零售商主导型绿色供应链管理实践及制约因素的实证研究
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摘要
当前,环境问题日益突显,环境规制日趋严厉,各类企业在提升自身经济绩效的同时要兼顾社会绩效,这就要求企业去提升自身以及与之相关的供应链中成员企业的环境管理能力和效率从而获得竞争优势。显然,实施绿色供应链管理有助于企业实现这个重要目标。
国内外的研究已经表明,成功的绿色供应链管理需要一个具有较强能力的核心企业来主导,需要其来维护和协调整个供应链关系的稳定以确保绿色供应链管理目标的实现。目前,在全球可持续发展的召唤下,消费者对自身健康的持续关注产生了一定规模的绿色消费市场,使得与消费者最为接近、实力较雄厚且势力不断壮大的零售商开始内化外在的环境压力,通过进行绿色供应链管理实践来处理环境压力进而满足消费者的绿色消费需求。因此,原先的制造商主导型绿色供应链管理具有了向零售商主导型绿色供应链管理转变的可能性和必然性。基于此背景,本文首先从实际出发,探讨了零售商作为核心企业主导绿色供应链管理的现实意义,实证分析了零售商主导型绿色供应链管理的实践现状和制约因素以及二者之间的影响力关系,期望能够得到有益结论来指导零售商主导型绿色供应链管理实践,以使其实践动力能够得到有针对性的提升,并期望能够为绿色供应链管理的相关理论提供有益补充和必要拓展。
本文所获得的研究成果归纳如下：
1.通过因子分析方法提取了零售商主导型绿色供应链管理实践的3个主因子及制约因素的5个主因子
(1)本研究提取的零售商主导型绿色供应链管理实践3个主因子是“绿色采购管理”、“自身绿色管理”和“绿色营销管理”。其中,绿色采购管理的贡献率最大,是最为关键和重要的因子,可是零售商的实践水平最低；面向消费者的绿色营销主因子相对来说作用较小,但是其实践效果最佳。进一步进行二级因子分析发现“积极销售绿色产品”和“向消费者进行绿色宣传,倡导绿色消费”这两个面向消费者绿色营销管理实践的均值较高,表明零售商已经受到了绿色利润的驱动,能够从这些活动中获得较高的收益。
(2)本研究提取的零售商主导型绿色供应链管理制约因素的5个主因子是“上游供应商因素”、“企业自身因素”、“政策因素”、“下游消费者因素”和“环保NGO因素”。其中,制约零售商主导型绿色供应链管理的因素主要是上游供应商因素,其影响最大,紧接其后的是零售商自身的因素。之后依次为政策因素、下游消费者因素和环保NGO因素,所占百分比都比较小。通过二级因子的进一步分析,发现当前对零售商主导实施绿色供应链管理来说最重要的五个障碍依次是：消费者环境意识不强、消费者绿色支付能力不强、缺乏稳定的环境友好产品供应商、缺乏与供应商在环境方面的合作、供应商开发环境友好产品方面改进不够。因此可以看出,消费者的绿色消费和与供应商的环境合作对于推动零售商主导型绿色供应链管理来说具有积极意义。
2.通过相关分析、回归分析揭示了零售商主导型绿色供应链管理实践与制约因素之间的关系
通过采用Spearman相关分析方法,得出：零售商的“绿色采购管理”实践与制约因素的“下游消费者因素”和“上游供应商因素”存在很强的负相关性,与“企业自身因素”存在较强的负相关性,与“政策因素””和“环保NGO因素”存在一般的负相关性；零售商的“内部绿色管理”实践与制约因素的“企业自身因素”存在很强的负相关性,与“上游供应商因素”、“政策因素”和“下游消费者因素”存在较强的负相关性,与“环保NGO因素”存在一般的负相关性；零售商的“绿色营销管理”实践与制约因素的“下游消费者因素”具有很强的负相关性,与“上游供应商因素”、“企业自身因素”、“政策因素”具有较强的负相关性,与“环保NGO因素”存在一般的负相关性。
进一步通过回归分析获得的结果是制约因素中的上游供应商因素对零售商绿色采购管理的影响力最大,其余的依次是企业自身因素、下游消费者因素、政策因素和环保NGO因素；制约因素中的企业自身因素对零售商内部绿色管理的影响力最大,之后依次是下游消费者因素、政策因素、上游供应商因素和环保NGO因素；制约因素中的消费者因素对零售商绿色营销管理的影响最大,之后依次是企业自身因素、上游供应商因素、政策因素和环保NCO因素。
3.构建了零售商主导型绿色供应链管理的动力机制模型
为了促进零售商克服障碍,积极主动实施绿色供应链管理,本文构建了零售商主导型绿色供应链管理动力机制模型,期望从多角度推动绿色供应链管理的实施。提出的动力系统包括零售商的自身动力；政府通过加强规制和激励来向各级企业施压、对消费者进行宣传教育来形成对零售商的推动力；消费者积极进行绿色消费从而形成对零售商的拉动力；上游供应商提供绿色产品,积极进行绿色技术改造以形成对零售商的推动力；环保组织NGO向政府、企业施压,对消费者进行教育宣传,从而促进零售商实施绿色供应链管理。
4.通过构建博弈模型,提出零售商与供应商合作的益处和必要时对供应商绿色行为监督检查的重要性
(1)构建了基于知识溢出效应的零售商与供应商合作博弈模型,通过比较和均衡分析发现双方选择合作求解的最大利润要大于不合作时的利润。因此,只有合作才能使零售商和链上其他企业获得最大的经济绩效,这就需要零售商发挥主导作用,促进链上的知识流动,扩大知识溢出的效应。具体需要做的是：调查了解消费者的绿色需求,增加研发投入,完善自身的技术知识；促进链上企业形成学习型的组织文化；促进链上企业树立正确的道德观、合作观；促进链上企业之间进行合作交流,营造良好的沟通环境。
