【正文】 environmental regulation 153 Perfect integrated decisionmaking mechanism of environment and development 153 Heighten effectiveness and efficiency of environmentalpolicy and implementation 154 Effectively implement the polluterpays principle 155 Clear powers and responsibilities of central and localgovernments’ environmental protection 156 Perfect coordination mechanism of crosssector and transregion interest 157References 158Acknowledgements 177Academic papers during the degree 178摘 要環(huán)境與經(jīng)濟發(fā)展關系失衡給當今人類社會提出了嚴峻的挑戰(zhàn)。一系列重大環(huán)境生態(tài)問題，不僅嚴重制約了社會經(jīng)濟發(fā)展的可持續(xù)性，而且對人類生存構成威脅。對于正處于發(fā)展中的中國來說，現(xiàn)階段面臨兩種巨大壓力，一種來自國內(nèi)壓力?？焖俚墓I(yè)化和城市化伴隨著大規(guī)模的自然資源消耗，也帶來了極大的國內(nèi)環(huán)境壓力。另一種壓力來自國際。隨著中國國際地位的提高，中國簽署的國際環(huán)保公約數(shù)量與公約所覆蓋的范圍將不斷擴大，中國將承擔更多的國際環(huán)保義務。國內(nèi)和國際環(huán)境壓力促使中國不斷加強環(huán)境治理力度，同時中國經(jīng)濟發(fā)展所處的國際環(huán)境復雜多變。隨之而來的，是對我國經(jīng)濟增長的隱憂，即環(huán)境規(guī)制是否會影響中國的經(jīng)濟增長。在這一背景下，研究環(huán)境規(guī)制對中國經(jīng)濟增長的影響，探索經(jīng)濟增長與環(huán)保相容的均衡發(fā)展模式，具有十分重要的理論和現(xiàn)實意義。環(huán)境污染是一種“有害”的公共產(chǎn)品，且有很強的外部負效應。本文以外部性理論和經(jīng)濟增長理論為基礎，分析了環(huán)境規(guī)制的作用機制。環(huán)境規(guī)制不是消除污染，遏制經(jīng)濟增長，而是將污染控制在生態(tài)系統(tǒng)可承載的限度之內(nèi)，實現(xiàn)環(huán)境與經(jīng)濟的協(xié)調(diào)發(fā)展。基于這一目標界定，從企業(yè)來看，環(huán)境規(guī)制通過直接傳導機制和間接傳導機制（環(huán)境效果）對企業(yè)產(chǎn)生影響。無論哪種傳導機制在給企業(yè)帶來成本的同時，也帶來了潛在利益（或商機）。環(huán)境規(guī)制的潛在收益與成本效應構成其對企業(yè)的凈影響（如產(chǎn)出變化，生產(chǎn)率變化、技術創(chuàng)新力變化等），所有企業(yè)的凈影響總和形成了部門或產(chǎn)業(yè)的凈效果，進而構成國家或地區(qū)的最終影響結果。在部門和地區(qū)或國家水平上看，環(huán)境規(guī)制對經(jīng)濟的凈影響結果可由生產(chǎn)率、技術創(chuàng)新和產(chǎn)業(yè)競爭力等相關指標來反映，由于生產(chǎn)率、技術創(chuàng)新能力和產(chǎn)業(yè)競爭力等指標的變化不僅能反映一個部門和國家/地區(qū)的經(jīng)濟質(zhì)量和效率水平，也是文獻中常用的最為重要的經(jīng)濟指標?？傊?，環(huán)境規(guī)制對經(jīng)濟的影響，既有積極影響，也有不利影響，只有綜合考察環(huán)境規(guī)制的各種影響因素，才能對環(huán)境規(guī)制對部門和地區(qū)/國家的最終影響結果做出正確的判斷和解釋。本文以中國環(huán)境規(guī)制的現(xiàn)實為背景，利用中國省級面板數(shù)據(jù)，通過實證方法回答“環(huán)境規(guī)制對中國經(jīng)濟增長究竟有何影響”這一問題?？紤]到環(huán)境規(guī)制對經(jīng)濟的凈影響結果衡量的復雜性，單一指標的固有缺陷，采用不同方法，從不同角度測度環(huán)境規(guī)制對經(jīng)濟的凈影響?；诒疚牡难芯啃枰?，將從生產(chǎn)率、技術創(chuàng)新和產(chǎn)業(yè)競爭力等層面來審視這種凈影響。根據(jù)實證分析結果，得出以下主要結論：（1）中國的環(huán)境規(guī)制并沒有妨礙經(jīng)濟增長，反而競相降低環(huán)境標準的競爭會一定程度上阻礙經(jīng)濟的良性發(fā)展。實證結果表明，就平均水平而言，二氧化硫規(guī)制強度每提高1%，%%，%。然而，提高工業(yè)化學需氧量規(guī)制強度對經(jīng)濟增長效率有不利影響，這并不意味著工業(yè)化學需氧量的規(guī)制競爭能帶來更高的經(jīng)濟增長效率。因為這種不利影響不是由環(huán)境規(guī)制本身造成的，而是環(huán)境治理策略上的“誤配”造成。分位數(shù)分析進一步發(fā)現(xiàn)，總體上看，二氧化硫規(guī)制競爭不利于生產(chǎn)率增長和效率變化，而對技術進步的影響較為復雜多變。當二氧化硫規(guī)制強度向高分位點變動時，對生產(chǎn)率增長的不利影響有增大趨勢，對效率改善的不利影響逐漸減弱。工業(yè)化學需氧量的規(guī)制競爭對生產(chǎn)率增長和效率變化有正影響，而且隨著規(guī)制強度越低，正向作用逐漸減弱；而對技術進步的影響方向隨分位點不同而變化。（2）中國的環(huán)境規(guī)制對環(huán)境技術創(chuàng)新有顯著的促進作用，而對總技術創(chuàng)新活動存在不利影響。當使用國內(nèi)三種專利授權數(shù)來衡量總的技術創(chuàng)新活動時，二步差分廣義矩估計結果顯示，時期I（19901999年）中，，且在統(tǒng)計上均不顯著；時期II（20002009年）中。盡管隨著中國環(huán)境規(guī)制體系的不斷創(chuàng)新，加大了市場化工具的應用，但因環(huán)境規(guī)制體系中存在嚴重缺陷，使得環(huán)境規(guī)制對總的技術創(chuàng)新活動造成不利影響。當環(huán)境規(guī)制強度每增加1單位時，環(huán)境規(guī)制對專利成功申請數(shù)的長期邊際貢獻：，后者高于前者。然而，考慮到環(huán)境規(guī)制直接針對環(huán)境問題，利用計數(shù)模型分析環(huán)境規(guī)制對環(huán)境技術創(chuàng)新的影響，發(fā)現(xiàn)環(huán)境規(guī)制對環(huán)境專利成功申請數(shù)存在顯著的促進作用。表明環(huán)境規(guī)制為企業(yè)環(huán)境技術創(chuàng)新提供了很強的內(nèi)在動力，因為環(huán)境技術創(chuàng)新不僅能給企業(yè)帶來巨大的創(chuàng)新收益，也有助于推動綠色經(jīng)濟的發(fā)展。（3）中國的環(huán)境規(guī)制對產(chǎn)業(yè)競爭力產(chǎn)生一定的積極影響，進而推動經(jīng)濟增長質(zhì)量的提高。在一國內(nèi)部，地區(qū)間可能更直接地通過環(huán)境介質(zhì)相互聯(lián)系，這就產(chǎn)生一個問題：一個地區(qū)的環(huán)境決策如何影響另一個地區(qū)的經(jīng)濟決策。為了考察污染溢出的影響，在控制地區(qū)特征后，將污染溢出引入競爭力模型，分離出環(huán)境規(guī)制的“真實”影響。對此，分別進行了空間自回歸誤差設定和多因素模型設定來剔除污染溢出的影響，估計結果表明，遠低于統(tǒng)計分析結果（）。