【作者】 王晓冬；

【导师】 李冬；

【作者基本信息】 吉林大学 ， 世界经济， 2010， 博士

【摘要】 进入工业社会以来,特别是20世纪以后,各国经济的快速增长与全球范围内的资源短缺、环境污染、生态恶化之间的矛盾,逐渐成为国际性重大问题之一,文明的巨大进步与生存的严重危机并存的“二律背反”现象日益显露出来。在这种形势下,发展循环经济成为人类社会经济发展的新选择。这一方面说明实践中必须转变经济发展模式,同时借鉴国外先进经验,大力发展循环经济;另一方面也说明从理论上分析循环经济的发展路径及制度构建已迫在眉睫。循环经济是一种强烈依赖于制度力量的经济运行方式,它要求通过一定的制度安排,矫正市场机制,进而更加有效的规范和引导经济运行的路径。因此,本文从制度层面切入,对国外主要发达国家的循环经济发展经验进行全面、系统的梳理和分析,并得出相关结论。本文共为九章,除导论和结论外,主要由四个部分组成:即循环经济的理论分析(第二、三章)、国外实践经验的实证分析(第四、五、六章)、国别之间的量化比较分析(第七章),以及对中国循环经济发展的政策建议(第八章)。第二、三章为循环经济理论框架构建及循环经济的制度经济学分析。第二章对循环经济的基本内容进行概述,并构建循环经济框架下的经济增长理论模型;此外,分析循环经济与经济发展的关系,及其对社会经济发展的重要意义。第三章对循环经济的提出进行制度解释,并阐述制度变迁与发展循环经济的关系,进而说明制度安排与创新对发展循环经济的保障作用。此外,阐释了市场机制与政府行为的有机结合对发展循环经济的重要作用,即发挥政府作为制度供给及创新主体在循环经济发展中的主导和引领作用,同时利用市场机制的价格机制、利益机制和竞争机制来实现资源的有效配置。第四、五、六章分别分析德国、日本、美国的循环经济发展状况及制度安排。在这部分实证分析中,首先梳理了各国循环经济发展的背景和历程等循环经济制度形成的动因,以及发展战略和模式等循环经济发展的主要特点,进而探讨了各国循环经济发展的制度构建和制度创新,从中探寻各国在制度安排上的本质特征,即有效的制度供给,主要体现在正式制度、非正式制度和执行机制三个方面,其中也包含了政府行为、市场机制、公众参与三位一体的制度运行的动力机制。在正式制度方面,这三个国家都构建了比较完善的法律体系,形成了对发展循环经济的法律保障和强制性制度支撑;此外,三个国家都充分利用财政金融等政策手段建立健全循环经济发展的政策体系,形成了有力的激励约束机制。在非正式制度方面,三个国家都充分发挥政府、非政府组织和民众的作用,形成了全民、全社会的自觉环保意识。在制度的执行上,三个国家也建立了有效的监督机制和执行措施,对政府、企业及民众的行为进行有效监督以及约束、激励。当然,由于政治制度、经济体制、发展背景及文化习惯等方面的差异,各国的循环经济制度又有所差异。第七章为循环经济发展水平的测度和国际比较。本章构建了一个更加科学合理的,并且具有可操作性的循环经济发展水平评价指标体系,并将制度因素纳入进来,作为重要的评价指标,以此对循环经济发展水平和绩效进行了国别之间的量化测评和比较分析。由该指标体系的实证分析结果可以看出中国与其他国家循环经济发展水平的明显差异,以及形成这种差异的具体原因。可见,经济发展水平决定了一国对发展循环经济的重视程度和相关能力,而制度保障是循环经济发展水平和绩效差异的根本原因。第八章为中国循环经济的发展及制度构建。本章阐述了中国循环经济发展状况,全面分析中国循环经济发展中存在的制度障碍以及政府制度供给的不足和市场机制的缺失,进而提出了中国在发展循环经济的过程中应如何构建和完善相关制度体系,以科学、完善和有效的制度推进循环经济的发展。更多还原

