本文選題：水環(huán)境約束 + 環(huán)境效率�。� 參考：《首都師范大學(xué)》2014年博士論文

【摘要】：經(jīng)濟(jì)發(fā)展與水環(huán)境之間具有密切的關(guān)系。國內(nèi)外學(xué)者已對經(jīng)濟(jì)發(fā)展與水環(huán)境之間的關(guān)系進(jìn)行了大量研究,“環(huán)境庫茲涅茨曲線”(倒U型曲線)理論是其中最為經(jīng)典和重要的結(jié)果。但目前這類研究大都只是驗(yàn)證經(jīng)濟(jì)發(fā)展與水環(huán)境之間是否具有倒U型關(guān)系,并在此基礎(chǔ)上進(jìn)行相關(guān)討論。對于二者之間更深層次的關(guān)系,還缺乏更深入的研究。環(huán)境全要素生產(chǎn)率是從經(jīng)濟(jì)發(fā)展模式的角度研究經(jīng)濟(jì)發(fā)展與環(huán)境之間的關(guān)系。我國的相關(guān)研究主要集中在全國范圍、各省份、工業(yè)和農(nóng)業(yè)方面,具體到市級的研究較少；此外根據(jù)相關(guān)研究結(jié)果,選取的非期望產(chǎn)出不同,計(jì)算出來的環(huán)境效率和環(huán)境全要素生產(chǎn)率值也存在差異,需要針對地區(qū)污染特點(diǎn)選取特定的污染物進(jìn)行研究。關(guān)中水資源缺乏,但水污染問題比較嚴(yán)重,論文以關(guān)中為研究區(qū),首先以西安市為例,在對水質(zhì)指標(biāo)和經(jīng)濟(jì)指標(biāo)進(jìn)行嚴(yán)格篩選及處理的基礎(chǔ)上,提出了一種導(dǎo)數(shù)約束以減少經(jīng)驗(yàn)關(guān)系式選擇上的主觀任意性,構(gòu)建了西安市的水質(zhì)-經(jīng)濟(jì)經(jīng)驗(yàn)關(guān)系式,深入研究了其經(jīng)濟(jì)發(fā)展與水質(zhì)之間的關(guān)系�；谖靼步⒔�(jīng)驗(yàn)關(guān)系式的方法和步驟,構(gòu)建了銅川、寶雞、咸陽、渭南的水質(zhì)和水污染物排放量與經(jīng)濟(jì)的經(jīng)驗(yàn)關(guān)系式。同時(shí)探討在水環(huán)境約束下關(guān)中的經(jīng)濟(jì)發(fā)展模式,采用SBM方向性距離函數(shù)測算了關(guān)中五市1997-2011年的環(huán)境效率,基于SBM的ML指數(shù)測算了關(guān)中五市的環(huán)境全要素生產(chǎn)率,并在不同的市域間進(jìn)行對比,用偏最小二乘回歸(PLS)分析了對于經(jīng)濟(jì)發(fā)展模式的影響因素。本文的研究為經(jīng)濟(jì)發(fā)展與水環(huán)境關(guān)系的研究提供一種新的研究思路,具有重要的理論意義和科學(xué)意義；同時(shí)為制定關(guān)中經(jīng)濟(jì)和環(huán)境協(xié)調(diào)發(fā)展政策、促進(jìn)關(guān)中經(jīng)濟(jì)的可持續(xù)發(fā)展提供科學(xué)依據(jù),具有一定的應(yīng)用價(jià)值。 論文主要研究結(jié)論可概括為以下幾方面： (1)首先構(gòu)建了西安水質(zhì)-經(jīng)濟(jì)經(jīng)驗(yàn)關(guān)系式,基于西安建立水質(zhì)-經(jīng)濟(jì)經(jīng)驗(yàn)關(guān)系式的方法和步驟,構(gòu)建了銅川、寶雞、咸陽、渭南的水質(zhì)和水污染物排放量與經(jīng)濟(jì)的經(jīng)驗(yàn)關(guān)系式。并結(jié)合相應(yīng)理論分析,論文認(rèn)為水環(huán)境經(jīng)濟(jì)關(guān)系可以根據(jù)阻礙水環(huán)境惡化的作用與促進(jìn)水環(huán)境惡化的作用的相對大小分成三類,當(dāng)阻礙作用大于促進(jìn)作用時(shí),水環(huán)境指標(biāo)隨經(jīng)濟(jì)指標(biāo)的增加迅速衰減；當(dāng)阻礙作用與促進(jìn)作用相互持平時(shí),水環(huán)境指標(biāo)隨經(jīng)濟(jì)指標(biāo)的增加先上升,到達(dá)峰值后再逐漸下降；當(dāng)阻礙作用小于促進(jìn)作用時(shí),水環(huán)境指標(biāo)隨經(jīng)濟(jì)指標(biāo)的增加呈震蕩式衰減。 (2)選取勞動(dòng)力、資本和能源為投入,國內(nèi)生產(chǎn)總值為期望產(chǎn)出,化學(xué)需氧量和氨氮年排放量為非期望產(chǎn)出,測算了關(guān)中五市1997-2011年水環(huán)境約束下的效率,并進(jìn)行了對比分析。對環(huán)境效率的縱向?qū)Ρ劝l(fā)現(xiàn),隨著時(shí)間的推移,對投入因素的利用率會(huì)越來越高,經(jīng)濟(jì)發(fā)展和環(huán)境保護(hù)達(dá)到了較高的協(xié)調(diào)程度。對環(huán)境效率的橫向?qū)Ρ劝l(fā)現(xiàn),西安和寶雞的環(huán)境效率值為1,經(jīng)濟(jì)和環(huán)境關(guān)系比其它三市更為協(xié)調(diào),其它三市環(huán)境效率值比較波動(dòng),銅川與其它城市差距最大。 (3)測算了關(guān)中五市水環(huán)境約束下的全要素生產(chǎn)率。縱向?qū)Ρ劝l(fā)現(xiàn),除了個(gè)別年份外,五市的環(huán)境全要素生產(chǎn)率都是提升的,技術(shù)進(jìn)步起了主要的推動(dòng)作用；經(jīng)過橫向?qū)Ρ劝l(fā)現(xiàn),五市中銅川的環(huán)境全要素生產(chǎn)率提升的最多,其技術(shù)進(jìn)步也最為明顯,可以認(rèn)為銅川在城市經(jīng)濟(jì)轉(zhuǎn)型期間取得了明顯的成效。這五市的經(jīng)濟(jì)發(fā)展模式均從粗放逐漸轉(zhuǎn)化為集約型。 (4)選取經(jīng)濟(jì)因素(人均GDP、二產(chǎn)比例、資本勞動(dòng)比)、人口因素(人口密度)、環(huán)境因素(化學(xué)需氧量排放強(qiáng)度、氨氮排放強(qiáng)度、單位GDP電耗)和對外經(jīng)濟(jì)因素(進(jìn)出口總額/GDP、外商直接投資/GDP)分析對于環(huán)境效率和環(huán)境全要素生產(chǎn)率在時(shí)間和地區(qū)間存在差異的影響。綜合分析發(fā)現(xiàn),氨氮排放對于環(huán)境效率和環(huán)境全要素生產(chǎn)率的影響力度超過了化學(xué)需氧量,其重要性越來越大；電力的使用所起的作用正在逐漸加大；資本深化促進(jìn)管理創(chuàng)新和技術(shù)創(chuàng)新,有利于環(huán)境全要素生產(chǎn)率的提高；較高的經(jīng)濟(jì)發(fā)展水平有利于環(huán)境效率和環(huán)境全要素生產(chǎn)率的提升。
