【作者】 张震；

【导师】 黄少安；

【作者基本信息】 山东大学 ， 政治经济学， 2012， 博士

【摘要】 本文通过对新制度经济学的理论回顾及对环境产业发展的制度条件分析,结合我国环境产业发展的历程与制度的变迁,总结了影响产业发展的制度因素并分析了制度对环境产业经济增长的影响。在实证分析的基础上,探讨了环境政策与产业发展之间的相互作用,并借鉴国外发达国家的经验,得出适合我国国情的发展模式及制度保障。本文的主要观点有以下几方面内容：(1)由于环境产业具有“公共物品”的特性,所以它依赖政府的制度安排,来克服各种市场失灵现象,将外部问题内部化。我国环境产业的发展,要推行选择性市场化运营模式,坚持技术引进与消化创新,推动环境产业园区发展,保证政府在环境产业制度创新中的主导地位。在环境产业发展过程中,充分发挥政府在环保制度创新中的主导作用,加强对环境产业的政策引导和扶持,运用财政杠杆,完善符合国际规范的产品标准体系,拓宽环境保护产业融资渠道,将环境产业打造成国民经济的支柱产业。(2)在无政府规制下的污染企业间的博弈过程中,追求自身利润最大化的企业在没有政府规制的情况下,必然会选择牺牲环境的策略而采用污染生产的方式。因为对环保的投入将增加企业的生产成本,降低企业的产品市场竞争水平,使得利益受损。因此,双方在完全信息静态博弈中,都会采取非合作的态度,使得具有公共资源性质的环境遭受破坏,企业陷入“囚徒困境”。而改善这一状况的途径可以是政府通过环保制度的建立与实施,向污染生产企业征收排污费,向环保生产的企业进行一定的税收补贴,当补贴的额度超过其在环保上的投入以及可能带来的市场损失时,“看不见的手”的市场机制会重新发挥作用,企业都会选择环保生产方式,环境污染问题得以解决。但由于企业性质不同,不同类型的企业采用环保生产方式时其对利润的影响大小也不一致,因此,在实际情况中政府在采用排污费征收制度或者税收补贴制度时除了要考虑污染物的类型和排放量大小之外,还要考虑同一排污收费标准和税收补贴对不同类型产业在选择环保生产和污染生产决策上的影响程度大小。(3)在环境保护制度执行中的政府企业间博弈过程中,地方政府在制度的执行中起着举足轻重的作用。由于地方政府自身有其利益考虑,其与企业间的关系是相对对立和统一的。一方面要约束企业减少污染,提高人们生活环境质量和社会公众福利,另一方面要鼓励企业生产,提高本地经济发展水平,政府选择严格监管或者不监管策略时会权衡两者的利益得失。因此,要提高地方政府的监管力度,主要从两个方面入手。一是要对地方政府的环保工作进行监督,加强处罚力度；二是要设法降低政府的环保监管成本,可以有效激励企业采用环保的生产方式。(4)在累进排污费制度模式下的政府、污染企业和环保企业间博弈过程中,由于环境产业与污染企业之间存在着产业链上的供需关系,因此,政府的环保制度(如排污费标准)对环保企业的利润有间接的影响作用,其传递过程是通过排污费标准的大小来约束和改变污染企业的生产策略,从而影响其对环保设备产品和治理污染服务的需求。当博弈均衡时,环保企业的利润与政府排污费标准之间有着密切的关系。要提高环保企业自身的利润,一方面是要依靠政府的制度推动,另一方面也要加强环境产业自身的技术创新和进步,减少治理一单位污染所需要的成本,从而可以鼓励污染企业在决策时更多的选择环保企业的产品,并提高环保企业的利润水平。(5)本文中的实证结果表明,环境产业年收入水平与环保科技成果数,信访数量,政府环境保护投资额及一年内环境产业相关制度出台数这四个制度变量因素均呈正相关关系,影响程度从大到小依次为政府环境保护投资额,环保科技成果数,一年内环境产业相关制度出台数及信访数量。它们分别代表了环保财政支持,环保科技水平,环境产业制度及公众的环保意识。本文理论创新之处在于开创了一个全新的研究视角,运用制度经济学的原理,配合社会历史学研究、定性分析与个案研究、定量分析及博弈分析相结合的方法,对环境产业进行研究,拓展了环境产业研究的理论基础；同时,提出了累进排污收费制度并通过博弈分析了其合理性,探讨了其对环境产业发展的促进作用。更多还原

