企業(yè)存貨管理中的問題與對(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 ：孫露銘外文出處：學(xué) 號(hào) ：（用外文寫 ） 附 件 ：The American Society of Mechanical Engineers Agency ， 2007:27-331.外文資料翻譯譯文； 2.外文原文。3082113127指導(dǎo)教師評(píng)語 ：簽名：年月日附件 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、倉庫、分銷商、零售商等，已經(jīng)通過大量的庫存 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，降低庫存，

2、這些企業(yè)必須交互使用多級(jí)庫存 管理，同時(shí)降低 運(yùn) 營(yíng)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)過多的存貨積壓，使收入減少，運(yùn)輸效率降低，擾亂了庫 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。除了整合問題，為了確定一個(gè)有效地供應(yīng) 鏈庫存政策，還 必 須處理不確定性問題。除了對(duì)供應(yīng)和需求的不確定性，與生產(chǎn) 和銷售過程相關(guān) 的 信息延遲

3、也是供應(yīng)鏈的一個(gè)特點(diǎn)。多級(jí)供應(yīng)鏈中的 庫存管理是一項(xiàng)重要的內(nèi)容，因?yàn)橛性S多方面兩者都必須相 互配合，協(xié)調(diào)合 作 。它們還必須對(duì)它們的庫存進(jìn)行協(xié)調(diào)安排。有許多因素使成功 的庫存管理變得 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) 被組織起來形成了一個(gè)制造和分銷為一體的網(wǎng)絡(luò)，這個(gè)網(wǎng)絡(luò) 包括了原材料的 采 購、加工和產(chǎn)品的銷售。當(dāng)一個(gè)產(chǎn)品經(jīng)過多個(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

4、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 倉庫，存在于運(yùn) 輸 途中，或者存在于管道里，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 處采購原材料，將它們加工成產(chǎn)品并銷售給分銷商，然后由 分銷商銷售給零 售 商或者用戶。當(dāng)一個(gè)產(chǎn)品經(jīng)過多個(gè)階段才到達(dá)最終用戶，它就 形成了一個(gè)多級(jí) 庫 存系統(tǒng)。某一庫存節(jié)點(diǎn)的級(jí)庫存等于這個(gè)庫存節(jié)點(diǎn)上的所有庫 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)的庫存，減去后續(xù)節(jié)點(diǎn)的缺貨。 商界有關(guān)多級(jí) 庫存系統(tǒng)的分析已經(jīng)有著悠久的歷史。在許多領(lǐng)域，多級(jí)庫 存管理系統(tǒng)被廣 泛 運(yùn)用于向客戶分銷產(chǎn)品。鑒于

5、這些系統(tǒng)的重要性，許多研究人 員通過各種各樣 的 條件和假設(shè)開始研究他們的運(yùn)行特點(diǎn)。自從哈里斯提出經(jīng)濟(jì)訂 貨批量模型以來 ， 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)條件下系統(tǒng) 的 分析和模型設(shè)計(jì)。在過去的十年里，對(duì)于多級(jí)庫存管理模型的 研究已經(jīng)獲得了 重 要成就，主要是因?yàn)橥ㄟ^利用現(xiàn)代信息技術(shù)，使各個(gè)過程和分 銷階段的供應(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 的車間倉庫問題通過

6、埃本和施拉格分析一個(gè)缺貨的中央倉庫模 型解決了。他們 在 相等的訂貨點(diǎn)分配假設(shè)條件下，對(duì)訂購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)問題。由于多階段問題的復(fù)雜 和棘手，哈德利 和 懷廷建議對(duì)庫存系統(tǒng)采用單層次、單階級(jí)模型。夏布魯克把一個(gè) 訂購政策看做是一個(gè)倉儲(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)階段中使庫存水平最小化，這個(gè) 模型是管理服務(wù) 部 分庫存的第一個(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

7、庫存。除了分析性模型，仿 真模型也被開發(fā) 了出來用于研究多級(jí)庫存問題中復(fù)雜的相互作用問題。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 來有許多論文都包含了斯?fàn)柛：团煽说挠^點(diǎn)。用于定期評(píng)估標(biāo) 準(zhǔn)的統(tǒng)一采購的 優(yōu) 點(diǎn)是可以通過規(guī)定不同階段的訂購水平獲得連續(xù)不斷的評(píng)估標(biāo) 準(zhǔn)，這是就所有 庫 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

8、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 兩階段庫存系統(tǒng) 。阿克斯特和特納基斯特認(rèn)為零售商都面臨不變的無偏好的泊松 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)

9、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更 新它們未來的需 求預(yù)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)

10、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，可以 說 ，這些文章都考慮到了具有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

11、貨成本的影響。數(shù)量分段規(guī)律是指?jìng)鬟f 來自供應(yīng)商的大 訂 單, 以及來自最 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 售損失的不斷審 查的存貨系統(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

