西部地区实施环境规制对其经济发展的影响研究

发布时间：2018-05-15 03:14

本文选题：环境规制 + 西部地区　；参考：《西南财经大学》2014年硕士论文

【摘要】：为避免走以牺牲环境为代价的恶性经济发展方式,政府开始实施一系列环境规制的政策。环境规制有利于减小经济发展过程中的环境污染、能源耗竭等问题,但很可能使经济发展降速,对产业结构优化升级带来一定程度的影响,且由于实施环境规制对企业生产成本有直接的作用,企业的竞争力无疑也会因环境规制政策受到影响。目前,国内外的研究者们在这方面的研究较多,不仅提出有“遵循成本说”、“波特假说”这些系统的理论,还有很多的实证分析。遵循成本说认为：如果政府实施环境规制,许多企业为避免因不能达到规制要求而受到的经济重罚,就会投入一部分人力物力降低生产造成的环境污染。同没有受到政府的环境规制的时候比较,这将增加受规制企业的生产成本。为满足环境规制的标准,企业不得不额外投入生产资源,导致生产效率降低,因此也就容易得到“环境规制不利于经济增长,会阻碍经济发展的速度”的结论；与之相反,波特假说则认为：企业竞争优势的关键在于技术改进和创新,实施有效的环境规制后,会对企业形成一种倒逼力量,激励企业基于变动约束情况从长远角度衡量经济效益,使企业有动力进行技术创新及高效利用生产资源。由于企业进行技术创新,长远得到的收益不仅能补偿执行环境规制政策所导致的成本增加,甚至能获得比没有环境规制时更大的利润,这是波特及其支持者结合大量案例分析得到的结论,也颇受学界质疑。就西部地区的实际情况来讲,相较于东部和中部,环境规制的强度较低,很多相关的环境规制政策不仅制定晚于东部,而且执行环节出现很多问题。虽然如此,西部地区在西部大开发推行之后,经济得到快速发展的同时,环境规制政策的制定和实施也越来越严格。那么,目前西部地区的环境规制强度对其经济发展有何具体影响?只有明白环境规制对经济发展的影响机制和影响程度,才能制定出更有效的环境规制政策,这是本文撰写的主要目的和最终要解决的问题。本文在参考大量文献的基础上,从宏观到微观的角度,分别研究了西部地区实施环境规制对其经济增长、产业结构以及企业竞争力的影响。在研究过程中,一般先通过详尽系统的理论分析,在理论分析基础之上,结合西部实际,运用相关面板模型进行实证分析。在理论分析中,三个层面的研究都遵循“环境规制通过影响中间变量作用于经济发展的三个层面”这一思路,引入多个中间变量来具体说明问题,并运用了经济学中经济增长理论、博弈论、环境Kuznets曲线、产业变迁等理论和方法。而在实证分析过程中,主要采用面板数据模型。最终,本文得出的主要结论有： (1)通过引入技术水平、资本积累、对外开放水平三个中间变量,本文研究了环境规制对西部地区经济增长的影响机制和具体影响程度。本文认为,由于西部地区实施环境规制会直接引起企业生产成本的大幅增加,成本结构的变化可能使西部企业无法将更多的人力资源和资金用于研发生产技术,些企业为了维持已有盈利水平,还可能挪用原用于技术研发的资金来应对环境规制导致的成本增加,这样看来,短期中环境规制的实施会抑制技术创新。而从长期来看,为了满足消费者的绿色消费需求和满足政府制定的绿色标准,采用能够降低环境规制施加的成本的清洁技术,西部企业有足够动力进行产品创新和开发清洁生产技术,对生产工艺进行改造；由于环境规制的实施,投资结构相应变化,且执行环境规制政策的企业会更新适用清洁技术的固定资产,因此环境规制也会对资本积累产生影响；西部地区与外界的经济联系日益紧密,很多外资企业看好西部的资源优势,在西部进行投资,而东部发达地区也向西部逐渐转移一些劳动密集型、污染较严重的产能,这都是环境规制强度差异下产生的污染避难效应的体现。进而,运用计量经济学中的面板数据模型,通过运行Eviews6.0软件,在进行平稳性、协整检验之后,得出了西部地区目前环境规制水平有利于人均GDP保持持续增长的结论,但是西部地区环境规制强度和经济增长之间不存在理论上的U型关系。 (2)在本文的第四章中,引入相关产业政策、企业进入和退出、生态产业链耦合和投资需求四个中间变量,对环境规制影响西部地区产业结构的途径进行理论分析。政府推行环境规制,会在产业政策方面进行布局,将西部地区工业内部结构进行调整,大力发展无污染、低能耗的第三产业,重视并支持新能源产业的发展,都将影响西部地区的产业结构；环境规制实施之后,西部企业进入污染行业的门槛变得更高,而政府将不再会补贴污染企业,从而影响企业进入这一变量；政府有时会施行直接的“关停并转”政策,直接造成一些西部企业退出污染产业,更重要的是,由于突然增加了外在的成本压力,一些实力弱小的企业会寻求转型或退出原在领域,只有规模较大、实力较强的企业才能继续存在于受规制的污染行业；在环境规制导致企业面临高昂的工业污染治理投资额后,一些有条件的西部企业之间就会被激励相互合作,在达成一致的基础上,实现生态产业链之间的耦合,以避免环境规制所带来的成本上升；最后,环境规制会影响投资需求,由于实施规制后,存在污染的项目不再会通过审批,所以投资方更偏好那些污染较少且有盈利前景的项目。在此基础上运用相关数据作了环境规制影响西部产业结构的实证,得出了西部地区目前的规制强度有利于产业结构优化升级,验证了环境规制与产业结构之间存在倒U型的函数关系,这说明：西部地区的环境规制不能在短时间内采取很严格的规制措施,否则会引致产业结构退化,不利于产业结构升级。 (3)在本文第五章,分析了环境规制通过作用技术创新、产品成本、外部联盟和产品差异四个变量影响企业竞争力。然后,综合运用微观经济学中的博弈论、成本分析等方法,理论上论证得出了西部地区的环境规制对其企业的竞争力的影响取决于企业自身的实力和采取的环境策略。对于实力不济且无法实现转型的企业,大多会采取相应消极应对策略,或抵制,或采取寻租的行为,最终不利于企业的长远发展,本文就环境规制中的寻租现象构造了较为简单的完全信息博弈模型,得出结论是：寻租更有利于受规制的企业,同时,监管部门加强监管才能有效避免寻租现象发生；而如果是企业采取应对环境规制的积极策略,研发清洁生产技术,使用先进的生产设备,推行循环经济,同时在可能的条件下实现产业链耦合的外部联盟,将在长期实现可持续发展。继而,本章借鉴波特的案例分析方法,以新疆天业集团为例,说明在环境规制的挑战下,企业通过积极有效的环境管理策略,推行清洁生产技术,最终会实现环境保护与经济发展的双赢。本文的创新点主要体现在一些研究内容上有所创新。包括三个方面：1.