绿色供应商管理的关键问题研究
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摘要
在资源短缺,环境污染日益严重的今天,面对严格的环保制度,如何在追求经济效益的同时,使得供应链和环境协调发展,将成为企业在市场竞争中成功的重要手段和决定因素。绿色供应链管理作为可持续发展下核心企业的全新管理模式,受到了学术界和企业界的广泛认可和重视。绿色供应商管理是绿色供应链管理的重要组成部分,更是绿色供应链管理实施的基础,通过与供应商的协调与合作可以实现降低成本、减少资源消耗、改善环境,并能使企业更快地响应市场需求,全面提升核心竞争力,树立企业社会形象。供应商的选择、成长与绩效评价是绿色供应商管理的核心内容,也是绿色供应商管理实施的重要环节。
因此,本文主要以绿色供应商管理为研究对象,深入探讨了绿色供应商选择问题、绿色供应商成长问题、绿色供应商绩效评价问题以及它们与企业经济绩效和环境绩效之间的关系。本论文研究主要包括三个部分：
第一部分为绿色供应商选择问题的研究。在研究国内外绿色供应商相关文献和分析其选择评价指标体系基础上,制定出绿色供应商选择的评价指标选取原则并筛选出包含经济因素、环境因素和社会因素的可持续性“三重底线”的评价指标体系。在此基础上,利用粗糙集和灰色系统理论为绿色供应商选择决策建模,并设计仿真算例对该模型进行说明与验证。在该模型中,不仅添加决策者与评价指标的双重权重,改善传统方法的指标权重适用面狭窄问题,并且引入历史供应商选择决策结果,使该模型具有“自我学习”能力。最后通过敏感性分析指明评价指标的选取与供应商选择决策结果的关系以及该模型应用中应注意的问题。
第二部分为绿色供应商成长问题研究。通过分析供应商成长和绿色供应链管理文献中出现的各类成长方案,在与核心企业管理者实践交流基础上,以可持续发展理论为指导,总结和整理出三类与经济绩效和环境绩效相关的绿色供应商成长方案(互不排斥)：绿色知识转移和交流；投资和资源转移；管理与组织行为。并建立包含3个维度37个因素的绿色供应商成长方案体系,并应用于供应商成长方案的评估与分析。由于供应商成长问题的相关研究才刚刚起步,其中关于绿色供应商成长问题的研究更少之又少,因此相关数据均不同程度地存在着不确定性因素,尤其是相关数据的不相容和不完整。为了克服数据的不确定性以及以往评价方法的主观性,本文将粗糙集理论中的规则提取技术应用到供应商成长方案评价中,按照数据获取、属性约简、值约简、供应商分类、规则获取的处理过程,建立基于不完备信息系统的粗糙集模型,为供应商成长方案评价提供一种行之有效的方法。最后通过探讨组织属性、供应商成长方案和绩效结果(环境,经济,环境+经济)三者之间的关系,得到有助于供应商成长决策的信息,可用来帮助企业对供应商成长进行持续的管理与考核,以及为研究人员和企业管理者进一步的研究与分析提供新的思路。
第三部分为绿色供应商绩效评价问题研究。以供应链运作参考模型(SCOR)理论的采购职能相关指标为基础,结合绿色供应链管理理论,扩展出采购相关的绿色绩效评价指标,阐述绩效指标的内涵与量化方法,并构建绿色供应商绩效评指标体系。由于各绩效评价指标之间的数据类型不同,因此采用灰色系统理论来减少数据标准化过程中的信息丢失。由于增加了环境绩效维度,导致绩效评价系统管理变得更加复杂,所以确定哪些绩效评价方法可以有效的监测和管理供应商绩效是本文研究的重点。因此,利用邻域粗糙集约简出关键绩效评价指标集,来有效简洁的监测与管理供应商绩效。并在此基础上,设计仿真算例来分析绩效评价方法与商业绩效水平与环境绩效水平的关系,并识别出综合绩效(商业+环境)的关键评价方法,为企业管理者提供相关决策的有效建议。
本文讨论了绿色供应商管理的选择、成长和绩效评价问题的内涵,得到了选择、成长和绩效评价的绿色指标体系,增加考虑了不同于商业绩效的环境绩效结果,构建出解决这些问题的模型,设计了不同的仿真算例并进行敏感性分析,分析了指标与绩效结果的关系,并给供应商管理者与研究人员提供了一定的思路和方法,同时也为供应商管理考核、决策制定提供一些理论依据和实践方法。
Given the rise in environmental and resource conservation importance, green supply chain management has seen growth within industry. In addition, balancing economic development and environmental development is one of the critical issues faced by managers to help organizations maintain a strategically competitive position. Green supplier management as one of important part of green supply chain is also critical issue for effective green supply chain management. Therefore, research on making the green supplier selection decision, evaluating green supplier development programs and investigating how organizations manage performance of their suppliers in green supplier management is timely and necessary. Aiming to help resolve and contribute to the knowledge around these three issues, this dissertation introduces rough set theory and grey system methodology as formal modeling tools for managerial use.The dissertation is divided into three major sections.
