风险规避及公平关切双行为因素下的闭环供应链契约及实验研究

In the behavior operation management , when studying closed-loop supply chain contract problems, we should extend a single behavior factors to double behavior factors which consider risk aversion and fairness concerns. The research content includes: (1) using game theory to analysis the effectiveness of supply chain contract in theory in the wholesale price contract, buy-back contract and profit sharing contract, respectively considering the single behavior factors, double behaviors which consider risk aversion and fairness concern. And then using the method of experimental economics to test the conclusion of theoretical analysis, which focuses on the impact of risk aversion factors, fairness concerns to waste products recovery rate, product ordering decisions and closed-loop supply chain performance, testing if there was a deviation between theoretical analysis and experimental analysis , studying whether there is a transfer "preference" phenomenon in the behavior tendency (2) then, expanding the study to the manufacturers and retailers competition environment. (3) further, deepening the analysis of the two kinds of situations in front into the cycle of closed-loop supply chain environment. (4) finally, take the closed-loop supply chain in electronic products for example, applying the above conclusion to the actual, and inspecting, correcting and improving the theoretical and experimental analysis results by research and comparative analysis, putting forward corresponding countermeasures and policy suggestions to the design of contract in the closed-loop supply chain, to the effectiveness improve of supply chain performance and to the rate raise of waste products recovery rate in electronic products field.

在行为运作管理中，将单一行为因素拓展到同时考虑风险规避与公平关切双行为因素，研究闭环供应链的契约问题。研究内容包括：(1)分别考虑单一行为因素、风险规避和公平关切双行为因素，运用博弈论从理论上分析供应链契约中批发价契约、回购契约和利益共享契约的有效性；然后运用实验经济学方法对理论分析的结论进行检验，重点研究两种行为倾向对废旧产品回收率、产品订购决策和闭环供应链绩效产生的影响，检验理论分析与实验分析是否有偏差，研究行为倾向是否存在“偏好转移”现象。(2)然后，将上述研究拓展到制造商竞争和零售商竞争环境下的情形。(3)进一步，将前面两种情形的研究深入到多周期闭环供应链环境进行分析。(4)最后，以电子产品闭环供应链为例，将上述结论应用到实际，通过研讨和比较分析，对理论和实验分析结果进行检验、修正和完善；同时，对电子产品闭环供应链的契约设计、供应链绩效及废旧产品回收率的提升给出相应的对策和建议。

由于人的复杂性，人们做决策时往往受多种行为因素的影响，闭环供应链决策同理应当考虑多种行为因素。基于此，本课题将单一行为因素拓展到同时考虑风险规避与公平关切双行为因素，研究闭环供应链的契约问题。本课题研究内容主要分为四部分，分别是：两种行为因素下单制造商单零售商闭环供应链契约及实验检验、竞争环境下两种行为因素的的闭环供应链契约及实验研究、两种行为因素下多周期闭环供应链契约及实验检验、以电子产品为例的闭环供应链契约案例与实证研究。. 研究发现：（1）回收商对制造商公平关切，制造商对零售商公平关切的双重公平关切情形下，制造商效用与制造商公平关切程度有正向变动关系；零售商利润与制造商公平关切程度有负向变动关系；回收商效用与制造商公平关切程度有正向变动关系，与回收商公平关切程度有负向关系变动。（2）零售商对制造商公平关切，制造商对回收商公平关切的双重公平关切情形下，制造商效用与制造商公平关切有正向变动关系；零售商效用与零售商公平关切有正向变动关系。回收商利润与制造商公平关切有负向变动关系。（3）回收商对制造商公平关切，零售商对制造商公平关切的双重公平关切情形下，制造商利润与零售商公平关切程度有正向变动关系，与回收商公平关切程度有较小的负向变动关系；零售商效用与零售商公平关切有正向变动关系；回收商效用与回收商公平关切程度有正向变动关系。（4）制造商竞争情形下，当制造商横向公平关切时，公平关切制造商利润降低但效用增加，公平中性制造商利润降低，回收商利润增加；当制造商纵向公平关切时，公平关切制造商利润降低但效用增加，公平中性制造商利润增加但增幅不大，回收商利润降低。（5）回收商竞争情形下，当回收商横向公平关切时，公平关切回收商利润没有增加反而降低，公平中性回收商利润增加，制造商利润增加；当回收商纵向公平关切时，公平关切回收商利润和效用增加，公平中性回收商利润增加，制造商利润减少。