【作者】 高展；

【导师】 金润圭；

【作者基本信息】 华东师范大学 ， 世界经济， 2013， 博士

【摘要】 2013年3月5日,前国务院总理温家宝作政府工作报告时说,目前我国城镇居民每百户拥有家用汽车21.5辆。12013年2月,中国社科院发布第一份《中国汽车社会发展报告》,指出：未来10年内中国每100户家庭汽车拥有量将超过60辆。2汽车行业发展如日中天,但汽车行业环境责任问题不可回避。从研发设计,到能源使用、从控制污染,到回收产品,环境责任渗透到汽车行业的各个环节,环境责任必将对汽车行业的发展理念、前进方向、产业格局产生重要作用。跨国汽车公司环境责任实践开始较早,相比其它公司,它们的战略目标明确、短期行为较少,长年的环境责任实践数据披露为定量研究提供了第一手资料。因此,对跨国汽车公司环境责任进行深入研究,一方面可以充实环境责任相关理论,另一方面可以对跨国汽车公司环境责任实践提出建议,这一选题具有重要的理论和现实意义。论文的主要创新点包括：第一、跨国汽车公司环境责任与竞争力的经济学分析。传统观点之所以认为跨国汽车公司不应该承担环境责任,是因为责任会增加公司成本,降低竞争力,并且把这种推理当作是“天经地义”的(Friedman,1984)3。其实不然,既然把环境责任看作是公司的经济行为,那么就可以、而且应该用经济学的分析方法,从成本和收益的角度对上述推理进行检验。论文按照传统经济学的分析思路,贴近实际情况、拓宽假设条件进行理论修正,并由封闭经济体扩展到开放经济体进一步丰富修正。第二、跨国汽车公司环境责任与竞争力的博弈论研究。在环境责任问题上,跨国汽车公司面临两种博弈,一是成本与收益的博弈,二是决策与竞争对手反应的博弈。公司管理层关于环境责任的策略分歧,不在于应不应该履行环境责任,而是在于在什么时机、以什么力度履行环境责任,同时考虑竞争对手的反应。论文按照囚徒困境的解决思路,贴近实际情况,修正条件假设,并由单次博弈扩展到多次重复博弈,为公司管理提出建议。第三、跨国汽车公司环境责任指标建立。这部分将综合汽车行业流程特点,和联合国关于跨国公司环境责任指标逐层细化的思想,建立适合指标。这既是定性研究和定量研究结合的关键环节,也是在相关研究中的创新尝试,指标建立有助于量化研究问题,使之适用于计量经济模型。第四、跨国汽车公司环境责任与竞争力的的实证研究。为避免先验性错误,实证研究采用了两次回归检验的方式,一次以环境责任为自变量,一次以竞争力为自变量。论文考虑到本研究变量多、数据量大,既有横向组别比较、又有纵向时间序列联系的特点,常规的一元或多元线性回归不能解决这样的混合数据回归问题,决定采用静态和动态两种方式检验面板数据回归。两次检验、两种方式回归是论文的创新尝试。论文的主要结论包括：首先,从理论研究来看,经济学分析修正了传统观点：在开放经济体、寡头垄断市场条件下,当总收入的价格弹性大于总成本的价格弹性时,跨国汽车公司承担环境责任,会使产品市场价格上升,总收入和利润率水平也会因此上升,进而提高公司竞争力。博弈论研究总结了结论成立条件：跨国汽车公司应该“从政府或公众那里获得足够的责任奖励(即非理性奖励),提请政府或公众惩罚竞争对手的失责行为,且尽量缩短与竞争对手的单次博弈周期。其次,从实证研究来看,跨国汽车公司环境责任对竞争力影响方面：1、跨国汽车公司的环境责任履行,对其竞争力在总资产水平、利润率水平和市场占有率等方面产生影响；2、跨国汽车公司不同的环境责任指标,对其竞争力影响的程度(影响因子大小)、方向(正向或者逆向)各不相同、即使是跨国汽车公司相同的环境责任指标,对其竞争力影响也因滞后期的不同而变化；3、整体来说,跨国汽车公司环境责任,在短期内对其竞争力的逆向影响更明显、在长期内对其竞争力的正向影响更明显；4、跨国汽车公司环境责任对其竞争力长期影响的最大值出现在三年后,即第t年的环境责任表现对第t+3年的竞争力影响表现最明显。跨国汽车公司竞争力对环境责任影响方面：5、跨国汽车公司的竞争力,对其环境责任履行在研发设计、过程控制和最终产品等方面产生影响；6、跨国汽车公司不同的竞争力指标,对其环境责任影响的程度(影响因子大小)、方向(正向或者逆向)各不相同、即使是跨国汽车公司相同的竞争力指标,对其环境责任影响也因滞后期的不同而变化；7、整体来说,跨国汽车公司竞争力,在短期内对其环境责任的逆向影响更明显、在长期内对其环境责任的正向影响更明显；8、与跨国汽车公司环境责任对竞争力的影响不同,跨国汽车公司竞争力对环境责任长期影响的最大值出现在一年后,即第t年的竞争力对第t+1年的环境责任表现影响最明显。再次,从案例研究来看,吻合并丰富了理论、实证部分的研究结论。宝马(BMW)、通用(GM)和福特(Ford)等汽车公司的案例证实了环境责任中的研发设计因素与竞争力的相互影响；大众(Volkswagen)、沃尔沃(Volvo)、本田(Honda)和丰田(Toyota)等汽车公司的案例证实了环境责任中的过程控制因素与竞争力的相互影响；丰田(Toyota)、戴姆勒(Daimler)等汽车公司的案例证实了环境责任中的最终产品因素与竞争力的相互影响。三菱(Mitsubishi)汽车公司还提供了相关反证。更多还原

【Abstract】 On the5th2013, former Chinese Premier Wen Jiabao said in the government work report that, now chinese car ownership per100urban households stood at21.5.4In February2013, the Chinese Academy of Social Sciences released the first automotive social development report, and pointed out:in the next10years, car ownership for every100households will be over60.5The development of the automotive industry appears to be rising, but the environmental responsibility of automotive industry can not be avoided. The environmental responsibility involves various aspects of the automotive industry, from R&D to energy use, from pollution control to product recycling. Environmental responsibility is bound to play an important role in the develop concept, forward direction and industrial pattern of the automotive industry.Compared to other companies, the environmental responsibility practices of transnational auto companies began earlier, with their more clear strategic goal and less short-term behavior, beyond which, years of environmental responsibility practice and disclosure of quantitative research provide us first-hand information. Therefore, in-depth study of environmental responsibility of transnational auto companies, on the one hand, could enrich environmental responsibility theory, on