摘要
在当前全球环境污染和气候变暖的严峻形势下,鼓励和支持减排研发创新具有非常紧迫的现实意义。对于政府来说,在一定的环境政策下制定和使用技术激励政策是提高减排技术水平、实现减排目标的重要手段之一。技术激励政策在产品创新和以降低成本为特征的程序创新中的应用已经有了丰富的研究成果,近些年来在减排研发创新领域的应用也引起了国外一些学者的关注,但国内相关研究还比较少见。已有的文献集中于探讨排放税对减排技术研发的激励作用,较少关注既定的排放税下技术激励政策的选择问题。从目前减排事业发展的实际需要出发,本文对既定的排放税下技术激励政策的政策效应进行系统的研究,旨在补充和丰富减排技术创新中的激励政策效应研究,同时在实践上为政府在环境政策条件下技术激励政策的有效应用以及为推动我国的节能减排事业提供理论支撑。本文以产业组织理论有关技术激励政策的研究为基础,从政府的角度出发,设定了三种供政府选择的政策使用类型为研究对象:单独使用补贴或者合作政策以及二者一起应用(简称为组合政策)。本文在外生的排放税和溢出率条件下,建立不同政策情形下减排研发的博弈模型,通过对每一种政策类型的绩效的分析,从理论上展开对各政策类型的作用及相互之间的差异以及政府该选择政策类型等研究内容的深入探讨。
本文的主要研究工作和研究结论体现在以下几个方面:
①在已有文献的研发决策模型基础上,考虑外生的排放税和溢出率,建立了无技术激励政策情形——企业不合作研发情形下的减排研发决策模型,为研究各类型政策的作用提供了比较的基础。对不合作情形下减排研发决策的研究表明,溢出率对企业的最优研发水平和最优产出没有影响,但是企业的利润和社会福利随溢出递增。最优研发水平随税率递增;对于利润和社会福利,则分别存在两个临界税率,低于对应的临界税率,利润随税率提高单调递减,而社会福利随税率递增;反之则利润递增,而社会福利则递减。
②在无技术激励政策情形下的减排研发决策模型基础上,考虑政府的参与,建立了单一补贴、单一合作和组合政策下的减排研发决策模型,计算各类政策下的绩效并进行相互比较,揭示了各类政策的作用及相互差异。研究表明,补贴政策下最优补贴率随排放税率递减,甚至可能为负,因此对减排研发水平的提高既可能有激励作用也可能有抑制作用;合作政策对减排研发水平的提高有正向的促进作用;而组合政策对提高社会福利有正向的促进作用。各政策对研发水平的激励作用的相对大小取决于排放税率和溢出率;组合政策下的社会福利高于单一政策下的社会福利,单一补贴和单一合作政策下的社会福利相对大小取决于排放税率。
③在分析各政策效应的基础上,建立政府选择政策和企业行为之间的互动博弈模型,通过求解博弈均衡的结果发现了在一定排放税率和溢出率条件下动态选择最优技术激励政策的规律。研究表明,产业的溢出率低于临界值时,选择组合政策为最优的技术激励政策,企业采取研发合作行为;当产业的溢出率高于临界值时,补贴政策为最优的技术激励政策,企业采取不合作研发行为。
Because of global environmental pollution and warming climate, it is urgently significant to encourage and promote innovation in abatement R&D. To make and employ incentive policy with environment policy is one of main measures to promote technology and abate emissions for government. There are wide research on incentive technology policies in the area of product innovation and process innovation represented as cost reduction, in nearly years some overseas scholar had concerns on its use in environmental technology innovation, but there are less theoretical research works conducted by Chinese scholars. Some perspectives for incentive policy are concerned in those literatures, but from the view of current development of emission abatement, it is necessary to forward the research on real use of policy in a view as a whole system. By the dissertation, it is expected to theoretically supplement and rich the employment of incentive policies in environmental technology innovation, and to provide some valuable reference and suggestion for the employment of policies and the development of emission abatement in china.
The dissertation is based on the research related incentive technology policy for R&D in Industry Organization Theory. From the view of government, three ways of emploment for stimulating emission abatement R&D will be discussed: subsidization, cooperation and using both (in short, combination). A model is built based on models of D’Aspremont et al., to analyze the performance of incentive policy on emission abatement R&D, with exogenous emission tax and spillovers. By the model the equilibrium outputs, R&D level, profits and social welfare are computed under each policy for comparison, and some important problems are discussed that whether one policy will be effectively employed as well as how to decide the best incentive policy.
The main research works and conclusion of this dissertation can be summarized as below:
①on the baisis of models of D’Aspremont et al., with exogenous emission tax, to build the decision model for the base case of emission abatement R&D that is without any incentive policy employed, which provide the basis for analyzing each policy and their difference. By the analysis on the model it is found that spillovers have no effect on best R&D level and the best product outputs but the profit and the social welfare increase to spillovers. The best R&D level increases to emission tax. But for profit and social welfare, there are two critical value of tax for them, if below the corresponding critical value, profit increases to tax while social welfare decreases, if beyond the corresponding critical value, profit decreases to tax while social welfare increases.
②on the basis of model for the case without any incentive technology policy, to build the emission abatement R&D decision models for the policy cases: subsidization, cooperation and combination. To compute and compare the merits of different policies’to recognize their performances, and discuss the condition for the combination to be used effectively in consideration of the reaction of firms’behavior to the combination. It is found that in subsidization the best subsidy rate decreases to emission tax, even to be negative, which means subsidization has functions of promoting or restraining R&D level. But the policy of cooperation plays a driving role in R&D level. The policy of combination performs better in social welfare than each individual incentive policy. Which policy outputs more R&D level depends on the spillovers rate or emission tax rate. As for subsidization and cooperation, which outputs more social welfare depends on emission tax rate.
③to build the mutual reaction game model between selection of policy and firms’behavior, and then to compute equilibrium results in order to find the rule for dynamic selection of incentive technology policy with emission tax and spillovers. It is found that, if the spillovers rate is lower than the critical value the best choice is he combination and at the same time firms take cooperative action, but if the rate higher than that value the best policy is subsidization and firms take non-cooperative action.
引文
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