【作者】 林永居；

【导师】 余建辉；

【作者基本信息】 福建农林大学 ， 林业经济管理， 2011， 博士

【摘要】 节能减排影响因素与管理对策是近年来学术界研究的一个多学科热点议题,也是一个影响深远的实践课题,对倡导全球低碳经济与可持续发展具有重要意义。国家“十一五”规划纲要首次提出了“节能减排”这一术语,并制定了“十一五”期间单位国内生产总值主要污染物排放总量减少10%的约束性指标。但是,根据新华社报道,减排指标实施进展相对滞后,未能达到“十一五”规划的要求。其中很大的原因是：虽然高能耗、高污染行业的节能减排工作有所进展,能耗和污染排放问题却依然十分严峻,特别需要加大企业节能减排的实施力度。中国造纸协会的调研数据表明,造纸工业乃是中国境内的高度污染行业,尤其是废水和COD排放量在全国废水和COD排放总量中都占有很大比重。但随着政府减排管制力度加强、企业环保意识的增强,造纸行业的污染减排工作在取得了一定成效的基础上,仍需加大工作力度,以实现经济效益、社会效益和环境效益的和谐发展。造纸行业的污染减排工作最终要落在企业微观主体上,保护生态环境、倡导低碳减排、发展循环经济、促进经济与生态的协同发展,既是造纸企业自身生存与发展的需要,又是其不可推卸的社会责任。然而,目前国内学者很少对企业减排行为的影响因素及其作用机理进行实证研究,针对造纸企业方面的更显缺乏,不足以为相关政策制定提供坚实的理论指导与实践依据。本文则从造纸企业减排的现状入手,探讨造纸企业减排行为的影响因素,并据此提出针对性、科学性和可操作性的造纸企业实施减排的政策建议,力求更好地推动造纸企业实施减排工作。作为中国南方主要林区,福建省造纸行业发展在中国具有举足轻重的地位,纸企数量、纸浆产量和规模企业纸和纸板产量等名列中国造纸行业前列。因此,研究福建省造纸企业的减排行为在造纸行业中具有代表性。本研究以福建省造纸行业为例,识别造纸行业减排行为的关键影响因素,并对关键影响因素的作用机理进行深入研究,根据实证研究结论,提出强化造纸企业减排行为的政策建议,为政府制定政策提供良好的理论指导与实践依据。主要研究内容包括以下5个方面：(1)采用文献研究法,对国内外学者对企业减排等环境管理行为影响因素的研究文献进行分析归纳,同时对福建省造纸企业的发展现状及减排现状等进行分析,为造纸企业减排行为影响因素的理论分析奠定基础,主要是第二、三章。(2)根据文献综述结果和福建省造纸企业减排现状分析结果,在政府环境管制理论、公众参与理论、技术进步论、竞争理论、消费者理论、企业实力理论等6大理论的指导下,总结归纳了造纸企业减排行为的潜在影响因素；经过专家多次讨论之后,最终确定了本研究造纸企业减排行为潜在影响因素,其中,政府管制因素10个、政策扶持因素4个、社会公众因素6个、竞争因素3个、市场因素4个、企业特征因素10个。主要内容是第四章。(3)对福建省83家样本造纸企业减排行为的影响因素进行描述性统计分析；然后,结合运用因子分析法和多元线性回归分析法,对福建省造纸企业减排行为关键影响因素进行识别,为后续关键影响因素的作用机理分析奠定基础,同时为政策建议的提出提供坚实的实践依据。主要包括第五、六章。(4)根据关键影响因素识别结果,进一步利用结构方程模型,对造纸企业减排行为关键影响因素的作用机理进行实证研究,判定关键因素对造纸企业减排行为的直接影响与间接影响,探索关键因素之间的相互作用情况,为政策建议的提出提供实践依据。主要是文章的第七章。(5)根据研究结论,提出强化造纸企业减排行为的政策建议,主要是文章的第八章。文章通过理论分析和实证研究,得到的主要结论是：(1)福建省造纸企业减排行为关键影响因素的识别结果表明：行政处罚、环境监管措施、2009年排污费、环保组织信访、贷款扶持、财政补贴、税收优惠、造纸工艺先进性、生产流程布局合理性、减排技术成本、政府采购资格、消费者减排关注度、减排形象效应、消费者消费倾向、注册资本、企业规模、销售收入资产比、减排合作、股东态度、员工减排熟知度等20个指标对造纸企业减排行为有显著的正面影响。(2)福建省造纸企业减排行为关键影响因素的作用机理研究表明：制度环境因素对造纸企业减排行为有显著的直接影响,同时还可以通过技术因素、市场因素、企业特征因素等对造纸企业减排行为产生间接影响；技术因素对造纸企业减排行为有显著的直接影响,同时还可通过企业特征因素对造纸企业减排行为产生间接影响；市场因素对造纸企业减排行为有显著的直接影响,同时还可通过技术因素和企业特征因素间接影响造纸企业减排行为；企业特征因素对造纸企业减排行为有显著的直接影响。基于上述研究结论,本文提出了强化造纸企业减排行为的政策建议,主要包括强化政府对造纸企业污染排放的环境管制措施、强化社会公众对造纸企业减排的监督力度、完善对造纸企业减排投资的政策扶持措施、加强对造纸企业的技术扶持,降低减排成本、宣传绿色消费意识,提升消费者的减排关注度、提升企业实力,强化企业减排意识、完善环保技术创新的产学研合作机制。由于当前学者对企业减排行为影响因素的实证研究较少,因此文章选择造纸企业作实证在内容上有一定的创见；同时,本研究首次利用结构方程模型,对造纸企业减排行为关键影响因素的作用机理进行深入分析,在分析视角上也有一定的创新意义。当然,由于研究上的局限,文章仍须后续研究跟进：第一,本文仅根据各路径系数的T统计值对结构方程模型进行修正,未根据MI指数进行第二次修正。为此,将来要深入探求变量归属调整的理论依据或现实依据,再根据T统计值和MI指数对结构方程模型进一步修正,以求获得更加合理的结构方程模型。第二,在造纸企业减排行为的投入强度上共设计了16个减排实践来测量,可能在考量企业减排行为指标上不够完备,后续研究需侧重造纸企业减排行为量化指标的进一步完善,以求提升模型检验结果的科学性与准确性。更多还原

【Abstract】 Emission reduction factors and management measures are hot topics of academic research which in relation to multidisciplinary in recent years. It also a far-reaching practical issues, and is a great significance for promoting global low carbon economy and sustainable development. The term of emission reduction was first proposed in the national outline of the Eleventh Five-Year Plan, and established the binding indicators of total emissions of major pollutants reduced by 10% in unit of GDP during Eleventh Five-Year. However, according to Xinhua News Agency report, emission reduction indicators progress is lagging behind, not meet the requirements of Eleventh Five-Year Plan. One important reason is that the emission reduction is progressing including high energy consumption and high-pollution industries, but the problems of energy consumption and pollution emissions is still serious, especially need increase implementation efforts to enterprise saving energy.Paper industry is still a highly polluting industries in China, particularly the amount of wastewater and COD emissions have a large proportion of the total country. China Paper Association’s survey data show that, the amount of wastewater and COD emissions are still highest in the country’s first, although every industry try their best to implement the emission reduction targets, and the government efforts to strengthen the emissions control and enterprises’awareness of environmental protection become higher, it turned out paper industry still need to work harder to achieve economic, social and environmental benefits harmonious development. Paper industry pollution reduction ultimately fall on the main micro-enterprises, protecting