生产商规模不经济的双渠道供应链协调策略选择

供应链协调是提高供应链整体利润、改善供应链各方利益的根本手段.旨在探讨生产商具有生产规模不经济特性的双渠道供应链协调策略.给出了集中决策下双渠道供应链的市场价格与整体利润,以及分散决策下批发价契约与收益共享契约的设计方法.提出了协调度的概念,即契约使供应链协调的程度.证明了批发价契约的协调度小于1,不能实现供应链的协调;而收益共享契约的协调度等于1,但相对于批发价契约,收益共享契约不能同时改善零售商和生产商的利润,导致收益共享契约不可实施.为找到双渠道供应链可实施的协调策略,提出了带固定补偿的收益共享契约的设计方法和用纳什讨价还价协商模型确定固定补偿的方法.结果表明,该契约的协调度等于1,并且相对于批发价契约能同时改善零售商和生产商的利润.另外,研究还表明:生产不经济的弹性系数与销售价格成正比、与供应链的整体利润成反比,并且不同渠道间的竞争越激烈,双渠道供应链的销售价格和需求反而越高,双渠道供应链的总利润也越高,并且,带固定补偿的收益共享契约同样可以协调线性成本下的双渠道供应链.最后用算例验证了本文结论的正确性和有效性.     

Stable and Coordinating Contracts for a Supply Chain with Multiple Risk‐Averse Suppliers

We analyze a decentralized supply chain with a single risk‐averse retailer and multiple risk‐averse suppliers under a Conditional Value at Risk objective. We define coordinating contracts and show that the supply chain is coordinated only when the least risk‐averse agent bears the entire risk and the lowest‐cost supplier handles all production. However, due to competition, not all coordinating contracts are stable. Thus, we introduce the notion of contract core, which reflects the agents' “bargaining power” and restricts the set of coordinating contracts to a subset which is “credible.” We also study the concept of contract equilibrium, which helps to characterize contracts that are immune to opportunistic renegotiation. We show that, the concept of contract core imposes conditions on the share of profit among different agents, while the concept of contract equilibrium provide conditions on how the payment changes with the order quantity.     

政府激励政策下人造板绿色供应链谈判-协调机制研究

当前我国人造板产业面临效率低下、资源浪费和环境污染等问题,上下游企业缺乏合作与协调。本文界定了人造板绿色供应链系统,运用契约理论和纳什谈判理论,分别构建了政府激励政策下人造板绿色供应链集中优化决策、分散均衡决策和谈判协调决策模型,从而建立了相应的收益分享-成本分担契约谈判协调机制,并基于相关行业和企业经验数据,与传统人造板供应链进行了对比数值分析。研究结果表明:(1)收益分享-成本分担契约谈判-协调机制能够很好地实现人造板绿色供应链的协调运营,提高资源效率,降低环境负影响和提升运营绩效。(2)人造板绿色供应链管理模式下供应链及其成员的最优利润均高于传统管理模式,谈判协调决策情形下供应链及其成员的最优利润均高于分散均衡决策情形。(3)制定有"门槛"的增值税即征即退政策和适当的环境税政策,自建经济林场、选用经济型枝桠材,强化技术研发和工艺改进,有助于提高人造板供应链运营绩效。     

考虑渠道权力结构的闭环供应链定价与协调

研究了集中式和分散式决策的三种渠道权力结构下闭环供应链的定价问题,比较各种情况下定价和利润的差异,并运用二部定价契约探讨了不同渠道权力结构下闭环供应链的协调方法。研究表明:MS与RS情形下闭环供应链的总利润相同且低于VN情形;随着产品替代系数的增加,新制造和再制造产品的价格均提高,制造商和零售商的利润均增加;随着回收努力程度的提高,两种产品的价格均提高,而制造商和零售商的利润均减少;运用二部定价契约可通过主导方或借助第三方有效协调闭环供应链。     

考虑公平关切及其谈判破裂点的供应链运作

将考虑谈判破裂点的Nash解作为公平参考点,构建了基于Stackelberg博弈的公平关切供应链模型,分别在批发价契约和回购契约中探讨了供应链的决策和协调问题,分析了谈判破裂点对公平关切供应链的影响.研究发现:当批发价分别为外生、内生变量时,谈判破裂点对最优订货量的影响是完全相反的.此外,在批发价契约和回购契约中,基于Stackelberg博弈的公平关切供应链均无法协调,继而文章采用价格补贴的方式进行联合契约设计使供应链达到协调.     

