基于经济、环境、社会三维底线的可持续供应链的治理机制：正式契约和关系治理相互补充吗？

As the pressure of global energy conservation and public awareness of environmental and social responsibility increase, sustainable development has become a core problem of any firm in managing their supply chain. Sustainable supply chain management is characterized by the contractual incompleteness and unverifiability, action-and-effect opacity, and causal complexity. These new features of the governance pose new challenges. From the triple-bottom-line and stakeholders’ perspective, the project seeks to create a framework to define, measure, and test the relationships among the constructs of sustainable supply chain exchange hazards, extent of supply chain sustainability, governance mechanism, and their related concepts. It will explore the interplay of relational governance and formal contract for governing sustainable supply chain, the boundary condition for the complements or substitutes of the two mechanisms, and their impact on the triple bottom lines of economic, environmental, and social performance. The cross-sectional and longitudinal panel data will be collected from China’s listed manufacturing companies in various industries through case studies, survey research method, and the analysis of their publicly disclosed financial statements and environmental reports. The research theoretically extends the supply chain governance mechanisms to the new environment of sustainable development, and refines the boundary condition of the complementary or substitutive relationship of the two governance mechanisms. The results of the empirical analysis will help state-owned, private, and foreign manufacturing companies in China improve the effective management of their sustainable supply chains.

由于全球节能减排的压力与公众的环保和社会责任意识的增强，可持续发展已成为企业供应链管理必须面对的问题。可持续供应链管理具有契约不完备性和难验证性，行为和效果不透明性，因果关系复杂性，这些新特点对治理机制提出了挑战。本项目试图从三维底线和利益相关者的视角，对供应链可持续程度、可持续供应链合作风险与治理机制及其相关概念进行界定和测量。研究在可持续供应链条件下正式契约和关系治理的相互作用，互补或替代的机理和边界条件，以及对经济、环境和社会三维底线绩效的影响。通过对多行业的上市制造企业进行案例研究，问卷调查，和分析公开披露的财务报表及环境报告等方法来获取横断面及纵向面板数据，对上述问题进行实证分析和回答。本项目在理论上扩展了供应链治理机制的研究到可持续发展的新环境下，补充和完善了供应链治理机制互补或替代的机理和边界条件，对国有、民营、和外资制造企业在全球可持续发展新形势下的有效管理有着重要作用。

由于全球节能减排的压力与公众的环保和社会责任意识的增强，可持续发展已成为企业供应链管理必须面对的问题。可持续供应链管理具有契约不完备性，因果关系复杂性，这些新特点对治理机制提出了挑战。本项目从三维底线和利益相关者的视角，对供应链可持续程度、可持续供应链合作风险、供应链成员间的合作满意度、企业三维绩效（经济、环境和社会）及可持续供应链治理机制进行界定和测量。研究在可持续供应链条件下正式契约和关系治理互补或替代的机理以及对经济、环境和社会三维底线绩效的影响。通过对多行业的制造企业进行问卷调查，回收400多份的问卷（上市公司200多份）。另外， 除了从企业层面收集数据外，我们也收集了从消费者和顾客角度如何看待企业的社会责任和可持续行为的第一手数据。通过实证分析，项目揭示（1）可持续供应链环境下正式契约和关系治理是互补的。具体的结论如下：可持续供应链合作风险与契约治理及关系治理正相关，即可持续供应链合作风险越高，越倾向于采用契约治理及关系治理；加强契约治理和关系治理能够提高供应链成员间的合作满意度；加强关系治理能够降低供应链成员间的机会主义；正式契约与关系治理具有正相关关系，即互补关系；上述关系受到供应链可持续程度的调节。（2）从经济绩效的视角，供应链的纵向透明和横向透明以及竞争强度对供应链的协调有不同的作用；从环境绩效的两阶段模型，碳税的降低可能增加也可能降低碳排放，政策的制定者可以做出不同的选择使其有利于碳减排；从社会责任的视角，社会责任实践有利于提高企业的声誉，企业的吸引力，顾客满意度，及顾客的购买意愿。本项目总结、提升和拓展现有的理论体系，在理论上扩展了供应链治理机制的研究到可持续发展的新环境下，补充和完善了供应链治理机制互补或替代的机理，对国有、民营、和外资制造企业在全球可持续发展新形势下的有效管理有着重要作用，为可持续经济发展和和谐社会的建立提供有益的探索和政策上的依据。