工业共生网络形成机理及稳定性研究
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摘要
上世纪末产业生态学兴起,本世纪初我国学者将其引入国内,几乎与此同时,我国政府开始大规模地推动循环经济建设。工业共生网络作为循环经济的中观层面,无论是从理论发展还是从实践需要的角度,都已提上研究的议事日程。其实,早在上世纪80年代,丹麦卡伦堡工业共生体就已自发形成,随后美国、欧洲等发达国家开始了生态工业园项目的研究和建设,然而技术革新、外部的新压力、合并和接管等变化使项目运行受到了较大影响,稳定性问题始终是困扰行为各方的难题。为了更好地加强对我国生态工业园的管理,避免重蹈覆辙,迫切需要对生态工业园中企业合作的组织模式——工业共生网络的形成机理及稳定性作出科学分析,并提供工业共生网络稳定运行的对策。
本文沿着工业共生网络的生命周期,遵循工业共生网络“形成—稳定—治理”的逻辑思路,构建了工业共生网络稳定性研究的一般性分析框架。以实证研究与规范研究相结合、定性理论阐释与定量模型分析相结合、静态分析与动态分析相结合为原则,综合运用经济学、管理学和产业生态学等多学科的研究工具,较完整研究了工业共生网络的形成机理、稳定性机理和网络治理等相关内容。
本文首先从产业生态学和网络组织理论出发,目的在于将工业共生网络的研究由产业生态学引入经济学、管理学的研究视角,既承认工业共生网络是产业生态系统,又指出工业共生网络是一种特殊的网络组织。进而从微观组织结构入手,分析了工业共生网络的链接特征、表现形式、组织模式和运作模式,为工业共生网络形成机理及稳定性研究提供理论基础。
工业共生网络的形成机理是本文要回答的第一个问题。企业可以通过结成工业共生网络降低生产成本和交易成本,获得集聚效应,还可以缓解面临的资源约束和环境压力。正是基于对经济环境双赢的追求,企业在空间上的集聚和建立工业共生网络就成为可能。本文建立了基于经济环境目标导向的工业共生网络能值分析模型,并模型化了工业共生网络的形成过程。分析表明,企业在朝着工业共生网络演进过程中,经济表现、环境表现、可持续性能都得到了显著提高。并指出工业共生网络形成的两种路径——“自下而上”和“自上而下”的方式。
工业共生网络稳定性机理是本文要回答的第二个问题。工业共生网络的稳定性涉及静态稳定性和动态稳定性,静态稳定性关注的是网络组织结构初始状态的稳定,重点考察组织结构与网络稳定性之间的关系;动态稳定性关注面对网络运行过程中的风险,应当设计怎样的治理机制使其保持稳定。本文首先提出了“组织结构决定论”,完成对静态稳定性的分析;并通过对网络治理的研究完成对动态稳定性的分析。在静态稳定性分析中,构建了“结构—行为—稳定”的分析框架,从影响网络稳定性的结构性因素入手,研究工业共生网络组织模式和运作模式与静态稳定性之间的内在关系。
通过多案例解释性案例研究,选取丹麦卡伦堡工业共生体和中国鲁北国家生态工业园为例,在建立过程、组织模式、运作模式三个维度上进行个案间的交互分析,进一步验证了“工业共生网络的形成是源于企业对济效益和环境效益的追求”及“网络组织结构影响网络稳定性”两个理论命题,得到的拓展结论更成为工业共生网络治理的依据。
网络治理是稳定性研究的归宿。本文以工业共生网络运作中的风险为对象、以网络的稳定运行为目标、以稳定性机制研究为重点,构建了“治理环境—治理对象—治理机制—治理目标”的工业共生网络治理的理论框架,进行动态稳定性分析。认为信任和惩罚机制、政府支持机制和网络整体创新机制对于网络稳定性具有重要意义,并提出了提升我国工业共生网络稳定性的对策建议。
At the end of the last century rose industrial ecology (IE), and at the beginning of this century China's scholars introduced IE to our country. Almost at the same time, the Chinese government began to promote cycling economy construction on the large-scale. Whether on the perspective of theory or practice, the study of industrial symbiosis network (ISN) which is the middle level of cycling economy has been put on the agenda. In fact, as early as the 1980s, Kalundborg industrial symbiosis in Denmark had spontaneously formed, and then the United States, Europe and other developed countries started the projects of eco-industrial park (EIP). However, such changes as technological innovation, the new external pressure, combination and take-over had a greater negative influence on the operation of the EIP projects. In this way, the problem of stability is always the distress to the behavior parties. In order to strengthen the management of Chinese EIPs and avoid failures, there is an urgent need to make scientific analysis of the forming mechanism and the stability of ISN which is the organizational model of inter-enterprise cooperation in the EIPs, and to provide effective measures to maintain stable operation of ISN.
