地方政府低碳治理绩效评价及治理模式研究

发布时间：2018-05-14 23:21

本文选题：绩效评价 + 低碳治理　；参考：《湖南大学》2015年博士论文

【摘要】：随着全球经济的快速增长,资源环境破坏和气候恶化问题日益凸显。低碳发展战略成为很多国家政治、经济和社会发展战略的重要内容。中国政府也积极承担了国际社会一贯秉持的“共同但有区别的责任”,制定了低碳发展的重大任务,将一系列低碳治理指标作为经济社会发展的约束性指标,纳入到地方政府绩效考核的框架之中。因此,如何把握地方政府低碳治理的特征;如何用好绩效评价这一工具对地方政府低碳治理绩效进行有效的评价;如何准确判断影响地方政府低碳治理绩效的主要因素;如何通过绩效评价来推动地方政府低碳治理绩效的改进和治理模式的创新,所有这些都是地方政府低碳治理绩效评价理论与方法研究所必须解决的关键科学问题。但是,现有针对地方政府低碳治理绩效评价的研究仍有不足之处。首先,没有专门针对地方政府低碳治理绩效的评价指标体系,大多只是将资源环境保护作为政府绩效评价体系中的一个维度,这难以准确衡量地方政府低碳治理的表现。其次,鲜有对地方政府低碳治理绩效的动态评价,而绩效水平都会随着时间变化而呈现出一定的多样性和动态性。另外,在为绩效表现差的地方政府确定标杆时,也没有考虑不同地方政府可能存在本质的差别。再次,对影响地方政府低碳治理绩效的因素分析,主要偏重于外部环境因素,对政府组织本身的因素分析较少,即使已有的研究也仅仅只是定性的描述。最后,对地方政府低碳治理模式的研究尚处于起步阶段。因此,系统地对地方政府低碳治理绩效评价和治理模式进行研究,不仅可以在理论上弥补现有评价方法和治理模式的不足,还可以通过建立一套行之有效的评价体系来推动地方政府低碳治理模式的创新,为地方政府低碳治理实践提供有效的指导与参考,对推进我国“绿色化”发展战略的实施具有重要的理论和现实意义。在这种背景下,本文以地方政府低碳治理绩效评价和治理模式问题作为研究对象,结合低碳经济理论、治理理论、公共产品理论、利益相关者理论、协同理论,界定了“政府低碳治理”的范畴,明确了地方政府低碳治理绩效评价的价值取向。随后,在低碳经济和政府治理理论框架内构建了地方政府低碳治理绩效评价指标体系。考虑到低碳治理绩效评价指标多维度、多量纲的特点,且不同的地方政府在低碳治理方面有着自身的优势和特色,本文选择了DEA交叉效率评价方法对中部六省的79个市级政府低碳治理绩效进行了静态评价,发现低碳治理绩效表现好的政府在工业废水排放达标量、工业废气去除量、能耗强度、绿化造林和经济发展方面做得相对好,而低碳治理绩效表现差的政府可以用其高的能耗强度和污染排放强度来佐证。由于地方政府低碳治理绩效水平会随着时间变化而呈现出一定的多样性和动态性。因此,本文将交叉效率评价方法和窗口分析法相结合,构建了地方政府低碳治理绩效动态评价模型,并对2006-2012年中部地区79个市级政府的低碳治理绩效进行了动态评价,发现这些政府低碳治理绩效呈逐年改进的趋势,绩效表现相对好的市与绩效表现相对差的市之间的差距正逐年缩小。为给低碳治理绩效表现较差的政府找到合适的参考基准,进一步用K均值进行了聚类分析,发现不同年份非有效单元的参考基准会发生较大变化,表明选择参考基准也是一个动态的过程,可以利用不同时期基准政府的组合来作为参考集。政府低碳治理绩效不仅受各评价指标的影响,还要受到其他一些外部环境因素和组织自身因素的影响。本文首先借助BP-MIV法对地方政府低碳治理绩效评价各指标对绩效值的影响程度和方向进行判断,实证研究发现对地方政府低碳治理绩效影响较大的四个因素为:工业废水排放达标量/GDP、万元GDP能耗、万元GDP工业废水排放量和万元GDP工业废气排放量。随后,运用面板Tobit回归模型对影响地方政府低碳治理绩效的外部环境因素和组织管理因素进行分析,发现体现地方政府治理能力的组织因素都与低碳治理绩效显著相关,外部环境因素中的收入水平和人口密度与低碳治理绩效显著相关,这为地方政府低碳治理绩效改进和治理模式创新提供了有效的指导。最后,基于对地方政府低碳治理绩效评价和影响因素的分析,给出了地方政府低碳治理绩效改进的对策。但是,由于低碳治理的特殊性,各地方政府在绩效改进过程中,会存在“搭便车”的思想,难以提高整个社会低碳治理绩效。本文从协同治理的角度出发,对低碳治理主体间的协同演化进行了研究,从宏观层面构建了“被组织”环境下地方政府低碳治理的协同模式,这对提高地方政府低碳治理绩效具有重要意义。
[Abstract]:With the rapid growth of the global economy, the problems of the destruction of resources and the climate are becoming increasingly prominent. The strategy of low carbon development has become an important part of the strategy of political, economic and social development in many countries. The Chinese government has also actively undertaken the "common but differentiated responsibilities" that the international community has consistently held, making a major task for the development of low carbon. By taking a series of low carbon governance indicators as a constraint index for economic and social development, it is included in the framework of local government performance assessment. Therefore, how to grasp the characteristics of local government's low carbon governance; how to use the performance evaluation tool to evaluate the performance of low carbon governance in local government effectively; and how to accurately judge the influence of local government. The main factors of government low carbon governance performance; how to improve the performance of low carbon governance by local government and innovation of governance model through performance evaluation, all of which are the key scientific problems that must be solved in the research of low carbon governance performance evaluation theory and method of local government. There are still shortcomings in the study of evaluation. First, there is no specific evaluation index system for local government low carbon governance performance. Most of them only use the resource and environment protection as a dimension of the government performance evaluation system, which is difficult to accurately measure the performance of low carbon governance of local governments. Secondly, there are few performance of low carbon governance for local governments. Dynamic evaluation, and the performance level will vary with time and show a certain variety and dynamic. In addition, when the local government determines the benchmarking for poor performance, it does not take into account the different local governments may have essential differences. Again, the analysis of factors affecting the performance of local government low carbon governance is mainly focused on the outside. The environmental factors are less analysis of the factors of the government organization itself, even though the existing research is only a qualitative description. Finally, the research on the local government low carbon governance model is still in its infancy. Therefore, the systematic study on the performance evaluation and governance model of local government low carbon governance can not only make up for the existing theory. The deficiency of evaluation method and governance model can also promote the innovation of local government low carbon governance mode by establishing a set of effective evaluation system. It