粤深碳交易试点机制剖析及对国家碳市场建设的启示

广东和深圳是中国第一批碳交易试点地区,具有全国碳交易机制试验田的属性,研究粤深碳交易试点机制运行经验对全国碳市场建设有重要的借鉴意义。对广东和深圳碳交易机制的关键要素进行剖析与比较发现,两地碳交易机制在覆盖范围、配额总量、分配方案、MRV机制等方面有较大的不同。这些差异来源于两个方面:第一,碳交易机制的排放管理设计特点(覆盖范围、配额总量、分配方案、MRV机制)取决于地方的区位条件和政策目标。粤深经济规模和结构差异较大,由此导致两地碳交易机制的管理对象不同,管理对象的行业特征又决定了其他管理要素必然随之发生变化。第二,碳市场运行状态受碳排放管理要素的影响:当配额总量较紧、允许使用的碳抵消比例低、惩罚严苛时,碳市场交易相对活跃,更容易催生碳金融等衍生品市场。在对粤深碳交易机制的运行情况和特点进行深入分析后,得到如下启示:1配额有偿分配制度应循序渐进地实施,收紧配额总量是关键。应根据碳交易机制对不同行业竞争力的影响程度确定免费配额的比例;2分配给企业的配额量与节能考核目标衔接,保持相关环境管理政策的一致性,减少制度摩擦;3正确处理由产量变化和经济波动对配额分配带来的影响,保持配额分配标准的公平与统一;4稳定公众预期是促进碳交易机制正常运行的关键要素之一;5对未纳入碳交易机制的碳排放行为进行约束,有助于实现社会公平;6提高企业与第三方机构相关人员的专业技能水平,增强碳排放数据可靠性。     

Linking China’s emissions trading pilot schemes

All seven emissions trading pilots in China operate independently. One challenge facing most of them is the low inclusion thresholds for enterprises and the few total covered emissions, which negatively influences the effects of the emissions trading systems (ETSs). Some pilot sites, such as Guangdong, Hubei, Tianjin and Beijing, have indicated their willingness to link their schemes with others. ETS linking could expand scheme coverages and therefore help to reduce the overall costs of achieving the linked schemes’ emissions control targets. Linking could also help to address the issues of carbon leakage and reduce price fluctuations. The potential benefits and feasibility of linking different pilot systems are analyzed in this article. The seven pilot regions are at different stages of social and economic development, with significant differences in total emissions and emissions structures as well as carbon abatement potentials and costs. Through linking, more-developed regions such as Beijing, Shanghai and Shenzhen, which are typically considered to face higher mitigation costs, will have the opportunity to achieve their emissions control targets by purchasing carbon units from less-developed regions, which will earn financial revenues from selling the units. To realize this win-win result, a series of policy and technical barriers at both the central government and pilot government levels needs to be overcome. Establishing a unified national emissions trading market would appear to be the ideal solution to these challenges, but it will take considerable time and will not be the short-term solution. In the absence of a unified national scheme, it is recommended that the central government encourage pilot schemes to link, that it develops corresponding national policies to support the linking efforts and that the pilot schemes that are intended to be linked coordinate on certain design elements. Based on the coordinating need, the major elements of an ETS can be divided into four categories: elements that need mutual recognition (cap setting and allowance allocation methods); elements that should be completely identical (compliance mechanisms, price containment measures, banking and borrowing rules, and offset mechanisms); technical elements that are preferably identical and easy to coordinate (MRV standards, technical registry standards); and elements that require no coordination (coverages and scopes).     

The impact analysis of policy events on China’s carbon market

ABSTRACT

This paper interrogates the impact of policy events on the efficiency of carbon market in China. The analysis covers five piloting emission trading schemes (Beijing, Shanghai, Guangdong, Shenzhen and Hubei), particularly focusing on Guangdong pilot for its weak form efficiency and the richness of policy events. Twenty-five policy events between 2014 and 2016 are categorized into seven groups. The efficiency test indicates that only Guangdong ETS has reached weak form efficiency. After exploring the policy events occurred in Guangdong ETS, it finds that although a clear long-term climate policy has been set up over the country, China’s carbon market still has a conservative risk appetite and its governing institutions still needs further development. The policy makers need to be aware of and avoid the negative impacts of policy events to the market evolvement, by introducing effective consultancy process with the stakeholders and nurturing market expectations in the long run. We also find that events like allowance auctions have considerably less impacts than previously expected and argue that auction approach should be considered a preferable option over a free allocation system in the future policy design.     

