碳排放权交易机制能否兼顾企业效益与绿色效率?

基于碳减排治理全球变暖的碳排放权交易机制,探讨了碳交易能否兼顾企业效益与绿色效率,及企业减碳优化策略。通过匹配2006—2017年中国上市公司及所在地区数据,首先运用双重差分方法,总体衡量碳交易对企业要素投入产出及全要素生产率的影响。然后运用平行趋势、滞后两期、工具变量及安慰剂,检验碳交易双效模型的稳健性,并利用三重差分检验是否存在因企业性质不同而造成差异化影响。最后运用中介与调节效应方法,检验碳交易与全要素生产率的中介效应,并考察了绿色创新、市场化与政府补贴影响下有调节的中介作用。实证结果显示:碳交易对绿色全要素生产率、企业全要素生产率均有显著负向影响。碳交易促进碳减排,导致营业成本增加、劳动生产率降低,但同时也显著正向影响资本生产率,促进企业利润与收入增长。绿色全要素生产率在绿色创新、市场化和政府补贴显著的调节影响下,对碳交易与企业全要素生产率的关系起到部分中介作用。研究表明,碳交易在一定条件下能够实现绿色效率和企业效益双赢,碳交易的作用在于依次实现碳减排、企业全要素生产率提升和绿色全要素生产率提升,而绿色效率和企业效益协同尚处于“遵循成本”阶段。因此,要建立一套集市场化、政府奖惩和绿色创新为核心的碳交易体系,进一步健全绿色低碳的激励约束机制,加强绿色创新补偿,增强企业自主研发和协同创新能力,提升绿色技术转化率,优化绿色产业结构,完善配套环保标准和管理规范,诱导企业完成“创新补偿”的蜕变。     

中国经济发展方式的转变动力及其作用途径

以全要素生产率增长动力作为经济发展方式的转变动力,本文采用1989-2013年4组省际面板数据经由可行广义最小二乘法实证估计了10个动力因素对全要素生产率增长率的贡献水平与作用途径。研究发现:技术创新水平、市场化水平、人力资本存量水平、异质性企业集聚水平和对外开放度的综合指数对中国全要素生产率增长率的回归估计系数分别为0.575 7,0.212 5,0.136 8,0.064 4和0.018,表明技术创新、市场化改革、人力资本积累、异质性企业集聚和对外开放是促进中国经济发展方式转变的直接动力因素。进一步的研究结果显示:技术创新和异质性企业集聚通过提高前沿技术进步率和生产效率变化率以及规模报酬收益率途径,市场化改革通过提高前沿技术进步率途径,人力资本积累与对外开放通过提高前沿技术进步率和规模报酬收益率途径,促进了中国全要素生产率增长。虽然产业结构变迁、城市化、基础设施建设、区域经济政策实施和金融发展对中国全要素生产率的增长表现为负向或拖累作用,但是,产业结构变迁与城市化能够提高前沿技术进步率,基础设施建设和区域经济政策能够提高规模报酬收益率,金融发展能够提高生产效率增长率和规模报酬收益率,这5项动力因素对促进中国全要素生产率增长的正向贡献有待提高。依据上述研究结论,本文提出尽快攻克制约生产率增长的核心技术,统筹考虑产业结构升级、城市化、基础设施建设和区域经济政策实施以及加快金融领域改革等政策建议,以期加快我国经济发展方式转变进程。     

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。     

Prospering Revolution of Resource Efficiency in Northeast Industrial Area in China

Despite its strong advantages in resource, technology and human resource, China＇s Northeast Industrial Area is also experiencing problems of unreasonable industrial structure, environmental pollution, and the degradation of ecological condition, etc., which prevent this area from achieving a sustainable devel- opment. Through analyzing the resource problem, the present paper proposed a strategy of circular economy for the prosperity of this are, discussed the theories of circular economy and resource recycling, and finally concluded that improving resource productivity is at the core of circular economy.     