This paper traced the life cycle of ISN, followed the logic of dynamic stability, and then built a general analysis framework of the stability research on ISN. In the principle of integration of empirical and normal research, integration of qualitative theory interpretation and quantitative model analysis, and integration of static and dynamic analysis, through comprehensively use of such multidisciplinary research tools as economics, management science and IE, according to the‘formation– stability– governance’research path, this paper completely studied the forming mechanism, stability mechanism, network governance and other relevant content of ISN.
On the base of IE and network organization theory, in order to introduce the research perspective of ISN from IE to economics and management science, this paper not only admitted the ISN as an industrial ecosystem, but also pointed out that ISN is a special kind of network organization. From the viewpoint of micro-structure, this paper then analyzed the link characteristics, manifestations, organizational model and operational model of ISN, which provided the theoretical basis of the research on the forming mechanism and stability.
The forming mechanism of ISN is the first question to answer in this paper. Through forming an ISN, enterprises not only can reduce production costs and transaction costs, achieve clustering effect, but also can ease the resource constraints and environmental pressures. On the pursuit of a‘win-win’goal between economic and environmental benefits, enterprises have the motivation and desire to set up more closely transactions, so that it is possible for enterprises to gather in space and establish ISN. This paper constructed an emergy analysis model based on economic and environmental goals, and modelized the forming process of ISN. The analysis showed that ISN can significantly improve economic performance and environmental performance and finally realize sustainable development of enterprises. Two paths of down-to-up and up-to-down were then proposed.
Stability of ISN is the second question to answer in this paper. It involved in static stability and dynamic stability. Static stability is concerned about the initial state of the network organizational structure, mainly inspects the relationship between the organizational structure and stability. Dynamic stability concerns how to design a set of governance mechanism to maintain stability when ISN facing risks in the course of operating. This paper proposed the‘organizational structure decision theory’to complete the analysis of the static stability, and then applied the network governance theory to complete the analysis of the dynamic stability. In the analysis of the static stability, this paper firstly built a‘structure– conduct– stability’analysis framework, then started from the structural factors that affected the stability, and cut in from the organizational model and operational model of ISN, finally studied the virtue relationship between the organizational structure and stability.
Through multiple cases of interpretative case studies, this paper selected Kalundborg industrial symbiosis in Denmark and Lubei national EIP in Shandong China as examples, then made an interaction analysis between the cases on the three dimensions of building process, organizational model and operational model, and further verified the two theoretical propositions of‘the reason of ISN formation is that enterprises persue both economic and environmental benefits’and‘network organizational structure affects network stability’. The achived expansive conclusions have become the basis for ISN governance.
Network governance is the destination of stability research. This paper took operational risks as the object, stable operation as the goal, stability mechanism as the keypoint, and then built an ISN governance theory framework of‘governance environment– governance objective– governance mechanism– governance target’to realize dynamic stability analysis. The conclusion showed that trust and punishment mechanism, government’s support mechanism and the overall network innovation mechanism are of great significance to the stability of ISN. At last, advices on upgrading stability of ISN in China were proposed.
