【正文】 in period II . 20002009, the coefficient of current environmental variable on average is , the coefficient of lagged one on average is . The sum of these coefficients is greater than zero in the two periods, which indicates that although the application of marketoriented instruments is reinforced with the continuous innovation of Chinese environmental regulation system, it generally makes an adverse effect of environmental regulation to overall technological innovation activities because of severe flaws in environmental regulation system. As the environmental regulatory stringency is increased by one unit, the negative longrun marginal contribution of environmental regulation to the number of patent successful application is averagely about unit in 19901999, and approximately unit in 20002009. This shows that environmental regulation generates greater negative incentives to overall technological innovation in period II. However considering that environmental regulation is directly toward environmental issues, the paper analyzes the environmental technology innovation activities, we find that environmental regulation creates strong incentives to the number of environmental patent successful application. This shows that environmental regulation provides strong incentives to enterprises’s environmental innovation, which can not only bring an enormous innovation gains, but also promotes the development of green economy.Third. China’s environmental regulation has a positive effect on industrial petitiveness, thus it promotes the quanlity of economic growth . Within a country, interregion may be more directly contacted through environmental media, which creates a problem: how do environmental decisionmaking in one region affect another region’s economic decisionmaking. In order to investigate the impacts of pollution spillover, after controlling regional characteristics, we isolate the “real” impact of environmental regulation on industrial petitiveness by introducing pollution spillover into petitive model. The estimated results demonstrate that the coefficient of environmental variable on industrial petitiveness is , which is much less than the result of statistical analysis (). These illustrate that if we ignore the factors such as pollution spillover, there is likely to overestimate the effect of environmental regulation, and further lead to incorrect inferences.Therefore, we suggest five main measures to be taken to improve the quality and level of Chinese environmental regulation, and to achieve the more balanced developmental targets between environment and economy, which need to effectively play the positive role of environmental regulation in realizing the developmental pattern. Firstly, Perfect integrated decisionmaking mechanism of environment and development。