逆向物流规划体系及其补偿控制问题研究
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摘要
在可持续发展战略指导下,本论文运用系统分析的思想和定性与定量相结合的研究方法,从规划的框架体系、规划客体(即废旧产品)、规划参与主体、规划客体的规范回收、规划后评价等方面,围绕实现再生资源、生态环境与社会经济三者之间协调发展的基础理论,重点研究了逆向物流规划体系及其补偿控制问题。
本论文的主要工作如下:
(1)从逆向物流规划、逆向物流生产运作、逆向物流运作机制3个方面,回顾并分析了逆向物流研究的进展及存在的不足,尤其是对逆向物流运作机制研究的系统分析尚属首次。
(2)根据逆向物流及逆向物流规划的特征,构建了基于补偿—递阶—反馈控制的逆向物流规划体系。该体系中,逆向物流规划包括的3个子系统同时受5个补偿装置激发的补偿控制系统、递阶控制系统和2级反馈控制系统控制;并得出了它们之间的信息传递、反馈及控制机制。
(3)针对逆向物流规划的客体,即废旧产品进行了聚类研究。构建并优选了废旧产品聚类指标,通过对废旧产品和国内外逆向物流研究和发展的实际情况构建了16个聚类指标,通过优选最后确定了9个指标。对4种聚类方法得到的不同聚类结果,首次提出聚类效果测度系数的方法,并用该方法对其进行评价和分析,提高了聚类结果的可靠性。
(4)研究了逆向物流规划参与主体的范围及其作用机制。对逆向物流交易的治理结构研究表明,该结构中最主要的参与主体是逆向物流的委托企业、逆向物流代理企业、政府。另外,虽然消费者与交易治理结构的选择无直接联系,但他也是重要的参与主体之一。基于交易费用理论研究证实,虽然外包将增加交易费用,但它有助于发挥规模经济优势,弱化资产专用性和不确定性因素影响,增强外包企业的核心竞争力;同时,信息技术的发展、“双赢”的合作竞争趋势以及二者的共同作用,能够抑制静态条件下逆向物流市场交易的费用效率因素的影响作用,促进逆向物流朝着外包方向发展。另一方面,自营逆向物流又存在不可避免的问题。因此,基于外包的委托—代理模式无疑将成为逆向物流发展趋势,以此为基础建立了逆向物流外包双方价值取向及其激励机制的分析框架。与完全信息条件下的逆向物流委托—代理模型相比,不完全信息条件下的委托—代理模型不能实现帕累托最优,且代理人的分享份额和承担的风险都增加了。进一步分析发现,假如委托人此时将对照变量写进激励合同,则可以在提高代理人剩余份额分享比例的同时,促进代理人通过生产性努力来降低风险。实证分析还表明,逆向物流委托—代理模型不仅可以较好的解释和说明当前国内外几种典型逆向物流实施模式的特点、实施效果及问题,还能据此建立逆向物流外包激励机制、探索逆向物流外包发展模式。最后,对政府管制理论分析表明,激励性管制和协商性管制能够在一定程度上克服传统管制的局限性。在逆向物流领域,它们对降低逆向物流管制成本、提高逆向物流管制效果尤其重要。在此基础上,进一步分析了政府逆向物流管制应注意实施分类管制,提升管制效果:促进逆向物流社会化、专业化的两个问题。
(5)系统研究了逆向物流规划客体的数量仿真及其控制策略问题。基于统计数据,以废旧电视机为例,建立了废旧电子产品系统动力学模型。该模型由经济子系统、电视机在用子系统、一次使用废电视机、二次使用废电视机形成子系统等四大子系统构成,形成11个一阶反馈环、9个二阶反馈环和5个三阶反馈环,这25个反馈环中负反馈环9个,正反馈环16个。构建了该模型的流程图和方程,并进行参数估计。通过仿真分析,得出以发展经济为主要目标的发展型模式、以废电视机控制为重要目标的抑制型模式和以可持续发展为基本目标的协调型模式。经比较认为,以可持续发展为基本目标的协调型模式是实现废旧电子产品控制和社会经济可持续发展的最佳模式。
(6)规范回收是本研究引入的一个重要概念,废旧产品能否进入所规划的逆向物流系统是衡量逆向物流规划效果的重要指标。以家庭为基础,运用博弈理论研究了EPR下逆向物流实施模式及废旧产品的规范回收策略。基于博弈论研究认为,废旧产品规范回收面临着公共资源悲剧。从理论上看,通过引入惩罚机制可以弱化这一悲剧。但监督博弈分析证实,该机制在实践中并不可行。同时,公共资源悲剧理论也表明,国外EPR的3种实施模式,即EPR资金分别来自生产商、消费者和靠OEM_s自发实施回收再生在国内都难以应用。同时,基于博弈论方法研究了家庭废旧产品规范回收的决策问题,并以柯布—道格拉斯函数作为效用函数对该问题进行了实证分析。在此基础上,得出了10个推论,根据推论给出了废旧产品规范回收策略。
(7)建立了逆向物流规划后评价的研究框架。
The strategy of sustainable development guides this dissertation to employ the systematic,qualitative-quantitative analyses to mainly study the influential factors,principles,mechanism on the reverse logistics planning and how to enhance the rationality and science for this planning in such domains as the guidelines,the framework and compensation control mechanism.These mechanisms include:The objects,the subjects,the regulatory recycling of objects and the evaluation by making use of the fundamental theories of the coordinative advance in renewable resources,ecological environment and social economy.
