【作者】 王林秀；

【导师】 魏晓平；

【作者基本信息】 中国矿业大学 ， 工程管理， 2009， 博士

【摘要】 企业传统的生产方式导致了环境污染、生态退化和资源枯竭,这类过度利用环境的高耗能、高排放、高污染产业模式严重地制约着人类经济社会发展的可持续性。目前,中国污染物减排主要靠末端治理和结构调整,而作为从源头杜绝高耗能、高排放的清洁生产却仍然未能成为主流,即便是开展清洁生产的企业也大多在被动、抵触地应对政府的环境规制。因此,研究企业实施清洁生产的驱动因素及其调控机制,采取有效途径和措施来促进企业自发、高品质、持续地实施清洁生产是当前刻不容缓的艰巨任务。本论文以企业清洁生产行为驱动系统作为研究对象,借鉴经济学、环境公共政策等理论对各驱动因素的作用机理进行了剖析,并运用模型推导、案例分析、数量实证、计算机仿真等方法,研究了各因素对企业实施清洁生产意愿的影响路径和强度,以及政府的环境规制、市场的诱致对企业清洁生产行为的调控。具体的研究主要有以下内容:(1)对影响企业实施清洁生产的政府法规管制、利益相关者“绿色诉求”、企业决策者价值观、清洁技术扩散四类驱动因素的作用机理进行了剖析。在对政府环境规制方式予以梳理的基础上,将基于市场诱致的环境管制手段作为重点,利用公共政策理论分析了法规规制对企业清洁生产行为的驱动;利用利益相关者和绿色供应链理论分析了利益相关者对企业生产行为的驱动;从企业社会责任这一伦理视角分析了决策者因素对企业清洁生产行为的驱动;在对清洁技术扩散的影响因素及资源价格因素进行分析的基础上,结合案例实证,研究了清洁技术扩散对企业清洁生产行为的驱动。(2)根据对驱动企业实施清洁生产的四类关键因素分析,以实施清洁生产的意愿为结果变量,清洁生产的效率增进和清洁生产的声誉效果为中介变量,构建了企业清洁生产行为的驱动模型,提出了13个研究命题。对不同地区、不同行业的290个企业实施清洁生产意愿进行了问卷调查,运用结构方程模型对相关研究命题进行了实证研究,11个研究命题得到验证。研究表明上述四类关键因素通过驱动效率价值、声誉效果对实施清洁生产意愿产生影响;清洁技术的扩散对实施清洁生产的意愿具有直接正向影响,利益相关者“绿色诉求”对企业决策者态度与价值观产生正向影响。(3)运用系统动力学方法(SD),构建了清洁生产驱动因素系统动力模型,利用仿真模型中驱动因素变量,通过相关测试函数来模拟不同因素变化对系统的冲击效应。研究表明:企业实施清洁生产的意愿水平在不采取任何政策调控或其它促进措施情况下,清洁生产意愿水平在可预期的未来时期内呈缓慢增长趋势。如果降低企业决策者对清洁生产(CP)的阻碍后,系统发展趋势变化幅度最大;其次为政府规制作用、利益相关者“绿色诉求”压力及消除清洁技术扩散障碍。而在采用四类因素组合干预后,系统发展趋势变化幅度则超过了任何单因素的作用效果。(4)通过借鉴机制设计的核心思想,依据清洁生产驱动因素及其结构关系的实证与仿真结果,对清洁生产调控机制进行了优化设计,提出了企业实施清洁生产的命令-控制、可交易排污权、清洁技术采纳补贴等机制优化建议,尤其是政府应在企业清洁工艺使用的攻关阶段对其进行政策性补贴直至企业顺利驶入清洁生产的良性发展轨道。更为重要的是,在道德判断和经济绩效的双因素规制下,构建了清洁生产企业决策者个人行为激励模型,通过模型优化求解提出了机制层面的具体对策,即必须兼顾企业的经济绩效与环境绩效,且确保环境绩效的权重与次序在考核体系中的优先位置。更多还原

