绿色技术创新的制度研究

【作者】 杨发庭；

【导师】 赵建军；

【作者基本信息】 中共中央党校 ， 科学技术哲学， 2014， 博士

【摘要】 工业革命以来，生态危机的出现和恶化，使人们深刻反思人类掠夺自然的疯狂行为，期待着人类文明的新发展。生态文明是一种继工业文明之后新的更高的文明形态，是解决人与自然矛盾激化的有效途径，是实现美丽中国梦的基础和抓手。生态文明建设不是简单的生态环境保护，它是一个涉及多维度、多层次和多领域的复杂系统工程，从本质上要求融入经济建设、政治建设、文化建设、社会建设的各方面和全过程。建设生态文明需要研发和推广绿色技术，需要持续推进绿色技术创新，需要不断完善绿色技术创新制度。本文的总体思路是以技术与制度互动为理论铺垫，探讨在生态文明视角下，制定怎样的制度能够推动技术进步，研发怎样的技术能够促进制度变迁。具体思路是工业文明对大自然的疯狂掠夺和大肆破坏，引起生态危机；人们渴求走出生态危机，期待走向一种更加美好的文明，即生态文明；生态文明建设需要绿色技术支撑；绿色技术进步诉求绿色技术创新；绿色技术创新需要制度保障。接着探讨国外绿色技术创新的制度现状，以及阻碍我国绿色技术创新的制度因素，最后从政策激励制度、现代市场制度、社会参与制度、文化提升制度、法律保障制度等层面论述了构建我国绿色技术创新联动制度体系的路径。导论部分介绍了本文的选题背景，提出在生态文明视角下，面对严重的生态危机，研究和推动绿色技术创新的必要性和重要性。系统梳理了目前国内外关于绿色技术、绿色技术创新、技术进步与制度变迁的研究现状。阐述了本文研究的理论意义和现实意义，分析了研究思路、方法和框架，明确了研究的重点，提出了可能的创新点。本文主体部分共分为六章，主要内容如下：第一章论述了技术与制度的变迁与互动。本章共分为技术与技术决定论、制度与制度决定论、技术与制度互动的历史考察、技术进步与制度变迁的双向互动四部分内容。对技术与制度互动进行了历史考察，分析了影响技术进步与制度变迁的因素，阐述了技术进步与制度变迁互动的辩证关系。第二章论述了生态文明转型需要绿色技术支撑。本章共分为生态危机的根源、生态文明的转型、绿色技术的兴起三部分内容。分析了生态危机的表现、特征、根源；探讨了生态文明的转型是人类文明发展史上的一场伟大变革；从理论基础、实践意义、发展前沿等方面系统分析了绿色技术。第三章探讨了发展绿色技术的创新诉求。本章共分为从传统技术创新走向绿色技术创新、绿色技术创新的理论支撑、绿色技术创新的动力、绿色技术创新的制度四部分内容。比较了绿色技术创新与传统技术创新的区别，明确了绿色技术创新的原则、动力、现实意义，分析了绿色技术创新与可持续发展、生态文明、低碳发展、和谐社会的关系，阐述了绿色技术创新的内生动力和外部动力，以及绿色技术创新制度的内涵、组成及作用。第四章探讨了国外绿色技术创新的制度。本章共分为国外绿色技术创新制度的现状、国外绿色技术创新制度的经验、国外绿色技术创新制度的发展趋势三部分内容。以美国、英国、德国、日本、新加坡等发达国家为例，从政策、法律、市场、社会参与的层面阐述了国外绿色技术创新的制度现状，总结其成功经验，分析其发展趋势。第五章探讨了阻碍我国绿色技术创新的制度因素。本章共分为我国绿色技术创新的实践探索、阻碍我国绿色技术创新的制度现状、我国绿色技术创新制度面临的突出矛盾、我国绿色技术创新制度遭受阻碍原因四部分内容。从绿色技术创新的激励机制不完善、企业进行绿色技术创新的动力不足、社会参与制度不健全、法律制度不完善等方面分析现状；探讨了绿色技术创新制度面临的突出矛盾；从绿色技术创新的外部经济性问题、政府职能的越位、缺位和错位，科研浮躁、造假和学术腐败，应试教育扼杀创造性思维、文化薄弱等方面揭示其原因。第六章论述了构建我国绿色技术创新联动制度体系的路径。本章共分为构建绿色技术创新联动制度体系的原则和思路、我国绿色技术创新联动制度体系、构建我国绿色技术创新联动制度体系的路径三部分内容。分析了我国绿色技术创新制度的类型：政策激励制度、现代市场制度、社会参与制度、文化提升制度和法律保障制度。探讨了五大制度对绿色技术创新的支撑，以及五大制度的内在关系和联动机制。论述了完善我国绿色技术创新联动制度体系的路径：简政放权，制定科学的政策体系；面向市场，强化企业的主体地位；广泛发动，大力提高社会参与程度；观念引导，弘扬绿色技术创新文化；崇尚法治，规范和完善法律保障制度。结论部分系统梳理了本文研究所得出的结论，并从理论层面和实践层面对下一步可以继续研究的问题进行展望。更多还原

