中文题名: | 基于政策文献计量的中国绿色金融政策组合特征与机制研究 |
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保密级别: | 公开 |
论文语种: | chi |
学科代码: | 120401 |
学科专业: | |
学生类型: | 硕士 |
学位: | 管理学硕士 |
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学位年度: | 2024 |
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学院: | |
研究方向: | 公共政策研究 |
第一导师姓名: | |
第一导师单位: | |
提交日期: | 2023-12-10 |
答辩日期: | 2023-11-28 |
外文题名: | RESEARCH ON THE CHARACTERISTICS AND MECHANISM OF CHINA'S GREEN FINANCE POLICY MIXES BASED ON POLICY BIBLIOMETRIC METHOD |
中文关键词: | |
外文关键词: | Green Finance ; Policy Mix ; Policy Tools ; Cross-sectoral Cooperation |
中文摘要: |
绿色金融在中国转变发展方式的过程中发挥着重要作用,其通过引导资金流向绿色环保产业,优化了资金的时空配置,还为中国应对经济快速发展衍生出来的环境和气候问题提供了资金支持。虽然相对于发达国家,中国绿色金融体系的构建起步晚,但是发展快,经过多年的建构,已愈发完善,现已成为助推中国经济社会实现可持续绿色发展的重要力量。中国绿色金融有今日之成就,与其背后政策体系的建构是分不开的。而中国绿色金融政策体系的建构是一项复杂的系统性工程,在解决复杂系统性问题时表面是政府部门运用多重政策目标与一系列政策工具系统性组合来实现,背后则是跨部门之间的合作,那么中国绿色金融政策组合是何种特征且背后的跨部门合作机制又是什么? 本文基于政策工具理论、政策组合理论和跨部门合作理论,以文献计量研究方法为主,辅之以内容分析法和社会网络分析法,综合运用NVivo12 Plus、UCINET和NetDraw等软件,将中央层面和绿色金融改革创新试验区所在五省层面中国绿色金融相关政策文本为研究对象,尝试对“中国绿色金融政策组合是何种特征且背后的跨部门合作机制又是什么?”这一问题进行系统性探究与分析。首先,全面系统地回顾绿色金融、政策工具及组合、跨部门合作的既有研究,探寻前人鲜有触及和深度挖掘的研究空间;其次,在综合参考既有研究成果的基础上,对中国绿色金融政策的演进脉络进行划分,然后采用文献计量法,借助相关软件,通过不同阶段政策聚焦点的呈现,科学完整地刻画出中国绿色金融政策工具及体系的发展演进脉络;再次,将对相关政策文本的选取来源、遴选规则和外部属性进行详细阐述,尝试构建政策工具-政策目标二维分析框架,并在此基础上运用NVivo12 Plus软件对政策文本内容进行编码;最后,在NVivo12 Plus软件进行数据分析的基础上,系统性梳理中国绿色金融政策体系发展各阶段政策工具与政策目标的使用及组合情况以揭示政策组合特征。通过建构政策发文部门合作关系对称矩阵,运用UCINET和NetDraw软件绘制政策发文合作网络图,对政策发文合作网络的点度中心度和网络中心势情况进行分析,以揭示政策组合背后的跨部门合作机制。 研究发现:首先,中国绿色金融政策工具及体系的发展演进经历了萌芽阶段(1981-1994年)、探索阶段(1995-2012年)、初建阶段(2013-2016年)和完善阶段(2017-2022年)四个阶段。其次,中国绿色金融政策组合总体上呈现着,以自愿性政策工具和促进绿色发展政策目标的使用和组合为绝对主导,权威命令型、能力建设型以及象征和劝诫性政策工具协同发展,限制污染发展、引导社会偏好和防范金融风险政策目标辅助实现的特征。但也存在着激励型政策工具使用不足,且正负向激励失衡等问题。最后,中国绿色金融政策组合背后总体上是少数关键部门为核心、多部门共同参与的跨部门合作机制在运行,中央层面各部委之间已基本形成以少数关键部门牵头、其他部门共同参与的合作网络,而试验区所在五省层面仅浙江省的少数关键部门为核心的合作网络初具规模,其他试验区所在省份的合作网络并未成型,且中央层面比试验区所在省层面合作网络的整合程度更高。基于上述研究结果提出以下政策建议:未来中国绿色金融政策工具及体系的建构应适当增加引导社会偏好政策目标与权威命令型、激励型和自愿性政策工具,以及防范金融风险政策目标同激励型政策工具的组合使用;试验区所在五省相关部门应适当加强绿色金融政策制定方面的合作。 |
外文摘要: |
Green finance plays an important role in the transformation of China's development mode. By guiding funds to green environmental protection industries, it optimizes the spatial and temporal allocation of funds, and also provides financial support for China to cope with the environmental and climate problems derived from its rapid economic development. Although compared with developed countries, the construction of China's green financial system started late, but it has developed rapidly and more and more perfect after years of construction, and has become an important force to promote the sustainable green development of China's economy and society. China's green finance has made today's achievements, which are inseparable from the construction of the policy system behind it. And the construction of China's green finance policy system is a complex systematic project. When dealing with complex system issues, it is ostensibly that government departments systematically employ a combination of various policy goals and a series of policy tools. Behind this lies the collaboration between different departments. Therefore, what are the characteristics of China's green finance policy mix, and what is the Cross-sectoral cooperation mechanism behind it? This article is based on the theories of policy tools, policy mix, and cross-sectoral cooperation, mainly using documentation metrics research methods, supplemented by content analysis and social network analysis methods, and comprehensively using software such as NVivo12 Plus, UCINET, and NetDraw. The research object of this study is the China green finance-related policies at both the central level and the level of five provinces where green finance reform and innovation pilot areas are located. The study attempts to systematically explore and analyze the characteristics of the "Chinese green finance policy mix" and the Cross-sectoral cooperation mechanism behind it. First, a comprehensive and