供应链绿色驱动机理与驱动强度评价方法研究
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摘要
20世纪中后期，伴随着世界经济的高速发展，资源过度消耗和环境污染越来越严重，资源和环境问题已经成为21世纪人类面临的最大挑战。不断加剧的经济发展与资源、环境之间的矛盾以及全球频发的极端气候灾害迫使人类不得不对工业化时代以生态环境破坏和资源过度消耗为代价的传统发展方式进行深刻反思。正是在这样的背景下，既满足当代人需要又不对后代人生存发展构成危害的可持续发展观，成为世界各国的普遍共识。随之而来在全球兴起了一股“绿色浪潮”，以可持续发展为目标的“绿色革命”席卷整个世界，“绿色化”运动不断渗透到经济和社会生活的方方面面。面对21世纪资源和环境的双重压力，我国长期以来一直以“三高一低”(高投入、高消耗、高污染、低效益)为主要特征的粗放型经济增长方式已经走到了尽头，尤其是对与资源、环境联系紧密的制造业而言，加快发展方式的转变、促进供应链的绿色化已经迫在眉睫。
绿色供应链是以可持续发展为目标，以循环经济为原则，在供应商、制造商、销售商、零售商、回收商、消费者、环境、规制及文化等要素组成的系统内，从资源开发到产品消费过程中的物料获取、加工、包装、仓储、运输、销售、使用到报废处理、回收再利用的整个过程综合考虑环境影响和资源效率，通过对物流、资金流、信息流和知识流的控制，实现产品生命周期内环境负影响更小、资源效率更高和整体绩效更好的持续优化过程。绿色供应链管理是在供应链中强化资源和环境意识，通过与上下游企业间的合作以及企业内部门之间的沟通，从产品设计、选材、制造、销售以及回收的全过程综合考虑资源效率和环境效益，通过对整个供应链内各参与主体之间的物流、信息流、资金流及知识流进行计划、组织、领导、协调与控制，同时提高企业的环境绩效和经济绩效，从而实现企业和所在供应链可持续发展的现代管理模式。
为了实现我国乃至世界各国的“绿色化”可持续发展目标，对绿色供应链提供事前管理建议，本文从决策分析视角对供应链绿色驱动机理与驱动强度评价方法进行了研究。绿色供应链的现实背景不仅是本文研究问题的立论基础，而且也是当前时代所有组织乃至整个人类社会所共同面临的重要问题。因此，论文首先对绿色供应链的现实背景进行了深入分析，并得出了一些有价值的结论：在资源利用方面，我国资源总量丰富但是人均资源匮乏，工业资源消耗量大且利用效率低，淡水资源贫乏、利用效率低、浪费严重，森林资源匮乏、浪费惊人，土地资源不仅数量短缺而且质量也不高；在能源利用方面，能源消耗和浪费惊人，能源利用效率低下、损耗严重，能源消费结构不合理、战略储备严重不足、安全问题十分突出；在环境问题方面，污染物总量持续增加、环境污染事故频发、环境污染累积危害后果集中爆发，淡水资源水体污染状况持续恶化，海洋污染状况不容乐观，极端天气气候事件趋多趋强、各类自然灾害损失逐年增加，耕地面积逐年减少、土地荒漠化和沙化现象严重、草原退化和生物多样性锐减。以上分析结果表明，要实现企业与资源、环境的协调和可持续发展，促进供应链的绿色化不但势在必行而且迫在眉睫。另外，在全球经济一体化和“绿色化”的大背景下，无论是在资源层面还是在环境层面，无论是在社会层面还是在市场层面，绿色供应链都是企业在激烈的全球化动态竞争中生存和发展的必然选择。
绿色供应链无论是对于解决资源短缺与环境污染问题还是对于提升供应链上企业的社会价值、长期利益都具有极其重要的积极作用，然而目前绝大多数企业为了获得短期利益仍然采用传统的供应链管理模式。要实现绿色供应链管理目标的首要前提是使供应链企业都能积极地参与到供应链的绿色化建设中去。为此，借鉴利益相关者理论，从内源驱动与外源驱动两个视角全面系统地分析供应链绿色驱动要素，将管理者、股东、上下游企业和内部员工作为内源绿色驱动要素，将消费者、竞争者、社会公众和政府机构作为外源绿色驱动要素，针对每一种内源绿色驱动要素与外源绿色驱动要素，分别阐述了相应的内源绿色驱动机理与外源绿色驱动机理，并进一步建立供应链在内源绿色驱动要素与外源绿色驱动要素共同作用之下的联合绿色驱动机理模型，在此基础上阐述了供应链联合绿色驱动机理。需要说明的是，本文提出的供应链绿色驱动机理，一方面是对现有绿色供应链管理研究成果在理论层面的概括和总结，另一方面也是从绿色驱动视角对现有研究成果的融合和发展。
虽然国内外对绿色供应链绩效评价开展了一定的研究与探讨，也有学者提出了一些相应的绩效评价指标体系与评价方法，但同时应该看到，就目前而言这些研究成果仅侧重于从某个方面开展指标体系构建，所构建的指标体系其系统性、全面性不强，而且尚未发现从定量研究视角进行供应链绿色驱动强度评价指标体系构建的相关研究报道，而上述两个问题不仅关系到供应链绿色驱动强度评价指标体系构建的科学与否，而且也会影响到供应链绿色驱动强度评价模型或者评价方法的合理选择。为此，论文首先从管理者(A)、股东(B)、上下游企业(C)、内部员工(D)、消费者(E)、竞争者(F)、社会公众(G)、政府机构(H)共八个层面对供应链绿色驱动强度评价指标进行分类辨识，然后基于复杂网络理论中的DEMATEL方法构建了能够从具有复杂关联影响关系的多个供应链绿色驱动强度评价指标中识别出关键性指标的选择方法，邀请两组相关咨询专家按照所提出的选择方法对评价指标进行排序，在此基础上选取中间产品质量(C5)、绿色管理体系(A7)、绿色激励措施(H5)、绿色活动支持(A3)、产品环保程度(H3)、中间产品成本(C6)、绿色预算情况(A4)、三废排放数量(A11)构建供应链绿色驱动强度的评价指标体系。最后，通过对表5.3供应链绿色驱动强度评价指标相对重要性排序的进一步研究，得到了一些有价值的启示：第一，绿色激励政策的着力点应该是管理者而非股东；第二，对绿色产品提供补贴可以对供应链的绿色驱动起到事半功倍的效果；第三，绿色优惠政策的激励重点应该放在供应链上的核心企业；第四，要想充分发挥政府机构对供应链绿色化的作用，必须同时发挥其强制驱动作用和激励驱动作用，二者皆不可偏废。
虽然从评价视角对绿色供应链开展研究的成果并不鲜见，但就目前而言尚未发现供应链绿色驱动强度评价方法的研究成果。另外，最新研究结果表明，决策专家通常情况下并不具备以精确的方式做出决策推断的能力。原因在于，一是人具有有限的注意力或资源处理能力，二是在决策专家群组中对于相同的问题并非所有成员都具备完全相同的知识，三是决策通常都是在时间压力或者在知识或信息缺乏的情况下做出的，四是有些属性因隐含着社会或环境影响而无法货币化。为此，论文首先将多属性决策方法、群组决策方法、不确定决策方法进行交叉融合，提出了一种用于开展供应链绿色驱动强度全面评价的构建原理，然后在充分考虑决策推断能力有限的条件下基于无投入的DEA模型提出了供应链绿色驱动强度的评价方法，并应用一个数值模拟案例验证了提出方法的应用可行性。最后根据论文研究成果，具体分析造成某些供应链绿色驱动强度中存在薄弱环节的制约因素，并从政府主导的视角给出增强供应链绿色驱动强度管理的若干建议。论文构建方法充分利用了DEA模型无需给定指标权重的客观性评价优势，能够克服诸如层次分析法、网络分析法等方法因指标赋权不合理而带来的决策结果科学性差的缺陷。