provides effective guidance and reference for local government low carbon governance practice. It has important theoretical and practical significance to promote the implementation of "green" development strategy in China. Under the background, this paper takes the local government low carbon governance performance evaluation and governance model as the research object, combining the low carbon economy theory, the governance theory, the public product theory, the stakeholder theory and the synergy theory, defines the category of "government low carbon governance", and defines the value orientation of the performance evaluation of low carbon governance in local government. In the framework of low carbon economy and government governance theory, the performance evaluation index system of low carbon governance in local government is constructed. Considering the multi dimension and multi dimension characteristics of the performance evaluation index of low carbon governance, different local governments have their own advantages and special colors in low carbon governance. This paper chooses the DEA cross efficiency evaluation method in the middle of this paper. The performance of low carbon governance in 79 municipal governments of the six provinces was evaluated statically. It was found that the government with good performance in low carbon governance performance was relatively good in industrial wastewater discharge scalar, industrial waste gas removal, energy intensity, afforestation and economic development, while low carbon governance performance poor governments could use their high energy intensity and high energy intensity. The performance level of low carbon governance of local governments will be varied and dynamic as time changes. Therefore, this paper combines the cross efficiency evaluation method and window analysis method to build a dynamic evaluation model of low carbon governance performance of local government, and 79 cities in the central region for 2006-2012 years. The performance of low carbon governance of the government is evaluated dynamically. It is found that the performance of low carbon governance in these governments is improving year by year. The gap between cities with relatively poor performance and performance relatively poor performance is narrowing year by year. To provide a suitable reference for the poor performance of the government of low carbon governance performance, the K mean value is further carried out. It is found that the reference datum of non effective units in different years will change greatly, which indicates that the selection of reference datum is also a dynamic process, which can be used as a reference set. The performance of government low carbon governance is not only influenced by the evaluation index, but also by other external environment. The influence degree and direction of local government low carbon governance performance evaluation indexes are judged by BP-MIV method, and the four factors that affect the performance of local government low carbon governance are: industrial waste water discharge scalar /GDP, 10000 yuan GDP energy consumption, 10000 yuan GDP Industrial waste water emissions and GDP industrial exhaust emissions. Then, the panel Tobit regression model is used to analyze the external environmental factors and organizational management factors that affect the performance of local government low carbon governance. It is found that the organizational factors that reflect the governance ability of local government are all significantly related to low carbon governance performance, and the external environmental factors are in a significant way. The income level and population density are significantly related to low carbon governance performance, which provides effective guidance for local government performance improvement and governance model innovation. Finally, based on the analysis of local government performance evaluation and influencing factors of low carbon governance, the measures to improve the performance of local government low carbon governance are given. In the process of performance improvement, local governments will have the idea of "hitchhiking" in the process of performance improvement, and it is difficult to improve the performance of low carbon governance in the whole society. From the perspective of synergistic governance, this paper studies the co evolution between the subjects of low carbon governance, and builds the low carbon of local government under the "organized" environment from the macro level. The synergy mode of governance is of great significance for improving the performance of local governments in low-carbon governance.

【学位授予单位】：湖南大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：D625

【参考文献】