碳交易、互惠偏好与供应链减排博弈研究

Carbon emission permit is an important asset of enterprise and has become one of the principal factors of production in cap and trade system. The cap-and-trade mechanism has changed the way of making decision for companies. The carbon emission reducing service provider changed the supply chain structure. The optimal supply chain performance can be achieved only by optimizing the resource allocation of emission reducing across the supply chain. Around 40 to 60 percent of people are reciprocal, in spite of around 20 to 30 percent of people are completely selfish, in the process of decision making. The decision maker with reciprocal preference will respond to perceived kindness with kindness and perceived meanness with meanness. Its utility is made up of profit and the reciprocity utility. Reciprocal preference makes the enterprise practice deviating from the optimal decision and the classic contracts deviating from the coordination states which are based on the hypothesis of economic person. Based on the research on supply chain cooperation and coordination previously, we will break the traditional hypothesis of economic person and explore the corporate behaviors in supply chain with reciprocal preference considered in cap and trade system. We attempt to analyze the optimal decisions on carbon cutting, price and output in supply chain with different structures, try to uncover the influence of reciprocal preference on resource allocation of emission abatement across the supply chain, and investigate the coordination mechanism of low carbon supply chain considering reciprocal preference. With the cap and trade regulation and reciprocal preference considered, the research includes: strategies of collaborative emission reduction in the one-to-one supply chain, the emission reduction and price game in the one-to-many supply chain, the output optimizing considering carbon emission reducing service provider and mechanism design for emission reduction resource allocation in supply chain.

碳交易使碳排放权成为企业的重要资产和生产要素，改变了企业决策模式；减排服务商改变了供应链结构。只有基于供应链系统优化配置减排资源，才能实现供应链减排绩效最优化。尽管20%-30%的人在决策中完全自私，但40%-60%的人都会表现出互惠偏好。互惠偏好者在决策中“投桃报李，以牙还牙”，其效用函数由利润和心理互惠支付构成。这导致企业实践偏离“经济人”假设下的理论最优值，经典契约偏离协调状态。在以往低碳供应链研究的基础上，本项目试图突破“经济人”假设，在考虑决策者互惠偏好时，分析不同结构供应链中企业的减排、定价和产量决策，揭示互惠偏好对供应链减排资源优化配置的影响机理，探究不同互惠偏好结构下的低碳供应链协调机制。研究内容包括：具有互惠偏好的一对一供应链协同减排研究，具有互惠偏好的一对多供应链减排-定价博弈研究，考虑互惠偏好和减排服务的供应链企业产量决策研究，考虑互惠偏好时的低碳供应链协调契约设计。

本项目针对低碳环境下考虑互惠偏好和社会偏好的供应链减排、定价和促销决策与契约协调进行研究。具体研究内容包括：1）考虑消费者低碳意识、资金约束和碳规制约束，研究不同结构供应链的上下游减排、促销和定价决策优化；2）考虑消费者低碳意识和碳规制的影响，研究供应链上下游关于减排、定价和促销的动态多周期博弈；3）考虑消费者低碳意识和决策者互惠偏好/社会偏好，研究供应链减排、促销和定价博弈与协调。.项目研究突破“经济人”假设，探究了互惠偏好、社会偏好、消费者低碳意识、碳规制和供应链结构对企业的产量、减排、定价和促销等决策的影响；揭示了考虑互惠偏好和社会偏好时的供应链减排资源配置机理；提供了互惠偏好和社会偏好影响下的低碳供应链协调机制。本项目的研究结论有利于提高企业的决策能力，并为碳规制的设计和完善提供理论依据。.截至本项目结束时，项目团队成员在国内外学术期刊发表论文14篇，会议论文2篇，出版学术专著1部。其中，SCI和SSCI检索论文9篇，CSSCI和CSCD检索论文5篇，EI检索会议论文1篇，其他论文一篇。相关研究成果发表在《Annals of Operations Research》《Journal of Cleaner Production》《International Transactions in Operational Research》《Asia Pacific Journal of Operational Research》《Sustainability》和《International Journal of Environmental Research and Public Health》等SCI、SSCI检索期刊，及《运筹与管理》《中国管理科学》和《管理评论》等国家自然科学基金委指定的国内重要学术期刊上。此外，依托本项目培养硕士研究生11人。本项目研究顺利地完成了预期研究目标。