本文選題：環(huán)境規(guī)制 + 西部地區(qū)　； 參考：《西南財經(jīng)大學》2014年碩士論文

【摘要】：為避免走以犧牲環(huán)境為代價的惡性經(jīng)濟發(fā)展方式,政府開始實施一系列環(huán)境規(guī)制的政策。環(huán)境規(guī)制有利于減小經(jīng)濟發(fā)展過程中的環(huán)境污染、能源耗竭等問題,但很可能使經(jīng)濟發(fā)展降速,對產(chǎn)業(yè)結(jié)構(gòu)優(yōu)化升級帶來一定程度的影響,且由于實施環(huán)境規(guī)制對企業(yè)生產(chǎn)成本有直接的作用,企業(yè)的競爭力無疑也會因環(huán)境規(guī)制政策受到影響。目前,國內(nèi)外的研究者們在這方面的研究較多,不僅提出有“遵循成本說”、“波特假說”這些系統(tǒng)的理論,還有很多的實證分析。遵循成本說認為：如果政府實施環(huán)境規(guī)制,許多企業(yè)為避免因不能達到規(guī)制要求而受到的經(jīng)濟重罰,就會投入一部分人力物力降低生產(chǎn)造成的環(huán)境污染。同沒有受到政府的環(huán)境規(guī)制的時候比較,這將增加受規(guī)制企業(yè)的生產(chǎn)成本。為滿足環(huán)境規(guī)制的標準,企業(yè)不得不額外投入生產(chǎn)資源,導致生產(chǎn)效率降低,因此也就容易得到“環(huán)境規(guī)制不利于經(jīng)濟增長,會阻礙經(jīng)濟發(fā)展的速度”的結(jié)論；與之相反,波特假說則認為：企業(yè)競爭優(yōu)勢的關(guān)鍵在于技術(shù)改進和創(chuàng)新,實施有效的環(huán)境規(guī)制后,會對企業(yè)形成一種倒逼力量,激勵企業(yè)基于變動約束情況從長遠角度衡量經(jīng)濟效益,使企業(yè)有動力進行技術(shù)創(chuàng)新及高效利用生產(chǎn)資源。由于企業(yè)進行技術(shù)創(chuàng)新,長遠得到的收益不僅能補償執(zhí)行環(huán)境規(guī)制政策所導致的成本增加,甚至能獲得比沒有環(huán)境規(guī)制時更大的利潤,這是波特及其支持者結(jié)合大量案例分析得到的結(jié)論,也頗受學界質(zhì)疑。 就西部地區(qū)的實際情況來講,相較于東部和中部,環(huán)境規(guī)制的強度較低,很多相關(guān)的環(huán)境規(guī)制政策不僅制定晚于東部,而且執(zhí)行環(huán)節(jié)出現(xiàn)很多問題。雖然如此,西部地區(qū)在西部大開發(fā)推行之后,經(jīng)濟得到快速發(fā)展的同時,環(huán)境規(guī)制政策的制定和實施也越來越嚴格。那么,目前西部地區(qū)的環(huán)境規(guī)制強度對其經(jīng)濟發(fā)展有何具體影響?只有明白環(huán)境規(guī)制對經(jīng)濟發(fā)展的影響機制和影響程度,才能制定出更有效的環(huán)境規(guī)制政策,這是本文撰寫的主要目的和最終要解決的問題。 本文在參考大量文獻的基礎上,從宏觀到微觀的角度,分別研究了西部地區(qū)實施環(huán)境規(guī)制對其經(jīng)濟增長、產(chǎn)業(yè)結(jié)構(gòu)以及企業(yè)競爭力的影響。在研究過程中,一般先通過詳盡系統(tǒng)的理論分析,在理論分析基礎之上,結(jié)合西部實際,運用相關(guān)面板模型進行實證分析。在理論分析中,三個層面的研究都遵循“環(huán)境規(guī)制通過影響中間變量作用于經(jīng)濟發(fā)展的三個層面”這一思路,引入多個中間變量來具體說明問題,并運用了經(jīng)濟學中經(jīng)濟增長理論、博弈論、環(huán)境Kuznets曲線、產(chǎn)業(yè)變遷等理論和方法。而在實證分析過程中,主要采用面板數(shù)據(jù)模型。最終,本文得出的主要結(jié)論有： (1)通過引入技術(shù)水平、資本積累、對外開放水平三個中間變量,本文研究了環(huán)境規(guī)制對西部地區(qū)經(jīng)濟增長的影響機制和具體影響程度。