【作者】 高东；

【导师】 陈艳莹；

【作者基本信息】 大连理工大学 ， 人口、资源与环境经济学， 2007， 硕士

【摘要】 自从庇古提出通过制度设计来解决环境的外部性以来，环境政策逐渐成为了研究的热点。许多研究表明，不同类型的环境政策对技术进步速度和方向有着显著不同的影响，如何通过环境政策诱发绿色技术的发明、创新和扩散，是减轻或消除污染的关键所在。因此在环境政策工具选择方面考虑其对技术进步的影响是一种有效的选择。在对环境政策技术效应进行比较时，本文首先从技术效应的两个纬度——技术创新效应和技术扩散效应入手对环境政策进行比较，引入成本不确定因素使所研究的问题更接近现实，从而为政府制定相关政策提供理论依据。分析结果表明，当成本不确定程度较小时，税收政策无论在激励企业进行技术创新方面还是促进技术扩散方面都是所有政策中最优的。许可权交易在促进技术扩散方面的作用弱于补贴政策而强于技术标准，但许可权交易政策在激励企业进行技术创新方面优于除税收政策以外的其他政策。当成本不确定程度较大时，经济政策都会导致技术扩散的速度减慢和企业R&D投资的减少，税收政策的技术效应是否优于技术标准取决于对政策的测度、控制和执行的难易程度。这说明在现实世界里，只有当环境政策工具的遵守成本优势能足够补偿其因其它方面如监督、测度等方面的困难而产生的劣势时，基于市场的环境政策工具的优越性才是有保证的。随后的分析中，以国外的能源节约技术为例，考察了在成本不确定条件下，环境政策工具对企业进行技术创新和扩散的影响，并在一定程度上验证了本文结论的合理性。更多还原

【Abstract】 Environment policy instruments have become a research focus gradually since Pigou suggested the use of system design to solve environment external. Many researches show that different kinds of environment policy instruments have significantly different effects on technology progress in speed and direction. How to induce the invention, diffusion and innovation of green technology through environment policy instruments are the key point to lighten or abatement pollution .Thus, it is an effective choice to consider the effect of technological progress when choosing environment policy instruments.When comparing technological effects of environment policy, this paper uses two aspects of technological effect, technological innovation effect and technological diffusion effect, as well as introducing uncertainty of cost to make the issue studied more reasonable, thereby, government could be provided theoretic basis when making related policies.Analysis result indicates that, when cost is easily controlled; tax policy is optimal no matter in promoting firms to adopt new abatement technology or in encouraging firms making technological innovation. Right transaction plays a less important role in promoting technological diffusion than subsidy policy, while it plays a more important role than technique standards. However, right transaction policy is better than all the other policies expect tax policy in encouraging companies to make technological innovations. In the case uncertainty of cost degree is fairly high, economic measures will inevitably cause the slow down of technology diffusion and the reduction of enterprises R&D investment, whether technological effect of tax policy is better than technique standards lays on measuring, controlling and difficulty degree of execution. This shows that in the real world, only when abidance cost advantages of environment policy instruments could sufficiently make up the disadvantages caused by other difficulties such as inspection and measurement, can the superiority of environment policy instrument which is based on market be assured. In the following analysis, this paper illustrates energy saving technologies of foreign country, inspects the effects of environment policy instruments on company technological innovation considering uncertainty of cost, and verifies the conclusions drew in this paper in some degree.更多还原