【作者】 朱文兴；

【导师】 卢福财；

【作者基本信息】 江西财经大学 ， 管理理论与企业管理， 2013， 博士

【摘要】 在发展经济的同时,高度重视保护生态环境,是摆在我国面前的一项重要使命。为谋求产业与资源环境有机平衡发展,需要建立类似于自然生态系统的工业生态系统,在企业之间组建物质和能源循环利用网络,以一体化的生产方式取代传统的简单化生产方式,减少或消除工业活动对环境的影响,而循环经济作为一体化循环模式顺应了时代发展要求,从根本上提供了解决资源循环利用与经济协同发展的现实路径。当前解决工业废弃物循环利用的主要途径有两条：企业内循环和企业间循环。企业内工业废弃物循环利用主要通过“无废工艺”、“清洁生产”、“生产责任的延伸”、“绿色设计”等手段,提高资源的综合利用率。但企业内循环受主营业务、规模效应、跨行业经营等各种内外资源限制,生态产业链较短,难以形成废弃物的闭环网络。显然,工业废弃物循环利用网络就成为资源综合利用最有效的生态组织形式,上游生产过程中产生的废弃物作为下游生产过程的原材料,不同企业之间形成资源共享和废弃物互换的共生组合,实现资源综合利用及最优配置。目前,虽然我国建设了一批生态工业示范园、循环经济实验区,但真正在企业间形成工业废弃物循环利用网络却不多见,跨产业的能源、水等资源的梯级利用,物料和废弃物循环利用的生态链处于断裂状态；促进跨企业生产工艺横向耦合、物料多级利用的机制还没有形成；废弃物处理设备的闲置与缺乏并存；购买新原料和综合处理废弃物费用之间难以权衡,相关法律、法规的不完善使得一些企业宁愿选择承担直接排污成本,也不使用这些废弃物作原料；上游废弃物供应企业和下游废弃物处理企业,以及政府与企业之间存在明显利益冲突,既得利益企业与争取利益企业之间利益关系难以协调。形成上述现象和问题的本质根源是成员企业间的利益关系未理顺,利益冲突严重制约着工业废弃物循环利用网络的有效运行。因此,研究促进工业废弃物循环利用网络利益协调机制,梳理成员企业间的利益关系,化解冲突风险及压力,评价不同利益协调机制的效果,分析不同利益协调机制的耦合共生就具有重大理论和现实意义。本文以工业废弃物循环利用网络企业间利益协调机制为题,在文献综述基础上,依据网络理论、产业组织、制度经济学、协调论及利益论等理论,采用一般均衡、博弈论、多目标规划、聚类分析、因子分析及回归分析等研究方法和手段,紧扣工业废弃物循环利用网络内涵及本质特征,沿着“利益关系——关键因素——利益冲突——利益协调”的研究思路,层层深入分析网络内企业间利益协调机制,并以鄱阳湖生态经济为例进行实证,得出了相应的研究结论。一是对文献进行综述。综合文献研究结果：现有文献对工业废弃物循环利用网络企业间利益关系、利益冲突及协调机制有了一定研究,对影响循环网络利益因素进行了广泛探索,意识到建立协调机制是解决企业间利益问题的有效途径之一,这些成果为本课题研究奠定了坚实基础。但已有成果中单一、定性、一般化研究较多,从成员企业利益关系角度,探究循环网络有效协调机制相对而言还处于被忽略状态；对协调机制往往是从组织理论角度进行描述,并没有系统地从网络角度进行深入研究；虽然有人从不同维度分析了利益关系的影响因素,但对关键因素约束条件缺乏理论层面的深入系统剖析；对不同协调机制的边界、效能及耦合关系的研究还比较零散,尚未能形成统一研究框架和理论范式；探讨利益关系与协调机制的匹配和不同协调机制的耦合关系还很少。二是对工业废弃物循环利用网络进行概念界定,提出工业废弃物循环利用网络是相互匹配企业,为实现工业副产品综合利用,使上游企业生产过程产生的废弃物成为下游企业生产过程中的原材料,形成交互与合作、整体化和生态集聚化为一体的复杂网络形式,其具有生态链、经济链、层次性、网络化、动态化等特征。三是从企业间纵横向关系角度研究企业间利益关系演变,进而从组织模式与利益模式相结合角度研究整个网络演变。首先采用演绎与归纳方法综合研究企业间纵横向关系的市场结构,分析了影响网络演变的主要因素。其次,用数理模型方法,对企业间纵横向利益关系进行了深入的研究。采用多目标规划研究废弃物供应企业竞合关系,研究发现：废弃物供应企业间竞争与合作的博弈策略比较简单,同类型废弃物供应企业更加趋于市场合作,对于单个企业,废弃物供应量可以根据市场变化、库存成本及废弃物自然属性等而有效缩放调节。横向关系中废弃物加工企业的利益关系研究表明：当企业拥有的废弃物价值较高及市场控制能力强时,直接竞争模式处理废弃物总量最大,其次为混合竞争模式,间接竞争模式废弃物处理量最小；直接竞争模式加工商回收价格最高,混合竞争模式购买的价格次之,间接竞争加工商收购废弃物的价格最低,废弃物无价值或具有危险性时,废弃物处理商与回收商共同分享政府补贴；竞争程度越高,加工商选择产业链前向延伸或寻求稳定的合作,反之,加工商倾向于选择间接渠道进行合作。再次,采用演化博弈分析上下游企业之间合作的纵向利益关系及其演化条件,研究表明：直接排放成本、废弃物供应量、政府奖励、自然原材料价格等四个要素与趋于全面合作的比列成单调递增关系；投资规模、交易成本、单位处理成本、机会损失四个要素与全面合作比例成单调递减关系。最后,采用Logistic模型研究网络成员之间的利益关系。采用Logistic模型把循环网络分为四个阶段,并描述了每个阶段特征,把状态曲线与成长曲线分开,进一步分析网络演变特征。在共生系统的背景下,采用Logistic模型分析平等型及依托型共生网络合作条件,进而研究工业废弃物循环利用网络共生演化的机制及演变路径,依据利益行为驱动组织行为变迁,组织行为导致结构调整的研究思路,研究得出利益关系从寄生、偏利共生、非对称互惠向互惠共生演化,组织模式从点共生、间歇共生、连续共生向一体化共生演化,两者共同驱动网络从初级网络形态向高级网络形态演化。四是工业废弃物循环利用网络的利益影响因素。从影响工业废弃物循环利用网络企业利益总体因素来看,影响利益的依次为政府支持、直接经济利益、人际因素、地理及基础设施、技术因素、环境压力、循环链因素、管理因素、风险因素等九个因素,其中影响最大的为政府支持与企业直接经济利益,其次为社会资本中人际因素、地理的临近和基础设施的完备性,最后为技术因素、环境压力、循环链因素、管理因素、风险因素等。利益机制始终是推动工业废弃物循环利用网络构建的核心,环保压力不是形成资源循环的最主要动力。采用两阶段博弈分析表明影响利益的关键因素都具有一定的有效范围,在一定约束条件内,能够维持网络经营的稳定,一旦关键因素约束范围被突破,会导致企业间冲突,进而导致网络合作的瓦解。五是依据“利益冲突来源——利益冲突类型——利益冲突演化”分两条路径展开研究。路径一：受基础条件的影响,企业间建立了结构性的利益关系,而根本的利益关系将可能导致结构性冲突产生,具体表现形式为组织结构冲突、彼此依赖冲突、市场结构冲突、公共性冲突等,结构性冲突主要受外部约束影响,短期内难以改变,演化条件为关键因素重大突破,容易对循环网络产生较大震荡。路径二：经营过程中关键利益影响因素导致企业间利益冲突,维持网络中企业间合作的关键要素需要具备一定的约束条件,若有效的合作条件被打破,将直接导致经营性冲突的产生,具体表现为直接经济利益冲突、机会主义冲突、战略调整冲突、人际冲突、彼此差异冲突、任务冲突、技术冲突及过程冲突。经营性冲突的演化取决于动态调整的结果。六是工业废弃物循环利用网络企业间主要协调机制为契约协调、关系协调及第三方协调。采用回归分析研究企业间协调机制,研究发现：其一是契约协调对工业废弃物循环利用网络的效益具有正面的影响且显著,契约协调中合同条款的明确性及履约的严格性与网络整体绩效具有显著正向影响,而突发事件的适应性规定对总体绩效影响不显著；分回归模型研究结论为：履约的严格性对环境效益具有显著的正向影响,合同条款的明确性与突发事件的适应性规定对环境效益的影响不显著,合同条款的明确性对经济效益、商业效益与社会效益具有显著的正向影响；履行契约严格性对环境效益与社会效益具有显著正向影响,而对经济效益与商业效益影响不显著。其二是关系协调对工业废弃物循环利用网络整体绩效具有显著正向影响,联合行动、互惠投资及联合解决问题对网络整体效益具有显著的正向影响,其中,联合行动对成员企业经济效益与商业效益正面影响显著,互惠投资对网络环境效益具有显著正向影响,联合解决问题除了对环境效益影响不显著外,对其他三个效益具有正向影响且显著。其三是关系协调与契约协调之间存在交互影响且显著,正式契约可以促进信任产生,信任与合作会进一步提升契约协调效益,降低契约协调成本。其四是政府对工业废弃物循环网络企业间关系能够进行有效的调节,但对于企业制度建设调节作用不明显。七是工业废弃物循环利用网络协调机制设计研究。