【作者】 常广庶；

【导师】 徐济超；

【作者基本信息】 西北工业大学 ， 管理科学与工程， 2006， 博士

【摘要】 20世纪90年代以来，供应链管理引起了学术界和企业界的普遍关注，采购作为供应链体系中最有价值的部分倍受重视。尤其是在电子商务时代，客户需求和市场变化的速度不断加快，采购管理的复杂性和多变性大大增加，出现了利用现代信息技术特别是电子市场进行的电子采购。电子采购不仅了降低了交易成本，而且增加了采购过程的效率和透明性，最终提高了供应链整体的运作效率和竞争优势，因而成为供应链管理的热点之一。本文以电子市场作为研究背景，在国内外关于电子采购研究工作的基础上，系统研究了基于电子市场的电子采购策略。在基于电子市场的虚拟供应链中，电子采购的运行环境、供应商策略以及采购策略的优化设计已成为制约电子采购运作效率的关键因素。然而，目前关于电子市场与电子采购的研究中，已有研究的角度比较单一，往往侧重于对电子市场或电子采购的单方面分析，尚缺乏在电子市场背景下的电子采购问题研究。而且现有关于电子采购的研究大都是以实证分析或定性分析为主，对电子采购的理论框架和对电子采购模型及其优化设计的研究仍为鲜见。在上述研究背景下，本文展开了基于电子市场的电子采购策略的研究。首先建立了基于电子市场的电子采购框架，该框架为在电子市场平台上研究电子采购问题奠定了理论基础。其次，提供了基于电子市场的电子采购环境分析，研究了虚拟供应链中电子市场的运行环境对电子采购的作用。然后，从供应商和购买商两个方面研究了基于电子市场的电子采购策略的设计与优化问题：通过分析电子市场中购买商—供应商交互的特性，提出了基于电子市场的供应商交互模型，并给出了一种基于缺货补偿机制的电子市场供应商策略：通过建立(s，S)型策略的库存水平变化模型和运营成本模型，研究了购买商的电子采购策略优化与设计问题。本文的主要创新工作如下：(1)建立了基于电子市场的电子采购框架。在电子市场中，企业围绕电子采购系统，实施电子采购策略，制订电子采购决策，并与供应链其它成员和客户进行信息流和价值流的交换。在这一框架的基础上，分析了电子采购系统的类型、流程和结构，传统采购和电子采购决策过程的区别以及电子采购的实施阶段和步骤。(2)基于电子市场的电子采购环境分析。在基于电子市场的虚拟供应链中，电子市场构成了供应链及其采购活动的运行环境，因此，电子市场的商业模式、用户需求以及关系协调机制成为制约电子采购运作效率的关键性环境因素。首先，在分析电子市场商业活动模式的基础上，提出了电子市场参考模型，作为电子市场理论研究与实践活动的基础。其次，利用QFD原理，提出了一种将电子市场网站用户需求展开的多层次演绎分析方法，系统地研究了电子采购的需求环境因素。最后，考虑了虚拟供应链中市场主体之间的冲突因素，研究了电子市场的关系协调环境，利用连续型报童模型分析了中立型电子市场中的供应链关系协调问题，并进行了实例分析。(3)基于电子市场的供应商策略设计。在电子商务环境下，市场结构的动态化、速度、可视化、连通性和不确定性使得购买商与供应商之间交互的特点和本质发生了巨大的变化。因此，本文首先提出了基于电子市场的供应商交互模型，从产品特性、市场特性、供应商特性和关系特性等四个方面来刻画电子市场中供应商交互的变化和特点。然后，本文在EOQ模型的基础上，提出了一种可操作性较强的基于缺货补偿机制的电子市场供应商策略，包括固定补偿率和时基补偿率两种补偿机制，以促进基于电子市场的电子采购活动的顺利实施，并进行了实例分析。(4)基于电子市场的电子采购策略优化与设计问题。首先，建立了(s，S)型策略的库存水平变化模型，分别分析了无采购条件限制和有采购条件限制下的库存水平的变化，以便实时监控电子市场交易中库存水平的动态变化，准确把握订货点，尽可能降低电子市场交易中的风险和不确定性。其次，在电子商务环境下，采购数量的确定实际上取决于采用何种采购策略，因此本文建立了两阶段(s，S)型策略的运营成本模型，分别对长期合作策略、电子采购策略以及混合采购策略进行了比较和分析，并进行了实例分析。目前，虽然很多国内企业已经开始利用电子市场对采购过程的物流、信息流和资金流进行有效地控制和协调，将企业内部的供应链与外部供应链有机地集成起来进行管理，从而实现全局最优化目标，但对电子市场和电子采购策略的研究和应用仍处于起步阶段。因此，本文的研究成果不仅将为电子采购理论框架和电子采购运作模型提供理论依据，而且将为电子采购在我国企业中的广泛应用给出可操作的方法。更多还原

