新能源汽车废旧动力电池回收责任配置及激励研究

Reasonable configuration of recycling responsibility and effective construction of incentive mechanism are the key to solve the problem of “less cooperation and difficult recycling” in the recycling industry of waste power batteries for new energy vehicles in China. This project is intended to design and optimize government regulation and policy for effectively allocating recycling responsibility of waste power battery on the government level. Taking it as a start point, we construct a recycling network evolution model, describe structural characteristics of recycling network, and refine the impact of network structural characteristics on recycling costs and benefits. According to the structural characteristics and their influences, configuration rules of recycling responsibility are designed, and configuration models of recycling responsibility are constructed to realize the micro-allocation of responsibility among recycling network nodes. From the perspectives of incentive investment, income distribution and consumer recovery incentive, this project constructs a decision-making model of recycling incentive, designs incentive strategies and carries out some application researches. The project is expected to achieve innovative results in the optimization of government regulation and policy, the design of configuration rules of recycling responsibility and the construction of incentive decision-making model. Relevant research results are helpful to enrich the theory and method of reverse supply chain management, to improve the laws and regulations on the recycling of waste power batteries for new energy vehicles in practice, and to provide practical guidance to the management activities of waste power batteries for new energy vehicles in China.

合理配置回收责任、有效构建回收激励机制，是解决我国新能源汽车废旧动力电池回收利用产业“合作少、回收难”难题的关键。项目拟以设计和优化政府规制政策以实现废旧动力电池回收责任政府层面配置为切入点，构建回收网络演化模型，刻画回收网络结构特征，提炼网络结构特征与回收成本及收益的关系；依据回收网络结构特征及其影响，设计回收责任配置规则，构建责任配置模型，以实现回收责任在网络节点上的微观配置；从激励投资、收益分配及消费者回收激励层面，构建回收激励决策模型，设计回收激励策略，并进行应用研究。本项目预期在政府规制政策优化、回收责任配置规则及模型设计、回收激励决策模型构建上取得较高创新性成果。相关研究成果在理论上有助于丰富逆向供应链管理理论与方法，在实践上有助于我国新能源汽车废旧动力电池回收法律法规的完善，为我国新能源汽车废旧动力电池的管理活动提供实践指导。

合理配置回收责任、有效构建回收激励机制，是解决我国新能源汽车废旧动力电池回收利用产业“合作少，回收难”问题的关键。项目拟以设计和优化政府规制政策以实现废旧动力电池回收责任政府层面配置为切入点，分析回收网络特征，提炼回收网络特征与回收收成本及收益的关系；依据回收网络结构特征及其影响，设计回收责任配置规则，构建责任配置模型，以实现回收责任在网络节点上的微观配置；从收益分配及回收成本分摊层面，构建回收激励决策模型，设计回收激励策略，并进行应用研究。本项目已在政府规制政策优化、回收责任配置规则及模型设计、回收激励决策模型构建上取得了较高创新性成果。研究结果如下：1)政府的回收补贴对环境和经济的影响较为复杂，随着制造商和品牌商的回收和再制造策略变化而变化，但在一定范围内较为稳定，因此，最优补贴在一定范围内均可 ；2) 废旧动力电池的回收由汽车制造商负责还是电池生产商负责，取决于废旧动力电池回收后的再制造模式；3）废旧动力电池回收再制造后由谁提供担保取决于担保成本，但在相同的担保成本下，零售商担保效率较高；4）基于讨价还价的收益共享契约能够实现闭环供应链的部分协调，且协调效果与闭环供应链领导者的议价能力正相关；两部定价契约能够实现闭环供应链的完全协调，合适特许经营费用的收取能够促使该契约成为闭环供应链成员的共同选择；5) 利用多选择目标规划方法构建生产者责任组织回收决策优化模型，生产基于合作联盟的成本特征函数，进一步提出融入差异化回收处理费用的修正Shapley值，能够合理分配供应链的运营成本。相关研究成果在理论上丰富了逆向供应链管理理论与方法，在实践上有助于我国新能源汽车废旧动力电池回收法律法规的完善，为我国新能源汽车废旧动力电池的管理活动提供实践指导。