Coordination of Supply Chains with Risk‐Averse Agents

The extant supply chain management literature has not addressed the issue of coordination in supply chains involving risk‐averse agents. We take up this issue and begin with defining a coordinating contract as one that results in a Pareto‐optimal solution acceptable to each agent. Our definition generalizes the standard one in the risk‐neutral case. We then develop coordinating contracts in three specific cases: (i) the supplier is risk neutral and the retailer maximizes his expected profit subject to a downside risk constraint; (ii) the supplier and the retailer each maximizes his own mean‐variance trade‐off; and (iii) the supplier and the retailer each maximizes his own expected utility. Moreover, in case (iii), we show that our contract yields the Nash Bargaining solution. In each case, we show how we can find the set of Pareto‐optimal solutions, and then design a contract to achieve the solutions. We also exhibit a case in which we obtain Pareto‐optimal sharing rules explicitly, and outline a procedure to obtain Pareto‐optimal solutions.     

Free or bundled: Channel selection decisions under different power structures

The smart phone industry has unique supply chain relationships. Companies at all levels of the supply chain compete and coordinate with each other for market share and profit. This paper examines the impact of power structures on the decision of pricing and channel selection between a free channel and a bundled channel. We investigate the smart phone supply chain that consists of a handset manufacturer and a telecom service operator. Based on game theory models, the manufacturer׳s optimal retail pricing policies in free and bundled channels and the telecom service operator׳s optimal subsidy policies in a bundled channel are derived under different power structures. It is demonstrated that the firm that has higher channel power will gain more profit, and the smart phone supply chain׳s profit in a Vertical Nash (VN) power structure is higher than that in Telecom Service Operator-Stackelberg (TS) and Manufacturer-Stackelberg (MS) power structures. It is also shown that the smart phone supply chain will choose a bundled channel in TS and MS power structures under certain conditions and will select a free channel in a VN power structure.     

供应链的利润博弈与均衡定价

供应链涉及多个利益主体,优化供应链的全局效益需要成员企业的协调来实现。效率评估的非参数法应用广泛,但是单纯的效率优化未考虑资源的可替代性和再分配,忽视了投入(产出)结构调整释放的优化空间。对于效率分解,取折衷或单边最优的方案不完全符合企业追求各自利益最大化的目标。本文针对两级供应链的利润优化问题建立一般化的分析框架,同时考虑了技术进步和资源可替代性的影响,对成员企业的利润博弈展开讨论,探讨了合作博弈如何促成供应链实现集权模式下的最优。通过建立议价模型得出了纳什均衡基础上的成员企业最优利润组合,并给出了实现最优分配方案的中间产品均衡定价。     

Supply Chain Coordination in the Presence of Gray Markets and Strategic Consumers

The practice of diverting genuine products to unauthorized gray markets continues to challenge companies in various industries and creates intense competition for authorized channels. Recent industry surveys report that the abuse of channel incentives is a primary reason for the growth of gray market activities. Therefore, it is crucial that companies take the presence of gray markets into consideration when they design contracts to distribute products through authorized retailers. This issue has received little attention in the extensive literature on contracting and supply chain coordination. In this study, we analyze the impacts of gray markets on two classic contracts, wholesale price and quantity discount, in a supply chain with one manufacturer and one retailer when the retailer has the opportunity to sell to a domestic gray market. Our analysis provides interesting and counterintuitive results. First, a classic quantity‐discount contract that normally coordinates the supply chain can perform so poorly in the presence of a gray market that the supply chain would be better off using a wholesale price contract instead. Second, the presence of gray market can also degrade the performance of the wholesale price contract; therefore, a more sophisticated contract is needed for coordinating the supply chain. We show that contracts that solely depend on retailer's order quantity cannot coordinate the supply chain, and provide the conditions for coordinating the supply chain with price‐dependent quantity discount contracts. We also provide comparative statics and show that when there is a gray market, coordinating the supply chain enhances total consumer welfare.     

Price Incentives and Coordination in a Two‐Product Decentralized Supply Chain

We investigate pricing incentives for competing retailers who distribute two variants of a manufacturer's product in a decentralized supply chain. Under a two‐dimensional Hotelling model, we derive decentralized retailers' prices for the products, and distortions in pricing when compared to centrally optimal prices. We show that price distortions decrease as consumers' travel cost between retailers increases, due to less intense competition. However, price distortions do not change monotonically in consumers' switching cost between products within stores. To fix decentralized retailers' price distortions, we construct a two‐part pricing contract that coordinates the supply chain. We show that the coordinating contract is Pareto‐improving and analyze increase in the supply chain profit under coordination.     