Externalities,Floating Population and Spatial Agglomeration

Abstract

With the further development of socialist market economy, the mobility of factor markets in China, especially the labor market, is strengthened. Externalities interacts with the agglomeration of productive factors. Under the framework of new economic geography, this article presents a theoretical model involving the endogenous population density affected by urban externalities. Results show that the population density is more concentrated around the center because the degree and extent of interaction between individuals intensifies when the distance from the center decreases. When there are several externalities resources, the aggregation of externalities changes the configuration of spatial factor allocation. These results fit well with the empirical facts about the decreasing density of floating population along the cities of Guangzhou, Dongguan and Shenzhen in Guangdong Province which is situated in the eastern coast of the Pearl River Delta. We find that under the impacts of externalities released from Hong Kong into the coast, floating population was more concentrated around Shenzhen and Dongguan, which are more adjacent to Hong Kong compared with Guangzhou City.     

Externalities, Floating Population and Spatial Agglomeration

With the further development of socialist market economy, the mobility of factor markets in China, especially the labor market, is strengthened. Externalities interacts with the agglomeration of productive factors. Under the framework of new economic geography, this article presents a theoretical model involving the endogenous population density affected by urban externalities. Results show that the population density is more concentrated around the center because the degree and extent of interaction between individuals intensifies when the distance from the center decreases. When there are several externalities resources, the aggregation of externalities changes the configuration of spatial factor allocation. These results fit well with the empirical facts about the decreasing density of floating population along the cities of Guangzhou, Dongguan and Shenzhen in Guangdong Province which is situated in the eastern coast of the Pearl River Delta. We fred that under the impacts of externalities released from Hong Kong into the coast, floating population was more concentrated around Shenzhen and Dongguan, which are more adjacent to Hong Kong compared with Guangzhou City.     

中国碳市场波动溢出效应研究

自2013年以来,中国已先后建立了七个区域性碳市场。研究中国碳市场之间的波动溢出效应,有助于发现在碳市场运行初期起价格引导作用的区域市场,为其它地区碳市场的发展和全国碳市场的建立提供建议。本文选择广东、湖北和深圳三个交易量最大的区域碳市场为样本,利用多元GARCH(1,1)-BEKK模型,检验其波动溢出效应。为了消除履约期的影响,本文根据履约期将样本划分为阶段一(2014年7月1日—2015年6月30日)和阶段二(2015年7月1日—2016年7月19日),分阶段进行了检验,并从市场有效性的视角解释了检验结果。波动溢出效应检验结果显示:在阶段一内,广东碳市场对湖北碳市场、湖北碳市场对深圳碳市场、深圳碳市场对广东碳市场分别存在单向的波动溢出效应;在阶段二内,只存在深圳碳市场对广东碳市场的单向波动溢出效应;在整个样本期内,只存在深圳碳市场对广东碳市场的单向波动溢出效应。基于方差比的市场有效性检验结果显示:无论是阶段一、阶段二或整个样本期,三个碳市场均没有达到弱式有效。本文进一步在多重分形检验的基础上,利用多重分形谱宽度,比较了三个碳市场的非有效性程度,结果显示:在阶段一、阶段二和整个样本期,三个碳市场有效性大小关系分别为:湖北广东深圳、深圳湖北广东、广东深圳湖北。可见,三个碳市场早期的波动溢出效应不完全符合市场有效性大小关系,而较晚期的波动溢出效应符合市场有效性大小关系,这证明了中国碳市场在阶段二相比阶段一更为成熟。本文最后对中国碳排放权交易市场的发展提出了政策建议。     

