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论文编号：	12422
作者编号：	1120170869
上传时间：	2021/6/10 19:02:38
中文题目：	可持续供应链中核心企业促进产品生态设计的决策研究
英文题目：	Study on the decision-makings for focal enterprise to promote product eco-design in sustainable supply chain
指导老师：	李勇建
中文关键字：	可持续供应链治理；生态设计；激励机制；价值创造；绩效评价
英文关键字：	Sustainable supply chain governance; eco-design; incentive mechanism; value creation; performance evaluation
中文摘要：	当今产品市场越来越大地受到循环经济发展政策的干预和消费者环保意识的影响。在供应链和产品开发过程中未注重可持续性的企业很难保持核心竞争力。在这一背景下，可持续供应链平衡经济绩效、社会绩效和环境绩效，可以同时满足所有利益相关者的需求，已引起社会的普遍关注。近几年世界各国对供应链可持续性方面的标准和要求持续增加。产品生态设计的出现是可持续发展思想在全球得到共识与普及的结果。它位于可持续供应链的最开始阶段，考虑产品全生命周期可能给环境带来的影响，对供应链的环境绩效具有决定性作用。很多国家和我国都制定了较为完善的生态设计激励政策和措施，促使产业向可持续转型，但我国可持续供应链核心企业在发展中仍然面临着较大的挑战，现有理论研究不足以支持和指导企业的生态设计实践。研究可持续供应链中产品生态设计的运营管理决策迫在眉睫。 因此，本文从这一现实出发，立足于可持续供应链研究了核心企业促进产品生态设计的运营决策。通过对此研究领域的文献综述发现，现有文献为生态设计和可持续供应链研究提供了丰富的参考，但将其与动态能力和价值创造相结合的研究较少，缺乏可持续供应链视角下的生态设计管理过程决策研究和管理效果决策研究。鉴于已有研究的不足与企业实践的迫切需求，本文拟从以下四个方面进行深入探讨：第一，可持续供应链中核心企业如何通过生态设计实现价值创造？第二，核心企业如何治理可持续供应链以促进生态设计实践？第三，核心企业如何激励可持续供应链开展生态设计？第四，可持续供应链中核心企业如何提高生态设计的绩效？ 为解决上述研究问题，本文综合运用探索性案例研究方法、数理模型和优化方法、DEA方法开展了四个方面的研究：首先，本文用探索性案例研究阐明了生态设计的可持续价值创造机理。提出了一个由价值链运营、内部整合和外部整合三种能力组成的价值创造系统，明确了可持续的价值流和三种能力的作用机制。基于此系统建立了核心企业促进生态设计的决策研究框架。本文的决策研究包括三部分研究内容：第一，核心企业对可持续供应链的治理过程研究，体现内部整合和外部整合能力的过程决策。该研究运用探索性案例研究方法依次指出可持续供应链的治理环境、治理结构和治理路径。研究发现可持续供应链治理以核心企业内外的资源和能力为治理基础，资源重组、能力重构和价值创造为治理机制，经历了核心企业的可持续治理，供应链成员的可持续治理和供应链生态系统的可持续治理三个阶段，体现了社会资源基础观中承诺、联结到一致能力的转变。第二，核心企业对供应链开展生态设计的激励机制研究，主要体现外部整合能力的过程决策。该研究运用Stackelberg模型和优化方法分析了可持续供应链的成本分担机制和利益分配机制对生态设计的激励作用。研究发现供应商为领导者时，制造商和供应商共担绿色创新成本的机制对生态设计没有有效的激励，而考虑信息共享的利益分配机制的激励效果显著。核心企业增加绿色信息的共享，降低共享成本可以激励供应链合作伙伴的生态设计努力。第三，核心企业进行产品生态设计的绩效评价研究，主要体现价值链运营的效果决策。该研究把生态设计过程分为内部和供应商管理（ISM）与开放和合作（OC）两个阶段，运用两阶段连接DEA模型对时尚企业的生态设计阶段和整体绩效进行了评价，研究发现时尚企业的生态设计效率较高，各阶段效率和总效率逐年收敛，即年度差距越来越小。增加绩效表现突出的阶段投入可以显著提高生态设计的效率。 本文从多种理论视角探究了可持续供应链中核心企业促进产品生态设计的运营决策，有助于提升实践者对于生态设计的管理和部署能力。在上述研究结论的基础上，提炼了以下四点贡献与创新：（1）本文对以能力为导向的运营管理策略进行了补充，提出了实现生态设计的可持续价值创造系统，旨在激发企业管理者的价值创造意识和可持续性运营规划。（2）本文阐述了可持续供应链治理中资源的动态管理过程及与能力的作用机理，延伸了资源和能力进行互动的理论边界，丰富了可持续供应链治理理论。（3）本文创造性地把信息共享引入供应链成员的利益分配机制，补充了供应链合作契约促进生态设计的激励机制研究，为生态设计的大力开展提供了理论依据。（4）本文建立了可持续供应链中核心企业进行生态设计的绩效评价体系，完善了连接两阶段DEA模型在可持续供应链管理上的应用，为提高生态设计绩效提供了合理的解决途径和管理建议。
英文摘要：	The product market today is more and more influenced by Circular Economy policy intervention and consumer environmental awareness. Companies that unable to pay attention to sustainability in the process of supply chain and product development are much difficult to maintain core competitiveness. In this background, since sustainable supply chain can meet the needs of all stakeholders at the same time through balancing economic performance, social performance and environmental performance, it has caused widespread concern of society. The world’s standards and requirements on the sustainability of supply chain continue to increase in recent years. As a result, product eco-design emerged with the consensus and popularity of global sustainable development. It is at the beginning stage of sustainable supply chain, considering the influence of product whole life cycle on environment, plays a decisive role to the environmental performance of supply chains. Many countries including China have established relatively comprehensive eco-design incentive policies and measures, leading to the sustainable transformation of industries. However, the core enterprises in sustainable supply chains still face great challenges in China. The existing theoretical research is not enough to support and guide the enterprise eco-design practice. Study on operations management decisions of product eco-design in sustainable supply chain is extremely imminent. Therefore, starting from this reality, this dissertation studies the operations decisions for core enterprises to promote product eco-design in sustainable supply chain. Through literature review in the field, it is found that the existing literature provides rich references for the study of eco-design and sustainable supply chain. However, little literature focuses on combining eco-design with value creation and dynamic capability. Furthermore, the decision-making research of eco-design management process and effect from the perspective of sustainable supply chain is scarce. In view of the shortage of the existing research and the urgent demand of enterprise practice, the dissertation explores these issues from the following four aspects: first, for core enterprises in sustainable supply chain, how to realize value creation through the eco-design? Second, how do the core enterprises govern the sustainable supply chain to promote eco-design practice? Third, how do the core enterprises motivate members of the sustainable supply chain to carry out eco-design? Fourth, how can the core enterprises in sustainable supply chain improve the eco-design performance? In order to solve the above research questions, this