中国的环境规制与地区经济增长研究
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摘要
这是一篇旨在讨论环境规制和地区经济增长之间的关系的研究。改革开放以来,工业化进程极大地增强了我国的经济实力,显著地改善了人们的生活质量,但环境并没有得到很好的保护,污染问题日益严重,现有发展模式难以为继。环境作为一项公共品,存在市场失灵的现象,需要政府采取措施加以规制。传统观点认为环境规制会增加企业的生产成本,加大企业负担,减弱企业竞争能力,影响地区经济发展。修正主义者认为环境规制有利于企业增加环保投入,开展技术创新,获得先发优势,从而可以全部或者部分地弥补环境规制带来的损失,这两种观点都得到了许多文献的证实。
本文从环境规制与长期经济增长、环境规制与全要素生产率、环境规制与技术创新、环境规制与外商直接投资四个方面说明了环境规制的影响力,我们所做的工作和结论如下：
(一)关于环境规制和长期经济增长之间的关系,本文拓展了Stokey-Aghion-孙刚模型,区分了不断增加治污投入和逐步提高环保标准两种不同情况下的长期经济增长路径,考察了维持可持续发展所必需的条件,并运用我国2003-2009年29个省份的面板数据,对理论模型进行了经验验证。研究结果表明,不断增加环保投入的治理模式不可持续,地方政府不仅需要加大污染治理投入,更需要逐步提高环境标准,实行“源头控制”,只有这样,才能实现人类福利水平的最大化和经济的长期稳定增长。
(二)关于环境规制和全要素生产率之间的关系,本文运用径向非角度方向性距离函数方法测度了2000-2009年期间我国30个省份的工业部门的环境技术效率值和环境全要素生产率变化值,同时把环境全要素生产率分解为技术进步、效率改变和规模效应,并对影响环境全要素生产率变化的因素进行了实证分析。研究发现：总体而言,东部地区的环境技术效率值和环境全要素生产率高于中西部地区,技术进步是环境全要素生产率增长的主要原因,环境规制、教育水平、产业结构、市场结构、外商直接投资对我国全要素生产率增长起正向作用,而资源禀赋、能源结构、一阶滞后项则起反向作用,所有制结构和环境全要素生产率的关系不显著。
(三)关于环境和技术进步之间的关系,本文应用地区竞争模型,发现环境规制工具的选择影响到波特假说的验证,相对于命令控制型环境规制工具,征收环境税有利于促进技术革新。本文还采用2000-2009年中国30个省份的面板数据,分析了环境规制强度和技术创新之间的关系,发现存在滞后期的两者之间显著正相关,我国应逐步提高排污收费标准,促使企业不断创新利用清洁技术,实现环境保护和经济发展“双赢”的目标。
(四)关于环境规制和外商直接投资之间的关系,本文拓展了陈钊的理论模型,解释了“腾笼换鸟”和“承接转移”其实并不矛盾,只是不同发展阶段的地区根据实际情况作出的“理性选择”。政府应该对不同的地区采取不同的政策,改变当前的绩效考核方式,促进地区经济的可持续增长。
环境规制是否有效,还需要良好的机制设计,本文讨论了命令控制型环境规制工具、基于市场的环境规制工具及以信息披露和公共参与为特征的环境规制工具之间的优缺点,并分析了这三类环境规制工具在我国的实践情况。本文的结论是：命令控制型规制工具具有操作简便的特点,但规制成本较高,效率低下,激励作用较弱；基于市场的环境规制工具解决了上述问题,但有前提条件,就是成熟的市场、完善的法律、较强的监测能力等等。因此,命令控制型环境规制工具和基于市场的环境规则工具是互补关系,而不是替代关系。
以信息披露和公共参与为特征的环境规制工具强调被规制者的声誉价值,通过被规制者的合作降低规制成本,在未来的应用将越来越普遍。在我国,环境规制有效与否还必须考虑现行的经济政治体制,实现可持续发展的必由之路是真正转变现有的发展思路和考核体系,把环境绩效纳入评价指标。
This paper aims to explore the relationship of environmental regulation and regional economic growth. Industrialization has greatly enhanced our countries' economic strength and improved the people's living standard since the reform and opening to the world policy, but the environment has not been well protected, the pollution problems are worsening everyday, the existing development model is unsustainable. The environment is public goods, there exists market failure about it, the governments should take measures to implement the regulation. The additional view is that environmental regulation will increase the costs of production of the enterprises, enhance their burden and weaken their competitiveness, eventually affect the region's economic growth. The revisionists regard that environmental regulation will stimulate the enterprises to increase environmental investments and carry out technological innovation to obtain the first-mover advantages, thus may wholly or partially compensate for the losses brought about by environmental regulation. The two views have all been confirmed by lots of literatures.
