【作者】 潘兴侠；

【导师】 何宜庆；

【作者基本信息】 南昌大学 ， 管理科学与工程， 2014， 博士

【摘要】 资源耗竭、环境恶化已成为当今世界经济发展难以逾越的“瓶颈”；前段时间，困扰着大半个中国的雾霾天气也向我国敲响了警钟，使得人们不得不重视起经济快速发展所引起的资源环境问题，使人们意识到我国经济发展的动力应由单纯追求资本和劳动效率转变到追求资源效率和环境效率上来，也就是要努力实现经济和资源环境协调可持续发展。生态效率作为经济与资源环境可持续发展的有效度量和管理手段，可以综合反映经济-资源-环境复合系统的协调发展的实际水平。因此，科学评价区域生态效率水平，分析其区域差异，研究生态效率的影响因素及其收敛性，寻求区域生态效率提升的途径，对于我国积极改变经济发展方式，促进经济-资源-环境复合系统的协调可持续发展是十分必要的，也是有意义的。本论文的主要研究内容有以下五个方面：1．区域生态效率评价及区域差异分析。首先进行评价，根据生态效率的内涵，从经济-资源-环境复合系统的生态投入和产出两个方面选取评价指标，选取农用地面积作为土地资源消耗指标建立评价指标体系，并应用熵值赋权法和模糊隶属度函数法对2005-2011年我国30个省域的生态效率水平进行了评价，评价结果表明我国区域生态效率呈现东高西低的梯度分布格局；其次是区域差异分析，运用变异系数和Theil指数两个统计指标分析了我国全国层面及我国东部、东北部、中部、西部四大区域生态效率差异。2．影响因素分析。首先是区域生态效率空间效应分析，通过全域空间自相关检验和局域空间自相关检验分析了我国区域生态效率的空间依赖性、空间集群结构和时空跃迁路径；其次是影响因素理论分析，在文献分析的基础上，分析了经济发展、产业结构、人力资本、外资利用、环境政策和科技实力六因素对区域生态效率的影响机理；最后是影响因素实证分析，由于我国区域生态效率存在显著的空间自相关性，传统计量方法统计假设不成立，因此建立了基于面板数据的空间计量经济模型对区域生态效率的影响因素进行了实证分析。特别地，提出了我国生态效率与经济发展的“U型”曲线假设，并基于我国30个省域的空间面板数据对该“U型”曲线进行了实证检验，同时还对比分析了三次产业与区域生态效率的关联性。3．收敛性分析。将新古典经济增长理论中收敛假说的思想和方法应用到区域生态效率差异性分析中，利用面板数据模型对我国生态效率区域差异的收敛状况进行了实证研究。首先分析了我国及东、中、西和东北四大区域生态效率水平的收敛性；其次，利用面板数据分析模型，对我国生态效率区域差异进行了绝对收敛检验；最后，在区域生态效率的条件β收敛检验中，考察了经济发展水平、产业结构、人力资本、外资利用、环境政策和科技实力六因素对我国及四大区域生态效率条件β收敛的影响。4．区域工业生态效率研究。首先通过区分污染物产生量和排放量，将工业生态效率分解为源头消减效率和末端治理效率，以此来构建工业生态效率评价模型，评价了2005-2010年我国30个省域的工业生态效率；其次运用面板数据分析模型分别研究了工业结构、外资利用、研发投资和污染治理投资四因素对源头消减效率和末端治理效率的影响。5．区域生态效率提升策略研究。分别从对区域生态效率及其条件收敛有影响的经济发展、产业结构、人力资本、外资利用、环境政策和科技实力六个方面给出了我国区域生态效率提升策略。本研究主要创新点有以下三点：1．运用基于熵权的加权模糊隶属度函数综合评价模型对我国2005-2011年30个省域的生态效率水平进行了评价；将工业生态效率分解为两工业生产环节生态效率—源头消减效率和末端治理效率两个指标，建立耦合协调度模型对区域工业生态效率进行评价，增强了生态效率评价指标的解释能力；首创性地对两工业环节生态效率-源头消减效率和末端治理效率的影响因素进行了实证分析。2．分析了区域生态效率的空间效应和空间集群结构，运用空间计量理论方法对区域生态效率的影响因素进行了实证分析。传统的相关研究假设每个区域相互独立，忽略了区域之间在地理空间上可能存在的相互作用，本研究在方法论上扩展了现有生态效率研究的计量经济模型。提出了区域生态效率“U型”曲线假设，并运用空间计量模型对其进行了实证检验。3．将新古典经济增长理论中收敛假说的思想和方法应用到区域生态效率差异性分析中，利用面板数据模型对我国区域生态效率差异的收敛性进行了实证研究，拓宽了区域生态效率的研究视角，丰富了区域生态效率的研究内容。更多还原