The major original ideas in this dissertation are listed as follows:
(1) The advance and the deficiency in the study of reverse logistics are systematically reviewed in this dissertation based on such three fields as the reverse logistics planning,the operation of reverse logistics and the mechanism of reverse logistics.
(2) The theoretical framework for reverse logistics planning is established in the paper,which points out the periodicity/interaction characteristic in reverse logistics decision-making for the first time.Like uncertainty,this characteristic is the essential one and plays a very important part in the reverse logistics planning.The embedment of this characteristic in the SC-based product design, production,marketing,reproduction and logistics is of prime importance in such planning.This dissertation also systematically analyzes the concept,goals and classification of reverse logistics planning and clarifies the parts and the logic relationship between each part.The establishment of the planning framework based on the compensation control—control hierarchy—feedback control is made against the existing problems.
(3) The sustainable development of reverse logistics and the implementing strategies and phases in the reverse logistics planning are studied in this dissertation.The deepening research into the sustainable development makes clear the significant correlation between its concepts and characteristics,and is beneficial to the realistic guideline.This research also leads to the patterns for the sustainable development of reverse logistics,which shed light on the trend of reverse logistics planning and function as the theoretical base for the sustainable development.The division of the stages of China's reverse logistic planning and the corresponding assessment play a theoretical role in the right comprehension of the current situations of China's reverse logistic planning,the clarification of the important parts,and the scientific,reasonable guiding ideas for this planning.
(4) The clustering method is employed to the study of the objects of reverse logistics planning,i.e.waste and outdated products.The important significance in such research is presented,the theories and methods for this sort of study raised in this dissertation,which also constructs and optimizes the clustering indices for waste and outdated products.These are composed of sixteen indices, nine of which are optimized as the optimal ones by studying the domestic, foreign practical situations for waste and outdated products and reverse logistics. The varying findings from four clustering methods lead to the invention of clustering effect estimate coefficient,which is used to assess and analyze these outcomes to enhance their reliability.
(5) Based on the theory of transaction cost,this dissertation studies the governance structure of reverse logistics transaction,systematically analyzes the functions,characteristics or decision process of the major participating subjects,and clarifies the corresponding feedback mechanism of reverse logistics subjects implementing EPR policies.More importantly,it is also pointed out that uncertainty is one of the key factors affecting the efficiency of transaction expenses of reverse logistics market.Furthermore,the core competitiveness and the reverse logistics information play a certain role in this efficiency.The research also implies that the advance in IT,the win-win cooperative competitiveness and the interaction can reduce the affection of the efficiency of transaction expenses factors to contribute to the development of reverse logistics market under the static conditions.The government regulation against reverse logistics is also a part of this research.The incentive,coordinative regulations are the new trend of reverse logistics control;the classified regulation and the urging of reverse logistics into socialization and specialization are taken into account for the government.In light with the realistic situations and based on the game theory,the comparatively perfect,systematic reverse logistics principal-agent model is established under such circumstances as complete information,incomplete information,the input of collative variables,and the restriction of conspiracy.
(6) The dissertation clearly studies the objects of reverse logistics planning,specifically,the quantities of waste and outdated products,their influential factors and the control strategies.Based on the system dynamics, the waste TV sets are illustrated as an example to simulate the production of waste and outdated products.Consequently,three possible control patterns for waste products are concluded,among which the coordinative pattern aiming at the sustainable development is the optimal one that realizes the effective control over waste products and maintains the sustainable development of social economy.As a very important term,the regulatory recuperation functions to distinguish from the waste production to the total recuperation and to the recuperation into the planning system,which is the precondition for the achievement of reverse logistics science and the reasonable planning. Therefore,the game theory is employed to study the influential factors as well as the incentive strategies for the regulatory recuperation of household waste and outdated products.
