公共产品供给民营化背景下的政府规制研究

20世纪90年代开始,我国启动了公用事业市场化改革,民营资本特别是外资流向自来水供给、污水处理、城市生活垃圾收集与处理、燃气供应等行业。私人部门的介入激活了公共产品供给市场,有利于社会福利的增进,但也招致了诸多问题。公共产品供给民营化,并不意味着政府的完全退出,政府始终负有向社会公众提供公共产品或服务的原始责任,民营化只是在提供的形式上完成了向私人部门的转移,政府应完成从公共产品直接提供者向规制者的角色转换。本文以城市生活垃圾产业为例,进行了系统的分析。认为有效的规制应建立在真实的规制环境上,在城市生活垃圾产业民营化的规制中,面临着现有规制者与合约方一体、规制机构与企业信息不对称、政府部门承诺有限等规制约束。基于目前的规制环境,我国城市生活垃圾产业在推进民营化的同时,应建立起独立的规制机构,加强监管,逐步纵向一体民营化以降低交易成本,在合约中采用指数化价格分享企业租金。     

Carbon price impacts on sector cost: based on an input–output model of Beijing

Under the pressure of sustained growth in energy consumption in China, the implementation of a carbon pricing mechanism is an effective economic policy measure for promoting emission reduction, as well as a hotspot of research among scholars and policy makers. In this paper, the effects of carbon prices on Beijing’s economy are analyzed using input–output tables. The carbon price costs are levied in accordance with the products’ embodied carbon emission. By calculation, given the carbon price rate of 10 RMB/t-CO₂, the total carbon costs of Beijing account for approximately 0.22–0.40% of its gross revenue the same year. Among all industries, construction bears the largest carbon cost. Among export sectors, the coal mining and washing industry has much higher export carbon price intensity than other industries. Apart from traditional energy-intensive industries, tertiary industry, which accounts for more than 70% of Beijing’s economy, also bears a major carbon cost because of its large economic size. However, from 2007 to 2010, adjustment of the investment structure has reduced the emission intensity in investment sectors, contributing to the reduction of overall emissions and carbon price intensity.     

Double dividend of carbon intensity: environmental-quality improvement and sustainable economic growth

This paper established an equilibrium model including representative household, government, and eight industries, and two different environmental policy tools such as carbon intensity and carbon cap were added into the model. The paper points out that the carbon intensity policy imposed on major high-emission industries achieved double dividend of environmental-quality improvement and sustainable economic growth under the condition of proper constraint target. This result supports the environmental Porter hypothesis. This paper finds out that the double dividend is due to the fact that environmental governance policy leads to the rising price of resources and demand of labors, resulting in an effective redistribution of production factors among industries and sustainable economic growth. Furthermore, this paper estimates the marginal effect of economic structure on carbon emission and carbon intensity and provides targeted suggestions.     

中国高质量发展阶段最优环境保护税率研究

中国开始实施环境保护税法的时间位于从高速增长向高质量发展过渡的时期。环境保护税法规定了大气和水污染物的税率区间,因此实际执行的税率存在优化的空间。虽然征收环境保护税是为了达成环境目标,但是该项税收同样可以服务于经济和社会目标。本文拟对环境保护税这一市场化的环境政策价格工具进行优化,从这一崭新研究视角切入,探讨协调经济与环境关系的原则,以期为实现高质量发展提供理论依据。本文的研究方法基于一个包括企业、政府和消费者的世代交替模型,各经济主体进行分散化决策。企业在生产过程中排放污染,政府向企业征收环境保护税并且治理污染,消费者的内生寿命受到污染存量和人均产出的共同影响。根据市场均衡条件,本文得到描述物质资本和污染存量动态变化的非线性差分方程,在此基础上进行解析证明和数据模拟。研究得到以下三点结论:第一,同一个环境保护税率无法同时实现经济产出最大化和社会福利最大化的目标,这意味着在高质量发展阶段政府需要抛弃以经济增长为中心的政策思路,转而以社会福利最大化为目标确定最优的环境保护税率。政府提高环境保护税率,可以实现由经济产出最大化向社会福利最大化的转变。第二,相较于最大化经济产出的税率,最大化社会福利的环境保护税率在转移路径上会造成各主要变量较小的波动,并用一定的经济产出换取更多的物质资本、更优的环境质量、更长的人均寿命、以及更高的社会福利水平,因此支持了前述政府需要以社会福利最大化为目标确定最优环境保护税率的结论。第三,最大化社会福利的环境保护税率在基准模型中的数值为1.96,但污染物的异质性会影响最优税率的数值。污染物较低的自然扩散速度、较严重的健康损害程度、较高的治理技术水平都会提高最优的环境保护税率。本文提出三点政策建议:第一,通过征收环境保护税最大化社会福利水平。第二,通过提高环境保护税率体现发展理念的转变。第三,促进医疗卫生和污染治理技术进步。     

