环境规制背景下资源型产业发展问题研究

【作者】 白云朴；

【导师】 惠宁；

【作者基本信息】 西北大学 ， 产业经济与投资， 2013， 博士

【摘要】 随着自然资源的大规模开采和利用,中国经济获得了快速增长的动力,为全面推进工业化和城市化、实现经济社会转型创造了必要条件,但与此同时,资源过度消耗、生态环境严重破坏和污染等问题却日益凸显,并出现逐渐恶化的态势。在这种形势下,对生态环境保护与资源开发有关问题的研究,尤其是在环境规制背景下对资源型产业发展问题的研究,具有较强的现实价值和重要理论意义,也是当前学术界以及政府决策机构所关注的热点问题之一。本文以资源型产业为研究对象,通过对资源型产业发展特征、问题及现状的分析,发现在生态环境保护、产业结构、科技创新、制度建设等方面存在许多亟待解决的现实问题,其中当前生态环境保护的任务尤为艰巨,这为在生态保护和环境规制背景下的资源型产业发展问题研究提供了一个全新的挑战。文章研究内容共分为四大部分：第一,相关文献的整理工作。在查阅国内外相关文献基础上,对环境规制、资源型产业以及环境规制背景下的资源型产业发展研究现状进行了梳理和回顾,总结过去有关研究,找到问题研究的切入点,认为在资源型产业的结构优化、利益共享、生态补偿、财富转化等方面,具有值得进一步深入研究的价值和必要性。第二,资源型产业发展特征、存在问题及其现状研究。在对资源型产业特征和问题分析的基础上,认为目前我国资源型产业面临着产业结构不合理、对人力资本和创新具有挤出效应、生态环境重视程度不够等问题,从产业结构、生态环境、科技创新及制度建设方面选取相关指标,构建资源型产业发展的评价体系,对我国资源型产业发展现状进行了全面阐述和科学评价。第三,资源型产业发展有关问题研究。该部分共包含四个方面的内容：一是资源型产业结构优化升级研究。为了实现资源型产业结构的优化升级,通过对资源型产业内外部影响因素的分析,从生态环境保护、人力资本和科技创新等角度出发,提出了走节能环保、自主创新、持续发展的产业结构优化升级的具体路径,完成了对资源型产业结构优化机制的构建。二是资源型产业利益共享机制的研究。为实现资源型产业各利益主体能够共享发展成果,通过对在环境规制背景下的资源型产业涉及利益主体(中央政府、地方政府、资源型企业和当地居民)的行为选择和利益分配分析,构建各利益主体之间博弈理论模型,在进一步厘清各个利益主体之间相互关系的基础上,完成了对资源产业利益共享机制的构建。三是资源型产业生态补偿体系构建研究。为实现资源型产业的可持续发展,通过对资源型补偿理论依据和基本原则研究的基础上,根据资源型产业不同主体生态补偿形式的比较分析,完成了基于政府和市场相结合、资源型企业和居民共赢的生态补偿体系的构建。四是资源型产业财富转化问题的研究。为实现资源财富可持续利用,减少资源可耗竭性对社会总财富的影响,通过对资源财富向人力资本、产业资本、金融资本以及社会资本等形式转化的必要性分析,完成了资源财富向人力资本、产业资本、金融资本以及社会资本转化的资源财富转化运行机制的构建。第四,资源型产业发展的政策研究。为保障资源型产业实现资源节约、环境友好的可持续发展,从加快制度化建设、加强政府监管、注重产业合理规制等方面提出了政策性建议,不仅包括了对资源型产业自身发展的规范,而且涵盖了对资源型产业所涉及的各个利益主体的规范要求,例如政府、资源型企业、公共群体等。通过对资源型产业有关问题的研究,可以得出以下五点结论：一是当前我国资源产业发展正处在转型初级阶段,存在生态环境问题突出、制度不健全、产业结构不合理等现象。二是生态环境保护、科技创新及人力资本是实现资源产业结构优化的重要影响因素。三是在环境规制背景下构建资源型产业利益主体共享机制是资源型产业可持续发展的必然要求。四是实施生态补偿是治理资源型产业负外部性的最有效手段。五是实现资源财富有效转化是资源型产业可持续发展的基本前提。本文的创新之处有以下四点：一是运用博弈论的方法对资源型产业各经济主体之间利益关系进行深入分析,提出了资源型产业的利益共享机制构建。二是提出了以政府和市场相结合、资源型企业与居民共赢的生态补偿体系构建。三是提出了资源财富向人力资本、产业资本、金融资本、社会资本等其他资本形式的转化具体研究思路。四是从可持续发展视角提出了资源型产业发展的政策建议。更多还原

