供应链低碳化若干影响因素研究
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摘要
供应链低碳化的提出源自低碳经济的兴起,更深层的背景则是全球气候变化问题。全球气候变化问题是人类社会需要共同面对的危机,而关于气候变化问题的解决途径,人类社会已经形成的共识是：减少人类向大气排放的温室气体。
工业文明的建立是导致人类社会排放过多温室气体的肇因,为了从根本上应对全球气候问题,则必须建立受碳排放约束的低碳经济。在低碳经济背景下,供应链低碳化就成为继供应链绿化之后,对供应链发展的新要求。
供应链低碳化强调减少整个供应链的碳排放,围绕这一核心目标,不同学者从消费者消费角度,产品生产流通角度以及供应链自身结构特征角度出发,进行了一系列的理论和实证研究。
消费者角度已有的研究包括了消费者低碳消费偏好的实证、低碳消费引导、低碳消费外部环境等多个方面,但文献对于消费者对供应链低碳化的起点——碳披露——的影响涉及较少；同时,从实际数据中也可以发现,碳披露是国内企业较少采取的行动,能效标示在国内电器产品上加载的普及率也存在较大差异,现实中所反映的问题需要进行深入的剖析与探讨。
产品角度相关文献叙述了从产品设计、制造、加工、包装、工艺、技术、价格等方面的低碳化措施。但尚没有文献从低碳化背景下产品最主要的特征——品质和低碳的双重属性——出发进行讨论；同时,从实际数据中也可以发现,产品中所内含双重属性给供应链低碳化带来的问题：尽管SUV产品的排放问题较大,但国内汽车行业SUV产销两旺、已跃居各类乘用车之首；尽管降低汽车重量能带来显著的减排效果,但欧洲的调查表明各大厂商的汽车平均重量仍连续8年保持增长；即使在加载能效标示的情况下,低能效的家电产品也始终占据一席之地。企业并未因为消费者低碳的偏好而采取更为积极的低碳化行动,低碳经济的背景下这类现象需要进行深入分析以发现规律。
供应链结构角度的相关文献主要涉及供应链中核心企业在供应链低碳化过程中所应处的地位及作用、供应链中企业竞争时所采取的竞争策略等。已有的研究对供应链结构没有更加深入的探讨；从供应链结构的传统研究来看,供应链的权力结构和供应链的竞争结构是研究的核心对象,研究结论主要指向供应链效率等方面,而在低碳经济中,低碳化和效率是供应链面临的两个不同的问题,权力结构和竞争结构对供应链低碳化的影响是应当被重新分析和认识的。
针对目前供应链低碳化的理论研究存在的不足和需要解释的实际现象,本文基于供应链理论、博弈论等理论和方法围绕供应链的三个构成环节——消费者、产品和供应链上下游企业(即供应链结构)——开展理论研究,分析其对供应链低碳化的影响规律。
本文的主要研究成果和结论包括三个方面：
(1)消费者对供应链低碳化的影响
引入含有消费者低碳意识的供应链需求函数,建立供应链低碳化分析模型,并在考虑供应链初始低碳水平的条件下,分析了消费者低碳意识对碳披露、供应链企业初始低碳水平和低碳投入决策的影响。
通过对比碳披露前后的企业利润的变化,说明在消费者具备低碳意识的条件下,初始低碳水平好于低碳标准的供应链可能会自愿碳披露的活动,以主动响应低碳需求、提升利润水平；而初始低碳水平劣于低碳标准的供应链则没有意愿主动碳披露。；
碳披露会给初始低碳水平好的供应链带来的额外利润增长,将为第三方碳披露服务提供价值基础,而消费者与供应链企业关于低碳信息的不对称,使得第三方碳披露服务的存在具有必然性。
无论低碳的或高碳的供应链在碳披露的基础上进一步减排,都需要消费者低碳意识提升,但高碳的供应链所需的消费者低碳意识条件更高。同时,对于高碳的供应链而言,强制性碳披露能够刺激其开展减排行动,强制性碳排放具有作为政策工具使用的可行性。
(2)产品对供应链低碳化的影响
引入含有产品双重属性’的供应链需求函数,建立基于产品属性的供应链低碳化分析模型,分析了产品双重属性对供应链低碳化的影响；建立了基于产品双重属性的供应链碳交易2分析模型,分析了产品双重属性与碳交易的关系,说明了碳交易可以是产品差异驱动的。
研究表明,产品品质和碳排放的关联越强的供应链,供应链上下游企业减排的力度也就越小；关联强度达到一定水平会使得供应链不进行任何低碳化行动。
供应链上下游企业的利润与品质-碳排放的关系较为复杂。品质和碳排放的关联强度(g值)达到一定值后,减排行动会导致供应链上游企业利润为负；在g值不高于使供应链企业利润为负的界限值时,上游企业的利润和供应链总利润会分别取得极大值,且上游企业利润取得极大值所对应的g值小于供应链总利润取得极大值时对应的g值。
受产品双重属性影响而不开展减排行动的供应链,可以通过碳交易提升供应链低碳水平,碳交易能够抵消一部分产品双重属性的影响；同时,无论从碳交易的卖方供应链还是买方供应链来看,碳交易均带动了其更进一步减排,从而使得参与碳交易的多个供应链的整体低碳水平得以提升。
同时,供应链之间的碳交易可以是产品驱动的,而非减排成本驱动的,碳交易的卖方相对于买方在减碳成本上的比较优势,对受产品驱动的碳交易而言则不是必须的条件。
(3)供应链结构对供应链低碳化的影响
将权力结构引入供应链低碳分析,建立了考虑权力结构的供应链低碳化分析模型,分析了三种不同权力结构下供应链低碳化的水平,并对传统供应链中关于权力结构影响供应链效率的结论进行了反思；将竞争结构引入供应链低碳分析,建立了考虑竞争结构的供应链低碳化分析模型,分析了三种不同竞争结构下供应链低碳化的差异。
研究表明,在供应链低碳化的过程中,下游企业具有权威的供应链的低碳水平,要高于上游企业具有权威的供应链,下游企业具有权威的供应链权力结构对供应链低碳化是有利的；在低碳化的同时,下游企业具有权威的供应链的效率(以供应链总利润衡量),可能会低于上游企业具有权威的供应链,这一点与传统供应链关于供应链效率的结论是不同的。
在供应链低碳化的过程中,上下游企业权威对等的供应链,其低碳化的条件要高于由上游企业或下游企业领导的供应链(更高的消费者低碳意识)；其低碳化水平低于上游企业领导的供应链,在低碳化的同时,其供应链效率(以供应链总利润衡量)可能会低于上游企业具有权威的供应链。
从权力结构对供应链低碳化的影响分析中可知,权力结构对供应链效率的作用(以供应链总利润衡量)是间接的,权力结构能够直接影响的是供应链对于市场或消费者偏好的响应；当需求仅受价格影响时,下游具有权威的供应链效率最高；而需求受到低碳水平影响时,下游具有权威的供应链低碳水平最高。
研究还表明,竞争对于供应链低碳化是有利的；无论是供应链上游企业的横向竞争,还是供应链下游企业的渠道竞争,供应链低碳化水平均会随着竞争强度的增加而提升。
