基于自组织理论的企业供需网系统演化机制研究

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摘要

在当今经济全球化、市场动态化、需求多样化、技术创新快速化的市场环境

中，任何一个企业，即使是实力雄厚的跨国公司也将面临着巨大的竞争压力，仅

依靠自身的实力是无法成功实现其更高层次的战略目标的。另外，全球市场一体

化和互联网的普及，使得企业之间的合作日益加强，跨地区甚至跨国家间的采购、

制造和分销的趋势日益明显。因此大量的物资和信息将会在很广的区域内交换、

流动和储存,而传统的供应链管理模式已严重滞后这种全球经济一体化的市场环

境。它无法从根本上适应企业竞争和发展的需要。这种全球化的发展趋势呼唤着

一种与之真正相适应的全新的管理理念。在这种情况下，徐福缘教授于 2001 年提

出了多功能开放型企业供需网的理念。

多功能开放型企业供需网（Supply and Demand Network with multi-functional

and opening characteristics for enterprise,简称 SDN）作为一种复杂的社会经济系统，

借助其成员企业间及其与外部市场环境间相互协调作用构成一个自组织的整体。

这一自组织整体是由物质的和非物质的、社会的、经济的、资源环境等要素构成

的复杂系统，其获得时间、空间和功能的有序结构的过程具有自组织的特性。因

此，单从某一个学科领域来分析 SDN 系统的演化发展的内在机制及其过程具有局

限性和片面性。本文基于系统科学的思想，以自组织理论为基础，对 SDN 系统演

化发展的机制和过程进行探索性的研究。

本文以 SDN 系统演化机制为研究对象，以系统演化理论、自组织理论作为理

论研究的基石，运用系统分析、动态与静态相结合、定性分析与定量分析相结合

等研究方法，对 SDN 系统自组织演化机制进行研究。全文共分四部分：

第一部分包括论文绪论。主要介绍课题研究的背景、目的和意义、SDN 理论

及其国内外研究现状综述、课题研究的相关理论概述、论文主要研究内容、框架

结构和创新点。

第二部分包括论文第二章，主要阐述 SDN 系统演化的基本内容。该部分首先

对SDN 系统的内涵进行了界定，在此基础上分析了 SDN 系统的构成要素，构建

了SDN 系统的总体结构模型；其次，还分析了 SDN 系统的复杂性表现及其复杂

性特征，讨论了 SDN 系统复杂性测度的三个指标，认为 SDN 系统的复杂性是自

组织演化的产物；最后分别对 SDN 系统自组织演化的内涵、特性及演化机制进行

了界定和剖析，指出开放性、远离平衡态、非线性作用和随机涨落的条件机制，

协同竞争的动力机制，以及超循环演化机制是 SDN 系统自组织演化的主要机制。

第三部分包括论文的第三、四、五、六章，也是全文的核心部分，分别研究

了SDN 系统自组织演化的几个主要机制。首先，从开放性条件、稳定性条件、动

力学条件和诱发性条件四个方面分析了 SDN 系统自组织演化的条件机制，它们分

别是：与环境互动、远离平衡态、非线性相互作用和随机涨落，并分别阐述了这

些条件的内涵和特征，分析了它们之间的关系。其次，阐述了 SDN 系统自组织形

成和演化过程，分析了演化过程中的自组织机制，探讨了 SDN 系统演化过程的自

创生、自复制、自生长、自适应四种自组织形态，进一步分析了 SDN 系统自组织

演化的协同竞争动力机制，并从 SDN 系统外部和 SDN 系统内部两个层次对 SDN

系统自组织演化的动力要素进行了分析，在此基础上，构建了 SDN 系统自组织演

化的动力要素模型。通过分析 SDN 系统内的博弈格局，运用演化博弈理论的方法，

借鉴生物进化过程中的“复制动态”的思想，建立了 SDN 成员企业协同竞争演化

博弈模型，并对模型中的参数进行分析。通过模型分析，得出协同创造的额外收

益、协同成本以及协同收益的分配机制是影响 SDN 成员企业协同竞争演化的主要

因素。最后，利用超循环理论分析 SDN 系统的超循环演化机制。在介绍了超循环

的概念和循环反应网络的层次结构的基础上，分析了 SDN 系统存在的超循环，给

出了 SDN 系统的反应循环、催化循环和超循环模型；通过对 SDN 系统的超循环

演化过程的分析，总结出了 SDN 系统的超循环演化机制。

第四部分包括论文第七章“总结与展望”。该部分主要对全文进行总结，并指

出了进一步的研究方向。本论文的主要创新之处在于：

（1）运用自组织理论分析SDN系统演化过程的自组织机制。该研究能够深化

对SDN形成与演化过程的复杂性、整体性和动态性的认识，并通过学科的交叉融

合在SDN研究中提出相对新颖的理论观点，具有创新的视角。

（2）应用协同学理论对SDN系统演化的动力因素进行分析，找出了支配SDN

系统演化的序参量，其序参量是有形资源的互补度、信息资源的共享度和无形资

源的依赖度；指出SDN系统演化的动力在于序参量的发展和变化，以及市场机遇、

创新氛围和需求刺激等各参量之间的相互关系。

（3）运用演化博弈理论的分析方法，借鉴生物进化过程中的“复制动态”的

思想，建立了SDN成员企业协同竞争演化博弈模型，并对模型中的参数进行分析。

（4）结合超循环思想和方法，指出SDN系统演化的途径是在系统内部形成超

循环结构，各子系统之间形成相互促进、共同演化的有序结构；同时构建了SDN

系统的超循环模型，其结构为立体分层的网状结构，其中各主体之间也存在供需

流超循环。

关键词：供需网系统，自组织，协同，系统演化，超循环

III

ABSTRACT

With the rapid development of economic globalization and information technology

and the increasingly furious competition environment, more and more enterprises start

to realize that it’s difficult for them to survive and develop by means of their own

strength under such competitive condition. Supply and Demand Network with

multi-functional and opening characteristics for enterprise, which is called SDN for

short, is an innovative commercial mode for improving the competent capability of

enterprise. It is a multi-functional and open network structure which satisfies different

