【作者】 郑云虹；

【导师】 李凯；

【作者基本信息】 东北大学 ， 管理科学与工程， 2008， 博士

【摘要】 本文站在生产者的角度,以延伸生产者责任(EPR)的相关理论为基础,在延伸生产者责任制度框架下,研究生产企业关于废旧产品的回收问题。从理论上分析了EPR制度下生产者的行为反应、生产者回收模式的选择机理及选择方法,并通过构建回收模式决策模型,揭示生产企业实现回收收益最大的条件。论文的研究意义在于,从企业层面,可为企业在EPR制度下体现其延伸责任的方式提供具体的思路及决策依据；从政府层面,通过EPR制度下生产者行为反应的研究,可为我国尽快建立完善的EPR制度提供借鉴；从整个社会层面,对减少经济活动的环境影响,减少自然资源的消耗,实现人类社会经济的可持续发展具有重要的现实意义。论文的核心内容是揭示EPR制度下企业的行为反应及企业承担延伸责任模式的选择依据。研究表明,有效的制度设计是激发企业回收积极性的重要条件,核心竞争能力是企业回收业务自营或外包的重要决策依据,交易费用同样影响企业回收模式的选择,成本收益比较是企业选择承担延伸责任模式时所开展的一项最基本的工作。论文主要完成了以下五个方面的研究工作：(1)梳理了EPR的相关研究文献,构建了EPR制度下生产企业行为研究的逻辑框架。界定了本研究所涉及的主要概念,阐述了与本研究相关的理论；提出了本研究的两个主要问题即延伸生产者责任制度下生产者的行为反应问题以及生产者回收模式选择问题。(2)运用博弈分析的方法,比较分析了EPR制度下各相关主体的行为反应,提出并论证了环境规制是企业环境行为原始驱动力的论点；通过政府与生产者关于EPR的博弈分析,指出政府EPR制度实施成败的关键在于其制度设计能否激发生产者承担延伸责任的积极性,并且尝试对EPR制度的激励机制做出了设计；分析了回收市场存在竞争条件下生产者与回收商关于EOL产品的反应,指出有效的制度设计是激发责任企业与回收商回收积极性的重要条件。(3)深入分析了EPR制度下生产者回收模式的选择机理。提出了生产者可选择回收模式的类别,在清晰界定各类回收模式概念内容的基础上,对各类回收模式的优势、劣势进行了深入的比较分析；从企业核心竞争能力、交易费用、成本比较三个不同角度阐释了生产者回收模式选择的内在机理。研究表明,核心竞争能力是企业回收业务自营或外包的重要决策依据,交易费用影响企业回收模式的选择,生产者通过成本比较最终做出回收模式的决策。在此基础上,提出了生产者选择回收模式的总体思路,并对企业选择适当的回收模式提出了具体的决策标准。(4)从收益决策出发,构建了线性需求条件下的回收模式决策模型,得出了EPR制度下生产者实现最大利润的条件。构建和分析了生产者自建回收系统的两种细分模式回收决策模型,得到了利用回收材料生产新产品实现的材料费用节约是企业回收利润增函数的结论；构建和分析了回收业务外包中的委托第三方回收与生产者责任组织回收模式决策模型,指出了两种外包回收模式选择的原则和方法；构建和分析了生产企业联盟回收模式决策模型,得到了采用该回收模式时回收材料的成本影响生产者的利润,具体表现为回收材料的成本越高生产者利润越小,而回收材料成本的重要决定因素是回收联盟的生产规模的论点。(5)通过案例分析对回收模式的选择和应用做出进一步论证。案例分析进一步论证了本研究的相关论点。对宝马汽车公司废旧汽车回收实践的分析及回收战略方案的选择,证明了生产者自建回收系统模式适用于实力强大的大型企业、企业对具体回收模式的选择主要基于成本比较的论点；通过对德国DSD公司的运作和经营管理的深入分析,证明了外包模式是为无力自建回收系统的生产企业提供EPR制度下承担延伸责任的有效途径的论点；而日本家电回收联盟的形成和运作过程,证明了生产企业联盟回收模式适用于生产相似产品的生产企业EOL产品的回收、就交易费用而言是介于生产者自建回收系统模式和外包回收模式之间的有效回收模式的论点。更多还原

