零售商主导的供应链契约设计及其绩效分析

With the increasing prevalence of huge international retail chains and the subcontracting of manufacturing to developing countries by owners of major international brands, the manufacturer-dominant supply-chain gradually transforms to the retailer-dominant supply chain. However, due to the inappropriate incentive mechanisms, the conflict phenomenon between the dominant retailer and its supplier can be frequently seen in recent years. Thus, how to design an effective contract format to coordinate the supply chain becomes an important and realistic problem in supply chain management area. Based on the supply chain management and the non-corporative game theory, this project will investigate the performance of several existing contract formats which were well-development in the dominant-manufacturer scenario from a dominant retailer perspective. Besides, we will suggest and develop some new contract formats that have not evolved from the real world. For each contract format, we will develop procedures for the dominant retailer to optimize the contract under various objectives and under various sets of supply-chain environments. By examining the characteristics of the solutions obtained with these procedures and analyzing how the environmental parameters affect the contract performance, we will identify the most suitable supply chain environment for each contract format from the perspective of all supply chain stakeholders (e.g., the dominant retailer, the upstream supplier, the competitor, the consumer, etc.). We hope this study can advance our practical knowledge of designing implementable contracts, and such knowledge can help one to identify the most appropriate contract format under various criteria and environments.

近些年来，随着大型连锁商店的出现和外包业务的蓬勃发展，制造商占主导地位的供应链模式逐渐转变为零售商占主导地位的供应链模式。但由于激励机制不当，零供冲突现象时有发生。因此，如何通过设计有效的供应链契约来协调双方利益，成为供应链管理中一个重要而现实的问题。 本项目拟运用供应链管理及非合作博弈等理论，在不同的供应链环境下，运用不同的评价标准，对零售商主导的供应链环境下契约机制设计、评价及其产生的绩效进行研究。通过构建供应链博弈模型，分析均衡解的结构和特性，研究环境参数对契约性能的影响，分别从主导零售商自身、上游的制造商、同行业的竞争者、终端的消费者以及整个供应链的角度，识别出每种契约适用的供应链环境，得出有益的管理启示，一方面可以帮助企业管理人员选择合适的契约形式以提高供应链绩效，改善及优化零售商与制造商之间的关系；另一方面还可以为我国针对流通产业的公共政策实践提供一定的理论指导。

随着市场势力的不断增强，零售商摆脱了以往交易过程中被动的局面，在与制造商交易过程中议价能力不断提高，甚至可以向制造商施加各种纵向约束手段，从而引发越来越多的零供矛盾。在这样的背景下，本项目以供应链管理和非合作博弈理论为理论基础，以缓解零供矛盾、实现供应链协调为研究目的，构建不同的供应链决策模型，运用不同的评价标准，对零售商主导的供应链环境下契约设计、评价及其产生的影响进行研究。. 本项目主要开展了几下几个方面的研究工作：（1）构建不同的供应链权力结构模型，研究不同需求模式下零售商市场势力增强对供应链各成员及总体绩效的影响；（2）针对单制造商-双零售商以及双制造商-双零售商的市场结构，并结合零售商间权力对等与否等情况，对两种加成定价契约进行综合对比研究；（3）研究供应链间的竞争程度以及市场不确定性对批发价契约（买断制）与寄售契约（代销模式）性能的影响；（4）在证明菜单契约本质上是一种非线性折扣契约的基础上，提出两种基于批量折扣的新的契约形式，能够较好的协调供应链；（5）在不同情境下，研究供应商与零售商之间信息不对称程度对供应链成员利润的影响，并探讨其产生的意义及其背后产生的原因；. 项目研究取得了较好的研究成果，已经发表论文8篇，其中SSCI/SCI收录7篇，具体包括《International Journal of Production Research》1篇，《Journal of the Operational Research Society》1篇，《International Transactions in Operational Research》3篇，《Electronic Commerce Research》1篇，《Journal of Cleaner Production》1篇，《中国管理科学》1篇。另外，还有一篇论文在《IEEE Transaction on Engineering Management》进行第二轮修改（小改），另外一篇在《International Transactions in Operational Research》上进行第一轮修改（大改）。这些成果的取得，一定程度上丰富和拓展了供应链管理的现有理论，为我国大型零售企业适应当前激烈的竞争环境，有效提升供应链运作水平和缓解零供矛盾提供有价值的理论指导。