(2)构建了基于绿色行为真实性的零售商与供应商博弈模型,通过均衡分析得出的主要结论包括：一是零售商的检查概率主要受罚金和供应商绿色行为的收益以及供应商绿色行为与非绿色行为的成本差三大因素影响。其中,两者的成本差距越大,供应商的机会主义行为概率越大,零售商越应加强检查。此外,零售商可以通过对供应商绿色行为尤其是绿色产品的合理定价或者增大处罚力度来降低必要检查的概率。二是供应商绿色行为的概率主要受针对供应商违约的罚金、零售商收益和零售商检查成本影响。零售商针对供应商的直接控制变量是违约罚金。所以,零售商可以通过加大对非法收益的处罚倍数来降低供应商非绿色行为的概率。总之,零售商应该加强对供应商绿色行为尤其是绿色产品供应的监督检查,以确保消费者利益得到保障。
At present, environmental problems have become increasingly prominent and environmental regulation has become more and more severe, so all kinds of enterprises have to improve its economic performance and social performance, which requires enterprises enhance the environmental management capacity and efficiency of their own and related member enterprises of supply chain in order to gain competitive advantage. Obviously, the implementation of green supply chain management can help enterprises achieve this significant goal.
Domestic and foreign studies have shown that the success of green supply chain management requires the core enterprise have a stronger ability of lead, maintain and coordinate the stability of the whole supply chain relationship to ensure the realization of the goal of green supply chain management. Currently, with the call of the global sustainable development, consumers paid sustained attention to their own health, which create a certain scale of green consumption market. The growing powerful retailers which are most close to consumers begin to internalize their environmental pressure, which actively practice the green supply chain management to deal with the environmental pressure to meet consumers'green consumption demand. Therefore, it is inevitable and possible for the green supply chain management from the original manufacturer-led changing to retailer-led. Based on this background, this article first explores the significance for the retailer being as the core enterprise to lead the green supply chain management, then analyzes empirically the present practice situation and restricting factors of the retailer-led green supply chain management and their influential relationships in order to get useful conclusions to guide the retailer's practice and make it practical impetus be improved, at the same time provide a useful complementary and necessarily expansion to the green supply chain management theory. In this paper, the research results are summarized as follows:
1. Extracting3main factors of RLGSCM practice and5main factors of RLGSCM restrictive factors through factor analysis approach.