论文从决策分析视角对供应链绿色驱动机理与驱动强度评价方法进行的研究，不仅具有理论创新性而且具有方法应用创新性。主要创新之处可以概括为：
第一，论文对绿色供应链和绿色供应链管理概念进行了重新定义，给出了能够描述动态性、阶段性、过程性和程度化特征的定义。另外，论文还首次提出并定义了供应链绿色驱动机理与供应链绿色驱动强度的概念。
第二，借鉴利益相关者理论，从内源驱动与外源驱动两个视角全面系统地分析了供应链绿色驱动要素，针对每一种内源绿色驱动要素与外源绿色驱动要素，分别阐述了相应的内源绿色驱动机理与外源绿色驱动机理，并进一步建立了供应链在内源绿色驱动要素与外源绿色驱动要素共同作用之下的联合绿色驱动机理模型，在此基础上阐述了供应链联合绿色驱动机理。
第三，依据决策专家的主观知识经验，应用定量分析方法——DEMATEL方法从管理者、股东、上下游企业、内部员工、消费者、竞争者、社会公众、政府机构8个层面的41个供应链绿色驱动强度评价指标中科学地识别出了8个关键性指标，并据此构建了供应链绿色驱动强度评价指标体系。
第四，应用无投入的DEA模型解决供应链绿色驱动强度评价问题，评价结果能够为绿色供应链提供事前管理建议。
In the middle and late of the20th century, the over-consumption of resources and theenvironmental pollution problems are becoming more and more serious under the rapiddevelopment of the world economy. Resources and environment will be the biggestchallenge facing human beings in the21st century. The rising contradiction among economicgrowth, resources, environment and global frequent extreme weather disasters force humanbeings to deeply reflect the traditional development mode of the industrial age, which is atthe cost of over-consumption of resources, and destruction of ecological balance. It is underthis circumstance that the strategy of sustainable development that meets the needs of thepresent without compromising the ability of future generations to meet their own needs isbecoming common consensus among countries in the world. And then the global “GreeningWave” and “Greening Revolution” swept over the world.“Greening” constantly penetratedinto all aspects of economic and social life. Under the double dilemma of resources andenvironment in the21st century, the extensive growth mode mainly characterized as “threehighs and one low”(high inputs, high consumption, high pollution, and low efficiency) hascome to the end. Accelerating the change in the pattern of economic growth and promotingthe “greening” of supply chain become extremely urgent, especially for the manufacturingindustry which is closely connected to resources and environment.
Greening supply chain, is a continuously optimizing process, which targeted atsustainable development and based on circular economy principle, inside the systemcomposed of suppliers, manufacturers, distributors, retailers, recyclers, consumers,environment, regulation and culture, a comprehensive consideration of the environmentalinfluences and resources efficiency is taken in the whole process from the development ofresources to the consumption of products, which including acquisition, processing, packing,storage, transportation, sale, use, scrap processing and recycling, through the right control of logistics, cash flow, information flow, and knowledge flow to achieve less negativeinfluences to environment, higher utilization efficiency