the other hand, could make recommendations for the environmental responsibility practices of ransnational auto companies. The theoretical and practical importance is so significant.The main innovations of this paper include:First, the economic analysis of environmental responsibility and competitiveness of transnational auto companies. Traditional view holds that transnational auto companies should not assume the environmental responsibility, because that responsibility will increase the companies’costs, decrease their competitiveness, which is taken for granted.(Friedman,1984)6. But in fact, it is not true, since environmental responsibility coul be seen as companies’economic behavior, then we could and should test that view with the methods of economic analysis, from the point of cost and benefit. This paper correct that view by broadening the theory assumptions, which is more close to the actual situation, in accordance with the traditional economics analysis, and then further enriched the correction by extending the closed economy to the open economy.Second, the game study of the environmental responsibility of transnational auto companies and competitiveness. On the issue of environmental responsibility, transnational auto companies face two games, one is the game of cost and benefit, the other is the game of decision-making and competitors’reaction. Administrators’divergence on environmental responsibility, does not lie in environmental responsibility should or should not be taken, but rather in what timing, what efforts to fulfill the environmental responsibilities, meanwhile taking into account the reaction of competitors. This paper make recommendations for the administrators by broadening the theory assumptions, which is more close to the actual situation, and extending a single game to repeated game, in accordance with the Prisoner’s Dilemma Solutions.Third, the establishment of environmental responsibility indicators of transnational auto companies. This part consolidate characteristics of auto industrial process and the United Nations’layer by layer refine ideas about the indicators of transnational environmental responsibility. Establishment of suitable indicators is not only the key link between the qualitative research and quantitative research, but also an innovative attempt. Indicators establishment is helpful to quantify the research questions and be applied to econometric models. Fourth, the empirical study on the environmental responsibility and competitiveness of transnational auto companies. To avoid priori error, the empirical study use twice regression way, once with the environmental responsibility as independent variable, once with the competitiveness as independent variable. Sample contains lots of variables and data, which accompanied by the horizontal group comparion and characteristics of the longitudinal time series. Conventional monohydric or polyhydric linear regression can not solve mixed data regression like this. So paper decides to adopt the static and dynamic way to verify this panel data regression. Two-way, twice test is another innovative attempt.The main conclusions of the paper include:First, from the point of theoretical study, economic analysis corrects traditional view:in open economies and oligopolistic market conditions, when the price elasticity of total revenue is greater than the the price elasticity of total cost, transnational auto companies assume environmental