本文沿着工业共生网络的生命周期,遵循工业共生网络“形成—稳定—治理”的逻辑思路,构建了工业共生网络稳定性研究的一般性分析框架。以实证研究与规范研究相结合、定性理论阐释与定量模型分析相结合、静态分析与动态分析相结合为原则,综合运用经济学、管理学和产业生态学等多学科的研究工具,较完整研究了工业共生网络的形成机理、稳定性机理和网络治理等相关内容。
本文首先从产业生态学和网络组织理论出发,目的在于将工业共生网络的研究由产业生态学引入经济学、管理学的研究视角,既承认工业共生网络是产业生态系统,又指出工业共生网络是一种特殊的网络组织。进而从微观组织结构入手,分析了工业共生网络的链接特征、表现形式、组织模式和运作模式,为工业共生网络形成机理及稳定性研究提供理论基础。
工业共生网络的形成机理是本文要回答的第一个问题。企业可以通过结成工业共生网络降低生产成本和交易成本,获得集聚效应,还可以缓解面临的资源约束和环境压力。正是基于对经济环境双赢的追求,企业在空间上的集聚和建立工业共生网络就成为可能。本文建立了基于经济环境目标导向的工业共生网络能值分析模型,并模型化了工业共生网络的形成过程。分析表明,企业在朝着工业共生网络演进过程中,经济表现、环境表现、可持续性能都得到了显著提高。并指出工业共生网络形成的两种路径——“自下而上”和“自上而下”的方式。
工业共生网络稳定性机理是本文要回答的第二个问题。工业共生网络的稳定性涉及静态稳定性和动态稳定性,静态稳定性关注的是网络组织结构初始状态的稳定,重点考察组织结构与网络稳定性之间的关系;动态稳定性关注面对网络运行过程中的风险,应当设计怎样的治理机制使其保持稳定。本文首先提出了“组织结构决定论”,完成对静态稳定性的分析;并通过对网络治理的研究完成对动态稳定性的分析。在静态稳定性分析中,构建了“结构—行为—稳定”的分析框架,从影响网络稳定性的结构性因素入手,研究工业共生网络组织模式和运作模式与静态稳定性之间的内在关系。
通过多案例解释性案例研究,选取丹麦卡伦堡工业共生体和中国鲁北国家生态工业园为例,在建立过程、组织模式、运作模式三个维度上进行个案间的交互分析,进一步验证了“工业共生网络的形成是源于企业对济效益和环境效益的追求”及“网络组织结构影响网络稳定性”两个理论命题,得到的拓展结论更成为工业共生网络治理的依据。
网络治理是稳定性研究的归宿。本文以工业共生网络运作中的风险为对象、以网络的稳定运行为目标、以稳定性机制研究为重点,构建了“治理环境—治理对象—治理机制—治理目标”的工业共生网络治理的理论框架,进行动态稳定性分析。认为信任和惩罚机制、政府支持机制和网络整体创新机制对于网络稳定性具有重要意义,并提出了提升我国工业共生网络稳定性的对策建议。
At the end of the last century rose industrial ecology (IE), and at the beginning of this century China's scholars introduced IE to our country. Almost at the same time, the Chinese government began to promote cycling economy construction on the large-scale. Whether on the perspective of theory or practice, the study of industrial symbiosis network (ISN) which is the middle level of cycling economy has been put on the agenda. In fact, as early as the 1980s, Kalundborg industrial symbiosis in Denmark had spontaneously formed, and then the United States, Europe and other developed countries started the projects of eco-industrial park (EIP). However, such changes as technological innovation, the new external pressure, combination and take-over had a greater negative influence on the operation of the EIP projects. In this way, the problem of stability is always the distress to the behavior parties. In order to strengthen the management of Chinese EIPs and avoid failures, there is an urgent need to make scientific analysis of the forming mechanism and the stability of ISN which is the organizational model of inter-enterprise cooperation in the EIPs, and to provide effective measures to maintain stable operation of ISN.
This paper traced the life cycle of ISN, followed the logic of dynamic stability, and then built a general analysis framework of the stability research on ISN. In the principle of integration of empirical and normal research, integration of qualitative theory interpretation and quantitative model analysis, and integration of static and dynamic analysis, through comprehensively use of such multidisciplinary research tools as economics, management science and IE, according to the‘formation– stability– governance’research path, this paper completely studied the forming mechanism, stability mechanism, network governance and other relevant content of ISN.