“core competition” of relevant enterprises. SDN that facilities the resource gaining,

manufacturing and distributing from global range is a dynamic and open complex

system. The SDN, as a complex economic system, owns the feature of self-organization

evolution. Therefore, it is becoming an essential subject to settle the complicated matter

in the evolution process of SDN system by employing self-organization theory and to

discuss the self-organization evolution mechanism of SDN system. This thesis aims to

make a thorough study of the self-organization evolution mechanism of SDN complex

system, offer new thoughts for the study of SDN theory and value of guidance for the

management of SDN. The dissertation includes 4 parts.

The first part covers chapter 1. It mainly introduces the theoretical basis, reviews

the literature and put forward the research problem. Firstly, it studies the research

background and urgent issues in the development and evolution of SDN system, such as

complex characteristics, interaction with environment, evolution mechanism. Secondly,

it presents the main theory basis – self-organization theory. Then, it summarizes the

research trend and achievements about SDN system home and abroad, reviews the

current research state and defines the research emphasis of SDN system evolution in

this dissertation.

The second part covers chapter 2. It mainly concerns the definition of basic

concepts and problems involving the evolution research of SDN system. Firstly, the

concept and connotation of SDN system are defined, and the characteristics of SDN

system are explained. In the view of system science, the dissertation analyzes the key

factors forming SDN system, and puts forward the structure framework model of SDN

system. On the basis of analyzing the complexity characteristics of SDN system, three

complexities index for SDN system are built by the approach of spiral promotion

methodology. They are steady state complexity index, dynamic complexity index, and

space complexity index. They measure the complexity of SDN system from three

different aspects. Based on system science, it defines concept and connotation of SDN

system evolution, and investigates many characteristics of SDN system evolution, such

as self-organization, irreversible and limitation. It focuses on constructing the

conceptual modeling of SDN system evolution and put forward the SDN system

evolution cycle process modeling in which the SDN system emerges in the chaotic

economic environment, experiences the system reconstruction and adaptive learning,

bifurcation and catastrophe, emergence and other evolution process and then reaches the

steady state. This part is the basis of successive research in the dissertation.

`The third part covers chapter 3, 4, 5 and 6. It’s the core part of the dissertation.

First, the self-organization evolution conditions of SDN system are discussed. They are

openness, far from balance state, non-linear interaction and stochastic fluctuation.