responsibility, could make the market price rising, with total revenue and profitability levels therefore increasing, thereby increase the company’s competitiveness. Game Theory summarizes the conclusions established conditions: transnational auto companies should obtain from the government or public adequate responsibility awards (ie, non-rational incentive), submit the government or the public to punish the default behavior of competitors, and shorten the single game cycle with competitors as much as possible.Second, from the point of empirical study, On the aspect of the impact of environmental responsibility of transnational auto companies on the competitiveness:1, the assument of environmental responsibility of tansnational auto companies impacts their competitiveness, in terms of level of total assets, level of profitability and market share;2, the impact extent (impact factor size), direction (forward or reverse) varies within the different environmental responsibility indicators of transnational auto companies. Even for the same environmental responsibility indicators of transnational auto companies, their impact on the competitiveness also varied due to the different lag;3, overall, in the short term, the reverse impact of environmental responsibility of transnational auto companies on their competitiveness is more obvious. Conversely, in the long-term positive impct is more obvious;4, the maximum long-term impacts on the competitiveness of environmental responsibility of transnational auto companies appears three years later, the environmental responsibility performance of t year, whose impact on the competitiveness of t+3year is the most obvious.On the aspect of the impact of the competitiveness of transnational auto companies on environmental responsibility:5, the competitiveness of tansnational auto companies impacts their environmental responsibility, in terms of R&D, process control and final product;6, the impact extent (impact factor size), direction (forward or reverse) varies within the different competitiveness indicators of transnational auto companies. Even for the same competitiveness indicators of transnational auto companies, their impact on the environmental responsibility also varied due to the different lag;7, overall, in the short term, the reverse impact of competitiveness of transnational auto companies on their environmental responsibility is more obvious. Conversely, in the long-term positive impct is more obvious;8, Unlike the impact of environmental responsibility of transnational auto companies on the competitiveness, the maximum long-term impacts on the environmental responsibility of ness of transnational auto companies appears one year later, the competitive performance of/year, whose impact on the environmental responsibility of t+3year is the most obvious. Third, from the point of casel study, which consist and enrich the conclusions of theoretical and empirical study. The case of the BMW, GM and Ford auto’companies confirmed the interaction between R&D factors of environmental responsibility and competitiveness; The case of Volkswagen, Volvo, Honda and Toyota auto companies confirmed the interaction between process control factors of environmental responsibility and competitiveness; The case of Toyota, Daimler auto companies confirmed final product factors of environmental responsibility and competitiveness. The case of Mitsubishi auto company also provides evidence to the contrary.更多还原