异质性工业企业碳减排状态与路径的比较
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摘要
在将企业各主营业务划分至所属细分行业的基础上,采用ZSG-SBM方法测算工业行业2011～2016年和上市工业企业2014～2016年的碳排放效率;通过结构方程模型量化企业的碳减排潜力和能力;综合评估其碳减排状态,并运用四象限矩阵法探讨其减排路径的差异.结果显示,2011～2016年中国工业行业的碳排放状况得到逐年改善,制造业内部行业效率呈现集聚现象,重工业行业效率普遍高于0.65,轻工业行业效率参差不齐;异质性企业的减排潜力和能力存在关联和差异,治理结构和技术能力对企业深度减排具有多重影响和关键作用,外部环境对技术能力兼具激励效应和挤出效应.因此,干预政策的制定应关注企业碳减排状态的异质性,规划有差别的减排路径,避免重复建设.
Based on the subdivision on the main business of enterprises, firstly, efficiency of carbon emission was analyzed by way of the ZSG-SBM method using the samples from the public-listed industrial enterprises during 2014～2016 and industrial enterprises as a whole during 2011～2016. Secondly, using SEM, potentials and capabilities of carbon emission reduction was quantified. Lastly, by way of four-quadrant matrix method, differences on the paths of carbon emission reduction were discussed after evaluating status of carbon emission reduction. During 2011～2016, the status improved annually. It was noted that combined effect existed in manufactures, therein, efficiency on the heavy industries was above 0.65 in general whilst on the light industries was irregular. There were relations among the enterprises with heterogeneity, corporate governance and technology played a very important role, especially external environment have been incentive effects and crowding-out effects. Therefore, carbon emission reduction of enterprises with heterogeneity should be paid more attention by the policy-maker through planning different paths and avoiding repeated construction.
Based on the subdivision on the main business of enterprises, firstly, efficiency of carbon emission was analyzed by way of the ZSG-SBM method using the samples from the public-listed industrial enterprises during 2014～2016 and industrial enterprises as a whole during 2011～2016. Secondly, using SEM, potentials and capabilities of carbon emission reduction was quantified. Lastly, by way of four-quadrant matrix method, differences on the paths of carbon emission reduction were discussed after evaluating status of carbon emission reduction. During 2011～2016, the status improved annually. It was noted that combined effect existed in manufactures, therein, efficiency on the heavy industries was above 0.65 in general whilst on the light industries was irregular. There were relations among the enterprises with heterogeneity, corporate governance and technology played a very important role, especially external environment have been incentive effects and crowding-out effects. Therefore, carbon emission reduction of enterprises with heterogeneity should be paid more attention by the policy-maker through planning different paths and avoiding repeated construction.
引文
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[5]Kerui D,Chun PX.A comparison of carbon dioxide(CO2)emission trends among provinces in China[J].Renewable and Sustainable Energy Reviews,2017,73(4):19-25.
[6]李志学,孙敏.我国各省区碳退耦指数与减排潜力的测算[J].统计与决策,2017(14):101-104.Li Z X,Sun M.Calculation of carbon decoupling index and emission reduction potential in China’s provinces[J].Statistics&Decision,2017(14):101-104.
[7]马晓君,李煜东,王常欣.约束条件下中国循环经济发展中的生态效率-基于优化的超效率SBM-Malmquist-Tobit模型[J].中国环境科学,2018,38(9):3584-3593.Ma X J,Li Y D,Wang C X.Ecological efficiency in the development of circular economy of China under hard constraints based on an optimal super efficiency SBM-Malmquist-Tobit model[J].China Environmental Science,2018,38(9):3584-3593.
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[14]饶静,万良勇.政府补助、异质性与僵尸企业形成-基于A股上市公司的经验证据[J].会计研究,2018,(3):3-11.Rao J,Wan L Y.Government subsidy,heterogeneity and the formation of zombie firms:evidence from China’s listed companies[J].Accounting Research,2018,(3):3-11.