This paper discusses the effects of environmental regulation from four aspects: environmental regulation and long-term economic growth, environmental regulation and total factor productivity, environmental regulation and technological innovation, environmental regulation and FDI, what we have done and the conclusion are as follows:
First, with respect to the relationship of environmental regulation and long-term economic growth, this paper extends the model of Stokey-Aghion-GangSun, distinguishes two kinds of different long-run growth paths in the case of increasing the pollution abatement inputs constantly and raising the environmental standards gradually, at the same time, we analyze the conditions to maintain sustainable development theoretically。Based on the result of the model, using of panel data from29provinces in China from2003to2009, an econometric model is also employed to verify the theoretical model. The conclusion is that the approach to development of abatement after pollution is Unsustainable, the local governments not only need to reinforce pollution abatement activities, but also need to improve the environmental standard gradually, implement the resource control, this is the only way to maximize the level of human welfare and gain long-term stable economic growth.
Second, with respect to the relationship of environmental regulation and total factor productivity, this Paper applies radial and non-oriented directional distance function approach to measure the environmental technological efficiency and the change of environmental TFP of industrial sector of China's30provinces over the period2000to2009while decomposing environmental TFP to technology progress, efficiency change and scale effect. We also empirically examine the factors which affect on the change of environmental TFP. The empirical results show that the environmental technological efficiency and environmental TFP in eastern regions are higher than centre regions and western regions overall; technology progress is the main factor of promoting the increasing of environmental TFP; environmental regulation, education level, industrial structure, market structure and FDI have the positive relationship with the increasing of environmental TFP, resource endowment, energy consumption structure and the first-order lags have the negative relationship with the increasing of environmental TFP, the relationship of ownership structure with environmental TFP is not significant.
Third, with respect to the relationship of environmental regulation and technological progress, this paper finds the choice of environmental regulation instruments will affect the verification of Porter Hypothesis according to regional competition model, relative to command and control environmental regulation instrument, environmental taxes is more conducive to the promotion of technological innovation. This paper also analyzed the relationship of environmental regulation and technical innovation based on the panel data of China's30provinces between the years of2000to2009, we found that there is significant positive relationship between technical innovation and environmental regulation in lags period, China should gradually increases the pollution charge, encourages the enterprises to innovate constantly and take advantage of clean technology to get the "win-win" result of environmental protection and economic development.
Fourth, with respect to the relationship of environmental regulation and FDI, This paper extends the model of Chen Zhao, explains the strategies of "empty the cage for other birds" and "undertake the transfer" are not contradictory, just different regions at different stages of development make the "rational choice" according to their own situation. Government should adopt different policies for different regions and change the performance assessment method to promote sustainable economic growth.
Effective environmental regulations also need good mechanism design, this paper discusses the advantages and disadvantages of command-control environmental regulation instruments, environmental regulation instruments based on the market and environmental regulation instruments characterized by information disclosure and public participation, at the same time, this paper analyzes the practice of the three types of environmental regulation instruments in China. The conclusions of this paper are the following:command-control environmental regulation instruments are easy to be operating, but its regulation cost is higher and efficiency is lower than other environmental regulation instruments, at the same time, its incentive is weaker. The environmental regulation instruments based on the market overcome the disadvantages of command-control instruments, but they also require some conditions such as mature market, perfect legal system and strong monitoring capabilities. Therefore, command-control environmental regulation instruments and environmental regulation instruments based on the market are complementary rather than substitute each other.