(7) The framework for the post-evaluation of reverse logistics planning is established,which plays the guiding significance in such evaluation.
本论文的主要工作如下:
(1)从逆向物流规划、逆向物流生产运作、逆向物流运作机制3个方面,回顾并分析了逆向物流研究的进展及存在的不足,尤其是对逆向物流运作机制研究的系统分析尚属首次。
(2)根据逆向物流及逆向物流规划的特征,构建了基于补偿—递阶—反馈控制的逆向物流规划体系。该体系中,逆向物流规划包括的3个子系统同时受5个补偿装置激发的补偿控制系统、递阶控制系统和2级反馈控制系统控制;并得出了它们之间的信息传递、反馈及控制机制。
(3)针对逆向物流规划的客体,即废旧产品进行了聚类研究。构建并优选了废旧产品聚类指标,通过对废旧产品和国内外逆向物流研究和发展的实际情况构建了16个聚类指标,通过优选最后确定了9个指标。对4种聚类方法得到的不同聚类结果,首次提出聚类效果测度系数的方法,并用该方法对其进行评价和分析,提高了聚类结果的可靠性。
(4)研究了逆向物流规划参与主体的范围及其作用机制。对逆向物流交易的治理结构研究表明,该结构中最主要的参与主体是逆向物流的委托企业、逆向物流代理企业、政府。另外,虽然消费者与交易治理结构的选择无直接联系,但他也是重要的参与主体之一。基于交易费用理论研究证实,虽然外包将增加交易费用,但它有助于发挥规模经济优势,弱化资产专用性和不确定性因素影响,增强外包企业的核心竞争力;同时,信息技术的发展、“双赢”的合作竞争趋势以及二者的共同作用,能够抑制静态条件下逆向物流市场交易的费用效率因素的影响作用,促进逆向物流朝着外包方向发展。另一方面,自营逆向物流又存在不可避免的问题。因此,基于外包的委托—代理模式无疑将成为逆向物流发展趋势,以此为基础建立了逆向物流外包双方价值取向及其激励机制的分析框架。与完全信息条件下的逆向物流委托—代理模型相比,不完全信息条件下的委托—代理模型不能实现帕累托最优,且代理人的分享份额和承担的风险都增加了。进一步分析发现,假如委托人此时将对照变量写进激励合同,则可以在提高代理人剩余份额分享比例的同时,促进代理人通过生产性努力来降低风险。实证分析还表明,逆向物流委托—代理模型不仅可以较好的解释和说明当前国内外几种典型逆向物流实施模式的特点、实施效果及问题,还能据此建立逆向物流外包激励机制、探索逆向物流外包发展模式。最后,对政府管制理论分析表明,激励性管制和协商性管制能够在一定程度上克服传统管制的局限性。在逆向物流领域,它们对降低逆向物流管制成本、提高逆向物流管制效果尤其重要。在此基础上,进一步分析了政府逆向物流管制应注意实施分类管制,提升管制效果:促进逆向物流社会化、专业化的两个问题。
(5)系统研究了逆向物流规划客体的数量仿真及其控制策略问题。基于统计数据,以废旧电视机为例,建立了废旧电子产品系统动力学模型。该模型由经济子系统、电视机在用子系统、一次使用废电视机、二次使用废电视机形成子系统等四大子系统构成,形成11个一阶反馈环、9个二阶反馈环和5个三阶反馈环,这25个反馈环中负反馈环9个,正反馈环16个。构建了该模型的流程图和方程,并进行参数估计。通过仿真分析,得出以发展经济为主要目标的发展型模式、以废电视机控制为重要目标的抑制型模式和以可持续发展为基本目标的协调型模式。经比较认为,以可持续发展为基本目标的协调型模式是实现废旧电子产品控制和社会经济可持续发展的最佳模式。
(6)规范回收是本研究引入的一个重要概念,废旧产品能否进入所规划的逆向物流系统是衡量逆向物流规划效果的重要指标。以家庭为基础,运用博弈理论研究了EPR下逆向物流实施模式及废旧产品的规范回收策略。基于博弈论研究认为,废旧产品规范回收面临着公共资源悲剧。从理论上看,通过引入惩罚机制可以弱化这一悲剧。但监督博弈分析证实,该机制在实践中并不可行。同时,公共资源悲剧理论也表明,国外EPR的3种实施模式,即EPR资金分别来自生产商、消费者和靠OEM_s自发实施回收再生在国内都难以应用。同时,基于博弈论方法研究了家庭废旧产品规范回收的决策问题,并以柯布—道格拉斯函数作为效用函数对该问题进行了实证分析。在此基础上,得出了10个推论,根据推论给出了废旧产品规范回收策略。
(7)建立了逆向物流规划后评价的研究框架。
The strategy of sustainable development guides this dissertation to employ the systematic,qualitative-quantitative analyses to mainly study the influential factors,principles,mechanism on the reverse logistics planning and how to enhance the rationality and science for this planning in such domains as the guidelines,the framework and compensation control mechanism.These mechanisms include:The objects,the subjects,the regulatory recycling of objects and the evaluation by making use of the fundamental theories of the coordinative advance in renewable resources,ecological environment and social economy.