Analysis of Soil and Water Balance on the Land Arrangement Function

The natural supply of land resources is limited, but the economic supply may change along with social and economic development, and its size is decided bye nature and social and economic body conditions. When the supplying ability of land resources threatens the development of society and the conflict between people and land becomes tense, it forced people to im- prove land utilization and to increase the effective supply of land resources. The paper made an overall consideration on the characteristics of the irrigated farming and the frail ecological environment in Fuhai County, Altay Area, Xinjiang Uigur Autonomous Region and explored land arrangement planning as well as water resource planning and environmental protection. The paper evaluated natural resources, land utilization and water resource of the case study areas and focused on the spatio-temporal balance between the utilization of water and land resources. In the end the paper a feasible plan was made out for the land arrangement project.     

Defect and Innovation of Water Rights System

Abstract

The rare deposition of water resources conflicts with its limitless demand. This determined the existence of the water rights transaction system. The implementation of the water rights transaction system requires clarifying the definition of water resource right above all distinctly. At present, it is a kind of common right system arrangement which needs the Chinese government to dispose of water resources. Though a series of management systems guaranteed the government’s supply of water resource, it hindered the development of the water market seriously and caused the utilization of water resources to stay in the inefficient or low efficient state for a long time. Thus, we should change the government’s leading role in the resource distribution and really rely on the market to carry on the water rights trade and transaction. In this way, the water rights could become a kind of private property right relatively, and circulate freely in the market. As a result of this, we should overcome the defects of common right, make its external performance internalized maximally and achieve the optimized water resource disposition and use it more effectively.     

Water Resource Potential in Northern India: Constraints and Analyses of Price and Non-Price Solutions

The paper examines the linkages between water depletion, continuous population growth and economic development viewed primarily as agricultural development. This is done within a framework of a dynamic simulation model of ecological-economic type over extended periods of time. It is found that intensive agriculture, driven by an increase in the cropping intensity as a result of increase in area under paddy crop, has led to an increased gap between the demand for and supply of water resources, in particular subsurface resources. The consequent fall in water table may lead to constraints in the use of water. This has strong inequity implications in the resource use as well as threats to future of agricultural development in the region. It is revealed that a mix of interventions based on price solutions, non-price solutions and institutional set up are decisive in bringing a sustainable development and use of resource. The paper concludes with emphasising the role of state/government in achieving the desired goal.     

Analysis of Soil and Water Balance on the Land Arrangement Function

Abstract

The natural supply of land resources is limited, but the economic supply may change along with social and economic development, and its size is decided bye nature and social and economic body conditions. When the supplying ability of land resources threatens the development of society and the conflict between people and land becomes tense, it forced people to improve land utilization and to increase the effective supply of land resources. The paper made an overall consideration on the characteristics of the irrigated farming and the frail ecological environment in Fuhai County, Altay Area, Xinjiang Uigur Autonomous Region and explored land arrangement planning as well as water resource planning and environmental protection. The paper evaluated natural resources, land utilization and water resource of the case study areas and focused on the spatio-temporal balance between the utilization of water and land resources. In the end the paper a feasible plan was made out for the land arrangement project.     

