我国环保产业R&D投入的决策理论与评价方法研究

The enhancement of environmental protection investment due to the establishment of the basic national policy of ecological development has promoted the rapid development in environmental protection industry in China. This study researches on decision-making and evaluation methods of R&D Investment of Environmental Protection Industry, which falls into the interdisciplinary field of Industry Economics, Ecological Economics and Investment, and is a beneficial exploration to sustainable development theory and its practice. This project aims to assess the performance of R&D investment of environmental protection industry by emergy efficiency, innovation efficiency and social efficiency.and develops an evaluation index system, explores the evaluation methods, and then pursues research on decision optimization of multiple investment and multilink investment. It explores subject motivation (compulsory and voluntary) and decision-making behavior of environmental protection industry R&D investment in view of the investment performance comprehensive target. Moreover, the project proposes target scale of investment performance, measures the innovation performance using stochastic frontier model and spatial econometric model. Then it analyses the spatial disparity correlation and variation of environmental protection industry R&D investment performance and debates on governmental target weigh of environmental protection and economic growth, proposing relevant guidance mechanism. The expected results are not only theoretical exploration of environmental protection policy and sustainable development theory, but also a practical attempt to promote the development of environmental protection industry, which provides certain reference to R&D investment decision-making, evaluation and guidance mechanism design of the industry.

我国确立了生态发展的基本国策，环保投入的加大促使环保产业迅速发展。本研究围绕环保产业R&D投入决策和评价方法开展研究，属于产业经济学、生态经济学和投资学的交叉领域，是对可持续发展理论与实践的有益探索。用能值效率、创新效率和社会效率共同计量环保产业R&D投入的绩效，构建评价指标体系，探索评价方法，并围绕对环保产业R&D多元投入、多环节投入的决策优化展开研究；针对投入绩效的综合目标，探讨环保产业R&D投入主体的动机（包括强制与自愿）与决策行为；刻画投入的目标量度，综合运用随机前沿、空间计量、博弈等模型测度创新效率与我国环保产业区域R&D投入的空间差异及变动规律；据此，探讨政府在环境保护与经济增长间的目标权衡，提出相关引导机制。预期成果既是理论层面对环保产业政策与可持续发展理论的探索，又是实践层面促进环保产业升级发展的尝试，为环保产业R&D投入决策、绩效评价和引导机制设计提供参考。

本项目是在我国确立了生态发展的基本国策，环保投入断加大，促使环保产业迅速发展的背景下确立，主要围绕环保产业R&D投入的决策和评价方法开展研究，属于产业经济学、生态经济学和投资学的交叉领域，是对可持续发展理论与实践的有益探索。研究期内主要对五方面内容进行了研究：第一，充分调研了我国节能环保产业的发展现状，对比分析了国际主要发达国家节能环保产业的发展状况与特征；第二，综合测算了节能环保产业技术投入的融资缺口，提出了发展绿色技术银行提升绿色产业发展竞争力的方案；第三，围绕节能环保产业发展的资金瓶颈问题，探索了绿色金融风险控制与运行机制；第四，调研了上海市环保产业及其R&D投入水平和绩效情况，给上海市委、市政府提交了系列决策咨询研究报告；第五，探索了长三角地区环境规制一体化与城市环保产业发展、财政水平差异的相互影响关系。主要研究成果及其科学意义体现在六个方面：第一，对我国环保产业R&D情况的充分调研和国际比较，掌握了我国环保产业R&D投入数据，有助于相关研究量化分析投入产出效率和后期投入决策；第二，对我国节能环保产业竞争力总体水平的实证分析，掌握了我国各地节能环保产业竞争力水平数据；第三，提出了发展绿色技术银行提升绿色产业发展竞争力的方案和数据分析，推动了绿色技术银行在上海市的先行先试，有助于探索解决环保产业R&D投入的资金瓶颈；第四，构建了环保产业发展与环境规制两系统耦合模型，测算了长三角26个主要城市的耦合度和协调度；第五，构建了2010-2017年长三角城市群一体化协同评价指标体系，并建立空间计量模型实证测度长三角各城市财政水平的空间差异与一体化协同的关系；第六，探索了绿色金融风险控制与运行机制，有助于分析解决节能环保产业发展的资金瓶颈问题，促进理论与实践工作者进一步探索我国经济高质量发展的关键因素与资源配置模型。