【作者】 杨雪锋；

【导师】 张卫东；

【作者基本信息】 华中科技大学 ， 西方经济学， 2006， 博士

【摘要】 自2002年以来,循环经济研究文献与日剧增,学术界为建构一个相对独立的循环经济学学科不遗余力地耕耘着。然而主流经济学的理论局限、循环经济研究的方法论误区以及和实践操作的盲目性导致循环经济概念理解的庸俗化、政策操作的简单化。当前的研究应做三个方面的工作:知识嫁接、理论融合和范式创新。本文的目的就在于弥补这一缺憾,把经济学的主要研究方法与循环经济理论相结合,着力于循环经济的微观基础,对其运行机制进行深入分析。当今的资源环境生态问题表面上看是经济发展政策和经济增长方式的问题,实质上是经济学理论的局限所致。从传统经济学只关注经济循环中的价值循环到早期生态经济学关注物质循环,再到循环经济学关注价值循环与物质循环的统一,经济学的主题在发生变化,其背后的逻辑也在发生转换,即在基础概念、经济导向、系统介质以及资本运动形态等方面发生转变,最终在评价标准上从劳动生产率转向资源生产率。当资源生产率成为经济效率的主要衡量指标时,经济活动就呈现出非物质化特征,这也正是循环经济的本义所在。循环经济的运行机制与传统经济机制不同之处在于它是价值流、信息流和物质流的协同运行机制。本文探讨了循环经济的运行机制内容及其形成过程。循环经济运行机制理论主要研究循环型经济运行的经济条件、动力机制、微观基础、调节机制、经济关系的演化及其制度安排。循环经济的核心是资源节约和综合利用,宗旨是经济活动的非物质化,通过提高资源生产率(生态经济效率)实现经济可持续发展。循环经济与其他具有可持续发展导向的经济形态或生产方式不同,在于它关注的领域包括具有效率提升功能的新经济产业形态(知识经济和服务经济)、资源节约上具有最大空间的动脉产业以及具有帕累托改进的静脉产业,是系统性、整体性、结构性和动态性的节约。循环经济作为一种新型经济活动方式,要求从产业基础、产权保障、信任建立以及信息揭示等方面从物质、技术和制度上提供支撑。完善的市场体制和健全的政府职能是循环经济健康发展的制度基础和体制保障。循环经济的发展既需要政府的适度干预,又需要通过培育循环经济的自生能力来实现企业的自我约束和自我发展。唯此,循环经济的运行才会是低成本的。真实而准确的资源价格是影响循环经济主体决策合理化的关键因素。适应循环经济发展的资源价格应充分反映其基本价值、生产成本、稀缺程度、市场供求和环境成本。只有资源初始价格和再生利用的资源价格在边际上相等,资源价格才会达到均衡。我国经济发展正处于结构急剧变动、体制渐进转型阶段,工业化的快速推进、市场化严重滞后、政府功能又定位不清,资源价格改革面临种种阻力。资源价格形成机制既是资源价格自身的问题,又涉及多方面因素,需要综合考虑。循环经济的微观基础是研究经济运行机制的逻辑起点。循环型经济的行为假定是“生态经济人”,即追求生态经济效率的适度最优。在循环经济中,消费者不仅通过适度消费来削减消费活动对环境的影响,而且其生态消费通过创造一种可持续的市场需求形成对生产者的利益驱动,迫使企业生产转向资源节约、环境友好型经营方式。循环经济的自组织功能决定了它的动态效率。作为一个复杂性适应系统,循环经济中的经济组织是不断演化的。企业既是生态经济系统的“生产者”,也是一个具有子系统功能的经济组织。系统特性决定了企业要从个体生产单位演化成循环产业链,进而形成循环产业网络。如果说循环型企业的经济动机源于资源节约和环境友好带来的成本降低和收益增加,循环型产业链则不是片面追求短期的利润,还有链上企业之间的长期稳定合作达成的博弈均衡,循环型产业网络则更具有嵌入性和互补性,良好的社会资本和资产专用性产生网络效应。企业从循环型企业——产业链——产业网络的演化机理,体现了生态经济效率整体性、结构性、系统性、动态性提高的过程。循环经济的调节机制是指实现物质流、价值流、信息流协同运行的资源配置方式。在调节方式上,可分为事前调节和事后调节。基于新的产业支撑体系、有效产权、充分信息和良好信任与合作,事前调节有虚拟交换前置和公众参与两种形式;基于适度消费和企业生态管理的微观基础,事后调节主要指传统的市场和政府两种手段。由此,循环经济运行机制的主要部分就形成了“政府主导、企业主体、公众参与、信息替代、市场驱动、法律规范、政策引导”的调节机制。循环经济是一种基于市场经济的生态经济,其运行需要一定制度支撑并获得自生能力,进而实现自我运行和自我实施的状态,这样才能实现资源节约和成本节约的经济生态双重效益。因此,对其运行机制的研究应是一个多学科综合的任务,需要融合主流经济学和生态经济学的研究方法。归纳起来,本文的创新之处就是在新经济理念和新主导逻辑支持下的实现基础理论变革,包括分析范式创新、产业模式创新、调节机制创新和微观基础创新四个方面。其中重点论述调节机制创新和微观基础创新。更多还原