强可处置性视角下中国农业环境效率测度及其动态演进

随着农村经济社会的快速发展,农业面源污染不断加剧、农业环境面临的形势日益严峻。从生态农业视角科学度量和提高环境效率对于改善农业生态环境,促进农业与资源、环境的协调发展具有重要意义。为此,首先从农业面源污染特征、治理成本和环境规制方面研究联合弱可处置性视角下农业环境效率测度模型可能存在的局限性;然后,构建了基于强可处置视角的农业环境效率测度模型和环境全要素生产率指数(TFP);最后,采用两种视角下的模型对比研究了2012年我国农业环境效率,以及1991-2011年中国30个省份农业环境全要素生产率增长。结果表明:1考虑农业污染的强可处置特征,2012年农业环境效率均值从0.98下降为0.86,东、中、西部地区依次递减的空间差异性更加显著;21991-2011年我国农业TFP平均增长率为0.8%,技术效率年均负增长1.4%,技术进步年均增长2%,均低于传统度量方法。3技术效率呈现持续增长趋势,TFP总体上呈现了先下降后增长的变化趋势,技术进步与技术效率的协调性逐步得到改善;4各地区TFP均值均大于1,东部地区ML指数最高,其次是中部地区,但各地区技术效率均出现一定程度的退步现象。两种模型实证结果及其差异性表明,农业环境效率评价、污染治理措施应当遵循农业污染物的特征和产生机理;采取源头减排策略能够实现农业增长、污染减少和环境效率提升的多赢局面;当前,我国农业环境效率仍具有较大的提升空间,在制定面源污染治理政策时,应考虑农业环境效率的空间差异性,针对不同发展水平和污染特征制定更具有针对性的治理策略。     

强“波特假说”存在产业异质性吗?——基于产业碳密集程度细分的视角

强"波特假说"认为严格而恰当的环境规制政策将使企业的生产效率呈现先降后升的趋势,为验证强"波特假说"及其产业异质性,首先建立产业碳密集指数,将工业部门36个细分行业划分为高碳密集产业、中碳密集产业和低碳密集产业;接着运用方向性距离函数测算2003—2014年细分行业的绿色全要素生产率,基于系统"GMM"估计方法验证三个细分行业的环境规制强度对绿色全要素生产率的影响。研究结果显示:第一,样本期间内,高碳密集产业的环境规制强度远远高于中低碳密集产业,这表明高碳密集产业一直是产业节能减排的重点对象,而碳排放情况较为严重的中碳密集产业则为"被遗忘的角落";第二,强"波特假说"在工业部门内存在产业异质性,高碳密集产业和中碳密集产业的环境规制强度与绿色全要素生产率呈"U"型关系,而在低碳密集产业中两者则呈倒"U"型关系;第三,相对于高碳密集产业,中碳密集产业因环境规制强度较容易跨越"U"型拐点而具有较大的减排空间,低碳密集产业在达到"U"型拐点之前,环境规制为其绿色全要素生产率提升的动力。本文研究结论蕴含如下的政策建议:根据产业的碳密集程度实施针对性的环境规制政策,持续加强中碳密集产业的环境规制力度,适度加强低碳密集产业的环境规制强度,高碳密集产业需根据不同阶段的经济水平设计具有针对性的环境规制政策,逐渐将三类产业的"遵循成本"效应转化为"创新补偿"效应,实现经济增长和环境保护的双赢。     

中国资源型产业集聚对全要素生产率的影响研究

本文基于2005-2014年中国31个省市自治区的面板数据,以全要素生产率增长对经济发展效率予以度量,运用多种计量分析和检验方法,在通过两阶段SYS-GMM方法有效控制解释变量内生性问题的条件下,实证考察了资源型产业集聚对全要素生产率增长的非线性影响。结果表明,资源型产业集聚与全要素生产率增长呈显著的倒"U"型曲线关系,并表现出强稳定性,资源型产业最优集聚规模为0.891,当资源型产业集聚度小于倒"U"型曲线的拐点0.891时,资源型产业集聚对全要素生产率增长具有显著的促进作用,一旦资源型产业集聚度超过这一拐点时,产业的过度集聚就会阻碍全要素生产率的增长;将资源型产业全要素生产率分解为技术进步和技术效率,由于资源型产业以水平型集聚为主,使得资源型产业技术效率的提高对全要素生产率增长的贡献大于技术进步,当集聚类型由水平型向垂直型转化时,技术进步对全要素生产率的有利影响将会凸显出来;资源型产业集聚与全要素生产率之间倒"U"型曲线的拐点值对于不同传导机制因素的敏感程度不同,科技创新投入、人力资本水平、市场化程度、基础设施建设四个因素推延了资源型产业最佳集聚规模阈值,降低了由于集聚规模扩大而对全要素生产率增长产生"拥塞效应"的风险;中国48.39%的省份处于资源型产业集聚"规模效应"阶段,集聚规模的扩大会继续促进全要素生产率的增长,51.61%的省份大多属于资源富集省份,处于产业集聚"拥塞效应"凸显阶段,若继续扩大集聚规模,过度集聚将进一步阻碍全要素生产率的增长。     

