异质型环境规制对全要素碳生产率的影响研究

【作者】 刘坤；

【导师】 陈东景；

【作者基本信息】 青岛大学 ， 理论经济学， 2023， 硕士

【摘要】 在国家提出“碳达峰、碳中和”的目标背景下,实现经济绿色低碳发展成为我们需要关注的话题。科技创新、产业结构升级作为经济高质量发展的驱动力,其重要性不言而喻。目前,我国全要素碳生产率具有较大提升空间,并且各省(自治区、直辖市)的全要素碳生产率存在较大差距。那么,作为规范企业生产活动的重要方式,环境规制会对全要素碳生产率产生何种影响?不同类型环境规制对全要素碳生产率是否具有协同效应?产业结构、科技创新能否作为环境规制影响全要素碳生产率的中介变量?针对上述问题,本文开展环境规制对全要素碳生产率的机理分析和实证研究。本文基于2006-2020年我国30个省(自治区、直辖市)的数据,运用包含非期望产出的Super-SBM模型测算各省(自治区、直辖市)的全要素碳生产率,并对全要素碳生产率进行收敛性分析。在市场失灵理论、产权理论、波特假说理论和创新驱动理论的基础上,探讨环境规制对全要素碳生产率直接影响、传导路径、间接影响的作用机理。构建固定效应模型、中介效应模型、门槛模型和空间杜宾模型,分析环境规制对全要素碳生产率影响的直接效应、间接效应、协同效应和空间效应。研究发现:第一,我国全要素碳生产率具有较大的提升空间。东、中、西部地区全要素碳生产率存在较大差距,各省份间的全要素碳生产率存在正的空间相关性。第二,我国全要素碳生产率存在明显的σ收敛和绝对β收敛现象,表明随着时间的推移,地区间全要素碳生产率差距会缩小。第三,政府参与型环境规制、市场激励型环境规制均能够促进全要素碳生产率的提升,且政府参与型环境规制主要通过降低碳排放提升全要素碳生产率,市场激励型环境规制主要通过提升全要素生产率、降低碳排放提升全要素碳生产率。第四,政府参与型环境规制对西部地区全要素碳生产率的提升效果更显著,市场激励型环境规制对东部地区全要素碳生产率的提升效果更显著。第五,政府参与型环境规制、市场激励型环境规制均能够通过促进科技创新、产业结构升级间接提升全要素碳生产率。第六,两种环境规制对全要素碳生产率的提升具有协同效应且存在阶段性,当政府参与型(市场激励型)环境规制跨过门槛值,市场激励型(政府参与型)环境规制及两者的协同效应对全要素碳生产率的提升作用更显著。第七,政府参与型环境规制有利于促进本地区全要素碳生产率的提升,市场激励型环境规制及两种环境规制的协同效应有利于促进本地区和邻近地区全要素碳生产率的提升。为有效提升全要素碳生产率,提出以下政策建议:首先,确定合理的环境规制组合和环境规制强度;其次,建立跨区域环境合作机制,提高环境规制的正向溢出效应;最后,强化自主创新、加快创新成果转化,优化产业结构、发展低碳产业,发挥环境规制的间接促进作用。更多还原

【Abstract】 In the context of achieving the goal of “carbon peak and carbon neutral”,promoting green and low-carbon development is a key direction we need to pay attention to at present.The importance of technological innovation and industrial structure optimization in China’s high-quality economic development is self-evident.At present,the level of carbon total factor productivity(CTFP)in China needs to be greatly improved,and there is a big regional gap between the level of CTFP in all provinces(autonomous regions and municipalities directly under the Central Government).As important ways to standardize the behavior of enterprises,what impact will environmental regulations have on the level of CTFP in China? Whether the different types of environmental regulations have synergy effects on CTFP? Are technological innovation and industrial structure intermediary variables for environmental regulations to affect the efficiency of industrial green innovation? Based on the above issues,this paper conducts mechanism analysis and empirical research on the impact of environmental regulations on CTFP.Based on the data of 30 provinces(autonomous regions and municipalities directly under the Central Government)in China from 2006 to 2020,super-SBM including undesirable output is used to estimate CTFP of all provinces(autonomous regions and municipalities directly under the Central Government).Meantime,convergence analysis is used to describe the trend of CTFP.On the basis of market failure theory,property right theory,“Porter Hypothesis” theory,and innovation-driven theory,discuss the direct effect,conduction pathway,and indirect effect of environmental regulations on CTFP.Construct fixed effect model,mediation effect model,threshold model and spatial Durbin model to analyze the direct effect,indirect effect,synergistic effect and spatial effect of environmental regulation on CTFP.The results show that: first,on the whole,there is still a large space for improvement about China’s CTFP,and the level of CTFP in the eastern,central and western regions is unbalanced.Meantime,there is the positive spatial correlation of CTFP in China.Second,China’s CTFP has obvious σ convergence and absolute βconvergence,indicating that the regional gap in CTFP level will gradually narrow over time.Third,both government-participated and market-incentive environmental regulations have significant promotion effects on CTFP.Meantime,governmentparticipated regulation could promote CTFP by improving total factor productivity and market-incentive regulation could promote CTFP by improving total factor productivity and reducing carbon emission.Fourth,government-participated environmental regulation has a more significant effect on the improvement of CTFP in western region,and market-incentive environmental regulation has a more significant effect in eastern region.Fifth,both government-participated environmental regulation and marketincentive environmental regulation could improve CTFP indirectly by encouraging innovation and industrial structure upgrading.Sixth,government-participated and market-incentive environmental regulations have a further promotion effect on CTFP through a synergistic effect,and the synergistic effect has a stage effect.Once government-participated(market-incentive)environmental regulation crosses the threshold,market-incentive(government-participated)environmental regulation and the synergistic effect will further improve CTFP.Seventh,government-participated environmental regulation has a positive effect on the improvement of CTFP,and market-incentive environmental regulation tool has a positive impact on the efficiency of industrial green innovation in both local and surrounding areas.In order to effectively improve CTFP,the following policy recommendations are put forward.First,establish reasonable combination and intensity of environmental regulation tools.Second,Finally,play indirect role of environmental regulation by strengthening independent innovation,accelerating the transformation of innovation results,upgrading industrial structure,and developing low-carbon industries.更多还原