【Abstract】 Entering the industrial society, especially after 20th century, human society has witnessed the contradiction between the rapid economic growth and the resource scarcity, environmental pollution and ecological deterioration worldwide, which reflected the antinomy of the great advances in human civilization and the severe crisis for human survival. Under this situation, developing recycling economy has become the new choice for human society to develop economy. This indicates, on the one hand, the necessity of practically transferring economic development model and using other countries’experience as reference to develop recycling economy, on the other hand, the impendence of theoretically interpreting the development path and institutional construction of recycling economic development.Recycling economy is an economic operation mode, which requires certain institutional arrangements to correct market mechanism, and then effectively regulate and direct the path of economic operation. Therefore, this paper, from the perspective of institution, comprehensively and systematically analyzes the development experience of recycling economy in major developed foreign countries. There are nine chapters in this paper, which, except the introduction and conclusion, can be divided into four parts: the theoretical analysis of recycling economy (Chapter 2 and 3), the empirical analysis of foreign experience (Chapter 4, 5, and 6), the quantitative and comparative analysis among different countries (Chapter 7), and the policy implications for the development of recycling economy in China (Chapter 8).Chapter two and three provides the theoretical framework and institutional economic analysis of recycling economy. Chapter two gives an introduction of recycling economy, and constructs the economic growth model within the framework of recycling economy. Besides, it analyses the relation between recycling economy and economic development, as well as the importance of recycling economy to social economic development. Chapter three gives an institutional interpretation of the presence of recycling economy, explains the relation between institutional transfer and the development of recycling economy, and then illustrates the essentiality of institutional arrangements and innovation to securing the development of recycling economy. In addition, it expounds the importance of the collaboration of market mechanism and government behavior to the development of recycling economy, which means to let the government who provides and innovates the institutions to play the leading and directing role in recycling economic development, and utilize the market mechanism including price mechanism, interest-oriented mechanism, and competition mechanism to realize effective resource allocation.Chapter four, five and six respectively analyze the development of recycling economy and the institutional arrangements in Germany, Japan and U S. In this part of empirical analysis, the paper discusses the recycling economic development background and course in these countries which are the factors driving the development of recycling economy, and the development strategies and models which are the major characteristics of recycling economic development, and then discusses the institutional construction and innovation during the recycling economic development, thus, exploring the fundamental feature of institutional arrangements in different counters, which is the effective institutional supply. It mainly includes the formal institution, informal institution and enforcement mechanism, as well as the driving mechanism of institutional operation, which is the collaboration of government behavior, market mechanism and public participation. Regarding the formal institution, these countries have all constructed relatively well-rounded legal system, providing the development of recycling economy with strong legal security and mandatory institutional support. In addition, these countries have all made full use of fiscal and financial policies to establish and perfect a policy framework of recycling economic development, which serves as strong incentive and restraint mechanism. Regarding the informal institution, these countries have all brought into full play the important function of governments, nongovernment organizations and the public, which helped increasing the consciousness of the whole society and public to environmental protection. Regarding the enforcement mechanism, these three countries have established effective supervision and enforcement mechanism to effectively regulate the behavior of governments, enterprises and the public. Of course, due to the difference in their political system, economic system, development background and culture and tradition and etc., these three counties also see many differences in their institutional arrangements.Chapter seven is the evaluation and international comparison of recycling economic development. A scientific and reasonable evaluation index system is established, in which“institution”is included and used as an important indicator. Then the recycling economic development of Germany, Japan, US and China is evaluated and analyzed. The empirical result indicates the obvious difference in the recycling economic development level between China and the other countries, as well as the reason for this difference. In fact, the economic development level determines a country’s attention to and ability of the development of recycling economy, but“institution”is the fundamental reason explaining the performance disparity in recycling economic development.In the end, chapter eight, the Development and Institutional Construction of China’s Recycling Economy, analyzes the institutional barriers hindering the development of recycling economy in China, and the insufficient institutional supply and effective market mechanism, indicating how China should construct and perfect related institutional systems in order to develop recycling economy, and only the rational, well-founded and effective institution arrangements will promote the development of recycling economy.更多还原