摘要
当前,中国环境污染问题愈加严重,污染所造成的危害越来越大。环境污染甚至威胁到中国经济增长的可持续性。继续改进并实施污染控制政策已经成为解决环境问题,改善人们生活质量,避免经济增长遭遇环境灾难的当务之急。然而,污染控制政策作用尚未得到一致认可,在很多情形下,控制环境污染让位于经济增长；污染控制政策在中国也仍然较为“粗放”,改进步伐极其缓慢。因此,从理论与实证角度,明确中国污染控制政策的作用,并对污染控制政策的设计进行研究是有意义的。论文从污染控制政策的作用与设计两个方面对中国污染控制政策进行研究。
论文从三个角度研究中国污染控制政策作用。第一,污染控制政策引致创新作用角度的研究由一个数理模型与实证分析构成。数理模型证明了,排污费等污染控制政策之所以具有引致创新作用,其原因在于污染控制政策对污染治理成本的影响,以及保障污染治理技术创新的垄断收益与技术创新厂商的垄断地位。以中国工业行业为样本的实证分析则证实了,中国污染控制政策存在引致创新作用不足的缺陷。具体来说,污染治理成本对自主创新具有显著的负向作用,而对创新的作用则不显著。第二,污染控制政策减排作用的研究从环境库兹涅茨曲线(Environmental Kuzenets Curve, EKC)角度进行分析,以组间估计量对中国工业污染的省级面板数据进行分析。研究证实了,在污染控制政策是时间趋势主要因素的假设下,中国污染控制政策的减排作用不容忽视,其减排作用与收入的环境质量改善作用大小相当；不过中国污染控制政策对不同污染物的减排作用是不同的,与控制废水排放不同,污染控制政策在控制废气等污染物排放上并不成功。第三,污染控制政策促进可持续发展作用则从经济增长角度对污染控制政策进行理论探讨,理论分析表明了,污染控制政策不仅仅局限于改善环境资源的静态配置效率,还能够提高环境资本的动态配置效率,甚至是确保经济增长可持续性的一个重要方面。论文对中国污染控制政策作用的研究为污染控制政策目标与政策体系的设计理念与设计方案提供了改进的方向,如,在设计污染控制政策时,必须放弃经济增长一定能够改善环境质量的观念,考虑如何增强其引致创新作用,并从全局角度考虑如何确保污染控制政策改进经济增长方式作用得以发挥。
论文从两种类型污染控制政策互相影响、环境规制监管两个方面对中国污染控制政策的设计进行初步探索。第一,环境友好行为是信息公开这种新型污染控制政策所强调污染治理问题的一个重要特征,而信息公开这种新型污染控制政策与基于市场的污染控制政策难免互相影响,在这种情况下,论文建立一个多家厂商古诺模型证明了,仅依赖环境友好行为或者信息公开并不足以充分解决环境污染外部性所导致的效率损失问题,而排污费等基于市场的污染控制政策的应用也必须考虑到环境友好行为与信息公开,否则可能导致社会福利损失。第二,尽管地方环境当局与企业的共谋是企业违规偷排、瞒报的重要因素,然而,论文利用一个博弈模型证明了,监管成本、罚金收益权也是企业违规排污、瞒报的重要影响因素。而帮助地方环境部门分摊监管成本,赋予其更多罚金收益权是减少偷排、瞒报的重要手段。当然,污染控制政策的设计是一个复杂的课题,仅从这两个方面进行研究还远远不够。
随着时间推移,中国对污染控制政策的需求仍将持续增加,污染控制政策目标确定、政策工具的选择、以及政策工具的综合应用等等方面仍然有待进一步研究。随着中国环境污染问题越来越严重,这一领域的研究会有助于解决环境问题,为人们提供一个良好的生活、生存环境。
At present, China's environmental pollution problems become increasingly serious; the harm caused by the pollution is increasing. Environmental pollution even is a threat to the sustainability of China's economic growth. Continuing to implement and improve the pollution control policies is the imperative solution to solve environmental problems and improve people's quality of life and to avoid the environmental disaster of economic growth. However, the pollution control policy has not yet been unanimously approved, and control of environmental pollution is giving way to economic growth in many cases; pollution control policy in China is still more "extensive", the improvement is extremely slow pace. Therefore, from a theoretical and empirical point of view, research into the role and the design of pollution control policies is meaningful. The dissertation studies pollution control policies in China from these two aspects.