Section 1:Sustainable supplier selection model research
Using a foundational literature review, a sustainability factors matrix is constructed for our initial formal model.This model integrates sustainability's'triple-bottom-line'selection and performance factors.These factors include economic/business, environmental and social dimensions for decision making. Historical supplier performance and previous decisions related to these suppliers have been integrated into the decision models developed in this section of the dissertation. A rough set theoretic approach is utilized to help filter and focus the set of acceptable suppliers, which is also linked with grey relational analysis to select the best supplier. Finally, a sensitivity analysis is completed to provide theoretical and practical insights into the evaluation methodology. Part of this sensitivity analysis helps to identify and compare which selections are made when only economic factors versus a complete set of sustainability factors are used for evaluation purposes.
Section 2:Analytical evaluation of green supplier development model research
In this section, we distilled and integrated a variety of practices appearing in the supplier development and green supply chain management literature.In this evaluation we arrive at three major, not necessarily mutually exclusive, categories including green knowledge transfer and communication, investment and resource transfer, and management and organizational practices.Using these developed practices as a foundation, a formal model utilizing an'incomplete'information rough set approach, an advanced rough set theoretic technique, to evaluate the relationships between performance outcomes and various environmental supplier development practices is completed. This specific formal analytical model helps to evaluate how well specific and idiosyncratic supplier development practices are executed and to help organizations make decisions related to management issues and possible resource allocation decisions for green supplier development practices and programs.
Section 3:Evaluating supplier ecological sustainable performance measures
Well managed organizations are consistently monitoring their suppliers utilizing effective performance measurement systems (PMS).Especially important is how to determine which performance measures are effectively monitoring the preferred managerial outcomest. Monitoring and managing ecological and business/economic sustainability of supply chains adds greater complexity to PMS management. In this section of the dissertation we apply a grey based neighborhood rough set approach to help manage performance measures within the broader PMS environment. Methodologically, this is the first time that grey systems theory is integrated with neighborhood rough set theory, an important and worthwhile contribution to the body of knowledge.We provide a conceptual application of the tool after introducing a variety of environmental and business performance measures for a supply chain environment.These measures are developed based on the supply chain operations reference (SCOR) model.It is also one of the first attempts at integrating SCOR dimensions with environmental dimensions for supply chain sourcing performance evaluation.
In this dissertation, we use rough set theory and methodology along with sustainable factors matrix and characteristics and integrating some of the latest thoughts in supplier management and greening of supply chain to provide ample opportunity for advancement and contribution of knowledge in this field.
因此,本文主要以绿色供应商管理为研究对象,深入探讨了绿色供应商选择问题、绿色供应商成长问题、绿色供应商绩效评价问题以及它们与企业经济绩效和环境绩效之间的关系。本论文研究主要包括三个部分：
第一部分为绿色供应商选择问题的研究。在研究国内外绿色供应商相关文献和分析其选择评价指标体系基础上,制定出绿色供应商选择的评价指标选取原则并筛选出包含经济因素、环境因素和社会因素的可持续性“三重底线”的评价指标体系。在此基础上,利用粗糙集和灰色系统理论为绿色供应商选择决策建模,并设计仿真算例对该模型进行说明与验证。在该模型中,不仅添加决策者与评价指标的双重权重,改善传统方法的指标权重适用面狭窄问题,并且引入历史供应商选择决策结果,使该模型具有“自我学习”能力。最后通过敏感性分析指明评价指标的选取与供应商选择决策结果的关系以及该模型应用中应注意的问题。
第二部分为绿色供应商成长问题研究。通过分析供应商成长和绿色供应链管理文献中出现的各类成长方案,在与核心企业管理者实践交流基础上,以可持续发展理论为指导,总结和整理出三类与经济绩效和环境绩效相关的绿色供应商成长方案(互不排斥)：绿色知识转移和交流；投资和资源转移；管理与组织行为。并建立包含3个维度37个因素的绿色供应商成长方案体系,并应用于供应商成长方案的评估与分析。由于供应商成长问题的相关研究才刚刚起步,其中关于绿色供应商成长问题的研究更少之又少,因此相关数据均不同程度地存在着不确定性因素,尤其是相关数据的不相容和不完整。为了克服数据的不确定性以及以往评价方法的主观性,本文将粗糙集理论中的规则提取技术应用到供应商成长方案评价中,按照数据获取、属性约简、值约简、供应商分类、规则获取的处理过程,建立基于不完备信息系统的粗糙集模型,为供应商成长方案评价提供一种行之有效的方法。最后通过探讨组织属性、供应商成长方案和绩效结果(环境,经济,环境+经济)三者之间的关系,得到有助于供应商成长决策的信息,可用来帮助企业对供应商成长进行持续的管理与考核,以及为研究人员和企业管理者进一步的研究与分析提供新的思路。
第三部分为绿色供应商绩效评价问题研究。以供应链运作参考模型(SCOR)理论的采购职能相关指标为基础,结合绿色供应链管理理论,扩展出采购相关的绿色绩效评价指标,阐述绩效指标的内涵与量化方法,并构建绿色供应商绩效评指标体系。由于各绩效评价指标之间的数据类型不同,因此采用灰色系统理论来减少数据标准化过程中的信息丢失。由于增加了环境绩效维度,导致绩效评价系统管理变得更加复杂,所以确定哪些绩效评价方法可以有效的监测和管理供应商绩效是本文研究的重点。因此,利用邻域粗糙集约简出关键绩效评价指标集,来有效简洁的监测与管理供应商绩效。并在此基础上,设计仿真算例来分析绩效评价方法与商业绩效水平与环境绩效水平的关系,并识别出综合绩效(商业+环境)的关键评价方法,为企业管理者提供相关决策的有效建议。