在研究环境规制与经济增长关系时,与已有文献大多注重利用EKC曲线来阐述二者关系不同,本文引入技术进步、资本积累等中间变量,阐释了环境规制影响中间变量进而影响经济增长的机制,理由有：(1)西部地区环境规制水平与经济增长之间关系并不遵从EKC曲线推演而来的U型关系；(2)引入中间变量,能更清晰地从宏观角度对环境规制影响经济增长的机制进行定性分析。后面分析环境规制对西部地区产业结构和企业竞争力的影响也是通过引入中间变量来进行说明的,这样更具有说服力；2.在分析环境规制的实施影响产业结构的时候,着重进行了环境规制影响企业退出的分析,而已有文献均忽视了环境规制对企业退出的影响,本文认为由于西部地区常运用“关停并转”等环境规制措施,所以,西部地区环境规制对企业退出的影响不容忽视,需要着重分析；3.在进行环境规制与企业竞争力之间的分析时,本文用较大篇幅分析了企业在面临环境规制时的行为,并运用寻租理论、博弈论等知识进行研究企业的理性行动,其中本文构造的博弈论模型很好地创新地说明了现实问题,这也是一个创新。在环境规制与经济发展关系的研究中,很少就一个地区来分析环境规制对区域经济的影响,而西部地区地域辽阔,是国家经济发展链条上重要一环,研究西部地区环境规制和经济发展之间关系有很大现实意义,本论文算是做出一种尝试。
[Abstract]:In order to avoid the malignant economic development way at the cost of sacrificing the environment, the government began to implement a series of policies on environmental regulation. Environmental regulation is conducive to reducing environmental pollution and energy exhaustion in the process of economic development, but it is likely to reduce the speed of economic development and influence the optimization and upgrading of industrial structure. The implementation of environmental regulation has a direct effect on the production cost of enterprises, and the competitiveness of enterprises will undoubtedly be affected by the environmental regulation policy. At present, the researchers at home and abroad have studied more in this field, not only putting forward the theory of "following the cost theory", "Potter hypothesis", and many empirical analyses. If the government implements the environmental regulation, many enterprises will invest a part of the human and material resources to reduce the environmental pollution caused by the economic penalty that can not meet the regulation requirements. Compared with the government's environmental regulation, this will increase the production cost of the regulated enterprises. In order to meet the environmental regulation, it will satisfy the environmental regulation. In addition, the Potter hypothesis, on the contrary, holds that the key to the competitive advantage of the enterprise lies in technical improvement and innovation, and the implementation of effective environmental regulations. After the system, the enterprise will form a kind of forced force to encourage the enterprise to measure the economic benefit in the long run based on the change constraint condition, make the enterprise have the power to carry on the technological innovation and the efficient use of the production resources. Because of the technological innovation, the long-term income not only compensates for the cost increase caused by the environmental regulation policy. To gain more profits than without environmental regulation is a conclusion drawn by Potter and his supporters combined with a large number of case studies, which is also questioned by academics.
