【作者】 李超；

【导师】 宋德勇；

【作者基本信息】 华中科技大学 ， 人口、资源与环境经济学， 2022， 博士

【摘要】 污染减排是优化经济结构、转变发展方式、增进民生福祉的重要抓手,也是改善环境质量、解决环境问题的主要手段。长期以来,党中央高度重视生态环境保护和污染防治工作,严格落实各级党政主体在环境保护工作中的责任,通过自上而下的环保目标设定、分解和考核,形成了一套环保目标责任制的制度体系。总的来看,环保目标责任制和污染减排分别作为生态环境保护的制度保障和重要目标,系统研究环保目标责任制的污染减排效应,对于当前打赢污染防治攻坚战,推动实现高质量发展意义重大。本文基于环保目标责任制在中国推广实践的制度背景,系统梳理了这一制度的理论基础与具体实践,并利用中国区域和企业层面的数据,全面地评价了环保目标责任制的污染减排效应,核心内容与结论如下。第一,梳理了环保目标责任制的发展历程和我国污染物排放的特征性事实,并对二者关系进行了初步分析。本文系统回顾了我国环保目标责任制的发展脉络和具体实践,从全国层面和地区层面描述和分析了主要污染物排放的特征性事实,并对环保目标责任制度约束强度与污染物排放之间的关系进行相关性分析。结果发现,对于二氧化硫和化学需氧量这类约束性污染指标,环保目标责任制度约束强度与污染排放量之间存在负向的线性关系,但对工业废水和工业废气排放量这类非约束性的污染指标而言,这种相关关系则并不明显。第二,系统分析了环保目标责任制的理论基础和促进污染减排的理论机制。本文基于目标管理理论、委托代理理论和政府层级理论,廓清了环保目标责任制的运行逻辑及权责关系;同时结合我国多层级的纵向政府结构和层级管理的制度特征,区分定义了逐级管理和跨级管理两种制度模式。而相较于逐级管理模式,跨级管理模式下环保目标责任制涉及的政府层级更少,目标分解、传递和考核过程也更为直接,从而有助于缓解环境治理效能的耗散,其环境治理效能更强。理论分析表明,环保目标责任制的实施会给地方政府带来环保目标压力,进而对其污染治理行为产生影响,具体通过强化经济激励和监管压力的机制促进污染减排。而在实现区域污染减排的同时,环保目标责任制的实施将会压缩污染行业规模,倒逼经济结构绿色转型并促进经济绿色增长。第三,实证检验了逐级管理模式下环保目标责任制的污染减排效应。本文基于2007-2017年我国30个省(市、自治区)的面板数据,采用面板数据模型检验了逐级管理模式下环保目标责任制的污染减排效应。结果表明,在逐级管理模式下,环保目标责任制的实施可以有效促进约束性污染物的减排,并通过强化经济激励和监管压力的机制促进污染减排。异质性分析显示,在逐级管理模式下,环保目标责任制的实施对于东部地区和进行碳排放权交易试点地区的污染减排效应更为显著;对于未被纳入约束性的污染指标而言,逐级管理模式下环保目标责任制的减排效应影响有限。在逐级管理模式下,环保目标责任制有助于压缩区域内经济结构中污染产业的比重,促进绿色经济效率的提升。第四,实证检验了跨级管理模式下环保目标责任制的污染减排效应。本文基于河北省县级层面数据和“双三十”节能减排示范工程的制度实践,采用双重差分模型检验了跨级管理模式下环保目标责任制的污染减排效应。研究发现,在跨级管理模式下,环保目标责任制的实施显著促进了二氧化硫和化学需氧量这类约束性污染物的减排;具体可通过增加环保支出形成经济激励,强化环境行政处罚形成监管压力的机制实现污染减排。异质性分析显示,跨级管理模式下环保目标责任制对位于非行政边界地区的污染减排效应更为显著,同时对于工业废水和工业废气这类非约束性的污染指标也具有显著的减排效应。进一步分析表明,跨级管理模式下,环保目标责任制有助于绿色经济效率的提升并促进经济绿色发展。最后,基于企业层面的证据表明,跨级管理模式下的环保目标责任制有助于促进辖区内企业的污染减排,且主要通过技术效应和规模效应的机制来推动污染治理。本文基于经济学和公共管理学的相关理论,构建了分析环保目标责任制理论框架,并结合我国多层级的行政治理体系,区分并定义了逐级管理与跨级管理这两种制度运行模式,拓展了关于环保目标责任制的理论研究边界。进一步地,结合我国的制度应用,较为全面评价了环保目标责任制促进污染减排的效应和机制,并检验了其对于经济绿色发展的积极效应。所得到结论不仅为研究环保目标责任制的污染减排效应提供了经验证据,也为环保目标责任制度体系的完善创新,进而推动污染治理和绿色转型提供了政策启示。更多还原

