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类型 基础研究 预答辩日期 2017-11-30
开始(开题)日期 2011-10-14 论文结束日期 2017-06-22
地点 东南院305 论文选题来源 国家社科规划、基金项目     论文字数 12 (万字)
题目 中国产业生态经济系统绿色转型升级的政府干预机理研究
主题词 产业生态经济系统,转型升级,环境库茨涅茨曲线,低碳绿色型产业,政府干预
摘要 改革开放以来,中国经济快速发展,中国的工业化进程创造了空前未有的物质财富,也产生了难以修复的生态创伤。从中国产业生态经济系统的现状来看,“大而不优”和“资源环境损耗严重”成为产业生态经济系统绿色转型升级进程中亟待解决的问题,毋庸讳言,今天的中国正处于新旧动能转换、绿色转型升级的重要关口。直面经济增速换挡、环境压力剧增、要素红利渐罄、发展空间逼仄的现实情境,亟需我们探寻中国经济低碳、绿色、循环、可持续增长的新动能,中国产业生态经济系统绿色转型升级的实践也催生了越来越多的经济体制深层次改革的需求,绿色转型升级进程中,政府的作用空间和干预的内在机理更是亟须厘清。 本文着眼于可持续发展和中国经济转型升级的大背景,在定量评价中国省域层面绿色转型升级状态、以及绿色转型升级进程中政府-市场间关系现状的基础上,进而聚焦于产业生态经济系统绿色转型升级进程中的政府干预机理,针对现有研究不足,从以下三方面进行了深入探索。 首先,把产业生态经济系统划分为经济子系统、环境子系统以及创新子系统,构建了绿色转型升级评价指标体系,基于灰关联分析理论和主成分分析方法,对中国省域绿色转型升级状态进行评价;基于评价结果,将中国30个省域分为四类,分类别拟合EKC,分析产业生态经济系统绿色转型升级水平的提高如何影响经济增长与污染排放之间关系的规律、以及政府-市场间关系的现状。 接着,把产业生态经济系统转型升级视为沿着产业和技术阶梯拾级而上、并按照从劳动密集型产业转型升级到资本密集型产业、进而转型升级到低碳绿色型产业的连续动态变迁过程,在新结构经济学的理论框架下,基于新古典生产函数理论和效用函数理论,通过建立“资本密集型产业追赶战略”的政府-市场耦合模型、以及“低碳绿色型产业扶持战略”的政府-市场耦合模型,探索转型升级不同阶段政府与市场的耦合模式,力图阐明政府与市场的耦合机制,为绿色转型升级进程中政府的作用空间以及作为方式提供思路。 进而,聚焦于政府层面的产业政策,通过构建“政府主导型耦合模式”下的转型升级政策干预模型、以及“市场增进&绿色共享型耦合模式”下的转型升级政策干预模型,阐释产业政策对产业生态经济系统转型升级的干预机理,剖析产业政策成败与否背后的因果逻辑,探究如何合理制定产业政策以因势利导产业生态经济系统转型升级,以期为力争突破产业生态经济系统转型升级藩篱的当下中国增添助力。本文研究表明: (1)绿色发展理念提出之前的过往历史阶段,中国在劳动密集型产业向资本密集型产业转型升级的过程中:○1之所以有的区域转型升级成功,产业政策的干预机理是:在该区域资本禀赋满足资本禀赋约束的前提下,政府通过制定合理的产业政策,对资本密集型产业的发展起到了因势利导的作用,即“政府有为”。○2之所以有的区域转型升级滞后,产业政策的干预机理是:虽然该区域资本禀赋满足资本禀赋约束,但政府制定的产业政策不合理、从而导致转型升级实际情况距离该区域可以达到的“理论上限”差距过大,即“政府庸为”。○3之所以有的区域转型升级失败,产业政策的干预机理是:该区域资本禀赋过低、不满足资本禀赋约束的情形下,政府“好心做错事”,过早推行转型升级,即“政府急为”。○4转型升级目标与要素禀赋结构不匹配、即过度追赶是各种扭曲的诱因。 (2)秉持绿色发展理念的当下中国,对于能源技术禀赋具有异质性的不同区域而言,政府与市场的耦合模式需要转型。○1在能源技术禀赋满足低碳绿色型产业转型升级约束条件的区域,政府与市场应形成“市场增进型耦合模式”,即市场主导、政府充当市场的“辅助之手”而因势利导;○2其它不满足能源技术禀赋约束条件的区域,政府与市场应形成“绿色共享型耦合模式”,即通过发挥中国的制度优势,从而打破绿色能源技术在中国各个地区间转移的壁垒,进而实现在产业梯度转移的同时,中西部作为产业转移承接地、也能够引进东部的绿色能源技术,最终实现产业转移和低碳绿色型产业转型升级的协同。 (3)政府制定与要素禀赋相匹配的转型升级目标、避免扶持过度,是消除各种扭曲(包括消除要素价格扭曲)的“牛鼻子”,而消除要素价格扭曲,是使得中西部避免走东部“先污染后治理”的旧有路径的抓手。
英文题目 Research on the mechanism of government intervention of China’s industry ecology & economy system’s green transformation and upgrading
英文主题词 Industry Ecology & Economy System; Green Transformation and Upgrading; Environmental Kuznets Curve; Low-Carbon Green Industry; Governmental Intervention
英文摘要 Since the reform and opening up, China’s rapid economic development has created unprecedented material wealth and unrecoverable ecological trauma. From the status quo of China’s industry ecology & economy system, the key problems that need to be solved urgently in the process of green transformation and upgrading are "large in quantity but not fine in quality" and "the serious loss of resources and environment". Nowadays, it is no secret that China is undergoing the milestone of converting the old development path to the new development path and the green transformation and upgrading. In the situation of economic growth decelerating and environmental burdens aggravating and factor bonus fading away, we need to explore the new kinetic energy of low carbon-green- recycling-sustainable growth of China’s economy. The practice of green transformation and upgrading of China’s industry system has given rise to more and more demand of deep-level reform, it is valuable to carify the space of governmental action and the inner mechanism of governmental intervention. This dissertation focus on the background of sustainable development and China’s economic transformation and upgrading, on the basis of quantitatively evaluating the green transformation and upgrading at the provincial level and the status of government-market relations in the process of green transformation and upgrading, this dissertation concentrates on the governmental intervention mechanism of