首先遵循“谁来协调、协调什么、怎么协调”的思路,设计出协调目标、协调主体、协调客体、协调方式等“四位一体”的协调体系。随后针对工业废弃物循环利用网络不同利益关系、不同的冲突来源及网络的不同阶段,以关系协调、契约协调及政府协调为主要手段,设计出相应的利益协调机制。最后针对鄱阳湖生态经济区现状,提出建立工业废弃物循环利用网络的组织协调机制,组建鄱阳湖生态经济区产业共生项目管理委员会,成立产业共生项目运作集团,完善工业废弃物循环利用网络的政府规制体系、建立合理的利益分享机制、实施企业间联合战略及搭建良好的沟通平台等对策。综合全文,本文在如下几个方面具备一定创新：一是针对工业废弃物循环利用网络本质特征,建立了“利益关系——关键因素——利益冲突——利益协调”研究框架体系,使用理论和实证方法研究了企业间纵向、横向及网络的利益关系,依据“利益冲突来源——利益冲突类型——利益冲突演化”分析循环网络利益冲突产生的根源及演化路径。二是研究企业间协调与政府协调机制关系及效能。探讨不同协调机制的内在机理,分析不同协调机制作用边界和逻辑结构,研究了关系协调、契约协调与政府协调间关系,并进一步研究了政府协调对关系协调及契约协调的调节效应,为政府的有效制度设计及政策建议提供了方向。三是设计工业废弃物循环利用网络企业间利益协调机制。针对工业废弃物循环利用网络利益关系、利益冲突及不同阶段的特点,按照“协调什么、谁来协调及怎么协调”的设计思路,对不同利益关系、不同类型冲突、网络不同发展阶段进行了协调机制设计。研究具有一定创新的同时,也依然还有不足之处。虽然建立了“利益关系——关键因素——利益冲突——利益协调”研究框架体系,但并未对整体系统模型进行全面实证,导致结构及路径分析缺失,致使机制内在运作规律不系统。虽然对关系协调、契约协调及政府协调之间关系进行理论分析,并采用聚类及回归方法进行实证,但对于关系协调、契约协调及政府协调之间耦合机制研究不够深入。更多还原

【Abstract】 As is well known, it is very important for our country to highlight the environmental protection as well as economic development. In order to pursue a balanced development of industry and environment, it is necessary to establish an industrial ecological system. Similar to the natural ecological system, industrial ecological system is a recycling mutualism system of material and energy between enterprises, replacing traditional simplified production method by integrative production method to relieve or eliminate the effect of industrial activities on environment. While circular economy, as an integrative circular method, meets the demand of development in modern time and finds the path to solve the problem of coordinating development of resources circulating utilization and economic development. Now, there are mainly two methods to solve the problem of industrial wastes recycling:intra-enterprise circular and inter-enterprise circular. The former method improves the comprehensive utilization of the resources mainly by such ways as "waste free craftwork","clean production""’extensive producer responsibility" and "green design", etc. But confined by resource limitation in primary business, scale effect and cross-industry operation, the eco-industrial chain is too short to form a closed waste recycling network. Obviously, industrial waste recycling between enterprises have become the most effective form of ecological organization, in which wastes produced in upstream process are used as raw material for downstream production process, so that the eco-industry organization is formed to share resources and exchange by-products between different enterprises. In this way, waste comprehensive utilization and recycling is realized and optimal allocation of industrial resources is achieved.At present, although China has constructed a number of eco-industrial parks and circular economy experimental areas, but few industrial waste recycling network has been formed between enterprises; and cascade utilization of resources such as energy and water has not realized and ecological chain of material and industrial waste recycling is in a broken state; and mechanism is not formed that can promote inter-enterprise production process horizontal coupling and material multi-level utilization; there coexists the idle and lack of waste processing equipment; the tradeoffs between purchasing new raw materials and processing waste comprehensively is difficult due to the imperfectness of relevant laws and regulations so that some enterprises would rather bear the direct discharge cost than make use of these wastes as raw materials. There has been obvious interest conflicts between upstream supply enterprises that supply waste and downstream enterprises that process waste, and between enterprises and government, therefore it is very