【Abstract】 Pollution reduction is the key to optimize economic structure,change the mode of development and improve people’s well-being.It is also a powerful tool to improve environmental quality and solve environmental problems.The Communist Party of China Central Committee has long attached great importance to ecological environment protection and pollution control,and strictly implement the environmental protection responsibility of Party Committees and governments at all levels.Specifically,the Target Responsibility System of Environmental Protection(TRSEP)was formed through setting,decomposing and assessing top-down environmental protection goals.In general,TRSEP and pollution reduction are the institution guarantee and core goal of ecological environment protection,respectively.Systematic research on the pollution reduction effect of TRSEP is of great significance for winning the battle against pollution and realizing high-quality development.Based on the above institutional background,this dissertation systematically reviews the theoretical basis and practice of TRSEP,and comprehensively evaluates the pollution reduction effect of TRSEP by using regional-level and firm-level data.The main contents and conclusions are as follows.Firstly,this dissertation sorts out the development history of TRSEP and the characteristic facts of pollutant emission in China,then preliminarily analyzes the relationship between them.Specifically,this dissertation systematically reviews the development process and application of TRSEP in China.Also,the characteristic facts of major pollutant discharge are described and analyzed from the national and regional levels.Based on the above analysis,this dissertation analyzes the relationship between institutional constraint intensity of TRSEP and pollutant emissions.The results indicate that there is a negative linear relationship between the intensity of TRSEP and pollutant emissions for the restrictive pollutants,such as sulfur dioxide and chemical oxygen demand.Therefore,the relationship is not obvious for the non-restrictive pollutants,such as industrial wastewater and industrial waste gas.Secondly,this dissertation systematic analyzes the theoretical basis of TRSEP and the theoretical mechanism to realize pollution reduction.Based on the management by objectives theory,principal-agent theory and government hierarchy theory,this dissertation clarifies the operation logic and power responsibility relationship of TRSEP.Also,combined with the multi-level vertical government structure and the institutional characteristics of hierarchical management,this dissertation distinguishes and defines the two institutional models of “levelby-level management” and “cross-level management”.Compared with the level-by-level management model,the TRSEP under the cross-level management model involves fewer government levels,and the process of goal decomposition,transmission and assessment is more direct,contributing to alleviate the dissipation of environmental governance efficiency.Therefore,its environmental governance efficiency is stronger.The results of theoretical analysis show implementing the TRSEP may bring environmental protection target pressure to local governments,and influence their pollution control behavior.Specifically,the TRSEP can promote pollution reduction by strengthening economic incentives and regulatory pressure.The implementation of TRSEP may not only help to realize pollution reduction,but also reduce polluting industries’ scale,force economic structural green transformation and promote green economic growth.Thirdly,this dissertation empirically examines the pollution reduction effect of TRSEP under the level-by-level management mode.Based on the panel data of 30 provinces in China from 2007 to 2017,this dissertation uses the panel data model to test the pollution reduction effect of TRSEP under the level-by-level management mode.The empirical evidence shows that the implementation of TRSEP has significantly promotes the reduction of restrictive pollutants emissions by increasing economic incentives and regulatory pressure.According to heterogeneity analysis results,under the level-by-level management mode,implementing the TRSEP has a more significant pollution reduction effect for eastern regions and the pilot areas for carbon emissions trading.In addition,the pollution reduction effect of TRSEP under the level-by-level management mode is not significant for the non-restrictive pollutants.From the perspective of green development,The TRSEP in the level-by-level management mode can reduce the proportion of polluting industries in the regional economic structure,which is conducive to improving green economic efficiency.Fourthly,this dissertation empirically examines the pollution reduction effect of TRSEP under the cross-level management mode.Based on the “double thirty” energy conservation and pollution reduction demonstration project and the data of Hebei Province,this dissertation utilizes difference-in-differences model to evaluate the pollution reduction effect of TRSEP unnder the cross-level management mode.The results indicate that the implementation of TRSEP with the cross-level management mode can significantly promote the reduction of restrictive pollutants emissions,such as sulfur dioxide and chemical oxygen demand.Specifically,TRSEP can promote the pollutants’ emission reduction by increasing environmental protection expenditure to form economic incentives,and strengthening environmental administrative punishment to form regulatory pressure.In addition,the heterogeneity analysis shows that the pollution reduction effects of TRSEP under the crosslevel management mode are more significant for the counties in non-administrative border.Also,this policy can significantly reduce the discharge for the non-restrictive pollution indicators such as industrial wastewater and industrial exhaust gas.Further analysis shows that the TRSEP in cross-level management mode promotes regional green economic efficiency and realizes green economic development.Finally,the evidence at the firm level shows that the TRSEP under cross-level management mode encourages the corporate pollution reduction,which is mainly promoted through the mechanism of technology and scale effects.Based on economics and public management theories,this dissertation constructs a theoretical framework for analyzing the TRSEP.Then combining with China’s multi-level administrative governance system,this dissertation distinguishes and defines the two modes of “level-by-level management” and “cross-level management”,which expands the boundary of theoretical research about TRSEP.Furthermore,based on the application of the TRSEP in China,this dissertation comprehensively evaluates the effects and mechanisms of TRSEP to promote pollution reduction,and tests the positive effect on green economic development.The conclusions not only provide empirical evidence for the study of TRSEP and pollution reduction,but also provide policy enlightenment for the improvement and innovation of TRSEP,so as to realize pollution control and green transformation.更多还原