“限额与交易”机制下关注排放的供应链运作优化与契约协调

The project focuses on supply chain operations optimization and contracting coordination with carbon emission concerns in a 'cap-and-trade' system. Without loss of generality, five typical supply chain structures will be investigated. Considering emission-efficiency as well as cost-efficiency, the compulsory and self-conscious motivations for operational individuals to reduce emissions and the resulted decision-making behaviors will be firstly discussed. Based on the disciplines of mutual influence between carbon emission and supply chain operations, the objective functions that can reflect the individuals' emission reduction motivations along with their profit-seeking nature will be formulated. Secondly, new modeling and optimization methods will be explored, and the relationships between supply chain members will be further game-theoretically analyzed. It is necessary to discuss the connotative definition of the concept "coordination" in the emission-concerned scenarios. For purpose of such coordination, several new contracting forms and cooperative modes will be proposed. Additionally, the government's objective concerning the tradeoff between emission commitment and economic growth will be formally described, and then several emission-related policies as well as their mix will be scientifically designed. For the aforementioned problems, several analytical models will be developed, with structural and mathematic properties revealed. Breakthroughs can be expected on the formulation of emission reduction motivations, design of contracting forms for dual coordination, governmental tradeoff and policy-making behaviors, etc. The research findings will help to enrich the emission-concerned operations management theory, and demonstrate the validity of the operational efforts to emission reduction, which endows the project with theoretical value as well as practical significance.

本项目抽象出"限额与交易(cap-and-trade)"机制下有别于传统供应链的五种典型结构，围绕排放关注型供应链运作优化与契约协调议题开展研究。针对排放效率和成本效率综合目标，探讨运作主体的减排动机（包括强制动机和自愿动机）与决策行为，理清碳排放与供应链运作的相互作用，提出能反映运作主体逐利特征下减排动机的目标度量；分析供应链成员间的博弈关系，分析排放关注的"协调"内涵，提出新的契约形式与合作模式，并建立分析模型；探讨政府在减排承诺与经济增长间的目标权衡，提出几种排放引导机制，分析其组合效果。本项目将在形式刻画运作主体的减排动机、设计排放效率和成本效率双重协调的契约形式、分析政府权衡与引导机制上取得一定进展。预期成果将既是对排放关注的运作管理的理论探索，又是从运作层面促进减排的有益尝试，为"限额与交易"机制下的供应链运作实践和排放机制设计提供一定的参考。

以近年来肆掠中国的严重雾霾为代表的空气污染问题和以全球气候变暖为代表的气候变化问题正受到越来越多人的关注与重视。减排问题的重要性和紧迫性已经达成广泛共识，而以管制和市场双重手段以达成目标的“限额与交易”机制则是全球应对机制中的重要组成部分。本项目组按照既定研究计划，以欧盟碳排交易系统（EU-ETS）为现实参考，对该机制在供应链背景下企业运作决策和减排举措实现抽象刻画，并就碳排因素与供应链运作相互作用机理进行探讨。通过聚焦低碳因素，结合消费者低碳偏好和政府低碳政策两方面的影响，模型化论证了企业在逐利目标下的减排动机和最优决策。运用博弈分析，考察供应链成员间运作决策的相互影响，并通过设计契约实现供应链层面在低碳运作问题上的协调。在政府的低碳政策引导方面，项目组对其目标权衡予以清晰界定和刻画，在分析评价现有低碳政策的基础上，也对具体机制设计进行了尝试。此外，项目组还对行为运作相关议题进行探讨，重点对考虑公平关切行为供应链运作和契约协调问题展开研究，提出并发展了一些新的概念和议题。项目组在四年的项目执行期内就供应链管理中的低碳运作、行为运作等问题所开展的研究工作取得了一系列有助于丰富相关方向的理论和实践的研究成果。在成果转化方面，相关成果在电力系统做了一些试点示范，通过采用削峰平谷策略，得到了较为显著的效果。依托本项目已经发表（含published online first和录用）18篇期刊论文（均标注了本项目批准号71271199），其中SCI/SSCI源期刊论文15篇，包括运作管理领域的国际主流期刊European Journal of Operational Research, International Journal of Production Research, Annals of Operations Research等。在这些研究成果中，1篇论文入选ESI Highly Cited Paper，1篇论文获得第十一届全国青年系统科学与管理科学学术会议暨第七届物流系统工程学术研讨会优秀论文奖，另有1篇获得第八届安徽省自然科学优秀学术论文奖。项目组相关研究成果自发表以来获得国内外学术同行的广泛关注和积极引用， 目前已累计实现SCI他引44次，Google他109次。