本文的特色与创新主要有五个方面：
(1)围绕消费者需求存在低碳偏好的条件,建立了供应链碳披露决策分析模型,通过模型分析确认了供应链初始低碳水平对碳披露的正面和负面影响,进而阐明了第三方碳披露服务的可能性和必然性；与前人分析中通常忽略供应链初始低碳水平不同,建立了考虑供应链初始低碳水平的供应链减排决策模型,分析.了消费者低碳意识与高碳/低碳供应链的减排力度的关系,并结合高碳供应链解释了强制碳披露作为政策工具的可行性。
(2)从低碳经济下产品的品质与低碳的双重价值属性出发,为供应链低碳化分析设计了基于二元效用观的供应链需求函数,形成了从产品视角进行供应链低碳化决策分析的新方法；建立了基于产品双重属性的供应链低碳化分析模型,解释了产品的品质与碳排放关联强度对供应链低碳化的阻碍作用,并阐明了通过碳交易实现产品的品质与碳排放脱钩、推动供应链低碳化的必要性。
(3)建立了基于产品双重属性的供应链碳交易分析模型,阐明基于产品差异(即买方供应链的产品品质与碳排放关联强度大于卖方的)而在供应链之间开展的碳交易是可行的,指出卖方减排成本低于买方减排成本并非碳交易的必要条件,亦即产品动因可以独立于成本动因推动碳交易市场发展；更进一步指出了以减排成本差异为出发点、力求通过碳交易降低总体减排成本的政策存在不合理之处,总减排成本最小化的碳交易政策可能会与消费者的合理需求、企业的正常发展相冲突。
,(4)在供应链低碳化分析中,权力结构是比较重要的且较少被注意到的因素,本研究建立了考虑权力结构因素的供应链低碳化分析模型。通过模型分析和算例验证,阐明对低碳化最为有利的供应链权力结构是下游具有权威的结构,而上游或下游的某一端具有权威的结构比权威对等的结构更有利于低碳化；同时,传统供应链中权威向下游转移时供应链整体利润会提升的结论,对于低碳供应链而言不是必然的。
(5)建立了考虑竞争结构的供应链低碳化分析模型,将不同竞争结构与供应链低碳化水平联系起来,指出无论是横向竞争还是交叉竞争,竞争均能有效提升供应链低碳水平。
Climate change and the responses through low carbon economy are the very realistic background for low-carbon supply chain research. Climate change has been recognized as one of the most important environmental issues at global level, and to find the solution toward this challenge has become the common and crucial issue in front of the various circles of human society. For the fundamental solution of climate change, the consensus that human society has reached is to reduce the greenhouse gas (GHG) discharge. Historically, the over-discharge of GHG is closely related to the industrial civilization, so to solve this problem thoroughly, we must established low-carbon economy system, whose core character is to have all supply chain elements be obligated to carbon emission with considerations of the key factors of carbon emission from producing to consuming. Under the background of low-carbon economy, low-carbon supply chain has raised the new bar after green supply chain.
Low-carbon supply chain gives more focus on reducing the carbon emission. Series of theoretical and empirical research have been carried out from different aspects including consumer consuming, production&circulation and supply chain structure etc.
Consuming refers to the influence on low-carbon supply chain which is triggered by consumer. Current research includes the empirical study on consumers'low-carbon preference, low-carbon consumption guide, external environment for low-carbon consumption etc, while the existing research is very rare to touch the starting point of a low-carbon supply chain-carbon disclosure esp. on its influence to the low-carbon supply chain. Meanwhile, from the practical and real data, we could easily found that carbon disclosure is one area with very limited touches in domestic companies. So far, the penetration rates of energy efficiency labels are with very big differences among the segment markets of household electrical appliance industry, and it is necessary to have deep studies into the arisen problems.
