导　　师： 周永务

学科专业： 1201

授予学位： 博士

作　　者： ;

机构地区： 华南理工大学

摘　　要： 由于传统制造业务在供应链中的边际利润不断降低，资金和服务作为供应链管理中新的利润增长点越来越受到企业管理者的重视。因此，研究基于资金和服务的供应链管理理论与方法对企业的运作管理提升具有重要的实际意义，也是当前供应链管理理论的热点问题。 传统的供应链模型大多忽略了资金因素对整体供应链运作绩效的影响。然而，在实践中，作为供应链中三流（物流、信息流、资金流）之一的资金流常常影响到企业的运作决策。商业信用是一种重要的金融补贴工具，在现实企业中受到普遍运用，它能够影响到企业的订货决策行为，特别是当企业从第三方融资机构贷款困难时。本文将以商业信用为基础，分析资金流在单批发商多零售商供应链结构和供应链网络结构下的作用，以及两部制商业信用对运作决策的影响，具体研究内容如下： 单批发商多零售商的供应链结构。本文构建了一个基于供应链金融和库存的模型来，在此基础上分析了商业信用对企业资金成本和库存决策的影响。特别地，本文研究以下问题：批发商（或分销商）从上游供应商处获得商业信用融资后是如何延伸或分享给下游零售商的？资金流如何影响供应链系统的物流（即订货决策）？本文采用经典的层库存方法把商业信用因素综合到单批发商多零售商供应链结构中。经过分析，本文得到了含有商业信用的一般化供应链的总成本模型，利用二维随机取整算法得到了二次幂策略下系统成本的上界。有意思的是，本文的研究发现，在一些供应链环境下，上游供应商提供的商业信用期增加，批发商不一定总是会增加下游零售商的商业信用期。在此基础上，本文还分析了当零售商存在违约风险时，批发商如何设定和分配信贷额度的情形。最后，本文利用含有商业信用的单批发商多零售商供应链模型分析了供应链金融中在实际应用中面临的一个现实问题——如果批发商能够利用其自身在供应链中所处的核心位置来鼓励银行或第三方融资机构为其下游零售商提供较优惠利率的贷款，那么银行或第三方金融机构如何设置利息率才能够使贷款给零售商后的整体供应链效率与批发商自己提供商业信用给零售商时一致的？ 供应链网络优化结构。本文提出了一个含有商业信用的供应链网络优化模型。该模型需要同时决策分销商的布局，分销商服务哪些零售商、分销商和零售商之间的补货周期、分销商提供给零售商的商业信用期，使得供应链网络系统中固定成本、运输成本、多级库存成本以及供应链资金成本的总和最小。并利用此模型研究了商业信用融资对分销商位置、分销商和零售商之间服务组合的影响，并发现随着供应链资金成本的增加，供应链的网络结构变得更加集中。 两部制商业信用。本文提出了含有柔性付款计划的两部制商业信用模型，并刻画了不同情形下零售商的最优订货和付款决策。同时，本文还从供应商的角度出发，提出了供应商提供两部制商业信用时其自身的成本模型，并研究了供应商如何设计最优的商业信用策略，使得零售商多订货的同时又能够提升供应商的利润。 在服务方面，特别是售后服务或维修服务方面，有效地储存所需的库存量来应对顾客的要求是企业管理者经常面临的关键问题之一。库存共享作为重要的运作策略，常常被用来匹配需求和供给之间的不平衡。然而，有效地执行该策略具有很大的挑战性，其中当库存共享模型中考虑不同质的顾客服务水平要求时，如何决策所需的最小库存水平和相应的分配策略是主要挑战问题之一。本文考虑Type1服务水平（也叫缺货概率）和Type2服务水平（也叫满足率），得到了满足每个顾客所需服务水平要求的最优库存量的必要条件集。对于含有Type2服务水平的库存共享系统，本文用Blackwell近似理论证明了该必要条件也是最优库存量的充分条件。对于含有Type1服务水平的库存共享系统，本文得到了所需最优库存量的上界，并给出了有效的分配共享库存的策略。数值结果显示利用所需的最小库存量，本文的分配策略能够精确地使每个顾客的服务水平得到满足。最后，利用所得的方法和结果我们发现真实的满足率契约，能够被用来有效地分配集中供应链系统中的利润，与传统的批发价契约相比，供应链的利润可以获得帕累托提升。 Declining profit margins in traditional manufacturing business among the supply chainundergoing continual erosion is making the finance and service business increasingly important.Hence, it is important to study the supply chain theory and methods with finance and service forthepracticeofoperationmanagement. Also, theyarehotissuesofsupplychaintheorycurrently. Classical supply chain models usually do not take into account the impact of financialfactors on the overall supply chain performance. In many practical contexts, however, it isclear that financial flow as one of three major flows along the supply chain can have significantimplications on the operations decisions. As an important subsidy tool of finance, trade creditis frequently adopted, which can affect the order behaviour of a firm especially when it hasdifficulty to get funds from third party financial institutes. In this paper, we integrate the tradecredit into one-warehouse-multi-retailer model and supply chain network design model, and wealso study the impact of two-part credit on operation decisions, respectively. The details aregiven as follows: One-Warehouse Multi-Retailer: We first develop a supply chain finance and inventorymodel to understand how trade credit terms affect a firm’s financing costs and inventory de-cision along the supply chain. In particular, we study the following question: how should awarehouse /(or distributor/) receiving trade credits from an external supplier shares and extendsthe trade credit terms to her customers /(i.e. retailers/)? How does this financial flow affect thereplenishment decisions /(i.e. material flow/) in the system? We use the classical echelon inven-tory approach to synthesize the effects of trade credits in a one-warehouse-multi-retailer system.We obtain a closed form /(but non convex/) expression for the total supply chain cost, and use a2-dimensional randomized rounding algorithm to establish performance bounds for power-of-twotype policies in this system. Interestingly, we show that longer credit terms from the externalsupplier may not necessarily translates into longer