根據(jù)全文分析，為提高中國(guó)環(huán)境規(guī)制的質(zhì)量和水平，實(shí)現(xiàn)環(huán)境與經(jīng)濟(jì)更為均衡發(fā)展的目標(biāo)，需要切實(shí)發(fā)揮環(huán)境規(guī)制在實(shí)現(xiàn)這一發(fā)展模式過(guò)程中的積極作用，我們從完善環(huán)境與發(fā)展綜合決策機(jī)制，提高環(huán)境規(guī)制政策實(shí)施的有效性和效率，貫徹污染者付費(fèi)原則，明確中央和地方政府環(huán)保事權(quán)和責(zé)任，完善跨部門(mén)、跨區(qū)域的利益協(xié)調(diào)機(jī)制等5個(gè)方面提出政策建議。對(duì)此，分別進(jìn)行了空間自回歸誤差設(shè)定和多因素模型設(shè)定來(lái)剔除污染溢出的影響，估計(jì)結(jié)果表明，遠(yuǎn)低于統(tǒng)計(jì)分析結(jié)果（）。在一國(guó)內(nèi)部，地區(qū)間可能更直接地通過(guò)環(huán)境介質(zhì)相互聯(lián)系，這就產(chǎn)生一個(gè)問(wèn)題：一個(gè)地區(qū)的環(huán)境決策如何影響另一個(gè)地區(qū)的經(jīng)濟(jì)決策。表明環(huán)境規(guī)制為企業(yè)環(huán)境技術(shù)創(chuàng)新提供了很強(qiáng)的內(nèi)在動(dòng)力，因?yàn)榄h(huán)境技術(shù)創(chuàng)新不僅能給企業(yè)帶來(lái)巨大的創(chuàng)新收益，也有助于推動(dòng)綠色經(jīng)濟(jì)的發(fā)展。當(dāng)環(huán)境規(guī)制強(qiáng)度每增加1單位時(shí)，環(huán)境規(guī)制對(duì)專(zhuān)利成功申請(qǐng)數(shù)的長(zhǎng)期邊際貢獻(xiàn)：，后者高于前者。當(dāng)使用國(guó)內(nèi)三種專(zhuān)利授權(quán)數(shù)來(lái)衡量總的技術(shù)創(chuàng)新活動(dòng)時(shí)，二步差分廣義矩估計(jì)結(jié)果顯示，時(shí)期I（19901999年）中，且在統(tǒng)計(jì)上均不顯著；時(shí)期II（20002009年）中。工業(yè)化學(xué)需氧量的規(guī)制競(jìng)爭(zhēng)對(duì)生產(chǎn)率增長(zhǎng)和效率變化有正影響，而且隨著規(guī)制強(qiáng)度越低，正向作用逐漸減弱；而對(duì)技術(shù)進(jìn)步的影響方向隨分位點(diǎn)不同而變化。分位數(shù)分析進(jìn)一步發(fā)現(xiàn)，總體上看，二氧化硫規(guī)制競(jìng)爭(zhēng)不利于生產(chǎn)率增長(zhǎng)和效率變化，而對(duì)技術(shù)進(jìn)步的影響較為復(fù)雜多變。然而，提高工業(yè)化學(xué)需氧量規(guī)制強(qiáng)度對(duì)經(jīng)濟(jì)增長(zhǎng)效率有不利影響，這并不意味著工業(yè)化學(xué)需氧量的規(guī)制競(jìng)爭(zhēng)能帶來(lái)更高的經(jīng)濟(jì)增長(zhǎng)效率。根據(jù)實(shí)證分析結(jié)果，得出以下主要結(jié)論：（1）中國(guó)的環(huán)境規(guī)制并沒(méi)有妨礙經(jīng)濟(jì)增長(zhǎng)，反而競(jìng)相降低環(huán)境標(biāo)準(zhǔn)的競(jìng)爭(zhēng)會(huì)一定程度上阻礙經(jīng)濟(jì)的良性發(fā)展?？紤]到環(huán)境規(guī)制對(duì)經(jīng)濟(jì)的凈影響結(jié)果衡量的復(fù)雜性，單一指標(biāo)的固有缺陷，采用不同方法，從不同角度測(cè)度環(huán)境規(guī)制對(duì)經(jīng)濟(jì)的凈影響。總之，環(huán)境規(guī)制對(duì)經(jīng)濟(jì)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(duì)環(huán)境規(guī)制對(duì)部門(mén)和地區(qū)/國(guó)家的最終影響結(jié)果做出正確的判斷和解釋。環(huán)境規(guī)制的潛在收益與成本效應(yīng)構(gòu)成其對(duì)企業(yè)的凈影響（如產(chǎn)出變化，生產(chǎn)率變化、技術(shù)創(chuàng)新力變化等），所有企業(yè)的凈影響總和形成了部門(mén)或產(chǎn)業(yè)的凈效果，進(jìn)而構(gòu)成國(guó)家或地區(qū)的最終影響結(jié)果?；谶@一目標(biāo)界定，從企業(yè)來(lái)看，環(huán)境規(guī)制通過(guò)直接傳導(dǎo)機(jī)制和間接傳導(dǎo)機(jī)制（環(huán)境效果）對(duì)企業(yè)產(chǎn)生影響。本文以外部性理論和經(jīng)濟(jì)增長(zhǎng)理論為基礎(chǔ)，分析了環(huán)境規(guī)制的作用機(jī)制。在這一背景下，研究環(huán)境規(guī)制對(duì)中國(guó)經(jīng)濟(jì)增長(zhǎng)的影響，探索經(jīng)濟(jì)增長(zhǎng)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(shí)意義。國(guó)內(nèi)和國(guó)際環(huán)境壓力促使中國(guó)不斷加強(qiáng)環(huán)境治理力度，同時(shí)中國(guó)經(jīng)濟(jì)發(fā)展所處的國(guó)際環(huán)境復(fù)雜多變。另一種壓力來(lái)自國(guó)際。對(duì)于正處于發(fā)展中的中國(guó)來(lái)說(shuō)，現(xiàn)階段面臨兩種巨大壓力，一種來(lái)自國(guó)內(nèi)壓力。