green transformation and upgrading of China’s industry ecology & economy system, and makes further study from the following three aspects specific to the deficiency of existing studies. Firstly, this dissertation divides the industry ecology & economy system into economic subsystem, environmental subsystem and innovative subsystem. Based on the theory of grey relational analysis and principal component analysis method, the mathematical definition of industry ecology & economy system’s green transformation and upgrading level was put forward, therefore, the green transformation and upgrading level of China’s provincial industry ecology & economy system can be evaluated from a brand-new perspective. According to the evaluation results, 30 provinces of China can be divided into four categories. The fitting EKC show that there is no one-dominant shape of EKC for all categories. The results indicate how the green transformation and upgrading level affects the law of the relationship between economic development and environmental quality not only, but also the relationship state between government and market is revealed. Secondly, this dissertation regards the transformation and upgrading of industry ecology & economy system as a continuous dynamic changing process, ascending along the industrial and the technical ladder, and upgrading from labor-intensive industries to capital-intensive industries, and then upgrading to low carbon green industries. Based on the theory of New Structural Economics, by the use of utility function and neoclassical production function, the government-market coupling model of "capital intensive industry chasing strategy" and the government-market coupling model of "low-carbon green industries supporting strategy" are established, with the purpose of exploring the coupling mode and illustrating the coupling mechanism between government and market in different stages of transformation and upgrading, and then the role of government in the process of green transformation and upgrading is analyzed. And then, this dissertation focuses on the governmental industrial policy, through the establishment of policy intervention model of the transformation and upgrading under the "government-leading coupling pattern" , and the establishment of policy intervention model of the transformation and upgrading under the "market-enhancing & green-sharing coupling pattern", the intervention mechanism of industrial policy to the transformation and upgrading is illustrated, and the causal logic behind transformation and upgrading is analysed. This dissertation looks forward to adding fuel to China’s efforts to break through transformation and upgrading of industry ecology & economy system .The main research findings are as follows: (1) In the process of transformation and upgrading from labor-intensive industries to capital-intensive industries before the raising of the concept of green developing in the previous historical periods. ○1In those regions where industrial transformation and upgrading were successful, the influence mechanism of industrial policy lies in that the government promoted the transformation and upgrading by reasonably establishing the industrial policy in the premise that the capital endowment meets the constraints of itself in this region. In other words, the government is promising. ○2In some regions where industrial transformation and upgrading were lagging behind, the influence mechanism of industrial policy lies in that although the capital endowment meets the constraints of itself, the government implemented unreasonable industrial policy, leading to the actual situation of industrial transformation and upgrading seriously under the theoretical upper limit. That is to say, the government is fatuous. ○3In some regions where industrial transformation and upgrading failed, the influence mechanism of industrial policy lies in that the government implemented industrial transformation and upgrading prematurely, despite that the region’s capital endowment is too low to meet the constraints of itself. In other words, the government did something urgently.