【作者】 谢庆红；

【导师】 周殿昆；

【作者基本信息】 西南财经大学 ， 产业经济， 2010， 博士

【摘要】 制假售假的确是一个严重的经济问题。2009年国际反假联盟(International anti-counterfeiting coalition, IACC)估计全球假冒商品的销售量大约有6,000亿美元左右,世界贸易中约有5%-7%是假冒商品。事实上,对于处在经济转轨中的中国,其假冒伪劣问题更为严重,造假事件不断涌现,假冒产品层出不穷。其中,不仅包括假化肥、假种子、假奶粉等给最终消费者带来侵害甚至致命伤害的产品,更不乏那些被部分消费者青睐的名牌仿造品。对于假品及其抑制,东西方学术界对此有大量的研究。西方许多学者研究的主要兴趣在需求方(即消费者方),着重分析调查消费者为什么购买假冒商品。已有学者认为,由于需求的存在,给了造假者动力,认为需求的抑制能有效地治理假品。中国学者的研究重点则放在供给方(即生产者),分析企业为什么要造假。基于目前的经济发展水平,中国研究的重点应该是防止假冒伪劣产品蔓延。而目前,国内尚无将市场主体造假售假买假动因与制度环境缺陷内外部两大因素,结合起来作系统分析的文献资料。正是在这样的背景下,本论文首先通过文献综述,总结假冒伪劣产生的成因、品牌假冒品的购买行为、基于购假行为的反假措施,以及对假品的治理对策；然后,系统地借助经济学和社会学等理论,全面透彻地剖析企业造假行为、消费者购假行为和监管制度虚化问题,同时构建企业造假行为动机与消费者购假意愿模型；接着,将探讨性地分析企业内在拒假的源动力；之后,分析并吸收总结国外及我国台湾地区假冒伪劣产品治理的经验；最后,综合前述的分析结论,构建我国治理假冒伪劣商品的综合模型,以期从政府、企业和消费者三个方面来实施对假冒伪劣商品的综合治理。一、研究思路与研究内容本文的研究思路为：首先界定假品的含义及消费者的购假类型,从企业造假行为、消费者购假行为、监督虚化三方面分析假冒伪劣的成因,最后从企业拒假的源动力分析、借鉴国外治理假冒伪劣产品的经验等方面,探讨中国治理假冒伪劣商品的对策措施。本文的研究内容大致分为四个部分,由8章组成,其中第三、四部分是本文的核心内容。第一部分,绪论。即第1章,主要包括了选题背景、概念界定、研究思路和框架、研究方法,以及创新与不足。本文界定的假品包括两个层面：品牌、商标的假冒和产品质量内容和指标造假。第二部分,文献综述。即第2章,论文综合了东西方学者的研究成果,从假品成因研究、品牌假冒品的购买行为研究、基于消费者购假行为的反假研究以及假品治理研究四方面进行了回顾和评述,找出了本文的研究角度。第三部分,假冒伪劣的成因分析。包括第3、4、5章,分别从企业造假行为、消费者购假行为以及监管制度虚化深入剖析假冒伪劣泛滥的成因。第3章,从内在根源和外在因素两个方面,对企业造假动机进行研究,笔者认为,企业对侵权、寻租收益的追求；由于信息不完备和资源短缺形成的机会主义行为；以及某些企业的风险偏好是企业造假的内在根源。而政府的监管虚化；消费者买假意愿及行为的激励；造假技术和互联网的普及；市场经济转型期的制度缺陷,是企业造假的外在动因。本章构建了企业造假行为成因的理论模型,并用三鹿奶粉案例进行了佐证。第4章,对消费者购假行为进行分析,论文把消费者买假区分为“不知情买假”和“知假买假”两大类,知假买假又分为“知假自愿买假”与“知假被迫买假”。两种类型买假的动因不同,治理措施有异。论文用科尔曼的理性选择理论,从微观和宏观两个层面分析了消费者买假的行为,以期找出抑制的方法。为准确地找出消费者购买各类假品的决定因素,论文用Bearden和Etzel产品分类法,将假品分成四种类型,分别是：公开-奢侈型、公开-必需型、私密-奢侈型和私密-必需型。对现实中客观存在的、消费者主动购买前三种类型假品动机中的决定因素,分别进行分析,并构建了理论模型。因素的分析及模型的构建,为约束消费者的知假买假行为提供了治理思路。第5章,对监管制度虚化的分析,主要从法制不健全,政府职能越位、缺位或错位,社会监管力量(包括消委会、行业协会、第三方检测认证机构、媒体、个人等)缺失几方面进行讨论,结论是总体监管力量弱化。第四部分,假冒伪劣的治理研究。包括第6、7、8章。第6章,对企业内在拒假品的源动力进行分析。第7章,国外及我国台湾地区的治理经验借鉴。第8章,中国治理假冒伪劣的对策措施。本部分在微观经济主体行为及政府行为分析的基础上,利用内部力量和外部力量的治理手段,以达到内外兼治,促进市场和谐发展和繁荣的目的。二、研究的结论第一,假冒伪劣的成因是由市场主体企业造假、消费者的购假以及政府监督力量弱化三个方面造成的。第二,企业的造假有其内在根源和外在因素的影响。第三,消费者买假存在“不知情买假”和“知假买假”两大类。知假买假又有“知假自愿买假”与“知假被迫买假”。两类类型买假的动因不同。第四,消费者知假买假主要集中在公开-奢侈型、公开-必需型和私密-奢侈型的假品上。决定消费者购买他们的因素和重要程度有一定的差别。第五,总体监督力量弱化。第六,根据努德海文的人性内核分裂模型,提出了声誉机制是企业内在拒假的源动力。第七,从内部作用力量和外部作用力量两个方面,提出了对假冒伪劣商品内外兼治的综合治理模型及具体对策。三、研究的创新第一,利用寻租、交易费用等理论,对企业的造假动机和造假行为进行深入分析,并建立了企业造假动机与行为的关系模型。该模型呈现了企业造假动机与造假行为之间的内在机制、路径与影响因素方面的联系。第二,将消费者买假分为“不知情买假”和“知假买假”两大类,知假买假又分为“知假自愿买假”与“知假被迫买假”两小类。并分别对这些类型进行了定义,分析了各种购假行为的特点。第三,根据Bearden和Etzel的产品分类法,将假品分成四种类型,分别是：公开-奢侈型、公开-必需型、私密-奢侈型和私密-必需型。得出消费者知假买假主要集中在公开-奢侈型、公开-必需型和私密-奢侈型的假品上的结论。第四,通过分析,认为消费者决定购买公开-奢侈型、公开-必需型和私密-奢侈型这三类假品的因素和重要程度有一定的差别,并相应构造出了三种类型假品的消费者购买意愿模型。三种模型对于消费者理性购假行为产生的原因及路径具有较强的解释力。第五,从努德海文的人性内核分裂模型出发,将企业人格化,说明企业象人一样,其内在禀性既有机会主义倾向的一面也有信守承诺倾向的一面；然后,结合声誉理论,,阐明声誉即是企业内在拒假的源动力；最后,说明社会及监管机构合理利用此声誉源动力,可以在一定程度上抑制企业内在的造假动机。第六,在前面研究结论基础上,从内部作用力量和外部作用力量两个方面,提出了对假冒伪劣内外兼治的综合治理模型及对策。内部作用力量主要针对企业和消费者,从企业声誉机制和消费者教育等方面入手,以行业自律、法规和诚信教育、维权意识教育等方式和制度,强化企业有限理性人可信度,增强其内在拒假动力：而外部作用力量,则主要针对政府及市场监管,建议从消除信息不对称和完善监管制度这类外在因素入手,以法律规范、政府问责、规制机构人员的责任追究、第三方监督、社会信用、惩罚、产品质量检查和信息公布等方面,建立和完善质量安全监管制度。通过内外部力量的共同作用,达到根本上治理假冒伪劣的目标。四、研究的不足第一,未对流通环节中的经销商的售假进行分析；第二,未对企业造假的因果关系模型及消费者购假意愿模型进行验证。以上不足,将在今后研究工作予以弥补。更多还原

【Abstract】 Product Counterfeiting is indeed a very severe economic problem. In 2009, IACC, international anti-counterfeiting coalition, estimated that the sale of globle counterfeit goods was about 600 billion dollars, and approximately 5%-7% of world trade is counterfeit goods. In fact, as for China at the transforming stage from the planned economic system to the market economic system, the counterfeit is more serious because the cases of counterfeiting happen constantly, and the counterfeit products are emerging in endlessly. Of these cases, there are not only fake fertilizer, fake seed and fake milk powder which harm consumers, and even endenger consumers’lives, but also products forging famous brands that are liked by some consumers. For the counterfeit products and countermeasure for counterfeit, academe in western and eastern