From production and circulation aspect, related researches are more focusing on the low-carbon solutions on product design, manufacturing, packing, process control, technology and pricing etc, while we cannot find any research made from the primary character of low-carbon product-dual attributes on both quality and low-carbon. Meanwhile, from practical data we could also find the problems led by this embedded dual attribute in following cases:1) SUV (a kind of auto with high carbon emission) is highly welcomed and occupies the first place of China automobile market with very fast incremental trend recently;2) one survey in Europe shows that all the auto vendors did not choose to reduce carbon emission through weight/size decreasing, while in opposite, the weight of autos kept increasing for all most8years;3) even in the trend to label energy efficiency on electric appliances, some energy inefficiency products are still occupies a particular position in market. All of these phenomena should be took with deep analysis, so as to dig out the inherent rules.
Regarding the aspect of the supply chain structure, current studies pay more attention to the core enterprises in supply chain which play key role in promoting the low-carbon supply chain; some are also focusing on the competition strategy in supply chain. The existing researches did not make an intensive study of supply chain structure. Conventionally, the power structure and competition structure of a supply chain are the key topics in the study of supply chain structure, and the key conclusions mainly point at supply chain efficiency, while in low-carbon economy, low-carbon and efficiency are two different topics, which means that the influence from the power structure and competition structure to a low-carbon supply chain should also be reanalyzed.
To filling the vacant position of current studies as summarized in above, the studies will give focuses on the three key factors of a supply chain-consumer, product and enterprises to reveal their influencing rules to a low-carbon supply chain. The study is with deep insight of supply chain theory and game theory etc.
Three key conclusions of this study:
(1) How consumer impact on the low-carbon supply chain
Supply chain demand function with low-carbon awareness is introduced in this study, meanwhile, the low-carbon analysis model is established, and how the consumer's low-carbon awareness impact on the carbon-disclosure, low-carbon degree and low-carbon investment decision was also analyzed with the consideration of the current low-carbon degree of a supply chain.
