【作者】 刘伟伟；

【导师】 王明征； 张震；

【作者基本信息】 大连理工大学 ， 管理科学与工程， 2021， 博士

【摘要】 设施选址作为企业的长期战略,直接影响企业的市场占有率,进而影响企业的利润,是企业生存根本之所在。近年来,经济全球化迅猛发展,环境问题日益突出,已成为人类面临的严峻挑战之一。可持续发展成为当今企业的重要发展战略,企业不仅要关注经济目标,也要注重环境影响。为有效控制碳排放,越来越多的国家出台碳排放政策,促使企业重新审视其设施选址策略。随着消费者需求的多样化,企业生产经营趋于多元化,可以同时为消费者提供多种替代和/或互补产品满足其日常需要。选址问题所具有的极强实际应用背景,致使可持续设施选址和多产品设施选址问题受到国内外学者的广泛关注。由于产品之间存在着替代或者互补关系,一种产品的价格会对另一种产品的需求量产生影响,因此产品的需求量不仅受到自身价格的影响,也受到其他产品价格的影响。多产品的需求-价格关系是企业制定设施选址决策的关键之一。已有研究普遍采用仅在某个限定区域上有定义的需求函数。然而,当企业把一种产品的价格制定得相当高以致其需求为零时,这种产品仍然可以影响其他产品的需求,因此限制产品的价格势必会对设施选址决策产生影响。鉴于此,如何将政府的碳排放政策以及产品之间的替代或者互补关系融入设施选址问题中为企业制定出最优的设施选址和产品定价决策,实现企业利润最大化并助力企业的可持续发展,是本文解决的主要难题。以企业类型、产品销售模式和市场结构为切入点,本文研究了三种情形下的可持续设施选址和多产品定价联合优化问题,主要研究工作如下:(1)可持续垄断制造设施选址和多产品定价联合优化方法针对垄断市场中生产多种替代和/或互补产品的制造企业,探讨了其在政府碳交易机制下的设施选址和产品定价联合优化决策。首先,以最大化企业利润为目标,基于定义于整个非负价格区域且反映市场真实需求的互补需求函数,构建可持续垄断制造设施选址和多产品定价联合优化模型。该模型为带均衡约束的0-1混合整数非凹二次规划,是强NP-hard问题。其次,为有效求解该问题,利用大M系数、二元辅助变量和分片线性包络方法将其转化为有界闭凸集上的0-1混合整数凹规划,并提出具有全局收敛性的分支提升算法。最后,通过数值算例验证了所提模型和算法的有效性,并分析了碳限额和碳交易对企业决策产生的影响,为处于垄断市场中的制造企业决策者提供策略支持和管理建议。(2)可持续竞争制造设施选址和多产品定价联合优化方法针对竞争市场中生产多种替代和/或互补产品的制造企业,探讨了其在政府碳交易机制下的设施选址和产品定价联合优化决策。市场中已存在企业建有设施生产并向顾客提供所需的多种产品,一家企业欲进入市场安置新设施与其竞争市场份额。新进入市场的企业预料到已建有设施的企业会有的反应,制定选址和产品定价决策,而已建有设施的企业在观察到新进入市场的企业的决策后,调整自己的产品供应量决策以应对新企业的进入。两家企业之间的竞争形成斯塔克尔伯格(Stackelberg)博弈,新进入市场的企业为领导者,已建有设施的企业为跟随者。首先,基于定义于整个非负价格区域且反映市场真实需求的互补需求函数,构建可持续竞争制造设施选址和多产品定价联合优化模型,为双层规划模型。上层规划为领导者的优化模型,以最大化利润为目标,为带均衡约束的0-1混合整数非凹二次规划;下层规划为跟随者的优化模型,为带均衡约束的非凹二次规划。该双层规划是极其复杂的强NP-hard问题。其次,为有效求解该问题,先利用Karush-Kuhn-Tucker(KKT)条件将双层规划等价转化为单层规划,然后利用大M系数、二元辅助变量和分片线性包络方法进一步将其转化为有界闭凸集上的0-1混合整数凹规划,并提出Benders算法进行求解。再者,通过数值算例验证了所提模型和算法的有效性,并分析了碳限额和碳交易对企业决策产生的影响,为处于竞争市场中的制造企业决策者提供策略支持和管理建议。最后,将所构建的可持续竞争制造设施选址和多产品定价联合优化模型拓展至跟随者为多家企业的情形,涵盖更多市场组织形式。(3)可持续越库中心选址和多产品定价联合优化方法针对制造企业与分销企业构成的供应链,制造企业生产的多种替代和/或互补产品通过分销企业的越库中心送达至终端顾客。在政府的碳交易机制下,探讨了分销企业的越库中心选址和产品定价联合优化决策。首先,以最大化供应链利润为目标,基于定义于整个非负价格区域且反映市场真实需求的互补需求函数,构建可持续越库中心选址和多产品定价联合优化模型。该模型为带均衡约束的0-1混合整数非凹二次规划,是强NP-hard问题。其次,为有效求解该问题,利用大M系数、二元辅助变量和McCormick包络方法将其转化为有界闭凸集上的0-1混合整数凹规划,并提出具有全局收敛性的(结合双线性函数进行分支变量选取)分支提升算法。最后,通过数值算例验证了所提模型和算法的有效性,并分析了碳限额和碳交易对企业决策产生的影响,为分销企业决策者提供策略支持和管理建议。更多还原