of resources and better overallperformance in the life cycle of products. Greening supply chain management is a kind ofmodern management mode, which strengthens resources and environment awareness in thesupply chain, strengthens cooperation among upstream and downstream enterprises andcommunication among departments inside the enterprise, a comprehensive consideration ofresources efficiency and environment benefits is taken in the whole process from productdesign, material selection, manufacturing, sales and recovery, through planning, organizing,leading, coordinating and controlling of logistics, information flow, fund flow andknowledge flow among participation bodies in the whole supply chain to improve bothenvironmental and economic performance in the enterprise, consequently to achievesustainable development in the enterprise and its supply chain.
In order to achieve “Greening” sustainable development goal in our country evenaround the world and provide advance management advice to greening supply chain, thethesis studied the driving mechanism and strength evaluation method for greening supplychain from the perspective of decision analysis. The realistic background of greening supplychain is not only the foundation of the studied issues but also the important problem faced byall organizations and even entire human beings in the current age. So, the thesiscomprehensively analyzed the realistic background of greening supply chain and reachedsome valuable conclusions: In the aspect of resources utilization, for the amount of resources,the total is rich while per capita is poor, the consumption of industrial resources is hugewhile the efficiency is low, the consumption of fresh water is huge while the utilizationefficiency is low as well as the waste is serious, the forest resources is poor while the wasteis amazing, land resources is on shortage while the quality is low. In the aspect of energyutilization, energy consumption and waste is amazing while energy efficiency is low andwastage is serious, the energy consumption structure is unreasonable, the energy securityproblem created by the serious shortage of energy reserves is very outstanding. In the aspectof the environmental problems, pollution amount is increasing, environmental pollution incidents and cumulative harmful consequences intensively outbreak, fresh water resourcespollution situation continues to deteriorate, marine pollution situation is not optimistic,extreme weather and climate events hasten stronger, the loss of all kinds of natural disastersincreased year by year, cultivated land decreased year by year, land desertificationphenomenon, grassland degradation and reduction of biodiversity are serious. The analysisresult shows that greening supply chain is becoming extremely urgent from whatever therespective of resource or environment, and market or society.