【Abstract】 With the large-scale exploitation and utilization of natural resources, China’s economy flourished rapidly, providing necessary requirements for the comprehensive industrialization and urbanization of the society, as well as its economic transformation. Meanwhile, issues such as rapid and excessive consumption, serious ecological environment damages and pollution are becoming more and more obvious and serious. Under such condition, it is of great significance to study the environment protection and resource development, especially the resource-based industry development under the environment regulation, which is also one of the hot topics the current academic circle and government decision-making bodies are concerned.With resource-based industry as the research object, after the analysis of its developing characteristics, problems and current situations, it is found that many practical issues about resource-based industry are required to be dealt with, such as ecological environment protection, industrial structure, technological innovation, and system construction, among which the ecological environment protection is particularly prominent and provides a new perspective to study the issues of resource-based industry development under the ecological protection and environmental regulation. This paper mainly consists of the following four parts.The first part is literature review. It reviews the research status on the environmental regulation, the resource-based industry, and its development under the environmental regulation, both at home and abroad. The paper regards it valuable and necessary in terms of the realization of structure optimization, the benefits shares, the ecological compensation, and the wealth transformation of resource-based industries, which are also the key and difficult points in this paper.The second one is the study of the developing characteristics, problems and current situations of resource-based industry. Based on the study, it is pointed out that there exist some problems on resource-based industry in China such as unreasonable industrial structure, crowding-out effect on the human capital and innovation, lack of attention to the ecological environment and so on. The paper expounds comprehensively and scientifically the status quo of resource-based industry in China by selecting related indexes in terms of industrial structure, ecological environment, technology innovation and system construction, and constructing the evaluation system of the development of resourced-based industry.Part three relates to the research of resource-based industrial mechanism, which consists of four parts:Firstly, the research of resource-based industrial structure optimization mechanism. Through the analysis of the internal and external factors of the resource-based industrial development, considering the ecological environment protection, human capital, and technological innovation, a specific formula is carried out for the upgrade and optimization of industrial structure in the area of energy saving, environmental protection, independent innovation, and sustainable development. Second, the framework design of resource-based industrial interests sharing mechanism. Under the background of environmental regulation, after analyzing the behavior choice and distribution of the interest subjects in Resource-based Industrial development (central government, local government, enterprise and local residents), a game theory model is built to further clarify the relationship between them, putting forward the specific design based on the resource-based industrial profit sharing mechanism. Thirdly, the framework design of the ecological compensation mechanism of the resource-based industry. To realize the sustainable development of resource-based industry, based on the comparison of the resource-based industry ecological compensation for different subjects, a ecological compensation framework concerned about the combination of government and market, as well as the win-win situations between the resource-based enterprises and inhabitants are put forward. Fourthly, the framework design of resources industrial wealth transformation mechanism. In order to realize the sustainable utilization of resource wealth, and reduce the influence of resource depletion to social wealth, an operation mechanism about the transformation from resource wealth to industrial capital, financial capital and social capital is set up after analyzing their necessities.The last part is the study on resource-based industry policies. For the conservation and protection of resource-based industry and the realization of resources saving and friendly sustainable environment development, some policy recommendations involving not only the resource-based industry self-development, but also the specific requirements for all its stakeholders (such as the government, enterprise, public groups etc.) are brought forward from the aspects of accelerating the institutionalized construction, strengthening government supervision, and focusing on industrial reasonable regulation,On the basis of the above research, this paper draws the following conclusions:First, in China the resource-based industry is on its early stage. The ecological environment problems are obvious and the industrial structure is unreasonable. The system is not sound. Second, the ecological environment protection, science and technology innovation and human capital are some important factors affecting the realization of resource-based industry structure optimization. Third, under the environmental regulation, the sharing mechanism for all resource-based industry stakeholders is a necessity for its sustainable development. Fourth, the implementation of ecological compensation is the most effective way to control the resources industry negative externalities. Fifth, the efficient conversion of resource wealth is a basic premise to realize the sustainable development of resource-based industry.The innovation of this paper has the following four points:Firstly, using the game theory method to resources industry analyzing the interest relations among various economic entities, the resources industry benefit sharing mechanism construction are put forward. Secondly, it is to put forward the combination of government and market, resource-based enterprises win-win with the residents to build ecological compensation system. Thirdly, it is to put forward resource wealth to human capital, industry capital and financial capital, social capital and other capital in the form of a specific research ideas. Fourth, from the perspective of sustainable development put forward the policy Suggestions on the development of resources industry.更多还原