企業(yè)存貨管理中的問(wèn)題與對(duì)策外文文獻(xiàn)

1、淮 陰 工 學(xué) 院畢業(yè)設(shè)計(jì)(論文 外文資料翻譯系 （院）：江淮學(xué)院 專 業(yè)：會(huì)計(jì)學(xué) 姓 名：孫露銘 學(xué) 號(hào)： 3082113127 外文出處： The American Society of Mechanical (用外文寫(xiě) Engineers Agency，2007:27-33附 件：1. 外文資料翻譯譯文；2. 外文原文。 附件1：外文資料翻譯譯文供應(yīng)鏈下的多級(jí)存貨管理從歷史上看，多級(jí)供應(yīng)鏈、倉(cāng)庫(kù)、分銷(xiāo)商、零售商等，已經(jīng)通過(guò)大量的庫(kù)存緩沖被獨(dú)立管理。競(jìng)爭(zhēng)壓力的增加和市場(chǎng)的全球化迫使企業(yè)發(fā)展能夠快速滿足客戶需要的供應(yīng)鏈。為了保持競(jìng)爭(zhēng)力，降低庫(kù)存，這些企業(yè)必須交互使用多級(jí)庫(kù)存管理，同時(shí)降低運(yùn)營(yíng)

2、成本，改善客戶服務(wù)。因各種不同的原因，存貨以不同形式存在在供應(yīng)鏈中。在整個(gè)供應(yīng)鏈中，存貨管理失衡，經(jīng)常會(huì)引起“牛鞭效應(yīng)”，即需求逆流而上，逐級(jí)變異放大的一個(gè)階段。這種效應(yīng)引起企業(yè)過(guò)多的存貨積壓，使收入減少，運(yùn)輸效率降低，擾亂了庫(kù)存計(jì)劃和產(chǎn)品生產(chǎn)計(jì)劃，同時(shí)降低了企業(yè)的服務(wù)水平。許多學(xué)者已經(jīng)對(duì)這些問(wèn)題進(jìn)行了研究，并且強(qiáng)調(diào)了對(duì)有效地滿足客戶需求的供應(yīng)鏈各階段之間進(jìn)行整合的必要性。除了整合問(wèn)題，為了確定一個(gè)有效地供應(yīng)鏈庫(kù)存政策，還必須處理不確定性問(wèn)題。除了對(duì)供應(yīng)和需求的不確定性，與生產(chǎn)和銷(xiāo)售過(guò)程相關(guān)的信息延遲也是供應(yīng)鏈的一個(gè)特點(diǎn)。多級(jí)供應(yīng)鏈中的庫(kù)存管理是一項(xiàng)重要的內(nèi)容，因?yàn)橛性S多方面兩者都必須相互配合

3、，協(xié)調(diào)合作。它們還必須對(duì)它們的庫(kù)存進(jìn)行協(xié)調(diào)安排。有許多因素使成功的庫(kù)存管理變得復(fù)雜，例如。需求的不確定、交貨時(shí)間、投產(chǎn)日期、產(chǎn)品價(jià)格、成本等，尤其是在不確定性的需求和交貨時(shí)間下，管理者不能夠?qū)⒍嗉?jí)供應(yīng)鏈中的存貨管理得最優(yōu)。大多數(shù)制造企業(yè)被組織起來(lái)形成了一個(gè)制造和分銷(xiāo)為一體的網(wǎng)絡(luò)，這個(gè)網(wǎng)絡(luò)包括了原材料的采購(gòu)、加工和產(chǎn)品的銷(xiāo)售。當(dāng)一個(gè)產(chǎn)品經(jīng)過(guò)多個(gè)階段才到達(dá)最終用戶時(shí)，多級(jí)或者多層次生產(chǎn)/分銷(xiāo)網(wǎng)絡(luò)這些代名詞也和前面所述的這樣的網(wǎng)絡(luò)意思相同。因各種不用的原因，存貨以不用的形式存在在整個(gè)供應(yīng)鏈中。在任何一個(gè)制造過(guò)程中，它們可能作為原材料、在制品或者產(chǎn)成品存在。它們存在于配送倉(cāng)庫(kù)，存在于運(yùn)輸途中，或者存在

