【作者】 王林萍；

【导师】 谢联辉； 林奇英；

【作者基本信息】 福建农林大学 ， 植保经济学， 2007， 博士

【摘要】 农业是国民经济的基础，农药在世界农业发展中的贡献不容置疑。尽管农药在生产、运输和使用上对环境会产生不良影响，但化学农药仍将是21世纪不可或缺的植物保护用品之一，70％左右的农药市场将依然由创新化学农药所主宰。建国以来我国农药工业发展迅速，现有2600多家农药生产企业，2005年产量高达103.9万吨，居世界第一。然而中国农药企业面临社会责任缺失的严重问题，农药工业的环境污染及一系列健康、安全等问题没能得到很好解决。目前每合成1吨农药原药约消耗4吨化工原料，生产1吨农药可排放3吨“三废”。全国农药工业每年排放废气23.7亿m~3，年排放农药废水量在1亿m~3以上，其中已进行治理的废水只占7％，治理达标的仅占已治理的1％。这一严峻的现实要求农药企业在发展中不能再以追求利润为惟一目标，环境和社会的效益也是农药企业决策中必须考虑的内容；作为“企业公民”，农药企业应该承担起相应的社会责任。本研究以农药企业的社会责任为研究对象，探讨在可持续发展的背景下，农药企业是否应当承担社会责任?应该承担什么具体的责任并如何承担?承担的社会责任以何种方式来表现、绩效水平如何来衡量?中国农药企业与国外农药企业在履行社会责任的差距在哪里，中国农药企业应如何克服农药企业社会责任缺失的现状以加快社会责任的形成和实践。上一世纪80年代化工行业就已经提出了责任关怀，并作为行业自律行为，而企业社会责任与企业可持续发展的概念也是近20年来在理论和实践中都频繁出现的用语。责任关怀、企业社会责任与企业可持续发展尽管在概念及其内涵上有所不同，但三者之间还是具有较为密切的联系。作为研究的起点，有必要弄明白他们之间的联系与区别，通过研究，我们得到的结果是：健康、安全和环境是责任关怀的核心，责任关怀又是企业社会责任的重要组成部分，他们实践的最终目标都是为了增强企业的竞争力和企业的可持续发展。企业社会责任是促进企业可持续发展的重要手段，企业社会责任和企业可持续发展在内容上有逐步融合的特点。农药的生产事关人类健康和生态环境安全。在比较农药在植物保护中的利弊和功过、分析农药企业的利益相关者的基础上，指出了农药企业履行社会责任的必要性，提出了农药企业社会责任确定的原则，定义了农药企业的社会责任的概念，分别设计了利益相关者的社会责任矩阵和“三层一线”(核心层、延伸层和超越层及遵纪守法线)两种类别的农药企业社会责任的内容，确定了农药企业在经济、法律、伦理和慈善等方面的责任；界定了责任的核心层、延伸层和超越层，指出了各层面社会责任的联系与区别，初步阐明了农药企业社会责任的内涵及外延。为了了解农药企业社会责任的履行状况，在论文的第4部分，首先回顾了世界农药市场的发展状况，就世界前八强的跨国农药企业，根据它们的企业社会责任信息披露资料进行分析，得出了跨国农药企业对企业社会责任问题十分重视的结果。接着选择德国的巴斯夫、美国的道化学和日本的住友，对他们的社会责任策略规划进行横向比较，结果表明：上世纪90年代以来，从管理层面看，跨国农药企业已有具体的部门负责计划和实施社会责任，内容也向社会层面的方向发展，注重利益相关者的管理，信息披露也从凌散向系统的环境报告和可持续发展报告演进。从实践层面上看，社会责任的认知程度在提高，经济责任和法律责任在完善，伦理责任和慈善责任在加强。同时，还从五个方面探讨了主要跨国农药企业承担企业社会责任的原因。最后选取了先正达作为案例，对该企业社会责任实施的具体行为和表现进行纵向的分析，更加全面和具体地探讨了跨国农药企业社会责任行为操作层面的特点及其这些行为产生的影响。中国农药企业社会责任是研究的主要对象。首先，对中国农药企业社会责任缺失的现状问题进行探讨，分析表明责任严重缺失主要体现在：(1)农药产品质量不高、标签合格率低、售后服务不力；(2)自主创新能力弱、产品侵权现象严重；(3)生产中安全意识不强、职业健康存在隐患；(4)“三废”排放超标、环境污染严重，从而造成企业与社区关系紧张和对立。接着，从理论上查找了农药企业社会责任缺失的原因：(1)企业作为理性经济人对利益最大化的追求，使得企业不可能考虑利润之外的责任；(2)由于农药企业产生的负外部性以及信息的不对称性市场无法解决，使得企业承担社会责任的内驱力变弱；(3)政府规制的低效及执法的不力，不仅没能解决市场失灵下本该由政府干预的问题，反而加剧了现存问题的严重性，从而造成企业社会责任普遍缺失的现象。最后，通过重庆民丰环境违法的具体案例的分析，验证了中国农药企业社会责任的缺失与企业追求利润最大化目标、市场运行失灵以及政府规制低效有密切的关系。得出了在发展中国家，政府在引导企业履行企业基本社会责任方面有着重要作用的结论。既然中国农药企业履行社会责任存在缺失，也查找了客观原因，是否在主观认识方面也存在缺失?本研究还进行了中国农药企业在企业社会责任方面的认知调查。分别从农药企业对企业社会责任概念的认知、对环境保护问题的看法、对员工权益的维护及企业发展和创新能力四个方面对农药企业社会责任的认知度作问卷调查。分析结果显示：农药企业对企业社会责任认识尚需统一，企业应该承担社会责任的观念需要树立，在履行社会责任方面企业的自主创新能力和环境保护意识必须增强。进一步，应用二分类Logistic回归分析方法，从企业性质、农药年产量、是否为上市公司、是否有产品出口四个方面对农药企业是否应该承担社会责任的影响进行分析，结果表明：农药年产量、是否为上市公司、是否有产品出口三个因素对“企业是否应该承担社会责任”的看法存在显著影响，而企业性质的影响不显著。企业社会责任评价体系是企业履行社会责任的指南和准则，是引导和规范企业行为的信息工具，是农药企业社会责任从定性研究到定量评价、从理论到实践的桥梁和纽带。本研究在构建指标体系原则指导下，设计了农药企业社会责任综合评价指标体系，从经济效益、创新能力、产品质量、售后服务、环境保护、员工权益、社区关系和慈善公益八个方面设计指标反映农药企业社会责任评价所包含的主要内容，并利用层次分析法确定了不同子目标和指标的权重，同时就企业间横向比较和单一企业纵向比较两种情形，分别给出了社会责任综合评价的方法。本文最后关于加快中国农药企业社会责任的步伐，探讨了中国农药企业为有效履行社会责任必须建立的内部和外部的约束机制。指出农药企业承担社会责任应避免进入“责任的误区”，切忌贪大求多、切忌公关炒作，而贵在脚踏实地履行基本责任；对中国农药企业承担社会责任外部宏观约束的探索表明：从短期来看，政府对企业承担社会责任的正确引导，新闻媒体对公众舆论监督机制和合作伙伴对企业社会责任的拉动十分重要；而从长期来看，要加快农药企业社会责任的形成必须充分利用消费者市场导向功能，加快金融市场社会责任投资渠道的形成，运用社会团体的力量(主要是行业协会)进行约束。给出了责任推动型社会责任目标模式、策略导向型社会责任目标模式和遵纪守法型社会责任目标模式，供农药企业根据自身规模的大小和承担企业社会责任能力的强弱进行选择。本研究的创新之处在于：初步界定了农药企业社会责任的内涵和外延，分别设计了利益相关者—社会责任矩阵和“三层一线”(核心层、延伸层和超越层及遵纪守法线)两种类别的农药企业社会责任的内容，为农药企业社会责任的实施奠定基本的框架；首次以农药企业为调查对象在国内进行农药企业社会责任认知度的调查，并获得有一定意义的结果；构建了农药企业社会责任指标体系，有利于评价农药企业社会责任的实施表现，并在数据可得情况下进行实证研究；提出了责任驱动型、策略导向型和遵纪守法型的农药企业社会责任目标模式。本研究的结果对于农药企业建立和完善社会责任体系、促进社会责任的实践和履行，具有直接的指导作用，对今后企业社会责任相关研究和其他行业社会责任问题的探讨具有较高的参考价值，这一研究对坚持可持续发展思想，构建和谐社会具有一定的理论和实际意义。更多还原