Environmental regulation instruments characterized by information disclosure and public participation emphasize the value of the reputation of regulators and reduce the costs of regulation by means of the cooperation of the regulators, so they will be more common in the future. In China, discussing the validity of environmental regulation instruments will take into account current economic and political system, the only way to achieve sustainable development is to change existing principles of development and evaluation system, bring environmental performance into regional assessment index.
本文从环境规制与长期经济增长、环境规制与全要素生产率、环境规制与技术创新、环境规制与外商直接投资四个方面说明了环境规制的影响力,我们所做的工作和结论如下：
(一)关于环境规制和长期经济增长之间的关系,本文拓展了Stokey-Aghion-孙刚模型,区分了不断增加治污投入和逐步提高环保标准两种不同情况下的长期经济增长路径,考察了维持可持续发展所必需的条件,并运用我国2003-2009年29个省份的面板数据,对理论模型进行了经验验证。研究结果表明,不断增加环保投入的治理模式不可持续,地方政府不仅需要加大污染治理投入,更需要逐步提高环境标准,实行“源头控制”,只有这样,才能实现人类福利水平的最大化和经济的长期稳定增长。
(二)关于环境规制和全要素生产率之间的关系,本文运用径向非角度方向性距离函数方法测度了2000-2009年期间我国30个省份的工业部门的环境技术效率值和环境全要素生产率变化值,同时把环境全要素生产率分解为技术进步、效率改变和规模效应,并对影响环境全要素生产率变化的因素进行了实证分析。研究发现：总体而言,东部地区的环境技术效率值和环境全要素生产率高于中西部地区,技术进步是环境全要素生产率增长的主要原因,环境规制、教育水平、产业结构、市场结构、外商直接投资对我国全要素生产率增长起正向作用,而资源禀赋、能源结构、一阶滞后项则起反向作用,所有制结构和环境全要素生产率的关系不显著。
(三)关于环境和技术进步之间的关系,本文应用地区竞争模型,发现环境规制工具的选择影响到波特假说的验证,相对于命令控制型环境规制工具,征收环境税有利于促进技术革新。本文还采用2000-2009年中国30个省份的面板数据,分析了环境规制强度和技术创新之间的关系,发现存在滞后期的两者之间显著正相关,我国应逐步提高排污收费标准,促使企业不断创新利用清洁技术,实现环境保护和经济发展“双赢”的目标。
(四)关于环境规制和外商直接投资之间的关系,本文拓展了陈钊的理论模型,解释了“腾笼换鸟”和“承接转移”其实并不矛盾,只是不同发展阶段的地区根据实际情况作出的“理性选择”。政府应该对不同的地区采取不同的政策,改变当前的绩效考核方式,促进地区经济的可持续增长。
环境规制是否有效,还需要良好的机制设计,本文讨论了命令控制型环境规制工具、基于市场的环境规制工具及以信息披露和公共参与为特征的环境规制工具之间的优缺点,并分析了这三类环境规制工具在我国的实践情况。本文的结论是：命令控制型规制工具具有操作简便的特点,但规制成本较高,效率低下,激励作用较弱；基于市场的环境规制工具解决了上述问题,但有前提条件,就是成熟的市场、完善的法律、较强的监测能力等等。因此,命令控制型环境规制工具和基于市场的环境规则工具是互补关系,而不是替代关系。
以信息披露和公共参与为特征的环境规制工具强调被规制者的声誉价值,通过被规制者的合作降低规制成本,在未来的应用将越来越普遍。在我国,环境规制有效与否还必须考虑现行的经济政治体制,实现可持续发展的必由之路是真正转变现有的发展思路和考核体系,把环境绩效纳入评价指标。
This paper aims to explore the relationship of environmental regulation and regional economic growth. Industrialization has greatly enhanced our countries' economic strength and improved the people's living standard since the reform and opening to the world policy, but the environment has not been well protected, the pollution problems are worsening everyday, the existing development model is unsustainable. The environment is public goods, there exists market failure about it, the governments should take measures to implement the regulation. The additional view is that environmental regulation will increase the costs of production of the enterprises, enhance their burden and weaken their competitiveness, eventually affect the region's economic growth. The revisionists regard that environmental regulation will stimulate the enterprises to increase environmental investments and carry out technological innovation to obtain the first-mover advantages, thus may wholly or partially compensate for the losses brought about by environmental regulation. The two views have all been confirmed by lots of literatures.