Although greening supply chain plays extremely important positive role in both solvingresources shortage and environmental pollution problems and promoting the social value andlong-term interests of supply chain enterprises, most of them still implement the traditionalsupply chain management model to obtain short-term interests. The primary premise toachieve the goal is that the supply chain enterprises actively participate in “greening”construction. Drawing on the Stakeholder Theory, from both endogenous and exogenousperspective, the driving elements for greening supply chain were comprehensively andsystematically identified and classified into endogenous driving elements includingmanagers, shareholders, upstream and downstream enterprises, and internal employees andexogenous driving elements including consumers, competitors, social public, andgovernment agencies. From which the endogenous and exogenous driving mechanism wereexpounded correspondingly, and then the driving mechanism model functionalized by bothendogenous and exogenous driving elements for greening supply chain was constructed,from which the joint driving mechanism was expounded. It is necessary to mention that thedriving mechanism raised by this thesis, on one hand, is the generalization andsummarization of the existing greening supply chain management research results in thetheoretical level, on the other hand, is the fusion and development of the existing researchresults from the perspective of driving for greening supply chain.
Although some researches in the perspective of performance evaluation for greeningsupply chain have been carried out at home and abroad and some scholars also put forwardsome performance evaluation index system and evaluation methods, the relevant research reports of the construction of evaluation index system from the driving strength perspectiveand the scientific selection of the key indexes have not been found. The above two questionsare not only related to whether or not the driving strength evaluation index system forgreening supply chain can be constructed scientifically but also affect the reasonableselection of the driving strength evaluation model or evaluation method. Therefore, the thesisidentified and classified the driving strength evaluation indexes for greening supply chaininto eight levels, which are managers (A), shareholders (B), upstream and downstreamenterprises (C), internal employees (D), consumers (E), competitors (F), social public (G)and government agencies (H), and then the selection method from which the key indexes canbe identified from multiple driving evaluation indexes with complicated correlation effect ofrelationship based on the theory of complex network DEMATEL method, at last two groupsof consulting experts were invited to rank and select key evaluation indexes by using theproposed selection method, from which the intermediate product quality (C5), greeningmanagement system (A7), greening incentives (H5), greening activities support (A3),product environmental protection degree (H3), intermediate product cost (C6), greeningbudget (A4) and three wastes discharge quantity (A11) were selected as key indexes to forconstruct the evaluation index system for greening supply chain. Finally, through the furtherstudy of Table5.3, some valuable clues can be gotten:1.The point of strength of greenincentive policies is managers instead of shareholders.2.The subsidies to the green productswill achieve more with less for greening supply chain.3.The incentive emphasis of greenpreferential policies is the core enterprise in the supply chain.4.In order to develop thegovernment agencies’ function for greening supply chain sufficiently, the mandatory drivingand incentive driving must be emphasized equally, neither of them shall be neglected.
Although the research results in the aspect of performance evaluation for greeningsupply chain are not rare, the relevant results in the aspect of the driving strength evaluationfor greening supply chain have not been found. In addition, the latest research results showthat the decision makers usually don't have the ability to make decision inference in accurateways. Four reasons for that:1. People have limited attention or resources processing capacity. 2. All members do not have exactly the same knowledge for the same problem in the group.3. Decision is usually made under the condition of time pressure or lack of the knowledge orinformation.4. Some properties implying social or environmental impact can not bemonetized. For these reasons, through crossing multiple attribute decision making method,group decision method, and uncertain decision method, the thesis put forward a constructionprinciple which can be used to comprehensively evaluate the driving strength for greeningsupply chain. Taking full consideration of limited decision inference ability, the thesis putforward a comprehensive evaluation method of the driving strength for greening supplychain based on the DEA model without input, which has been applied in a numericalsimulation case and then the feasibility was verified. At last, the management advices fromthe perspective of government were provided to enhance the driving strength for greeningsupply chain. This thesis takes the advantage of DEA model's objectivity evaluation withoutbeing given attribute weights to overcome defects of scientific difference of the decisionresult due to unreasonable attribute weight by using analytic hierarchy process and networkanalysis method.
The study of the driving mechanism and strength evaluation method for greeningsupply chain from the perspective of decision analysis, is not only a theoretical but alsomethodological innovation. The innovations in concrete can be summarized as follows.
1. The concept of greening supply chain and greening supply chain management arere-defined, from which the characteristics of dynamic, stage, procedure and degree aredescribed. Moreover, the concept of driving mechanism and driving strength for greeningsupply chain are put forward and defined for the first time.
2. Drawing on the Stakeholder Theory, from both endogenous and exogenousperspectives, the driving elements for greening supply chain are identified and classified intoendogenous and exogenous driving elements. From which the endogenous and exogenousdriving mechanism were expounded correspondingly, and then the joint driving mechanismwas expounded, which functionalized by both endogenous and exogenous driving elements,from which the driving mechanism model for greening supply chain was constructed.