【Abstract】 Agriculture is the foundation of national economy. It is beyond all doubt that pesticide contributes greatly to the development of world agriculture. Although the production, transportation and use of pesticides have side-effect on environment, pesticides are still necessary for plant protection in the 21st century and approximately 70% of pesticide markets are currently dominated by innovated chemical pesticides. The pesticide industry has developed very quickly since the founding of People’s Republic of China. There are more than 2600 enterprises now and the annual output of pesticide in 2005 is as high as 1039 thousand tons, being placed the first in the world. However, pesticide enterprises in China face serious problems of lack of corporation social responsibility (CSR), such as environmental pollution, weak occupational health and unsafe production. According to statistics, 4 tons of chemical materials are exhausted when producing 1 ton of rude chemical pesticide, which will make 3 tons of waste. 2.37 billion m~3 of waste gas and 0.1billion m~3 of waste water are discharged every year in China. 7% of the waste water was harnessed but only 1% of it reached a set standard. It is required that the pesticide enterprises should take into consideration the environment and social benefit in their decision-making, giving up the goal of only seeking for profit. As a corporation citizen, the pesticide enterprise should bear the relevant social responsibility.CSR of pesticide enterprises was chosen as study object in this research to discuss whether the pesticide enterprises should take CSR; what CSR they have; how to take CSR; how to evaluate CSR performance; what gaps exist between developed countries and developing countries in implementing CSR and how to speed up the formation and practice of CSR in China under the context of sustainable development.Responsible Care (RC) was first conceived by the national trade association of Canadian chemical manufacturers (CCPA) and put forward in the 1980s to address public concerns about the manufacture, distribution and use of chemicals. It is the chemical industry’s global voluntary initiative. While CSR and corporation sustainable development (CSD) are frequently used in recent 20 years, there are close relationships among RC, CSR and CSD in spite of their difference on definitions and contents of study. It is necessary to figure out the relationships among them at the beginning of this research. The results showed that health, safety and environment (HSE) is the core of RC. RC is an important part of CSR. And both of them are for improving competition and sustainable development of enterprises. In addition, CSR is one of the methods to promote CSD and both definitions are blendedly used in some degree.Pesticide production is relative to human health and ecological environment safety. Based on the comparison of benefit and costs of pesticides in plant protection and the analysis on stakeholders of pesticide enterprises, the dissertation discusses the necessities and principles for taking CSR, gives a definition of CSR for pesticide enterprises, elaborates social responsibility of stakeholders and defines economic responsibility, legal responsibility, ethical responsibility and philanthropic responsibility of pesticide enterprises. In addition, based on the legal line, it draws demarcation line among the core level, extending level and surpassing level and describes the relationship