Study has shown that impacted by consumer, the supply chain whose low-carbon degree is better than the requirement defined in low-carbon standard might be more than happy to disclose its carbon emission, so as to so as to proactively influence the consumers'need on low-carbon products which as a result will raise up the profit level for the supply chain. While in opposite, for the supply chain whose low-carbon degree is lower than the standards, the enterprises in the supply chain are not able to take concerted effort on carbon-disclosure.
Carbon-disclosure will bring extra profit increase for the supply chain with good low-carbon degree, and this will further consolidate the foundation for the third-party to provide carbon-disclosure service. While the low-carbon information asymmetry between enterprises and consumer actually makes the third-party carbon-disclosure service inevitable.
To enhance the consumers'low-carbon awareness will certainly promote the carbon reduction for the supply chains whatever with good or poor low-carbon degree, while for the supply chain with high level of carbon emission, it will definitely require a higher level of consumers'low-carbon awareness. To the supply chain with high level of carbon emission, mandatory carbon disclosure will activate their actions in reducing carbon, which means, mandatory carbon disclosure is with possibility to be used as a kind of regulatory tools.
(2) How product impact on the low-carbon supply chain
Supply chain demand function with dual attribute of product is introduced in this study, the low-carbon analysis model is established based on the dual attribute of product, and how the dual attribute of product impact on the low-carbon supply chain is also analyzed. Carbon exchange analysis model is established based on dual attribute of product, the relationship between dual-attribute and carbon exchange is analyzed, which further indicate that carbon exchange could be driven by product difference.
Study has shown that for the supply chain whose product quality has strong relevance with carbon emission, the effort from up/downstream enterprises of supply chain tend to put less effort in carbon reduction. If the relevance reaches to a certain level, the supply chain may not be able to take any actions in promoting carbon reduction.
The relationship between the supply chain profit level and dual attribute of product is very complicated. When the relevance between product quality and carbon emission (g-value) reaches to a certain level, reducing of carbon emission will cause negative profit for the supply chain. Before g-value reaches the threshold value which makes supply chain profit become negative, upstream enterprises and the whole supply chain's profit will reach to maximum, and the g-value of maximum upstream enterprise profit will be smaller than the g-value of maximum supply chain profit.
Carbon exchange can counteract part of the impact from dual attribute of product. Carbon exchange can promote the low-carbon degree for all the stakeholders who are engaging in the exchange.
The carbon exchange which is driven by product could be released from the constraint of the technical efficiency difference of the both sides in exchange.
(3) How supply chain structure impact on the low-carbon supply chain
The low-carbon supply chain analysis model with power structure is established in this study. The low-carbon degree of supply chain with three different power structures is analyzed.
Study has shown that for the supply chain led by downstream enterprise has better low-carbon degree than the supply chain led by upstream enterprise. But, the profit level for the first mentioned supply chain might be lower than the second mentioned supply chain.
The supply chain without any leading enterprise should have higher level of motivation than the supply chain with a leading enterprise to reduce the carbon emission.
Through the analysis, the key function of power structure to a supply chain is the supply chain's reaction to consumer preference. If consumers'preference only be impacted by price, the supply chain led by downstream enterprise will have the highest profit level. If consumers'preference be impacted by low-carbon degree, the supply chain led by downstream enterprise will have the best low-carbon degree.
Study also shows that completion will promote the supply chain low-carbon degree, and there is no difference on the effect wherever the competition comes from.
Five key innovation points in this study:
(1)The possibility and inevitability of carbon disclosure service is analyzed. The low-carbon supply chain analysis model with power structure is established with the consideration of current low-carbon degree. The relationship between consumers' low-carbon awareness and supply chain low-carbon degree is analyzed. The value of mandatory carbon disclosure is explained.
(2)The low-carbon analysis model is established based on the dual attribute of product. From product aspect, the difference of low-carbon degree among different supply chains is explained.
(3) From product aspect, the inevitability of carbon exchange is explained. The carbon exchange driven by product could be released from the constraint of the technical efficiency difference of the both sides in exchange.
(4) The low-carbon supply chain analysis model with power structure is established in this study. The difference of low-carbon degree is analyzed respectively for the supply chain led by upstream enterprises, downstream enterprises and the supply chain without a leading enterprise.