关于Ramsey模型及其改进的研究和启示

缺水已经成为我国经济发展和社会进步的重要制约因素之一．而对水价的制定到对水资源的利用效率起科十分关键的作用。本文通过对Ramsey模型及其改进的研究．得出如下启示．即实行阶梯水价既有利于实现杜会福利的优化，也可以起到节约水资源的效果。由于阶梯水价机制的设计可以为制度安排、资本进入和市场运行提供更大的弹性空间．因此．本文的政策含义是：在实施阶梯水价的背景下．政府只需对基量水价按边际成本的定价原则来严格规制．从而有效提升水务市场的运行效率。上述举措的优点在于：由于基量水价被严格规制．消费者的基本用水福利可以得到满足；超过基本用水量的水价和再生水价的相对放松规制会鼓励社会资本进入水务行业．使行业运营效率得到提高；国有资本退出水务行业使得政府财政负担减轻，同时．由于放松规制．政府的规制成本也得以降低。最终城市水务行业可以真正做到可持续的发展。     

The Economic Effect of Mineral Resources Exploitation in Bijie Prefecture in Guizhou

Abstract

The exploitation of mineral resources plays an important role in promoting national economic development. Mining is an essential component of China’s industrial economy. Using grey correlation method to analyze the correlative effect of mineral resources exploitation to relevant industries, using national income method to calculate the pulling effect of mineral resources exploitation to economic growth and using graphs as well as tables to analyze the income distribution effect, the article obtains active economic effect of mineral resources development in Bijie, Guizhou. Moreover, from the view of resources-cored effect, the article analyzes negative effects such as single industrial structure brought by mineral resource development. Through analysis, we find that mineral resources exploitation to some extent brings active effects including gross domestic product growth, local financial revenue growth and relevant industries development; however, its negative effects should not be ignored. The negative effect can be lightened by diversifying industrial structure and prolonging industrial chain.     

昆山市22年来耕地流失研究

以昆山市1985～2006年共22a间的耕地面积变化及与之相关的总户籍人口、非农业人口、第一产业从业人口、地区生产总值、人均地区生产总值、第一产业生产总值、第二产业生产总值、粮食总产量和社会固定资产投资等9种社会经济指标为研究对象,采用变化率相关分析、主成分阶段分类等新方法对目前耕地流失研究中常用的相关分析、主成分分析等数学方法进行改进。研究结果表明:(1)新方法在耕地流失主要驱动因素分析和阶段划分方面具有独特的优势,同时能够通过回归方程的验证,所得结论可信度较高;(2)昆山市耕地流失的首要驱动因素为以人均地区生产总值为代表的社会经济水平的提高,同时人口增长和第二产业的发展加剧了耕地流失状况;(3)昆山市耕地流失按照所受压力对农业发展的影响可以分为3个阶段,分别为1985～1994年的未限制阶段、1995～1997年制约平衡阶段和1998～2006年限制阻碍阶段。     

供给侧结构性改革与资源型产业转型发展

由于资源性产品价格形成机制改革长期滞后,加之国有经济占比高,资源型产业普遍市场化程度相对较低,导致供给与需求错配严重,难以适应工业4.0下生产方式和商业模式变革的需要。目前,受经济周期和矿业周期叠加的共同影响,20世纪头十年全球矿业发展黄金期告一段落,国际市场大宗商品价格低位波动,总体需求持续低迷。随着中国经济进入新常态,国内资源性产品供求关系发生了一系列新的变化,迫切需要加快资源型产业转型升级,从而更好地满足加速工业化和城镇化的要求。本文在供给侧结构性改革的背景下,分析资源型产业转型发展的动因及其面临的障碍,指出经济下行导致资源领域供给与需求的矛盾进一步凸显,在国家继续严格实行强制性节能减排的情况下,主要能源和矿产品消费规模有可能提前达峰,这有助于实现中国向国际社会承诺到2030年碳排放总量达标的承诺。同时,由于在资源型产业"去产能"过程中,僵尸企业处置、人员安置等方面仍面临诸多方面的障碍和制约因素,资源领域淘汰落后产能不可能一蹴而就,甚至会出现多轮反弹,进一步增加了行业推进供给侧结构性改革的阻力和风险。在以上结论基础上,本文设计资源型产业转型发展的路径,提出加快绿色化、智能化转型,推动资源型产业与非资源型产业融合发展的转型路径。本着"有进有退、以退促进"的原则,发挥市场机制在配置资源中的决定性作用,促进有效市场与有为政府更加兼容,建立完善进入衰退阶段的资源型产业有序退出的机制,切实降低供给侧结构性改革的社会成本。     