The study of the role of pollution control policy in China consists of three parts. Firstly, the study of induce-innovation effect of pollution control policies constitutes a mathematical model and empirical analysis. The mathematical model proves that, as a pollution control policy, the reasons of induce-innovation effect of emission fees are that, the cost of pollution control is affect by pollution control policy and the monopoly profit and position of innovator is guaranteed by pollution control policy. The empirical analysis employing a sample of Chinese industries confirmed the defects of short of the ability in inducing innovation of pollution control policy in China. Specifically, the cost of pollution control has a significant negative effect on independent innovation and an insignificant effect on innovation. Secondly, the study of pollution reduction effect of pollution control policy is an estimation of the provincial panel data in China with the Between Estimator from the perspective of the Environmental Kuznets Curve. Basing on an assumption that pollution control policy is the key factor of time trend, the analysis proves that, the role playing by policy to reduce emissions can not be ignored, and the emission reduction effect of the policy is almost the same as the effect of income on the improvement of environmental quality. However, the emission reduction effect of policies arevaries with different pollutants. Contrast to control on discharge of wastewater, the policy is not successful in the control of wastegas and other pollutants. Thirdly, the effect of pollution control policy to promote sustainable development is a theoretical study from the perspective of economic growth. The theoretical analysis shows that, the effect of policy is not only to improve the static allocative efficiency, but also can improve the dynamic allocative efficiency of natural capital, and is even a key factor in guarantee the sustainability of economic growth. The research on the role of China's pollution control policies help to offer a direction to improve the design of the ideas and programs in the objectives and framework of the policy, such as one has to give up the idea that economic growth will necessarily improve the quality of environment, should consider how to strengthen the induce-innovation effect and how to ensure the effect of improve the quality of economic growth of pollution control policy from a global perspective.
The dissertation conducts a preliminary exploration on the design of pollution control policy from interaction of different type of pollution control policies and environmental regulation enforcement. Firstly, the environment-friendly behavior is an important feature of pollution control emphasized by information disclosure this new type of pollution control policy, and information disclosure this new type of pollution control policies and market-based pollution control policies inevitably affect each other, in this case, the dissertation employing a Cournot model of a number of firms proves that, rely solely on environment-friendly behavior, or information disclosure is not sufficient to adequately address the loss of efficiency caused by the externalities of environmental pollution and the application of policies of market-based pollution control such as emission fees must take into account environmental friendly behavior and information disclosure, otherwise it may cause the loss of social welfare. Secondly, despite the complicity of the local environmental authorities and enterprises is an important factor for cheat of wastewater discharge and in report the emission data, however, the dissertation using a game model confirms that regulatory costs and fines usufruct are also important factors for cheat of wastewater discharge and in report the emission data. To help local environmental authorities sharing the cost of enforcement and giving more fine usufruct to local environmental authorities are important means to reduce cheat. Of course, the design of pollution control policies is a complex issue, and studies here are not enough.
Over time, China's demand for pollution control policy will continue to increase, the target of pollution control policies, the choice of policy tools, and comprehensive application of the policy tools still needs further study. With the environmental pollution problem getting worse, the research in this area will help to solve environmental problems, providing people with a good living and surviving environment.