dissertation comprehensively uses the exploratory case study method, mathematical model and the optimization method, DEA method to conduct the research in four aspects. Above all, this study uses an exploratory case study to illustrate the mechanism of sustainable value creation of eco-design. According to previous studies and case data, this dissertation proposes a new value creation system comprising three dynamic capabilities: internal integration, external integration and value chain operations. It also elaborates on the sustainable value stream and their reciprocities. Based on this system, a decision-making research framework for promoting eco-design in core enterprises is established. The decision-making research in this dissertation includes three studies. The first study is on the governance process of the core enterprises to the sustainable supply chain, reflecting the process decision-making utilizing the capabilities of internal integration and external integration. This study uses exploratory case study method to point out the governance environment, governance structure, and governance path of sustainable supply chain in turn. Data shows for sustainable supply chain, the core enterprise internal and external resources and capabilities are identified as governance foundation; resource restructuring, capability refactoring and value creation are identified as governance mechanism. The governance path contains three stages: the core enterprise's sustainable governance, supply chain members’ sustainable governance and supply chain ecosystem’s sustainable governance, reflecting the capability transformation from commitment, via connection and to consistency of Social Resource-based View. The second study is on the incentive mechanism of core enterprises to encourage supply chain members to implement eco-design, mainly reflecting the process decision-making utilizing external integration capability. In this study, Stackelberg model and optimization method are used to analyze the incentive effect of cost sharing mechanism and benefit distribution mechanism of sustainable supply chain on eco-design. Data shows in the case of suppliers as leaders, mechanism that manufacturers and suppliers share the cost of green innovation has little effective incentive for eco-design. In contrast, incentive effect of benefit distribution mechanism considering information sharing is significant. It can stimulate eco-design of supply chain partners when core enterprises increase green information sharing, and reduce sharing cost. The third study is on the decision-making research for core enterprises to improve the performance of product eco-design, mainly reflecting the effect decision-making utilizing value chain operations. On the basis of existing research, the eco-design process is divided into two stages: internal and supplier management (ISM) and open and collaboration (OC). The linked two-stage DEA model is used to evaluate the eco-design individual stage and the overall performance of fashion enterprises. DEA optimization results reveal that eco-design efficiency of fashion enterprises is high. Each stage efficiency and overall efficiency gradually converge year by year. That is to say, the annual gap is getting smaller. Increasing the weight of well-performed stage can significantly improve the efficiency of eco-design. From a variety of theoretical perspectives, this dissertation explores the operations decision-makings of promoting product eco-design in sustainable supply chain, facilitating to promote the management and deployment abilities of practitioners for eco-design. On the basis of the above study conclusions, the following four contributions and innovations are extracted: (1) This dissertation complements the capability-oriented operations management strategies, proposes the sustainable value-creation system for eco-design, aiming to inspire value creation consciousness and sustainable operations planning of corporate managers. (2) This dissertation reflects the dynamic management process of the resources in the sustainable supply chain governance, extends the theory boundary of resource and capability to interact, and enriches the theory of sustainable supply chain governance. (3) This dissertation creatively introduces information sharing into benefit distribution mechanism of supply chain members, adds to the incentive mechanism study of supply chain cooperation contracts to promote eco-design, provides a theoretical basis for its vigorous development. (4) This dissertation establishes the performance evaluation system of eco-design in sustainable supply chain, improves the application of the linked two-stage DEA method in sustainable supply chain management, and provides reasonable management solutions for improving the eco-design performance.
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