Firstly,3main factors of RLGSCM practice are extracted, which are "green procurement management","internal green management" and "green marketing management". Among them, green procurement management makes the greatest contribution, which is the most important factor, but the retailer practice level was minimum; consumer-oriented green marketing is a relatively smaller role, but its practice effect was best. A further secondary-factors analysis found that the mean values of "actively sell the green products" and" carry out green marketing, advocate green consumption" are higher, which suggested that more retailers had already gained green profits from these green activities.
Secondly,5main factors of RLGSCM restrictive factors are extracted, which are "upstream suppliers factors","enterprise own factors","policy factors","downstream consumers factors" and "environmental protection NGO factors". Among them, the impact of "upstream suppliers factors" is the biggest, followed closely is the "retailers'own factors". The "policy factors","environmental protection NGO factors","downstream consumers factors" are as follow, but their percentages are relatively small. Through secondary-factors analysis, we found the5most important obstacles, which are "consumers' environmental consciousness is not strong","the ability of consumer green pay is not strong","environment friendly product suppliers are lack","suppliers' environmental cooperation" and "suppliers'in the development of environmentally friendly products the improvement is not enough". Therefore, it is significant for consumers' green consumption and suppliers'environmental cooperation to promote RLGSCM.
2. Analyzing the relationship between RLGSCM practice and RLGSCM restrictive factors through correlation analysis, regression analysis.
The conclusions through spearman analysis are as followed:the "green procurement management" practice has a stronger negative correlation with "downstream consumers factors" and "upstream suppliers factors", has a strong negative correlation between "enterprise own factor", and has a general negative correlation with "environmental protection NGO factors"; the "internal green management" practice has a stronger negative correlation with "enterprise own factor", has a strong negative correlation with "upstream suppliers factors","policy factors" and "the downstream consumers factors", and has a general negative correlation with "environmental protection NGO factors"; the "green marketing management" practice has a stronger negative correlation with "downstream consumers factors", has a strong negative correlation with "upstream suppliers factors","enterprise own factor" and "policy factors", and has a general negative correlation with "environmental protection NGO factors".
Further study through the regression analysis, conclusions were obtained that the "upstream suppliers factors" has the biggest influence on retailer's "green procurement management", and the rest are "enterprise own factor","policy factors","downstream consumers factors" and "environmental protection NGO factors"; the "enterprise own factors" is the biggest influence factor on "internal green management", followed by "downstream consumers factors","policy factors","environmental factors" and "environmental protection NGO factors"; the "downstream consumer factors" has the biggest influence on "green marketing management", followed by "enterprise own factors","upstream suppliers factors","policy factors" and "environmental protection NGO factors ".
3. Constructing a RLGSCM motive mechanism
In order to promote retailers to overcome obstacles, this paper constructs a RLGSCM motive mechanism, expecting to promote the implementation of green supply chain management from multiple perspectives. The motive system includes:retailer' own power; government impetus; consumers pulling power; suppliers pushing power; environmental protection NGO impetus.
4. Putting forward the benefits of the cooperation between the retailer and suppliers, and the necessity of conducting supervision and inspection to the suppliers' green behaviors through constructing game model.
(1) Building a cooperation game between retailer and its supplier based on knowledge spillover effect. By equilibrium analysis, I found that the cooperative profits were higher than uncooperative profits for both sides. Therefore, only cooperation can make retailer and other member enterprises obtain the biggest economic performance, which asks retailer play a leading role, promote knowledge flow in the supply chain and expand the knowledge spillover effect. Retailer should:survey consumers' green demand, increase R&D investment and improve their own technical knowledge; promote member enterprises form a learning organization culture; promote member enterprises build a correct moral concept and cooperative concept; create a good communication environment to promote the cooperation and exchange between member enterprises.
(2) Building a game model between retailer and its supplier based on supplier's real green behavior, then carrying a equilibrium analysis. The main conclusion includes:retailer's examination possibility is mainly affected by the fine, supplier's gains from green behavior and the cost difference of supplier's green behavior and non green behavior. Among them, the cost difference is bigger, the possibility of the supplier's opportunism behavior is higher, so the retailer should strengthen inspection. In addition, the retailer can reduce the possibility of necessary inspection through improving green product's price or increasing fine; Secondly, the possibility of supplier's green behavior is mainly affected by the supplier default fine, retailer's earnings and check cost. The default fine is the only direct control variable for retailer. Therefore, the retailer can increase penalty multiples to reduce the possibility of supplier non green behavior. In short, the retailer should strengthen the supervision and inspection to ensure consumer interests are protected.