【Abstract】 Since the industrial revolution, the ecological crisis began to emerge andenvironment deteriorates, which encourages us deeply reflects our insanenature-exploitation action and look forward to the brand-new development of humancivilization. Ecological civilization is the post-industrious and more advancedcivilization form which is the effective path to mitigate the conflict between humanbeings and nature. To achieve wild China dream, ecological civilization is both thebasis and kernel. Ecological civilization is more than environment protection but acomplex system project with diverse dimensions, levels and spheres. In nature, it mustpermeate the whole process and every aspect of economic construction, politicalconstruction, cultural construction and social construction. Ecological civilizationconstruction requires both the research and promotion of green technology as well asgreen technology innovation and its corresponding system building.The general thought of my dissertation is with regarding the mutual interactionbetween technology and system as the analysis perspective and theoretical foundation,I systematically expound the dialectical relationship between green technologyinnovation and ecological civilization system and discuss which system can enhancethe technology progress while which technology can encourage system transformationand innovation. Specifically, my dissertation includes seven trains of thought: theinsane exploitation of industrial civilization gives rise to ecological crisis; people areeager for overcoming the ecological crisis and walking toward a heavenlycivilization-ecological civilization; the establishment of ecological civilizationrequires the support of ecological civilization system; the improvement of ecologicalcivilization system needs the support from green technology; the progress of greentechnology desiderates the innovation of green technology while the innovation ofgreen technology requires system guarantee; illustrate current situation of the newforeign innovation system of green technology and the system element which impedesthe green technology innovation of China; discuss the path to construct China’s greentechnology innovation interaction institutional system from the perspective of policyencouragement system, modern market system, social participation system andharmonious culture system.With presenting the topic-selecting background and coming up with facing the serious ecological crisis, the introduction of this dissertation illustrates the necessityand significance of green technology innovation and ecological civilization system,which also shows the current research situation of green technology, green technologyinnovation, technology advancement and system transformation. In general, theintroduction states both the theoretical and practical significance of this dissertationand analyzes the research thought trains, methods and frames. Furthermore, theresearch emphasis and potential creative point is revealed. The major part of thewhole dissertation includes six chapters:The first chapter discusses the transformation and mutual interaction betweentechnology and system. This chapter can be divided into four sections: technology andtechnology determinism; system and system determinism; the historical investigationof interaction between technology and system; and the mutual interaction betweentechnology development and system transformation. Through this chapter, I alsoanalyze the factors which shall influence the technology development and systemtransformation. Besides, the dialectical relationship between technology developmentand system transformation is also referred in this chapter.The second chapter discusses that the transformation of ecological civilizationneeds the support from green technology. This chapter includes three sections: thesource of ecological crisis; the transformation of ecological civilization; and the riseof green technology. In this chapter, the manifestations, features, and source ofecological crisis are analyzed. Furthermore, it shows that the transformation ofecological civilization is a great reform in the development of human civilization.Finally, from the perspectives of theoretical foundation, practical significance, anddevelopment frontier, the green technology is analyzed systematically.The third chapter discusses the innovation pursuit of green technologydevelopment. This chapter is developed with four sections: the trend from traditionaltechnology innovation to green technology innovation; the theoretical foundation ofgreen technology innovation; the motivation of green technology innovation; and thesystem of green technology innovation. In detail, the distinction between greentechnology innovation and traditional technology innovation is achieved. Besides, theprinciple, motivation, and practical significance of green technology innovation areconfirmed. Particularly, the relationship between green technology innovation andsustainable development, ecological civilization, low-carbon development, and harmonious society is probed into. Last, both the internal and external motivation ofgreen technology innovation is demonstrated as well as the contents, compositions,and functions of green technology innovation system.The fourth chapter discusses the system of foreign green technology innovation.This chapter is constituted with three parts: the current situation of foreign greentechnology innovation system; the experience of foreign green technology innovationsystem; and the development trend of foreign green technology innovation system. Inthis chapter, some developed countries are discussed as case examples, such as USA,UK, Germany, Japan and Singapore. With these cases, I elaborate the current systemsituation of foreign green technology innovation, summarize the successfulexperiences, and analyze its development trend from the perspectives of policy, law,market and social participation.The fifth chapter discusses the system factors which impede China’s greentechnology innovation. There are four sections of this chapter: the practicalexploration of China’s green technology innovation; the current system situationwhich hinders China’s green technology innovation; the prominent conflict faced byChina’s green technology innovation system; the reasons why China’s greentechnology innovation system is hindered. Armed with the perspectives of theimperfection of green technology innovation encouragement mechanism, the short ofmotivation power of green technology innovation within firms, the unsoundness ofsocietal participation system, and the imperfection of legal institution, I analyze thecurrent green technology innovation and probe into the prominent conflict with whichthe green technology innovation system faces. Searching through the externaleconomy’s problems, the offside, lack, and dislocation of government’s functions, thescientific impetuosity, fraud, and academic corruption, the exam-oriented educationsystem which kills creative thoughts, and culture weakness, the system elementswhich impede green technology innovation is revealed with great care.The sixth chapter demonstrates the path to establish the interaction institutionalsystem of green technology innovation in China. This chapter includes three sections:the principle and thought of building green technology innovation interactioninstitutional system; China’s green technology innovation interaction institutionalsystem; the way of constructing China’s green technology innovation interactioninstitutional system. In this chapter, the types of China’s green technology innovation system is demonstrated which are policy motivation system, modern market system,social participation system, culture promotion system and legal safeguard system.Based on this demonstration, the supportive function of five systems toward greentechnology innovation is discussed. Among this, the internal relations and linkagemechanism of five systems is also referred. Finally, I propose the path to improveinteraction institutional system of green technology innovation in China whichincludes streamline administration and institute decentralization with scientific policysystem, market orientation with strengthening corporate’s principal status, vigorouslyincreasing social participation level through extensive persuasion, idea guidance toencourage green technology innovative culture, and advocate legal rule throughregulating and improving legal security system.The conclusion part of this dissertation systematically generalizes the researchfruits and anticipates the further research questions from both the theoretical andpractical aspects.更多还原