Supply chain coordination using revenue-dependent revenue sharing contracts

A typical single period revenue sharing contract specifies a priori a fixed fraction for the supply chain revenue to be shared among the supply chain players. Over the years, supply chains, especially in the movie industry, have adopted multi-period revenue sharing contracts that specify one fraction for each contract period. These revenue sharing contracts are of revenue-independent type such that the revenue sharing fractions are independent of the quantum of revenue generated. Motivated by the recent events in Bollywood – one of the popular arms of the Indian movie industry – in this paper we develop and analyze a game theoretic model for revenue-dependent revenue sharing contracts wherein the actual proportion in which the supply chain revenue is shared among the players depends on the quantum of revenue generated. Our aim is to understand why revenue-dependent revenue sharing contracts are (or not) preferred over revenue-independent contracts. We also examine if supply chains can be coordinated over multiple periods using both types of revenue sharing contracts. We build a two-period model characterizing supply chains in the movie industry and highlight the implications of the multi-period contractual setting for the supply chain coordinating revenue sharing contracts. We show that supply chains can be perfectly coordinated using both types of revenue sharing contracts; however, there exist situations in which revenue-dependent contracts outperform revenue-independent contracts. Using revenue-dependent revenue sharing contracts supply chains can be coordinated while providing positive surplus to the supply chain players that is otherwise not possible under certain situations in revenue-independent contracts. We also demonstrate how revenue-dependent contracts enhance supply chain coordination and highlight their significance when the drop in the revenue potential from one period to another is moderate.     

面向模糊随机需求更新的供应链回购契约响应方法研究

针对需求信息更新为模糊随机变量情况,构建了供应链系统在不同决策选择下的获利模型,进一步提出了供应链系统进行决策的乐观主义准则、悲观主义准则和风险中性准则.对于采用回购契约进行协调的供应链,通过分析零售商在不同抉择下的获利情况,提出了修正回购契约参数的可行集构造方法.研究表明,信息更新后,原有的回购契约可能不再适用,需要加以适当修正才能重新实现供应链协调.新的契约在协调供应链同时,能够对需求更新前后,供应链系统的利润变化进行合理分配,体现了“利益分享、风险共担”的供应链管理理念.模拟算例研究阐明了该方法的应用步骤,表明了该方法的有效性.     

Nash讨价还价公平关切下基于低碳商誉的供应链联合减排与广告的动态优化与协调

基于Nash讨价还价理论构建公平效用体系,同时考虑产品低碳水平和低碳商誉具有动态变化特征,运用微分博弈理论与方法探讨了供应链成员的公平关切行为对分散决策下零售商广告策略和制造商减排策略的影响以及集中决策下的相关策略。通过对比发现,集中决策下产品的低碳水平更高,在此基础上,提出了双向成本分担契约,实现了供应链协调。最后通过数值仿真,对重要参数进行了敏感性分析,并验证了契约的有效性。研究发现：当制造商边际利润比较小时,制造商不会对减排进行投入;只有当满足一定条件时,制造商才会承担零售商的广告成本;制造商的公平关切行为不利于企业发展低碳经济;零售商适当地关注公平,有利于企业发展低碳经济;与分散决策相比,双向成本分担契约下制造商和零售商的效用以及利润现值均有所提升。     

Co‐opetition and Investment for Supply‐Chain Resilience

This paper considers the problem of disruption risk management in global supply chains. We consider a supply chain with two participants, who face interdependent losses resulting from supply chain disruptions such as terrorist strikes and natural hazards. The Harsanyi–Selten–Nash bargaining framework is used to model the supply chain participants' choice of risk mitigation investments. The bargaining approach allows a framing of both joint financing of mitigation activities before the fact and loss‐sharing net of insurance payouts after the fact. The disagreement outcome in the bargaining game is assumed to be the result of the corresponding non‐cooperative game. We describe an incentive‐compatible contract that leads to First Best investment and equal “gain” for all players, when the solution is “interior” (as it almost certainly is in practice). A supplier that has superior security practices (i.e., is inherently safer) exploits its informational advantage by extracting an “information rent” in the usual spirit of incomplete information games. We also identify a special case of this contract, which is robust to moral hazard. The role of auditing in reinforcing investment incentives is also examined.     

Supply chain coordination with information design

We consider the coordination of a supplier–retailer supply chain where, in addition to classical contract considerations, a supplier decides the adoption of an information structure (IS) for the supply chain, with a higher-quality IS allowing the supply chain parties to obtain a more accurate demand forecast. Because a wholesale price contract cannot coordinate the supply chain due to misaligned incentives of supply chain parties, we explore what common coordinating contracts in the classical coordination literature can continue coordinating the supply chain with the IS adoption. Interestingly, our analysis appears to reveal the power of simplicity: some simple classical coordinating contracts (e.g., the buy-back and revenue-sharing contracts), though not designed with the IS consideration, still coordinate the supply chain, whereas other more complicated classical contracts (e.g., the quantity flexibility and sales rebate contracts) fail to do so. We derive a general condition for supply chain coordination and show that any contract with a newsvendor-like transfer payment can coordinate the supply chain.     