○4 The inducement of distortions is the mismatching between the factor endowments and the goal of industrial transformation and upgrading. (2) Under the new phase of green developing in China’s different regions, as far as the heterogeneous energy technology endowment is concerned, the goal of low carbon green industrial transformation and upgrading need to implement according to different ways, the coupling model between government and market need to transform. ○1Specifically, in part of the eastern region where green-power technical endowments meet the constraints of the transformation and upgrading of the low-carbon green industries, the coupled model between government and market needs to be transformed from the old "government-leading coupled model" to "market-enhancing coupled model". That is to say, the market is dominant and the government is facilitative.○2In some central and western regions where the constraints of green-power technical endowments can’t be met, the coupled model between government and market needs to be transformed from the old "government-leading coupled model" to the "green- sharing coupled model", that is, the barrier that stop the transfer of green energy technology between various regions of China can be removed by taking advantages of the institution of China. And then, the central and western regions can also assimilate the green energy technology from the eastern regions while undertaking the industrial gradient transfer, and ultimately achieve the synergy between the industrial transfer and the transformation and upgrading of low-carbon green industries. (3) The facilitate supporting of low-carbon green industries should be combined with the comparative advantage in different regions, it is one of the keys to eliminate various kinds of distortions by avoiding excessive supports. In order to make the mid-west areas avoid eastern areas’ old path of "treatment after pollution", it is an essential gripper that the elimination of factor price distortions.
学术讨论
主办单位时间地点报告人报告主题
东南大学经济与管理学院 2012年11月7日 东南大学九龙湖管理科学与工程系会议室 杨洲木 链路预测研究综述
东南大学经济管理学院 2013年3月13日 东南大学九龙湖管理科学与工程系会议室 束惠 A Study on the Equilibrium of Regional Industrial Spatial Distribution based on Grey Prediction Model
东南大学经济管理学院 2013年4月10日 东南大学九龙湖管理科学与工程系会议室 黄新焕 产业集群绿色迁移及升级机制研究
东南大学经济管理学院 2013年4月11日 东南大学九龙湖管理科学与工程系会议室 杨洲木 环境库兹涅茨曲线研究述评
东南大学经济管理学院 2013年4月9日 东南大学九龙湖管理科学与工程系会议室 陈黎明 DEA方法在产业生态经济系统优化研究中的应用
东南大学经济管理学院 2013年4月22日 东南大学九龙湖管理科学与工程系会议室 杨洲木 基于信息熵的中国省域产业结构协调度与EKC
东南大学经济管理学院 2013年5月31日 东南大学九龙湖管理科学与工程系会议室 花磊 创新网络结构的有效性
东南大学经济管理学院 2014年6月14日 东南大学九龙湖管理科学与工程系会议室 杨洲木 The Optimization Degree of Provincial Industrial Ecosystem and EKC of China
     
学术会议
会议名称时间地点本人报告本人报告题目
ICESMS2014 2014.11.28-29 天津 The Test of Industrial Environmental Kuznets Curve Hypothesis in Jiangsu Province
林毅夫教授回国从教30周年学术研讨会 2017.5.12-5.13 北京大学
IEEM 2014 2014.11.1-11.2 广东珠海 An Empirical Study of Environmental Kuznets Curve in China
     
代表作
论文名称
A Study on the Degree of Optimizing Provincial Economic Industrial Structure and EKC of China
An Empirical Study of Environmental Kuznets Curve in China
低碳绿色型产业升级进程中的政策干预机理—基于新结构经济学理论框架
 
答辩委员会组成信息
姓名职称导师类别工作单位是否主席备注
刘思峰 正高 教授 博导 南京航空航天大学
巩在武 正高 教授 博导 南京信息工程大学
袁健红 正高 教授 博导 东南大学
李爱国 正高 教授 博导 东南大学
陈伟达 正高 教授 博导 东南大学
      
答辩秘书信息
姓名职称工作单位备注
李绍芳 副高 副教授 东南大学