【Abstract】 Facility locations affect the company’s market exposure and subsequently its profit,whose success is essential for the survival of the company.Rapid global industrialization has led to environmental issues and climate change,which captures world-wide attention.Nowdays,sustainability is an important issue in supply chain management.Achieving sustainability means companies concern not only economic objective,but also relevant environmental influence.In particular,carbon emission is identified by the government and consumers as one of the most important metrics on environmental influences.The government regulations about carbon emission force companies to re-examine the facility location strategy.Meanwhile with increasing globalization and heterogeneous tastes of consumers,many companies consider offering substitutable commodities and/or complementary commodities.As commodities offered by a company are commonly substitutable or complementary to each other,the demand for each commodity should depend on the prices of all commodities in the same market.The accurate characterization of the demand-price relationship is among the core ingredients to make facility location decision.In much of the existing literature,the facility location problems only focus on cases where the demand-price relationship is defined on a restricted pricing price domain.In reality,a company could set the price of one commodity extremely high,even presented with the possibility of having no demand period.Nevertheless,this commodity could still affect the demands of other commodities due to the substitutable or complementary relationship.Thus,this thesis investigates the joint optimization problem of sustainable facility location and multi-commodity pricing with concerns on carbon emission and the substitutable or complementary relationship among commodities.The main research work is summarized as follows:(1)Joint optimization method of sustainable monopolistic manufacturing facility location and multi-commodity pricingUnder carbon trading scheme,this thesis studies the facility location and multi-commodity pricing problem for a monopoly manufacturing company which produces multiple substitutable and/or complementary commodities.Firstly,based on the complementarity demand function which is defined on the entire nonnegative price domain and characterizes the demand-price relationship in a more accurate way,the joint optimization model of sustainable monopolistic manufacturing facility location and multi-commodity pricing is proposed to maximize the profit.This model is a 0-1 mixed integer non-concave quadratic program with equilibrium constraints,which is strongly NP-hard.Secondly,in order to reduce the complexity of solving the model,this program is reformulated as a 0-1 mixed integer concave program with a bounded closed set through introducing big-M coefficients and auxiliary binary variables and applying piece-wise linear envelope method.An efficient branch-and-refine algoritlun with global convergence is proposed.Finally,numerical examples illustrate the effectiveness of the proposed model and algorithm and demonstrate the effect of emission limitation and carbon trading on decisions.The results provide some strategic support and management suggestion for manufacturing company manager in the monopolistic market.(2)Joint optimization method of sustainable competitive manufacturing facility location and multi-commodity pricingAccounting for the impact of the location decisions on customers while anticipating the reaction of competitor firm is essential.This thesis considers two manufacturing companies.One manufacturing company is planning to install facilities to produce multiple substitutable and/or complementary commodities for a certain market,and another competitor manufacturing company has facilities installed and offered these multiple substitutable and/or complementary commodities to customers.The new entrant company anticipates the reaction of the competitor company to make the location and pricing decisions.After observing the decisions of the new entrant company,the competitor company adjust its supply strategy.The result is a Stackelberg leader-follower game where the new entrant company is referred to as the leader and the competitor company is the follower.Firstly,based on the complementarity demand function which is defined on the entire nonnegative price domain and characterizes the demand-price relationship in a more accurate way,the joint optimization model of sustainable competitive manufacturing facility location and multi-commodity pricing is proposed,which is a bi-level program model.The upper level model is the profit maximization model of the leader,which is a 0-1 mixed integer non-concave quadratic program with equilibrium constraints.The lower level model is the profit maximization model of the follower,which is a non-concave quadratic program with equilibrium constraints.The bi-level program is strongly NP-hard.Secondly,in order to reduce the complexity of solving the model,this program is transformed to a one-level 0-1 mixed integer non-concave quadratic program with equilibrium constraints by applying Karush-Kuhn-Tucker(KKT)condition and further reformulated as a 0-1 mixed integer concave program with a bounded closed set through introducing big-M coefficients and auxiliary binary variables and applying McCormick approximation method.An efficient Benders algorithm is proposed.Thirdly,numerical examples illustrate the effectiveness of the proposed model and algorithm and demonstrate the effect of emission limitation and carbon trading on decisions.The results provide some strategic support and management suggestion for manufacturing company manager in the competitive market.Finally,the proposed joint optimization model of sustainable competitive manufacturing facility location and multi-commodity pricing is extended to multiple followers,covering more forms of market organization.(3)Joint optimization method of sustainable cross-docking center location and multi-commodity pricingUnder carbon trading scheme,this thesis considers a two-echelon supply chain problem,where cross-docking centers of a distribution company are to be established to satisfy the demands arriving to a set of manufacturing companies from a set of customers for multiple substitutable and/or complementary commodities.Firstly,based on the complementarity demand function which is defined on the entire nonnegative price domain and characterizes the demand-price relationship in a more accurate way,the joint optimization model of sustainable cross-docking center location and multi-commodity pricing is proposed to maximize the profit of the two-echelon supply chain.This model is a 0-1 mixed integer non-concave quadratic program with equilibrium constraints,which is strongly NP-hard.Secondly,in order to reduce the complexity of solving the model,this program is reformulated as a 0-1 mixed integer concave program with a bounded closed set through introducing big-M coefficients and auxiliary binary variables and applying McCormick approximation method.An efficient branch-and-refine algorithm based on bilinear-specific branching rule with global convergence is proposed.Finally,numerical examples illustrate the effectiveness of the proposed model and algorithm and demonstrate the effect of emission limitation and carbon trading on decisions.The results provide some strategic support and management suggestion for distribution company manager in the competitive market.更多还原