systematic review of previous research on green finance, policy tools and combinations, and cross-departmental cooperation was conducted, exploring research spaces that previous studies had rarely touched upon in depth. Second, on the basis of referring to previous research results, the evolution of Chinese green finance policies was divided into different stages, and then the bibliometric method was used with the help of relevant software to scientifically and completely depict the development process of Chinese green finance policy tools and systems through the presentation of policy focus points at different stages. Third, the detailed selection sources, selection rules, and external attributes of the relevant policy texts were elaborated, attempting to construct a two-dimensional analysis framework of policy tools and policy objectives and using NVivo12 Plus software to encode the content of policy texts on this basis. Finally, based on the data analysis conducted on NVivo12 Plus software, the usage and combination of policy tools and policy objectives at different stages of the development of the Chinese green finance policy system were systematically combed to reveal the characteristics of policy combinations. By constructing a symmetric matrix of policy issuance department cooperation relationships, UCINET and NetDraw software were used to draw a policy issuance cooperation network diagram and analyze the point centrality and network centralization of the policy issuance cooperation network to reveal the cross-departmental cooperation mechanisms behind the policy combinations. Research findings: Firstly, the development and evolution of China's green finance policy tools and system have gone through four stages: the budding stage (1981-1994), the exploration stage (1995-2012), the initial stage of establishment (2013-2016), and the stage of improvement (2017-2022). Secondly, the overall combination of China's green finance policy shows that the use and combination of voluntary policy tools and policy objectives that promote green development are absolutely dominant, the authoritative command, capability-building, and symbolic and persuasive policy tools are developing together, the limiting pollution development, guiding social preferences, and preventing financial risks are three policy objectives that contribute to achieving the overall goal. However, there are also problems such as insufficient use of incentive policy tools and imbalance of positive and negative incentive mechanisms. Finally, the overall combination of China's green finance policies is primarily a cross-departmental cooperation mechanism with a few key sectors at its core and the participation of multiple departments. At the central level, a cooperation network has basically been formed among various ministries, with a few key sectors taking the lead while other departments participate. However, at the provincial level where the pilot zones are located, only Zhejiang Province has formed a cooperation network with a few key sectors at its core, while the cooperation network in other provinces where the pilot zones are located has not yet taken shape. Furthermore, the degree of integration in the cooperation network at the central level is higher than that at the provincial level where the pilot zones are located. Based on the above research findings, the following policy recommendations are proposed: in the future construction of China's green finance policy tools and system, it is necessary to appropriately increase the combination of guiding social preference policy objectives with authoritative command, incentive, and voluntary policy tools, as well as the combination of preventing financial risk policy objectives with incentive policy tools. The relevant departments in the five provinces where the pilot areas are located should appropriately strengthen cooperation in the formulation of green finance policies. |
参考文献总数: | 9 |
馆藏号: | 硕120401/24024 |
开放日期: | 2024-12-10 |