(5) The low-carbon supply chain analysis model with competition structure is established in this study, which contributes to the theory of supply chain competition in low-carbon economy.
工业文明的建立是导致人类社会排放过多温室气体的肇因,为了从根本上应对全球气候问题,则必须建立受碳排放约束的低碳经济。在低碳经济背景下,供应链低碳化就成为继供应链绿化之后,对供应链发展的新要求。
供应链低碳化强调减少整个供应链的碳排放,围绕这一核心目标,不同学者从消费者消费角度,产品生产流通角度以及供应链自身结构特征角度出发,进行了一系列的理论和实证研究。
消费者角度已有的研究包括了消费者低碳消费偏好的实证、低碳消费引导、低碳消费外部环境等多个方面,但文献对于消费者对供应链低碳化的起点——碳披露——的影响涉及较少；同时,从实际数据中也可以发现,碳披露是国内企业较少采取的行动,能效标示在国内电器产品上加载的普及率也存在较大差异,现实中所反映的问题需要进行深入的剖析与探讨。
产品角度相关文献叙述了从产品设计、制造、加工、包装、工艺、技术、价格等方面的低碳化措施。但尚没有文献从低碳化背景下产品最主要的特征——品质和低碳的双重属性——出发进行讨论；同时,从实际数据中也可以发现,产品中所内含双重属性给供应链低碳化带来的问题：尽管SUV产品的排放问题较大,但国内汽车行业SUV产销两旺、已跃居各类乘用车之首；尽管降低汽车重量能带来显著的减排效果,但欧洲的调查表明各大厂商的汽车平均重量仍连续8年保持增长；即使在加载能效标示的情况下,低能效的家电产品也始终占据一席之地。企业并未因为消费者低碳的偏好而采取更为积极的低碳化行动,低碳经济的背景下这类现象需要进行深入分析以发现规律。
供应链结构角度的相关文献主要涉及供应链中核心企业在供应链低碳化过程中所应处的地位及作用、供应链中企业竞争时所采取的竞争策略等。已有的研究对供应链结构没有更加深入的探讨；从供应链结构的传统研究来看,供应链的权力结构和供应链的竞争结构是研究的核心对象,研究结论主要指向供应链效率等方面,而在低碳经济中,低碳化和效率是供应链面临的两个不同的问题,权力结构和竞争结构对供应链低碳化的影响是应当被重新分析和认识的。
针对目前供应链低碳化的理论研究存在的不足和需要解释的实际现象,本文基于供应链理论、博弈论等理论和方法围绕供应链的三个构成环节——消费者、产品和供应链上下游企业(即供应链结构)——开展理论研究,分析其对供应链低碳化的影响规律。
本文的主要研究成果和结论包括三个方面：
(1)消费者对供应链低碳化的影响
引入含有消费者低碳意识的供应链需求函数,建立供应链低碳化分析模型,并在考虑供应链初始低碳水平的条件下,分析了消费者低碳意识对碳披露、供应链企业初始低碳水平和低碳投入决策的影响。
通过对比碳披露前后的企业利润的变化,说明在消费者具备低碳意识的条件下,初始低碳水平好于低碳标准的供应链可能会自愿碳披露的活动,以主动响应低碳需求、提升利润水平；而初始低碳水平劣于低碳标准的供应链则没有意愿主动碳披露。；
碳披露会给初始低碳水平好的供应链带来的额外利润增长,将为第三方碳披露服务提供价值基础,而消费者与供应链企业关于低碳信息的不对称,使得第三方碳披露服务的存在具有必然性。
无论低碳的或高碳的供应链在碳披露的基础上进一步减排,都需要消费者低碳意识提升,但高碳的供应链所需的消费者低碳意识条件更高。同时,对于高碳的供应链而言,强制性碳披露能够刺激其开展减排行动,强制性碳排放具有作为政策工具使用的可行性。
(2)产品对供应链低碳化的影响
引入含有产品双重属性’的供应链需求函数,建立基于产品属性的供应链低碳化分析模型,分析了产品双重属性对供应链低碳化的影响；建立了基于产品双重属性的供应链碳交易2分析模型,分析了产品双重属性与碳交易的关系,说明了碳交易可以是产品差异驱动的。
研究表明,产品品质和碳排放的关联越强的供应链,供应链上下游企业减排的力度也就越小；关联强度达到一定水平会使得供应链不进行任何低碳化行动。
供应链上下游企业的利润与品质-碳排放的关系较为复杂。品质和碳排放的关联强度(g值)达到一定值后,减排行动会导致供应链上游企业利润为负；在g值不高于使供应链企业利润为负的界限值时,上游企业的利润和供应链总利润会分别取得极大值,且上游企业利润取得极大值所对应的g值小于供应链总利润取得极大值时对应的g值。
受产品双重属性影响而不开展减排行动的供应链,可以通过碳交易提升供应链低碳水平,碳交易能够抵消一部分产品双重属性的影响；同时,无论从碳交易的卖方供应链还是买方供应链来看,碳交易均带动了其更进一步减排,从而使得参与碳交易的多个供应链的整体低碳水平得以提升。
同时,供应链之间的碳交易可以是产品驱动的,而非减排成本驱动的,碳交易的卖方相对于买方在减碳成本上的比较优势,对受产品驱动的碳交易而言则不是必须的条件。
(3)供应链结构对供应链低碳化的影响
将权力结构引入供应链低碳分析,建立了考虑权力结构的供应链低碳化分析模型,分析了三种不同权力结构下供应链低碳化的水平,并对传统供应链中关于权力结构影响供应链效率的结论进行了反思；将竞争结构引入供应链低碳分析,建立了考虑竞争结构的供应链低碳化分析模型,分析了三种不同竞争结构下供应链低碳化的差异。
研究表明,在供应链低碳化的过程中,下游企业具有权威的供应链的低碳水平,要高于上游企业具有权威的供应链,下游企业具有权威的供应链权力结构对供应链低碳化是有利的；在低碳化的同时,下游企业具有权威的供应链的效率(以供应链总利润衡量),可能会低于上游企业具有权威的供应链,这一点与传统供应链关于供应链效率的结论是不同的。
在供应链低碳化的过程中,上下游企业权威对等的供应链,其低碳化的条件要高于由上游企业或下游企业领导的供应链(更高的消费者低碳意识)；其低碳化水平低于上游企业领导的供应链,在低碳化的同时,其供应链效率(以供应链总利润衡量)可能会低于上游企业具有权威的供应链。
从权力结构对供应链低碳化的影响分析中可知,权力结构对供应链效率的作用(以供应链总利润衡量)是间接的,权力结构能够直接影响的是供应链对于市场或消费者偏好的响应；当需求仅受价格影响时,下游具有权威的供应链效率最高；而需求受到低碳水平影响时,下游具有权威的供应链低碳水平最高。
研究还表明,竞争对于供应链低碳化是有利的；无论是供应链上游企业的横向竞争,还是供应链下游企业的渠道竞争,供应链低碳化水平均会随着竞争强度的增加而提升。