引文
① Jaffe and Palmer (1997)指出之前支持波特假说的证据都是案例。而波特假说本身的含义也并不清晰。他们指出三个版本的波特假说。
②Ambec. Cohen、Elgie et al. (2011)、Brannlund and Lundgren (2009)对波特假说有关研究进行了综述。Brannlund and Lundgren (2009)总结指出,尽管理论分析可以找出波特假说成立的情形,然而,这些情形并不具有普遍性。经验研究也没有一致地支持波特假说。
①衡量发明或者创新的速度也存在困难(Griliches,1990; Lanjouw and Schankerman,1999)。
①实际上,我国排污收费的制度绩效在葛察忠,王金南(2001),张友国与郑玉歆(2005)、包群与彭水军(2006)的研究中也得到了经验证据支持,并一致认为排污收费具有良好的制度绩效。
①与Dasgupta等(2001)、Wang等(2002)的研究类似。
①Requate(2005)对不完全竞争市场中的次优排污费研究进行了综述。
①Heuson(2008).Heuson(2010)遵循Wejtzman(1974)的研究思路,从信息不完全角度比较了不同污染控制政策。
①参见Baumol and Oates (1988), Boadway and Wildasin (1984) or Oakland (1987)的研究。
② Helfand、Berck and Maull (2003)把第三类污染控制政策称为非规制方法。
①Stavins (2003)、Henderson and Norris (2008)等对基于市场的污染控制政策工具在发达国家中的应用进行了较为详尽的介绍。
②Fullertton、Leicester and Smith (2010)并不是所有的环境问题都应当采取基于市场的手段来处理。在某些场合,包括多种命令与控制形式的其它方法可能更具有优势(Bohm and Russell,1985; Fullerton,2001)
③Blackman (2009)指出许多学者对命令与控制手段、基于市场的污染控制政策工具在发展中国家与转型国家中的应用进行了讨论。
④Blackman (2009)归纳了排污费的优缺点,与发展中国家、转型国家实际应用排污费时存在的普遍问题。Coria and Sterner (2010)归纳了排污许可证应用的国际经验。Soderholm (2001)对排污收费在转型国家应用中所遇到的问题进行讨论。
①有关欧洲利用排污费控制废水排放的经验可以参见Kraemer et al. (2003)。
② Blackman (2010)对发展中国家非市场手段的污染控制政策相关研究进行了综述。
③ Dasgupta、Hamilton、Pagiola等.(2008)世界银行有关介付费环境服务项目。Pattanayak、Wunder and Ferraro(2010)则对相关案例进行了综述。
①蒋洪强、王金南与葛察忠(2008)对近十年来中国污染控制政策进行了评估。张卫国、马瑾与张立恒(2007)
①Jaffe and Palmer (1997)指出之前支持波特假说的证据都是案例。而波特假说本身的含义也并不清晰。他们指出三个版本的波特假说。
② Ambec、Cohen、Elgie等(2011)、Brannlund and Lundgren (2009)对波特假说有关研究进行了综述。Brannlund and Lundgren (2009)总结指出,尽管理论分析可以找出波特假说成立的情形,然而,这些情形并不具有普遍性。经验研究也没有一致地支持波特假说。
①Jaffe and Palmer (1997)称之为一个非常粗糙的简化模型。Hamamoto(2006)称之为Jaffe—Palmer model。
②后文的理论分析指出,污染治理成本不仅受到环境规制的影响,还受到其他因素的重要影响。
③Jones指出,从总量水平来看,创新投入方面的指标呈现增长趋势,而技术进步指标(如全要素生产率)则并未表现出显著的增长趋势。
④环境规制对创新投入激励作用是环境规制对创新产出(专利)、技术进步具有正向作用的前提。尽管不少理论研究(如Andre、Gonzalez and Porteiro,2009)证明了,由于技术溢出等市场失灵的存在,环境规制在一定条件下能够使得所有企业获益,然而,这些理论分析都采用一个前提假设：即企业的研发投资一定会转化为技术上的成功。不过,这一假设并不必然成立,尤其是在总量经济中,内生增长理论的研究表明,创新投入的增长并不一定意味着技术进步。
①中国的排污收费对排污源,按浓度与总量相结合的方式,分别计算所排放不同种类污染物的排污费总量,而排污源按照计算所得多个排污费总量中最高的一个支付排污费总量(Wang and Wheeler,2005)。
②尽管理论中存在末端治理与调整生产两种处理污染物方式,然而,要观察到企业处理污染的这两种不同方式是困难的。因为,企业对生产的调整通常是难以观测的。
① Ahmad (1966), Kamien and Schwartz (1968)与Binswanger(1974)把这个假说与企业的利润最大化研发决策正式地联系起来,建立模型进行分析。近来,Acemoglu (2009)与Acemoglu、Aghion、Bursztyn等(2009)对影响技术进步方向的影响因素进一步进行了研究。
①Wang(2002)研究表明,我国命令与控制手段的实际效果较为微弱。
①参见Baumol and Oates (1988), Boadway and Wildasin (1984) or Oakland (1987)。
①许多人对在跨期资源配置中使用折现提出了质疑(如Sandler and Smith,1976; Sandler and Kerry Smith,1977; Bishop,1977)然而,这一标准仍然是讨论跨期资源配置效率较为广泛采用的标准。
①参见皮尔斯等《世界无末日》,p11。
②参见惕藤伯格《环境经济学与政策》,p4。
①环境规制的监管问题逐渐得到重视与广泛研究。Heyes (2000)、Goulder and Parry (2008)、Gray and Shimshack(2011)对相关研究进行了综述。
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