[15]李跃.企业异质性、地区发展战略与资源错配-来自中国工业企业层面的经验证据[J].西部论坛,2017,27(4):105-115.Li Y.Enterprise heterogeneity,regional development strategy and resources misallocation[J].West Forum,2017,27(4):105-115.
[16]王敏,冯宗宪.排污税能够提高环境质量吗[J].中国人口·资源与环境,2012,22(7):73-77.Wang M,Feng Z X.Can pollution tax improve environmental quality?[J].China Population,Resources and Environment,2012,22(7):73-77.
[17]张秀生,李子明.“绿色信贷”执行效率与地方政府行为[J].经济问题,2009,(3):87-90.Zhang X S,Li Z M.The efficiency of green credit’s implement and the behavior of local government[J].On Economic Problems,2009,(3):87-90.
[18]傅京燕,黄芬.中国碳交易市场CO2排放权地区间分配效率研究[J].中国人口·资源与环境,2016,26(2):1-9.Fu J Y,Huang F.Study on the distribution efficiency of co2emissions in China’s carbon trading market[J].China Population,Resources and Environment,2016,26(2):1-9.
[19]Gomes E G,Lins M P E.Modeling undesirable outputs with zero sum gains data envelopment analysis models[J].Journal of the Operational Research Society,2008,59(5):616-623.
[20]Zhou P,Ang B W,Poh K L.A Survey of Data Envelopment Analysis in Energy and Environmental Studies[J].European Journal of Operational Research,2008,189(1):1-18.
[21]冯晨鹏,王慧玲,毕功兵.存在多种非期望产出的非径向零和收益DEA模型我国区域环境效率实证研究[J].中国管理科学,2017,25(10):42-51.Feng C P,Wang H L,Bi G B.Non-radial ZSG-DEA model with multiple undesirable outputs:An empirical study for regional environmental efficiencies in China[J].Chinese Journal of Management Science,2017,25(10):42-51.
[22]Tone K.A Slacks-based Measure of Efficiency in Data Envelopment Analysis[J].European Journal of Operational Research,2001,130(3):498-509.
[23]Du J,Liang L,Zhu J.A slacks-based measure of super-efficiency in data envelopment analysis:a comment[J].European journal of operational research,2010,204(3):694-697.
[24]GB/T 4754-2017国民经济行业分类与代码[S].GB/T 4754-2017 National economical industry classification[S].
[25]国家统计局.中国工业统计年鉴[M].北京:中国统计出版社,2011-2016.National Bureau of Statistics.China industry statistical yearbook[M].Beijing:China Statistics Press,2011-2016.
[26]余泳泽,刘凤娟,张少辉.中国工业分行业资本存量测算:1985~2014[J].产业经济评论,2017,(6):5-15.Yu Y Z,Liu F J,Zhang S H.China’s industrial sector capital stock measurement:1985~2014[J].Review of Industrial Economics,2017,(6):5-15.
[27]国家统计局.中国能源统计年鉴[M].北京:中国统计出版社,2011-2016.National Bureau of Statistics.China energy statistical yearbook[M].Beijing:China Statistics Press,2011-2016.
[28]国家统计局.中国统计年鉴[M].北京:中国统计出版社,2011-2016.National Bureau of Statistics.China statistical yearbook[M].Beijing:China Statistics Press,2011-2016.
[29]薛爽,洪昀,陈昕.股权性质、政治关系与地方政府拉闸限电-来自有色金属行业的经验证据[J].金融研究,2013,(3):130-142.Xue S,Hong J,Chen X.Firm’s ownership,political connection and local government electric power cutting[J].Journal of Financial Research,2013,(3):130-142.
[30]安金朝.企业节能减排执行能力综合评价研究[J].科学进步与对策,2010,27(15):138-140.An J C.Comprehensive evaluation of energy saving and Emission reduction enforcement ability of enterprises[J].Science&Technology Progress and Policy,2010,27(15):138-140.