3. Based on the subjective knowledge and experience of decision-making experts, thequantitative analysis method——DEMATEL method was used to scientifically identify8key indexes from41indexes in8levels, from which the evaluation index system forgreening supply chain was constructed.
4. The DEA model without input was used to evaluate the driving strength for greeningsupply chain, from which the advance management advices for greening supply chain can beprovided.
绿色供应链是以可持续发展为目标，以循环经济为原则，在供应商、制造商、销售商、零售商、回收商、消费者、环境、规制及文化等要素组成的系统内，从资源开发到产品消费过程中的物料获取、加工、包装、仓储、运输、销售、使用到报废处理、回收再利用的整个过程综合考虑环境影响和资源效率，通过对物流、资金流、信息流和知识流的控制，实现产品生命周期内环境负影响更小、资源效率更高和整体绩效更好的持续优化过程。绿色供应链管理是在供应链中强化资源和环境意识，通过与上下游企业间的合作以及企业内部门之间的沟通，从产品设计、选材、制造、销售以及回收的全过程综合考虑资源效率和环境效益，通过对整个供应链内各参与主体之间的物流、信息流、资金流及知识流进行计划、组织、领导、协调与控制，同时提高企业的环境绩效和经济绩效，从而实现企业和所在供应链可持续发展的现代管理模式。
为了实现我国乃至世界各国的“绿色化”可持续发展目标，对绿色供应链提供事前管理建议，本文从决策分析视角对供应链绿色驱动机理与驱动强度评价方法进行了研究。绿色供应链的现实背景不仅是本文研究问题的立论基础，而且也是当前时代所有组织乃至整个人类社会所共同面临的重要问题。因此，论文首先对绿色供应链的现实背景进行了深入分析，并得出了一些有价值的结论：在资源利用方面，我国资源总量丰富但是人均资源匮乏，工业资源消耗量大且利用效率低，淡水资源贫乏、利用效率低、浪费严重，森林资源匮乏、浪费惊人，土地资源不仅数量短缺而且质量也不高；在能源利用方面，能源消耗和浪费惊人，能源利用效率低下、损耗严重，能源消费结构不合理、战略储备严重不足、安全问题十分突出；在环境问题方面，污染物总量持续增加、环境污染事故频发、环境污染累积危害后果集中爆发，淡水资源水体污染状况持续恶化，海洋污染状况不容乐观，极端天气气候事件趋多趋强、各类自然灾害损失逐年增加，耕地面积逐年减少、土地荒漠化和沙化现象严重、草原退化和生物多样性锐减。以上分析结果表明，要实现企业与资源、环境的协调和可持续发展，促进供应链的绿色化不但势在必行而且迫在眉睫。另外，在全球经济一体化和“绿色化”的大背景下，无论是在资源层面还是在环境层面，无论是在社会层面还是在市场层面，绿色供应链都是企业在激烈的全球化动态竞争中生存和发展的必然选择。
绿色供应链无论是对于解决资源短缺与环境污染问题还是对于提升供应链上企业的社会价值、长期利益都具有极其重要的积极作用，然而目前绝大多数企业为了获得短期利益仍然采用传统的供应链管理模式。要实现绿色供应链管理目标的首要前提是使供应链企业都能积极地参与到供应链的绿色化建设中去。为此，借鉴利益相关者理论，从内源驱动与外源驱动两个视角全面系统地分析供应链绿色驱动要素，将管理者、股东、上下游企业和内部员工作为内源绿色驱动要素，将消费者、竞争者、社会公众和政府机构作为外源绿色驱动要素，针对每一种内源绿色驱动要素与外源绿色驱动要素，分别阐述了相应的内源绿色驱动机理与外源绿色驱动机理，并进一步建立供应链在内源绿色驱动要素与外源绿色驱动要素共同作用之下的联合绿色驱动机理模型，在此基础上阐述了供应链联合绿色驱动机理。需要说明的是，本文提出的供应链绿色驱动机理，一方面是对现有绿色供应链管理研究成果在理论层面的概括和总结，另一方面也是从绿色驱动视角对现有研究成果的融合和发展。
虽然国内外对绿色供应链绩效评价开展了一定的研究与探讨，也有学者提出了一些相应的绩效评价指标体系与评价方法，但同时应该看到，就目前而言这些研究成果仅侧重于从某个方面开展指标体系构建，所构建的指标体系其系统性、全面性不强，而且尚未发现从定量研究视角进行供应链绿色驱动强度评价指标体系构建的相关研究报道，而上述两个问题不仅关系到供应链绿色驱动强度评价指标体系构建的科学与否，而且也会影响到供应链绿色驱动强度评价模型或者评价方法的合理选择。为此，论文首先从管理者(A)、股东(B)、上下游企业(C)、内部员工(D)、消费者(E)、竞争者(F)、社会公众(G)、政府机构(H)共八个层面对供应链绿色驱动强度评价指标进行分类辨识，然后基于复杂网络理论中的DEMATEL方法构建了能够从具有复杂关联影响关系的多个供应链绿色驱动强度评价指标中识别出关键性指标的选择方法，邀请两组相关咨询专家按照所提出的选择方法对评价指标进行排序，在此基础上选取中间产品质量(C5)、绿色管理体系(A7)、绿色激励措施(H5)、绿色活动支持(A3)、产品环保程度(H3)、中间产品成本(C6)、绿色预算情况(A4)、三废排放数量(A11)构建供应链绿色驱动强度的评价指标体系。最后，通过对表5.3供应链绿色驱动强度评价指标相对重要性排序的进一步研究，得到了一些有价值的启示：第一，绿色激励政策的着力点应该是管理者而非股东；第二，对绿色产品提供补贴可以对供应链的绿色驱动起到事半功倍的效果；第三，绿色优惠政策的激励重点应该放在供应链上的核心企业；第四，要想充分发挥政府机构对供应链绿色化的作用，必须同时发挥其强制驱动作用和激励驱动作用，二者皆不可偏废。