On the base of IE and network organization theory, in order to introduce the research perspective of ISN from IE to economics and management science, this paper not only admitted the ISN as an industrial ecosystem, but also pointed out that ISN is a special kind of network organization. From the viewpoint of micro-structure, this paper then analyzed the link characteristics, manifestations, organizational model and operational model of ISN, which provided the theoretical basis of the research on the forming mechanism and stability.
The forming mechanism of ISN is the first question to answer in this paper. Through forming an ISN, enterprises not only can reduce production costs and transaction costs, achieve clustering effect, but also can ease the resource constraints and environmental pressures. On the pursuit of a‘win-win’goal between economic and environmental benefits, enterprises have the motivation and desire to set up more closely transactions, so that it is possible for enterprises to gather in space and establish ISN. This paper constructed an emergy analysis model based on economic and environmental goals, and modelized the forming process of ISN. The analysis showed that ISN can significantly improve economic performance and environmental performance and finally realize sustainable development of enterprises. Two paths of down-to-up and up-to-down were then proposed.
Stability of ISN is the second question to answer in this paper. It involved in static stability and dynamic stability. Static stability is concerned about the initial state of the network organizational structure, mainly inspects the relationship between the organizational structure and stability. Dynamic stability concerns how to design a set of governance mechanism to maintain stability when ISN facing risks in the course of operating. This paper proposed the‘organizational structure decision theory’to complete the analysis of the static stability, and then applied the network governance theory to complete the analysis of the dynamic stability. In the analysis of the static stability, this paper firstly built a‘structure– conduct– stability’analysis framework, then started from the structural factors that affected the stability, and cut in from the organizational model and operational model of ISN, finally studied the virtue relationship between the organizational structure and stability.
Through multiple cases of interpretative case studies, this paper selected Kalundborg industrial symbiosis in Denmark and Lubei national EIP in Shandong China as examples, then made an interaction analysis between the cases on the three dimensions of building process, organizational model and operational model, and further verified the two theoretical propositions of‘the reason of ISN formation is that enterprises persue both economic and environmental benefits’and‘network organizational structure affects network stability’. The achived expansive conclusions have become the basis for ISN governance.
Network governance is the destination of stability research. This paper took operational risks as the object, stable operation as the goal, stability mechanism as the keypoint, and then built an ISN governance theory framework of‘governance environment– governance objective– governance mechanism– governance target’to realize dynamic stability analysis. The conclusion showed that trust and punishment mechanism, government’s support mechanism and the overall network innovation mechanism are of great significance to the stability of ISN. At last, advices on upgrading stability of ISN in China were proposed.
引文
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50童莉.生态工业园区产业链设计及其系统稳定性研究——以烟台、乌鲁木齐为例.北京化工大学博士学位毕业论文. 2006,6: 67-68
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53王灵梅,张金屯.生态学理论在生态工业发展中的应用.环境保护. 2003, (7): 57-60.