中国碳交易下的工业碳排放与减排机制研究

中国工业的高能耗投入在带来经济快速增长的同时也导致碳排放的急剧增加,作为全球最大的碳排放国,中国肩负着巨大的减排责任。为了探索减排方式,中国自2013年先后在7个省市建立了碳排放交易市场。研究碳交易对工业碳排放的影响及作用机制,有助于科学评价政策,为全国工业碳交易市场的推行提供合理的建议。本文利用中国30个省份规模工业碳排放数据,首先分别采用DID和PSM-DID方法考察了碳排放交易对工业碳排放和碳强度的影响,其次在使用SFA测算出各省规模工业能源技术效率和能源配置效率的基础上探讨了碳交易发挥作用的机制和影响大小。结果发现:(1)碳交易对试点地区规模工业的碳排放量和碳强度有显著抑制作用,分别使二者下降4.8%和5.2%;(2)碳交易分别使试点地区的工业能源技术效率和配置效率显著提高0.03和0.08;(3)碳交易发挥作用的机制与规模工业的能源技术效率有关。能源技术效率的减排效应大于能源配置效率的增排效应,最终导致政策具有减排作用。这些结论说明,想要推进中国碳交易市场的发展并使其长期发挥减排作用,必须要加快碳交易市场相关配套制度的改革,包括碳价机制和配额分配机制等,使市场交易与政府调控有效结合;淘汰落后产能,增加研发投入,鼓励工业企业使用新技术;转变能源消费结构,倡导新能源和清洁能源的使用。     

中国试点碳市场监管机制研究与国际经验借鉴

2015年9月《中美元首气候变化联合声明》宣布中国将于2017年启动全国性碳排放交易体系以来,中国碳市场的筹建及7大试点的运行备受国内外媒体和学术界的关注。相关预测显示,中国碳市场届时将一举超过目前全球最大的欧盟碳排放交易体系EU ETS成为世界第一大碳交易市场,但由于7个试点运行时间较短、试点地区重视程度以及建设侧重点不统一等原因,目前中国碳市场存在着监管机构职责不清、监管体系不健全、监管政策不到位等一系列问题。本研究从监管机构、监管政策、技术支持平台、监管内容等方面梳理和分析了中国7个试点碳市场的监管体系,并将其与EU ETS、RGGI等国际上发展较为成熟的碳市场监管体系进行了对比分析后发现:1在监管手段方面,EU ETS与RGGI均侧重于依靠法律手段,而中国碳市场的监管手段则主要以地方性规范文件为主;2在监管机构职能方面,EU ETS的二级管理体系有效划分了监管范畴,保证了各级监管力度。RGGI的第三方独立监管模式则很好的保证了监管的公平性,充分发挥了碳市场事中监管作用,而中国碳市场则主要依赖于地方发改委来进行监管,存在职责划分不明晰等问题;3在监管重心方面,EU ETS侧重于对市场运行中的操作性风险和交易性风险进行防范,RGGI则更加关注交易风险的实时监控,而中国碳市场目前主要针对市场价格波动风险进行了防范。由此对中国即将建立的全国性碳市场监管机制设计提出了如下建议:1提高碳市场立法效力,完善监管政策体系;2平衡监管权力,成立专职监管机构;3加强过程监管,完善电子平台安全建设;4加大碳市场信息披露力度,鼓励公众及行业协会参与,形成外部监督机制。     