Urban Water Supply Industry Marketization of China in View of Public Water Service and Water Resource Management

Started with the discussions on the value orientation of urban water supply industry marketization,the article points out that the current urban water supply industry marketization reform is inconsistent with the goal of public water service equalization to some extent.The article also analyzes the problems emerged in urban water supply industry marketization reform and various reasons in view of efficiency and fairness.An efficiency and fairness oriented management model is built in this article to illustrate how the government should conciliate interests of various communities involved in the process of marketization reform of the urban water supply industry so as to actualize the coordination of efficiency and fairness.At the end,an assumption on urban water price is put forward to help achieve the public water service equalization.     

Defect and Innovation of Water Rights System

The rare deposition of water resources conflicts with its limitless demand. This determined the existence of the water rights transaction system. The implementation of the water rights transaction system requires clarifying the definition of water resource right above all distinctly. At present, it is a kind of common right system arrangement which needs the Chinese government to dispose of water resources. Though a series of management systems guaranteed the government＇s supply of water resource, it hindered the development of the water market seriously and caused the utilization of water resources to stay in the inefficient or low efficient state for a long time. Thus, we should change the government＇s leading role in the resource distribution and really rely on the market to carry on the water rights trade and transaction. In this way, the water rights could become a kind of private property right relatively, and circulate freely in the market. As a result of this, we should overcome the defects of common right, make its external performance internalized maximally and achieve the optimized water resource disposition and use it more effectively.     

虚拟水贸易的可计算非线性动态投入产出分析模型

虚拟水是水资源需求管理的创新领域。投入产出法是研究虚拟水的重要方法,但既有研究多以线性静态投入产出模型为主,存在较强的比例性假设,在解释现实经济活动中的虚拟水贸易时存在一定缺陷和不足。为更加贴近现实状况,本文利用可计算一般均衡(CGE)思想,设计了一种新的虚拟水测算思路,对传统的线性静态投入产出模型进行了非线性和动态化的拓展,旨在对区域经济系统中的虚拟水贸易进行更加科学合理的计算和考察。首先,参照国家统计机构常用的42产业部门划分方式,根据一般均衡理论,围绕区域经济系统的生产模块、价格模块和供需平衡模块三个部分,定义有关变量和参数,对区域经济系统非线性动态投入产出模型进行了详细的方程列写。在此基础上,将虚拟水流动的因素与一般形式的非线性动态投入产出模型进行嵌套,采用"母表"(价值型流量表)和"子表"(水资源流量表)相结合的形式,给出了一种全新的区域水资源投入产出表的设计思路与编制方法,将可计算非线性动态产出模型从一般形式扩展至水资源领域,构建了区域经济系统中虚拟水贸易的可计算非线性动态投入产出分析框架。分析同时指出,通过对该模型进行求解,可以推导和计算平衡增长路径和最优增长路径下的区域经济系统产出结构和用水结构,并可结合虚拟水贸易对区域经济的作用机理,分析最优增长路径下实施虚拟水贸易对区域经济增长的贡献。     