虽然从评价视角对绿色供应链开展研究的成果并不鲜见，但就目前而言尚未发现供应链绿色驱动强度评价方法的研究成果。另外，最新研究结果表明，决策专家通常情况下并不具备以精确的方式做出决策推断的能力。原因在于，一是人具有有限的注意力或资源处理能力，二是在决策专家群组中对于相同的问题并非所有成员都具备完全相同的知识，三是决策通常都是在时间压力或者在知识或信息缺乏的情况下做出的，四是有些属性因隐含着社会或环境影响而无法货币化。为此，论文首先将多属性决策方法、群组决策方法、不确定决策方法进行交叉融合，提出了一种用于开展供应链绿色驱动强度全面评价的构建原理，然后在充分考虑决策推断能力有限的条件下基于无投入的DEA模型提出了供应链绿色驱动强度的评价方法，并应用一个数值模拟案例验证了提出方法的应用可行性。最后根据论文研究成果，具体分析造成某些供应链绿色驱动强度中存在薄弱环节的制约因素，并从政府主导的视角给出增强供应链绿色驱动强度管理的若干建议。论文构建方法充分利用了DEA模型无需给定指标权重的客观性评价优势，能够克服诸如层次分析法、网络分析法等方法因指标赋权不合理而带来的决策结果科学性差的缺陷。
论文从决策分析视角对供应链绿色驱动机理与驱动强度评价方法进行的研究，不仅具有理论创新性而且具有方法应用创新性。主要创新之处可以概括为：
第一，论文对绿色供应链和绿色供应链管理概念进行了重新定义，给出了能够描述动态性、阶段性、过程性和程度化特征的定义。另外，论文还首次提出并定义了供应链绿色驱动机理与供应链绿色驱动强度的概念。
第二，借鉴利益相关者理论，从内源驱动与外源驱动两个视角全面系统地分析了供应链绿色驱动要素，针对每一种内源绿色驱动要素与外源绿色驱动要素，分别阐述了相应的内源绿色驱动机理与外源绿色驱动机理，并进一步建立了供应链在内源绿色驱动要素与外源绿色驱动要素共同作用之下的联合绿色驱动机理模型，在此基础上阐述了供应链联合绿色驱动机理。
第三，依据决策专家的主观知识经验，应用定量分析方法——DEMATEL方法从管理者、股东、上下游企业、内部员工、消费者、竞争者、社会公众、政府机构8个层面的41个供应链绿色驱动强度评价指标中科学地识别出了8个关键性指标，并据此构建了供应链绿色驱动强度评价指标体系。
第四，应用无投入的DEA模型解决供应链绿色驱动强度评价问题，评价结果能够为绿色供应链提供事前管理建议。
In the middle and late of the20th century, the over-consumption of resources and theenvironmental pollution problems are becoming more and more serious under the rapiddevelopment of the world economy. Resources and environment will be the biggestchallenge facing human beings in the21st century. The rising contradiction among economicgrowth, resources, environment and global frequent extreme weather disasters force humanbeings to deeply reflect the traditional development mode of the industrial age, which is atthe cost of over-consumption of resources, and destruction of ecological balance. It is underthis circumstance that the strategy of sustainable development that meets the needs of thepresent without compromising the ability of future generations to meet their own needs isbecoming common consensus among countries in the world. And then the global “GreeningWave” and “Greening Revolution” swept over the world.“Greening” constantly penetratedinto all aspects of economic and social life. Under the double dilemma of resources andenvironment in the21st century, the extensive growth mode mainly characterized as “threehighs and one low”(high inputs, high consumption, high pollution, and low efficiency) hascome to the end. Accelerating the change in the pattern of economic growth and promotingthe “greening” of supply chain become extremely urgent, especially for the manufacturingindustry which is closely connected to resources and environment.
