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论文编号：	7531
作者编号：	1120100751
上传时间：	2015/6/11 16:57:34
中文题目：	制造型供应链绿色生产驱动因素及运营策略研究
英文题目：	Research on Driving Factors and Operational Strategy of Green Production in the Manufacturing Supply Chain
指导老师：	李勇建
中文关键字：	绿色供应链管理；绿色生产；驱动因素；优化模型
英文关键字：	Green Supply Chain Management; Green Production; Driving Factors; Optimization Model
中文摘要：	20 世纪中后期，随着经济全球化和世界经济进程的加快，传统的以自然环境破坏和资源过度使用为代价的经济发展模式导致了日趋严重的资源耗竭与环境恶化现象，资源和环境的压力已经成为 21 世纪人类面临的最大挑战。面对经济发展和资源节约、环境保护之间的目标冲突，人们开始对工业化时代的传统经济发展模式进行深度反思，希望能够寻求一种发展模式，实现资源、环境和经济的协调发展。在这样一种背景和发展需求下，可持续发展的观点应运而生。作为一种既能满足当代需求又能实现后代持续需要的发展模式，可持续发展理念自诞生之日起就迅速成为世界各国和地区的关注焦点，一场以可持续发展为目标的绿色革命随之展开，这股浪潮渗透到经济、社会、生活的各个领域并最终席卷全球。21世纪的经济发展正逐步从传统的以资源和环境为代价的发展模式向可持续理念为核心的绿色发展模式转化。发展绿色经济已成为全球经济变革演化的方向。面对资源和环境的双重压力，我国传统的以高投入、高消耗、高污染和低效益为主要特征的粗放型经济发展模式已经不能适应绿色循环经济的发展需求。基于当今生态环境和自然资源的现状，如何转变发展方式，实现绿色发展，成为我国企业，尤其是与与资源、环境联系紧密的制造企业迫切需要解决的问题。 为了实现我国乃至世界各国的“绿色化”可持续发展目标，对制造型绿色供应链提供事前管理建议，本研究在梳理和把握国内外研究进展和实践经验的基础上，分析绿色供应链管理在我国的应用和进展，基于解释结构模型，探索影响供应链绿色生产的深层驱动因素；之后以博弈理论和优化理论为工具，构建不同驱动因素影响下的绿色供应链博弈模型，探讨消费者、合作企业、政府等参与主体对于绿色供应链发展的驱动作用，从微观-中观-宏观的层次对绿色供应链的驱动因素及决策机制进行探讨。 论文的主要内容包括以下四个方面： （1）供应链绿色生产驱动因素的识别与分析。本研究探索性地构建了供应链绿色生产驱动因素的系统分析框架。通过文献分析和专家访谈，识别出15个影响绿色生产的关键因素。在因素识别的基础上，基于解释结构模型，通过对要素之间关系的推理和运算，探索影响供应链绿色生产实践的因素之间的结构关系，确定各因素的层级划分，识别出驱动供应链绿色生产的深层因素，为后续章节的分析奠定理论基础。 （2）在微观层次，以绿色市场开发初期为背景，通过建立消费者效用异质化条件下的决策模型，分析消费者对于制造商采取绿色运营策略的驱动作用，探讨核心企业制造商对于是否进行绿色运营的战略思考以及如何进行绿色运营的策略选择。结果表明：消费者的绿色偏好一定程度上能够驱动制造商进行绿色生产，其对绿色生产的驱动作用与产品性质和既有普通产品的边际收益有关。在功能型市场中，只有当绿色生产能够带来边际生产成本下降时，制造商才会主动进行绿色运营，获取与只生产普通产品相比更高的利润。在创新型产品市场中，制造商进行绿色运营的意愿更为强烈，即使绿色生产要比普通产品付出更高的边际成本，制造商在一定程度上也会愿意主动进行绿色改进。 （3）在中观层次，针对制造商和供应商合作进行绿色生产时的机会主义风险，从治理机制的视角出发，构建不同合作机制作用下的委托代理模型，分析作为核心企业的制造商和其上游供应商应当运用何种治理机制实现供应链绿色效益最大，探讨合作伙伴绿色化对于其他成员绿色运营的驱动作用。结果表明：供应链成员可以通过适当的合作机制推动/激励参与企业积极从事绿色运营，实现其生产活动与环境相容的目标。在本文的两种治理机制中，关系治理机制在绿色供应链运营中更有效率。其相对于正式契约治理机制而言，更能够改善供应链成员的绿色生产水平，抑制成员的机会主义行为倾向，同时提高供应商和制造商双方的运营绩效。而且无论贴现率如何变化，制造商都能够通过变动收益分享比例来保证保证关系治理机制的有效性。 （4）在宏观层次，从社会化治理的角度，在考虑外部参与主体——政府的情况下，基于补贴的规制手段分析政府在绿色供应链运营中的激励政策。文章通过两阶段博弈模型，探讨了政府应当设计怎样的奖励机制才能够调动企业的积极性，有效引导核心企业开展绿色运营，达到社会化的治理效果。结果表明：政府补贴政策能够在一定程度上激励核心企业采用绿色生产方式。在给定政府补贴力度的前提下，核心企业存在最优的生产数量和产品绿色度水平，其绿色生产水平与产品边际收益正相关。此外，政府可以通过合理的补贴手段实现社会福利最大化，且要远远大于政府不补贴时所能获得的最优社会福利。 本文的创新之处主要体现在以下三个方面： （1）在研究视角上，本研究选择我国供应链绿色生产驱动因素的影响路径和作用机制作为研究对象，基于解释结构模型深入挖掘各因素的作用层次和影响机制，研究视角具有创新性。 （2）在研究内容上，本文将绿色供应链的驱动因素、作用激励和绿色运营战略通过治理的分析视角联系起来。从微观-中观-宏观的层次不仅探讨了三个驱动主体对于供应链绿色生产的影响，还通过深入挖掘各因素的影响路径，并借助数学模型加以刻画，获得了供应链绿色生产的优化策略和相应的决策机制。 （3）在研究方法和工具上，采用定量的数理模型对影响供应链绿色运营的驱动因素进行分析，包括委托-代理模型、两阶段博弈模型等，拓展了绿色供应链的研究领域和方法。
英文摘要：	Since the middle of the 20th century, with the rapid development of the economic globalization and the world economy, the traditional economic development pattern, which is at the cost of environment destruction and excessive consumption of resources, has been inducing increasingly severe problems like resource depletion and environmental pollution. Hence, resource and environmental issues strikingly challenge human beings nowadays. Given the conflicts between economic development and resources conservation, environment protection, people are starting to introspect the traditional development mode and looking for an upgrade which harmonizes resources, environment, and economy. In this context, sustainable development, which accords the needs of the present as well as the future generations, attracts people’s attention. Green revolution aiming at sustainable development takes place throughout the world, involving every aspect of economy and society. Thus, a transformation is happening towards green development. Building a green economy is a worldwide mission. Under the dual pressures of resources and environment in the 21st century, China’s conventional mode of economic growth, which is featured as “three highs” – high input, high consumption, and high pollution – and “one low” – low efficiency, has come to an end. Considering the present conditions of environment and resources, China’s firms, especially manufacture firms which are tightly linked to resources and environment, should solve the imminent problem of the transformation of development mode and implementation of green development. This dissertation tries to provide management suggestions for green supply chains in the manufacture sector, thus contributing to the implementation of sustainable development around the world. Specifically, I examine the development path of green supply chain in China. I also refer to the frontier experiments and studies, and use interpretative structural modeling method (ISM) to explore the most rooted driving factors of green supply chain management. Then, with the tool of game theory and optimization theory, game models are built to investigate what roles consumers, cooperative firms, and government play in the development of green supply chain. Driving factors and decision-making mechanism are discussed at micro, medium, and macro levels. The dissertation consists of the following four sections: (1) The study tries to construct a system analysis framework of exploring driving factors of green supply chain management. 