[31]路俊玲,陈慧萍,肖琳.温度和氨氮浓度对水体N2O释放的影响[J].中国环境科学,2019,39(1):330-335.Lu J L,Chen H P,Xiao L.Coupling effect of temperature and ammonia on N2O emission in surface water[J].China Environmental Science,2019,39(1):330-335.
[32]中国证券报.2014沪市上市公司碳效率分析与产品开发研究.上海证券交易所金融创新实验室[EB/OL].http://www.stcn.com/2014/0327/11284770.shtml,2014-03-27.China Securities Journal.2014 Carbon efficiency analysis and product development research of shanghai listed companies.Shanghai Stock Exchange Financial Innovation Laboratory[EB/OL].http://www.stcn.com/2014/0327/11284770.shtml,2014-03-27.
[33]姚奕,倪勤.各地区碳减排能力综合评价研究-基于投影寻踪分类模型[J].运筹与管理,2012,21(5):193-199.Yao Y,Ni Q.Evaluation of carbon emission reduction in different regions based on projection pursuit classification model[J].Operations Research and Management Science,2012,21(5):193-199.
[34]张弢,胡逸文.基于结构方程模型的高技术产业技术创新能力评价[J].科技和产业,2015,15(3):75-79+93.Zhang T,Hu Y W.The influence of trust on the stable study of small and medium sized enterprises(MSEs)’s alliance[J].Science Technology and Industry,2015,15(3):75-79+93.
[35]刘瑞明.中国的国有企业效率:一个文献综述[J].世界经济,2013,36(11):136-160.Liu R M.Efficiency of state-owned enterprises in China:a literature review[J].Journal of World Economy,36(11):136-160.
[36]田翠香,臧冲冲.政府补助影响企业技术创新研究综述[J].会计之友,2017,(23):94-97.Tian C X,Zang C C.Impact of government subsidies on enterprise technology innovation:a review[J].Friends of Accounting,2017,(23):94-97.
[37]吕久琴,郁丹丹.政府科研创新补助与企业研发投入:挤出、替代还是激励[J].中国科技论坛,2011,(8):21-28.Lu Q Q,Yu D D.Government subsidies and enterprises’s R&Dinvestment crowding-out,substitution or encouragement[J].Forum on Science and Technology in China,2011,(8):21-28.
[2]王兵,刘光天.节能减排与中国绿色经济增长-基于全要素生产率的视角[J].中国工业经济,2015,(5):57-69.Wang B,Liu G T.Energy conservation and emission reduction and China’s green economic growth-based on a total factor productivity perspective[J].China Industrial Economics,2015,(5):57-69.
[3]孙广生,黄祎,田海峰,等.全要素生产率、投入替代与地区间的能源效率[J].经济研究,2012,47(9):99-112.Sun G S,Huang W,Tian H F,et al.Total factor productivity,inputs substitution and regional energy efficiency disparity[J].Economic Research Journal,2012,47(9):99-112.
[4]陈德湖,潘英超,武春友.中国二氧化碳的边际减排成本与区域差异研究[J].中国人口·资源与环境,2016,26(10):86-93.Chen D H,Pan Y C,Wu C Y.Marginal abatement costs of CO2emission in China and its regional differences[J].China Population,Resources and Environment,2016,26(10):86-93.
[5]Kerui D,Chun PX.A comparison of carbon dioxide(CO2)emission trends among provinces in China[J].Renewable and Sustainable Energy Reviews,2017,73(4):19-25.
[6]李志学,孙敏.我国各省区碳退耦指数与减排潜力的测算[J].统计与决策,2017(14):101-104.Li Z X,Sun M.Calculation of carbon decoupling index and emission reduction potential in China’s provinces[J].Statistics&Decision,2017(14):101-104.