4、于管道里，它們存在于這些設(shè)備的每個(gè)鏈接處。制造商從供應(yīng)商處采購(gòu)原材料，將它們加工成產(chǎn)品并銷(xiāo)售給分銷(xiāo)商，然后由分銷(xiāo)商銷(xiāo)售給零售商或者用戶。當(dāng)一個(gè)產(chǎn)品經(jīng)過(guò)多個(gè)階段才到達(dá)最終用戶，它就形成了一個(gè)多級(jí)庫(kù)存系統(tǒng)。某一庫(kù)存節(jié)點(diǎn)的級(jí)庫(kù)存等于這個(gè)庫(kù)存節(jié)點(diǎn)上的所有庫(kù)存加上轉(zhuǎn)移或者正在轉(zhuǎn)移的任何一個(gè)后續(xù)節(jié)點(diǎn)的庫(kù)存，減去后續(xù)節(jié)點(diǎn)的缺貨。在商界有關(guān)多級(jí)庫(kù)存系統(tǒng)的分析已經(jīng)有著悠久的歷史。在許多領(lǐng)域，多級(jí)庫(kù)存管理系統(tǒng)被廣泛運(yùn)用于向客戶分銷(xiāo)產(chǎn)品。鑒于這些系統(tǒng)的重要性，許多研究人員通過(guò)各種各樣的條件和假設(shè)開(kāi)始研究他們的運(yùn)行特點(diǎn)。自從哈里斯提出經(jīng)濟(jì)訂貨批量模型以來(lái)，研究人員和實(shí)際工作者更加積極地關(guān)注在不同操作參數(shù)和模型假設(shè)條件

5、下系統(tǒng)的分析和模型設(shè)計(jì)。在過(guò)去的十年里，對(duì)于多級(jí)庫(kù)存管理模型的研究已經(jīng)獲得了重要成就，主要是因?yàn)橥ㄟ^(guò)利用現(xiàn)代信息技術(shù)，使各個(gè)過(guò)程和分銷(xiāo)階段的供應(yīng)鏈的整體控制逐漸變成可能?？死撕退箍ǚ蜃钤缪芯?jī)呻A段存貨模型。他們證實(shí)了庫(kù)存系統(tǒng)的基礎(chǔ)存貨政策的最優(yōu)性，并提出了一種用于計(jì)算最佳訂貨批量的政策。貝斯勒和凡諾特進(jìn)一步發(fā)展了兩階段模型，使其包含一般塊莖結(jié)構(gòu)。上面提到的車(chē)間倉(cāng)庫(kù)問(wèn)題通過(guò)埃本和施拉格分析一個(gè)缺貨的中央倉(cāng)庫(kù)模型解決了。他們?cè)谙嗟鹊挠嗀淈c(diǎn)分配假設(shè)條件下，對(duì)訂購(gòu)批量做出了更近似的表述。一些作者也已經(jīng)考慮到了在各種形式下的這個(gè)問(wèn)題。由于多階段問(wèn)題的復(fù)雜和棘手，哈德利和懷廷建議對(duì)庫(kù)存系統(tǒng)采用單層次、單

6、階級(jí)模型。夏布魯克把一個(gè)訂購(gòu)政策看做是一個(gè)倉(cāng)儲(chǔ)和零售商的兩級(jí)模型，他假設(shè)零售商的缺貨是完全積壓的，而且，夏布魯克還建立了矩陣（可收回項(xiàng)目控制的多級(jí)技術(shù)）模型，它明確了在有預(yù)算約束的一個(gè)低級(jí)階段中使庫(kù)存水平最小化，這個(gè)模型是管理服務(wù)部分庫(kù)存的第一個(gè)多級(jí)模型，此后，很多研究者提出了一大套模型，他們一般都是在多級(jí)框架下尋求最佳批量和安全庫(kù)存。除了分析性模型，仿真模型也被開(kāi)發(fā)了出來(lái)用于研究多級(jí)庫(kù)存問(wèn)題中復(fù)雜的相互作用問(wèn)題。到目前為止，相關(guān)的一些文獻(xiàn)主要關(guān)注于對(duì)需求的預(yù)測(cè)，以及對(duì)多階段供應(yīng)鏈庫(kù)存政策的發(fā)展。需求隨機(jī)的多階段系統(tǒng)的存貨控制政策已經(jīng)具有了一個(gè)廣泛的研究領(lǐng)域。近年來(lái)有許多論文都包含了斯?fàn)柛：团?/p>