Greening supply chain, is a continuously optimizing process, which targeted atsustainable development and based on circular economy principle, inside the systemcomposed of suppliers, manufacturers, distributors, retailers, recyclers, consumers,environment, regulation and culture, a comprehensive consideration of the environmentalinfluences and resources efficiency is taken in the whole process from the development ofresources to the consumption of products, which including acquisition, processing, packing,storage, transportation, sale, use, scrap processing and recycling, through the right control of logistics, cash flow, information flow, and knowledge flow to achieve less negativeinfluences to environment, higher utilization efficiency of resources and better overallperformance in the life cycle of products. Greening supply chain management is a kind ofmodern management mode, which strengthens resources and environment awareness in thesupply chain, strengthens cooperation among upstream and downstream enterprises andcommunication among departments inside the enterprise, a comprehensive consideration ofresources efficiency and environment benefits is taken in the whole process from productdesign, material selection, manufacturing, sales and recovery, through planning, organizing,leading, coordinating and controlling of logistics, information flow, fund flow andknowledge flow among participation bodies in the whole supply chain to improve bothenvironmental and economic performance in the enterprise, consequently to achievesustainable development in the enterprise and its supply chain.
In order to achieve “Greening” sustainable development goal in our country evenaround the world and provide advance management advice to greening supply chain, thethesis studied the driving mechanism and strength evaluation method for greening supplychain from the perspective of decision analysis. The realistic background of greening supplychain is not only the foundation of the studied issues but also the important problem faced byall organizations and even entire human beings in the current age. So, the thesiscomprehensively analyzed the realistic background of greening supply chain and reachedsome valuable conclusions: In the aspect of resources utilization, for the amount of resources,the total is rich while per capita is poor, the consumption of industrial resources is hugewhile the efficiency is low, the consumption of fresh water is huge while the utilizationefficiency is low as well as the waste is serious, the forest resources is poor while the wasteis amazing, land resources is on shortage while the quality is low. In the aspect of energyutilization, energy consumption and waste is amazing while energy efficiency is low andwastage is serious, the energy consumption structure is unreasonable, the energy securityproblem created by the serious shortage of energy reserves is very outstanding. In the aspectof the environmental problems, pollution amount is increasing, environmental pollution incidents and cumulative harmful consequences intensively outbreak, fresh water resourcespollution situation continues to deteriorate, marine pollution situation is not optimistic,extreme weather and climate events hasten stronger, the loss of all kinds of natural disastersincreased year by year, cultivated land decreased year by year, land desertificationphenomenon, grassland degradation and reduction of biodiversity are serious. The analysisresult shows that greening supply chain is becoming extremely urgent from whatever therespective of resource or environment, and market or society.
Although greening supply chain plays extremely important positive role in both solvingresources shortage and environmental pollution problems and promoting the social value andlong-term interests of supply chain enterprises, most of them still implement the traditionalsupply chain management model to obtain short-term interests. The primary premise toachieve the goal is that the supply chain enterprises actively participate in “greening”construction. Drawing on the Stakeholder Theory, from both endogenous and exogenousperspective, the driving elements for greening supply chain were comprehensively andsystematically identified and classified into endogenous driving elements includingmanagers, shareholders, upstream and downstream enterprises, and internal employees andexogenous driving elements including consumers, competitors, social public, andgovernment agencies. From which the endogenous and exogenous driving mechanism wereexpounded correspondingly, and then the driving mechanism model functionalized by bothendogenous and exogenous driving elements for greening supply chain was constructed,from which the joint driving mechanism was expounded. It is necessary to mention that thedriving mechanism raised by this thesis, on one hand, is the generalization andsummarization of the existing greening supply chain management research results in thetheoretical level, on the other hand, is the fusion and development of the existing researchresults from the perspective of driving for greening supply chain.
