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面向SCCW的核电装备制造企业供应风险评估与控制研究
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摘要
目前,世界各国纷纷致力于核能发电,以弥补传统电力能源供应的不足。中国核电工业正处于快速的起步发展阶段,由于技术能力及管理经验匮乏,已面临严重的物资供应危机:尚未实现全部装备的自主研制,部分核心材料及设备面临跨国采购、过度依赖于进口的供应难题;同时,核电装备的制造挑战了国内重型装备制造企业的能力极限,又因为核电装备制造任务尚不是此类企业的主营业务,在供应商合作能力与合作意愿不足的双重作用下,物资供应质量不合格及交货延迟事件屡有发生,而核电装备制造企业尚未提出一套行之有效的供应风险管理控制体系。因此,核电装备制造企业的供应风险评估与控制不仅仅是一个理论问题,更是一个亟待解决的现实问题。
     核电装备制造企业不同类型供应商的技术、质量保证能力与合作意愿具有显著的差别,并对供应风险产生重要的影响,因此,本文在梳理文献的基础上首先从核电装备制造及其供应商的特征出发,提出了供求双方合作能力与合作意愿维度下供应商分类(SCCW)的理论模型,该模型将供应商划分为供方主导型、战略型、需方主导型和松散型四类。为了验证理论模型的科学性、提出供应商分类的定量方法,本文应用企业调研和数据挖掘工具对核电装备制造企业的样本供应商进行系统聚类。聚类分析的结果显示,合作能力与合作意愿分类维度的各个分解测度指标在四类供应商之间具有显著的差异,其组间差异亦符合理论模型的分析,供应商分类理论模型及其测度体系的科学性得以验证。
     其次,对影响供应风险的外部及内部因素进行了分析。以组织与外部环境的适应性及委托代理理论分析了核电装备制造企业供应风险的外部和内部成因。在此基础上,进一步挖掘供应风险的外部及内部相关因素:从双方的合作能力与合作意愿出发,综合考虑外部环境的影响,建立不同因素与供应风险存在相关性的一系列理论假设;运用企业调研和数据挖掘的方法验证理论假设、识别供应风险的相关因素;针对与SCCW不同类型供应商合作的特点,分析影响四类供求合作供应风险的关键因素,确定面向SCCW不同类型供应商供应风险控制的重点。
     再次,基于供应商分类和供应风险相关因素识别的研究结果,整合负载供应商类别特征的虚拟变量和供应风险的影响因素作为指标体系,运用支持向量机(SVM)和决策树(DT)等数据挖掘方法构建了面向SCCW不同类型供应商供应风险的评估模型。更进一步以误差平方和最小化的原则求解组合系数,构建了基于SVM与DT的供应风险线性组合评估模型。评价结果表明,上述模型的系统误差均比较小,但线性组合模型显现了最高的评估精度和最好的稳定性,评估效果优于独立的SVM和DT模型。
     最后,本文依托供应风险相关因素的识别和风险评估模型的研究结论,从系统观的视角审视供求合作与供应风险问题,将核电装备制造企业与供应商的“一对一”合作视为一个供求合作系统,在刻画系统要素及特征的基础上,深入分析其与SCCW四类供应商合作系统构建、系统运行及终止合作各个阶段的关键路径及其风险控制点,提出了相应的供应风险控制策略。
Nowadays,many countries were committed to nuclear power and cover the shortage of traditional energy supply. China's nuclear industry is in the early stage of development , by the shortage of technological and management experience, which faced the severe supply risk: china has not achieved self-manufacture fully,the key equipment dependent on imports, at the same time, nuclear power equipment manufacturing pose a challenge to the capability limit of domestic manufacturing enterprise, when the nuclear power equipments are not the primary business of them, manufacturing enterprises always in-cooperative. Therefore, it is not only a theoretical issue, but a real problem to research how to predict and control the supply risk.
     In nuclear power equipment manufacturing industry, the quality assurance abilities, techniques, and the willingness are different between types of nuclear power equipment manufacturing supplier, and this significant difference has important influence on supply risk. Therefore, firstly, on the basis of analyzing literature and nuclear power equipment manufacturing and supplier's characteristic, this paper puts forward the four-classification theoretical model of suppliers classification under dimensions on capability and willingness (SCCW). I.e. suppliers oriented, strategic, loose and demanders oriented. In order to verify the theoretical model and provide a quantitative method of supplier classification, clustering analysis was used to analyze the research data. Clustering results show that all indexes have significant difference between four kinds of suppliers, and the difference between four kinds of suppliers accorded with theoretical model were analyzed.
     Secondly, the influence factors of supply risk from internal and external ware analyzed. On the basis of theoretical analysis, the internal and external supply risk factors ware discussed further, theoretical assumptions ware established about the correlation between all these factors and supply risk. Then, data mining tools ware use to verify the theoretical assumptions. Furthermore, the influence of indexes and key points of risk controlling between four kinds were discussed.
     Thirdly, according to the research results above, using the influence factors of supply risk and virtual variable of suppliers’category, this paper established Assessmentmodels respectively based on support vector machine (SVM) and decision tree (DT). Furthermore, according to the principle of least sum of error squares, this paper put forward the combined Assessmentmodel based on SVM and DT. The forecasting results of three Assessmentmodels show that the Assessmentaccuracy of all three models was higher, and the system error was smaller, and the evaluation parameters of combined model are better than which of single SVM model and DT model.
     Finally, based on the supplier classification, identification of risk factors and Assessmentof risk degree, this paper analyzed the critical path and key points in system construction, system operation and system dying. Moreover, this paper put forwarded the control approaches according to the key points of risk controlling.
引文
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