7、克的觀點(diǎn)。用于定期評(píng)估標(biāo)準(zhǔn)的統(tǒng)一采購(gòu)的優(yōu)點(diǎn)是可以通過(guò)規(guī)定不同階段的訂購(gòu)水平獲得連續(xù)不斷的評(píng)估標(biāo)準(zhǔn)，這是就所有庫(kù)存而言，而不是單指設(shè)備。勞以及其他人，迪克斯和戴科克，唐格和里，密特拉和查特基，哈里加，陳，阿克斯特和章，諾齊克和特納基斯特以及賽歐和鄭都在他們的研究中利用了數(shù)學(xué)模型技術(shù)去管理供應(yīng)鏈中的多級(jí)存貨。迪克斯和戴科克的研究考慮到了不同的多級(jí)存貨系統(tǒng)，比如配送系統(tǒng)或者生產(chǎn)系統(tǒng)，并且假設(shè)訂單在一個(gè)固定的時(shí)間內(nèi)到達(dá)。哈里加提出了由若干個(gè)裝配或者整理和儲(chǔ)存設(shè)備串聯(lián)在一起組成的單個(gè)周期生產(chǎn)系統(tǒng)的隨機(jī)模型。阿克斯特，諾齊克和特納基斯特在他們的文章中都提到了兩階段庫(kù)存系統(tǒng)。阿克斯特和特納基斯特認(rèn)為零售商都

8、面臨不變的無(wú)偏好的泊松需要。麥徹和查特基研究了博特和格拉夫模型，并在他們關(guān)于實(shí)行快速配送商品的觀點(diǎn)的論文“對(duì)隨機(jī)需求下的多級(jí)存貨問(wèn)題策略不間斷回顧”中進(jìn)行了進(jìn)一步的闡述。這個(gè)模型的提出和改進(jìn)能夠擴(kuò)展多個(gè)階段和兩階段配送系統(tǒng)的內(nèi)容。在勞爾的模型中，假設(shè)訂貨時(shí)間忽略不計(jì)，需求率和生產(chǎn)率是確定的，而且保持固定不變的情況下，缺貨是不允許的。賽歐和鄭運(yùn)用分析模型分析兩個(gè)重要因素，這兩個(gè)因素能夠幫助半導(dǎo)體制造商根據(jù)經(jīng)驗(yàn)推測(cè)訂單數(shù)量變化的最高程度：一個(gè)是供應(yīng)商的訂貨時(shí)間，另一個(gè)是預(yù)測(cè)的需求更新情況。他們認(rèn)為那兒的零售商面臨的外部需求與兩個(gè)連續(xù)的時(shí)間段相聯(lián)系，并且零售商利用最新的需求信息來(lái)更新它們未來(lái)的需求預(yù)

9、測(cè)。此外，他們還認(rèn)為供應(yīng)商的供貨時(shí)間是變動(dòng)的，而且受零售商的訂貨量的影響。頓和里在他們的論文中再次闡述了克拉克和斯卡夫的連續(xù)多級(jí)存貨系統(tǒng)并得出了三個(gè)關(guān)鍵的結(jié)論。第一，他們提出了最佳多級(jí)存貨水平的最小近似值以及克拉克和斯卡夫關(guān)于基本模型的整個(gè)系統(tǒng)成本的最大值。第二，他們利用馬丁格爾預(yù)測(cè)理論模型說(shuō)明了克拉克和斯卡夫的最優(yōu)存貨政策結(jié)構(gòu)保留了在與時(shí)間線關(guān)聯(lián)下的按需處理。第三，他們把近似值拓展到了與時(shí)間相關(guān)聯(lián)的需求的過(guò)程和研究，特別是對(duì)于一個(gè)回歸需求模型，訂貨時(shí)間的影響和一系列存貨系統(tǒng)性能的相關(guān)性。通過(guò)對(duì)有關(guān)利用數(shù)學(xué)模型技術(shù)研究供應(yīng)鏈下的多級(jí)存貨管理的文獻(xiàn)的回顧，總括起來(lái)，可以說(shuō)，這些文章都考慮到了具有

