导　　师： 高志刚

学科专业： 020202

授予学位： 硕士

作　　者： ;

机构地区： 新疆财经大学

摘　　要： 对于任何一个国家而言，经济的快速增长难免产生环境污染问题，上世纪70年代，发达国家的发展经验表明，发展经济的同时必须逐步重视对于环境的保护和规制。新疆是一个经济发展水平相对落后的地区，长期以来严重依赖能源资源大量开采和利用的粗放工业增长模式使得经济快速增长背景下的能源节约和污染减排的压力前所未有。那么，作为政府对厂商生产造成的污染外部不经济的主动规制能否反过来倒逼刺激厂商能源效率的提高，从而实现节能和减排的双重效益呢？目前的研究成果还很难作出一个准确的回答。 已有理论研究表明，政府环境规制和能源效率之间存在着对立的“两难”格局，即一个目标得以实现的同时，常常是以另一个目标的损失为代价。一方面，如果企业已经处于最优生产条件，当引入环境规制后，最直接的影响就是增加企业的生产成本，从而削弱了企业的能源使用效率；另一方面，从动态的角度来看，合理的环境规制使得企业的生产成本提高，为了保持市场的竞争力，不得不进行技术创新，从而可能提高能源的使用效率。可见，实现环境规制和能源效率提高的关键在于环境规制是否促进了企业在能源利用技术上的进步，如果环境规制刺激企业进行能源利用技术的创新效应大于因成本提高而带来能源的损耗效应，则政府环境规制不仅能减少污染排放、改善生态环境质量，还能提高能源的利用效率，从而起到节能降耗的作用。 本文在梳理了有关环境规制与能源效率的文献基础上，分别从宏观层面、中观层面和微观层面重点提出了环境规制对能源效率的作用机理，并分析了目前新疆存在的环境规制政策现状。然后，本文以新疆1990-2010年期间的环境与能源为研究对象继续进行实证探索。首先采用熵权法构建了一个多变量综合的境规制变量，并通过DEA模型测算了新疆全要素能源效率，接着通过构建计量模型检验了环境规制对能源效率的影响方向和大小。研究发现，无论是从单要素能源效率，还是从全要素能源效率的角度，环境规制均不利于新疆能源效率的提高，同时，环境规制对能源效率的抑制作用不仅体现在当期，滞后3期的抑制作用仍然显著，尤其是滞后2期的环境规制对当期的能源效率影响最大。最后，文章就实证检验的结果做出了一些理论推断和猜想，并提出了相应的政策建议，包括转变经济增长理念、强化环境规制的监督机制、发展循环经济和制定针对提高能源效率的环境规制措施等。 With the worsening and outstanding of environmental problems, the world developedcountries gradually pay attention to environmental protection and regulation beginning from the1970s. Xinjiang has a low level of economic development relatively backward areas, and has longbeen heavily dependent on energy resources exploitation and utilization of a large number ofindustrial growth model makes extensive pressure energy conservation and pollution reductionunder the background of unprecedented rapid economic growth. Therefore, as an activegovernment regulation of pollution caused by external diseconomies of manufacturers canstimulate manufacturers to improve energy efficiency conversely, in order to achieve the dualbenefits of energy efficiency and reduction of it? The current research is also difficult to make anaccurate answer. Theoretical studies have indicated that exists between government environmental regulationand energy efficiency of opposites "dilemma" pattern, that is, a goal to be achieved at the sametime, often at the expense of the loss of another goal. Assuming the technical, resourceallocation, and consumer demand for fixed premise, companies have made the best choice,when the introduction of environmental regulations, will increase production costs, thusweakening the efficiency of energy use in the enterprise; however, from dynamic point of view,reasonable environmental regulation makes the production costs, in order to maintain thecompetitiveness of the market, had to technological innovation, which could improve theefficiency of energy use. Visible, the key to achieving environmental regulation and energyefficiency that environmental regulation is to promote the enterprise and progress in energytechnology, if environmental regulations to stimulate enterprise energy technology innovationeffect is greater than due to higher costs brought about loss effects of energy, the governmentenvironmental regulation can not only reduce pollution, improve the ecological quality of theenvironment, but also improve the efficiency of energy use, and thus play a role in energysaving. Based on the reviews the literatures of environmental regulation and energy efficiencyrespectively, this paper focus on proposed environmental regulation mechanism for energyefficiency from the macro level, meso-level and micro-level, and analyzes the current status ofour existence of environmental regulations and policies. Then take Xinjiang for example, usingmultivariate composite index constructed variable environmental regulation and DEA model estimates the energy efficiency in Xinjiang from1990to2010, and by constructing econometricmodel examines environmental regulation on energy efficiency affect the direction and size. Thestudy found that both the energy efficiency from a single element or elements of energy efficiencyfrom the perspective of the whole, government environmental regulations are not conducive tothe improvement of energy efficiency in Xinjiang, while government environmental regulationsfor energy efficiency is not only reflected in the current inhibition, hysteresis3of inhibitionremained significant, especially in lagging two government environmental regulations affect theenergy efficiency of the current maximum. Finally, the article on the results of empirical testsmade some theoretical inference and conjecture, and the corresponding policy recommendations.

关 键 词： 环境规制 能源效率 作用机理 新疆

分 类 号： [X24 F206]

领　　域： [环境科学与工程] [经济管理]