基于契约合作与信息共享的供应链协同研究
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摘要
随着经济全球化的浪潮,市场竞争越来越激烈,供应链之间竞争压力越来越大。如何快速响应不确定性的市场需求,降低制造和配送成本、缩短产品生产和配送时间,实现高效的供应链协同成为当前供应链管理重要研究的方向。契约合作和信息共享是实现供应链协同两个主要手段。由于供应链协同正处于快速发展、逐步完善的阶段,市场需求呈现多样化、个性化、小量化等多种瞬息万变的特点,契约和信息共享的研究也出现一些新趋势,基于这些特点和趋势研究供应链协同管理问题有待进一步创新和深入。为此,本文在对国内外供应链协同领域的研究方法、内容和手段进行了总结和归纳的基础上,从系统的角度,综合考虑供应链协同管理中的几个重要问题,即契约合作、信息共享、应急管理协同策略、绩效评价等,利用协同理论、博弈论、最优化理论、运筹学理论、供应链管理理论等,采用定量和定性相结合的方法研究了供应商之间的协同,供应商与核心企业的博弈与协同,供应链协同突发事件的应急管理、供应链协同绩效评价等基于契约合作和信息共享的供应链协同问题,实现了供应链协同创新,对于完善供应链协同方法体系,为供应链的协同管理实践提供了一些理论指导和借鉴。
主要研究工作包括：
(一)基于供应链战略合作伙伴关系的体系框架,利用纳什均衡博弈理论,研究了供应链中供应商企业之间在资源独立调配和协同调配两种情况下的博弈及其对供应商收益影响的差异性,以及供应商协同供货及集体利益最大化以及核心生产企业的利益最大化。在供应商与核心生产企业二人合作博弈分析基础上,建立了不确定响应时间下准时交货激励契约的博弈与协同双层规划模型。通过对该模型的最优性分析,讨论了准时采购过程中核心生产企业与多供应商决策的交互影响关系,并分析了求出无约束条件下的Stackelberg均衡解的必要条件。利用模拟退火算法求解上层规划模型,结合内点法求解下层规划模型,从而构造了核心生产企业与供应商企业之间的博弈—协同模型的优化算法。
(二)需求的时变性和企业间信息的独立性是供应链不确定性的两大主要来源,针对这一问题,从供应链战术层协同的层面,研究了时变需求下基于信息共享的供应链协同问题。通过设计信息协同的信息广度和信息深度的测度指标—信息共享度,从而建立信息协同与成本的数量关系,并结合激励机制建立了核心生产企业与上游供应商企业以及下游分销商企业组成的三级供应链在信息共享情形下的协同模型；利用纳什均衡博弈理论,分析了核心生产企业利润最大化问题,以及参与和未参与信息共享的供应商企业、分销商企业的最优供应量和利润,获得了核心生产企业与供应商企业及分销商企业在实施信息共享后的价值增值的解析解。最后阐述了供应链信息共享激励与约束机制。
(三)通过分析供应链突发事件及其特征,探讨了应对供应链突发事件的应急管理策略,根据供应链突发事件对供应链系统的影响特征,针对“供应—生产—销售”三级供应链系统在突发事件发生时,采用信息共享和契约激励策略组合,在非线性需求条件下,建立了供应链系统需求突发事件、生产能力突发事件等基于契约激励和信息共享的供应链突发事件供应链系统集成决策应急管理策略模型。促进供应链系统集成决策以减少供应链系统损失、尽快修复供应链系统,并使供应链整体收益最大化。
(四)在协同支持、协同过程和协同结果三个层面建立了基于激励契约和信息共享的供应链协同绩效评价指标体系,基于网络分析法(ANP)软件建立了指标权重计算模型,基于梯形模糊有序加权平均算子(TFOWA)建立了指标值计算模型,通过铁路机车制造企业为背景的实例验证了模型的有效性,评价结果符合该企业供应链运作实际情况。
With the big wave of economical globalization, market competition is becoming increasingly fierce, and the competitive pressure between the supply chains gets greater and greater. It becomes an important research direction of supply chain management that how to quickly respond to uncertain market demand, to reduce the manufacturing and distribution costs, to shorten production and delivery time, and to achieve efficient supply chain collaboration. Contract cooperation and information sharing are two main means to achieve supply chain collaboration. The market demand has got the characteristics of diversity, personalization, miniaturization, etc, which vary from minute to minute; the research of information sharing and contract cooperation also appears some new trends. In view of these characteristics and trends, the research of supply chain collaboration management needs to be done further innovatively and deeply. Based on the summary and induction of the research methods, the content and the means in the field of the supply chain collaboration at home and abroad, from the angle of the system, comprehensively considering several important problems in the collaborative management of the supply chain, namely the contract cooperation, information sharing, emergency management, performance evaluation, employing coordination theory, game theory, the optimization theory, the operations research theory, and the theory of supply chain management, and by using the combination of quantitative and qualitative research, this paper studies the collaboration among suppliers, the cooperative game and coordination of suppliers and the core enterprise in the supply chain, emergency management in the collaborative management of the supply chain, supply chain collaboration performance evaluation analysis based on contract cooperation and information sharing. In this paper, the innovation of supply chain collaboration has been implemented; it can improve the method system and provide some theoretical guidance and reference for the practice of collaborative supply chain management.