【Abstract】 Since 2002, the literatures about the theory of“Circular Economy”(hereinafter referred to as CE) are now increasing. Many scholars strive for construction of the system info of CE, but it is pity that the theoretical defect of classic economics, improper use of methodology of CE and the blindness of practice lead to the concept of CE philistine and policy simple. So from a new angle of understanding, the author believes that the present research includes three aspects: inoculation of knowledge, amalgamation of theories and innovation of paradigm. To be specific, this dissertation focuses on the micro-foundation of CE, and its operational mechanism.The problem of environment looks like a problem resulted from policy of economic development and way of economic growth, but in essence it is caused by the shortcomings of traditional economics. Once natural resource is regarded as an endogenous variable, the exiting system info of economics has to be rewritten. The subject of economics is always being changing from value circulation in traditional economics to material circulation in early ecology, then to unification of value circulation and material circulation, and the transition of its economic logic is also happening, that is, basic concept, economic orient, systemic medium, and the type of capital movement are changing from the traditional economy, and finally, from labor productivity to resource productivity. When resource productivity is regarded as the key indictor of economic efficiency, economic activities are characterized with dematerialization, which is the essence of CE.Different from traditional economic mechanism, the operational mechanism of CE is the synergetic one of material flow, value flow and information flow in the eco-economic system. Its content and process of formation are discussed in this dissertation. The theory about operational mechanism of CE mainly includes economic conditions, motive mechanism, micro-foundation, mechanism of adaptation, change of relation between economic organizations and its institutions.The core of CE is economization and comprehensive utilization of resources and its tenet is dematerialization of economic activities, and to improve resource productivity (eco-efficiency) for sustainable development. The main difference between CE and other economic types toward sustainable development is that the former pays attention to industry of new economy with the function of efficiency improvement, artery industries with great potential of saving resource, and vein industries with Pareto’s improvement, which is systematic, holistic, structural and dynamic saving resource.As a new economic shape, CE requires attaining material, technical and institutional support through industrial base, protecting property rights, building trust and revealing information. CE needs flawless market institutions and wholesome government function, because during its development, it is essential that governments intervene with some economic activities, and cultivate spontaneity ability of CE in order to make firms self-constraint and self-development. Only on this background, does CE have low costs. The true and exact price of resources is the key to influence agent’s rational decision in CE. Price of Resources adaptable to the need of CE should reflect the basic value, production cost, scarcity, supply and demand in market and environmental cost of resources. When the original price of resources equals to the recycling price of resources, all prices of resources reach the point of equilibrium. The imbalance of economic development at the stage of structural change and institutional transaction, for example, rapidly advance of industrialization, severely lag of market, illegibility of government function, brings some obstacles to the reform of the price of resources. So the formation mechanism of the price of resources should be considered comprehensively since it not only refers to its own problem, but also includes many other factors.The microeconomic foundation of CE is the starting point to study operational mechanism of CE. The presumption of agent’s behavior is“eco-economic man”, who is in pursuit of eco-economic efficiency at the level of moderate optimum. In CE, consumer’s behavior is moderate consumption which can reduce consumption’s influence on environment, and create a sustainable market demand inducing firm to adapt a production way with characteristics of saving resource and environment friendly.The function of self organization of CE determines its dynamic efficiency. As a complex adaptable system, economic organizations in CE evolve continuously. Firm is a“producer”in eco-economic system as well as an economic organization with systematic function. The feature of this system determines economic organizations’evolvement process, namely, from firm to industrial chain to industrial network. Eco-industrial park is an industrial network with a typical circular type.The motivation of the firm with circular type comes from the low costs and more revenue resulted from saving resource and environment friendly, while industrial chain does not care about this short-term profit, but cooperation among firms on the chain in a long run, and industrial network with circular type is characterized with embeddedness and complement. Good social capital and special capital help members in the network to form a firm relation which can produce network effect. The change of eco-economic organization from firm with circular type to industrial chain with circular type and to industrial network with circular type, embodies that the efficiency of eco-economic system is a process of systematic, holistic, structural and dynamic improvement.The regulation mechanism of CE is mainly the ways of resource allocation in eco-economic system with the target of synergetic function of material flow, value flow and information flow. The regulation way of CE includes pre-regulation and post- regulation. Based on the new economy, effective property rights, complete information, trust and cooperation, pre-regulation includes virtual exchange in advance and public participation. Based on microeconomic foundation of moderate consumption and firm’s eco-management, post- regulation includes market and government. Because of these two regulations, operational mechanism of CE displays a new regulation mechanism in which government plays the leading role, firm becomes the main body, public participates, information replaces, market prompts, law constraints and policy inducts. CE is an eco-economy based on market economy. During its formation, it needs institutional support and cultivate its spontaneous ability to attain self-operation and self-reinforcement so as to realize resource-saving and cost-saving eco-economy. In order to achieve these dual performances, the study on operational mechanism of CE should combine approaches of classic economics and eco-economics.On a whole, the innovation of the dissertation is the basic theoretical change under the support of new ideas and new leading logic, and the change embodies as follows: innovation of analysis paradigm, industrial mode, adaptation mechanism and microeconomic foundation, with the key in innovation of regulation mechanism and microeconomic foundation.更多还原