credit terms for the retailers in some supplychain environments. Furthermore, we also use the model to shed light on a pertinent question insupply chain finance-if the warehouse can leverage on her strong capital position to encourageher bankers to offer favourable loan rates to her retailers, what would be the rates charged bythe banks to attain the same level of cost efficiency using optimal trade credit polices? Supply Chain Network Design: In this paper, we propose an integrated supply chain net-work design model that incorporates trade credit. The model simultaneously determines thelocation of warehouses, the assignments of the retailers to the open warehouses, the policy ofwarehouse-retailer inventory management, and the trade credit provided by the warehouses toeach retailer to minimize the total system-wide location, transportation, multi-echelon invento-ry, and supply chain financing costs. We study the impact of trade credit on warehouse locationsand warehouse-retailer assignments analytically and numerically. We find that bank credit andtrade credit are substitutable when the warehouses and retailers can cooperate their operationson the financial flow and the material flow together. Through numerical studies, we also findthat the optimal network will be more consolidated with higher supply chain financing costs. Two-part trade credit. In this paper, we provide a flexible two-part trade credit contract,that is, the retailer may pay any fraction of the purchase cost within the short permissible delayperiod and receives a cash discount and then the rest is paid within the long permissible delayperiod. A decision model is proposed for a retailer to determine the optimal ordering policyand payment plan. Furthermore, we mainly focus on how the two-part trade credit influencesthe supplier’s operational cost, and try to explain from the operational perspective why thesupplier in practice is willing to offer this trade credit in most situations. We show how thesupplier should set the two trade credit policies to make them more efficient. Furthermore, for the service, especially after sales service or repair service, stocking theoptimal inventory level to satisfy all the requirements of customers is difficult. Inventory pool-ing is an important operational strategy that has been widely used in the industries to matchsupply with demand. However, effective implementation of this strategy can be challenging.A major problem is to integrate the heterogeneous service level requirements of different cus-tomers into the inventory pooling model, to determine the minimum inventory level requiredand the associated allocation policy, using a common stock of inventory. We consider bothType1/(stock out probability/) and Type2/(fill rate/) service level requirement. We derive a set ofnecessary conditions on the optimal inventory level needed to to meet customized service levelrequirement for each customer. For a system with fill rate /(Type2/) service requirements, weprove that the necessary conditions are also sufficient using Blackwells Approachability The-orem. For system with stock out probability /(Type1/) requirements, we derive bounds on the optimal pooled inventory needed, and develop efficient policies to allocate the pooled inventoryamong the customers. Numerical studies show that our allocation policy can accurately deliverthe desired service levels to different customers using the minimal level of common inventory.Finally, we use theseresultstoshowthata pricingschedulebasedon actualfillrateperformancecan be used to allocate the profits in the centralized system to all members of the supply chain,leading to a Pareto improvement over the traditional supply chains using wholesale-price-onlycontracts.

关 键 词： 供应链 资金流 商业信用 服务水平

分 类 号： [F274 F275]

领　　域： [经济管理] [经济管理] [经济管理] [经济管理]