Prospering Revolution of Resource Efficiency in Northeast Industrial Area in China

Abstract

Despite its strong advantages in resource, technology and human resource, China's Northeast Industrial Area is also experiencing problems of unreasonable industrial structure, environmental pollution, and the degradation of ecological condition, etc., which prevent this area from achieving a sustainable development. Through analyzing the resource problem, the present paper proposed a strategy of circular economy for the prosperity of this are, discussed the theories of circular economy and resource recycling, and finally concluded that improving resource productivity is at the core of circular economy.     

A Study on Theoretical Model and Applied Evaluation of Land Use Performance of High-tech Zone in Urban Fringe： A Case Study in Haidian District, Beijing

High-tech industrial zone is an important carrier for constructing innovative cities. It also plays an important role in implementing the national independent innovative strategy. However, most of the high-tech industrial zones have many problems in their development process, such as efficiency of land use, weakness of oriented function and lack of land intensive. To solve these problems, the authors of this paper introduced the concept of land use performance and established the theoretical model to assess the land use performance of high-tech industrial zones. The model consists of the following three-dimensional parts： land use benefit, land use efficiency and innovative function. Based on this theory model, an index system which was composed of three secondary indictors, eight tertiary indictors and 37 fourth-grade indictors was set up to evaluate the land use performance of high-tech zone. To avoid the defects of plus model and function model, the authors brought out a three-dimensional evaluation model to examine the index of the land use performance of the high-tech industrial parks, which equals to the evaluation indicator system of land use performance of high-tech zone based on the above research. The authors examined the land use performance of five different high-tech industrial parks in Haidian District, Beijing City. The results indicated that the indicator system performs better in the aspect of evaluating land use benefit, land use efficiency and function of the high-tech industrial zone compared with other models.     

Global trends and development of energy services industry in China

Energy service is an effective way to promote energy conservation by market mechanisms, including energy saving services, energy procurement, supply of many varieties of energy, supply of renewable energy technologies, energy-related consulting services, risk management, etc. China is a major energy consumer but energy is in short supply, and the efficiency of energy use is low. China’s energy service industry has expanded rapidly, in terms of both the number of new Energy Service Companies entering the market and amount of capital invested in Energy Performance Contracting projects, but the energy service sector in China is still at an early stage of development. Developed countries began early in developing the energy service sector and their energy service market is mature, and the experience of developed countries shows that energy services play a significant role in advancing energy saving and emission reduction. Under the new situation, China needs combine energy services experience of developed countries, and take following measures to accelerate China’s energy services rapid and healthy development, including the long-term aspects of policy planning, energy-saving core technology, finance and capital investment, public sector reductions, personnel training, and so on.     

Impact Factors of Energy Productivity in China: An Empirical Analysis

This article developed a decomposition model of energy productivity on the basis of the economic growth model. Four factors were considered which may influence China’s energy productivity according to this model: technology improvement, resource allocation structure, industrial structure and institute arrangement. Then, an econometric model was employed to test the four factors empirically on the basis of China’s statistical data from 1978 to 2004. Results indicated that capital deepening con- tributes the most (207%) to energy efficiency improvement, and impact from labor forces (13%) is the weakest one in resource factor; industrial structure (7%) and institute innovation (9.5%) positively improve the energy productivity.     

Energy conservation and waste utilization in the cement industry serve the green technology and environment

The cement industry is one of the most energy-intensive industries consuming 4 GJ/ton of cement, i.e. 12–15% of the energy use in total industry. Energy cost accounts for 30% of the total cost of cement production. Seventy-five per cent of this energy is due to the thermal energy for clinker production. It is also found that 35% of this supplied thermal energy is lost in flue gas streams. Most modern kilns use pet coke or coal as their primary fuel. Instead, the municipal waste in landfills offer a cheap source of energy and reduce the environmental effects of dumping solid waste. The calcination and drying processes and the kiln need large quantities of thermal energy. About 40% of the total energy input is lost in the hot flue gases and cooling the stack plus the kiln shell. Hence, it is suitable to use an organic Rankine cycle (ORC) to recover the exhaust energy from the kiln. Alternatively, a 15 MW gas turbine engine combined with a steam turbine could be utilized. It was found that ORC produces 5 MW with a capital cost recovery period of 1.26 years. However, the gas turbine combined system produces 21.45 MW with a maximum recovery period of 2.66 years.     