54 R. Cote. Eco-industrial parks. Ann Arbor. International Society for Industrial Ecology Conference, University of Michigan, June 29, 2003: 396-412
55楼园,赵红.企业生态系统模型及非生物环境因素分析.数量经济技术经济研究. 2001, (3): 61-64
56 C. Hardy, T. E. Graedel. Industrial Ecosystems as Food Webs. Journal of Industrial Ecology. 2002, (6): 29-38
57 A. K. Fleig. Eco-industrial Parks: A Strategy Towards Industrial Ecology in Developing and Newly Industrialised Countries. Eschborn. Dentsche Gesellschaft fur Technische Zusammerarbeit (GTZ) GmbH., Germany. 2000: 788-801
58 E. A. Lowe, S. R. Moran, D. B. Holmes. Eco-industrial Parks: a Handbook for Local Development Teams. Oakland, CA: Indigo Development, RPP International, 1998: 181-198
59 J. Korhonen, H. Niemelainen, K. Pulliainen. Regional Industrial Recycling Network in Energy Supply the Case of Joensuu City. Finland. www. Interscience. Wiley. Com: Corporate Social Responsibility and Environmental Management, 2002, 170-185
60肖忠东.工业生态制造中物质剩余理论研究.西安交通大学博士论文. 2002: 55-59
61 E. H. Moors, K. F. Mulder, P. J. Vergragt. Towards Cleaner Production: Barriers and Strategies in the Base Metals Producing Industry. Journal of Cleaner Production, 2005,(13): 657-668
62 D. R. Gregory. Social Experiments in innovative environmental Management: The Emergence of Ecotechnology. Waterloo, Ontario, Canada: Dissertation for Ph. D. in Planning in Waterloo University, 2003: 156-172
63 G. Zilahy. Organizational Factors Determining the Implementation of Cleaner Production Measures in the Corporate Sector. Journal of Cleaner Production 2004, (12): 311-319
64 S. Majumdar. Developing an Eco-industrial Park in the Lloydminster Area. Ottawa, CA: Dissertation for Master of Science in Civil Engineering, University of Calgary, 2001: 9-10
65 H. M. Morehouse. A Spatial Decision Support System for EnvironmentallySustainable Communities. Ann, Arbor, MI: Dissertation for Ph. D. in Clark University, 2002: 5
66 C. J. Chen. Environment, Strategic Alliance, and Performance: An Empirical Study of United States firms. New York USA: Dissertation for Ph. D. in Management in Rensselaer Polytechnic Institute Troy, 1999: 8
67罗宏,孟伟,冉圣宏.生态工业园区——理论与实证.化学工业出版社. 2004: 143
68 R. R. Heeres, W. J. Vermeulen, F. B. de Walle. Eco- industrial Park Initiatives in the USA and the Netherlands: First Lessons. Journal of Cleaner Production, 2004, (12): 985-995
69吴志军.生态工业园工业共生网络治理研究.当代财经. 2006, (9): 84-88
70邓南圣,吴峰.工业生态学——理论与应用.化学工业出版社. 2005: 52, 375
71 S. Hashimoto, Y. Moriguchi. Proposal of six indicators of material cycles for describing society’s metabolism: from the viewpoint of material flow analysis. Resources, Conservation and Recycling. 2004, (40): 185-200
72 R. Bailey, J. Allen, B. Bras. Applying ecological input-output flow analysis to material flows in industrial systems. Journal of Industrial Ecology. 2004, 8(2): 45-67.
73 R. Ayres, L. Ayres. Handbook of industrial ecology. Cheltenham, UK: Edward Elgar, 2002: 209-223
74 P. Brunner, H. Rechberger. Practical handbook of material flow analysis. Boca Raton, FL: CRC Press, 2004: 89-101
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76 N. B. Jacobsen. Industrial Symbiosis in Kalundborg, Denmark: A Quantitative Assessment of Economic and Environmental Aspects. Journal of Industrial Ecology. 2006, 10(1–2): 239-255
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49邓华.我国产业生态系统稳定性影响因素研究.大连理工大学博士论文. 2006.1: 18-19
50童莉.生态工业园区产业链设计及其系统稳定性研究——以烟台、乌鲁木齐为例.北京化工大学博士学位毕业论文. 2006,6: 67-68
51张艳.生态工业园工业共生系统的构建与稳定性研究.华中科技大学博士论文. 2006, 4: 86
52段宁,邓华,武春友.我国生态工业系统稳定性的结构性因素实证研究.环境科学研究. 2006, 19(2): 57-61
53王灵梅,张金屯.生态学理论在生态工业发展中的应用.环境保护. 2003, (7): 57-60.
