【作者】 李应；

【导师】 杨善林；

【作者基本信息】 合肥工业大学 ， 管理科学与工程， 2009， 博士

【摘要】 在决策中,存在大量的具有层次结构的问题,不同层次上具有不同的决策者,并各自有着不同的利益,其决策依次作出,上层先决策,下层后决策,并且各层决策相互影响。具有层次结构的问题正是多层规划的研究范畴。供应链是具有层次或网络结构的复杂系统,竞争与合作共存于供应链博弈关系中,适宜用多层规划建模。供应链管理的目的就是通过协调和控制供应链成员间的物流、信息流、资金流等,以降低总成本,提高供应链整体竞争力等。供应链多层规划问题的解应该是Pareto有效的合作解决方案。此外,供应链中的决策通常是在信息不完全或不确定的情况下作出的,分布与不确定环境下的供应链计划、协调问题是供应链研究中的热点与难点。本文是研究在分布和不确定信息决策环境下,多阶供应链协调与计划问题的建模与协商求解方法。文章分析了多层规划在供应链建模中的运用及求解特点,并分别对两阶段和三阶段供应链协调和计划问题建立了相应模型。对于供应链多层规划模型,根据问题合作策略的不同或考虑环境不确定性与否,基于不同的优化策略,分别设计了相应的协商方法以获得合作解决方案。本文的主要研究内容和创新性工作如下:(1)建立了供应链多层规划模型,并分析了合作解的意义和求解特点。目前关于供应链建模的研究,特别是用数学规划方法建模,往往忽略了供应链决策的分散和递阶性。本研究将多层规划运用于多阶段供应链建模,分别建立了二阶段、三阶段和下层多分销商等不同供应链结构模型,并分析了模型约束条件放置等重要问题。此外,对于供应链多层规划问题,考虑如何得到整体优化解具有更实际的意义。文章分析了合作解的几种形式,指出基于有保留的局部信息的反复交互方法是可行的多层规划合作解决方法。(2)对于供应链契约协调问题,设计了基于整体优化的两步协商方法。在不完全信息情况下,契约参数的设定必须经过签约双方反复协商和多次博弈,才有可能达成协调。而这种信息的交互通常是有保留和逐步试探。本研究中,利用满意度原理实现多层问题转换的同时,通过目标或变量隶属函数的转化实现目标和约束信息在形式上的隐密。对于两阶段供应链契约协调,设计了基于整体优化的两步协商算法,以逐步获得供应链最优契约参数和整体最优解。其中,第二步协商模型是在第一步得到的均衡解基础上,基于总体目标满意度最大化,并结合决策变量满意度松弛约束建立的。用所研究方法求解价格折扣契约设计问题,并通过与其它优化策略的对比,验证该解决方案的优越性。(3)对于供应链协同计划问题,设计了基于合作对策的两步协商方法。现有的用于求解协同计划问题的数学规划方法,虽然考虑了分布式决策特点,但这些方法存在着求解质量差或需要过多信息等不足。本研究将合作博弈理论应用于分布式协同计划问题。对于三阶段供应链协同计划问题,设计了基于合作对策的两步协商过程,描述了两步协商模型和交互协商算法步骤。其中第二步合作协商模型是基于Nash协商解的形式,并结合满意度松弛约束建立的。结合问题的特点,设计了模糊遗传算法以获得模型的模糊最优解。用所研究方法求解三阶段生产-分销计划问题,并通过与其它方法的对比,验证该解决方案的优越性。(4)对于模糊环境下的供应链计划问题,设计了可调参数两层交互式协商方法。现实供应链系统往往处于不确定的环境之中,多层分布决策系统对其中的不确定参数的选择更为敏感。论文研究了模糊环境下的供应链计划问题,建立了模糊机会约束规划多层规划模型,并转化为具有可变参数的清晰等价模型。为求解模型,设计了可调参数两层交互式协商算法,以获得合作满意解。交互式算法分为内、外两层,内层为两层规划交互式协商,而外层为关于可能性水平值的参数规划层。算例仿真验证了该方法的可行性。(5)研究了下层多分销商的供应链多层规划模型及其协商求解方法。在供应链实践中,同一渠道多个竞争者的情况是常见的。根据决策相关性,以及决策主体间是否采取合作策略,将下层多随从的两层供应链规划问题分为三类。分别研究了下层多人无关联两层供应链决策问题、下层多人有关联非合作两层决策问题和下层多人有关联合作两层决策问题的模型及求解方法。上述研究拓展了供应链建模的思路。研究了不完全信息情况下,具有合争博弈特点的交互式协商新方法,为供应链谈判支持系统提供了新型谈判理论、模型和方法。更多还原

