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基于渐进式制度变迁的循环经济政策研究

Research on Policies of Circular Economy Based on Incremental Change of Institution

【作者】 陆静超

【导师】 姜振寰;

【作者基本信息】 哈尔滨工业大学 , 技术经济及管理, 2008, 博士

【摘要】 改革开放以来,中国的经济迎来了一个前所未有的快速发展时期,GDP多年持续高速增长,人民的收入水平稳步提高。但是在成绩的背后,也存在多方面的困难和问题,其中资源与环境的双约束难题成为越来越突出的问题。中国是一个人口众多,人均资源短缺,生态环境相对脆弱的国家,经济的增长不可能建立在大量消耗能源和原材料的基础上。循环经济本质上是一种生态经济,它要求转变传统的线性生产(或消费)模式,创建一种从资源到产品,到再生资源的反馈式经济发展模式。循环经济的政策是政府以构建和推进循环经济为目标而制定的关于调节、管理和控制个体和社会群体行为的一系列行为准则。我国循环经济政策制定的目的在于从根本上解决由于长期片面追求经济增长而导致的资源日益紧缺、环境遭受严重破坏的现实问题。循环经济的发展模式以解决市场失灵问题而提出,必须借助于政策的强力干预;此外,政策的干预效果也因制度环境、政策本身以及政策操作技术等因素的不同存在着很大差异。我国从本世纪初开始推进循环经济政策,各类相关政策在全国范围逐步展开,但某些政策在一些地区的实施效果并不理想,即政策在一定程度上存在失效现象。分析循环经济政策过程的规律及制约因素,并从制度变迁角度探讨循环经济政策的优化途径,从而在实践中提高循环经济政策的实施效果,是本文的研究目的所在。本文选取制度变迁研究作为切入点,采用系统分析、制度分析、动态均衡分析和优化分析等方法,遵循规范与实证分析相结合、定性与定量分析相结合原则,对循环经济政策的相关因素与政策体系进行了综合研究,对循环经济政策的动态均衡过程及其与制度体系的协同演化特征做了具体论述,建立了循环经济政策的动态均衡模型,并对均衡的实现条件做了探讨。本文还对循环经济政策的激励问题进行了阐述,建立了循环经济政策下政府与企业的动态与静态非合作博弈模型,对激励和约下政府监督成本最优化问题做了研究。最后结合所作研究提出循环经济政策绩效的概念,提出循环经济政策的优化途径与模型,并重点针对渐进式的制度改革与完善问题进行了研究。在阐述制度与政策体系的相互关系方面,本文论述了制度对于政策运行的基础性作用。制度的结构框架相对于政策来说更趋于稳定,但在自发演化或理性设计的条件下也会发生改变,制度安排的改变会导致制度结构的变迁;政策产生绩效的重要前提是与制度结构的契合,政策对制度变迁具有推进作用。论文在制度经济学框架内对制度变迁理论进行了系统阐述,并对制度变迁的重要形式——渐进式的制度变迁作了重点分析,得出了渐进式制度变迁是制度演化普遍形式的结论。对循环经济政策相关因素及政策的框架体系进行综合论述是本文开展深入研究的前提基础。论文在对循环经济的技术特征、运行机理、原则导向与制度基础进行一般论述的基础上,对循环经济政策的确立目标、工具与手段选择、监控与评价体系进行了综合论述,提出了循环经济政策的基于不同层面运行目标、制度化构建目标以及政策工具手段选择的综合框架体系。在此基础上,对循环经济政策的动态均衡问题做了深化研究,提出了均衡模型,并分析其实现条件;论文还从协同学与演化论视角分析了循环经济政策与制度体系的协同演化过程。制度的核心内容在于提供一个社会的激励(或约束)机制。本文在对激励的发生机制、激励的综合因素进行概要论述的前提下,阐述了循环经济政策下制度化激励的具体形式,并对循环经济政策下的政府与企业的博弈均衡进行了研究,建立了政府与企业在完全信息下的静态与动态博弈模型,提出了委托代理模式下政府对企业的激励和约与政府监督成本的最优化模型。论文还在总结前面所作工作的基础上,提出了循环经济政策绩效的概念。对政策绩效的影响因素及政策的优化问题进行了综合论述,提出了循环经济政策的优化途径与系统优化模型。在实践方面,针对我国现阶段循环经济政策运行中的问题,分析其制度制约瓶颈,并提出了基于渐进式制度改革的相关建议。最后,论文对黑龙江省煤炭资源型城市构建循环经济的经济政策及政策绩效评价体系进行了分析,并针对目前黑龙江省四大煤城循环经济的相关经济政策运行中的问题,提出了循序渐进制度改革的相关建议。通过本文的研究,在理论方面,进一步丰富并完善循环经济政策及制度体系的相关研究;在实践方面,为不断提高循环经济政策在我国运行的有效性,从制度构架和政策导向上为构建循环经济提供科学的指导和建议。