and differences among all responsibilities, expounding briefly the connotations and extending meaning of social responsibilities, which helps us better understand what CSR is in pesticide enterprises.In the fourth part of the dissertation, it first reviews the development situation of the world pesticide markets, then it makes an analysis of CSR information disclosed about the multinational pesticide corporations which annual sales are ranked as the top 8 in the pesticide international markets. The obtained information shows that those corporations are fully aware of the importance of CSR and they believe a globally competitive corporation should be a corporation which is responsible for society. The comparative CSR strategies used by BASF, Dow Chemical and Sumitomo Chemical show that specialized departments have been established in multinational pesticide corporations to do CSR programming and to take responsibility of CSR affairs since last century. They have begun to attach importance to the administration of the enterprises and put emphasis on systematic environment reports and sustainable development information. All the facts illustrate that social issues were focused on CSR, stakeholder management was improved, CSR information disclosure was complete and independent CSR reports were issued. In terms of CSR practice in pesticide industry, we can see that people have enhanced their awareness of social responsibility. And economic responsibility and legal responsibility are being perfected. Ethical responsibility and philanthropic responsibility are being strengthened. Through the case study of Syngenta, the dissertation makes a profound analysis of the implementation of CSR and the characteristics of its practical operation and management in multinational pesticide corporations as well as the consequence of performance. The analyses of CSR scarcity in Chinese pesticide industry illustrate the following problems: (1) poor quality of products, low qualified rate of label, bad after -sale service; (2) weak innovation, more infringement; (3) weak awareness of production safety, poor occupation health; (4) over waste emission, serious environment pollution, and strained relationship with community. Theory analysis shows: (1) as a rational economic person, pesticide enterprises always try their best to low the costs and optimize output when they are in profit-seeking, and they often seek for profit without considering their responsibilities; (2) The motivation of taking CSR is weaken because of market failure owing to negative externalities and information dissymmetry; (3) The situation has turned worse due to the inefficiency of government regulation and the weak enforcement of law. Case study of Minfeng Agrochem Co. LTD testified that CSR scarcity in Chinese pesticide enterprises is closely related to profit-seeking, market failure and government regulation inefficiency. In conclusion, the author argues that in the developing countries, governments play an important part in guiding the enterprises to take social responsibility.In this research, the author made an investigation in some pesticide enterprises to testify their understanding of CSR awareness. Questionnaires were prepared about the awareness of the definition of CSR, environment protection, employee benefits and the innovation and development of the enterprises. The survey shows that common