博士學(xué)位論文博士學(xué)位論文環(huán)境規(guī)制的經(jīng)濟(jì)效應(yīng)研究——作用機(jī)制與中國(guó)實(shí)證論文題目：Research on the Economic Effects of Environmental Regulation——Mechanism and China’s Evidence目 錄摘 要 IABSTRACT V第1章 引 言 1 問(wèn)題的提出 1 探討的主題 2 主要概念界定 3 環(huán)境 3 環(huán)境規(guī)制 4 環(huán)境外部性 5 “環(huán)境規(guī)制經(jīng)濟(jì)效應(yīng)”的簡(jiǎn)要說(shuō)明 6 研究思路與結(jié)構(gòu)安排 6 創(chuàng)新與不足 10第2章 文獻(xiàn)評(píng)述 11 環(huán)境規(guī)制與經(jīng)濟(jì)關(guān)系的理論研究 11 環(huán)境外部性分析 11 綠色Solow增長(zhǎng)模型 13 考慮環(huán)境約束的技術(shù)進(jìn)步模型 15 環(huán)境規(guī)制與經(jīng)濟(jì)關(guān)系的實(shí)證研究 17 環(huán)境規(guī)制與經(jīng)濟(jì)增長(zhǎng)的研究 17 環(huán)境規(guī)制與技術(shù)創(chuàng)新的研究 21 環(huán)境規(guī)制與競(jìng)爭(zhēng)力的研究 26第3章 環(huán)境規(guī)制的作用機(jī)制分析 31 環(huán)境規(guī)制的目標(biāo)與有關(guān)指標(biāo) 31 環(huán)境規(guī)制的目標(biāo) 31 有關(guān)量化指標(biāo) 33 環(huán)境規(guī)制的實(shí)現(xiàn)機(jī)制 36 分析框架 37 環(huán)境規(guī)制的傳導(dǎo)機(jī)制 38 環(huán)境規(guī)制對(duì)經(jīng)濟(jì)的凈影響 44 環(huán)境規(guī)制的實(shí)現(xiàn)工具 47第4章 中國(guó)環(huán)境規(guī)制的演變與效果 51 中國(guó)環(huán)境規(guī)制的發(fā)展歷程 51 中國(guó)環(huán)境規(guī)制的實(shí)踐 54 行政強(qiáng)制手段 55 市場(chǎng)化工具 56 自愿工具 60 中國(guó)環(huán)境規(guī)制的效果 61 環(huán)境效果 62 經(jīng)濟(jì)效果 68 環(huán)境效果與經(jīng)濟(jì)效果關(guān)系的統(tǒng)計(jì)分析 70第5章 環(huán)境規(guī)制對(duì)中國(guó)經(jīng)濟(jì)增長(zhǎng)的影響——基于生產(chǎn)率的分析 76 環(huán)境競(jìng)次競(jìng)爭(zhēng)假說(shuō) 76 環(huán)境規(guī)制與生產(chǎn)率的省際比較 78 生產(chǎn)率的省際比較 78 環(huán)境規(guī)制的省際比較 79 環(huán)境規(guī)制與生產(chǎn)率的經(jīng)驗(yàn)分析 81 生產(chǎn)率分解 82 模型設(shè)定與變量 86 估計(jì)結(jié)果 87 穩(wěn)健性檢驗(yàn) 91 主要結(jié)論 93 環(huán)境規(guī)制與生產(chǎn)率的分位數(shù)分析 94 環(huán)境規(guī)制的分位數(shù)比較 94 分位數(shù)估計(jì)簡(jiǎn)介 95 環(huán)境規(guī)制對(duì)生產(chǎn)率影響的總體分析 95 環(huán)境規(guī)制對(duì)生產(chǎn)率影響的區(qū)域分析 98 結(jié)論 101第6章 環(huán)境規(guī)制對(duì)中國(guó)經(jīng)濟(jì)增長(zhǎng)的影響——基于技術(shù)創(chuàng)新的分析 103 引致創(chuàng)新假說(shuō) 103 中國(guó)技術(shù)創(chuàng)新的表現(xiàn) 104 環(huán)境規(guī)制與技術(shù)創(chuàng)新的經(jīng)驗(yàn)考察 110 模型與變量說(shuō)明 110 估計(jì)方法 113 結(jié)果分析 115 結(jié)論 120 環(huán)境規(guī)制與環(huán)境技術(shù)創(chuàng)新的非線(xiàn)性分析 121 環(huán)境技術(shù)創(chuàng)新 121 計(jì)量方法與變量說(shuō)明 122 估計(jì)結(jié)果 124 主要結(jié)論 127第7章 環(huán)境規(guī)制對(duì)中國(guó)經(jīng)濟(jì)增長(zhǎng)的影響——基于產(chǎn)業(yè)競(jìng)爭(zhēng)力的分析 128 Porter假說(shuō)之爭(zhēng) 128 環(huán)境規(guī)制與產(chǎn)業(yè)競(jìng)爭(zhēng)力的相關(guān)性分析 130 有關(guān)衡量指標(biāo) 130 環(huán)境規(guī)制與產(chǎn)業(yè)競(jìng)爭(zhēng)力的相關(guān)性 134 考慮污染溢出的競(jìng)爭(zhēng)力模型 135 環(huán)境規(guī)制與產(chǎn)業(yè)競(jìng)爭(zhēng)力的空間計(jì)量分析 137 模型設(shè)定與變量說(shuō)明 137 估計(jì)方法 139 結(jié)果分析 140 主要結(jié)論 144 環(huán)境規(guī)制與產(chǎn)業(yè)競(jìng)爭(zhēng)力的多因素模型分析 145 模型設(shè)定 145 估計(jì)策略 145 估計(jì)結(jié)果 147 結(jié)論 151第8章 提高環(huán)境規(guī)制經(jīng)濟(jì)激勵(lì)效應(yīng)的政策設(shè)計(jì) 153 完善環(huán)境與發(fā)展綜合決策機(jī)制 153 提高環(huán)境規(guī)制政策實(shí)施的有效性和效率 154 切實(shí)貫徹污染者付費(fèi)原則 155 明確中央和地方政府環(huán)保事權(quán)和責(zé)任 156 完善跨部門(mén)、跨區(qū)域的利益協(xié)調(diào)機(jī)制 157參考文獻(xiàn) 158致 謝 177攻讀學(xué)位期間發(fā)表的學(xué)術(shù)論文 178188CONTENTSABSTRACT VChapter 1 Introduction 1 Pose a problem 1 Explore the main themes 2 Define the key concepts 3 Environment 3 Environmental regulation 4 Environmental externalities 5 A Brief description of “the economic effects of environmental regulation” 6 Research ideas and struc