国内外的研究已经表明,成功的绿色供应链管理需要一个具有较强能力的核心企业来主导,需要其来维护和协调整个供应链关系的稳定以确保绿色供应链管理目标的实现。目前,在全球可持续发展的召唤下,消费者对自身健康的持续关注产生了一定规模的绿色消费市场,使得与消费者最为接近、实力较雄厚且势力不断壮大的零售商开始内化外在的环境压力,通过进行绿色供应链管理实践来处理环境压力进而满足消费者的绿色消费需求。因此,原先的制造商主导型绿色供应链管理具有了向零售商主导型绿色供应链管理转变的可能性和必然性。基于此背景,本文首先从实际出发,探讨了零售商作为核心企业主导绿色供应链管理的现实意义,实证分析了零售商主导型绿色供应链管理的实践现状和制约因素以及二者之间的影响力关系,期望能够得到有益结论来指导零售商主导型绿色供应链管理实践,以使其实践动力能够得到有针对性的提升,并期望能够为绿色供应链管理的相关理论提供有益补充和必要拓展。
本文所获得的研究成果归纳如下：
1.通过因子分析方法提取了零售商主导型绿色供应链管理实践的3个主因子及制约因素的5个主因子
(1)本研究提取的零售商主导型绿色供应链管理实践3个主因子是“绿色采购管理”、“自身绿色管理”和“绿色营销管理”。其中,绿色采购管理的贡献率最大,是最为关键和重要的因子,可是零售商的实践水平最低；面向消费者的绿色营销主因子相对来说作用较小,但是其实践效果最佳。进一步进行二级因子分析发现“积极销售绿色产品”和“向消费者进行绿色宣传,倡导绿色消费”这两个面向消费者绿色营销管理实践的均值较高,表明零售商已经受到了绿色利润的驱动,能够从这些活动中获得较高的收益。
(2)本研究提取的零售商主导型绿色供应链管理制约因素的5个主因子是“上游供应商因素”、“企业自身因素”、“政策因素”、“下游消费者因素”和“环保NGO因素”。其中,制约零售商主导型绿色供应链管理的因素主要是上游供应商因素,其影响最大,紧接其后的是零售商自身的因素。之后依次为政策因素、下游消费者因素和环保NGO因素,所占百分比都比较小。通过二级因子的进一步分析,发现当前对零售商主导实施绿色供应链管理来说最重要的五个障碍依次是：消费者环境意识不强、消费者绿色支付能力不强、缺乏稳定的环境友好产品供应商、缺乏与供应商在环境方面的合作、供应商开发环境友好产品方面改进不够。因此可以看出,消费者的绿色消费和与供应商的环境合作对于推动零售商主导型绿色供应链管理来说具有积极意义。
2.通过相关分析、回归分析揭示了零售商主导型绿色供应链管理实践与制约因素之间的关系
通过采用Spearman相关分析方法,得出：零售商的“绿色采购管理”实践与制约因素的“下游消费者因素”和“上游供应商因素”存在很强的负相关性,与“企业自身因素”存在较强的负相关性,与“政策因素””和“环保NGO因素”存在一般的负相关性；零售商的“内部绿色管理”实践与制约因素的“企业自身因素”存在很强的负相关性,与“上游供应商因素”、“政策因素”和“下游消费者因素”存在较强的负相关性,与“环保NGO因素”存在一般的负相关性；零售商的“绿色营销管理”实践与制约因素的“下游消费者因素”具有很强的负相关性,与“上游供应商因素”、“企业自身因素”、“政策因素”具有较强的负相关性,与“环保NGO因素”存在一般的负相关性。
进一步通过回归分析获得的结果是制约因素中的上游供应商因素对零售商绿色采购管理的影响力最大,其余的依次是企业自身因素、下游消费者因素、政策因素和环保NGO因素；制约因素中的企业自身因素对零售商内部绿色管理的影响力最大,之后依次是下游消费者因素、政策因素、上游供应商因素和环保NGO因素；制约因素中的消费者因素对零售商绿色营销管理的影响最大,之后依次是企业自身因素、上游供应商因素、政策因素和环保NCO因素。
3.构建了零售商主导型绿色供应链管理的动力机制模型
为了促进零售商克服障碍,积极主动实施绿色供应链管理,本文构建了零售商主导型绿色供应链管理动力机制模型,期望从多角度推动绿色供应链管理的实施。提出的动力系统包括零售商的自身动力；政府通过加强规制和激励来向各级企业施压、对消费者进行宣传教育来形成对零售商的推动力；消费者积极进行绿色消费从而形成对零售商的拉动力；上游供应商提供绿色产品,积极进行绿色技术改造以形成对零售商的推动力；环保组织NGO向政府、企业施压,对消费者进行教育宣传,从而促进零售商实施绿色供应链管理。
4.通过构建博弈模型,提出零售商与供应商合作的益处和必要时对供应商绿色行为监督检查的重要性
(1)构建了基于知识溢出效应的零售商与供应商合作博弈模型,通过比较和均衡分析发现双方选择合作求解的最大利润要大于不合作时的利润。因此,只有合作才能使零售商和链上其他企业获得最大的经济绩效,这就需要零售商发挥主导作用,促进链上的知识流动,扩大知识溢出的效应。具体需要做的是：调查了解消费者的绿色需求,增加研发投入,完善自身的技术知识；促进链上企业形成学习型的组织文化；促进链上企业树立正确的道德观、合作观；促进链上企业之间进行合作交流,营造良好的沟通环境。
(2)构建了基于绿色行为真实性的零售商与供应商博弈模型,通过均衡分析得出的主要结论包括：一是零售商的检查概率主要受罚金和供应商绿色行为的收益以及供应商绿色行为与非绿色行为的成本差三大因素影响。其中,两者的成本差距越大,供应商的机会主义行为概率越大,零售商越应加强检查。此外,零售商可以通过对供应商绿色行为尤其是绿色产品的合理定价或者增大处罚力度来降低必要检查的概率。二是供应商绿色行为的概率主要受针对供应商违约的罚金、零售商收益和零售商检查成本影响。零售商针对供应商的直接控制变量是违约罚金。所以,零售商可以通过加大对非法收益的处罚倍数来降低供应商非绿色行为的概率。总之,零售商应该加强对供应商绿色行为尤其是绿色产品供应的监督检查,以确保消费者利益得到保障。