10、不確定的或者確定的需求的兩級(jí)，三級(jí)或者若干級(jí)系統(tǒng)。他們認(rèn)為訂貨時(shí)間是固定的，為零，是一個(gè)常量，確定的或者是可以忽略的。他們獲得了準(zhǔn)確的或者是相似的結(jié)論。德克爾等人分析了數(shù)量分段規(guī)律對(duì)存貨成本的影響。數(shù)量分段規(guī)律是指?jìng)鬟f來(lái)自供應(yīng)商的大訂單, 以及來(lái)自最近的零售商的小訂單, 也就是所謂的進(jìn)行分段數(shù)量判定訂單是小型的還是大型。在由一個(gè)供應(yīng)商和多個(gè)零售商組成的系統(tǒng)中, 假設(shè)所有零售商的客戶都存在需求。然而, 德克爾等人指出傳遞來(lái)自供應(yīng)商的那些大型的訂單會(huì)導(dǎo)致零售商們考慮降低自身的存貨成本。德克爾等人的研究成果還涉及到了供應(yīng)商的存貨成本。在莫訶比和波斯納的研究中包含了存在補(bǔ)充訂單和銷(xiāo)售損失的不斷審查的存

11、貨系統(tǒng)的成本分析。在范德等人的文章中考慮到了當(dāng)同時(shí)存在需求和訂貨時(shí)間不確定情況下的多級(jí)存貨，周期審查，訂制點(diǎn)這些政策。飯?zhí)镞@篇文章的主要目的是表明近期政策對(duì)于多級(jí)庫(kù)存問(wèn)題是可接受的。他假設(shè)在各階段的訂貨時(shí)間是固定的。陳和宋的目標(biāo)是縮小系統(tǒng)中的長(zhǎng)期平均成本。在陳的系統(tǒng)中，各地應(yīng)用一種定期回顧或者訂貨點(diǎn)庫(kù)存政策。他們表明各地的庫(kù)存位置是穩(wěn)定的，并且這種穩(wěn)定的分銷(xiāo)是均勻且獨(dú)立于其他的。在明納等人的研究中，他調(diào)查了在一個(gè)由中心倉(cāng)庫(kù)和一些當(dāng)?shù)貛?kù)存點(diǎn)組成的分銷(xiāo)網(wǎng)絡(luò)中，生產(chǎn)不確定性對(duì)庫(kù)存投資的影響。將和莫納罕論述了一個(gè)兩梯隊(duì)雙通道庫(kù)存模型，在這個(gè)模型中庫(kù)存是由生產(chǎn)商倉(cāng)庫(kù)（上游）和零售店（下游）共同負(fù)責(zé)的，而

12、產(chǎn)品使用兩種供應(yīng)渠道：傳統(tǒng)的零售店和網(wǎng)絡(luò)直銷(xiāo)。約翰森的系統(tǒng)被假設(shè)由基本庫(kù)存策略控制，其中比較了獨(dú)立的和隨機(jī)不獨(dú)立的訂貨期?？傊?，這些文章都基于一般隨機(jī)需求來(lái)考慮兩梯隊(duì)或者梯隊(duì)庫(kù)存系統(tǒng)，但有一篇例外，它考慮了馬爾可夫需求調(diào)節(jié)。通常他們假設(shè)固定的訂貨點(diǎn)，但是其中有兩個(gè)認(rèn)為那是隨機(jī)的。而他們得出了一樣或者相近的解決方法。在這些多級(jí)庫(kù)存管理文獻(xiàn)中用到了很多其他研究方法，比如啟發(fā)法、變化度量法、隱約集法、模型預(yù)測(cè)控制法、情景分析法、數(shù)據(jù)分析法和匯編語(yǔ)言，這些方法很少用而且只有少數(shù)作者會(huì)用到。陳和李提出了一個(gè)多產(chǎn)品、多階段、多時(shí)期計(jì)劃模型來(lái)解決帶有市場(chǎng)需求和產(chǎn)品價(jià)格不確定性的多級(jí)存貨供應(yīng)網(wǎng)絡(luò)中的多目標(biāo)。其

13、中不確定的市場(chǎng)需求通過(guò)一系列各種可能性建成的離散方案模型解釋，而模糊設(shè)置用于解釋買(mǎi)賣(mài)者基于產(chǎn)品價(jià)格的不相容偏好。附件2:外文資料翻譯原文Multi-echelon inventory management in supply chains Historically, the echelons of the supply chain, warehouse, distributors, retailers, etc., have been managed independently, buffered by large inventories. Increasing competitive pre