countries have made a lot of research work. The western scholars paid more attentions to the demand side, i.e., the consumer, and mainly analyzed why consumers purchase counterfeit goods. It is concluded by some researchers that because the demand for counterfeit products motivates counterfeiters, restraining the demand will treate counterfeit effectively. Compared with western partners, Chinese researchers give their interest in the supply side, i.e., the producer, and analyze why enterprises produce fake products. On basis of Chinese economic development, the author concludes that in China the research should focus on restraining the spread of counterfeit goods. However, at present, there is lack of such literatures in China that combine the intrinsic factor (e.g., the motivation of market principal counterfeiting) with the extrinsic factor (e.g., the defect of the system).Under such background, the author will at first summerize the cause of counterfeit, the behavior of consumers’purchasing counterfeit goods, the anti-counterfeit based on purchasing fake products, and the countermeasure for counterfeit goods by using existing research literature. Secondly, the behaviors of enterprises’ counterfeiting and consumers’ purchasing fake products and the weakening of the supervision system are analyzed entirely and throughly by using systematically the theories of economics and sociology, and two models, that is, the behavior motivation of enterprises’ counterfeiting and the intention of consumers’ purchasing fake products, are built up. Thirdly, the source impetus of enterprise’s inherent resisting counterfeit is discussed and proposed. Fourthly, the countermeasures for counterfeit in western countries and Taiwan of our country are analyzed and summerized. Finally, on the basis of the conclusions above, a model of comprehensive countermeasure for counterfeit in China is constructed in order to wholely treat counterfeit from three sides, that is, government, enterprise and consumer.1. Research thought and contentThe research of this dissertation will be done as follows:firstly, the counterfeit and the type of consumers’ purchasing fake goods are defined; Then, the causes of counterfeit are analyzed from three aspects, that is, the behavior of enterprises’ counterfeiting, the behavior of consumers’ purchasing fake products and the weakening of supervision; Finally, the countermeasures for counterfeit in China are studied by analyzing the inherent impetus of enterprise’s resisting counterfeit and by referring the experience of treatment for counterfeit in western countries and at Taiwan of our country.The dissertation is divided into four parts, and composed of eight chapters, in which parts 3 and 4 are the core of this dissertation.Part 1, the introduction, i.e., Chapter 1, mainly includes the research background, concept definition, research thought and frame, research method, innovation and shortage, In this dissertation, counterfeit is defined to contain two aspects, i.e., the one in brand, trademark, intellectual property and quality content, and the other in index.Part 2, the literature overview, i.e., Chapter 2, reviews the researches in western and eastern countries, including the cause of conterfeit, the behavior of consumers’ purchasing counterfeit goods, the anti-counterfeit based on purchasing fake products, and the countermeasure for counterfeit goods, and finds the research angle for the dissertation.Part 3, the cause analysis of counterfeit, includes Chapter 3,4, and 5, discusses the cause of counterfeit spreading from the behavior of enterprises’ counterfeiting, the behavior of consumers’ purchasing fake products and the weakening of supervision.In Chapter 3, the motivations of enterprises’counterfeiting are studied from internal root and extrinsic factor. The author concludes that the internal root of enterprise’ counterfeiting contains pursuing profit by infringing intellectual