15 key driving factors are identified through the literature review and expert interviews. Then, based on the analysis of the relationship among these factors and calculation by ISM, I find the level of each factor and identify the most rooted factors of green production in the supply chain. Overall, this section establishes theoretical foundation for further studies in later parts. (2) At the micro level, the dissertation analyzes the influence of consumers on the manufacturers’ green operation strategy selection in the context of early developed green market. The decision-making model is established under the conditions of consumer utility heterogeneous. The results show that consumers’ green preference stimulates the manufacturer’s intention of green production to some extent. And the customers’ influence is related to the characteristics of the green products and the marginal revenue of ordinary products. In the functional product market, the manufacturers will not introduce the green operations unless they could help to reduce the production cost. In the innovative product market, on the contrast, manufacturers are more likely to adopt green operations even though they might generate higher production cost. (3) At the medium level, considering the opportunism risk in the cooperation between manufacturers and suppliers, principal-agent models are built under different cooperation mechanisms. Models are used to analyze what kind of governance mechanism the manufacturer should take to maximize the whole green supply chain performance. The effect of partners’ greenization on other members’ green operations selection is also investigated. The results indicate that cooperation between supply chain members can drive or stimulate firms to actively engage in green operations, and thus achieve an objective of production activities compatible with the environment. In the two governance mechanisms discussed in this paper, relationship governance mechanism is more efficient in green supply chain operations. Compared with formal contractual governance mechanisms, it improves green production levels of the supply chain members, inhibits members’ opportunism behavior tendencies, and improves operations performance of the green supply chain. Moreover, regardless of changes in the discount rate, manufacturers are able to ensure the effectiveness of governance mechanism by modifying the revenue sharing proportion. (4) At the macro level, an external participant – government is taken into account. From the perspective of social governance, government’s incentives by means of subsidies for the green supply chain are analyzed. With a two-stage game model, the paper explores how to design government incentives so as to mobilize the enthusiasm of enterprises, thus to guide enterprises to develop green operations and achieve social governance effects. The results suggest that government subsidies could encourage core enterprise to adopt green production technology to some extent. Under the premise of given government subsidies, the enterprise has an optimal production quantity and green degree of products. The green production level is positively correlated with the product marginal revenue. Government can maximize social welfare through reasonable subsidies. And in this case, social welfare is far larger than that without government subsidies. The innovation of this dissertation is mainly reflected in the following aspects： (1) In terms of research perspective, the dissertation focuses on the influence path analysis of driving factors. Based on the interpretative structural model, the levels of these factors and their driving mechanism are explored, which makes an innovative perspective of research. (2) In terms of research contents, the dissertation associates driving factors, the role of incentives, and green operation strategies in the green supply chain from a perspective of governance. The study discusses driving factors and decision-making mechanism of green supply chain at the micro, medium, and macro level. (3) As to research methods and tools, the dissertation applies mathematical models, i.e. the principal-agent model and two-stage game model, to analyze the driving factors which influence green operations of the supply chain. By using these models, the research area and method of green supply chain are expanded.
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