企业竞争中的成本差异及产品差异研究

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摘要

波特的竞争战略理论自提出以来，对企业产生了重大影响，为提高市场竞争

力，很多企业依据该理论制定自己的竞争战略。其中对于成本领先战略，根据波

特的一般性战略理论，企业必须具备规模经济、市场占有率等优势；而对于差异

化战略，不仅要求企业在形成产品差异化过程中有较大的投入，而且还要求在产

品差异属性上具有可信的信息以及消费者自愿为差异付费。然而现实是，有些企

业并不具备规模经济或市场占有率优势，但却选择成本领先战略；或者并不具备

产品差异化的必要条件却仓促实施产品差异化战略，其结果很可能是，前者为企

业私利牺牲了环保，后者却“牺牲了自己”。

为实现成本差异对企业的正向激励，避免企业将低成本战略演变成“环境寻

租”，论文第三章从“成本差异”这一概念入手，重点研究具有负外部效应的一

类成本差异；假设生产能力和环保能力是决定生产要素价格的两个主要因素，在

此基础上构造出价格函数；再以社会福利水平的增减为评判标准，分析在企业追

求成本最小化过程中，同时兼顾企业收益与环保收益并对企业形成正向激励的条

件；最后将企业的成本差异模式分成四种类型，并以代表社会福利最高水平的低

成本—环保成本差异模式为目标，将其它三种成本差异模式分别进行转化，转化

方式包括（对生产能力的）直接控制、通过税收方式的间接控制、依靠规模经济

降低价格水平及依靠科技进步提高生产能力等。

在这些转化方式中，相比之下间接控制方式更具有优势，主要优势体现在它

是一种基于市场的手段，作为间接手段的环境税最能够说明这一点。论文的第四

章以基于负外部效应的成本差异作为切入点，针对一个典型企业建立环境税调节

模型，通过分析征税和补贴对社会福利的影响，寻求解决与负外部效应相关的成

本差异问题的最佳环境税方案。研究表明，不存在最优的环境税解决方案，原因

是一方面企业与政府之间存在转移支付，另一方面征税与补贴之间也存在替代效

应；在制定环境税政策和选择具体方案时不仅要考虑环境税执行成本，而且要考

虑单位投入的污染排放、单位排污损害及要素的产出弹性等因素。

由于现实中的多数情况下，消费者偏好都表现出集中趋势而非均匀分布，因

此，论文第五章尝试用三角折线型分布代替均匀分布，这样不仅能够把消费者偏

好的集中趋势表现出来，而且可以通过平移折线的顶点模仿偏态分布的效果。在

此基础上建立一个产品纵向差异化双寡模型。经求解后可知，稳定解和不稳定解

同时存在，当竞争处于稳定均衡时，高质量产品表现出竞争优势；而当处于不稳

定均衡时，高质量产品的优势不明显，甚至处于劣势。从动态的角度分析，不稳

定均衡必然演变为稳定均衡，整个过程经历三个阶段，而推动演变的主要因素（或

动力）就是产品的价格调整或消费者对产品差异的认知。总体上，产品质量和企

业利润都随着消费者的消费能力和对产品差异认知度的提高而增加。

为探讨新的进入对产品差异竞争带来的影响，论文第六章构建了两个产品差

异化多寡模型，然后通过数据比较发现，随着竞争者的增加，寡头间的竞争也越

来越激烈，主要表现为：产品差异化程度缩小，厂商利润下降，消费者剩余增加，

社会福利水平提高。而且，进入者往往选择以低质量产品进入市场的竞争策略，

这不仅有利于节约投资和减少风险，而且可以避开与原有厂商在产品质量上的“短

兵相接”，并迅速打开市场。

产品差异在环境质量方面的典型应用是产品绿色认证，论文第七章对

Vertinsky 认证模型中的假设条件进行了扩展，假设有形质量的成本函数与无形质

量（环境质量）的成本函数并不相互独立，有形质量生产成本不仅取决于有形质

量水平这一因素，而且也受环境质量水平的影响，在此基础上建立一个四阶段双

寡头竞争模型。研究表明，如果两厂商可自由选择产品的环境质量认证水平，则

总质量高的产品的环境质量水平也高；如果两厂商必须通过政府规定的环境质量

水平认证，则产品总质量高的厂商更愿意选择使用高质量的环境认证，而产品总

质量低的厂商则选择通过低质量的环境认证；与帕累托最优时相比，厂商自由选

择环境认证水平时产品的环境质量相对低下；在两个厂商都通过认证的前提下，

不能确定单一水平认证和两个水平认证究竟谁更优。

关键词：企业竞争成本差异产品差异负外部效应环境税

绿色认证

III

ABSTRACT

After the birth of competitive strategy theory of Porter, it has an important impact

on enterprise. By the theory many enterprises establish own competitive strategy in

order to improve competence. Low cost strategy among Porter’s general strategies

requires enterprise to have some advantages like scale economy, market share and so on;

Differentiation strategy among them not only requires enterprise to make a large amount

of investment in product differentiation, but also requires differentiation information be

credible and consumers voluntarily pay for the differentiation. However, in fact some

enterprises choose low cost strategy without scale economy or a large market share, or

choose differentiation strategy without any necessary conditions of differentiation. Thus

results are, the former gets private benefit at the cost of environmental benefit, and the

latter gets nothing except bankruptcy.