difficult to coordinate the interest between those vested interest and those struggle for interest. The essence of the phenomenon is that benefit relations between enterprise members have not been straighten and interest conflicts have restricted the effective operation of industrial waste recycling network. Therefore, it is of great theoretical and practical significance to study how to promote interest coordination mechanism of industrial waste recycling network, how the straightening benefit relations between enterprises members, how to resolve conflict risk and pressure, how to evaluate the effect of different interest coordination mechanisms and how to analyze the coupling and symbiosis of different interest coordination mechanisms.This paper, on the topic of enterprise interest coordination mechanism of industrial waste recycling network, and on the basis of literature review, adopts such study methods and means as general equilibrium, game theory, multi-objective programming, cluster analysis, factor analysis and regression analysis and etc., and with the theory of industrial organization, institutional economics, and interest coordination as the foundation. Sticking to the nature and connotation of industry waste recycling network, and along the study train of thought as "interest relationship---influential factors---interest coordination---mechanism design", this paper makes an in-depth analysis layer by layer of interest coordination mechanism between enterprises in the network, and gives empirical studies on the ecological economy in Poyang Lake as an example, reaching the corresponding conclusions.First, this paper gives a comprehensive review of the literatures. There has existed some literatures on symbiotic relationship and coordination mechanism of industrial waste recycling network between enterprises members, which have explored the factors that influence interest in recycling network, and have realized that to establish the coordination mechanism is one of the effective ways to solve the problem of interest distribution. All those results have laid a solid foundation for the research of this paper. But unfortunately, most of the results, from the angle of enterprise members’interest, are simple, qualitative and generalized studies, ignoring the exploration of effective coordination mechanism of recycling network. Those literatures have studied coordination mechanism from the perspective of organization theory, rather than systematically from network perspective. Although some factors affecting interest have been studied in different dimensions, theoretically in-depth analysis on constraint conditions of influencing factors is still absent, and study on boundary, effectiveness and coupling relationship of different coordination mechanism is still unfocused without forming a unified framework and theoretical paradigm, and little study has been made on the matching of interest relationship to coordination mechanism, and on the coupling relationship of different interest coordination mechanism.Secondly, this paper defines the concept of waste recycling network, and proposes that industrial waste recycling network is a complex network form of interaction and cooperation, integration and ecological agglomeration between the mutually matched enterprises to realize the comprehensive utilization of industrial by-products. The network has the properties of ecological chain, economic chain, and being hierarchical, network, dynamic.Thirdly, this paper studies the interest relationship evolution between enterprises from their horizontal and vertical relations, and the evolution of the whole network