說明環(huán)境規(guī)制通過成本效應給企業(yè)帶來了創(chuàng)新的激勵，進而產(chǎn)生了創(chuàng)新等經(jīng)濟利益，進而對產(chǎn)業(yè)競爭力造成積極影響，同時也表明，如果忽略污染因素等因素，有可能高估環(huán)境變量的系數(shù)值，進而導致不正確的推斷。根據(jù)全文分析，為提高中國環(huán)境規(guī)制的質(zhì)量和水平，實現(xiàn)環(huán)境與經(jīng)濟更為均衡發(fā)展的目標，需要切實發(fā)揮環(huán)境規(guī)制在實現(xiàn)這一發(fā)展模式過程中的積極作用，我們從完善環(huán)境與發(fā)展綜合決策機制，提高環(huán)境規(guī)制政策實施的有效性和效率，貫徹污染者付費原則，明確中央和地方政府環(huán)保事權和責任，完善跨部門、跨區(qū)域的利益協(xié)調(diào)機制等5個方面提出政策建議。關鍵詞：環(huán)境污染 環(huán)境規(guī)制 經(jīng)濟效應 政策設計ABSTRACTImbalanced relationship between environment and economic development brings about severe challenges to current human society. A series of important ecological issues not only restrict sustainability of social and economic development, but also put a threat to the survival of mankind. As far as China in development is concerned, Now it faces with two enormous pressures: one is from domestic pressures. Rapid industrialization and urbanization, with largescale consumption of natural resources, have caused great domestic environmental pressures. Another is from international pressures. With heightening China’s international status, the numbers and coverage of international environmental conventions that China signs, will be expanding, thus China will take on more international environmental obligations.Domestic and international environmental pressures push China to strengthen the stringency of environmental governance. At the same time, the international environment of China’s development is plicated and variable. This would generate the worries on Chinese economic growth. Would environmental regulation affect China’s economic growth, thereby weakening China’s economic strength? In order to find the problem, it is of great theoretical and practical significance to research the impacts of environmental regulation on China’s economic growth, and to explore a balanced development pattern, which can achieve patible mode of economic growth and environmental protection.Environmental pollution is a “bad” public product, and it has strong negative external effects. On the basis of externality and economic growth theories, the paper analyzes the mechanism of environmental regulation. Environmental regulation doesn’t eliminate pollution, and constraint economic growth, but will control pollution under the carrying limits of the ecosystem to achieve the coordinated development of environment and economy. According to the definition of the target, environmental regulation, from the enterprise’s point of view, exerts the impacts on enterprise’s economic performance through direct and indirect transitive (environmental performance) mechanism. Either transitive mechanism brings the cost to the enterprise, in the meantime it brings the potential benefits (business opportunities). These benefit and costs cause the net effects (. change in output, productivity changes) to the enterprise. The sum of all enterprises’ net effects in the same sector forms the sector’s net impacts, further these constitute the country’s or region’s ultimate outes. From the perspectives of sector and region or country level, the net economic effect of environmental regulation can be represented as related indicators such as productivity, technological innovation and industrial petitiveness. These indicators not only reflect economic quality and efficiency of a sector and country (or region), but also are monly used and most important economic indicators in the literature. Because of positive and negative impacts of environmental regulation on economy, only through prehensive investigation of various factors, can we make the