In order to give enterprise a positive incentive from cost differentiation and prevent

enterprise from seeking environmental rent, the third chapter research is to start with the

concept of cost differentiation, lays research emphasis on cost differentiation which has

negative externalities. Assume productivity and environmental friendliness are two

variables which affect the price of factor of production, on the base of this assumption

this research establishes a price function, establishes a social welfare function with

enterprise’s cost saving and environmental benefit, by social welfare standard analyze

and search after the conditions of obtaining both enterprise’s benefit and environmental

benefit when enterprise goes in for cost minimization. And then divides cost

differentiation into four modes, among them the low-cost-environmental-friendliness

mode represents the highest level of social welfare, therefore be regarded as a given aim,

the other modes need to be transformed into it, transformation type can be a direct

control (on productivity), an indirect control (like taxation), utilizing scale economy or

science & technology progress etc.

Indirect control which be emphasized its market-based method has an obvious

advantage over direct control by comparison, environmental taxation is typical as an

indirect control method. To starts on cost differentiation with negative externalities, the

fourth chapter establishes an environmental tax model for a typical firm, the aim is to

probe into the best solution to cost differentiation problem by analyzing the impact of

taxation and subsidy on social welfare. Main conclusion is that the optimal solution of

environmental taxation does not exist, one reason is payment shift between enterprise

and government, and another reason is substitution effect between taxation and subsidy;

that when constitute environmental policy and choose a scheme of taxation, constitutor

should consider not only the execution cost of taxation policy, but also emission per

input, damage per pollutant and output elasticity etc.

In general conditions of true-life, consumer’s preference does not present a

characteristic of uniform distribution but a characteristic of convergence trend, so the

fifth chapter research substitute triangle folding line distribution for uniform

distribution in product differentiation study, which not only present the characteristic of

convergence trend but also simulate the effects of skewed distribution. Then this study

establishes a duopoly model of vertical differentiation product on this premise, and gets

two kinds of solutions which are stable equilibrium solution and unstable equilibrium

solution. When in stable equilibrium high-quality product has a competitive advantage;

when in unstable equilibrium, competitive advantage of high-quality product is not

unconditional, or even become a disadvantage. As viewed from dynamic development,

unstable equilibrium is inevitably evolved into stable equilibrium, the whole evolution

passes through three phases, the settlement of some problems like high price and

consumers’ cognition scarcity of product differentiation will give an impetus to the

evolution. On the whole product qualities and firms’ profits increase with the rise of

purchasing power and quality cognition.

To study the impact of entry on product differentiation competition, the sixth

chapter research establishes an oligopoly model, and by data comparison gets some new

conclusions as follow, as entrant increases market competition becomes more and more

severe, and product differentiation reduces, firm’s profit declines, consumer surplus

increases, and social welfare improves. And entrant usually chooses low-quality product

as entry strategy, which not only saves investment but also avoids homogeneity of

product.

A typical application of environmental product differentiation is green certification

of product. The seventh chapter research extends hypothesis conditions of Vertinsky’s

environmental certification model, assume cost function of observable quality is not

completely independent of cost function of unobservable quality (environmental

quality), the cost of observable quality depends on not only the level of observable

quality but also the level of environmental quality. On the base of the premise this study

establishes a four-stage duopoly model. Research conclusion is as follow, when two

firms can freely choose quality level of certification, the firm with high total-quality

product chooses to supply high environmental quality; if both firms have to certify their

products in term of government rule, it is socially optimal for the firm with high

total-quality product to obtain a high environmental quality certification; but it is

uncertain whether one certification level or two different certification levels are socially

optimal when both firms certify their products.

Key Words: enterprise competitive, cost differentiation, product

differentiation, negative externalities, environmental

taxation, green certification

摘要................................................................................................................................. I

ABSTRACT ................................................................................................................... III

第一章绪论...................................................................................................................1

§1.1 问题的提出及研究意义 ................................................................................. 1

§1.1.1 引言 ...................................................................................................... 1

§1.1.2 问题的提出 .......................................................................................... 1

§1.1.3 研究意义 .............................................................................................. 3

§1.2 相关概念的界定 ............................................................................................. 4

§1.2.1 外部效应及负外部效应 ...................................................................... 4

§1.2.2 成本差异 .............................................................................................. 5

§1.2.3 环境税 .................................................................................................. 6

§1.2.4 产品差异 .............................................................................................. 7

§1.3 相关基础理论 ................................................................................................. 8

§1.3.1 战略管理理论 ...................................................................................... 8

§1.3.2 环境经济学理论 ................................................................................ 11

§1.3.3 产业组织理论 .................................................................................... 11

§1.3.4 市场营销学理论 ................................................................................ 12

§1.4 创新点和研究方法 ....................................................................................... 13

§1.4.1 创新点 ................................................................................................ 13

§1.4.2 研究方法 ............................................................................................ 14

§1.5 论文基本框架 ............................................................................................... 15

第二章国内外相关理论研究综述 ...............................................................................17

§2.1 竞争战略理论 ............................................................................................... 17

§2.2 环境税理论 ................................................................................................... 20

§2.3 产品差异理论 ............................................................................................... 21

第三章成本差异的负外部效应分析 ...........................................................................25

§3.1 引言 ............................................................................................................... 25

§3.2 成本差异的负外部效应模型 ....................................................................... 26

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摘要：

I摘要波特的竞争战略理论自提出以来，对企业产生了重大影响，为提高市场竞争力，很多企业依据该理论制定自己的竞争战略。其中对于成本领先战略，根据波特的一般性战略理论，企业必须具备规模经济、市场占有率等优势；而对于差异化战略，不仅要求企业在形成产品差异化过程中有较大的投入，而且还要求在产品差异属性上具有可信的信息以及消费者自愿为差异付费。然而现实是，有些企业并不具备规模经济或市场占有率优势，但却选择成本领先战略；或者并不具备产品差异化的必要条件却仓促实施产品差异化战略，其结果很可能是，前者为企业私利牺牲了环保，后者却“牺牲了自己”。为实现成本差异对企业的正向激励，避免企业将低成本战略演变成“环境寻租...

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