【作者】 张红霞；

【导师】 安玉发；

【作者基本信息】 中国农业大学 ， 管理科学与工程， 2014， 博士

【摘要】 近年来我国食品安全事件接连不断,不仅严重危害了消费者的身体健康和生命安全,也对经济和社会发展造成了重大影响。为此,政府对食品安全的监管力度不断加大,企业为了防控食品安全风险、实现可持续发展,也越来越重视食品供应链质量安全管理。但从实践情况来看,食品供应链管理效率较低,难以实现食品安全和企业收益的双重优化目标。因此,本文选择从食品供应链视角展开相应的研究,探讨如何通过构建食品供应链质量安全风险控制机制,来促进食品供应链管理效率和质量安全水平的提升。本文采用信息不对称与逆向选择理论、博弈理论、委托代理理论等进行理论分析,开展核心企业主导的食品供应链质量安全风险控制研究,以期提高食品供应链核心企业的协调控制能力,达到保障食品安全和收益最大化的双重目标。本文的研究内容主要分为三个部分：首先对食品供应链参与主体进行了分析,并对食品供应链质量安全风险进行了识别与评价；然后通过搜集最近十年的食品安全事件,对食品质量安全风险来源进行了实证分析,探讨了食品供应链质量安全风险形成机理,提出了核心企业主导的食品供应链质量安全风险控制的总体思路；在此基础上分别从质量安全能力风险、质量安全信用风险、质量安全市场风险三个层面系统分析了食品供应链质量安全风险控制的机制与策略。本文主要的研究结论包括以下五个方面：(1)食品供应链参与主体形式多样,每个环节都存在着多种质量安全风险因素,但从食品安全风险总体水平来看,近十年我国食品安全总体形势“逐步向好”；(2)食品供应链质量安全风险来源复杂,风险的形成具有圈层结构特征,能力风险位于核心圈层,信用风险位于中间圈层,市场风险位于外围圈层,三个层面共同作用导致了质量安全风险的形成；(3)食品供应链质量安全能力风险的控制,需要提升供应链主体质量安全保证能力。通过食品供应链组织模式的优化和核心企业与其他主体的紧密合作,可以有效控制质量安全能力风险；(4)食品供应链质量安全信用风险的控制,需要建立合理的利益分配和风险共担机制。通过设计合理的激励机制,使核心企业与其他参与主体保持稳定的合作关系,可以有效控制质量安全信用风险；(5)食品供应链质量安全市场风险的控制,需要降低企业和消费者之间的信息不对称程度。通过有效的质量信号传递,使消费者能准确辨别食品质量安全水平,可以有效降低食品市场逆向选择风险。本文的研究能够丰富食品供应链管理相关理论成果。研究结论将为企业实施食品供应链管理提供一定的指导作用,也为政府部门制定食品行业监管与扶持政策提供理论支撑和决策参考依据。更多还原

【Abstract】 In recent years,the increasing food safety incidents not only cause serious damage to health and life safety of consumers, also have significant effects on economic and social development. Therefore, the government’s regulation of food safety is increasing, and enterprises also pay more and more attention to food safety management of supply chain to control food safety risk and achieve sustainable development. However, food supply chain management dose not work efficiently, which is difficult to achieve dual optimization goal of food safety and earnings. So this paper choose to conduct research from the perspective of food supply chain, aimed to explore how to promote management efficiency and food safety level by constructing food safety risk control mechanism of supply chain.This paper studies food safety risk control mechanism with information asymmetry and adverse selection theory, game theory, principal-agent theory, hoping to increase coordination and control capability of the core enterprise in food supply chain to achieve the dual goal of ensuring food safety and maximizing returns. The contents of this paper are divided into three parts.First, bodies of food supply chain are analyzed and food safety risks are identified and evaluated. Then an empirical analysis of the sources of food safety risk is carried out according to the food safety incidents occured in the past ten years.The overall plan of food safety risk control of supply chain is proposed by analyzing the formation mechanism of food safety risk. On this basis,the control mechanism and strategies of food safety risk are systematically studied from three layers:capability risk,credit risk and market risk.The main conclusions of this paper include five aspects:(1) There are many different forms of bodies of food supply chain. Each link of the chain has many food safety risk factors. But the overall situation of China’s food safety in the past ten years is "positive step by step".(2) The sources of food safety risk are complicated. The formation of the risk has a characteristic of layer structure, in which capability risk is situated in the core layer, credit risk is located in the intermediary layer, and market risk is in the external layer. Three layers jointly lead to the formation of food safety risk.(3) The control of capability risk needs to improve quality assurance capability of the bodies of supply chain. It can be controlled through optimization of supply chain organization mode and close cooperation between core enterprise and the other bodies.(4) The control of credit risk needs to establish reasonable benefit allocation and risk-sharing mechanism. It can be controlled through designing a reasonable incentive mechanism to maintain stable relations of cooperation.(5) The control of market risk needs to reduce the degree of information asymmetry between enterprises and consumers. It can be reduce through the quality signal transmission which can make consumers distinguish food quality.The paper can enrich the theory of food supply chain management. The conclusions may provide guidance for enterprises to implement food supply chain management and theoretical support and decision-making reference for the government to make food industry regulatory and support policies.更多还原