【Abstract】 Traditional production of enterprises has led to environmental pollution, ecological degradation and resource depletion. The excessive use of the environment in such high-energy, high-emission, high-pollution industries model severely restricts the development of human economic and social sustainability. At present, the end-pipe treatment and structural adjustment have been the main method for the reduction of pollutant emissions in china, but the cleaner production, which prevents high-energy and high emissions from the source and has still not been the mainstream. Even enterprises implemented cleaner production is mostly in the passive and inconsistent response to the government’s environmental regulations. Therefore, it is an urgent and difficult task to study the drivers of enterprises cleaner production and its regulatory mechanism and take effective ways and measures to promote the spontaneous, high-quality and sustainable implementation of enterprise cleaner production.In this paper, the driver System of cleaner production is the objects of study. The driver mechanism is analyzed by using the theories of economics and environmental public policy. The path and intensity of various factors on the enterprise’s implementation intention of the clean production, as well as the Government’s environmental regulations, and the adjustment and control function of market on the inducement of cleaner production behavior are studied by using the method of model inference, case studies, the quantitative and empirical study and computer simulation. The specific study shows as follows:(1) Four types of mechanism drivers of the enterprises cleaner production implementation: the regulations and control of the government, the "green demands" of stakeholders, the values of enterprises decision-makers, the efficiency of clean technology diffusion are analyzed in this paper. On the basis of the government environmental regulation and the market-based means of induced environmental control, the driven acts of regulatory system on enterprise cleaner production are analyzed by using public policies theory. According to the stakeholder theory and theoretical analysis of the green supply chain, the stakeholders driver behavior on the cleaner production are analyzed; From the perspective of the corporate social and ethical responsibility, the behavior of decision-makers on the business-driven cleaner production is analyzed; Based on the diffusion efficiency of cleaner technologies and the resource price factors, combining with empirical case study, the driving of clean technology diffusion efficiency on cleaner production behavior is analyzed.(2) Based on the analysis of the four categories of key driven-factors for enterprises to implement cleaner production, the intention of cleaner production implementation is taken as the result variables, and the efficiency of enhancing cleaner production and cleaner production reputation are taken as the mediated variables. According to the former analysis, the driver model of enterprise cleaner production is built, and 13 hypotheses are proposed in the research. A questionnaire survey is conducted on the intention of implementing cleaner production from 290 enterprises of different regions and different sectors. The structural equation model is used to research on the relative hypotheses of the empirical study, and 11 research hypotheses have been supported. The study shows that the four categories of key factors mentioned above impacted the intention of implementing cleaner production by driving the value of the efficiency and reputation effects and the proliferation of cleaner technologies has a direct positive impact on the intention of the implementation of cleaner production, the stakeholders "green demands" have a positive effect on the decision-makers attitude and values.(3) System Dynamics (SD) is used to build the model of dynamic driven factor cleaner production system, and by using the driver variables of simulation model, and the relevant test function, the knock-on effects of different factor changes on the system are simulated. The development of the enterprises clean production implementation is simulated, combining with the involvement of different driving contexts and the introduction of different variables. The study shows that: the Intention Level of enterprises implementing cleaner production will be grow slowly in the foreseeable future periods when there’s no policy control or any other measures to promote, but it will makes the biggest change in the development trends if the hindrance of decision-makers acts is reduced, and followed by the weakening of the government regulation, the reducing of“green”demands pressure from Stakeholders, the elimination of obstacles to the spread of clean technologies. But the trend of the development varies much more than any single factor effect when assembled these four categories of key factors.(4) From the crucial idea of mechanism design, the regulatory mechanism of cleaner production is optimized designed and several optimization mechanism proposals of the cleaner production implementation in enterprises: command - control, tradable emissions, the adoption of cleaner technologies are put forward, based on the empirical study and simulation results of cleaner production drivers and the structure of the relationship. Especially, the government should support the enterprises by using its policy-related subsidies when the use of clean technology in the key stage. More importantly, a clean production enterprises motivate individual behavior model is built for the decision-makers under the moral judgments and economic performance of the two-factor regulatory system, and the specific strategies are proposed from mechanism level through model optimization. That is, the economic and environmental performance of enterprises must be considered at the same time, and make sure that the weight of environmental performance is bigger and order of the environmental performance is in Priority.更多还原