【作者】 田一辉；

【导师】 朱庆华；

【作者基本信息】 大连理工大学 ， 环境管理， 2013， 博士

【摘要】 随着工业文明的不断发展,人类工业活动造成了越来越多的生态环境问题,各种大范围的气候变化、环境污染、水土流失以及生态系统破坏等全球性环境灾害接踵而至。人们开始关注经济快速发展所带来的生态环境破坏及其产生的恶果,并不断地寻求方法,能够减少和消除工业企业运营过程中对生态环境造成的负面影响。绿色供应链管理作为一种系统的企业环境管理措施,逐渐成为能够综合地提升企业经济、环境和社会绩效的重要环境管理策略和战略。在工业发达国家里,政府和非营利组织已经出台了政策、法规以及标准,如欧盟2005年8月13日实施的WEEE指令和和2006年7月1日实施的RoHS指令,促进和规范企业实施绿色供应链管理。许多国际领先企业也开始引入了绿色供应链管理的理念和措施,构建企业自身的绿色供应链管理体系,促进供应链上下游企业开展环保实践。近二十年来,世界工业大发展和全球经济一体化也促进了中国经济的空前发展。大量供应链上的制造环节向中国等发展中国家的转移,为当地经济的发展提供了很多的机会,但同时也对当地的自然生态环境造成了越来越多的污染和破坏。在这种背景下,些中国的出口企业和合资企业由于受到国外环保法规以及领先企业的影响,开始尝试绿色供应链管理等创新性的环境管理实践来应对这种变化,并且将这些环境管理措施向供应链的上下游扩散。中国政府也借鉴国外的先进经验制定了一系列的政策法律规范,鼓励企业采取绿色供应链管理实践。但是,由于实施成本较高和实施的复杂性等原因,绿色供应链管理在中国企业中的实施水平相对较低,同时在企业间的普及率也相对较差。基于此,了解企业如何在不同因素影响下实施绿色供应链管理等环境管理措施,将会为促进绿色供应链管理在企业间的传播和政府扩散政策的制定提供更加合理的建议。本文采用现状分析—理论建模—对策剖析的研究结构探究绿色供应链管理扩散机理,以中国企业绿色供应链管理现状分析为出发点,利用复杂系统等理论和方法剖析了企业群体内外因素对绿色供应链管理扩散的影响规律。在上述基础上,利用系统动力学和演化博弈分析政府对绿色供应链管理扩散的作用机理。首先,本文通过对国内外文献的研究界定了绿色供应链管理扩散的概念和特性,并基于创新扩散理论,利用Bass模型对选定的绿色供应链管理实践的样本数据进行拟合,分析了中国企业绿色供应链管理扩散现状。在此基础上,本文构建了绿色供应链管理扩散系统框架和扩散模型的研究框架,对绿色供应链管理扩散影响因素和扩散流程进行了总结,明确了绿色供应链管理扩散模型的两部分主要研究内容——企业间绿色供应链管理的扩散模型和政府对绿色供应链管理扩散的影响模型。其次,本文对企业内外部因素对绿色供应链管理扩散的影响规律进行研究,剖析了企业间绿色供应链管理的扩散机理。在建立企业实施绿色供应链管理决策动力模型的基础上,利用复杂系统理论构建企业间绿色供应链管理扩散模型,对企业群体规模、不同类型企业相互作用,社会规范压力以及企业群体外部因素的影响进行分析。研究结果表明：供应链上下游企业的相互影响和企业受到的社会规范压力都会促进绿色供应链管理的扩散速度和最终实施绿色供应链管理企业比例；企业群体规模的增大会加快扩散速度,但是最终实施企业比例呈周期性下降。最后,本文研究了不同因素影响下政府对绿色供应链管理扩散的驱动作用,剖析了政府对绿色供应链管理扩散的驱动机理。通过建立政府补贴下的竞争企业间绿色供应链管理扩散三阶段演化模型,开发了补贴额度与社会福利、绿色产品销量和实施绿色供应链管理企业比例的关系函数。同时,利用系统动力学对演化博弈模型进行完善和补充,仿真模拟结果发现：政府对购买绿色产品的消费者或对实施绿色供应链管理的企业进行补贴,均会促进绿色供应链管理在企业间的扩散,但是政府对企业补贴的效果优于对消费者的补贴；另外,消费者环保意识的提高会大大促进绿色供应链管理的扩散。研究结果可以为政府制定绿色供应链管理扩散促进政策提供科学的依据和决策支持。更多还原