【Abstract】 Based on the theory of new institutional economics review and on the development of environmental industry system condition analysis, combined with China’s environmental industry development and changes in the system, summarizes the effects of system factors of development of industries and the analysis of the system of environmental industry economic growth. On the basis of the empirical analysis, discussed the environmental policy and industrial development of the interaction between, and draw lessons from the experience of foreign developed countries, that suits our country national condition the development mode and system guarantee.The main points of this paper are as follows:(1) as a result of environment industry has the characteristics of "public goods", so it is dependent on the system arrangement of the government, to overcome the phenomenon of market failure, the internalization of external problems. China environmental industry development, should carry out selective market operation mode, adhere to the technology introduction and innovation, to promote environmental industrial park development, to ensure that the government in the environmental industry system innovation in the dominant position. In the environmental industry development process, give full play to the government in environmental protection and system innovation in the leading role, strengthen the environmental industry policy guidance and support, to use financial lever, complete with international norms of product standard system, widen channel of financing of environmental protection industry, the environmental industry into a pillar industry of the national economy.(2) in the absence of government regulation of pollution enterprises of the game process, maximize their own profits of enterprises in the absence of government regulation in the circumstances, will choose to sacrifice the environment strategy and the pollution production way. Because of the environmental protection investment will increase the production costs of enterprises, reduce the product market competition of the enterprise level, the interest is damaged. Therefore, both in the complete information static game, will take a cooperative attitude, has a public resource nature of environmental damage, the enterprise is immersed in "prisoner dilemma". To improve this situation pathways can be the government through environmental protection system in the establishment and implementation of production enterprises, to the pollution of the sewage charges, to the environmental protection production enterprises of certain tax subsidies, when the amount of subsidies over its investment on environmental protection and the possible loss of market," invisible hand" the market mechanism to play a role, enterprises will choose environmentally friendly mode of production, the environmental pollution problems can be solved. But as a result of the enterprise are different in nature, different types of enterprises to adopt environmentally friendly mode of production is the profit impact of size is also different, therefore, in the actual situation of government in the sewage collection system or tax subsidy system in addition to consider the type of pollutant emissions and size, but also consider the same standards for pollution discharge fee and tax allowance for different types of industries in the choice of environmentally friendly production and pollution production decision on the degree of the influence.(3) in environmental protection system of the government in implementing enterprise in the course of the game, the local government in the implementation of the system play a decisive role in the. The local government has its interests, its and business relations between the opposition and unification is relative. On one hand we should restrain an enterprise to reduce pollution, improve people’s living environment quality and the social public welfare, on the other hand, to encourage enterprises to improve production, local economic development level, the choice of government supervision or regulatory strategies will weigh the interests of gains and losses. Therefore, there are two measures to improve the local government supervision. One is to be on the local government environmental protection work carried out supervision, strengthen the punishment; two is to try to reduce the government’s environmental protection supervision cost, can effectively motivate enterprises to adopt environmentally friendly mode of production.(4) in a progressive discharge fee system under the mode of government, enterprises and between enterprises pollution environmental protection in the course of the game, because of environmental industry and polluting enterprises exists between the industry chain on the relationship between supply and demand, therefore, the government environmental protection system (such as sewage charges standard) to environmental protection enterprise profits have indirect effect, its transfer the process is through the sewage charges standard size to restrain and change of polluting enterprises production strategy, thus its impact on environmental protection equipment products and pollution management service needs.When the game equilibrium, environmental protection enterprises profit and government pollution charge standard there is a close relationship between the. In order to improve the environmental protection enterprise’s profit, one is to rely on the government in promoting the system, but also to strengthen the environmental industry’s technological innovation and progress, reduce administrative unit of pollution costs, which can encourage pollution enterprises decisions more choices of enterprises in environmental protection products, and to improve environmental protection enterprises profit level.(5) in this paper, the empirical results show that, the environment industry annual income level and environmental science and technology achievements, letters and numbers, the government environmental protection investment and within a year of environmental industry related system promulgated the four system variables are positively related, influence degree from big to small order of government environmental protection investment, environmental protection science and technology achievement number, within a year of environmental industry and related system number and the number of. They represent respectively the environmental financial support, environmental science and technology level, environmental industry system and the public awareness of environmental protection.In this paper, theoretical innovation is to create a new research perspective, using system economics principle, cooperate with the social history research, qualitative analysis and case study, quantitative analysis and game analysis of the combination method of environmental industry, conduct research, develop environmental industry research foundation; at the same time, put forward the progressive pollution charge system and through the game theory to analyze its rationality, discuss its role in promoting the development of environmental industry.更多还原