【Abstract】 There exist lots of decision-making problems with hierarchical structure, and different decision makers on different levels have their own goals. The decisions are made in turn from upper level to lower level, and their decision results are influenced by each other. Multi-level programming was developed to solve the problems with hierarchical structure. Supply chain is complicated system with hierarchical or netted structure, and competition and cooperation always coexist in the game of the partners. The purpose of supply chain management is to reduce the total cost and to enhance the competitive power of the supply chain, by coordinating and controlling the flow of materials, information and financing among nodes of the chain. So, the solutions of the supply chain multilevel programming problems should be cooperative ones. Besides, supply chain coordination schemes or collaborative plans are always worked out in situation of information incompletion or uncertainty. Decentralized decision and uncertain circumstance are key characteristics of supply chain management, and they greatly increase difficulties of the researches.After analyzing the features of distributed supply chain management decision making, this dissertation suggests that contractual coordination and collaborative plan are suitable coordination mechanism of decentralized supply chain. The essential objective of the research is to model the multi-echelon supply chain coordination and plan problems and to work out the interactive negotiation methods to solve the models. The dissertation analyses the application of multilevel programming on supply chain problems, and further, the solution characteristics. Based on multilevel programming technique, it models the supply chain coordination and plan problems for 2-echelon and 3- echelon structures. According to distinguish the cooperation strategies and the circumstance certainty or uncertainty, corresponding interactive negotiation methods are designed to obtain the coordinated solutions, based on different optimization strategies.The main contributions of the dissertation are summarized as follows:(1) Supply chain multilevel programming models are built, and significance of cooperation schemes and which the way to get are also analyzed. The existing models that have been built for supply chain, especially the mathematical models, always ignore the decentralization and hierarchy, and scarce researches only consider 2-echelon structures. The multi-level programming technique is applied to model the multi-echelon supply chain coordination and plan problems. Supply chain of 2-echelon, 3- echelon and multi-followers are modeled, and other modeling issues, such as the disposition of restriction expressions, are discussed as well. Besides, it is especially important to get cooperative solution for supply chain multi-level programming models. The dissertation analyzes the classification of the coordinated solutions, and then it suggests that interactive methods through iterative communication on local information are feasible to achieve cooperation.(2) For supply chain contractual coordination issues, a two-step interactive negotiation method aiming to obtain integrative optimization solution is designed. In the situation of information incompletion, the contract parameters are been worked out through iterative communication and repeat game to archive coordination. It is rational for communicators to reserve their local information, and to game tentatively step by step. In the dissertation, the principle of satisfying degree is applied to transform the multi-level programming problem into single-level. Additionally, local information of models such as objective or restriction functions is avoided from absolutely exposing to other partners by constituting objective or variable satisfying functions. For 2-echelon supply chain coordinated by contract, we propose the two-step interactive negotiation methods. The negotiation models are detailed described, and the negotiation processes as well. In the first step, the bi-level programming model is been transformed into single level programming problem on the principle of satisfying degree. Emphatically, the second step negotiation model is build to maximize the sum of the objects’ satisfying degrees, based on the trade-off solution obtained in the first step. The designed method is applied to solve a 2-echelon supply chain coordination problem about price-discount contract. Experimental results show that the algorithm has better performance, compared with other optimization algorithms.(3) For supply chain collaborative plan issues, we propose the two-step interactive negotiation method on the principle of cooperative game theory. The existing mathematical models built for distributed supply chain, have the deficiencies of bad-quality solution or requiring much information. The dissertation applies cooperative game theory to collaborative plan problem. For 3-echelon supply chain collaborative plan, the two-step interactive negotiation algorithm is designed. The negotiation models are detailed described, and the negotiation processes as well. Firstly, the tri-level programming model is been transformed into single level programming problem. Emphatically, the second step negotiation model is built on Nash bargaining approach, with the slack restrictions by relaxing the trade-off satisfying degree obtained in first step. Additionally, a fuzzy Genetic Algorithms is presented to obtain the feasible solutions faster. The designed method is applied to solve a 3-echelon supply chain production-distribution problem. Experimental results show that the algorithm has better performance, compared with other optimization algorithms.(4) For supply chain plan problem in fuzzy environments, a two-loop interactive algorithm with parameters adjustment is designed. In practice, supply chain always operates in uncertainty circumstance, and the value of uncertain parameters in distributed hierarchical decision system is higher sensitive to choose. The dissertation establishes the fuzzy chance-constrained multi-level programming model, and transforms it into crisp equivalent with adjustable parameters. To solve the problem, it proposes a two-loop interactive algorithm to get satisfactory solution by iteratively adjusting parameters. In detail, the algorithm includes two interactive procedures: inner-loop and outer-loop. The former is major for the preference of the DM, realized by fuzzy membership functions reflecting goals and decisions attainments; the latter is for the imprecision of parameters, described by possibility degree. Experimental result validates the feasibility of the algorithm.(5) Two-echelon supply chain with multiple followers is studied to build the models and the respective negotiation algorithms. In practical supply chain management, it is common that multiple competitor in a same echelon. According to decision relevancy and cooperation policy, it distinguishes the supply chain with multiple followers into 3 cases as: multiple followers with no decision-connecting, multiple followers with decision-connecting but no cooperation, and multiple followers with decision-connecting and also cooperation. The models and respective negotiation algorithms are separately studies for the three cases.The research results presented above extend the ideas of supply chain modeling. The studies also enrich the content of interactive negotiation principle for decision conditions with information incompletion and game with cooperation and competition coexistence. And it provides new negotiation models and solutions for supply chain oriented Negotiation Support System.更多还原