本文認為,由于西部地區(qū)實施環(huán)境規(guī)制會直接引起企業(yè)生產(chǎn)成本的大幅增加,成本結(jié)構(gòu)的變化可能使西部企業(yè)無法將更多的人力資源和資金用于研發(fā)生產(chǎn)技術(shù),些企業(yè)為了維持已有盈利水平,還可能挪用原用于技術(shù)研發(fā)的資金來應對環(huán)境規(guī)制導致的成本增加,這樣看來,短期中環(huán)境規(guī)制的實施會抑制技術(shù)創(chuàng)新。而從長期來看,為了滿足消費者的綠色消費需求和滿足政府制定的綠色標準,采用能夠降低環(huán)境規(guī)制施加的成本的清潔技術(shù),西部企業(yè)有足夠動力進行產(chǎn)品創(chuàng)新和開發(fā)清潔生產(chǎn)技術(shù),對生產(chǎn)工藝進行改造；由于環(huán)境規(guī)制的實施,投資結(jié)構(gòu)相應變化,且執(zhí)行環(huán)境規(guī)制政策的企業(yè)會更新適用清潔技術(shù)的固定資產(chǎn),因此環(huán)境規(guī)制也會對資本積累產(chǎn)生影響；西部地區(qū)與外界的經(jīng)濟聯(lián)系日益緊密,很多外資企業(yè)看好西部的資源優(yōu)勢,在西部進行投資,而東部發(fā)達地區(qū)也向西部逐漸轉(zhuǎn)移一些勞動密集型、污染較嚴重的產(chǎn)能,這都是環(huán)境規(guī)制強度差異下產(chǎn)生的污染避難效應的體現(xiàn)。 進而,運用計量經(jīng)濟學中的面板數(shù)據(jù)模型,通過運行Eviews6.0軟件,在進行平穩(wěn)性、協(xié)整檢驗之后,得出了西部地區(qū)目前環(huán)境規(guī)制水平有利于人均GDP保持持續(xù)增長的結(jié)論,但是西部地區(qū)環(huán)境規(guī)制強度和經(jīng)濟增長之間不存在理論上的U型關(guān)系。 (2)在本文的第四章中,引入相關(guān)產(chǎn)業(yè)政策、企業(yè)進入和退出、生態(tài)產(chǎn)業(yè)鏈耦合和投資需求四個中間變量,對環(huán)境規(guī)制影響西部地區(qū)產(chǎn)業(yè)結(jié)構(gòu)的途徑進行理論分析。政府推行環(huán)境規(guī)制,會在產(chǎn)業(yè)政策方面進行布局,將西部地區(qū)工業(yè)內(nèi)部結(jié)構(gòu)進行調(diào)整,大力發(fā)展無污染、低能耗的第三產(chǎn)業(yè),重視并支持新能源產(chǎn)業(yè)的發(fā)展,都將影響西部地區(qū)的產(chǎn)業(yè)結(jié)構(gòu)；環(huán)境規(guī)制實施之后,西部企業(yè)進入污染行業(yè)的門檻變得更高,而政府將不再會補貼污染企業(yè),從而影響企業(yè)進入這一變量；政府有時會施行直接的“關(guān)停并轉(zhuǎn)”政策,直接造成一些西部企業(yè)退出污染產(chǎn)業(yè),更重要的是,由于突然增加了外在的成本壓力,一些實力弱小的企業(yè)會尋求轉(zhuǎn)型或退出原在領(lǐng)域,只有規(guī)模較大、實力較強的企業(yè)才能繼續(xù)存在于受規(guī)制的污染行業(yè)；在環(huán)境規(guī)制導致企業(yè)面臨高昂的工業(yè)污染治理投資額后,一些有條件的西部企業(yè)之間就會被激勵相互合作,在達成一致的基礎上,實現(xiàn)生態(tài)產(chǎn)業(yè)鏈之間的耦合,以避免環(huán)境規(guī)制所帶來的成本上升；最后,環(huán)境規(guī)制會影響投資需求,由于實施規(guī)制后,存在污染的項目不再會通過審批,所以投資方更偏好那些污染較少且有盈利前景的項目。 在此基礎上運用相關(guān)數(shù)據(jù)作了環(huán)境規(guī)制影響西部產(chǎn)業(yè)結(jié)構(gòu)的實證,得出了西部地區(qū)目前的規(guī)制強度有利于產(chǎn)業(yè)結(jié)構(gòu)優(yōu)化升級,驗證了環(huán)境規(guī)制與產(chǎn)業(yè)結(jié)構(gòu)之間存在倒U型的函數(shù)關(guān)系,這說明：西部地區(qū)的環(huán)境規(guī)制不能在短時間內(nèi)采取很嚴格的規(guī)制措施,否則會引致產(chǎn)業(yè)結(jié)構(gòu)退化,不利于產(chǎn)業(yè)結(jié)構(gòu)升級。 (3)在本文第五章,分析了環(huán)境規(guī)制通過作用技術(shù)創(chuàng)新、產(chǎn)品成本、外部聯(lián)盟和產(chǎn)品差異四個變量影響企業(yè)競爭力。然后,綜合運用微觀經(jīng)濟學中的博弈論、成本分析等方法,理論上論證得出了西部地區(qū)的環(huán)境規(guī)制對其企業(yè)的競爭力的影響取決于企業(yè)自身的實力和采取的環(huán)境策略。對于實力不濟且無法實現(xiàn)轉(zhuǎn)型的企業(yè),大多會采取相應消極應對策略,或抵制,或采取尋租的行為,最終不利于企業(yè)的長遠發(fā)展,本文就環(huán)境規(guī)制中的尋租現(xiàn)象構(gòu)造了較為簡單的完全信息博弈模型,得出結(jié)論是：尋租更有利于受規(guī)制的企業(yè),同時,監(jiān)管部門加強監(jiān)管才能有效避免尋租現(xiàn)象發(fā)生；而如果是企業(yè)采取應對環(huán)境規(guī)制的積極策略,研發(fā)清潔生產(chǎn)技術(shù),使用先進的生產(chǎn)設備,推行循環(huán)經(jīng)濟,同時在可能的條件下實現(xiàn)產(chǎn)業(yè)鏈耦合的外部聯(lián)盟,將在長期實現(xiàn)可持續(xù)發(fā)展。繼而,本章借鑒波特的案例分析方法,以新疆天業(yè)集團為例,說明在環(huán)境規(guī)制的挑戰(zhàn)下,企業(yè)通過積極有效的環(huán)境管理策略,推行清潔生產(chǎn)技術(shù),最終會實現(xiàn)環(huán)境保護與經(jīng)濟發(fā)展的雙贏。 本文的創(chuàng)新點主要體現(xiàn)在一些研究內(nèi)容上有所創(chuàng)新。包括三個方面：1.在研究環(huán)境規(guī)制與經(jīng)濟增長關(guān)系時,與已有文獻大多注重利用EKC曲線來闡述二者關(guān)系不同,本文引入技術(shù)進步、資本積累等中間變量,闡釋了環(huán)境規(guī)制影響中間變量進而影響經(jīng)濟增長的機制,理由有：(1)西部地區(qū)環(huán)境規(guī)制水平與經(jīng)濟增長之間關(guān)系并不遵從EKC曲線推演而來的U型關(guān)系；(2)引入中間變量,能更清晰地從宏觀角度對環(huán)境規(guī)制影響經(jīng)濟增長的機制進行定性分析。后面分析環(huán)境規(guī)制對西部地區(qū)產(chǎn)業(yè)結(jié)構(gòu)和企業(yè)競爭力的影響也是通過引入中間變量來進行說明的,這樣更具有說服力；2.在分析環(huán)境規(guī)制的實施影響產(chǎn)業(yè)結(jié)構(gòu)的時候,著重進行了環(huán)境規(guī)制影響企業(yè)退出的分析,而已有文獻均忽視了環(huán)境規(guī)制對企業(yè)退出的影響,本文認為由于西部地區(qū)常運用“關(guān)停并轉(zhuǎn)”等環(huán)境規(guī)制措施,所以,西部地區(qū)環(huán)境規(guī)制對企業(yè)退出的影響不容忽視,需要著重分析；3.在進行環(huán)境規(guī)制與企業(yè)競爭力之間的分析時,本文用較大篇幅分析了企業(yè)在面臨環(huán)境規(guī)制時的行為,并運用尋租理論、博弈論等知識進行研究企業(yè)的理性行動,其中本文構(gòu)造的博弈論模型很好地創(chuàng)新地說明了現(xiàn)實問題,這也是一個創(chuàng)新。 在環(huán)境規(guī)制與經(jīng)濟發(fā)展關(guān)系的研究中,很少就一個地區(qū)來分析環(huán)境規(guī)制對區(qū)域經(jīng)濟的影響,而西部地區(qū)地域遼闊,是國家經(jīng)濟發(fā)展鏈條上重要一環(huán),研究西部地區(qū)環(huán)境規(guī)制和經(jīng)濟發(fā)展之間關(guān)系有很大現(xiàn)實意義,本論文算是做出一種嘗試。
[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.

【學位授予單位】：西南財經(jīng)大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：X321;F124.1

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