【Abstract】 China has been faced with an unprecedented period with GDP increasing continuously and people’s income improving steadily since the reform. However, there are lots of troubles and problems existing besides the achievements, with recourse and environmental restriction among the most serious matter. Being a country with large population, scarce in average resource possession and frangibility in ecological environment, it’s impossible for the economy to grow rapidly based on the over expenditure of energy and raw materials. Building a cycling society, as a kind of developing model to save resources, reduce expenditure and change the waste materials into reusable resources, aims to basically solve the resource and environment dual constraints. Naturally, the circular economy is a kind of ecology, with the character of changing traditional linear producing (consuming) mode into a feedback one. Policies of circular economy are a series of behavioral principle of adjusting, managing and controlling the activities of individual or social groups with the purpose to promote the circular economy. In China, policies of circular economy aim at overcoming the resource and environmental problems resulting from unilateral pursuit in economic growth. For the purpose to solve the problem of market failure, the implementation of circular economy will rely on forceful intervention of the government, moreover, the effect of a policy varies a great deal with institutional environment, policy itself and operative technology. Policies of circular economy has been pushed since the beginning of the century in China, with many related policies carried all over the country, the effect showed unsatisfaction in some areas, namely the policy falure exists to much extent. This dissertation has analyzed the disciplinarian and restrictions in the policy process of circular economy, discussed the optimal approaches of circular economy policy from perspective of institutional change, with the purpose consummate the execution of circular economy.This dissertation gives a systematic research on policies of circular economy and related factors with the methodology of analysis on system, institution, dynamic equilibrium and optimization, from a viewpoint of institutional change theory. It makes a creative research on dynamic equilibrium and course of synergetic evolution, with a dynamic equilibrium model and realizing conditions be discussed. This paper has also proposed two kinds of non-cooperative game models between government and enterprises under circular economy policy, and optimization of government supervision cost under incentive agreements has been discussed. Based on all the conclusions, the paper puts forward the concept of policy poformance of circular economy, its optimal model and approaches, together with a pivot research on incremental institutional reform and consummation.The dissertation considers institution as a basic role in policy execution to explain relation between institution and policy. The frame of institution is more stable, but changes in condition of spontaneous evolution and rational design. The change of institutional arrangement can induce the change of institutional struture; the key premise of policy performance is the accordance of policy and institution, which exerts a promotion to institutional change.The paper makes a systematic exposition of institutional change theory in the frameworks of institutional economy, focusing on the important form of institutional change,named incremental institutional change. The conclusion that incremental institutional change is a general form of institutional evolution thus has been drawn.The premise of the dissertation for further study is to make a integrated research on relative factors and frame system of circular economy policy. Based on a general discussion on technical features, operating mechanism, principle orientation and institutional base of circular economy, the dissertation makes a compositive research on objects, selection of instruments and measures,monitor and control, and evaluation system of circular economy.The compositive framework of circular economy policies, based on operating objectives in different levels, institutional objectives and selection of policy instruments, together with comparison of circular economy policies between developed countries and China also have been put forward.Through the method of equilibrium analysis, the dissertation made a systematic research on dynamic equilibrium and its model of circular economy, and conditions to realize the equilibrium. Mutual relations of circular economy policies and institutional system from viewpoints of synergetics and evolution have also been investigated.The core part of institution is to provide incentive or restrictive mechanism of a society. With the schematic discussion of the incentive mechanism and intergrated factors, concrete intencive forms of institution under circular economy policy are discussed. Research of game analysis between government and enterprise under circular economy were made, with game models in both static and dynamic states in condition of perfect information also been constructed. Moreover, incentive agreements between government and enterprise and optimized mdodel of government supervision cost in principle-agent mode have been put forth. Further more, the paper set forth the concept of policy performance of circular economy by summarizing the works done above. Main restrictions, optimizing measures and related models to policy performance were expored. In practice, some special suggestions about incremental institutional reform were put forward after problems and dilemmas in current operation of circular economy (institutional and non-institutional drawbacks) were analyzed.At last, the dissertation made a positive research on economic policies and their performance evaluating system in building a circular economy in coal resource cities in Heilongjiang province. Focusing on institutional obstacles in the implementation of circular economy policy, suggestions about incremental institutional reform and innovation were proposed as a result.Through the research, the study of circular economy policy and related institutions can be enriched and consummated theoretically; with the aim to improve the policy performance of circular economy in practice, the research can act as scientific conductions in building a circulate economy in institutional construction and policy guidance as well.

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