“一带一路”战略背景下金属产业国际产能合作研究

随着全球经济发展放缓,金属资源国内需求结构变化,资源约束压力、产能过剩等问题更加突出。如何通过国际产能合作化解金属产业难题是亟待解决的一个现实问题。本文从中国金属产业的现状出发,借鉴美、日产能转移的成功经验,在"一带一路"战略的大背景下探索适合中国金属产业开展产能合作的新模式并提出相应的政策建议。研究认为,中国已成为世界金属生产和消费大国且工业化进入中后期,具有进行国际产能合作的现实需求,"一带一路"战略为中国金属产能国际转移带来了历史契机。这种契机主要表现在沿线国家的基础设施建设热潮带来全球金属资源消费新的增长点,中国主导的"一带一路"战略构建了一种新型地缘政治格局,既能增强中国在沿线国家中的贸易话语权,也为中国开展国际产能合作提供了条件。研究指出,在"一带一路"战略下,中国金属产业的产能转移应以"互利共赢"为基础创新产能合作模式:即以产能合作推动产能转移,达到产业互补经济互惠的目的;以产能输出取代产品输出,有效回避西方国家针对中国的"双反"政策;以基础设施援建消化部分产能,在帮助沿线国家发展基础设施建设的同时消化自身部分富余产能。在合作策略上,应注重六个方面:一是充分利用"一带一路"的战略合作关系;二是实施低端转移高端做强的策略方针;三是全方位开放和深化产能合作;四是开展境外产业园区建设和有色金属精深加工工程;五是大力鼓励民营资本参与;六是创新金属矿业投资模式。     

Empirical analysis of carbon tariff’s effect on the export structure of China’s manufacturing industry and social welfare based on the GTAP model

In recent years, carbon emissions have gradually evolved from an environment issue into a political and economic one. Carbon tariff has brought about new trade barriers of developed countries, and in order to enhance the industrial competitiveness of developed countries, it will produce unfavorable impact on developing countries. Concentrated on the manufacturing industry, which is the most intensive high-carbon industry in China’s export structure, this article studies the relationship between carbon tariff policy and industry structure of export trade and builds up a relation between climate change and international trade. First, by means of establishing a partial equilibrium model, it applies geometric analysis and mathematical analysis to compute the impact on China’s manufacturing export trade and the consequences of the introduction of the US carbon tariff to China’s manufacturing industry that has already imposed a domestic shipping carbon tax. Furthermore, with the application of the GTAP model, it estimates the overall economic and welfare effects on China’s manufacturing industry if the US and Europe introduce carbon tariff by means of four ways, and then analyzes the influence on China’s manufacturing industry export structure and social welfare as well. The result shows that the introduction of the US carbon import tariff lowers China’s export price and export volume, and the implementation of a domestic carbon tax justifies a higher export price and a lower export volume for China. However, the degree of export reduction is smaller than that under the effect of the US carbon tariff. In the case of developed countries imposing carbon tariff on China’s energy-intensive industries, such as chemical rubber products, oil and coal-processing industry and paper industry, whose export would be reduced, the negative impact on the paper industry is the severest, which will decrease the paper industry’s export ranging from 1.79% to 6.05%, whereas the other industries’ export will increase. Anyhow, it will promote China’s manufacturing industry to adjust the export structure to a certain extent. In addition, it will lead to a decrease in China’s welfare, with a decrease between $2.134 billion and $8.347 billion. Finally, this paper provides information on international coordination, export structure adjustment and green manufacturing adjustment as a reference for the development of China’s manufacturing industry.     