Openness is the essential condition of the ordered structure of SDN system, while the

non-linear interaction, which is the self-organization dynamical condition, plays a key

role to the formation, stability, evolution of SDN system. The deviation of balance is the

demand of system self-organizational stability. The partners of SDN system is driven

away from balance by interior mechanisms, and forms two kinds of dominant characters,

specialization and diversity, of it. Stochastic fluctuation is SDN system inherent

character. While a SDN is deviated from balance, micro-fluctuation could be blown up

to arouse the qualitative change of its structure and functions. Through the analysis of

the evolution process of SDN system, it discusses the self-organization mechanism of

SDN system evolution process. The forming and evolutionary process of the SDN

system is characterized as self-organization, self-enhancement and mutual enhancement,

competition and co-evolution. The SDN system evolution is a self-organization process

by the interaction of inner system elements.

The synergetic and competitive game model of SDN system is presented based on

the evolutionary game theory. The evolutionary stable strategy, the possible equilibrium

and influence factors of the equilibrium are analyzed according to the system that only

contained two agents.

According to the relative principle of hypercycle theory set up by M. Eigen, The

internal nature of SDN system is a kind of hypercycle structure. A reacting cycle,

catalyzing cycle, and hyper–cycle of SDN system are firstly studied by means of

hypercycle theories, and then the hypercycles structure of SDN system is established.

Secondly, the evolutionary mechanism of SDN system is studied using the hypercycle

theory in the organic evolution. The model of hypercycle structure about SDN system

evolution is described.

The fourth part covers chapter 7. The main contents and results in this dissertation

are summarized and the follow-up research work prospects are pointed out in this part.

Key Words: Supply and Demand Network with multi-functional and

opening characteristics for enterprise (SDN), Self-organization,

Synergetic, System evolution, Hypercycle

中文摘要

ABSTRACT

摘要............................................................................................................................ I

第一章绪论 ................................................................................................................. 1

§1.1 课题研究的背景和意义...................................................................................1

§1.1.1 课题研究的背景.....................................................................................1

§1.1.2 课题研究的目的和意义.........................................................................3

§1.2 SDN 理论及其研究综述 ...................................................................................4

§1.2.1 SDN 基本理论 .........................................................................................4

§1.2.2 SDN 理论研究综述 .................................................................................8

§1.3 自组织理论及研究概况.................................................................................10

§1.3.1 自组织理论概述...................................................................................10

§1.3.2 自组织理论中的几个基本概念...........................................................11

§1.3.3 自组织理论的研究概况.......................................................................14

§1.4 论文的研究内容、结构框架和创新点.........................................................16

§1.4.1 论文的主要研究内容...........................................................................16

§1.4.2 论文的结构框架...................................................................................17

§1.4.3 论文的主要创新点...............................................................................18

§1.5 本章小结.........................................................................................................18

第二章 SDN 系统演化的基本问题 .......................................................................... 19

§2.1 SDN 系统的基本概念 .....................................................................................19

§2.1.1 系统和系统化.......................................................................................19

§2.1.2 SDN 系统及其特征 ...............................................................................20

§2.1.3 SDN 系统的要素分析 ...........................................................................22

§2.1.4 SDN 系统的结构分析 ...........................................................................23

§2.2 SDN 系统的复杂性分析 .................................................................................24

§2.2.1 SDN 系统复杂性表现 ...........................................................................25

§2.2.2 SDN 系统的复杂性特征 .......................................................................27

§2.2.3 SDN 系统的复杂性测度 .......................................................................30

§2.3 SDN 系统的演化 .............................................................................................34

§2.3.1 演化的定义...........................................................................................34

§2.3.2 系统演化的含义....................................................................................34

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摘要：

I摘要在当今经济全球化、市场动态化、需求多样化、技术创新快速化的市场环境中，任何一个企业，即使是实力雄厚的跨国公司也将面临着巨大的竞争压力，仅依靠自身的实力是无法成功实现其更高层次的战略目标的。另外，全球市场一体化和互联网的普及，使得企业之间的合作日益加强，跨地区甚至跨国家间的采购、制造和分销的趋势日益明显。因此大量的物资和信息将会在很广的区域内交换、流动和储存,而传统的供应链管理模式已严重滞后这种全球经济一体化的市场环境。它无法从根本上适应企业竞争和发展的需要。这种全球化的发展趋势呼唤着一种与之真正相适应的全新的管理理念。在这种情况下，徐福缘教授于2001年提出了多功能开放型企业供需网的理念...

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