周日静学（282）：博士论文14 研究技术路线与方法

发布时间：2026年01月29日作者:aiycxz.cn

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Today, the editor brings the "1.4 Research technical route and methods of the doctoral dissertation 《Research on information security investment decisions of interdependent supply chain enterprises》”.

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内容摘要：Abstract

本期推文将从思维导图、精读内容、知识补充三个方面介绍博士论文《安全相互依赖的供应链企业信息安全投资决策研究》1.4研究技术路线与方法。

This issues tweet will introduce the doctoral dissertation 《Research on information security investment decisions of interdependent supply chain enterprises》from three perspectives: mind mapping, detailed content analysis, and supplementary knowledge, focusing on 1.4 research technical route and methods.

思维导图：Mind mapping

精读内容：Intensive reading content

在研究技术路线部分，作者介绍了总体的研究逻辑：内部供应链—外部供应链—非竞争供应链—竞争供应链。围绕安全相互依赖性，探究内外部供应链节点的信息安全投资决策问题，具体的研究思路为构建经济模型—求解最优策略—分析影响因素—设计分析协调机制—数值模拟—模型拓展—得出结论与管理建议。并介绍了本文的重点研究问题：（1）内部供应链信息安全投资分配策略研究。考虑管理中心和分支的信息集差异以及信息系统互连的情况，构建了预算约束下企业内部信息安全投资分配的数学模型，以求解最优的安全投资分配策略．此外，考虑了节点间安全信息共享机制对提高安全投资决策效率的效果。（2）外部供应链信息安全投资决策与协调机制研究。该部分构建了由一个零售商和n个供应商组成的两级供应链企业信息安全投资博弈模型，分析讨论供应商和零售商的最优安全投资策略及其对相关外部环境因素的响应。接着，分析上下游企业安全投资外部性及其带来投资决策效率低下的原因，进一步提出联合决策、安全风险赔偿和安全信息共享三种协调机制，并分析它们内外安全外部性的效果。此外，对二阶段安全相互依赖与一阶段的情况进行了补充和比较。（3）供应商相互竞争的外部供应链信息安全投资决策。分析了竞争程度、竞争企业数量等因素对两种安全相互依赖情形下企业安全投资决策的影响。接着，对比分析了两种相互依赖情形的现实适用场景。最后，分析了集中供应链的决策情形，并与分散决策的情况进行了对比。

In the section on the research methodology, the author presents the overall research logic, which progresses from internal supply chains to external supply chains, from non-competitive supply chains to competitive supply chains. Centering on security interdependence, the study investigates information security investment decisions of nodes in both internal and external supply chains. The specific research framework follows the sequence of constructing economic models, deriving optimal strategies, analyzing influencing factors, designing and evaluating coordination mechanisms, conducting numerical simulations, extending the models, and finally drawing conclusions and managerial implications. The paper further identifies three core research issues.(1) Information security investment allocation strategies in internal supply chains. Considering differences in information sets between the management center and branches, as well as the interconnection of information systems, the study constructs a mathematical model for allocating information security investments within firms under budget constraints, in order to derive optimal security investment allocation strategies. In addition, the role of security information-sharing mechanisms among nodes in improving the efficiency of security investment decision-making is examined. (2) Information security investment decisions and coordination mechanisms in external supply chains. This part develops a game-theoretic model of information security investment in a two-tier supply chain consisting of one retailer and n suppliers. It analyzes the optimal security investment strategies of suppliers and the retailer, as well as their responses to external environmental factors. The study then examines the externalities of security investment between upstream and downstream firms and explains the resulting inefficiencies in investment decisions. To address these issues, three coordination mechanisms—joint decision-making, security risk compensation, and security information sharing—are proposed, and their effectiveness in internalizing security externalities is analyzed. In addition, a two-stage security interdependence setting is supplemented and compared with the one-stage case. (3) Information security investment decisions in external supply chains with competing suppliers. This part analyzes how factors such as the degree of competition and the number of competing firms affect security investment decisions under two types of security interdependence. It then compares the practical applicability of these two interdependence scenarios. Finally, the study examines the decision-making outcomes under centralized supply chain coordination and compares them with those under decentralized decision-making.