扬子江城市群土地利用时空变化及其对陆地生态系统碳储量的影响

扬子江城市群是江苏省城市化进程最快,土地利用变化最明显的区域。研究该地区地利用变化及其对陆地生态系统有机碳储量的影响,对江苏省低碳土地利用研究具有重要意义。该文利用五期30 m土地利用栅格数据、土壤样点数据、林地植被清查数据、农作物数据以及经验数据,分析了1995～2015年扬子江城市群土地利用时空变化、核算了其对有机碳储量的影响。主要结果如下:(1) 1995～2015年间,扬子江城市群约有15. 90%的土地发生了转移,其中,耕地作为主要的转出者,建设用地作为主要的转入者,耕地转移为建设用地的面积约为4 161. 78 km~2,占扬子江城市群耕地转出面积的85. 86%,是主要的土地转移类型;(2) 1995～2015年间,由于土地利用类型转移变化,扬子江城市群有机碳储量总量减少了472. 63×10~4t,其中土壤有机碳储量总量增加110. 28×10~4t,植被碳储量总量减少582. 91×10~4t;(3)建设用地占用耕地是区域有机碳储量减少的主要原因,导致有机碳储量减少406. 40×10~4t,占整个区域有机碳储量减少总量的85. 99%;(4)未来扬子江城市群可通过增加生态用地、控制建设用地、优化土地利用结构,提高区域碳储量,减少对陆地生态系统碳平衡的扰动。     

Carbon trading thickness and market efficiency in a socialist market economy

Unlike the European Union emission trade system (EU ETS), China’s pilot ETSs implemented diversified policy designs instead of using a uniform framework. Variance ratio test is used to evaluate the Efficient Market Hypothesis (EMH) in China’s carbon trading markets. The results of two versions of variance ratio tests indicate that the carbon trading market in Hubei is considered weak form efficient, and the socialist market economy does not necessarily lead to market inefficiency in carbon trading markets. Thin trading activities generate market frictions and bias the Efficient Market Hypothesis (EMH) tests.     

2003～2011年四川省各市(州)农业水足迹时空变化与驱动力研究

运用水足迹理论和计算方法,系统分析了四川省各市(州)2003~2011年农业水足迹的时空动态变化趋势与农业水资源利用效益,并采用灰色关联度法分析其驱动力因素。研究结果表明:(1)四川省各市(州)农业水足迹和人均农业水足迹均呈增加的趋势变化,成都市、南充市、达州市农业水足迹较大,2011年农业水足迹分别达82.44×108,45.56×108,41.02×108 m3。人均农业水足迹各市(州)差距不大,其中成都市和攀枝花市略高。(2)农业水资源利用效益方面显示:四川省各市(州)农业水足迹净贸易量均为正值,属于农业水资源净输出地。2006、2009、2010和2011年农业水资源匮乏度较高,成都市水资源紧缺度最高,2005~2010年均在200%以上。(3)驱动因素方面显示:耕地复种指数和人口总数是农业水足迹变化的关键驱动因素,关联度分别是0.643 3和0.632 5。建议提高水资源利用效益,适当控制高耗水农产品生产规模,合理配置水资源,实现空间和季节用水的协调性。     

长江流域能源利用效率研究

考察长江流域四川、重庆、湖南、湖北 、江西、安徽、浙江、江苏、上海七省二市能源利用效率,比较分析其差异以及原因,寻求提高能源利用效率的途径。首先定义能源利用效率为能源通过要素优化配置产生的技术效率,然后利用数据包络DEA和全要素效率SFA方法进行测度,最后通过比较拉氏指数与迪氏指数的优劣,采用迪氏指数法对能源利用效率影响因素进行分解。计算出七省二市及六部门1997~2006年GDP能耗、能源技术效率和能源利用效率,并分析了结构调整、技术进步和制度进化对能源效率的影响程度。研究表明：（1）结构调整是提高能源利用效率的有力措施;（2）技术进步和制度进化是提高能源利用效率的关键;（3）能源利用效率研究方法应尽量统一并不断改进.     