International experience of green development in Western China: an overall review of policy and practice

Green development emphasizes co-development between economic and environmental dimensions, and is a people-centered sustainable development approach. Western China demands green development, and international experience could provide necessary, unique and important help and support for Western China to achieve its green development goals. This paper has made a comprehensive overall review and analysis of international experience in green development policy and its implementation, in particular, OECD countries’ (mostly Australia and Canada) experience have been analyzed following the major policy foci defined by the Task Force on Strategy and Policies on Environment and Development in Western China initiated by China Council for International Cooperation on Environment and Development (CCICED). Data and information were gathered from the field surveys and investigations, expert meetings, as well as literature review. The main sessions include policy framework and road map establishment, implementation and performance assessment, co-development between economic development and environmental protection, as well as green employment and poverty alleviation. The paper has addressed five policy considerations for the future promotion of green development in Western China.     

中国工业环境规制强度的行业差异及收敛性研究

针对不同行业环境规制强度的差异性,本文运用收敛理论研究了行业环境规制强度的敛散性。传统上利用单位成本或产出的污染治理费用表示的行业环境规制强度可能存在有偏性,本文基于单位污染排放的污染治理费用测算行业环境规制强度,利用Theil指数和收敛检验模型,分析了2001—2015年中国35个工业行业环境规制强度差异、收敛性质及收敛机制。研究发现:(1)一些行业的环境规制强度与其污染强度未表现出相应的强关联性。(2)中国工业行业环境规制强度差异呈现"M"型变化趋势,污染行业与清洁行业之间的环境规制强度差异呈现先发散后收敛的倒"U"型趋势。(3)泰尔指数及其分解还表明,污染行业内部的子行业间环境规制强度差异很大,且是造成工业行业环境规制强度差异的最主要来源。(4)工业行业环境规制强度存在较长时段的σ收敛和较短时长的俱乐部收敛的同时,还存在绝对β收敛和条件β收敛,即低规制行业向高规制行业看齐,不同行业环境规制强度向各自的稳态水平靠近,此外,污染行业环境规制强度收敛速度慢于清洁行业。(5)企业规模成长和市场化水平提升有利于促进企业提高环境规制水平。(6)对收敛机制的进一步研究表明,出口学习效应和进口技术溢出对行业环境规制强度变化的提升效应随着环境规制强度的提高而扩大,即两者对行业环境规制强度变化具有提升效应,但无促进其收敛的作用。扩大企业规模、提升市场化和对外开放水平,有利于提升企业应对环境规制的能力,并为下一阶段实施更为合理有效的环境规制政策提供支撑。     

Research on interest allocation in resource industry chain: taking resources exploitation in China as an example

In this paper, interest allocation in the resource industry chain is studied taking resources exploitation in China as an example. First, qualitative analysis is used to conclude stakeholders and their relationship in mineral resource exploitation. In the following section, using the tool of price constitution and comparison method, the research on interest allocation along the industry chain shows that midstream and downstream companies have advantages. The next section studies interest allocation among resource owners, exploitation companies and local governments. Through contrastive analysis of the financial report of petroleum companies, this paper quantitatively measures the scale of revenue shifting from resource owners, the central and local governments to exploitation companies. This contorted interest allocation is an important factor resulting in exploitation confusion and the large revenue gap.     

Research on interest allocation in resource industry chain:taking resources exploitation in China as an example

In this paper,interest allocation in the resource industry chain is studied taking resources exploitation in China as an example.First,qualitative analysis is used to conclude stakeholders and their relationship in mineral resource exploitation.In the following section,using the tool of price constitution and comparison method,the research on interest allocation along the industry chain shows that midstream and downstream companies have advantages.The next section studies interest allocation among resource owners,exploitation companies and local governments.Through contrastive analysis of the financial report of petroleum companies,this paper quantitatively measures the scale of revenue shifting from resource owners,the central and local governments to exploitation companies.This contorted interest allocation is an important factor resulting in exploitation confusion and the large revenue gap.     