多晶硅光伏供应链的竞争、合作与协调

论文研究了多晶硅光伏供应链的竞争、合作与协调,研究结果表明:(1)PSM相互合作情形的利润高于PSM相互竞争的利润;(2)PM在PSM相互竞争情形下的利润高于在PSM相互合作情形下的利润;(3)供应链渠道在PSM相互竞争情形下的总利润高于在PSM相互合作情形下的总利润;(4)相比于竞争、合作情形,采取一种改进的收入分享契约协调机制可以有效地提高供应链渠道总体的利润,同时每个PSM以及PM的利润都有较大的提高。因此,建议多晶硅光伏供应链上游PM和下游PSM协同合作,建立上下游的利润分配协调机制,从而有效提高多晶硅光伏供应链整体的绩效。     

A new two-party bargaining mechanism

If resources and facilities from different partners need to be engaged for a large-scale project with a huge number of tasks, any of which is indivisible, decision on the number of tasks assigned to any collaborating partner often requires a certain amount of coordination and bargaining among these partners so that the ultimate task allocation can be accepted by any partner in a business union for the project. In the current global financial crisis, such cases may appear frequently. In this paper, we first investigate the behavior of such a discrete bargaining model often faced by service-based organizations. In particular, we address the general situation of two partners, where the finite Pareto efficient (profit allocation) set does not possess any convenient assumption for deriving a bargaining solution, namely a final profit allocation (corresponding to a task assignment) acceptable to both partners. We show that it is not appropriate for our discrete bargaining model to offer the union only one profit allocation. Modifying the original optimization problem used to derive the Nash Bargaining Solution (NBS), we develop a bargaining mechanism and define a related bargaining solution set to fulfil one type of needs on balance between profit-earning efficiency and profit-earning fairness. We then show that our mechanism can also suit both Nash’s original concave bargaining model and its continuous extension without the concavity of Pareto efficient frontier on profit allocation.     

多层供应链外包模式的选择及其协调

本文研究由两个原始设备制造企业（品牌企业）、一个代工企业和一个供应商组成的多层供应链的外包模式选择问题。应用主从博弈和纳什博弈理论,当一个原始设备制造企业的外包模式给定后,通过对不同外包模型求解比较,给出了后跟进的原始设备制造企业外包模式的最优选择策略。研究发现：后跟进的原始设备制造企业最优策略应采取与前一个原始设备制造企业相同的外包策略。针对最优外包策略,还设计了使供应链达到协调的二部定价契约机制,提高了外包供应链的竞争力。     

Coordinating a Supply Chain System with Retailers Under Both Price and Inventory Competition

We investigate a supply chain system with a common supplier selling to downstream retailers who are engaged in both price and inventory competition. We establish the existence and uniqueness of the pure‐strategy Nash equilibrium for the retailer game and study how a supplier can coordinate the system to achieve the best performance. Our main conclusions are as follows: First, a buyback contract can be used to coordinate retailers competing on both price and inventory in a sense that optimal retail prices and inventory levels arise as the Pareto‐dominant equilibrium. With symmetric retailers, the system optimum arises as the unique symmetric equilibrium. Second, the particular type of competition experienced by retailers (price versus inventory competition) affects the characteristics of the contract. Specifically, strong price competition leads to a coordination mechanism with a positive buyback rate, where the supplier subsidizes retailers for leftover inventories; however, strong inventory competition leads to a negative buyback rate, where retailers are punished for overstocking. Using a linear expected demand function, we further explore the impact of system parameters on the coordination contract and the competitive equilibrium. We also find that the performance of the supplier's optimal contract is asymptotic to the system optimal coordination contract as competition becomes fierce.     

基于不同权力结构的废旧产品回收再制造决策分析

本文研究了制造商主导、回收商主导、垂直纳什均衡以及集中式决策四种不同权力结构下的废旧产品回收再制造问题,给出并比较了四种结构下决策变量的最优解。研究表明:与集中式决策相比,三种分散式情形下的系统效益非最优;垂直纳什均衡时的系统效益严格优于制造商主导时;当回收商主导逆向供应链时,在某些条件下能够达到集中式决策的水平;相反,制造商主导和垂直纳什均衡时则无法达到。对制造商主导和回收商主导两种情形,利用费用共享契约和二部定价契约进行了协调。