Evaluation on the development degree of China’s seven pilot carbon markets

China is preparing to establish a nationwide carbon market in 2017, and in order to facilitate this goal, seven pilot carbon markets have been under study for the past few years. This paper summarizes the operation experience and challenges of the seven pilot carbon markets in China. It has been widely accepted that the essence of a carbon market is to solve environmental problems through market mechanisms, with environmental benefit being the fundamental purpose, market mechanism being the key measure, and policies and regulations being an important guarantee for an orderly carbon market. Therefore, this paper constructs an evaluation index system composed of 34 detailed sub-indexes in three dimensions, such as environmental constraint force, market resource allocation ability, and supporting policies and facility completeness. Through analyzing the operation data from 2013 to 2016, the weights of the sub-indexes are obtained. In addition, the study obtains experts’ opinions from over 10 carbon permits exchanges, consultancy firms and research institutions in China, and conducts a comprehensive evaluation on the development degree of the seven pilot carbon markets. Results show that the pilot carbon markets that include private SMEs as the covered entities for emissions control present relatively higher environmental constraint force. But too many covered entities could increase the difficulty of market performance management, while the pilots that include high energy-consuming state-owned enterprises as the entities for emissions control demonstrate a phenomenon of “high market compliance rate with low trading volume”. The resource allocation capability of China’s carbon market has not been effectively brought into play, and low degree of market participation has become an important constraint factor for market development. Due to the lack of laws and regulations at the national macro-level, the legally binding force of the pilot markets construction is obviously insufficient, and the supporting policies are lacking foresights. Generally, the development of China’s pilot carbon markets is still in such a fragmented state as in the aspects of environment, market and policy development, and the market operation has not yet achieved the purpose of solving environmental problems through market mechanisms. Accordingly, policy recommendations pointed out by this study are that tightening the allowance of free quota and progressively increasing the auction proportion, improving legal construction, increasing the services and products of carbon finance and standardizing the order of market transactions, enhancing capacity building of local governments and promoting the participation willingness and capability of emissions control entities, will be necessary.     

Establishing a measurement,reporting, and verification system for climate finance in post-Paris agreement period

The measurement, reporting, and verification (MRV) of climate finance was originated from discussions under the United Nations Framework Convention on Climate Change (UNFCCC). It has been one of the key issues of global climate negotiations since 2009 and will continue to be of significant importance in addressing climate change and strengthening international trust. This paper analyses the concept, the objective, and the progress of the MRV of climate finance based on reviews of the latest literature and think-tank reports regarding climate finance regime and MRV. Following the analysis, challenges faced with the MRV of climate finance are illustrated. This paper presents that the comparability of climate finance data needs to be improved due to the variety of methodologies used for disaggregating climate finance. In addition, the integrality of the MRV system of climate finance has been impaired by the lack of feedback mechanism from the recipients to the contributors in reporting system. Furthermore, although accounting system of climate finance has been developing and improving, it remains incapacity in providing accurate data on disbursed climate finance. Responding to the above challenges, this paper proposes the key tasks in establishing a comprehensive MRV system for climate finance at international level. The tasks involve developing a measurement system with consistent data basis and accounting basis, a reporting system with more detailed guidance and standardized formats, as well as a verification mechanism balancing top-down and bottom-up review processes. In the last section, this paper concludes that the establishment of an improved MRV of climate finance requires concerted cooperation and negotiations between developed and developing country Parties under the UNFCCC. As one of the few developing country donors to the Global Environmental Facility (GEF), China is suggested to clarify its propositions as a developing country in aspects such as concept, coverage, and architecture of climate finance and MRV system, and gain bargaining power in improving operating and technical rules of international climate finance regime.     

欧盟碳价影响因素研究及其对中国的启示

作为一项市场创新和政策创新,即将启动的中国全国性碳市场备受国内外关注。为保证其成功建立与平稳发展,相关经验借鉴已刻不容缓,但作为投石问路的7大试点碳市场发展层次不齐,可供参考的模式有限,因此研究全球第一大碳市场——欧盟碳排放交易体系(EU ETS)及其对中国的可参照性尤为迫切;而作为市场是否成熟的风向标,碳价规律性特征的挖掘尤为重要。前期国内外学者分别发现CER价格、原油价格、煤炭价格、天然气价格、欧洲工业指数、联合国气候变化大会、政府政策、极寒天气、暖冬天气、自然灾害、重大事件等多种因素都有可能引起EUA期货价格波动。本研究通过引入MIV-BP神经网络模型,对EU ETS二期和三期的EUA期货价格进行训练和测试,模拟了上述11个因素对EUA价格的影响,弥补了传统计量模型难以同时处理较多变量及不能整合定性与定量变量等缺点。通过对EU ETS二期1 149组和三期775组数据的挖掘,得出了各变量对EUA期货价格的影响程度。其中,二期运行阶段各变量影响程度从大到小排序为:自然灾害COPCER极寒天气Coal重大事件Brent政府政策Stock600Gas暖冬天气;三期运行阶段各变量影响程度从大到小排序为:COPStock600Coal自然灾害极寒天气重大事件政府政策BrentGasCER暖冬天气。最后,本研究对二、三期各变量对碳价影响程度的变化进行了解释,并对中国未来建立全国性碳市场提出了以下四点建议:(1)稳定碳市场参与主体预期;(2)完善核证减排抵消机制,保持政策稳定;(3)配额分配考虑区域差异;(4)建立配额应急机制。     