with the view of combining organization mode and the interest mode. Firstly, this paper makes a comprehensive study on vertical and horizontal market structure between enterprises by deductive and inductive methods, and analyzes the main influenced factors of network evolution. Secondly, by some mathematical models, it studies the vertical and horizontal relations and network evolution between enterprises. Studies on competition and cooperation between waste supply enterprises by multi-objective plan has found that, the game strategy of competition and cooperation between waste supply enterprises is relatively simple---waste supply enterprises in the same line tend to be more cooperative in the market, and that for individual enterprises, waste supply can be effectively adjusted according to market changes, the inventory cost and natural attributes of waste. Studies on the interest relationship between waste processing enterprises in the horizontal relationship shows that:when the enterprise has the waste with high value and has power to control the market, processors choose direct channel to process most of the total wastes, then mixed channel model, and least indirect channel. While as to the recycling price, processors pay the highest price in direct channel competition, and then in mixed channel model competition, and lowest in the indirect channel competition. So when the waste is of no value or dangerous, waste processors and recyclers share government subsides together. The higher the degree of competition, the more processor will extend industrial chain and seek stable cooperation, to the contrary, processors tend to choose the indirect channels for cooperation. Then, by evolution theory, it gives analysis on the vertical interest relationship between upstream and downstream enterprises and the evolution conditions. Studies shows that there is an inverted "U" type relationship between waste price and the probability of comprehensive cooperation in a certain range; and that the four elements, including waste supply, direct emissions penalties, processing waste incentive and raw material price, monotonically increase with the probability of comprehensive cooperation and not less than a certain standard; and that four elements, including transaction cost, investment scale, the processing cost, opportunity loss monotonically decrease with the probability of comprehensive cooperation, with a certain upper limit. Finally, by the means of Logistic model, it studies interest relationship between network members. The recycling network is divided into four stages by Logistic model, with characteristics of each stage described and state curve and the growth curve separated to further analyze characteristics of network evolution. This paper analyzes the Equal Type and Dependent Type the symbiotic relations of interest network, and then further studies on the symbiosis evolution mechanism and development path of waste recycling network. On the background of symbiosis, along the thought of "interest drives organizational mode changes and organizational mode changes leads to structure adjustment", this paper studies interest symbiosis shape of industrial waste recycling network, and explores the network evolution path among enterprises by the interest mode, organization mode and network Symbiosis structure.Fourthly, this papers probes the factors that influence the interest of industrial waste recycling network. There are overall9factors that influence enterprise interest in the network. They are in turn government support, direct economic interest, interpersonal factors, geography and infrastructure, technical