14、ssures and market globalization are forcing firms to develop supply chains that can quickly respond to customer needs. To remain competitive and decrease inventory, these firms must use multi-echelon inventory management interactively, while reducing operating costs and improving customer service.In

15、ventories exist throughout the SC in various forms for various reasons. The lack of a coordinated inventory management throughout the SC often causes the bullwhip effect, namely an amplification of demand variability moving towards the upstream stages. This causes excessive inventory investments, lo

16、st revenues, misguided capacity plans, ineffective transportation, missed production schedules, and poor customer service.Many scholars have studied these problems, as well as emphasized the need of integration among SC stages, to make the chain effectively and efficiently satisfy customer requests

17、(e.g. reference. Beside the integration issue, uncertainty has to be dealt with in order to define an effective SC inventory policy. In addition to the uncertainty on supply (e.g. lead times and demand, information delays associated with the manufacturing and distribution processes characterize SCs.

18、Inventory management in multi-echelon SCs is an important issue, because there are many elements that have to coordinate with each other. They must also arrange their inventories to coordinate. There are many factors that complicate successful inventory management, e.g. uncertain demands, lead times

19、, production times, product prices, costs, etc., especially the uncertainty in demand and lead times where the inventory cannot be managed between echelons optimally.Most manufacturing enterprises are organized into networks of manufacturing and distribution sites that procure raw material, process

20、them into finished goods, and distribute the finish goods to customers. The terms multi-echelon ormultilevelproduction/distribution networks are also synonymous with such networks (or SC, when an item moves through more than one step before reaching the final customer. Inventories exist throughout t

21、he SC in various forms for various reasons. At any manufacturing point, they may exist as raw materials, work in progress, or finished goods. They exist at the distribution warehouses, and they exist in-transit, or in the pipeline, on each path linking these facilities.Manufacturers procure raw mate

22、rial from suppliers and process them into finished goods, sell the finished goods to distributors, and then to retail and/or customers. When an item moves through more than one stage before reaching the final customer, it forms a multi-echelon inventory system. The echelon stock of a stock point equ

23、als all stock at this stock point, plus in-transit to or on-hand at any of its downstream stock points, minus the backorders at its downstream stock points.The analysis of multi-echelon inventory systems that pervades the business world has a long history. Multi-echelon inventory systems are widely

24、employed to distribute products to customers over extensive geographical areas. Given the importance of these systems, many researchers have studied their operating characteristics under a variety of conditions and assumptions. Since the development of the economic order quantity (EOQ formula by Har

25、ris (1913, researchers and practitioners have been actively concerned with the analysis and modeling of inventory systems under different operating parameters and modeling assumptions .Research on multi-echelon inventory models has gained importance over the last decade mainly because integrated con

26、trol of SCs consisting of several processing and distribution stages has become feasible through modern information technology. Clark and Scarf were the first to study the two-echelon inventory model. They proved the optimality of a base-stock policy for the pure-serial inventory system and develope

27、d an efficient decomposing method to compute the optimal base-stock ordering policy. Bessler and Veinott extended the Clark and Scarf model to include general arbores cent structures. The depot-warehouse problem described above was addressed by Eppen and Schrage who analyzed a model with a stockless

28、 central depot. They derived a closed-form expression for the order-up-to-level under the equal fractile allocation assumption. Several authors have also considered this problem invarious forms. Owing to the complexity and intractability of the multi-echelon problem Hadley and Whitin recommend the a

29、doption of single-location, single-echelon models for the inventory systems.Sherbrooke considered an ordering policy of a two-echelon model for warehouse and retailer. It is assumed that stock outs at the retailers are completely backlogged. Also, Sherbrooke constructed the METRIC (multi-echelon tec

30、hnique for coverable item control model, which identifies the stock levels that minimize the expected number of backorders at the lower-echelon subject to a bud get constraint. This model is the first multi-echelon inventory model for managing the inventory of service parts. Thereafter, a large set

31、of models which generally seek to identify optimal lot sizes and safety stocks in a multi-echelon framework, were produced by many researchers. In addition to analytical models, simulation models have also been developed to capture the complex interaction of the multi-echelon inventory problems.So f