本文的特色与创新主要有五个方面：
(1)围绕消费者需求存在低碳偏好的条件,建立了供应链碳披露决策分析模型,通过模型分析确认了供应链初始低碳水平对碳披露的正面和负面影响,进而阐明了第三方碳披露服务的可能性和必然性；与前人分析中通常忽略供应链初始低碳水平不同,建立了考虑供应链初始低碳水平的供应链减排决策模型,分析.了消费者低碳意识与高碳/低碳供应链的减排力度的关系,并结合高碳供应链解释了强制碳披露作为政策工具的可行性。
(2)从低碳经济下产品的品质与低碳的双重价值属性出发,为供应链低碳化分析设计了基于二元效用观的供应链需求函数,形成了从产品视角进行供应链低碳化决策分析的新方法；建立了基于产品双重属性的供应链低碳化分析模型,解释了产品的品质与碳排放关联强度对供应链低碳化的阻碍作用,并阐明了通过碳交易实现产品的品质与碳排放脱钩、推动供应链低碳化的必要性。
(3)建立了基于产品双重属性的供应链碳交易分析模型,阐明基于产品差异(即买方供应链的产品品质与碳排放关联强度大于卖方的)而在供应链之间开展的碳交易是可行的,指出卖方减排成本低于买方减排成本并非碳交易的必要条件,亦即产品动因可以独立于成本动因推动碳交易市场发展；更进一步指出了以减排成本差异为出发点、力求通过碳交易降低总体减排成本的政策存在不合理之处,总减排成本最小化的碳交易政策可能会与消费者的合理需求、企业的正常发展相冲突。
,(4)在供应链低碳化分析中,权力结构是比较重要的且较少被注意到的因素,本研究建立了考虑权力结构因素的供应链低碳化分析模型。通过模型分析和算例验证,阐明对低碳化最为有利的供应链权力结构是下游具有权威的结构,而上游或下游的某一端具有权威的结构比权威对等的结构更有利于低碳化；同时,传统供应链中权威向下游转移时供应链整体利润会提升的结论,对于低碳供应链而言不是必然的。
(5)建立了考虑竞争结构的供应链低碳化分析模型,将不同竞争结构与供应链低碳化水平联系起来,指出无论是横向竞争还是交叉竞争,竞争均能有效提升供应链低碳水平。
Climate change and the responses through low carbon economy are the very realistic background for low-carbon supply chain research. Climate change has been recognized as one of the most important environmental issues at global level, and to find the solution toward this challenge has become the common and crucial issue in front of the various circles of human society. For the fundamental solution of climate change, the consensus that human society has reached is to reduce the greenhouse gas (GHG) discharge. Historically, the over-discharge of GHG is closely related to the industrial civilization, so to solve this problem thoroughly, we must established low-carbon economy system, whose core character is to have all supply chain elements be obligated to carbon emission with considerations of the key factors of carbon emission from producing to consuming. Under the background of low-carbon economy, low-carbon supply chain has raised the new bar after green supply chain.
Low-carbon supply chain gives more focus on reducing the carbon emission. Series of theoretical and empirical research have been carried out from different aspects including consumer consuming, production&circulation and supply chain structure etc.
Consuming refers to the influence on low-carbon supply chain which is triggered by consumer. Current research includes the empirical study on consumers'low-carbon preference, low-carbon consumption guide, external environment for low-carbon consumption etc, while the existing research is very rare to touch the starting point of a low-carbon supply chain-carbon disclosure esp. on its influence to the low-carbon supply chain. Meanwhile, from the practical and real data, we could easily found that carbon disclosure is one area with very limited touches in domestic companies. So far, the penetration rates of energy efficiency labels are with very big differences among the segment markets of household electrical appliance industry, and it is necessary to have deep studies into the arisen problems.