[7]马晓君,李煜东,王常欣.约束条件下中国循环经济发展中的生态效率-基于优化的超效率SBM-Malmquist-Tobit模型[J].中国环境科学,2018,38(9):3584-3593.Ma X J,Li Y D,Wang C X.Ecological efficiency in the development of circular economy of China under hard constraints based on an optimal super efficiency SBM-Malmquist-Tobit model[J].China Environmental Science,2018,38(9):3584-3593.
[8]Stephane R C,Lynn P.Sectoral Trends in Global Energy Use and Greenhouse Gas Emissions[J].Energy Policy,2008,36(4):1386-1403.
[9]陈诗一.中国工业分行业统计数据估算:1980~2008[J].经济学(季刊),2011,10(3):735-776.Chen S Y.Reconstruction of sub-industrial statistical data in china(1980~2008)[J].China Economic Quarterly,2011,10(3):735-776.
[10]涂正革.中国的碳减排路径与战略选择-基于八大行业部门碳排放量的指数分解分析[J].中国社会科学,2012(3):78-94+206-207Tu Z G.Strategic measures to reduce China’s carbon emissions:based on index decomposition analysis of carbon emissions in eight industries[J].Social Sciences in China,2012(3):78-94+206-207.
[11]国涓,刘长信,孙平.中国工业部门的碳排放:影响因素及减排潜力[J].资源科学,2011,33(9):1630-1640.Guo J,Liu C X,Sun P.Carbon emissions of industrial sectors in China:influencing factors and emission reduction potential[J].Resources Science,2011,33(9):1630-1640.
[12]何小钢,张耀辉.技术进步、节能减排与发展方式转型-基于中国工业36个行业的实证考察[J].数量经济技术经济研究,2012,29(3):19-33.He X G,Zhang Y H.Technology progress,energy save and emission reduce and development pattern transformation[J].The Journal of Quantitative&Technical Economics,2012,29(3):19-33.
[13]龙小宁,万威.环境规制、企业利润率与合规成本规模异质性[J].中国工业经济,2017,(6):155-174.Long X N,Wan W.Environmental regulation,corporate profit margins and compliance cost heterogeneity of different scale enterprises[J].China Industrial Economics,2017(6):155-174.
[14]饶静,万良勇.政府补助、异质性与僵尸企业形成-基于A股上市公司的经验证据[J].会计研究,2018,(3):3-11.Rao J,Wan L Y.Government subsidy,heterogeneity and the formation of zombie firms:evidence from China’s listed companies[J].Accounting Research,2018,(3):3-11.
[15]李跃.企业异质性、地区发展战略与资源错配-来自中国工业企业层面的经验证据[J].西部论坛,2017,27(4):105-115.Li Y.Enterprise heterogeneity,regional development strategy and resources misallocation[J].West Forum,2017,27(4):105-115.
[16]王敏,冯宗宪.排污税能够提高环境质量吗[J].中国人口·资源与环境,2012,22(7):73-77.Wang M,Feng Z X.Can pollution tax improve environmental quality?[J].China Population,Resources and Environment,2012,22(7):73-77.
[17]张秀生,李子明.“绿色信贷”执行效率与地方政府行为[J].经济问题,2009,(3):87-90.Zhang X S,Li Z M.The efficiency of green credit’s implement and the behavior of local government[J].On Economic Problems,2009,(3):87-90.
[18]傅京燕,黄芬.中国碳交易市场CO2排放权地区间分配效率研究[J].中国人口·资源与环境,2016,26(2):1-9.Fu J Y,Huang F.Study on the distribution efficiency of co2emissions in China’s carbon trading market[J].China Population,Resources and Environment,2016,26(2):1-9.
[19]Gomes E G,Lins M P E.Modeling undesirable outputs with zero sum gains data envelopment analysis models[J].Journal of the Operational Research Society,2008,59(5):616-623.
[20]Zhou P,Ang B W,Poh K L.A Survey of Data Envelopment Analysis in Energy and Environmental Studies[J].European Journal of Operational Research,2008,189(1):1-18.