the environment, promote low-carbon emission reduction, the development of recycling economy and promote the coordinated development of economy and ecology, both paper-making their own survival and development needs, they can not shirk its social responsibility. The paper’s objective are: start from the reducing emissions status quo of paper-making enterprises to explore the behavior of their emission factors, and put forward specific, scientific and operational implementation of emission reduction of paper-making enterprise policy recommendations, paper-making enterprises and strive to better promote the implementation of emission reduction activities. However, the research about emission factors which influence business research are few, even the lack of empirical research, so it can’t provides a solid theoretical and practical basis as a policy guide.Fujian, as one of major forest areas in southern China, its development of paper industry plays a decisive role in China, the number of paper industry, paper pulp production, paper and paperboard production are among the forefront in China’s paper industry. Therefore, the research of reduction of paper-making enterprises in Fujian Province is representative in paper industry. This research takes the paper industry of Fujian as an example, identify the key factors of the reduction of paper industry, and go deep into the mechanism of the key factors. The researcher promote the policy to strengthen the reduction actions of paper industry and provide government with good theoretical guidance and practical basis, based on empirical research conclusions. The main contents include the following five aspects:(1)Using the method of documentary research, through analyze and summarize about the emission reduction document research of effect factors of environmental management behavior by domestic and international scholars. In the meanwhile, analysis of the development of paper industry and analysis of emission reduction in Fujian, to lay the theoretical analysis foundation for the factors of emission reduction to the paper-making enterprises. Main contents in the second and third chapters.(2) According to the literature review results and analysis of paper-making enterprises emission reduction in Fujian Province, and with the direction of government environmental regulation theory, public participation theory, technical progress theory, competition theory, consumer theory and enterprise strength theory, we summarized the potential impact factor of the reduction behavior with paper-making enterprise. After the experts’ discussions, we finalized identified the potential impact factor of the reduction behavior with paper-making enterprise in this research, there in 10 factors for government regulatory,4 factors for policy support,6 factors for public,3 factors for competition,4 factors for market,10 factors for enterprises characteristic. And the main content is Chapter four.(3)This paper analyzes by descriptive statistics for the influencing factors of enterprises emissions behavior for samples with paper-making 83 enterprises in Fujian province; and then, to identify key influencing factors of the paper-making enterprises reduction behavior combines with using the factor analysis method and multivariate linear regression analysis, which lay the foundation for the analysis of follow-up key factors influencing mechanism, meanwhile, provide solid practice basis of the proposed policy suggestions. It mainly includes the fifth, sixth chapter. (4) According to the key factors identificational results, further using structure equation model, as reduction emissions behavior of paper-making enterprises, make the key factors influencing mechanism for empirical research. Therefore, determination directly influence behavior and the indirect effects of reduction emission of papermaking enterprises, which caused by the key factor, explore the interaction between the key factors, provide practical basis for putting forward policy suggestions. Main content is the chapter seven. (5)Based on the conclusions, puts forward policy suggestions which strengthen