From production and circulation aspect, related researches are more focusing on the low-carbon solutions on product design, manufacturing, packing, process control, technology and pricing etc, while we cannot find any research made from the primary character of low-carbon product-dual attributes on both quality and low-carbon. Meanwhile, from practical data we could also find the problems led by this embedded dual attribute in following cases:1) SUV (a kind of auto with high carbon emission) is highly welcomed and occupies the first place of China automobile market with very fast incremental trend recently;2) one survey in Europe shows that all the auto vendors did not choose to reduce carbon emission through weight/size decreasing, while in opposite, the weight of autos kept increasing for all most8years;3) even in the trend to label energy efficiency on electric appliances, some energy inefficiency products are still occupies a particular position in market. All of these phenomena should be took with deep analysis, so as to dig out the inherent rules.
Regarding the aspect of the supply chain structure, current studies pay more attention to the core enterprises in supply chain which play key role in promoting the low-carbon supply chain; some are also focusing on the competition strategy in supply chain. The existing researches did not make an intensive study of supply chain structure. Conventionally, the power structure and competition structure of a supply chain are the key topics in the study of supply chain structure, and the key conclusions mainly point at supply chain efficiency, while in low-carbon economy, low-carbon and efficiency are two different topics, which means that the influence from the power structure and competition structure to a low-carbon supply chain should also be reanalyzed.
To filling the vacant position of current studies as summarized in above, the studies will give focuses on the three key factors of a supply chain-consumer, product and enterprises to reveal their influencing rules to a low-carbon supply chain. The study is with deep insight of supply chain theory and game theory etc.
Three key conclusions of this study:
(1) How consumer impact on the low-carbon supply chain
Supply chain demand function with low-carbon awareness is introduced in this study, meanwhile, the low-carbon analysis model is established, and how the consumer's low-carbon awareness impact on the carbon-disclosure, low-carbon degree and low-carbon investment decision was also analyzed with the consideration of the current low-carbon degree of a supply chain.