基于五种模型比较的湖南省生态旅游需求预测研究

从供求关系视角对湖南省生态旅游需求预测有利于生态旅游资源的优化配置与生态旅游产业的可持续发展。为了进一步了解湖南省生态旅游市场需求，以2008~2017年生态旅游相关数据为样本数据，运用GM（1，1）预测模型、线性回归预测模型、非参数模型、BP神经网络预测模型、时间序列预测模型（2）五种预测模型对湖南省生态旅游需求进行预测，得到线性回归模型的模拟精度最高。因此，采用线性回归模型对湖南省生态旅游总收入和生态接待旅游总人数进行预测。结果显示：2021~2025年期间，湖南省生态旅游总收入和接待生态旅游总人数呈中低速曲线递增趋势，其中生态旅游总收入名列前5强的市州是长沙、张家界、岳阳、湘潭和益阳市；生态旅游接待人数名列前5强的市州是长沙、常德、衡阳、郴州、益阳市。在各市州之间，存在生态旅游总收入与生态旅游人数不对等现象，尤以常德和张家界两市最为典型。     

论构建中国用能权交易体系的制度衔接之维

用能权是具有公私法双重属性的管制性财产权。用能权交易是我国推进绿色发展的一项制度创新,对实现能耗总量和强度"双控"目标具有重要意义。用能权交易制度旨在从供给侧实现节能降耗目标,与其并行的节能减排市场化机制还包括节能量交易和碳排放权交易。节能量交易与用能权交易的规制对象、规制手段、制度设计目的和约束功能相近,故两者存在制度重复建设问题。用能权交易和碳排放权交易的制度设计目的具有协同性、规制对象有交叉,但两者在用能权指标和碳排放配额初始分配、履约等方面存在制度衔接不畅问题。通过法学和制度经济学分析,对用能权交易、节能量交易和碳排放权交易的制度整合与重构提出了建议。中国应当取消目标节能量交易制度,并以核定用能权交易取代项目节能量交易。用能权交易和碳排放权交易的制度衔接层面,应当打通用能权交易体系和碳排放权交易体系,建立联合履约机制,即允许用能单位或排放单位在满足一定条件的情况下使用用能权指标、核定用能权、碳排放配额或核证减排量履约。用能权指标与碳排放配额在履约方面的衔接机制重点在于一级市场的对接。用能权的初始分配仅仅是为重点用能单位设定节能义务的过程,应当以公平为原则,并且采取免费分配的方式。相对于用能权交易制度,碳排放权交易制度则是为了控制排放单位对碳排放空间这一资源的过度利用。因此,在碳排放配额初始分配环节,政府应当通过有偿分配的方式以实现国家对碳排放空间这一稀缺资源的所有者权益。建立核定用能权和核证减排量的联合履约机制,既允许用能单位购买核证减排量抵消其超额耗能,也允许排放单位购买核定用能权以抵消其超额排放,并对抵消比例设定限制。     