factors, pressure on the environment, recycling chain factors, management factors and risk factors, in which government support and enterprises direct economic interest are most influential, followed by interpersonal factors in social capital and geography adjacency and infrastructure completeness, and technical factors, pressure on the environment, recycling chain factors, management factors and risk factors are least influential. Study has found that interest mechanism is core to push the industrial waste recycling network construction, while environmental protection pressure is not the main power to drive the formation of resource recycling.Fifth, this paper gives analysis on the connotation and characteristics of interest conflict between enterprises and studies the characteristics and manifestation of interest conflicts between enterprises in industrial waste recycling network. As relationship and influenced factors are the two largest sources of interest conflicts, this paper focuses on structure conflict and operation conflict, and clusters those two kinds of conflicts. Finally, it discussed the relationship between interest conflict and performance in industrial waste recycling network, and furthers an in-depth study on countermeasures and evolution path of interest conflict between enterprises.Sixth, it probes the coordination mechanism of industrial waste recycling network. Studies on coordination mechanism between enterprises by the regression analysis reached some conclusions.(i) Contract coordination has a significantly positive impact on the effectiveness of industrial waste recycling network, in which the clarity of contract clauses and the rigidity of contract performance are significantly positive correlated to overall performance of the network; Studies by regression model shows that, rigidity of contract performance has significantly positive impact on environmental effectiveness; that clarity of contract clauses and flexibility in the unexpected events has no explicit impact on environmental effectiveness; that clarity of contract clauses significantly positive impact on economic, business and social benefits; that rigidity of contract performance has a positive impact on environmental and social effectiveness but has no explicit impact on economic and business benefits.(ii) Relationship coordination has significantly positive impact on the effectiveness of the overall industrial waste recycling network, and joint actions, mutual investment and joint problem solving have a positive impact on overall effectiveness, in which joint actions has a significantly positive impact on the effectiveness of enterprises’ economic and business benefits, and mutual investment has a significantly positive impact on environmental effectiveness, and joint problem solving has no explicit impact on environmental effectiveness, but has explicit impact on the other three benefits.(ⅲ) Relationship coordination and contract coordination are explicitly interactive. Formal contract can promote trust, and trust and cooperation will further enhance the coordination effectiveness and reduce coordination costs.