The major research work is as follows.
(I) Considering the framework of the supply chain strategic partnership and using Nash game theory, we have investigated the competition of supply companies in the supply chain in cases of independent deployment of resources and Collaborative deployment of resources, and the differences of impactions on the supplier benefits under the two situations, and supplier's collaboration to maximize its collective interests, and to maximize the benefits of the core manufacturing enterprise. Based on the analysis of game and collaboration between suppliers and core manufacturing enterprise, we have established bi-level programming model of game and collaboration, which is on-time delivery incentive contract under the uncertain response time. Through the analysis of the optimality of the model, we have discussed the interaction between core manufacturer's decisions and supplier's decisions in the on-time procurement process, analyzed and figured out the necessary conditions for the existence of Stackelberg equilibrium in unconstrained circumstances, and then developed an efficient algorithm between the core manufacturers and suppliers by making use of simulated annealing algorithm for upper programming model, combined with the interior point method for solving the underlying programming model.
(II) Information Independence among enterprises and time-varying demand are the two main sources of uncertainty in the supply chain. To solve this problem, the supply chain collaboration is studied based on time-varying demand and information sharing from the respective of tactical supply chain collaboration. By designing information sharing measure index which includes the breadth and depth of information collaboration, the numerical relationship between information sharing and cost is established, and a collaborative model is constructed that is composed of the manufacturers, upstream supplies and downstream distributors under the condition of information sharing combined with incentive mechanisms. Using the Nash equilibrium of game theory and the profit maximization for the manufacturing enterprise is analyzed, so is the optimal supply quantity and profits of distributors and suppliers, including those who have a hand in information sharing and those who have not. The resolution of added-value is gained for the manufacturers, suppliers and distributors after implementing information sharing. Finally, incentive and constraint mechanisms of the supply chain information sharing have been studied.
(III) By analyzing the characteristics of the emergency on the supply chain system, emergency management strategy has been explored. According to the characteristics of supply chain emergencies impact on supply chain system, aiming at "supply-production-sales" three level supply chain collaborative system under the impact of unexpected events, combing information sharing with contract incentive strategy, in nonlinear demand conditions, integrated decision-making model of emergency management strategy of supply chain system is established, which includes supply chain system need emergency and production capacity emergency that are based on contract cooperation and information sharing.
(IV) From three aspects of the collaborative support, collaborative process and cooperative results, the performance evaluation index system has been established on the basis of incentive contract collaboration and information sharing. The analytic network process (ANP) software is used to calculate the weight of each level index; the trapezoidal fuzzy ordered weighted averaging operator (TFOWA) is employed to calculate the index value; the model's effectiveness is validated through the example of railway locomotive manufacturing enterprise, and the assessment results accord with this enterprise's practical operation of supply chain.
主要研究工作包括：
(一)基于供应链战略合作伙伴关系的体系框架,利用纳什均衡博弈理论,研究了供应链中供应商企业之间在资源独立调配和协同调配两种情况下的博弈及其对供应商收益影响的差异性,以及供应商协同供货及集体利益最大化以及核心生产企业的利益最大化。在供应商与核心生产企业二人合作博弈分析基础上,建立了不确定响应时间下准时交货激励契约的博弈与协同双层规划模型。通过对该模型的最优性分析,讨论了准时采购过程中核心生产企业与多供应商决策的交互影响关系,并分析了求出无约束条件下的Stackelberg均衡解的必要条件。利用模拟退火算法求解上层规划模型,结合内点法求解下层规划模型,从而构造了核心生产企业与供应商企业之间的博弈—协同模型的优化算法。
(二)需求的时变性和企业间信息的独立性是供应链不确定性的两大主要来源,针对这一问题,从供应链战术层协同的层面,研究了时变需求下基于信息共享的供应链协同问题。通过设计信息协同的信息广度和信息深度的测度指标—信息共享度,从而建立信息协同与成本的数量关系,并结合激励机制建立了核心生产企业与上游供应商企业以及下游分销商企业组成的三级供应链在信息共享情形下的协同模型；利用纳什均衡博弈理论,分析了核心生产企业利润最大化问题,以及参与和未参与信息共享的供应商企业、分销商企业的最优供应量和利润,获得了核心生产企业与供应商企业及分销商企业在实施信息共享后的价值增值的解析解。最后阐述了供应链信息共享激励与约束机制。
(三)通过分析供应链突发事件及其特征,探讨了应对供应链突发事件的应急管理策略,根据供应链突发事件对供应链系统的影响特征,针对“供应—生产—销售”三级供应链系统在突发事件发生时,采用信息共享和契约激励策略组合,在非线性需求条件下,建立了供应链系统需求突发事件、生产能力突发事件等基于契约激励和信息共享的供应链突发事件供应链系统集成决策应急管理策略模型。促进供应链系统集成决策以减少供应链系统损失、尽快修复供应链系统,并使供应链整体收益最大化。
(四)在协同支持、协同过程和协同结果三个层面建立了基于激励契约和信息共享的供应链协同绩效评价指标体系,基于网络分析法(ANP)软件建立了指标权重计算模型,基于梯形模糊有序加权平均算子(TFOWA)建立了指标值计算模型,通过铁路机车制造企业为背景的实例验证了模型的有效性,评价结果符合该企业供应链运作实际情况。