[21]冯晨鹏,王慧玲,毕功兵.存在多种非期望产出的非径向零和收益DEA模型我国区域环境效率实证研究[J].中国管理科学,2017,25(10):42-51.Feng C P,Wang H L,Bi G B.Non-radial ZSG-DEA model with multiple undesirable outputs:An empirical study for regional environmental efficiencies in China[J].Chinese Journal of Management Science,2017,25(10):42-51.
[22]Tone K.A Slacks-based Measure of Efficiency in Data Envelopment Analysis[J].European Journal of Operational Research,2001,130(3):498-509.
[23]Du J,Liang L,Zhu J.A slacks-based measure of super-efficiency in data envelopment analysis:a comment[J].European journal of operational research,2010,204(3):694-697.
[24]GB/T 4754-2017国民经济行业分类与代码[S].GB/T 4754-2017 National economical industry classification[S].
[25]国家统计局.中国工业统计年鉴[M].北京:中国统计出版社,2011-2016.National Bureau of Statistics.China industry statistical yearbook[M].Beijing:China Statistics Press,2011-2016.
[26]余泳泽,刘凤娟,张少辉.中国工业分行业资本存量测算:1985~2014[J].产业经济评论,2017,(6):5-15.Yu Y Z,Liu F J,Zhang S H.China’s industrial sector capital stock measurement:1985~2014[J].Review of Industrial Economics,2017,(6):5-15.
[27]国家统计局.中国能源统计年鉴[M].北京:中国统计出版社,2011-2016.National Bureau of Statistics.China energy statistical yearbook[M].Beijing:China Statistics Press,2011-2016.
[28]国家统计局.中国统计年鉴[M].北京:中国统计出版社,2011-2016.National Bureau of Statistics.China statistical yearbook[M].Beijing:China Statistics Press,2011-2016.
[29]薛爽,洪昀,陈昕.股权性质、政治关系与地方政府拉闸限电-来自有色金属行业的经验证据[J].金融研究,2013,(3):130-142.Xue S,Hong J,Chen X.Firm’s ownership,political connection and local government electric power cutting[J].Journal of Financial Research,2013,(3):130-142.
[30]安金朝.企业节能减排执行能力综合评价研究[J].科学进步与对策,2010,27(15):138-140.An J C.Comprehensive evaluation of energy saving and Emission reduction enforcement ability of enterprises[J].Science&Technology Progress and Policy,2010,27(15):138-140.
[31]路俊玲,陈慧萍,肖琳.温度和氨氮浓度对水体N2O释放的影响[J].中国环境科学,2019,39(1):330-335.Lu J L,Chen H P,Xiao L.Coupling effect of temperature and ammonia on N2O emission in surface water[J].China Environmental Science,2019,39(1):330-335.
[32]中国证券报.2014沪市上市公司碳效率分析与产品开发研究.上海证券交易所金融创新实验室[EB/OL].http://www.stcn.com/2014/0327/11284770.shtml,2014-03-27.China Securities Journal.2014 Carbon efficiency analysis and product development research of shanghai listed companies.Shanghai Stock Exchange Financial Innovation Laboratory[EB/OL].http://www.stcn.com/2014/0327/11284770.shtml,2014-03-27.
[33]姚奕,倪勤.各地区碳减排能力综合评价研究-基于投影寻踪分类模型[J].运筹与管理,2012,21(5):193-199.Yao Y,Ni Q.Evaluation of carbon emission reduction in different regions based on projection pursuit classification model[J].Operations Research and Management Science,2012,21(5):193-199.
[34]张弢,胡逸文.基于结构方程模型的高技术产业技术创新能力评价[J].科技和产业,2015,15(3):75-79+93.Zhang T,Hu Y W.The influence of trust on the stable study of small and medium sized enterprises(MSEs)’s alliance[J].Science Technology and Industry,2015,15(3):75-79+93.
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