(iv) Government adjustment on industrial waste recycling network between enterprises is effective, but its adjustment on enterprise system construction adjustment is not.Seventh, this paper studies on designation of coordination mechanism of industrial waste recycling network. First, following the thought of "who, what, how to coordinate", this paper designs a "four in one" coordination system integrated the coordination objectives, coordination subject, coordination object and coordination method together; then by the means of relationship coordination, contract coordination and government coordination, it designs the respective interest coordination mechanisms according to different interest relationship, different conflict sources and different phases of industrial waste recycling network; finally, aiming at the present situation of Poyang Lake ecological economic zone, it proposes some suggestions such as forming organizational coordination mechanism for industrial waste recycling network, setting up administrative committee for industrial symbiosis project in Poyang Lake Ecological Economic Zone, establishing operation group for industrial symbiosis project in Poyang Lake Ecological Economic Zone, improving government regulation system for industrial waste recycling system, setting up plausible interest sharing mechanism, implementing enterprises joint strategy and building sound communication platform.Overall, this paper has made certain innovations in the following aspects:(ⅰ) aiming at the essential features of industrial waste recycling network, this paper has established study framework of "interest relationship---key factors---interest conflicts---interest coordination". With waste development as the linkage, it gives analysis on the interactive process of enterprises member by the method of general equilibrium to realize general equilibrium conditions; from the perspective of multi-gaming subject, this paper has constructed evolutionary game model for symbiotic enterprises cooperation by static analysis (ESS) and dynamic analysis (replicator dynamics equation), and analyzes the interest evolution between upstream and downstream enterprises, government and social forces in the process industrial waste recycling.(ii) This paper has studied the relationship between enterprises coordination and government coordination, and their effectiveness. It probes the inherent mechanisms of different coordination mechanism and analyzes the boundary and logic structure of different coordination mechanisms, and studies the relationship between relationship coordination, contract coordination and government coordination, and further researches the mediating effect that government coordination has on relationship coordination and contract coordination, therefore provides direction for the government effective system design and policy recommendations.(iii) This paper has designed interest coordination mechanism between enterprises in industrial waste recycling network. According to interest relationship, utilization conflicts and characters in different stages in industrial waste recycling network, following the idea of "what to coordinate, who coordinates and how to coordinate", design the coordination mechanism considering different interests, different types of conflicts, and different development phrase of recycling network.Although this paper has made some innovations, there are still some shortcomings at the same time. The study framework of the " interest relationship---key factors-interest conflicts---interest coordination" is established, but no comprehensive empirical studies has been made to test the whole system model, which leads to lack of structure and path analysis and to unsystematic operation of internal system mechanism; theoretical analysis has been made on the relationship between the relationship coordination, contract coordination and government coordination, and clustering and regression methods are adopted, but more in-depth study of coupling mechanism between those three types of coordination, contract coordination and government coordination coupling mechanism is not enough is yet to be made.更多还原