understanding of CSR should be reached; the idea of taking CSR should be fostered; the capacity of corporation innovation and the awareness of environment protection must be improved in pesticide sectors. Based on the survey of 84 pesticide enterprises in China, the further study using Logistic regression shows that the factors of annual output of pesticide, corporation assets scale, the condition of IPO and the condition of exportation of goods had significant impact on the issue of taking CSR while the nature of the enterprises didn’t have notable influence on it.The assessment system of CSR is the guideline and principle of implementing the responsibility, the information tool of guiding and standardizing the enterprise performance and the bridge and tie linking the qualitative research and quantitative research, theory and practice. According to the principles of science rationality, industry focus, weak relativity, maneuverability and typicality, a comprehensive evaluation index system of CSR for pesticide enterprises has been established and its design was considered from different aspects such as economic performance, innovation capacity, product quality, after-sales service, environment protection, employee equity, community relationship and charity activities. Analytical Hierarchy Process (AHP) was used to weigh the relative importance of different purposes and indexes and comprehensive evaluation method was also introduced then.Finally, the dissertation explores the interior and exterior control mechanism established for implementing CSR effectively in China. It points out that pesticide enterprises should avoid bearing more responsibilities beyond their capacity and using CSR as public relation skill. They should be practical and realistic and try to do solid work. The exploration on exterior macro-control of bearing social responsibility show that the guidance of government, the supervision of public media, and business partnership have great impact on CSR development in short term. However, viewing in long term, to speed up the formation of social responsibility depends on making good use of guidance function of market by the customers, promoting the formation of social responsible investment channel in financial market and relying on supervision of social communities. Responsibility-orientated CSR model, strategy-orientated CSR model and legislation-orientated CSR model were given for pesticide enterprises to select according to their size and capacity.The innovations of this research are as follows: the connotations and extending meaning of social responsibility was expounded briefly; a matrix of stakeholder , social responsibility and "three levels based on the legal line" were designed, making a basic framework for the implementation of CSR ; the survey on awareness of CSR in pesticide enterprises was done first time in China and significant results was received; a comprehensive evaluation index system of CSR was established and responsibility-orientated CSR model, strategy-orientated CSR model and legislation-orientated CSR model were given in this research.The conclusions of this research help to guide pesticide enterprises in CSR practice and CSR framework establishment. This study is also a reference for other CSR research and it contributes to adhering to the idea of sustainable development and building a harmonious society.更多还原