At present, environmental problems have become increasingly prominent and environmental regulation has become more and more severe, so all kinds of enterprises have to improve its economic performance and social performance, which requires enterprises enhance the environmental management capacity and efficiency of their own and related member enterprises of supply chain in order to gain competitive advantage. Obviously, the implementation of green supply chain management can help enterprises achieve this significant goal.
Domestic and foreign studies have shown that the success of green supply chain management requires the core enterprise have a stronger ability of lead, maintain and coordinate the stability of the whole supply chain relationship to ensure the realization of the goal of green supply chain management. Currently, with the call of the global sustainable development, consumers paid sustained attention to their own health, which create a certain scale of green consumption market. The growing powerful retailers which are most close to consumers begin to internalize their environmental pressure, which actively practice the green supply chain management to deal with the environmental pressure to meet consumers'green consumption demand. Therefore, it is inevitable and possible for the green supply chain management from the original manufacturer-led changing to retailer-led. Based on this background, this article first explores the significance for the retailer being as the core enterprise to lead the green supply chain management, then analyzes empirically the present practice situation and restricting factors of the retailer-led green supply chain management and their influential relationships in order to get useful conclusions to guide the retailer's practice and make it practical impetus be improved, at the same time provide a useful complementary and necessarily expansion to the green supply chain management theory. In this paper, the research results are summarized as follows:
1. Extracting3main factors of RLGSCM practice and5main factors of RLGSCM restrictive factors through factor analysis approach.
Firstly,3main factors of RLGSCM practice are extracted, which are "green procurement management","internal green management" and "green marketing management". Among them, green procurement management makes the greatest contribution, which is the most important factor, but the retailer practice level was minimum; consumer-oriented green marketing is a relatively smaller role, but its practice effect was best. A further secondary-factors analysis found that the mean values of "actively sell the green products" and" carry out green marketing, advocate green consumption" are higher, which suggested that more retailers had already gained green profits from these green activities.