reduction emission behavior of paper-making enterprises, mainly in chapter eight of this article.y theoretical analysis and empirical research, this paper gains the main conclusions: (1)recognition results of reduction behavior’s key factors in Fujian paper-making enterprises show that, administrative penalty, environmental monitoring measures, sewage charges in 2009, environmental groups petition, loan support, financial subsidies, tax incentives, advanced of paper technology, rational layout of production process, cost of emission reduction technologies, government procurement qualification, consumer concern about emissions, emissions reduction image effect, the consumer propensity to consume, the registered capital, firm size, asset sales ratio, reduction cooperation, attitude toward shareholders and employees familiar with the degree reduction, these 20 indicators have a significant positive impact on reduction behavior of paper-making enterprises. (2)The mechanism research about key factors of the emission reduction of Fujian paper-making enterprises shows that:the regulations environmental factors have a significant and direct impact on emission reduction of paper-making enterprises. Meanwhile, it also has an indirect effect by technical factors, market factors as well as enterprises characteristics factors etc; The technical factors have a great direct influence on the emission reduction of paper-making enterprises and can have indirect effect by enterprises characteristics factors in the meantime; Market factors have significant and direct impact on emission reduction of paper-making enterprises and can have indirect effect through technical factors and enterprises characteristics factors in the meantime. Enterprises characteristics factors have a significant direct influence on the emission reduction of paper making enterprises. Based on the above conclusions, this paper proposed some policy implications concerning how to strengthen emission reduction behavior of paper-making enterprises, including strengthen the government to carry out environmental regulations for paper-making enterprises, strengthen the public supervision, to complete supportive policy for investing of paper-making enterprises, strengthen technical support for paper-making enterprises, to reduce emission reduction cost, to propaganda the awareness of green consumption, promote consumers emission reduction attention, strength of enterprises, strengthen the awareness of saving energy and reducing emissions for paper-making enterprises, at last, to complete production, teaching, and research mechanism which relate to environmental technology innovation.The current scholar’empirical research on emissions reduction behavior and its influencing factors of paper-making enterprises is still less, so this paper choose paper-making enterprises to do empirical research and in content has a certain original; meanwhile, this research is first to use structure equation model, analyze the mechanism of papermaking enterprise mitigation key influence-factor action, there is also a certain innovation significance in perspective. Of course, due to the limitations of the research, this paper still must on follow-up study:firstly, this paper is revised only according to each path coefficient T statistics value on structural equation model, not according to MI index to second correct. Therefore, in order to get more reasonable structure equation model, this paper will explore the theoretical basis or actual basis of the variable attribution adjustment further, and the structural equation model is further revised based on statistical data and MI index T. Secondly, there were designed 16 emissions which are on the emission of input intensity of behavior in paper-making enterprises to measure. The consideration on enterprise emissions reduction behavior indicators may be imperfect in practice, in order to ascend the results of model test scientific and accurate, future studies should focus on quantitative indicators of paper bound up with the paper-making enterprises emissions reduction behavior that will further improve.更多还原