32、ar literature has devoted major attention to the forecasting of lumpy demand, and to the development of stock policies for multi-echelon SCs Inventory control policy for multi-echelon system with stochastic demand has been a widely researched area. More recent papers have been covered by Silver and

33、Pyke. The advantage of centralized planning, available in periodic review policies, can be obtained in continuous review policies, by defining the reorder levels of different stages, in terms of echelon stock rather than installation stock.Rau et al. , Diks and de Kok , Dong and Lee ,Mitra and Chatt

34、erjee , Hariga , Chen ,Axsater and Zhang , Nozick and Turnquist ,and So and Zheng use a mathematic modeling technique in their studies to manage multi-echelon inventory in SCs. Diks and de Koks study considers a divergent multi-echelon inventory system, such as a distribution system or a production

35、system, and assumes that the order arrives after a fixed lead time. Hariga, presents a stochastic model for a single-period production system composed of several assembly/processing and storage facilities in series. Chen, Axsater and Zhang, and Nozick and Turnquist consider a two-stage inventory sys

36、tem in their papers. Axsater and Zhang and Nozickand Turnquist assume that the retailers face stationary and independent Poisson demand. Mitra and Chatterjee examine De Bodt andGraves model (1985, which they developed in their paper Continuous-review policies for a multi-echelon inventory problem wi

37、th stochastic de mand, for fast -moving items from the implementation point of view. The proposed modification of the model can be extended to multi-stage serial and two -echelon assembly systems. In Rau et al.s model, shortage is not allowed, lead time is assumed to be negligible, and demand rate a

38、nd production rate is deterministic and constant. So and Zheng used an analytical model to analyze two important factors that can contribute to the high degree of order-quantity variability experienced by semiconductor manufactu rers: suppliers lead time and forecast demand updating. They assume tha

39、t the external demands faced by there tailor are correlated between two successive time periods and that the retailer uses the latest demand information to update its future demand forecasts. Furthermore, they assume that the suppliers delivery lead times are variable and are affected by the retaile

40、rs order quant ities. Dong and Lees paper revisits the serial multi-echelon inventory system of Clark and Scarf and develops three key results. First, they provide a simple lower-bound approximation to the optimal echelon inventory levels and an upper bound to the total system cost for the basic mod

41、el of Clark and Scarf. Second, they show that the structure of the optimal stocking policy of Clark and Scarf holds under time-correlated demand processing using a Martingale model of forecast evolution. Third, they extend the approximation to the time-correlated demand process and study, in particu

42、lar for an autoregressive demand model, the impact of lead times, and autocorrelation on the performance of the serial inventory system.After reviewing the literature about multi-echelon inventory management in SCs using mathematic modeling technique, it can be said that, in summary, these papers co

43、nsider two, three, or N-echelon systems with stochastic or deterministic demand. They assume lead times to be fixed, zero, constant, deterministic, or negligible. They gain exact or approximate solutions.Dekker et al. analyses the effect of the break-quantity rule on the inventory costs. The break-q

44、uantity rule is to deliver large orders from the warehouse, and small orders from the nearest retailer, where a so-called break quantity determines whether an order is small or large. In most l-warehouseN-retailers distribution systems, it is assumed that allcustomer demand takes place at the retail

45、ers. However, it was shown by Dekker et al. that delivering large orders from the warehouse can lead to a considerable reduction in the retailers inventory costs. In Dekker et al. the results of Dekker et al. were extended by also including the inventory costs at the warehouse. The study by Mohebbi

46、and Posners contains a cost analysis in the context of a continuous-review inventory system with replenishment orders and lost sales. The policy considered in the paper by Vander Heijden et al. is an echelon stock, periodic review, order-up-to policy, under both stochastic demand and lead times.The

47、main purpose of Iidas paper is to show that near-myopic policies are acceptable for a multi-echelon inventory problem. It is assumed that lead times at each echelon are constant. Chen and Songs objective is to minimize the long-run average costs in the system. In the system by Chen et al., each location employs a periodic-review, or lot-size reorder point inventory policy. They show that each locations inventory positions are stationary and the stationary distribution is uniform and independent of any other. In the study by Minner et al., the impact of m