As far as the actual situation of the western region is concerned, compared to the East and the middle, the intensity of environmental regulation is low, and many related environmental regulation policies are not only formulated late in the East, but also there are many problems in the implementation link. It is also becoming more and more strict. Then, what is the impact of environmental regulation intensity on its economic development in the western region? Only by understanding the influence mechanism and influence degree of environmental regulation on economic development, can we formulate more effective environmental regulation policy, which is the main purpose and the final problem to be solved in this paper.
On the basis of a large number of documents, this paper studies the impact of environmental regulation on economic growth, industrial structure and enterprise competitiveness in the western region from the macro to microcosmic perspective. In the course of the study, it is generally based on the theoretical analysis of detailed system, on the basis of theory and analysis, on the basis of the reality of the west, and the use of related aspects. In the theoretical analysis, the three levels of the study all follow the idea that "environmental regulation affects the three levels of economic development through the influence of intermediate variables", and several intermediate variables are introduced to explain the problem, and the economic growth theory in economics, game theory, environmental Kuznets curve and industrial change are used. Finally, the main conclusions of this paper are:
(1) by introducing three intermediate variables, the level of technology, capital accumulation and the level of opening to the outside world, this paper studies the influence mechanism and specific influence degree of environmental regulation on economic growth in the western region. This paper holds that the implementation of environmental regulation in the western region will directly cause the substantial increase in the cost of production and the change of cost structure. In order to maintain the existing profit level, enterprises in western countries can not use more human resources and funds to develop and develop production technology. In order to maintain the existing profit level, some enterprises may misappropriate the capital used for technology research and development to cope with the cost increase caused by environmental regulation. In this way, the implementation of environmental regulation in the short term will inhibit technological innovation. The green consumption demand of the full consumers and the green standards made by the government are met, and the clean technology that can reduce the cost imposed by the environmental regulation is adopted. The western enterprises have enough power to innovate and develop the clean production technology and transform the production process; the investment structure changes accordingly, and the implementation ring is carried out because of the implementation of the environmental regulations. The enterprises of the border regulation policy will update the fixed assets that apply clean technology, so the environmental regulation will also affect the accumulation of capital. The economic ties between the western region and the outside world are increasingly close. Many foreign enterprises are optimistic about the advantages of the western resources, invest in the west, and the eastern developed areas have also gradually transferred some labor secrets to the West. The type of pollution and the serious pollution capacity are the embodiment of the pollution asylum effect under the difference of environmental regulation intensity.
Then, by using the panel data model in econometrics, through the operation of Eviews6.0 software, the conclusion is drawn that the current environmental regulation level in the western region is beneficial to the sustained growth of the per capita GDP, but there is no theoretical U relationship between the environmental regulation strength and the economic growth in the western region.