长江经济带水污染密集型产业时空格局演变及影响因素研究

水污染密集型产业布局的科学性是长江经济带水资源保护有效性的基础与前提，本文通过界定12个行业为水污染密集型产业，利用偏离份额、基尼系数、区位商探析长江经济带水污染密集型产业时空格局演变，并进一步建立面板回归模型从传统地理区位因素、新经济地理因素与制度因素分析其对长江经济带水污染密集型产业时空格局演化的影响。研究发现：（1）从时间趋势来看：水污染密集型产业占长江经济带工业总产值比重基本呈现逐步下降的趋势，但是占全国污染密集型产业比重小幅下降后呈上升态势，行业偏离份额结果显示2003~2016年间水污染密集型产业内部行业发展出现分化，化工产业结构调整效果明显，具有衰退的态势，“化工围江”问题在逐步改善。（2）从空间演变特征看：基尼系数显示水污染密集型产业呈现扩散态势；区位商与区域偏离份额进一步验证了水污染密集型产业具有由下游向中上游地区转移与扩散的趋势尤其是承接产业基础较好的中游地区。（3）经济因素、劳动力成本、基础设施是驱动长江经济带水污染密集型产业空间布局演化的主要因素。     

土地资源错配及经济效率损失研究

长期以来,政府主导下的土地资源配置模式为中国的城镇化、工业化快速发展提供了强有力的支撑,但同时也伴随着土地制度和政策不完善引致的土地资源配置扭曲,不同用地单位之间土地资源配置效率差异较大,不同用地单位之间的土地资源错配致使总体经济效率损失巨大。调研组通过实地随机抽样问卷调查,获取了四大产业不同类型的607个样本企业生产经营活动相关的投入产出数据,基于C-D生产函数理论,构建土地资源配置及经济效率损失测度模型,测算不同类型企业的土地资源要素错配程度及由此导致的经济效率损失。测算结果显示,环保、生物和高端装备制造产业的土地资源要素投入的相对扭曲系数都大于1,光电子信息产业系数小于1;土地资源错配造成光电子信息产业总体上经济效率损失达10.23%,高端装备制造产业达13.82%,生物产业和环保节能产业都超过了20%。研究表明,不同类型企业之间的土地资源要素投入对企业总体经济产出的贡献率存在显著差异性;同类型企业的土地资源要素配置的相对扭曲系数不同,即土地资源的错配程度不同;从用地规模大小角度分析,同类型企业用地规模大的土地资源要素的相对扭曲系数要明显高于用地规模小的企业,用地规模越大土地资源错配程度越严重;从土地资源错配造成企业经济效率损失测算结果来看,土地资源要素投入相对扭曲系数越大的企业,土地资源错配导致总体经济效率损失越大;在各类型企业的技术和规模效率不变的条件下,不增加资源要素投入,通过纠正企业的土地资源错配,能够有效地提升企业的经济效率。     

基于省际间粮食贸易的虚拟水综合效益分析

虚拟水概念丰富水资源的形态与内涵，其价值不仅表现在人口-粮食-贸易为纽带的虚拟水贸易上,还表现在其社会属性上。基于虚拟水的双重价值，结合全国粮食各地产消平衡数据,构建线性优化模型,估算我国粮食省际间贸易的虚拟水流动格局，从资源、经济、环境3方面出发分析虚拟水流动引发的综合效益。结果发现：我国粮食省际间贸易的虚拟水流动格局表现为北水南运的特点，同实体水的南水北调形成互补，水资源南北互通；资源效益而言，我国省际间粮食贸易的虚拟水流动格局在全国范围内共节约了152.96亿m3的水资源，占总的虚拟水流动量的15.79%，表面的水资源节约现象背后隐藏着缺水区输水给丰水区的反常现象以及广大富水地区水资源利用效率低下的严重问题；经济效益总体上是增加的，工业增加值为6.77万亿元。经济效益增加分布较为集中，经济效益减损分布较为分散，效益减损需要构建地区补偿机制；环境效益结果不佳，农作物绿水占用指数高的地区在透支当地农业生态绿水情况下大量输出虚拟水，将会对其陆地自然生态系统造成严重威胁并制约当地社会经济发展。根据结果得出政策启示，为水资源管理、区域发展及生态安全提供新思考：引入实体水与虚拟水结合的水资源管理方式；构建协调区域发展的虚拟水补偿机制；维持绿水与蓝水结构平衡的生态安全。 关键词： 省际间粮食贸易；虚拟水流动；资源效益；经济效益；环境效益