[Abstract]:There is a close relationship between economic development and water environment. Scholars at home and abroad have done a lot of research on the relationship between economic development and water environment. The "environmental Kuznets curve" (inverted U curve) theory is the most classic and important result. But at present, this kind of research is only verifying that the economic development and the water environment are between them. Whether there is an inverted U relationship and discuss it on this basis. There is still a lack of more in-depth study on the deeper relationship between the two. The environmental total factor productivity is a study of the relationship between economic development and the environment from the perspective of economic development model. In addition, there are few studies at the municipal level. In addition, according to the relevant research results, the selected undesired output is different, the calculated environmental efficiency and the total factor productivity of the environment are also different. The specific pollutants should be selected for the study of the regional pollution characteristics. This paper takes Guanzhong as the research area. First of all, taking Xi'an as an example, on the basis of strict screening and processing of water quality index and economic index, a derivative constraint is put forward to reduce subjective arbitrariness in empirical relationship selection, and the water quality economic experiential relation of Xi'an is constructed, and its economic development and water quality are deeply studied. Based on the methods and steps of establishing the empirical relationship in Xi'an, Xi'an, Baoji, Xianyang and Weinan have been established for the relationship between water quality and water pollutant discharge and economic experience. At the same time, the economic development model in the confinement of water environment is discussed, and the environmental effects of five cities in Guanzhong 1997-2011 years are calculated by using the SBM directional distance function. Rate, based on the SBM ML index, the total factor productivity of the five cities in Guanzhong is calculated and compared with the different city regions, and the partial least squares regression (PLS) is used to analyze the influence factors on the economic development model. This study provides a new research idea for the study of the relationship between economic development and water environment, which has important theory. It is of significance and scientific significance; at the same time, it provides a scientific basis for the development of the coordinated development policy of the Guanzhong economy and the environment and the sustainable development of the Guanzhong economy. It has certain application value.
The main conclusions of the paper can be summarized as follows:
(1) first, the water quality economic empirical relation of Xi'an was constructed. Based on the method and step of establishing water quality and economic experience relationship in Xi'an, the water quality and water pollutant discharge of Tongchuan, Baoji, Xianyang and Weinan were constructed and the empirical relationship between the water pollutant discharge and the economy was constructed. The effect of environmental deterioration and the effect of promoting the deterioration of water environment is divided into three categories. When the hindrance is greater than the promotion effect, the index of water environment attenuates rapidly with the increase of economic indicators. When the hindrance and promoting action are held each other, the index of water environment rises first with the increase of economic index, and then gradually drops to the peak. When the obstructing effect is less than the promoting effect, the water environmental index decreases with the increase of economic index.
(2) select labor, capital and energy as input, gross domestic product as expected output, chemical oxygen demand and ammonia nitrogen annual discharge as undesired output, calculate the efficiency under the water environment of Guanzhong five city for 1997-2011 years, and carry on a comparative analysis. The utilization rate will be higher and higher, and the economic development and environmental protection reach a higher degree of coordination. The environmental efficiency of Xi'an and Baoji is 1, the economic and environmental relations are more coordinated than the other three cities, the other three cities are more and more volatile, and the gap between Tongchuan and other cities is the largest.
(3) the total factor productivity (TFP) under the constraints of water environment in Guanzhong five cities was measured. In addition to a few years, the total factor productivity of the five cities was promoted, and the technological progress played a major role in promoting the total factor productivity of the five cities. Most obviously, it can be seen that Tongchuan has achieved remarkable results in the period of urban economic transformation. The economic development models of these five cities have been transformed from extensive to intensive.
(4) select economic factors (per capita GDP, ratio of second production, capital labor ratio), population factor (population density), environmental factors (chemical oxygen demand emission intensity, ammonia nitrogen emission intensity, unit GDP power consumption) and external economic factors (import and export total /GDP, foreign direct investment /GDP) analysis for environmental efficiency and environmental total factor productivity in time and area A comprehensive analysis shows that the impact of ammonia emission on environmental efficiency and environmental total factor productivity is more important than chemical oxygen demand, and its importance is increasing; the role of electricity use is increasing gradually; capital deepening promotes management innovation and technological innovation, which is beneficial to the total factor productivity of the environment. The higher level of economic development is conducive to the improvement of environmental efficiency and environmental total factor productivity.
【學(xué)位授予單位】：首都師范大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2014
【分類號】：X143;F127

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