【Abstract】 Since 1990’s, supply chain management (SCM) has been regarded widely by academe and enterprises. Procurement is being paid much attention as the most valuable part in supply chain system. Especially in e-commerce era, the complexity and levity of procurement management is on a great rise because customer demands and market are changing faster. E-procurement via modem information technology (IT) especially e-marketplace appears. E-procurement can reduce transaction cost, increase the efficiency and transparency of procurement process, and then improve the whole operation efficiency and competitive advantage of the supply chains. Therefore, e-procurement has been an important step and one of hotspots of SCM.In this paper, a summary of the researches for e-procurement in China and abroad is given above all, on the basis of which the issue of e-procurement based on e-marketplace is studied systematically. In virtual supply chain based on e-marketplace, the operation environment of e-procurement, supplier relationship management (SRM), and the design and optimization of e-procurement strategy have become the key factors which restrict the operation efficiency of e-procurement. However, the current researches of e-procurement and e-marketplace are usually unilateral analysis on e-procurement or e-marketplace, and have been focused on empirical or qualitative study. The studies on e-procurement based on e-marketplace, the theory framework of e-procurement, the e-procurement models and their design and optimization are still very few.Under the background of the above research, this dissertation studies the issue of e-procurement based on e-marketplace. Above all, the framework of e-procurement based on e-marketplace is established to provide theoretical foundation for studing the issue of e-procurement in the context of e-marketplace. Then, the analysis of the environment of e-procurement based on e-marketplace is provided to study the effect of e-marketplace operation environment in virtual supply chain on e-procurement. Finally, the issue of design and optimization of e-procurement strategy based on e-marketplace is studied from both the view of supplier and buyer, namely, proposing the model of supplier interaction and supplier strategy based on stock-outs compensation in e-marketplace through analyzing the characteristics of buyer-supplier interaction in e-marketplace, studying the issue of design and optimization of e-procurement strategy of buyer through establishing the model of inventory variation and operation cost of (s, S) strategy. The main innovative reseach of this dissertation are as follows:Firstly, the framework of e-procurement based on e-marketplace is established. In e-marketplace, the enterprise implement e-procurement strategy, make e-procurement decision, perform supplier relationship management, and exchange information and value (?)ow with customers and the other members of supply chain based on e-procurement system. Then, the types, process and structure of e-procurement system, the difference between traditional procurement and e-procurement decision process, the main stages and steps of implementing e-procurement strategy, are analyzed respectively.Secondly, the environment of e-procurement based on e-marketplace is analyzed. In the virtual supply chain based on e-marketplace, e-marketplace forms the operational environment of supply chain and its procurement activities. Therefore, the business model, customer requirements and relationship coordination mechanism of e-marketplace become the key environment factors which restrict the operation efficiency of e-procurement. Above all, an e-marketplace reference model is proposed to lay a foundation for the theoretical research and practice activities of e-marketplace. Then, a multi-level deductive analysis model based on the principle of QFD to deploy customer requirements of e-marketplace web site in order to study the requirement environment factor of e-procurement systematically. Eventually, since there are more conflictions between market players in the virtual supply chain, the relationship coordination mechanism in e-marketplace should be studied. Thus, this paper analyzes the coordination problem of supply chain relationship in neutral e-marketplace by utilizing continuous newsvendor model and ease study is performed.Thirdly, the supplier’s strategy based on e-marketplace is studied. In e-commerce, the new characteristics of market structure, such as dynamics, speed, connectivity, visibility and uncertainty, make the characteristics and essence of buyer-supplier interaction change greatly. Therefore, the model of supplier interaction in e-marketplace is prvided firstly to describe the change and characteristics of supplier interaction in e-marketplace from the views of product, market, supplier and relationship characteristic. Then, aiming to promote the implement of e-procurement based on e-marketplace, a high maneuverability e-marketplace supplier strategy based on compensation mechanism by utilizing the principle of EOQ model is proposed, including fixed and time-based compensation mechanism. Case study is also performed.Fourthly, the issue of optimization and design of e-procurement strategy based on e-marketplace is studied. Above all, the model of the variety of inventory level of (s, S) strategy is established for analyzing the variety of inventory level without and with procurement limitation respectively in order to depict accurately the dynamic variety of inventory level in e-marketplace transactions, determine exactly the order point, and reduce the risk and uncertainty as greatly as possible. Then, since the determination of order quantity in e-commerce environment depends on what kinds of procurement strategy actually, an operation cost model of two-stages (s, S) strategy is established to compare and analyze long-term collaboration, e-procurement and mix procurement strategy respectively and case study is performed.Up to now, many domestic enterprises have utilized e-marketplace to control and coordinate logistics and the flow of information and capital, integrate and manage the internal and external supply chain in order to achieve the target of whole optimization. However, the research and application of e-marketplace and e-procurement are still in their infant stage. Therefore, the fruits of this study will provide not only theory foundation of the theoretical framework and operation model of e-procurement, but also operable methods for the broad application of e-procurement in the domestic enterprises.更多还原