【作者】 黄亚娟；

【导师】 胡希宁；

【作者基本信息】 中共中央党校 ， 经济学， 2014， 博士

【摘要】 2011年是“十二五规划”的开局之年，规划指出要增强危机意识，加快构建资源节约、环境友好的生产方式和消费方式，增强可持续发展能力。同年，中央党校遴选的校级重点课题“加快转变经济发展方式：政策与实践”项目组成立，随着相关研究工作的展开，我于2012年11月前完成了《关于“两型社会”建设难点的研究》，为本论文的深入研究提供了坚实的理论基础和实践经验。生态资本的市场机制设计是上述课题的后续研究，是“两型社会”难点研究的解决方案设计。随着2012年十八大召开，在中国特色社会主义“五位一体”的总布局中，将“两型社会”的体制机制建设提到了生态文明制度的高度。无独有偶，2012年诺贝尔经济学奖获得者罗斯和沙普利两人的学术成就使我得到启迪。他们创造性的提出了合作博弈的稳定配置理论，并形成公理化结论，结合经济工程学的应用，使得市场机制设计成为可能。同时，这些也为寻求“两型社会”难点问题的解决方案提供了政策保障、成为经济理论和设计方法的依据。尤其是，2013年党的十八届三中全会制定出全面深化改革的《决定》，强调市场的“决定性作用”，为生态资本的市场机制设计的进一步探索指明了实现路径和发展方向，也为后续实施提供了社会保障。生态资本的市场机制设计是从全球时代背景出发，结合经济学理论和实践而形成的市场机制设计方案。国际上关于资源与环境的经济发展的研究已经持续半个世纪；国内从2005年第一次提出“两型社会”建设概念至今整整9年。尤其是从2007年设立综合配套改革区之后，系统性的理论研究逐步展开，社会实践探索也已经积累了一些经验和教训。生态资本的市场机制设计的主要研究脉络包括三个部分。第一，生态资本的生成机制研究，即物质资本、人力资本和环境资本三种形式。第二，生态资本的可持续发展机制研究。随着经济社会的发展，生态资本在时间维度、空间维度、人的维度都有不同程度的发展，具有各自的运行特点。第三，生态市场的运行机制的体系架构设计，主要是由“两类”生态产品与服务、“三层”运行结构、“四个功能”分模块构成。“两类”，是指生态市场提供的最终生态产品和服务包括：资源节约型、环境友好型产品和服务。“三层”，是指资源层、资本层、制度层三者结合形成可持续发展的增长机制。“四个功能”是指资源管理、环境管理、交易成本管理、制度变迁管理分模块实施的方法和策略。我国“两型社会”建设的生态市场的运行机制的策略实施，由“四个功能”分模块和一个经济工程管理支撑系统组成，即五部分来实现：一是资源配置及管理机制，二是环境监测及安全管理机制，三是交易成本管理及经济运行调控机制，四是经济主体、国家和社会之间制度变迁的关系管理，五是经济工程管理部分，形成各模块之间的信息传递、知识管理机制。五个部分共同确定经济行为主体的责权利范围和边界，前四大系统对应前文所说的四大模块，共同形成物质集成、能量集成和信息集成的有序管理机制，第五个部分的工作机制在每个模块中均有相应技术要求设置，随着未来信息技术的进一步发展，将会形成对四个模块提供有力支撑的技术平台。同时这也是集成人类文明，实现人类社会的可持续发展的集中体现。生态资本的市场机制设计吸收了马克思关于生态资本的经济思想和西方经济学的最新发展成果，是对商品资本的市场机制的有益补充。本文对解决传统经济模式不可持续的危机问题的探索，具有一定时代特征的独特性和新颖性。一是，要解决我国“两型社会”建设中生态市场“我是谁？要去哪？怎么去？”这三个基本问题。二是，采用博弈论和经济工程学的方法构建整个生态资本的市场机制的体系结构。通过容纳多重视角对社会的发展背景、发展环境、现状条件、资源禀赋、竞争力的差异，力求避免“囚徒困境”，采用强制性、诱导性、及自发性政策工具形成稳定配置的竞争格局，以期达到可持续发展。三是，为经济发展方式转型和经济结构调整构建更合理的筹资平台，平抑灾难性危机带来的毁灭性冲击，引导经济社会走上可持续发展之路。四是，本文从架构层面建立竞争优势，保障国家和人民的长期利益可持续发展；并对未来社会的价值导向、发展理念、功能培育、产业方向以及实现可持续发展的战略途径和重大策略等系列相关问题进行探讨。更多还原