property and seeking rent, opportunism behavior formed because of information imperfection and resource lack, and risk preference, and that the extrinsic motivation includes the supervision weakening, the inspiring of the intention and behavior of consumer’s purchasing counterfeit product, the popularization of the forging technique and Internet, and the system flaws at early stage or during system change period of market economy. The theroy model of the cause of enterprise’s counterfeiting is built up, and proved with the case of San-Lu milk powder.In Chapter 4, the behavior of consumer’s purchasing couterfeit is analyzed. The author classifies the consumer counterfeit-purchasing as "Unknowingly purchasing a counterfeit good" and "Knowingly purchasing a couterfeit good", and then divides the latter into "Knowingly and voluntarily purchasing a counterfeit good" and "Knowingly and forcedly purchasing a counterfeit good". There are different motivations and countermeasures for the two classifications. The author analyzes the behavior of consumer’s buying counterfeit goods from microcosmic view and macroscopic view so as to find a method to restrain the behavior by applying the rational choice theory that Coleman proposed. In order to find out the determinants of consumers’buying each type of counterfeit, the author divides counterfeit products into four types according to the product classification that Bearden and Etzel suggested, i.e., public-luxury (PUL), public-necessity (PUN), private-luxury (PRL) and private-necessity (PRN). For the former three types that consumers purchase proactively in real life, the determinants of consumers’buying them are analyzed respectively, and responding theory models are also built up. The determinant analysis and the model construction provide us with the thought to constrain the behavior of consumers’ knowingly purchasing fake goods.In Chapter 5, the weakening of monitoring system is analyzed mainly from such aspects as the imperfect legal system, the offside, vacancy or dislocation of government functions, lack of social regulatory forces (including the consumer’s association, industry associations, third-party testing certification bodies, the media, individuals, etc.), and it is concluded that the overall regulatory power is weak.Part 4 is about research on the countermeasure for counterfeit, including Chapter 6,7 and 8.In Chapter 6, the impetus of enterprise’s resisting counterfeit inherently is analyzed. In Chapter 7, the experiences of treating counterfeit in western countries and Taiwan of our country are summerized. In Chapter 8, the counterfeit countermeasures in China, are studied, In this part, on the basis of the analysis of the behaviors of microeconomic principals and government, it is concluded that counterfeit should be treated together from inside and outside by using internal and external forces, and just doing so the goal to promote the harmonious development and prosperity of the market will be achived.2. ConclusionsFirstly, counterfeit is caused by enterprises’ counterfeiting, consumers’ purchasing fake goods as well as weakening of the regulatory power.Secondly, enterprise conterfeiting has deep roots and external factors.Thirdly, consumer counterfeit-purchasing has such two categories as "Unknowingly purchasing a counterfeit good" and "Knowingly purchasing a couterfeit good", and the latter is further divided into "Knowingly and voluntarily purchasing a counterfeit good" and "Knowingly and forcedly purchasing a counterfeit good". There are different motivations for the two categories.Fourthly, consumers’knowingly buying fake is mainly concentrated on three types of counterfeit, i.e., public-luxury type, public-necessity type and private-luxury type. There are of certain differences in the factors and importance that decide consumers to buy three types of counterfeit products.Fifthly, the overall supervision power is weak.Sixthly, according