【Abstract】 In today’s world, depletion of resource and environmental degradation havebecome an insurmountable “bottleneck” for economic development. Some time ago,the haze weather, which puzzled most of China, has sounded the alarm to the Chinesepeople, and the Chian’s people have to pay attention to environmental problemscaused by the rapid development of economy. The people have realized that thepower of economic development is not only to pursuit the efficiency of capital andlabor, but also to pursuit the efficiency of resource and environment, and realized thatwe should work hard to achieve coordinated and sustainable development of theeconomy-resource-environment composite system. As the effective measure andmeans of management of the sustainable development, regional eco-efficiency cancomprehensively reflect the coordinated development level of the economy-resource-environment composite system. Therefore, scientific evaluation for the level ofregional eco-efficiency, analysis of its regional difference, study of the effect factorson regional eco-efficiency, analysis of its convergence, is necessary and significantfor China to change the mode of economic development, and to promote thecoordinated and sustainable development of the economy-resources-environmentsystem.In this dissertation, the main research contents include the following fiveaspects:1. Evaluation of the regional eco-efficiency and analysis of its regionaldifferences. Firstly, According to the connotation of eco-efficiency, from two aspectsof ecological inputs and outputs of economy-resources-environment compositesystem, at the same time selecting the area of agricultural land as the land resourceconsumption indicators, the evaluation index system of reginal eco-efficiency wasestablished. And the dissertation has evaluated the level of eco-efficiency of the30provinces in China during the year2005-2011by use of entropy weighting methodand fuzzy subjection function method. Secondly, using two statistical indicators suchas the coefficient of variation and Theil index, the regional differences of the eco-efficiency among the whole nation and among the four sub regions such as ChinaEastern, Northeast, Central, West.2. Analysis of influence factors. The first part is the analysis of regionalecological efficiency of spatial effect. By means of the global spatial autocorrelationtest and local spatial autocorrelation test, the spatial dependence, spatial clusterstructure and space-time transition path of ecological efficiency were studied; Thesecond part is the theoretical analysis of influencing factors on regional eco-efficiency.Based on the literature analysis, the influence mechanism of the six aspects, such asthe level of economic development, industrial structure, human capital, foreigncapital utilization, environmental policy,scientific technological strength,on theregional ecological efficiency was researched. The last part is the empirical analysisof influencing factors on regional eco-efficiency. Because of the existence of spatialautocorrelation of regional ecological efficiency, the statistical hypothesis of thetraditional measurement method does not hold, so a spatial econometric model basedon panel data was established to make the empirical analysis of influencing factors ofregional eco-efficiency. Particularly, The hypothesis of the “U” curve among theeco-efficiency and the level of the economic development was proposed, and thehypothesis was empirically tested by use of spatial econometric model based on thepanel data during2005-2011of30provinces of China. At the same time, thisdissertation made comparative analysis of the association between three industriesand regional ecological efficiency respectively.3. Convergence analysis. The ideas and methods of the convergence hypothesisof the endogenous growth theory is applied to the analysis of ecological efficiencyregional differences. Using the panel data model, this dissertation conducted anempirical study on the convergence of regional ecological efficiency difference inChina. Firstly, the convergence of regional ecological efficiency level in China andin the four sub regions-the East, the Central, the West and the Northeast was studied;Then, by the method of panel data model, the dissertation has made the absolute βconvergence test on regional ecological efficiency differences. Finally, in the study ofconditional β convergence of regional eco-efficiency, this paper uses the method ofpanel data focused on the six impact factors of conditional β convergence, such as the level of economic development, industrial structure, human capital, foreign capitalutilization, environmental policy, scientific and technological strength.4. Study on the regional industrial eco-efficiency. Firstly，by distinguishinggeneration and emissions of pollutants，industrial eco-efficiency was decomposed intosource-reduction efficiency and end-pipe-treatment efficiency to construct theevaluation model of industrial eco-efficiency. Then，the model was applied toevaluate the industrial eco-efficiency of30provinces in China during the year of2005to2010. Secondly，using the panel data analysis model，the impact of the fourinfluencing factors，including industrial structure，introduction of foreign investment，R&D investment and industrial pollution treatment investment，on source-reductionefficiency and end-pipe-treatment efficiency was analyzed.5. Research on promotion strategy of regional eco-efficiency. From the sixaspects,such as the level of economic development, industrial structure, humancapital, foreign capital utilization, environmental policy,scientific technologicalstrength, which have an impact on the level of eco-efficiency and its conditional βconvergence, some promotion strategies of eco-efficiency were put forward.The main creative points are in the following three aspects:1. Using the entropy method and the weighted fuzzy membership functionmethod, the comprehensive evaluation model was established and the eco-efficiencyof30provincial regions during the year2005-2011was evaluated; Decomposingindustrial eco-efficiency into source-reduction efficiency and end-pipe-treatmentefficiency, by use of The coupling coordination degree model, this dissertationevaluate the industrial eco-efficiency of30provinces in China during the year of2005to2010, which enhance the explanation ability of the evaluation index ofecological efficiency. The influencing factors of ource-reduction efficiency andend-pipe-treatment efficiency were studied originally.2. The spatial effects of regional eco-efficiency and its spatial structure ofcluster were studied, and the spatial econometric theory and method was used toanalyze the influencing factors of regional ecological efficiency. The traditionalrelated research, assuming that each region are independent of each other, ignore thepossible interactions between regions in geographic space. This dissertation extends the existing econometric model of eco-efficiency in methodology. The “U”curvehypothesis of regional eco-efficiency was put forward, and by use of spatialeconometric model, this dissertation made empirical test on the “U”curve.3. The ideas and methods of the convergence hypothesis of the endogenousgrowth theory was applied to the analysis of ecological efficiency regional differences.Using the panel data model, the dissertation made an empirical study on theconvergence of regional eco-efficiency difference in China, which broadens theperspective of study on regional eco-efficiency and enriches the content of the studyof regional ecological efficiency.更多还原