Secondly,5main factors of RLGSCM restrictive factors are extracted, which are "upstream suppliers factors","enterprise own factors","policy factors","downstream consumers factors" and "environmental protection NGO factors". Among them, the impact of "upstream suppliers factors" is the biggest, followed closely is the "retailers'own factors". The "policy factors","environmental protection NGO factors","downstream consumers factors" are as follow, but their percentages are relatively small. Through secondary-factors analysis, we found the5most important obstacles, which are "consumers' environmental consciousness is not strong","the ability of consumer green pay is not strong","environment friendly product suppliers are lack","suppliers' environmental cooperation" and "suppliers'in the development of environmentally friendly products the improvement is not enough". Therefore, it is significant for consumers' green consumption and suppliers'environmental cooperation to promote RLGSCM.
2. Analyzing the relationship between RLGSCM practice and RLGSCM restrictive factors through correlation analysis, regression analysis.
The conclusions through spearman analysis are as followed:the "green procurement management" practice has a stronger negative correlation with "downstream consumers factors" and "upstream suppliers factors", has a strong negative correlation between "enterprise own factor", and has a general negative correlation with "environmental protection NGO factors"; the "internal green management" practice has a stronger negative correlation with "enterprise own factor", has a strong negative correlation with "upstream suppliers factors","policy factors" and "the downstream consumers factors", and has a general negative correlation with "environmental protection NGO factors"; the "green marketing management" practice has a stronger negative correlation with "downstream consumers factors", has a strong negative correlation with "upstream suppliers factors","enterprise own factor" and "policy factors", and has a general negative correlation with "environmental protection NGO factors".
Further study through the regression analysis, conclusions were obtained that the "upstream suppliers factors" has the biggest influence on retailer's "green procurement management", and the rest are "enterprise own factor","policy factors","downstream consumers factors" and "environmental protection NGO factors"; the "enterprise own factors" is the biggest influence factor on "internal green management", followed by "downstream consumers factors","policy factors","environmental factors" and "environmental protection NGO factors"; the "downstream consumer factors" has the biggest influence on "green marketing management", followed by "enterprise own factors","upstream suppliers factors","policy factors" and "environmental protection NGO factors ".
3. Constructing a RLGSCM motive mechanism
In order to promote retailers to overcome obstacles, this paper constructs a RLGSCM motive mechanism, expecting to promote the implementation of green supply chain management from multiple perspectives. The motive system includes:retailer' own power; government impetus; consumers pulling power; suppliers pushing power; environmental protection NGO impetus.
4. Putting forward the benefits of the cooperation between the retailer and suppliers, and the necessity of conducting supervision and inspection to the suppliers' green behaviors through constructing game model.
(1) Building a cooperation game between retailer and its supplier based on knowledge spillover effect. By equilibrium analysis, I found that the cooperative profits were higher than uncooperative profits for both sides. Therefore, only cooperation can make retailer and other member enterprises obtain the biggest economic performance, which asks retailer play a leading role, promote knowledge flow in the supply chain and expand the knowledge spillover effect. Retailer should:survey consumers' green demand, increase R&D investment and improve their own technical knowledge; promote member enterprises form a learning organization culture; promote member enterprises build a correct moral concept and cooperative concept; create a good communication environment to promote the cooperation and exchange between member enterprises.
(2) Building a game model between retailer and its supplier based on supplier's real green behavior, then carrying a equilibrium analysis. The main conclusion includes:retailer's examination possibility is mainly affected by the fine, supplier's gains from green behavior and the cost difference of supplier's green behavior and non green behavior. Among them, the cost difference is bigger, the possibility of the supplier's opportunism behavior is higher, so the retailer should strengthen inspection. In addition, the retailer can reduce the possibility of necessary inspection through improving green product's price or increasing fine; Secondly, the possibility of supplier's green behavior is mainly affected by the supplier default fine, retailer's earnings and check cost. The default fine is the only direct control variable for retailer. Therefore, the retailer can increase penalty multiples to reduce the possibility of supplier non green behavior. In short, the retailer should strengthen the supervision and inspection to ensure consumer interests are protected.
引文
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