本文讨论了绿色供应商管理的选择、成长和绩效评价问题的内涵,得到了选择、成长和绩效评价的绿色指标体系,增加考虑了不同于商业绩效的环境绩效结果,构建出解决这些问题的模型,设计了不同的仿真算例并进行敏感性分析,分析了指标与绩效结果的关系,并给供应商管理者与研究人员提供了一定的思路和方法,同时也为供应商管理考核、决策制定提供一些理论依据和实践方法。
Given the rise in environmental and resource conservation importance, green supply chain management has seen growth within industry. In addition, balancing economic development and environmental development is one of the critical issues faced by managers to help organizations maintain a strategically competitive position. Green supplier management as one of important part of green supply chain is also critical issue for effective green supply chain management. Therefore, research on making the green supplier selection decision, evaluating green supplier development programs and investigating how organizations manage performance of their suppliers in green supplier management is timely and necessary. Aiming to help resolve and contribute to the knowledge around these three issues, this dissertation introduces rough set theory and grey system methodology as formal modeling tools for managerial use.The dissertation is divided into three major sections.
Section 1:Sustainable supplier selection model research
Using a foundational literature review, a sustainability factors matrix is constructed for our initial formal model.This model integrates sustainability's'triple-bottom-line'selection and performance factors.These factors include economic/business, environmental and social dimensions for decision making. Historical supplier performance and previous decisions related to these suppliers have been integrated into the decision models developed in this section of the dissertation. A rough set theoretic approach is utilized to help filter and focus the set of acceptable suppliers, which is also linked with grey relational analysis to select the best supplier. Finally, a sensitivity analysis is completed to provide theoretical and practical insights into the evaluation methodology. Part of this sensitivity analysis helps to identify and compare which selections are made when only economic factors versus a complete set of sustainability factors are used for evaluation purposes.
Section 2:Analytical evaluation of green supplier development model research
In this section, we distilled and integrated a variety of practices appearing in the supplier development and green supply chain management literature.In this evaluation we arrive at three major, not necessarily mutually exclusive, categories including green knowledge transfer and communication, investment and resource transfer, and management and organizational practices.Using these developed practices as a foundation, a formal model utilizing an'incomplete'information rough set approach, an advanced rough set theoretic technique, to evaluate the relationships between performance outcomes and various environmental supplier development practices is completed. This specific formal analytical model helps to evaluate how well specific and idiosyncratic supplier development practices are executed and to help organizations make decisions related to management issues and possible resource allocation decisions for green supplier development practices and programs.
Section 3:Evaluating supplier ecological sustainable performance measures
Well managed organizations are consistently monitoring their suppliers utilizing effective performance measurement systems (PMS).Especially important is how to determine which performance measures are effectively monitoring the preferred managerial outcomest. Monitoring and managing ecological and business/economic sustainability of supply chains adds greater complexity to PMS management. In this section of the dissertation we apply a grey based neighborhood rough set approach to help manage performance measures within the broader PMS environment. Methodologically, this is the first time that grey systems theory is integrated with neighborhood rough set theory, an important and worthwhile contribution to the body of knowledge.We provide a conceptual application of the tool after introducing a variety of environmental and business performance measures for a supply chain environment.These measures are developed based on the supply chain operations reference (SCOR) model.It is also one of the first attempts at integrating SCOR dimensions with environmental dimensions for supply chain sourcing performance evaluation.
In this dissertation, we use rough set theory and methodology along with sustainable factors matrix and characteristics and integrating some of the latest thoughts in supplier management and greening of supply chain to provide ample opportunity for advancement and contribution of knowledge in this field.
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