EPR制度下废旧家电回收主体的利益博弈与激励机制研究
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摘要
我国是一个家电生产和消费大国。随着科技的快速发展和人民生活水平的不断提高,家电产品的更新周期日趋缩短,每年都有大量的家电产品淘汰报废。但目前我国废旧家电回收处理的整体水平很低,尚未建立起规范有效的回收处理体系及管理机制。因此,面对大量的废旧家电,如何实现废旧家电的无害化、资源化回收处理,促进循环经济发展,已成为社会经济发展中亟待解决的一个重大课题。
为了提高资源的回收利用率和有效地保护环境,同时从源头控制废物的增长,在大多数经济合作与发展组织(OECD)国家都实施生产者责任延伸(EPR)制度。近年来我国也在积极探讨和制订基于EPR制度的有关法规和标准,以促进循环经济发展。本文正是在这样的背景下,较深入系统地研究了EPR制度下废旧家电回收主体的利益博弈与激励机制。重点关注参与废旧家电回收的主体(生产商、经销／零售商、消费者、回收企业、处理企业、政府)之间互动的关系如何?如何定量分析回收主体间的收益?主体之间的责任如何划分?如何建立有效的激励机制解决回收主体问的矛盾,提高EPR制度下实施废旧家电回收物流的积极性等问题。
论文首先从国内外相关研究成果入手,梳理了与废旧家电回收处理模式、回收主体利益和回收激励机制相关的文献。指出了目前在EPR制度框架下对废旧家电回收体系、回收主体之间关系、处置责任分担以及对回收主体激励机制研究的不足,并提出本论文的研究内容和研究方案。
国外发达国家回收处理废旧家电的先进经验值得我国借鉴,论文分别从政策立法、生产商责任、付费机制和管理部门几个方面对国内外废旧家电回收处理的现状进行了比较,指出我国废旧家电的回收处理亟需规范。在此基础上,以规范回收为前提,在家电制造商、专业处理企业以及行业联盟负责废旧家电处理三种模式下,考虑经销方式的不同和参与回收主体的不同情形,构建了回收处理所有可能的模型。并指出目前在国内外家电领域实施EPR制度时几种较为典型的模式：(1)生产商负责处理：分销情形下,生产商回收模式(MDC-CM)和分销商回收模式(MDC-CDM)；直销情形下生产商回收模式(MC-CM)；(2)专业处理企业负责处理：分销情形下第三方回收企业回收模式(MDC-C(TP)R)和专业处理企业回收模式(MDC-CR);(3)分销情形下行业联盟负责废旧家电回收处理(MDC-CA).
合理界定各参与主体在废旧家电回收处置阶段应承担的责任在家电领域实施EPR制度至关重要。论文将主体在渠道中的利益分配比例与主体参与渠道的不同程度相对等,通过约束主体参与渠道的程度,构造了从0～1的各种程度合作关系的连续流。同时,用0-1选择表示生产商是将处理业务完全外包还是由自己完全处理。其次,针对MDC-CM、MDC-CDM、MC-CM、MDC-C(TP)R、MDC-CR、MDC-CA等几种较典型的模式,在一定的假设条件下,基于Stackelberg博弈理论,建立了能够兼容分销／直销和不同程度合作回收／处理的数学模型。定量分析了不同模式下参与主体之间的利益博弈关系；依据受益者负担和责权利对等原则界定了各参与主体在废旧家电回收处置阶段应承担的责任比例。然后,考虑到生产企业是实施EPR制度最直接和最关键的主体,引入了多维博弈理论,分析生产企业在积极、消极两种态度下实施EPR制度对其市场利益的影响。
在前文定量分析结果的基础上,基于“以人为本”的理念、权变的思想,充分考虑参与回收主体的差异,通过经济因素和非经济因素对激励对象产生的心理和行为的影响,建立了生产商、分销商、消费者、回收企业和处理企业等参与回收主体的差异化激励机制。
论文最后总结了本文的研究工作,指出了本文的主要创新之处,并对相关领域未来的研究进行了展望。
本文的研究工作对我国废旧家电回收物流的规范发展将起到一定的促进作用,并提供了一些可以借鉴的思路和方法,具有重要的理论和实际应用价值。
China is a big country which produces and consumes a lot of household appliances. With the fast development of science and technology and increase of people's living standard, the updating period of household appliances has been reduced day by day and a large number of household appliances are deserted every year. However, the present overall standard of recycling the used household appliances is quite low. The standard and effective recycling system and management mechanism haven't been set up. Thus, in face of large numbers of used household appliances, how to recycle the used household appliances harmlessly and resourcefully and boost the development of circular economy has become a serious problem which needs to be solved in the development of society and economy.
