碳约束下基于行为的供应链最优决策和协调机制研究

In the context of a three-level supply chain influenced by the carbon emission reduction policies of the government and composed of a manufacturer, retailer and consumer, and from the perspective of behavioral research, optimal decision and contract coordination problems are investigated based on the classic newsboy model. With the way of the field and market research, combining consumers' purchasing behaviors of low-carbon products and enterprise's fairness concerns, as well as the mechanisms of these behavioral factors on the outcome of decision-making, we may derivate the impact of consumers' preference for low-carbon products on demand and the impact of enterprise's fair concern on carbon emission reduction so as to characterize the corresponding quantitative models. With the application of supply chain optimization coordination theory, consumer choice theory, game theory, equity theory and related research about carbon emission rights allocation, we establish the optimal supply chain decision models including inventory and ordering decision models as well as pricing decision model under carbon constraints. On the basis, we do a further discuss on the overall efficiency of the supply chain, and construct the coordination mechanisms under carbon constraints. And we also explore the suitability of cost-sharing contract, wholesale price contract, revenue sharing contract and option contract, etc, in the context of the new issues. The study can provide management inspirations for the enterprise inventory, sales and cooperation under the new situation and also provide a reference for the fairness and efficient of low-carbon emission reduction policies.

围绕一个受政府低碳减排政策影响的，由生产商、零售商和消费者组成的供应链系统，以经典报童模型为基本模型，从行为研究的角度出发，研究供应链最优决策和协调机制设计问题。以实地和市场调研的方式，梳理消费者低碳产品购买行为和企业公平关切行为，以及这些行为因素对决策结果的作用机理，获取消费者的低碳偏好对需求的影响，企业的公平关切对企业低碳减排决策的影响，并刻画相应定量模型。应用供应链优化协调理论、消费者选择理论、博弈论、公平关切理论以及碳排放权分配方式的相关研究成果等，构建碳约束下供应链最优决策模型，包括库存和订货决策模型、定价决策模型，并进一步探讨供应链的整体效率，构建碳约束下供应链的协调机制，探索成本分担契约、收益共享契约、返利契约等在新问题背景下的适应性，以及新的契约形式的设计。为企业在新形势下的库存、销售和合作提供管理启示，为政府低碳减排政策的公平和效率的考量提供参考。

本项目在研期间基本按照国家自然科学基金的计划书展开，对消费者低碳产品购买行为，碳约束下基于行为的供应链最优决策及协调机制问题进行了研究。采用理论与实证相结合的方式，梳理消费者低碳购买行为及支付意愿等因素对决策结果影响的作用机理，获取消费者低碳偏好对需求的影响，并刻画定量模型。应用消费者选择理论，博弈论、供应链的优化协调理论以及碳排放权分配方式的相关研究成果，结合碳税、碳交易等政策制度，构建碳约束下供应链决策模型，包括库存与订货决策模型、定价决策模型，并探索成本分担契约、收益共享契约、两部制契约等在新问题背景下的适用性，为政府低碳减排政策的公平和效率的考量提供参考。在基本完成了申请书的主要研究工作后，我们进一步考虑了市场竞争、碳信息不对称、过度自信等因素对低碳供应链的影响。课题研究期间，在《Journal of Business Ethics》，《Journal of Cleaner Production》，《Journal of Industrial & Management Optimization》，《Complexity》，《Soft Computing》，《Cluster Computing》，《管理科学学报》，《中国管理科学》，《系统工程理论与实践》，《管理工程学报》等十余种国内外优秀期刊上发表（录用）成果25篇，其中SCI成果共计10篇。