基于利润返回的拍卖市场主导型生鲜农产品供应链协调优化与相关机制设计

Compared with other products or other types of fresh agricultural products, there are distinguished features for the fresh agricultural products supply chain in auction markets: (1) Quantity loss and quality deterioration of fresh agricultural products bring complexity for pricing in retail market. So the retail price must be represented as a function of time. (2) The competition between retailers is more embodied in wholesale price (transaction price) rather than demand that differs by a scale factor. (3) Because the biding price is discovered by the auction mechanism, the transfer payment is related to the expected biding price and auction commission ratio; (4) As a credit intermediation, auction market can redistribute profit by paying back a certain proportion of commission to retailers and suppliers. And the transfer payment involves retailer, auction market and supplier. Considering the above distinctive characteristics, the research systematically utilizes optimal theory and methods, control theory and methods, auction theory and methods to analyze the following issues: (1) Giving the assumption that retailers compete for the wholesale, not for the demand, the expected transaction price, commission ratio and the changeable retail price are considered to the newsvendor model for coordination conditions, profit allocation and relevant mechanism design in these contracts, i.e., buyback, revenue-sharing, quantity-flexibility, sales-rebate, quantity-discount and option contract. (2) We will extend the newsvendor model to coordinate with price-dependent demand, effort-dependent demand, updating demand and asymmetric information. (3) The product correlation will be analyzed for the expected price and supply chain coordination. (4) How to design the profit reallocation mechanisms to achieve the optimal performance of the supply chain will be discussed. (5) The research will develop an empirical-theoretical feedback loop and modify the prior conclusions. The research findings will have an important theoretical significance for enriching the theories of supply chain coordination and auction. And will put those theories into practice. It is significant for establishing and improving the agricultural products circulation system in China.

拍卖市场主导型生鲜农产品供应链具有明显特征：(1)生鲜农产品零售价为时间的函数；(2)零售商间的竞争为批发价的竞争而非需求的竞争；(3)转移支付与期望成交价格和拍卖市场的佣金机制有关；(4)拍卖市场作为信用中介，能通过佣金返还策略来实现利润的再分配。本项目针对这些特征，研究市场零售价、期望成交价格对多竞争零售商在强假设条件下各类契约的协调条件、利润分配和相关机制设计；随后放宽假设条件,研究需求与价格相关、需求与努力相关、需求更新、非对称信息等的协调条件、利润分配和相关机制设计；然后研究产品相关性下的期望成交价格、协调优化和利润分配；进而研究基于利润返回的佣金返还策略；最后建立实证理论研究的反馈回路，对前面的结果加以修正。项目研究一方面对丰富供应链协调优化理论、拍卖理论具有重要理论意义；另一方面，探索拍卖机制设计在我国生鲜农产品拍卖市场供应链协调优化领域的应用，具有重要实践价值。

拍卖市场主导型生鲜农产品供应链具有明显特征：①生鲜农产品零售价为时间的函数；②零售商间的竞争为批发价的竞争而非需求的竞争；③转移支付与期望成交价格和拍卖市场的佣金机制有关；④拍卖市场作为信用中介，能通过佣金返还策略来实现利润的再分配。本项目针对这些特征，结合我国生鲜农产品拍卖市场的实际，考虑拍卖市场主导型生鲜农产品供应链协调优化的相关变量，探索通过利润返回来达到供应链绩效总体最优，建立供应链协调优化的实证理论研究反馈回路，得到了以下结论：①在不纳入拍卖市场情形下，考虑生鲜农产品生产运输中产量损耗和新鲜度衰减，分别研究了供给不确定性下与需求不确定下生鲜农产品供应链协调，分别设计了“风险共担+收益共享”与“风险共担+余货回购”契约，研究结果表明这两种契约均能协调供应链。②研究了佣金比例对拍卖市场主导型生鲜农产品供应链协调的影响，研究表明：双向佣金比例是无法协调供应链的，通过引入佣金返还和拍前补助的联合契约形式，供应链可以实现协调，此时拍卖市场将在收益分配上占有主导地位。③在双向佣金比例情形下，引入新鲜度函数，研究了拍卖市场主导型生鲜农产品供应链协调，研究表明：收益共享契约能协调供应链。④基于保留价机制，研究了拍卖市场主导型生鲜农产品供应链协调，并设计了利润分成契约，研究表明：存在最优的拍卖市场保留价和拍卖收益分成比例能够诱导供应商的商品供应量和拍卖市场的最优商品拍卖量保持一致，且能确保供应商和拍卖市场整体实现利润的最大化，从而完成渠道协调。最后，结合实际案例，研究了相关机制设计问题。本项目研究一方面将供应链协调与拍卖机制设计相结合，对丰富供应链协调优化理论、拍卖理论具有重要理论意义；另一方面，项目探索了拍卖机制在供应链协调优化领域的应用，对建立健全我国现代农产品流通体系，具有重要的现实意义。

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