《巴黎协定》后的气候资金测量、报告和核证体系构建研究

气候资金测量、报告和核证产生于《联合国气候变化框架公约》(简称《公约》)之下,2009年以来一直是全球气候谈判的重点之一,也是未来全球共同应对气候变化和不断增进国际信任的重要环节。《巴黎协定》达成的"每两年通报"的决定,将推动气候资金测量、报告和核证得到不断的加强和完善。本文通过梳理最新的气候资金机制以及测量、报告和核证的文献资料和智库报告,分析了气候资金测量、报告和核证的内涵、目标和最新进展,以及公约框架下面临的挑战。分析指出,目前不同的气候资金统计和核算机构的资金分类标准存在差异,数据可比性有待改善;缺乏从资金上游到下游的反馈机制,影响气候资金测量、报告和核证体系的完整性;气候资金计量体系虽然正在发展和完善之中,但仍然难以提供准确的资金"支付"数据。据此,文章提出了构建综合性的国际气候资金测量、报告和核证体系的重点任务:建立具有统一数据基础和核算口径的气候资金测量体系,建立操作指南更为详细、形式更为标准统一的气候资金报告体系,以及"自上而下"和"自下而上"相结合的气候资金核证机制。最后,文章指出国际气候资金测量、报告和核证体系的构建需要发达国家和发展中国家在坚持公约资金机制的基础上共同参与和协作。作为国际上少数几个向GEF捐资的发展中国家之一,中国在参与过程中应力争体现发展中国家对气候资金性质的主张以及对测量、报告和核证机制的关键概念和范围界定的主张,影响国际气候资金机制的运营规则和技术规则。     

中国碳排放权交易促进低碳技术创新机制的研究

碳排放权交易已成为我国实施以市场为基础的重要环境规制之一,但此交易市场建设能否诱发我国低碳技术创新的有关研究仍然不足。以我国七个碳排放权交易试点为研究对象,采用合成控制法进行准自然实验,选取2004—2016年全国282个城市的面板数据,评估碳排放权交易试点政策对低碳技术创新的诱发效果,并使用排列检验法进行有效性检验;进而,定量分析碳排放权交易试点正式运行后对低碳技术创新的影响因素,探索七个试点效果差异的成因。研究发现:①碳排放权交易试点政策整体上诱发了试点地区的低碳技术创新活动。②各试点的政策效果存在一定差异,除重庆外的六个试点对政策响应较为迅速,其中北京、上海的诱发效果最显著,天津、广东、深圳和湖北次之,而重庆试点未能对政策作出充分的响应。③碳排放权交易对低碳技术创新作用中的政策"信号-预期"机制在我国首次得到验证,该机制在除重庆外的试点地区都得到了较好的构建。④碳排放权交易市场建设与区域产业结构升级产生了良好的协同作用,促进低碳技术创新,但其未能与外商直接投资形成相同作用;除重庆外,碳排放权交易这一市场型环境规制与控制型环境规制也呈现出协同作用。据此,应积极推进全国性碳排放权交易市场建设,以发挥其对低碳技术创新的诱发作用;但在统一市场建设过程中应重视地区差异,分步骤稳步推进;还应注重加强政府政策信号管理,引导企业开展低碳技术创新活动。     

规模经营主体综合技术效率差异及影响因素——以江苏省水稻生产为例

推动以新型经营主体为依托的粮食规模经营是实现中国乡村振兴的重要路径。基于江苏省水稻规模经营主体调查数据,运用计量分析及DEA-Tobit模型,从主体差异、要素配置、管理营销等方面,实证检验规模经营综合技术效率的差异特征及影响因素。研究表明:现阶段水稻规模经营的综合技术效率处于中等水平,分解后的纯技术效率及规模效率有待提升。规模经营带来了水稻投入成本、总收益及劳动生产率的同步上升,区域差异明显。规模差异比属性差异对综合技术效率及其分解效率的影响更为显著。家庭农场、合作社与企业对综合生产效率的影响依次上升。开展与自身能力相匹配的适度规模经营较为适宜。提高产品价格更能促进各类主体综合技术效率的提升。要素配置及管理经营能力对综合技术效率及其分解效率产生了较为显著的正效应。提高劳动力生产经验及稳定土地流转更有利于综合技术效率的改善。完善价格市场、政府引导技术推广和加大土地连片整治对各种效率的提高也起到积极作用。大力培育各类规模经营主体有助于现代农业经营体系的建立。