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论文编号：	8573
作者编号：	1120120765
上传时间：	2016/6/20 15:38:57
中文题目：	生产者责任延伸制度下可持续供应链治理机制研究
英文题目：	Governance Mechanism of Sustainable Supply Chain under the Extended Producer Responsibility
指导老师：	李勇建
中文关键字：	可持续性 生产者责任延伸制 政府规制 企业社会责任 供应链治理
英文关键字：	sustainability; extend producer responsibility; government regulation; corperate social responsibility; supply chain governance
中文摘要：	生产者责任的延伸是合法化和环保化时代演化形成的可持续发展主题，生产者责任延伸制度（EPR）的实施是企业应对经济形态变化的重要举措。尽管企业社会责任实践活动证实了生产者责任延伸的价值，然而鲜有研究从供应链治理层面探索生产者责任延伸制度实施过程中的内在机理问题。由此，本文聚焦生产者责任的延伸这一可持续发展主题，从可持续供应链治理视角，探索生产者责任延伸制度实施过程中的可持续供应链治理的形成和作用机制问题，以促进生产者责任延伸制度实施的制度化和机制化。通过对可持续性、生产者责任延伸制、政府规制、企业社会责任和供应链治理等核心概念的界定，本文综述了国内外生产者责任延伸制度领域和可持续供应链治理领域的相关研究主题。在此基础上，本文确定了整体研究的逻辑框架，即以EPR下可持续供应链治理机制的构建为逻辑起点，以可持续供应链治理机制的实施为重点研究内容。 依据以上逻辑框架，本文的具体研究内容有： 1.EPR下可持续供应链治理机制构建问题的研究。依据供应链治理分析的逻辑框架，本文基于组织均衡理论和层次需求理论，构建了可持续供应链治理的动力机制。从治理目标、治理规制、治理主体、治理客体、治理结构、治理模式六个层面，本文构建了可持续供应链治理的实现机制，进而形成了EPR下可持续供应链治理框架。最后，为了检验可持续供应链治理框架的外部效度，本文选取了H&M的七项可持续性承诺案例作为分析对象，重点探究了H&M公司自己供应链系统的治理结构和治理模式，并总结出公司内部和外部治理的影响因素和供应链治理机制，全面探讨了可持续供应链治理框架的实际应用情况。 2.宏观规制下治理机制实施问题的研究。基于全国中央政府和十二个省“环保类法律法规文件”的系统统计分析，本文概述了我国EPR相关法律法规制定情况。从法律规定、行政法规、部门规章、地方公文和国家标准五个方面，本文归纳出了我国EPR制度的法律渊源。最后，为了探究EPR立法体系背后所蕴含的权势和意识形态，本文对法规全文进行编码及内容分析，指出了政府法律规制体系中对于EPR相关问题的总体态势，明确了政府的工作重点，以及未来规划方向，为企业合法性治理机制的有效实施提供政策依据。 3.供应链合作下治理机制实施问题的研究。基于供应链治理理论，本文外化政府法规的影响作用，针对个体生产者责任模式和集体生产者责任模式，分别构建了非合作博弈模型和合作博弈模型。通过对博弈模型的求解，分别给出了两种模式下企业污染治理技术投入水平的最佳决策。最后，通过对治理模式和决策因素的分析，本文探讨了核心企业之间生产技术的差距，以及相互依赖程度对企业的污染治理决策的影响机理。 4.政府规制下供应链治理机制实施问题的研究。考虑到中国当前环境规制背景，本文内化了政府法规的影响作用，对比分析了污染费和环境税两种模式的差异。论文构建了政府、核心企业和供应商的博弈模型，并分别给出了两种模式下决策主体的最优决策。最后，以政府的税费激励机制、核心企业的价格调控机制和供应商的污染治理努力机制为重点，阐述了治理机制的实施情况。 基于以上研究内容，本文得出四个主要结论：一是EPR下可持续供应链治理的演变是组织效率化和市场合法化的结果，组织效率化的提升是企业开展可持续供应链治理的内部“诱因”动机，市场合法化的获取是企业开展可持续供应链治理的外部“需求”动机。二是政府目前对EPR实施工作投入的力度比较薄弱，固废产业的投资和发展是政府EPR法规体系的规划重点，以及实施主体的权责明晰是政府EPR法规体系的规划重点。三是核心企业间的EPR实施模式选择受到企业间生产技术差距以及相互依赖程度的影响，强技术差距和强依赖性更容易导致CPR模式的产生，而IPR模式更容易出现在关系依赖性较低和技术水平相当的企业当中。四是税费机制、价格机制和努力机制的融合是EPR实施的关键路径，其中税收模式更能实现供应链整体效益的最优。 综上，本文基于供应链的治理层面创新性提出了由动力机制和实现机制构成的EPR下可持续供应链治理机制框架，并探讨了治理机制的实施机理。具体创新点主要有：一是本文从可持续供应链治理视角研究EPR实施过程中的机理性问题，推动了EPR实施的制度化和机制化研究。二是本文从效率性和合法性两方面识别了可持续供应链治理动力机制；通过治理结构的演进特性识别了供应链治理的动态演化实现机制。三是本文提炼出了可持续供应链治理影响EPR实施的作用机制，促进了EPR实施和可持续供应链治理理论发展。
英文摘要：	Extended producer responsibility (EPR) is a sustainable development topic in the era of legalization and environmentalization, and the EPR implementation is an important measure to deal with economic changes. Although EPR is already proved to be valuable, few studies have been done to explore its internal mechanism from the perspective of supply chain governance (SCG). This dissertation studied the developing and functioning mechanism of sustainable supply chain governance during EPR implementation process to promote the institutionalization and mechanism of such phenomena. Based on construction of sustainable supply chain governance (SSCG) mechanism under EPR, this dissertation explores the mechanism of EPR implementation via the SSCG theory from three dimensions of macro regulation, supply chain cooperation and government regulation.With definition of key concepts, such as sustainability, extended producer responsibility, government regulation, corporate social responsibility and supply chain governance, this dissertation reviews issues in the era of EPR and SSCG. On this basis, this dissertation defines the logical framework of the research. Namely the building of SSCG mechanism is the logical starting point, and the implementation of SSCG mechanism is the focus study. According to the above logic framework, this dissertation explores four specific research contents as following: Firstly, this dissertation studies the construction of SSCG mechanism. Based on the logical framework of SCG, this dissertation constructs the incentive mechanism of SSCG based on the theory of organizational equilibrium and hierarchy of needs. Then, from the six aspects of governance, such as goal, regulation, subject, object, structure and mode, this dissertation constructs the realization mechanism of SSCG and the framework of SSCG. Finally, in order to verify the external validity of SSCG framework, this dissertation selects H&M as a case. Study on the corporate governance structure and governance mode of H&M’s sustainability governance, this dissertation summarizes the