Study has shown that impacted by consumer, the supply chain whose low-carbon degree is better than the requirement defined in low-carbon standard might be more than happy to disclose its carbon emission, so as to so as to proactively influence the consumers'need on low-carbon products which as a result will raise up the profit level for the supply chain. While in opposite, for the supply chain whose low-carbon degree is lower than the standards, the enterprises in the supply chain are not able to take concerted effort on carbon-disclosure.
Carbon-disclosure will bring extra profit increase for the supply chain with good low-carbon degree, and this will further consolidate the foundation for the third-party to provide carbon-disclosure service. While the low-carbon information asymmetry between enterprises and consumer actually makes the third-party carbon-disclosure service inevitable.
To enhance the consumers'low-carbon awareness will certainly promote the carbon reduction for the supply chains whatever with good or poor low-carbon degree, while for the supply chain with high level of carbon emission, it will definitely require a higher level of consumers'low-carbon awareness. To the supply chain with high level of carbon emission, mandatory carbon disclosure will activate their actions in reducing carbon, which means, mandatory carbon disclosure is with possibility to be used as a kind of regulatory tools.
(2) How product impact on the low-carbon supply chain
Supply chain demand function with dual attribute of product is introduced in this study, the low-carbon analysis model is established based on the dual attribute of product, and how the dual attribute of product impact on the low-carbon supply chain is also analyzed. Carbon exchange analysis model is established based on dual attribute of product, the relationship between dual-attribute and carbon exchange is analyzed, which further indicate that carbon exchange could be driven by product difference.
Study has shown that for the supply chain whose product quality has strong relevance with carbon emission, the effort from up/downstream enterprises of supply chain tend to put less effort in carbon reduction. If the relevance reaches to a certain level, the supply chain may not be able to take any actions in promoting carbon reduction.
The relationship between the supply chain profit level and dual attribute of product is very complicated. When the relevance between product quality and carbon emission (g-value) reaches to a certain level, reducing of carbon emission will cause negative profit for the supply chain. Before g-value reaches the threshold value which makes supply chain profit become negative, upstream enterprises and the whole supply chain's profit will reach to maximum, and the g-value of maximum upstream enterprise profit will be smaller than the g-value of maximum supply chain profit.
Carbon exchange can counteract part of the impact from dual attribute of product. Carbon exchange can promote the low-carbon degree for all the stakeholders who are engaging in the exchange.
The carbon exchange which is driven by product could be released from the constraint of the technical efficiency difference of the both sides in exchange.
(3) How supply chain structure impact on the low-carbon supply chain
The low-carbon supply chain analysis model with power structure is established in this study. The low-carbon degree of supply chain with three different power structures is analyzed.
Study has shown that for the supply chain led by downstream enterprise has better low-carbon degree than the supply chain led by upstream enterprise. But, the profit level for the first mentioned supply chain might be lower than the second mentioned supply chain.
The supply chain without any leading enterprise should have higher level of motivation than the supply chain with a leading enterprise to reduce the carbon emission.
Through the analysis, the key function of power structure to a supply chain is the supply chain's reaction to consumer preference. If consumers'preference only be impacted by price, the supply chain led by downstream enterprise will have the highest profit level. If consumers'preference be impacted by low-carbon degree, the supply chain led by downstream enterprise will have the best low-carbon degree.
Study also shows that completion will promote the supply chain low-carbon degree, and there is no difference on the effect wherever the competition comes from.
Five key innovation points in this study:
(1)The possibility and inevitability of carbon disclosure service is analyzed. The low-carbon supply chain analysis model with power structure is established with the consideration of current low-carbon degree. The relationship between consumers' low-carbon awareness and supply chain low-carbon degree is analyzed. The value of mandatory carbon disclosure is explained.
(2)The low-carbon analysis model is established based on the dual attribute of product. From product aspect, the difference of low-carbon degree among different supply chains is explained.
(3) From product aspect, the inevitability of carbon exchange is explained. The carbon exchange driven by product could be released from the constraint of the technical efficiency difference of the both sides in exchange.
(4) The low-carbon supply chain analysis model with power structure is established in this study. The difference of low-carbon degree is analyzed respectively for the supply chain led by upstream enterprises, downstream enterprises and the supply chain without a leading enterprise.
(5) The low-carbon supply chain analysis model with competition structure is established in this study, which contributes to the theory of supply chain competition in low-carbon economy.
引文
4 见英国政府能源白皮书《我们能源的未来——创建低碳经济》,2003年
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