This paper discusses the effects of environmental regulation from four aspects: environmental regulation and long-term economic growth, environmental regulation and total factor productivity, environmental regulation and technological innovation, environmental regulation and FDI, what we have done and the conclusion are as follows:
First, with respect to the relationship of environmental regulation and long-term economic growth, this paper extends the model of Stokey-Aghion-GangSun, distinguishes two kinds of different long-run growth paths in the case of increasing the pollution abatement inputs constantly and raising the environmental standards gradually, at the same time, we analyze the conditions to maintain sustainable development theoretically。Based on the result of the model, using of panel data from29provinces in China from2003to2009, an econometric model is also employed to verify the theoretical model. The conclusion is that the approach to development of abatement after pollution is Unsustainable, the local governments not only need to reinforce pollution abatement activities, but also need to improve the environmental standard gradually, implement the resource control, this is the only way to maximize the level of human welfare and gain long-term stable economic growth.
Second, with respect to the relationship of environmental regulation and total factor productivity, this Paper applies radial and non-oriented directional distance function approach to measure the environmental technological efficiency and the change of environmental TFP of industrial sector of China's30provinces over the period2000to2009while decomposing environmental TFP to technology progress, efficiency change and scale effect. We also empirically examine the factors which affect on the change of environmental TFP. The empirical results show that the environmental technological efficiency and environmental TFP in eastern regions are higher than centre regions and western regions overall; technology progress is the main factor of promoting the increasing of environmental TFP; environmental regulation, education level, industrial structure, market structure and FDI have the positive relationship with the increasing of environmental TFP, resource endowment, energy consumption structure and the first-order lags have the negative relationship with the increasing of environmental TFP, the relationship of ownership structure with environmental TFP is not significant.
Third, with respect to the relationship of environmental regulation and technological progress, this paper finds the choice of environmental regulation instruments will affect the verification of Porter Hypothesis according to regional competition model, relative to command and control environmental regulation instrument, environmental taxes is more conducive to the promotion of technological innovation. This paper also analyzed the relationship of environmental regulation and technical innovation based on the panel data of China's30provinces between the years of2000to2009, we found that there is significant positive relationship between technical innovation and environmental regulation in lags period, China should gradually increases the pollution charge, encourages the enterprises to innovate constantly and take advantage of clean technology to get the "win-win" result of environmental protection and economic development.
Fourth, with respect to the relationship of environmental regulation and FDI, This paper extends the model of Chen Zhao, explains the strategies of "empty the cage for other birds" and "undertake the transfer" are not contradictory, just different regions at different stages of development make the "rational choice" according to their own situation. Government should adopt different policies for different regions and change the performance assessment method to promote sustainable economic growth.
Effective environmental regulations also need good mechanism design, this paper discusses the advantages and disadvantages of command-control environmental regulation instruments, environmental regulation instruments based on the market and environmental regulation instruments characterized by information disclosure and public participation, at the same time, this paper analyzes the practice of the three types of environmental regulation instruments in China. The conclusions of this paper are the following:command-control environmental regulation instruments are easy to be operating, but its regulation cost is higher and efficiency is lower than other environmental regulation instruments, at the same time, its incentive is weaker. The environmental regulation instruments based on the market overcome the disadvantages of command-control instruments, but they also require some conditions such as mature market, perfect legal system and strong monitoring capabilities. Therefore, command-control environmental regulation instruments and environmental regulation instruments based on the market are complementary rather than substitute each other.