Although some researches in the perspective of performance evaluation for greeningsupply chain have been carried out at home and abroad and some scholars also put forwardsome performance evaluation index system and evaluation methods, the relevant research reports of the construction of evaluation index system from the driving strength perspectiveand the scientific selection of the key indexes have not been found. The above two questionsare not only related to whether or not the driving strength evaluation index system forgreening supply chain can be constructed scientifically but also affect the reasonableselection of the driving strength evaluation model or evaluation method. Therefore, the thesisidentified and classified the driving strength evaluation indexes for greening supply chaininto eight levels, which are managers (A), shareholders (B), upstream and downstreamenterprises (C), internal employees (D), consumers (E), competitors (F), social public (G)and government agencies (H), and then the selection method from which the key indexes canbe identified from multiple driving evaluation indexes with complicated correlation effect ofrelationship based on the theory of complex network DEMATEL method, at last two groupsof consulting experts were invited to rank and select key evaluation indexes by using theproposed selection method, from which the intermediate product quality (C5), greeningmanagement system (A7), greening incentives (H5), greening activities support (A3),product environmental protection degree (H3), intermediate product cost (C6), greeningbudget (A4) and three wastes discharge quantity (A11) were selected as key indexes to forconstruct the evaluation index system for greening supply chain. Finally, through the furtherstudy of Table5.3, some valuable clues can be gotten:1.The point of strength of greenincentive policies is managers instead of shareholders.2.The subsidies to the green productswill achieve more with less for greening supply chain.3.The incentive emphasis of greenpreferential policies is the core enterprise in the supply chain.4.In order to develop thegovernment agencies’ function for greening supply chain sufficiently, the mandatory drivingand incentive driving must be emphasized equally, neither of them shall be neglected.
Although the research results in the aspect of performance evaluation for greeningsupply chain are not rare, the relevant results in the aspect of the driving strength evaluationfor greening supply chain have not been found. In addition, the latest research results showthat the decision makers usually don't have the ability to make decision inference in accurateways. Four reasons for that:1. People have limited attention or resources processing capacity. 2. All members do not have exactly the same knowledge for the same problem in the group.3. Decision is usually made under the condition of time pressure or lack of the knowledge orinformation.4. Some properties implying social or environmental impact can not bemonetized. For these reasons, through crossing multiple attribute decision making method,group decision method, and uncertain decision method, the thesis put forward a constructionprinciple which can be used to comprehensively evaluate the driving strength for greeningsupply chain. Taking full consideration of limited decision inference ability, the thesis putforward a comprehensive evaluation method of the driving strength for greening supplychain based on the DEA model without input, which has been applied in a numericalsimulation case and then the feasibility was verified. At last, the management advices fromthe perspective of government were provided to enhance the driving strength for greeningsupply chain. This thesis takes the advantage of DEA model's objectivity evaluation withoutbeing given attribute weights to overcome defects of scientific difference of the decisionresult due to unreasonable attribute weight by using analytic hierarchy process and networkanalysis method.
The study of the driving mechanism and strength evaluation method for greeningsupply chain from the perspective of decision analysis, is not only a theoretical but alsomethodological innovation. The innovations in concrete can be summarized as follows.
1. The concept of greening supply chain and greening supply chain management arere-defined, from which the characteristics of dynamic, stage, procedure and degree aredescribed. Moreover, the concept of driving mechanism and driving strength for greeningsupply chain are put forward and defined for the first time.
2. Drawing on the Stakeholder Theory, from both endogenous and exogenousperspectives, the driving elements for greening supply chain are identified and classified intoendogenous and exogenous driving elements. From which the endogenous and exogenousdriving mechanism were expounded correspondingly, and then the joint driving mechanismwas expounded, which functionalized by both endogenous and exogenous driving elements,from which the driving mechanism model for greening supply chain was constructed.
3. Based on the subjective knowledge and experience of decision-making experts, thequantitative analysis method——DEMATEL method was used to scientifically identify8key indexes from41indexes in8levels, from which the evaluation index system forgreening supply chain was constructed.
4. The DEA model without input was used to evaluate the driving strength for greeningsupply chain, from which the advance management advices for greening supply chain can beprovided.
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