(2) in the fourth chapter of this article, we introduce the relevant industrial policy, the enterprise entry and exit, the ecological industry chain coupling and the investment demand four intermediate variables, and make a theoretical analysis on the ways of the environmental regulation affecting the industrial structure of the western region. The government carries out the environmental regulation, and will arrange the industrial policy and make the industrial internal structure of the western region. The third industry with no pollution and low energy consumption will be vigorously developed, and the development of the new energy industry will be attached to and support the development of the new energy industry. The industrial structure of the western region will be affected. After the implementation of the environmental regulation, the threshold of the western enterprises to enter the pollution industry will become higher, and the government will no longer supplement the pollution enterprises, thus affecting the enterprises to enter this variable. The government sometimes implements a direct "close and parallel" policy, which directly causes some western enterprises to withdraw from the pollution industry. More importantly, because of the sudden increase of the external cost pressure, some weak enterprises will seek transformation or exit the original field. Only a large scale, strong enterprises can continue to exist in the regulation. After the environmental regulation causes the enterprises to face high industrial pollution control investment, some conditional western enterprises will be encouraged to cooperate with each other to realize the coupling between the eco industrial chain on the basis of reaching a consensus to avoid the rising cost of environmental regulation; finally, environmental regulation will affect the investment. Since the implementation of regulation, polluting projects will no longer be approved, so investors prefer those with less pollution and profitable prospects.
On this basis, the relevant data are used to make an empirical study on the impact of environmental regulation on the industrial structure of the western region. It is concluded that the current regulation intensity in the western region is beneficial to the optimization and upgrading of the industrial structure, and that the functional relationship between the environmental regulation and the industrial structure has an inverted U type. This shows that the environmental regulation in the western region can not be taken in a short time. Strict regulation measures will lead to the degradation of industrial structure and the upgrading of industrial structure.
(3) in the fifth chapter of this article, we analyze the influence of the environmental regulation on the competitiveness of the enterprise through the effect of technological innovation, product cost, external alliance and product difference, and then, using the method of game theory and cost analysis in microeconomics, the influence of environmental regulation on the competitiveness of the enterprises in the western region is theoretically demonstrated. Depending on the strength of the enterprise itself and the environmental strategy adopted, the enterprises which are unable to achieve the transformation of strength and can not achieve the transformation, most will take the corresponding negative coping strategies, or boycott, or take the rent-seeking behavior, which is not conducive to the long-term development of the enterprise. This paper constructs a relatively simple and complete information game on the rent-seeking phenomenon in the environmental regulation. The conclusion is that rent-seeking is more beneficial to the regulated enterprises. At the same time, the supervision department should strengthen the supervision to avoid the phenomenon of rent seeking, and if the enterprise adopts the positive strategy to deal with the environmental regulation, it develops the clean production technology, uses the advanced production equipment, carries out the circular economy, and realizes the production under the possible conditions. The external alliance of industry chain coupling will be sustainable development for a long time. Then, this chapter draws on Potter's case analysis method and takes the Xinjiang Tianye Group as an example to illustrate that under the challenge of environmental regulation, enterprises carry out clean production technology through active and effective environmental management strategies, and ultimately achieve a win-win situation between environmental protection and economic development.
The innovation of this article is mainly embodied in some research contents, including three aspects: 1. in the study of the relationship between environmental regulation and economic growth, and most of the existing literature focuses on the use of the EKC curve to explain the different relations between the two. This paper introduces the intermediate variables such as technological progress and capital accumulation, and explains the influence of environmental regulation on the intermediate variables. The reasons for the further economic growth are as follows: (1) the relationship between the environmental regulation level and the economic growth in the western region does not comply with the U relationship of the EKC curve deduction; (2) introducing the intermediate variable, the qualitative analysis of the mechanism that affects the economic growth of environmental regulation can be more clearly analyzed from the macro perspective. The influence of the regional industrial structure and the competitiveness of the enterprises is also explained by introducing the intermediate variables, which is more convincing. 2. in the analysis of the impact of environmental regulation on the industrial structure, the analysis of environmental regulation affecting enterprise withdrawal is emphasized. All the literature ignores the shadow of environmental regulation on Enterprise withdrawal. The influence of environmental regulation on enterprise withdrawal can not be ignored and need to be analyzed in the western region. 3. in the analysis of environmental regulation and enterprise competitiveness, this paper analyzes the business of enterprises in the face of environmental regulation. In order to study the rational action of the enterprise by using the theory of rent-seeking, game theory and so on, the game theory model constructed in this paper is an innovative explanation of the real problem, which is also an innovation.
In the study of the relationship between environmental regulation and economic development, there are few areas to analyze the impact of environmental regulation on the regional economy, and the vast area of the western region is an important link in the chain of national economic development. It is of great practical significance to study the relationship between environmental regulation and economic development in the western region. This paper is a try.

【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：X321;F124.1

【参考文献】