在研究方法部分，作者主要介绍了五种研究方法，文献研究法、最优化方法、博弈论分析方法、数值模拟方法、对比分析方法。并分别介绍了每个方法在本文的应用。

In the section on research methods, the author mainly introduces five methodological approaches: the literature review method, optimization methods, game-theoretic analysis, numerical simulation, and comparative analysis. The application of each method in this study is then described in detail.

知识补充：Knowledge supplement

供应链风险管理的主要内容

The main components of supply chain risk management

供应链风险管理是指在供应链运作过程中，通过采取一系列措施，识别、评估、缓解、转移和监控可能会对供应链稳定性和可持续性造成潜在影响的各种风险，以确保供应链的平稳运行和高效管理。那么，具体来说，供应链风险管理的主要内容包括以下方面：

Supply chain risk management refers to the process of identifying, assessing, mitigating, transferring, and monitoring various risks that may potentially affect the stability and sustainability of the supply chain during its operation, through a series of measures, so as to ensure the smooth operation and efficient management of the supply chain. Specifically, the main components of supply chain risk management include the following aspects:

风险评估：供应链风险管理的第一步是对供应链各个环节进行风险评估。风险评估是识别风险的方法，通过对供应链中可能出现的各种风险进行调查和分析，确定供应链各个环节所面临的风险类型、风险等级和风险影响因素，以及建立风险管理框架和制定相应的风险管理策略。

Risk assessment: The first step in supply chain risk management is to conduct a risk assessment across all stages of the supply chain. Risk assessment is the process of identifying risks by systematically investigating and analyzing the various potential risks that may arise within the supply chain. It aims to determine the types of risks, their severity levels, and the influencing factors faced by each supply chain stage, as well as to establish a risk management framework and formulate corresponding risk management strategies.

风险缓解：对于已经被识别出的风险，供应链管理者需要采取措施来缓解风险的影响。根据风险的类型和等级，采取相应的措施，比如调整供应商的选取，增加备件或库存量，建立应急响应机制等。其中最好的办法是通过产业链上下游利益相关方之间的密切合作来共同应对风险。

Risk mitigation: For risks that have already been identified, supply chain managers need to take appropriate measures to reduce their potential impact. Depending on the type and severity of the risk, corresponding actions can be implemented, such as adjusting supplier selection, increasing spare parts or inventory levels, and establishing emergency response mechanisms. Among these measures, the most effective approach is often close collaboration among stakeholders across the upstream and downstream segments of the supply chain to jointly address and manage risks.

风险转移：对于某些不可避免的风险，供应链管理者可以采取风险转移策略，即将风险分摊给其他利益相关方，以减少自身风险。常见的风险转移方式包括：保险、贸易融资、合同条款等。

Risk transfer: For certain unavoidable risks, supply chain managers can adopt risk transfer strategies by sharing or shifting risks to other stakeholders, thereby reducing their own exposure. Common risk transfer mechanisms include insurance, trade financing arrangements, and contractual clauses.

监控风险：风险管理是一个持续的过程，需要不断地监控风险状况，及时调整措施并更新风险管理策略。如果没有及时发现和处理风险，一旦风险变化，就可能造成损失和影响供应链的正常运营。

Risk monitoring: Risk management is a continuous process that requires ongoing monitoring of risk conditions, timely adjustment of control measures, and regular updating of risk management strategies. If risks are not identified and addressed in a timely manner, changes in risk conditions may lead to losses and disrupt the normal operation of the supply chain.

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本文由LearningYard学苑整理并发出，如有侵权请联系删除。

参考文献：[1] 徐璐. 安全相互依赖的供应链企业信息安全投资决策研究 [D]. 武汉: 华中师范大学, 2021.

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周日静学（282）：博士论文14 研究技术路线与方法

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