In order to improve the recycling of the resources and protect the environment effectively, and to control the increase of the waste in the source, EPR system (Extended Producer Responsibility) is carried out in most OECD (Organization for Economic Cooperation and Development) countries. In recent years China has been discussing and establishing relevant laws and rules based on EPR in order to boost the development of circular economy. Against this background, the dissertation studies interests game and incentive mechanism of the main body of recycling used household appliances under the system of EPR. The main focuses are as follows:How about the interactive relationship among the main bodies of recycling used household appliances (manufacturers, dealers or retailers, consumers, recycling enterprises, handling enterprises and government)? How to analyze the interests among the main recycling bodies quantitatively? How to divide the responsibility among the main bodies? How to establish the effective incentive mechanism to solve the contradiction among the main recycling bodies and improve the initiative of recycling used household appliances under the system of EPR.
First, the dissertation reviews all the relevant literature home and abroad. It reviews the literature on the model of recycling used household appliances, the interests of main bodies and incentive mechanism of recycling. It points out the weakness in the study on the system of recycling used household appliances, the relationship among the main recycling bodies, the share of handling responsibility and the incentive system for the main recycling bodies. It also points out the research content and research method in the study.
The advanced experiences of recycling used household appliances in advanced foreign countries should shed light on our country. The dissertation compares the different current situations of recycling used household appliances home and abroad from the perspective of policy stipulation, manufacturers' responsibility, paying mechanism and administrative institutions. It also points out that recycling used household appliances in China needs to be standardized urgently. Based on this, all the possible recycling models have been set up at the premise of standard recycling. These models are set up under three recycling models being in the charge of household appliances manufacturers, professional recycling enterprises and industrial alliance, considering different situations of sale ways and main recycling bodies concerned. Meanwhile, it points out three typical models under the system of EPR in the world:(1) manufacturers in charge of recycling:MDC-CM and MDC-CDM in the case of distribution; MC-CM in the case of direct sale; (2) professional recycling enterprises in charge of recycling:MDC-C(TP)R and MDC-CR in the case of distribution; (3) MDC-CA in the case of distribution.
It is vital to define properly the responsibility of respective main bodies involved shared at the stage of recycling used household appliances in order to implement the system of EPR in the field of home appliances. The dissertation corresponds the interests allocation rate of the main bodies in the channels to the different extent of participation in the channels. The continuum of different cooperative relationship at different levels from 0 to 1 is set up through constraining the extent of the main bodies'participation in the channels. Meanwhile, the choice between 0 and 1 indicates whether the manufacturers outsource the recycling business or not. For such typical models as MDC-CM, MDC-CDM, MC-CM, MDC-C(TP)R, MDC-CR and MDC-CA, based on Stackelberg's Game Theory, the mathematic model which includes distribution, direct sale and different extent of recycling has been set up under certain assumptions. It analyzes quantitatively the interests game relationship among different main bodies concerned in different models. It also defines the responsibility rate shouldered by different main bodies in recycling used household appliances according to beneficiary-pay rule and the rule that responsibility, right and duty are equal to each other. At the same time, it illustrates the model of MDC-CDM. The result indicates that with the change of the main bodies in recycling used household appliances and the change of manufacturers'participation in the channels, the interests allocation rate among the main bodies, outer environment cost afforded and the responsibility rate in the recycling will change. However, considering the manufacturing enterprises are the most direct and critical enterprises in carrying out the system of EPR and the competition among the enterprises is multidimensional, it uses Multidimensional Game Theory to analyze the effects of EPR on manufacturing enterpeises'market interests with active and passive attitudes.
On the basis of above results of quantitative analysis, the value of people first, the idea of rights change, and the differences of main bodies involved in recycling. Based on these and combined with the foregoing quantitative analysis results, differentiated incentive mechanism of such main recycling bodies as manufacturers, distributors, consumers, recycling enterprises and handling enterprises has been set up through analyzing the difference among different main recycling bodies and analyzing the psychological and behavioral effects of economic and noneconomic factors on the subjects motivated.