54 R. Cote. Eco-industrial parks. Ann Arbor. International Society for Industrial Ecology Conference, University of Michigan, June 29, 2003: 396-412
55楼园,赵红.企业生态系统模型及非生物环境因素分析.数量经济技术经济研究. 2001, (3): 61-64
56 C. Hardy, T. E. Graedel. Industrial Ecosystems as Food Webs. Journal of Industrial Ecology. 2002, (6): 29-38
57 A. K. Fleig. Eco-industrial Parks: A Strategy Towards Industrial Ecology in Developing and Newly Industrialised Countries. Eschborn. Dentsche Gesellschaft fur Technische Zusammerarbeit (GTZ) GmbH., Germany. 2000: 788-801
58 E. A. Lowe, S. R. Moran, D. B. Holmes. Eco-industrial Parks: a Handbook for Local Development Teams. Oakland, CA: Indigo Development, RPP International, 1998: 181-198
59 J. Korhonen, H. Niemelainen, K. Pulliainen. Regional Industrial Recycling Network in Energy Supply the Case of Joensuu City. Finland. www. Interscience. Wiley. Com: Corporate Social Responsibility and Environmental Management, 2002, 170-185
60肖忠东.工业生态制造中物质剩余理论研究.西安交通大学博士论文. 2002: 55-59
61 E. H. Moors, K. F. Mulder, P. J. Vergragt. Towards Cleaner Production: Barriers and Strategies in the Base Metals Producing Industry. Journal of Cleaner Production, 2005,(13): 657-668
62 D. R. Gregory. Social Experiments in innovative environmental Management: The Emergence of Ecotechnology. Waterloo, Ontario, Canada: Dissertation for Ph. D. in Planning in Waterloo University, 2003: 156-172
63 G. Zilahy. Organizational Factors Determining the Implementation of Cleaner Production Measures in the Corporate Sector. Journal of Cleaner Production 2004, (12): 311-319
64 S. Majumdar. Developing an Eco-industrial Park in the Lloydminster Area. Ottawa, CA: Dissertation for Master of Science in Civil Engineering, University of Calgary, 2001: 9-10
65 H. M. Morehouse. A Spatial Decision Support System for EnvironmentallySustainable Communities. Ann, Arbor, MI: Dissertation for Ph. D. in Clark University, 2002: 5
66 C. J. Chen. Environment, Strategic Alliance, and Performance: An Empirical Study of United States firms. New York USA: Dissertation for Ph. D. in Management in Rensselaer Polytechnic Institute Troy, 1999: 8
67罗宏,孟伟,冉圣宏.生态工业园区——理论与实证.化学工业出版社. 2004: 143
68 R. R. Heeres, W. J. Vermeulen, F. B. de Walle. Eco- industrial Park Initiatives in the USA and the Netherlands: First Lessons. Journal of Cleaner Production, 2004, (12): 985-995
69吴志军.生态工业园工业共生网络治理研究.当代财经. 2006, (9): 84-88
70邓南圣,吴峰.工业生态学——理论与应用.化学工业出版社. 2005: 52, 375
71 S. Hashimoto, Y. Moriguchi. Proposal of six indicators of material cycles for describing society’s metabolism: from the viewpoint of material flow analysis. Resources, Conservation and Recycling. 2004, (40): 185-200
72 R. Bailey, J. Allen, B. Bras. Applying ecological input-output flow analysis to material flows in industrial systems. Journal of Industrial Ecology. 2004, 8(2): 45-67.
73 R. Ayres, L. Ayres. Handbook of industrial ecology. Cheltenham, UK: Edward Elgar, 2002: 209-223
74 P. Brunner, H. Rechberger. Practical handbook of material flow analysis. Boca Raton, FL: CRC Press, 2004: 89-101
75 C. Sendra, X. Gabarrell, T. Vicent. Material flow analysis adapted to an industrial area. Journal of Cleaner Production. 2007, (15): 1706-1715
76 N. B. Jacobsen. Industrial Symbiosis in Kalundborg, Denmark: A Quantitative Assessment of Economic and Environmental Aspects. Journal of Industrial Ecology. 2006, 10(1–2): 239-255
77 H. Odum. Environmental accounting,: emergy and decision making. New York: John Wiley, 1996: 370
78蓝盛芳,钦佩.生态系统的能值分析.应用生态学报. 2001, 12(1): 129~131
79 A. R. Ometto, P.A.Ramos, G. Lombardi. The benefits of a Brazilian agro-industrial symbiosis system and the strategies to make it happen. Journal of Cleaner Production. 2007, (15): 1253-1258
80 N. J. Roese, J. M. Olson. What might have been: the social psychology of counterfactual thinking. Mahwah, NJ: Lawrence Erlbaum Associates. 1995:4
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