterprises. Firstly, the trendency ofmarketing patterns of steel enterprises was analyzed. On the basis of feature of longlead time, large demand fluctuation and funds tied up huge for the steel products, thesecurity sales volume marketing patterns based on Option Contracts was proposedbetween steel mills and agencies. The decision model of steel mills, agencies andwhole supply chain benefit optimization was studied as well as the affection onupstream and downstream enterprises of supply chain.
The sixth section mainly studied how the steel enterprises to carry out the supplychain Integration management in practice taking TG Group for example. Thebackground of supply chain Integration management and development status of TGGroup were introduced. And then, the strategic procurement, iron ore purchase,shallow flexible manufacturing system and heavy buyer strategic alliances marketingpattern of TG were analyzed as well as effect of supply chain Integrationmanagement.
The seventh section mainly summarized dissertation, reviewed main researches,summed up main Innovation Points, and took an outlook in future research to pointout the future research direction.
引文
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