12、目的是表明近期政策對(duì)于多級(jí)庫存問題是可接受的。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)庫存政策。他們表明各地的庫 存位置是穩(wěn)定的 ，并且這種穩(wěn)定的分銷是均勻且獨(dú)立于其他的。在明納等人的研 究中，他調(diào)查了 在 一個(gè)由中心倉庫和一些當(dāng)?shù)貛齑纥c(diǎn)組成的分銷網(wǎng)絡(luò)中，生產(chǎn)不 確定性對(duì)庫存投 資的影響。將和莫納罕論述了一個(gè)兩梯隊(duì)雙通道庫存模型，在這 個(gè)模型中庫存是 由 生產(chǎn)商倉庫（上游）和零售店（下游）共同負(fù)責(zé)的，而產(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。約翰森的系統(tǒng)被假設(shè)由基本庫存策 略控制，其中比 較了獨(dú)立

13、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)需求來考慮兩梯隊(duì)或者梯隊(duì)庫存系統(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)。其中不確定的市場(chǎng)需求通過 一系列各種可能 性 建成的離散方案模型解釋

14、，而模糊設(shè)置用于解釋買賣者基于產(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 chainsHistorically, the echelons of the supply chain, warehouse ,distributors, retailers, etc., have been managedindependently, buffered by large inventories. Increasing competitive pressures and market globaliza

15、tion 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 customerservice.Inventories exist throughout t

16、he 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 causesexcessive inventory investments, lost revenues,misguided capacit

17、y 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 (e.g. reference). Beside the in

18、tegration 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 anddistribution processesc haracterizeSCs.Inventory managemen tin multi-e

19、chelon 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, production times, product pri

20、ces, costs, etc., especially the uncertainty in demand and lead times where the inventory cannot be managed betweenechelonsoptimally.Most manufacturing enterprises are organized into networks of manufacturing and distribution sites that procure raw material, process them into finished goods, and dis

21、tribute the finish goods to customers. The terms mul-tei chelon' or multilevel production/distribunteiotwnorks 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 the SC in various forms fo

22、r 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 inthe pipeline'o,n each path linking these facilities.Manufacturers procure raw material from suppliers and

23、 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 beforer eaching the final customer, it forms a mul-tei chelon' inventory system. The echelon stock of a stock point equals all stock at

24、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 employed to distr

25、ibute products to customersover 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 Harris (1913), resear

26、chers and practitioners have been actively concerned with the analysis and modeling of inventory systems underdifferent operating parameters and modeling assumptions .Research on multi-echelon inventory models has gained importance over the last decade mainly becauseintegrated control of SCs consist

27、ing 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 developed an efficient deco

28、mposing method to compute the optimal basestock 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 central depot. They

29、 derived a closed-form expression for the order-up-to-level under the equal fractile allocation assumption. Several authors have also considered this problem in various forms. Owing to the complexity and intractability of the multi-echelon problem Hadley and Whitin recommend the adoption of single-l

30、ocation, 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 arec ompletely backlogged. Also, Sherbrookeconstructed the METRIC (multi-echelon technique for coverable

31、 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 of models which gen

32、erally seek to identify optimal lot sizes and safety stocks in a multiechelon 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 far literature has dev

33、oted 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 researchedarea. More recent papers have been covered by Silver and Pyke. Thea dvantage of

34、 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 Chatterjee , Hariga , Chen

35、,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 Kok'sstudy considers a divergent multi-echelon inventory system, such as a distribution system or a production system, and assume

36、s that the order arrives after a fixed lead time. Hariga, presents a stochastic model for a singleperiod production system composed of several assembly/processing and storage facilities in series. Chen, Axsaterand Zhang, and Nozick and Turnquist consider a two-stage inventory system in their papers.

37、 Axsater and Zhang and Nozickand Turnquist assume that the retailers face stationary and independen tPoisson demand. Mitra and Chatterjee examine De Bodt and Graves 'model (1985), which they developed in their paper'Continuous-review policies for a multi-echelon inventory problem with stocha

38、stic demand',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 assemblysystems .In Rau et al. 'msodel, shortage is not allowed, lead time is assumedto be negligible, and demand rate and p

39、roduction 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 manufacturers: supplier'slead time and forecast demand updating. They assume that

40、 the external demands faced by there tailor are correlated between two successivetime periods and that the retailer uses the latest demand information to update its future demand forecasts.F urthermore, they assume that the supplier'sdelivery lead times are variable and are affected by the retai

41、ler'sorder quantities. Dong and Lee'spaper 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

42、basic model 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, i

43、n particular for an autoregressive demand model, the impact of lead times, and autocorrelation on the performanceof 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 p

44、apers consider 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 approximatesolutions.Dekker et al. analyses the effect of the break-quantity rule on the inventory costs.The b

45、reak-quantity rule is to deliver large orders from the warehouse, and small orders from the nearest retailer, where a so-called break quantity determineswhether an order is small or large. In most l-warehouseN-retailers distribution systems,it is assumed that all customer demand takes place at the r

46、etailers. However, it was shown by Dekker et al. that delivering large orders from the warehouse can lead to a considerable reduction in the retailer'sinventory 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

47、 Mohebbi and Posner ' csontains 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 andl

48、ead times.The main purpose of Iida'spaper is to show that near-myopic policies are acceptable for a multi-echelon inventory problem. It is assumedthat lead times at each echelon are constant. Chen and Song'sobjective 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 location'sinventory positions are stationary and the stationary distribution is uniform and independent of any other. In the study by Minner et