【Abstract】 In2011, the12thFive-year Plan was issued and put into practice, whichindicated to enhance the consciousness of crisis and the competitiveness ofsustainable development by speedly construction in modes of production andconsumption of resource saving and environment friendly. In the same term, Aselected highlight project initiated in the school level of the Central Committee PartySchool,“To Speed up the Transformation of Economic Development Pattern: Policyand Practice”. Up to November1of2012, I completed the research “About thedifficults of ‘Two-oriented Society’ Construction in”. These experiences provided mesolid theoretical and practice foundation for the further research in my dissertation.As the following subject for the above project,“About the Design of MarketTrading Mechanism in Ecological Capital for Resource-economical andEnvironment-friendly Socity’s Construction of China” is exploring a solution to thedifficulties of two-oriented society’s construction. At first, with the declaration of the18thCPC National Congress in November of2012, we were told that building insystem and mechanism of “Two-typed Society” would be promoted to the level ofecological civilization system, and must be put into the system framework of”Five inOne”. Moreover, both winners of the Nobel Economics Prize in2012, Roth andShapley, enlightened me in the academic field of the modern mechanisms’ designation.They creatively proposed the stable configuration of cooperative game theory andconcluded some axiomatic principles, which makes system designation possible ineconomic engineering applications. These provided both policy support andtheoretical foundation for the solution. Particularly, Third Plenary Session of the18thCongress formulated a decision to comprehensibely deepen reform in2013, which emphasized “decisive role of the market”. It indicates development directions andimplementation paths for my study of system designation, also privides socialguarantee for subsequent execution.This dissertation was based on globalized historical background and integratedwith the related economic theories and practices to the market institution andmechanism designation. From international research on the resources and/orenvironment economics, it has been lasted for half a century. From domesticexperiences on the construction of “Two-typed Society”, China has attempted for nineyears after the concept was built firstly in2005. Besides, the systematic theoreticalresearch on “Two-typed Society” gradually expanded from2007, while the nationalcomprehensive reform areas were set up. By these, we have accumulated someexperiences and learned a lot.This dissertation involves three perspectives in the main research context. Firstly,it studied on formation mechanism of ecological capital, that included phasical capital,human capital and environmental capital. Secondly, it described the sustainabledevelopment methodology of ecological capital, that contained three dimensions astime, space and human being’s development. Thirdly, it conceived institutions andmechanisms of ecological market on China’s two-oriented society. The systemarchitecture covers “Two-class”: finally ecological products and services areresources-economical and environment-friendly goods and services;“Three-Layer”:resources’ layer, capital layer and regime layer;“Four-functions” refers to the resourcemanagement module, environment management one, transaction cost managementone and institutional change management one.China’s strategic implementation of the operation mechanism of ecologicalmarket in "Two-typed Society" will run by "four functions" module and an economicengineering management system. That is to say, there are five parts: the first one is theallocation and management mechanism of resources, the second is the environmentalmonitoring and security management mechanism, the third is the transaction cost management and control mechanism of economic operation, the fourth is theinstitutional change embodied as relationships among economic subjects, state, andsociety, the fifth is the economic engineering methodology, significantly the formationof information transfer procedures between various modules, namely the knowledgemanagement mechanism. Five parts jointly determine the scope and boundary ofeconomic behaviours. The former four parts corresponds to the previously mentionedfour modules, which together will formulate the orderly management mechanism onmaterial and energy integration and information integration. the fifth part of theworking mechanism has the corresponding technical requirements set in each module,with the further development of the future information technology, will form the fourmodules to provide strong support because of technical platforms. This will becomethe integration of human civilization, and the concentrated reflection of thesustainable development of human society.This dissertation absorbed not only Marxism economic thoughts about ecologicalcapital, but also the western economics theories, which developed beneficialsupplement to the commodity market mechanism. At present, the global financialcrisis still has been in dilemma, as something well-known that the traditionaleconomic model are unsustainable. This thesis is a pioneering research withcontemporary characteristics. One is to solve three basic questions of the ecologicalmarket "who is this?”,“where to go?”,“How to get there?", in the construction of"Two-oriented Society". Secondly, I adopt the method of game theory and economicengineering science to build the whole architecture of ecological capital market. Thereare multiple perspectives to accommodate various social backgrounds, different socialenvironment, for example the status in quo, current conditions, differences betweenthe resources’ endowment and competitiveness. The design makes efforts to shapecompetitive landscape of stable configuration and to avoid of the "Prisoner’sDilemma", by mandatory, guidance, and/or spontaneous policy tools, in order toachieve sustainable development. Thirdly, it is necessary to build a more reasonable financing platform for the economic transformation of development pattern andeconomic structure adjustment, which should help to restrain the devastatingconsequences of a catastrophic crisis, and lead to the road of sustainable developmentof social economy. Finally, the designation is going to build competitive advantagefrom the aspect of architecture, and ensure sustainable development of the long-terminterests in the state and people; Also, it try to solve the social value orientation,development idea, functional training and direction of the industry, exploring a seriesof major problems on the strategic approach and relevant policies of sustainabledevelopment.更多还原