to the human core split model that Noorderhaven proposed, it is concluded that the reputation mechanism may be the inner impetus of enterprises’resisting counterfeit inherently.Seventhly, from aspects of the inner and external powers, a comprehensive model and countermeasure for treating counterfeit together from inside and outside. are put forward.3. Innovations First, by means of seeking-rent theory, transaction cost theory and etc., the motivation and behavior of enterprise’s counterfeiting are analyzed in deepth, and a relational model of the motivation and behavior of enterprise’s counterfeiting is built up, which presents the mechanism, path and influence factors between motivation and behavior of enterprise’s counterfeiting.Second, consumer counterfeit-purchasing is classified as "Unknowingly purchasing a counterfeit good" and "Knowingly purchasing a couterfeit good", and the latter is further divided into "Knowingly and voluntarily purchasing a counterfeit good" and "Knowingly and forcedly purchasing a counterfeit good". All of them are defined, respectively, and the characteristics of them are analyzed also.Third, counterfeit products are divided into four types according to the product classification that Bearden and Etzel suggested, i.e., public-luxury (PUL), public-necessity (PUN), private-luxury (PRL) and private-necessity (PRN). It is concluded that consumers’ purchasing fake is concentrated on types PUL, PUN and PRL.Fourth, through analysis, it is found that there are of certain differences in the factors and importance that decide consumers to purchase counterfeit products of such three types as public-luxury (PUL), public-necessity (PUN) and private-luxury (PRL), and responding intention models of consumer’s purchasing fake are also built up. The three models have the strong power to explain the causes and path of rational behavior of consumers’buying fake goods.Fifth, starting from the human core split model that Noorderhaven proposed and through personalizing enterprise, it is shown that company behaves like person, and its inherent disposition has both the opportunistic tendency and the tendency to keep its promise; and then combined with the reputation theory, it is clarified that reputation is probably the inner power for enterprise to inherently refuse counterfeit; and finally, it is indicated that the reputation mechanism can be used to prohibit enterprise from counterfeiting to some extent.Sixth, based on the conclusions above, from aspects of the inner and external powers, a comprehensive model and countermeasure for treating counterfeit together from inside and outside is put forward. The inner power mainly targets at enterprises and consumers, and takes effect by using such forms or systems as industry self-regulation, regulation and credibility education, and safeguarding-rights education, through enhancing the credibility of the limited-rationality person from the reputation mechanism and consumer education; whereas the external power mainly targets at the government and the market regulators, and plays a role by using such systems or forms as laws and regulations, government accountability, personnel accountability of regulatory agency, third-party supervision, social credit, punishment, product quality control and information publishment, starting with eliminating information asymmetry and improving the regulatory regime of such extrinsic factors. Through these internal and external forces working together, counterfeit in market can be treated fundamentally.4. ShortagesFirst, the research of this dissertation does not contain the analysis of dealers’ selling fake products in intermediate circulation.Second, the current work does not include the validation for the causal relationship model of enterprise’s counterfeiting and for the willingness model of consumer’s buying fake goods.The above shortages will serve as the further research in the future.更多还原