Finally, it summarizes the research, points out the main innovation in the research and sheds light on the future research in the relevant field.
The research results will promote the standard development of recycling logistics of used household appliances in China and provide some enlightening ideas and methods, thus they are significant in both theory and practice.
为了提高资源的回收利用率和有效地保护环境,同时从源头控制废物的增长,在大多数经济合作与发展组织(OECD)国家都实施生产者责任延伸(EPR)制度。近年来我国也在积极探讨和制订基于EPR制度的有关法规和标准,以促进循环经济发展。本文正是在这样的背景下,较深入系统地研究了EPR制度下废旧家电回收主体的利益博弈与激励机制。重点关注参与废旧家电回收的主体(生产商、经销／零售商、消费者、回收企业、处理企业、政府)之间互动的关系如何?如何定量分析回收主体间的收益?主体之间的责任如何划分?如何建立有效的激励机制解决回收主体问的矛盾,提高EPR制度下实施废旧家电回收物流的积极性等问题。
论文首先从国内外相关研究成果入手,梳理了与废旧家电回收处理模式、回收主体利益和回收激励机制相关的文献。指出了目前在EPR制度框架下对废旧家电回收体系、回收主体之间关系、处置责任分担以及对回收主体激励机制研究的不足,并提出本论文的研究内容和研究方案。
国外发达国家回收处理废旧家电的先进经验值得我国借鉴,论文分别从政策立法、生产商责任、付费机制和管理部门几个方面对国内外废旧家电回收处理的现状进行了比较,指出我国废旧家电的回收处理亟需规范。在此基础上,以规范回收为前提,在家电制造商、专业处理企业以及行业联盟负责废旧家电处理三种模式下,考虑经销方式的不同和参与回收主体的不同情形,构建了回收处理所有可能的模型。并指出目前在国内外家电领域实施EPR制度时几种较为典型的模式：(1)生产商负责处理：分销情形下,生产商回收模式(MDC-CM)和分销商回收模式(MDC-CDM)；直销情形下生产商回收模式(MC-CM)；(2)专业处理企业负责处理：分销情形下第三方回收企业回收模式(MDC-C(TP)R)和专业处理企业回收模式(MDC-CR);(3)分销情形下行业联盟负责废旧家电回收处理(MDC-CA).
合理界定各参与主体在废旧家电回收处置阶段应承担的责任在家电领域实施EPR制度至关重要。论文将主体在渠道中的利益分配比例与主体参与渠道的不同程度相对等,通过约束主体参与渠道的程度,构造了从0～1的各种程度合作关系的连续流。同时,用0-1选择表示生产商是将处理业务完全外包还是由自己完全处理。其次,针对MDC-CM、MDC-CDM、MC-CM、MDC-C(TP)R、MDC-CR、MDC-CA等几种较典型的模式,在一定的假设条件下,基于Stackelberg博弈理论,建立了能够兼容分销／直销和不同程度合作回收／处理的数学模型。定量分析了不同模式下参与主体之间的利益博弈关系；依据受益者负担和责权利对等原则界定了各参与主体在废旧家电回收处置阶段应承担的责任比例。然后,考虑到生产企业是实施EPR制度最直接和最关键的主体,引入了多维博弈理论,分析生产企业在积极、消极两种态度下实施EPR制度对其市场利益的影响。
在前文定量分析结果的基础上,基于“以人为本”的理念、权变的思想,充分考虑参与回收主体的差异,通过经济因素和非经济因素对激励对象产生的心理和行为的影响,建立了生产商、分销商、消费者、回收企业和处理企业等参与回收主体的差异化激励机制。
论文最后总结了本文的研究工作,指出了本文的主要创新之处,并对相关领域未来的研究进行了展望。
本文的研究工作对我国废旧家电回收物流的规范发展将起到一定的促进作用,并提供了一些可以借鉴的思路和方法,具有重要的理论和实际应用价值。
China is a big country which produces and consumes a lot of household appliances. With the fast development of science and technology and increase of people's living standard, the updating period of household appliances has been reduced day by day and a large number of household appliances are deserted every year. However, the present overall standard of recycling the used household appliances is quite low. The standard and effective recycling system and management mechanism haven't been set up. Thus, in face of large numbers of used household appliances, how to recycle the used household appliances harmlessly and resourcefully and boost the development of circular economy has become a serious problem which needs to be solved in the development of society and economy.