中国绿色发展和外商直接投资政策选择

随着全球各国对环境问题认识的不断加深,我国政府对绿色发展日益重视,并将其设定为实现未来经济发展终极目标的必然过程.然而对我国经济发展一直起到重要作用的外商直接投资(FDI)在拉动经济增长的同时,也带来了较为严重的环境污染问题.从上世纪90年代初至今,随着我国经济和FDI的快速增长,主要污染物排放指标包括工业废水、工业废气以及工业SO2等却基本上呈逐年增加的态势.这一关联的背后是否隐藏着发达国家对我国的污染转移问题,引发人们对于“污染天堂”假说在中国是否存在的担忧.尽管公认跨国公司的环境业绩一般会比本土企业做得更好,但是我国外商直接投资长期和总量的增长是否会对我国环境产生影响,是否会带来更多的污染避难所现象?就这个问题,目前研究都以实证或案例分析为主,尚缺乏贸易理论角度的分析.本文创新的将FDI理论与贸易污染转移理论模型相结合,推导出FDI污染转移模型,得到结论认为以降低成本为目的的垂直型FDI的确会集中于污染密集型行业.为了验证该理论模型,本文使用我国第三次工业普查数据进行实证检验,实证研究结果与理论分析相一致.相比内资企业,外资企业的确集中于污染密集型行业,尤其是制革与毛皮鞣制业、造纸业等重度污染行业,这与我国的绿色发展路径是相悖的.因此,我们建议我国需要从环境保护角度出发调整外商直接投资的行业政策,在行业层次设定环境准入门槛,从源头上有效控制污染企业的进入.     

环境规制对中国工业绿色增长指数的影响

为衡量工业增长对资源的消耗和环境的污染,本文构建了"工业绿色增长指数",并运用基于松弛测度的方向距离函数(SBMDDF)对2007-2011年中国30省(区、市)进行测算,根据得分将其分成高绿化度地区、中绿化度地区和低绿化度地区;采用面板数据模型测算了行政型、市场型和公众参与型这三种类型的环境规制对工业绿色增长指数的影响,同时考察技术创新、工业结构对工业绿色增长的作用程度。研究发现:东部地区的工业绿色增长指数高于中西部地区;行政型和市场型环境规制对工业绿色增长的作用显著,市场型环境规制在高、中绿化度地区起主要作用,而低绿化度地区以行政型环境规制为主;公众参与型环境规制对工业绿色增长的作用有限;技术创新和工业结构也是影响工业绿色增长的重要因素。为促进工业绿色发展,中西部地区要树立绿色、低碳的理念对东部地区所转移的产业进行选择;高绿化度地区需在提高排污费标准的同时,逐步采用排污权交易等方式加大对环境污染总量的控制力度;低绿化度地区可在实行低标准排污费政策的同时,逐步实现从行政型向市场型环境规制的转变;逐步发挥并扩大公众参与型环境规制的作用;注重与节能减排相关的技术吸收和应用推广,降低高载能行业的比重。     

全要素能源效率与中国经济增长收敛性——基于动态面板数据的实证检验

能源效率是促进经济增长、减少能源消费的关键政策参数,研究能源效率与经济增长收敛性关系,对于揭示能源效率在我国地区经济增长中的作用,指导能源发展战略具有重要的理论和实践意义。本文选取1995-2009年中国29个省份的面板数据样本,运用DEA方法测算全要素能源效率,发现全国以及区域能源效率经历了一个先上升再下降的过程,中国省域全要素能源效率差异显著,但总体上各省份之间的差异呈现缩小趋势;将能源效率纳入内生经济增长模型进行实证检验,运用IV、DIFF-GMM和SYS-GMM方法证明中国经济增长条件收敛存在,能源效率系数显著为正,说明能源效率促进中国经济增长和收敛;运用纠偏LSDV估计方法分区域开展实证检验,研究认为,能源效率对东部和中部地区经济增长起到显著的促进作用,由此表明能源效率对经济发达地区作用更为显著。基于此,国家能源效率提升战略重点应放在东中部能源消费集中地区,从而通过节能技术"溢出"效应促进西部地区能源效率的提升,以促进地区经济增长的收敛。