The major original ideas in this dissertation are listed as follows:
(1) The advance and the deficiency in the study of reverse logistics are systematically reviewed in this dissertation based on such three fields as the reverse logistics planning,the operation of reverse logistics and the mechanism of reverse logistics.
(2) The theoretical framework for reverse logistics planning is established in the paper,which points out the periodicity/interaction characteristic in reverse logistics decision-making for the first time.Like uncertainty,this characteristic is the essential one and plays a very important part in the reverse logistics planning.The embedment of this characteristic in the SC-based product design, production,marketing,reproduction and logistics is of prime importance in such planning.This dissertation also systematically analyzes the concept,goals and classification of reverse logistics planning and clarifies the parts and the logic relationship between each part.The establishment of the planning framework based on the compensation control—control hierarchy—feedback control is made against the existing problems.
(3) The sustainable development of reverse logistics and the implementing strategies and phases in the reverse logistics planning are studied in this dissertation.The deepening research into the sustainable development makes clear the significant correlation between its concepts and characteristics,and is beneficial to the realistic guideline.This research also leads to the patterns for the sustainable development of reverse logistics,which shed light on the trend of reverse logistics planning and function as the theoretical base for the sustainable development.The division of the stages of China's reverse logistic planning and the corresponding assessment play a theoretical role in the right comprehension of the current situations of China's reverse logistic planning,the clarification of the important parts,and the scientific,reasonable guiding ideas for this planning.
(4) The clustering method is employed to the study of the objects of reverse logistics planning,i.e.waste and outdated products.The important significance in such research is presented,the theories and methods for this sort of study raised in this dissertation,which also constructs and optimizes the clustering indices for waste and outdated products.These are composed of sixteen indices, nine of which are optimized as the optimal ones by studying the domestic, foreign practical situations for waste and outdated products and reverse logistics. The varying findings from four clustering methods lead to the invention of clustering effect estimate coefficient,which is used to assess and analyze these outcomes to enhance their reliability.
(5) Based on the theory of transaction cost,this dissertation studies the governance structure of reverse logistics transaction,systematically analyzes the functions,characteristics or decision process of the major participating subjects,and clarifies the corresponding feedback mechanism of reverse logistics subjects implementing EPR policies.More importantly,it is also pointed out that uncertainty is one of the key factors affecting the efficiency of transaction expenses of reverse logistics market.Furthermore,the core competitiveness and the reverse logistics information play a certain role in this efficiency.The research also implies that the advance in IT,the win-win cooperative competitiveness and the interaction can reduce the affection of the efficiency of transaction expenses factors to contribute to the development of reverse logistics market under the static conditions.The government regulation against reverse logistics is also a part of this research.The incentive,coordinative regulations are the new trend of reverse logistics control;the classified regulation and the urging of reverse logistics into socialization and specialization are taken into account for the government.In light with the realistic situations and based on the game theory,the comparatively perfect,systematic reverse logistics principal-agent model is established under such circumstances as complete information,incomplete information,the input of collative variables,and the restriction of conspiracy.
(6) The dissertation clearly studies the objects of reverse logistics planning,specifically,the quantities of waste and outdated products,their influential factors and the control strategies.Based on the system dynamics, the waste TV sets are illustrated as an example to simulate the production of waste and outdated products.Consequently,three possible control patterns for waste products are concluded,among which the coordinative pattern aiming at the sustainable development is the optimal one that realizes the effective control over waste products and maintains the sustainable development of social economy.As a very important term,the regulatory recuperation functions to distinguish from the waste production to the total recuperation and to the recuperation into the planning system,which is the precondition for the achievement of reverse logistics science and the reasonable planning. Therefore,the game theory is employed to study the influential factors as well as the incentive strategies for the regulatory recuperation of household waste and outdated products.
(7) The framework for the post-evaluation of reverse logistics planning is established,which plays the guiding significance in such evaluation.
引文
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