In order to improve the recycling of the resources and protect the environment effectively, and to control the increase of the waste in the source, EPR system (Extended Producer Responsibility) is carried out in most OECD (Organization for Economic Cooperation and Development) countries. In recent years China has been discussing and establishing relevant laws and rules based on EPR in order to boost the development of circular economy. Against this background, the dissertation studies interests game and incentive mechanism of the main body of recycling used household appliances under the system of EPR. The main focuses are as follows:How about the interactive relationship among the main bodies of recycling used household appliances (manufacturers, dealers or retailers, consumers, recycling enterprises, handling enterprises and government)? How to analyze the interests among the main recycling bodies quantitatively? How to divide the responsibility among the main bodies? How to establish the effective incentive mechanism to solve the contradiction among the main recycling bodies and improve the initiative of recycling used household appliances under the system of EPR.
First, the dissertation reviews all the relevant literature home and abroad. It reviews the literature on the model of recycling used household appliances, the interests of main bodies and incentive mechanism of recycling. It points out the weakness in the study on the system of recycling used household appliances, the relationship among the main recycling bodies, the share of handling responsibility and the incentive system for the main recycling bodies. It also points out the research content and research method in the study.
The advanced experiences of recycling used household appliances in advanced foreign countries should shed light on our country. The dissertation compares the different current situations of recycling used household appliances home and abroad from the perspective of policy stipulation, manufacturers' responsibility, paying mechanism and administrative institutions. It also points out that recycling used household appliances in China needs to be standardized urgently. Based on this, all the possible recycling models have been set up at the premise of standard recycling. These models are set up under three recycling models being in the charge of household appliances manufacturers, professional recycling enterprises and industrial alliance, considering different situations of sale ways and main recycling bodies concerned. Meanwhile, it points out three typical models under the system of EPR in the world:(1) manufacturers in charge of recycling:MDC-CM and MDC-CDM in the case of distribution; MC-CM in the case of direct sale; (2) professional recycling enterprises in charge of recycling:MDC-C(TP)R and MDC-CR in the case of distribution; (3) MDC-CA in the case of distribution.
It is vital to define properly the responsibility of respective main bodies involved shared at the stage of recycling used household appliances in order to implement the system of EPR in the field of home appliances. The dissertation corresponds the interests allocation rate of the main bodies in the channels to the different extent of participation in the channels. The continuum of different cooperative relationship at different levels from 0 to 1 is set up through constraining the extent of the main bodies'participation in the channels. Meanwhile, the choice between 0 and 1 indicates whether the manufacturers outsource the recycling business or not. For such typical models as MDC-CM, MDC-CDM, MC-CM, MDC-C(TP)R, MDC-CR and MDC-CA, based on Stackelberg's Game Theory, the mathematic model which includes distribution, direct sale and different extent of recycling has been set up under certain assumptions. It analyzes quantitatively the interests game relationship among different main bodies concerned in different models. It also defines the responsibility rate shouldered by different main bodies in recycling used household appliances according to beneficiary-pay rule and the rule that responsibility, right and duty are equal to each other. At the same time, it illustrates the model of MDC-CDM. The result indicates that with the change of the main bodies in recycling used household appliances and the change of manufacturers'participation in the channels, the interests allocation rate among the main bodies, outer environment cost afforded and the responsibility rate in the recycling will change. However, considering the manufacturing enterprises are the most direct and critical enterprises in carrying out the system of EPR and the competition among the enterprises is multidimensional, it uses Multidimensional Game Theory to analyze the effects of EPR on manufacturing enterpeises'market interests with active and passive attitudes.
On the basis of above results of quantitative analysis, the value of people first, the idea of rights change, and the differences of main bodies involved in recycling. Based on these and combined with the foregoing quantitative analysis results, differentiated incentive mechanism of such main recycling bodies as manufacturers, distributors, consumers, recycling enterprises and handling enterprises has been set up through analyzing the difference among different main recycling bodies and analyzing the psychological and behavioral effects of economic and noneconomic factors on the subjects motivated.
Finally, it summarizes the research, points out the main innovation in the research and sheds light on the future research in the relevant field.
The research results will promote the standard development of recycling logistics of used household appliances in China and provide some enlightening ideas and methods, thus they are significant in both theory and practice.
引文
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