【Abstract】 Based on the theories of extended producer responsibility, this paper, in the frame of the system of extended producer responsibility, studies the problem of waste recycling about manufacture enterprises. The paper theoretically analyses the producer behavioral responses, choice mechanism and method of recycling mode, and reveals the conditions of the maximum recycling profits of enterprises. The aim of this paper lies in providing the decision-making basis for enterprises embody extended responsibility on the enterprises level, providing the propose for government to build the perfect system of EPR as soon as possible by the studies of producer behavioral responses based EPR system on the government level, and having important meaning for reducing environmental impact of economic activity and resources consumption as well as realizing the human social economic sustainable development.The core of the paper is to reveal the enterprises behavioral responses and the choice basis of recycling mode. The study shows the effective system design is the important condition for encouraging enterprises recycling enthusiasm; the core competence is the important decision-making basis of independent recycling or outsourcing; transaction costs affect the recycling mode choice; and cost-benefit comparison is the most basic work for the enterprises recycling mode choice.The paper has mainly completed the following five aspects research work:(1) Beginning from reorganizing associated research documents of EPR, this paper constructs the theory frame of enterprises behavior studies based on EPR system. Then it defines the main concepts, introduce some theories related to this research, and put forwards two important problems, namely the problems of producer’s behavioral responses bases on EPR system and the recycling mode choice.(2) Comparing and analyzing the behavioral responses of all related mains. After analyzing the behavioral responses of all related main by using the game theory. This paper brings up and demonstrates the issue that environmental regulation is the original driving force of enterprise’s environmental behavior. And on the basis of the game of government and producer, it points out the greater the cost of manufacturers, the smaller the punishment when they refuse to undertake the responsibility and the greater the difficulty for government to carry out EPR. At the same time, the paper demonstrates the key to implement EPR is whether the government’s system design could stimulate the producers’initiative of taking responsibility, and try to design the incentive mechanism. Moreover, it analyzes the responses of producer and collectors when they face to EOL product, then point out that the effective system design is the important condition to encourage their recycling enthusiasm.(3) Analyzing the choice mechanism of producer about recycling mode under EPR system profoundly. First, this paper brings up several kinds of recycling modes for producers, then, on the basis of defining the concept of every kind of recycling mode; it analyzes the advantages and disadvantages of each recycling mode comparatively and interpret the internal choice mechanism of recycling mode from three different point of view of core competence, transaction costs and cost compare. This study shows that the core competence is the important decision-making basis of independent recycling or outsourcing, transaction costs affect the recycling mode choice, and producer’ decision-making comes from the cost comparison for every recycling mode. On this basis, the paper puts forward the general idea of recycling mode choice, and then indicates the specific decision-making standard.(4) Starting from the decision-making of proceeds, this paper constructs the recycling mode decision-making model in the conditions of linear demand, and draws the largest profit condition in the system of EPR. First, after constructing and analyzing the two specific recycling decision-making models about producer self-recycle system, it comes to the conclusion that cost savings by the using of recycled materials is a function of enterprises’ recycling profit. Then by constructing and analyzing the recycling decision-making models of a third-party recycle and producer responsibility organization recycle about recycling outsourcing mode, it gives two principles and methods for choosing outsourcing mode. Finally, the paper constructs and analyzes the recycling decision-making models of the corporation recycling alliance, and comes to the conclusion of the cost of recycling material impacts on the profits of producers while the scale of recycle influences the cost of recycling material.(5) Through case studies, this paper demonstrates the choosing and applying the recycling mode further. By analyzing BMW’s recycling business of used motor vehicles and recycling strategy program, an argument is proved that the mode of producer self-recycle system is applicable to powerful enterprises. By analyzing DSD’s company management and operation, a point is proved that outsourcing mode is an effective way to undertake the extended responsibility for manufacturers who couldn’t construct the recycling system by himself. While the formation and operation of Japanese home appliance recycling alliance proves CRA mode is suitable for the similar products manufacturers, and for the transaction costs, it is an effective recycling mode in the range of between producer self-recycle system and recycling business outsourcing.更多还原