本文選題：綠色創(chuàng)新　切入點：環(huán)境規(guī)制　出處：《中國社會科學(xué)院研究生院》2014年博士論文　論文類型：學(xué)位論文

【摘要】：隨著資源約束趨緊、環(huán)境污染嚴重、生態(tài)系統(tǒng)退化等形勢的日益嚴峻，，全世界對生態(tài)化轉(zhuǎn)型的訴求日漸高漲。當(dāng)前的全球金融危機以及氣候變化等環(huán)境議題，也為各國由傳統(tǒng)經(jīng)濟向綠色經(jīng)濟轉(zhuǎn)變提供巨大機遇。唯有加快產(chǎn)業(yè)結(jié)構(gòu)調(diào)整和突破性技術(shù)創(chuàng)新，才能真正實現(xiàn)綠色增長。近年來，我國不同程度地將生態(tài)建設(shè)和技術(shù)創(chuàng)新作為重要發(fā)展主題。特別是黨的十八大和十八屆三中全會，進一步明確了生態(tài)文明建設(shè)和創(chuàng)新驅(qū)動發(fā)展的戰(zhàn)略地位。因此，為了深入貫徹科學(xué)發(fā)展觀的基本要求，有必要基于環(huán)境規(guī)制的有效連結(jié)，在技術(shù)創(chuàng)新與環(huán)境保護之間尋求一種聯(lián)動互利機制，從而推動經(jīng)濟、社會、生態(tài)的多元可持續(xù)發(fā)展。 本文在歸納國內(nèi)外已有文獻研究的基礎(chǔ)上，根據(jù)新古典環(huán)境經(jīng)濟學(xué)和演化經(jīng)濟學(xué)理論，提出綠色創(chuàng)新導(dǎo)向的環(huán)境規(guī)制；圍繞波特假說及其驗證分析，以成本抵償效應(yīng)為出發(fā)點，重點探討環(huán)境規(guī)制如何通過其強、弱激勵效應(yīng)形成綠色創(chuàng)新；進一步結(jié)合費用 效益分析和優(yōu)化組合分析，比較主要環(huán)境規(guī)制工具的適用性和必要性；梳理我國環(huán)境規(guī)制政策特點與內(nèi)涵，并運用時序SBM模型和聚類SBM模型，就我國和省級的環(huán)境規(guī)制效率進行定量測算與評價；最后從政策導(dǎo)向、動態(tài)實施以及工具優(yōu)化等方面提出政策建議。 研究指出，綠色創(chuàng)新導(dǎo)向的環(huán)境規(guī)制是為推進企業(yè)乃至全社會的綠色創(chuàng)新活動而采取的一系列與環(huán)境規(guī)制有關(guān)的政策法規(guī)集合。它不僅能為企業(yè)營造創(chuàng)新環(huán)境以提高其技術(shù)創(chuàng)新能力和成果轉(zhuǎn)化水平，還能減少綠色創(chuàng)新在制度環(huán)境方面的不確定性。成本抵償效應(yīng)的存在與否直接決定了波特假說的成立與否，進而對應(yīng)著環(huán)境規(guī)制對于綠色創(chuàng)新的弱、強激勵過程，并由此衍生出兩類干預(yù)政策類型。不同的環(huán)境規(guī)制工具之間并無絕對的優(yōu)劣好壞之分，其能否發(fā)揮關(guān)鍵作用主要取決于所處的實施背景和亟需推動的技術(shù)類型。若是能實現(xiàn)多種規(guī)制工具的相輔相成，將會更好地體現(xiàn)出環(huán)境規(guī)制的綠色創(chuàng)新效應(yīng)。隨著我國對環(huán)境問題的日益重視，在政策實施、治污投資和管理人員等方面投入力度不斷加大，這有力提升了環(huán)境管理水平、推動了綠色技術(shù)創(chuàng)新。但在此過程中也普遍存在重復(fù)投入和浪費等問題，并由此帶來投入資源轉(zhuǎn)化率不高、資源要素的合理配置能力不足等現(xiàn)象，導(dǎo)致在某些時期難以達到最佳投入產(chǎn)出規(guī)模，產(chǎn)出效益還有待進一步提升和挖掘。 全文以綠色創(chuàng)新導(dǎo)向的環(huán)境規(guī)制為中心，旨在為我國制定更有效的環(huán)境規(guī)制政策提供理論和實證依據(jù)，同時為相關(guān)部門借助相關(guān)工具實現(xiàn)有針對性的環(huán)境規(guī)制目標(biāo)提供決策參考。
[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.
【學(xué)位授予單位】：中國社會科學(xué)院研究生院
【學(xué)位級別】：博士
【學(xué)位授予年份】：2014
【分類號】：X322;F124.5

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