internal governance factors and governance mechanisms. Secondly, this dissertation discusses the implementation of the governance mechanism under macro regulation. Based on the statistic of laws and regulations documents on EPR and environmental protection form the central government and the twelve provinces, this dissertation summarizes the legal origin of China's EPR system from five aspects, such as law, regulations, departmental rules, local official documents and national standards. Finally, in order to explore the power and ideology of government legislative system, this dissertation studies the law text via the method of content analysis, and points out the overall situation, the focus work and the future direction of the planning for EPR. Thirdly, this dissertation explores the implementation of the governance mechanism in the supply chain cooperation. From the perspective of SCG and game theory, without considering the effect of government regulations, this dissertation builds the individual producer responsibility (IPR) model of non cooperative game model and collective producer responsibility (CPR) mode of cooperative game model. By solving the model, this dissertation gives the optimal decision making of firm pollution control technology in IPR and CPR modes. Finally, through the analysis of governance model and decision-making factors, this dissertation discusses the impact mechanism of the gap between the core firm production technology and mutual dependence degree on firm pollution control decision-making. Fourthly, this dissertation researches the implementation of SCG mechanism under the government regulation. Taking into account the background of China's current environmental regulation, this dissertation internalizes the impact of government regulations, and compares the differences between two modes of pollution fees and environmental taxes. This dissertation constructs the game model of the government, the focal firm and the supplier, and gives the optimal decision-making of the decision-making body in two modes. Finally, by analying the interaction effect among tax mechanism, price mechanism and effort mechanism, this dissertation explores the implementation mechanism of the sustainable supply chain governance. Based on the above research, this dissertation summarizes four conclusions: Firstly, the evolution of SSCG under EPR results from market legalization and organization efficiency. Organization efficiency is internal incentive motivation lead to SSCG, and market legalization is external demand motivation result in SSCG. Secondly, government effort on EPR implementation is relatively weak, the investment and development of solid waste industry will be the EPR working focus of government regulations, and the clarity of rights and responsibilities among enterprises is EPR planning focus of government regulations. Thirdly, EPR model choice depends largely on technology gap and degree of reliance among enterprises, large technological gap and strong degree of reliance make CPR mode more applicable, whereas, IPR mode is more likely to be adopt among comparable companies with weak degree of reliance. Fourthly, the integration of tax-fee mechanism, price mechanism and effort mechanism is the key way to implement EPR, and the tax model can achieve the best efficiency of the whole supply chain as to fee model. In summary, from the perspective of supply chain governance, this dissertation presents sustainable supply chain governance framework is composed of dynamic mechanism and realization mechanism. Moreover, this dissertation explores the implementation of governance mechanism. Specifically, this dissertation contributes three innovation points: Firstly, this dissertation extractes the mechanism of EPR implementation from the perspective of SSCG, promoting the institutionalization and mechanism of EPR implementation. Secondly, this dissertation identifies the dynamic mechanism of SSCG via analysis of efficiency and legitimacy, and the dynamic evolution mechanism of SSCG through by the analysis of governance structure.Thirdly, this dissertation concludes the functioning mechanism of SSCG to influence EPR implementation，which helpes promote the development of EPR implementation research and the further research of SSCG.
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