Environmental regulation instruments characterized by information disclosure and public participation emphasize the value of the reputation of regulators and reduce the costs of regulation by means of the cooperation of the regulators, so they will be more common in the future. In China, discussing the validity of environmental regulation instruments will take into account current economic and political system, the only way to achieve sustainable development is to change existing principles of development and evaluation system, bring environmental performance into regional assessment index.
引文
1《环保部披露2008年全国环境经济核算结果》,中国新闻网,http://www.chinanews.com/ny/2010/12-28/2751156.shtml。
1参见《马克思恩格斯选集》第三卷第334-335页。
2数据来源：《2010年中国环境状况公报》,环境保护部网站,http://jcs.mep.gov.cn/hjzl/zkgb。
3参见《“十一五”成就报告：环境保护事业取得积极进展》,中国政府网,http://www.gov.cn/gzdt/2011-03/10/content_1821694.htm。
4参见《国务院关于印发国家环境保护“十二五”规划的通知》。
5参见《新中国六十年系列报道之十七：环境保护成就斐然》,中国政府网, http://ww.gov.cn/gzdt/2009-09/28/content_1428543.htm。
6参见人民网,http://energy.people.com.en/GB/15096892.html。
7中国的许多环保NGO带有一定的半官方背景,如中华环境保护促进会。
8徐南,环保NGO的中国生命史,南方周末,2009年9月30日。
9数据来源：中华人民共和国统计局网站。
10当然,由于这里估算的数据仅仅作为一种比较和参考,在后面文章中所用的涉及到环境污染治理投资的数据还是以国家统计局公布的各项数据为准。
11参见《我国环境监测能力落后,国家将完善环境监测网》,凤凰网,http://gongyi.ifeng.com/news/detail_2010_06/10/1606256_0.shtml。
12同11。
1吴志春：《排污权交易市场将步入广阔空间一上海排污权交易额累计逾千万》,《中国环境报》,2001年8月13日。
2参见《浙江省已有4000多家企业实行排污权有偿使用》,新华网,http://news.xinhuanet.com/society/2011-09/29/c_122107425.htm。
3参见《欧洲生态标签扩大至食品》,中国经济网,http://www.ce.cn/cysc/agriculture/gdxw/201009/19/t20100919_20506340.shtml。
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1参见《马克思恩格斯选集》第三卷第334-335页。
2数据来源：《2010年中国环境状况公报》,环境保护部网站,http://jcs.mep.gov.cn/hjzl/zkgb。
3参见《“十一五”成就报告：环境保护事业取得积极进展》,中国政府网,http://www.gov.cn/gzdt/2011-03/10/content_1821694.htm。
4参见《国务院关于印发国家环境保护“十二五”规划的通知》。
5参见《新中国六十年系列报道之十七：环境保护成就斐然》,中国政府网, http://ww.gov.cn/gzdt/2009-09/28/content_1428543.htm。
6参见人民网,http://energy.people.com.en/GB/15096892.html。
7中国的许多环保NGO带有一定的半官方背景,如中华环境保护促进会。
8徐南,环保NGO的中国生命史,南方周末,2009年9月30日。
9数据来源：中华人民共和国统计局网站。
10当然,由于这里估算的数据仅仅作为一种比较和参考,在后面文章中所用的涉及到环境污染治理投资的数据还是以国家统计局公布的各项数据为准。
11参见《我国环境监测能力落后,国家将完善环境监测网》,凤凰网,http://gongyi.ifeng.com/news/detail_2010_06/10/1606256_0.shtml。
12同11。
1吴志春：《排污权交易市场将步入广阔空间一上海排污权交易额累计逾千万》,《中国环境报》,2001年8月13日。
2参见《浙江省已有4000多家企业实行排污权有偿使用》,新华网,http://news.xinhuanet.com/society/2011-09/29/c_122107425.htm。
3参见《欧洲生态标签扩大至食品》,中国经济网,http://www.ce.cn/cysc/agriculture/gdxw/201009/19/t20100919_20506340.shtml。
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