With the big wave of economical globalization, market competition is becoming increasingly fierce, and the competitive pressure between the supply chains gets greater and greater. It becomes an important research direction of supply chain management that how to quickly respond to uncertain market demand, to reduce the manufacturing and distribution costs, to shorten production and delivery time, and to achieve efficient supply chain collaboration. Contract cooperation and information sharing are two main means to achieve supply chain collaboration. The market demand has got the characteristics of diversity, personalization, miniaturization, etc, which vary from minute to minute; the research of information sharing and contract cooperation also appears some new trends. In view of these characteristics and trends, the research of supply chain collaboration management needs to be done further innovatively and deeply. Based on the summary and induction of the research methods, the content and the means in the field of the supply chain collaboration at home and abroad, from the angle of the system, comprehensively considering several important problems in the collaborative management of the supply chain, namely the contract cooperation, information sharing, emergency management, performance evaluation, employing coordination theory, game theory, the optimization theory, the operations research theory, and the theory of supply chain management, and by using the combination of quantitative and qualitative research, this paper studies the collaboration among suppliers, the cooperative game and coordination of suppliers and the core enterprise in the supply chain, emergency management in the collaborative management of the supply chain, supply chain collaboration performance evaluation analysis based on contract cooperation and information sharing. In this paper, the innovation of supply chain collaboration has been implemented; it can improve the method system and provide some theoretical guidance and reference for the practice of collaborative supply chain management.
The major research work is as follows.
(I) Considering the framework of the supply chain strategic partnership and using Nash game theory, we have investigated the competition of supply companies in the supply chain in cases of independent deployment of resources and Collaborative deployment of resources, and the differences of impactions on the supplier benefits under the two situations, and supplier's collaboration to maximize its collective interests, and to maximize the benefits of the core manufacturing enterprise. Based on the analysis of game and collaboration between suppliers and core manufacturing enterprise, we have established bi-level programming model of game and collaboration, which is on-time delivery incentive contract under the uncertain response time. Through the analysis of the optimality of the model, we have discussed the interaction between core manufacturer's decisions and supplier's decisions in the on-time procurement process, analyzed and figured out the necessary conditions for the existence of Stackelberg equilibrium in unconstrained circumstances, and then developed an efficient algorithm between the core manufacturers and suppliers by making use of simulated annealing algorithm for upper programming model, combined with the interior point method for solving the underlying programming model.
(II) Information Independence among enterprises and time-varying demand are the two main sources of uncertainty in the supply chain. To solve this problem, the supply chain collaboration is studied based on time-varying demand and information sharing from the respective of tactical supply chain collaboration. By designing information sharing measure index which includes the breadth and depth of information collaboration, the numerical relationship between information sharing and cost is established, and a collaborative model is constructed that is composed of the manufacturers, upstream supplies and downstream distributors under the condition of information sharing combined with incentive mechanisms. Using the Nash equilibrium of game theory and the profit maximization for the manufacturing enterprise is analyzed, so is the optimal supply quantity and profits of distributors and suppliers, including those who have a hand in information sharing and those who have not. The resolution of added-value is gained for the manufacturers, suppliers and distributors after implementing information sharing. Finally, incentive and constraint mechanisms of the supply chain information sharing have been studied.
(III) By analyzing the characteristics of the emergency on the supply chain system, emergency management strategy has been explored. According to the characteristics of supply chain emergencies impact on supply chain system, aiming at "supply-production-sales" three level supply chain collaborative system under the impact of unexpected events, combing information sharing with contract incentive strategy, in nonlinear demand conditions, integrated decision-making model of emergency management strategy of supply chain system is established, which includes supply chain system need emergency and production capacity emergency that are based on contract cooperation and information sharing.
(IV) From three aspects of the collaborative support, collaborative process and cooperative results, the performance evaluation index system has been established on the basis of incentive contract collaboration and information sharing. The analytic network process (ANP) software is used to calculate the weight of each level index; the trapezoidal fuzzy ordered weighted averaging operator (TFOWA) is employed to calculate the index value; the model's effectiveness is validated through the example of railway locomotive manufacturing enterprise, and the assessment results accord with this enterprise's practical operation of supply chain.
引文
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