【Abstract】 With the continuous development of industrial civilization, human industrial activities have resulted in a growing number of environmental problems, such as a variety of large-scale climate change, environmental pollution, soil erosion, ecosystem damage and other ensued global environmental disasters. People began to turn attention to ecological destruction and the resulting consequences due to the rapid economic development, and have continually searched for the methods which can minimize and eliminate negative impacts on ecological environment of operation processes of industrial enterprises. Green supply chain management (GSCM), as a systematic environmental management approach, has become an important corporate tactic and strategy to comprehensively enhance the enterprises’ economic, environmental and social performances. In industrialized countries, governments and non-profit organizations have formulated policies, regulations and standards such as WEEE Directive implemented on August13,2005and RoHS Directive implemented on July1,2006in order to promote and standardize GSCM implementation. Many leading international companies have brought the concept and measures of GSCM to build their GSCM system in order to promote upstream and downstream enterprises in a supply chain to carry out environmental practices.In the past two decades, the global industrial development and economic integration have contributed to the unprecedented development of the Chinese economy. A large number of manufacturing sectors in the supply chains have been transferrd to China and other developing countries, which has provided a lot of opportunities to the development of local economy while causing more pollutions and destructions on the local ecological environment. In this context, under the preasures of foreign environmental laws and regulations as well as the leading companies, some of Chinese export enterprises and joint ventures began to adopt GSCM and other innovative environmental management practices, and diffuse these environmental management measures across supply chains. The Chinese government also has learnt from foreign advanced experiences to formulate a series of policies and legal norms to encourage enterprises to implement GSCM. However, due to the high cost and the complexity of implementation, GSCM in Chinese enterprises is adopted at a low level, while the implementation rate is relatively poor.Based on this, it is important to understand how enterprises implement GSCM and other environmental management measures under the influence of different factors which can provide more reasonable proposals to make the policies of promoting the transmission and diffusion of GSCM. In order to explore the diffusion mechanism of GSCM, the research framework of "Reality analysis-Theory modeling-Countermeasure analysis" is adopted. This thesis starts with the status quo of the GSCM diffusion among Chinese enterprises; then, analyzes internal and external factors of enterprise group and their influencing rules of GSCM diffuiosn with the complex system theory; at last, explores the government driving mechanism of GSCM diffusion with the methods of system dynamics and evolutionary game.Firstly, based on the literature study, the research defines the concept and features of GSCM diffusion, and analyzes current situation of Chinese GSCM diffusion by utilizing the Bass model to fit the sample data of selected GSCM practices. Then, the thesis builds up the system framework and research framework of GSCM diffusion to summarize the influencing factors and GSCM diffusion processes, and clarifies two main contents of GSCM diffusion model including GSCM diffusion model among the enterprises and the influence model of the government.Secondly, the thesis explores the GSCM diffusion mechanism among the enterprises by analyzing the internal and external factors of enterprises. Based on the establishment of the decision-making dynamic model of GSCM, the thesis builds the GSCM diffusion model among enterprises with the use of complex system theory in order to dissect the influences of the size of enterprises group, the interaction of different types of enterprises, social pressures on GSCM diffusio, and external facotrs of the enterprises gourp.The results show that the interactions of upstream and downstream enterprises and the social pressures will increase the diffusion rate of GSCM and the proportion of the enterprises which implement GSCM. Moreover, the increasing size of enterprise group will accelerate GSCM diffusion, but cyclically decline the proportion of the enterprises with GSCM.Finally, the thesis explores the government driving mechanism of GSCM diffusion under the influence of different factors. So as to describe the impacts of price subsidies on the social welfare, the sales of green products, and the proportion of the enterprises which implement GSCM, the research establishes a three-stage game model of GSCM diffusion among competitive enterprise based on the price subsidies of the government. Meanwhile, the establishment of a system dynamics model can complement and improve the evolutionary game model, and the numerical simulation results show that the government subsidies to the consumers who buy green products or the enterprises which implement GSCM can promote GSCM diffusion among enterprises. In addition, the consumers’ environmental awareness will greatly facilitate the diffusion of GSCM. The results provide insights into the government’s decision-making of promoting GSCM diffusion.更多还原