环境规制的绿色创新激励研究

发布时间：2018-03-21 18:10

本文选题：绿色创新　切入点：环境规制　出处：《中国社会科学院研究生院》2014年博士论文　论文类型：学位论文

【摘要】：随着资源约束趋紧、环境污染严重、生态系统退化等形势的日益严峻，，全世界对生态化转型的诉求日渐高涨。当前的全球金融危机以及气候变化等环境议题，也为各国由传统经济向绿色经济转变提供巨大机遇。唯有加快产业结构调整和突破性技术创新，才能真正实现绿色增长。近年来，我国不同程度地将生态建设和技术创新作为重要发展主题。特别是党的十八大和十八届三中全会，进一步明确了生态文明建设和创新驱动发展的战略地位。因此，为了深入贯彻科学发展观的基本要求，有必要基于环境规制的有效连结，在技术创新与环境保护之间寻求一种联动互利机制，从而推动经济、社会、生态的多元可持续发展。本文在归纳国内外已有文献研究的基础上，根据新古典环境经济学和演化经济学理论，提出绿色创新导向的环境规制；围绕波特假说及其验证分析，以成本抵偿效应为出发点，重点探讨环境规制如何通过其强、弱激励效应形成绿色创新；进一步结合费用效益分析和优化组合分析，比较主要环境规制工具的适用性和必要性；梳理我国环境规制政策特点与内涵，并运用时序SBM模型和聚类SBM模型，就我国和省级的环境规制效率进行定量测算与评价；最后从政策导向、动态实施以及工具优化等方面提出政策建议。研究指出，绿色创新导向的环境规制是为推进企业乃至全社会的绿色创新活动而采取的一系列与环境规制有关的政策法规集合。它不仅能为企业营造创新环境以提高其技术创新能力和成果转化水平，还能减少绿色创新在制度环境方面的不确定性。成本抵偿效应的存在与否直接决定了波特假说的成立与否，进而对应着环境规制对于绿色创新的弱、强激励过程，并由此衍生出两类干预政策类型。不同的环境规制工具之间并无绝对的优劣好坏之分，其能否发挥关键作用主要取决于所处的实施背景和亟需推动的技术类型。若是能实现多种规制工具的相辅相成，将会更好地体现出环境规制的绿色创新效应。随着我国对环境问题的日益重视，在政策实施、治污投资和管理人员等方面投入力度不断加大，这有力提升了环境管理水平、推动了绿色技术创新。但在此过程中也普遍存在重复投入和浪费等问题，并由此带来投入资源转化率不高、资源要素的合理配置能力不足等现象，导致在某些时期难以达到最佳投入产出规模，产出效益还有待进一步提升和挖掘。全文以绿色创新导向的环境规制为中心，旨在为我国制定更有效的环境规制政策提供理论和实证依据，同时为相关部门借助相关工具实现有针对性的环境规制目标提供决策参考。
[Abstract]:With the tightening of resource constraints, serious environmental pollution and degradation of ecosystems, the worldwide demand for ecological transformation is rising. The current global financial crisis and environmental issues such as climate change, It also provides a great opportunity for countries to change from traditional economy to green economy. Only by speeding up the adjustment of industrial structure and breakthrough technological innovation can green growth be truly realized. In China, ecological construction and technological innovation are regarded as important development themes to varying degrees. In particular, the 18th CPC National Congress and the third Plenary session of the 18th CPC Central Committee have further clarified the strategic position of ecological civilization construction and innovation driving development. In order to carry out the basic requirements of the scientific development view, it is necessary to seek a kind of linkage and mutual benefit mechanism between technological innovation and environmental protection based on the effective link of environmental regulation, so as to promote the pluralistic and sustainable development of economy, society and ecology. On the basis of summing up the existing literature at home and abroad and according to the theories of neoclassical environmental economics and evolutionary economics, this paper puts forward the green innovation-oriented environmental regulation, which is based on the Porter hypothesis and its verification and analysis. Based on the cost-offsetting effect, this paper focuses on how environmental regulation forms green innovation through its strong and weak incentive effects, and further combines cost-benefit analysis with optimized combination analysis. This paper compares the applicability and necessity of the main environmental regulation tools, combs the characteristics and connotation of environmental regulation policies in China, and uses the sequential SBM model and cluster SBM model to measure and evaluate quantitatively the environmental regulation efficiency of our country and provincial level. Finally, policy recommendations are put forward from the aspects of policy orientation, dynamic implementation and tool optimization. The study notes that, Green innovation-oriented environmental regulation is a series of policies and regulations related to environmental regulation, which is adopted to promote the green innovation activities of enterprises and the whole society. It can not only create an innovative environment for enterprises to improve their technology. Level of innovation and achievement transformation, It can also reduce the uncertainty of green innovation in the institutional environment. The existence of cost offsetting effect directly determines whether the Porter hypothesis is established or not, and then corresponds to the weak and strong incentive process of environmental regulation for green innovation. And derived from this two types of intervention policy. There is no absolute good or bad between different environmental regulation tools, Whether it can play a key role depends mainly on the background of its implementation and the type of technology it needs to be promoted. If a variety of regulatory tools can complement each other, It will better reflect the green innovation effect of environmental regulation. With the increasing attention paid to environmental problems in China, the investment in policy implementation, pollution control investment and management personnel has been increasing, which has helped to improve the level of environmental management. The green technology innovation is promoted. However, in this process, there are many problems such as repeated input and waste, which lead to the low conversion rate of input and resources, the lack of reasonable allocation ability of resource elements, etc. As a result, it is difficult to reach the optimal input-output scale in some periods, and the output benefit needs to be further improved and excavated. This paper focuses on green innovation-oriented environmental regulation, aiming to provide theoretical and empirical basis for China to formulate more effective environmental regulation policies. At the same time, it provides decision reference for relevant departments to realize the target of environmental regulation by means of relevant tools.
【学位授予单位】：中国社会科学院研究生院
【学位级别】：博士
【学位授予年份】：2014
【分类号】：X322;F124.5

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