排放税与排放标准的经济效率分析

污染问题是当前世界关注的焦点,很多国家和地区已采用减排政策来控制污染排放。鉴于不同减排政策的使用效果不同,有必要对不同减排政策进行深入研究,从而为减排政策的制定与实施提供理论依据和政策参考。采用博弈论的研究思想,运用最优规划的方法,从微观角度研究排放税和排放标准的经济效率,并对排放税与减排标准进行比较分析,提出在实现经济最优时,最优排放税和减排标准的实施条件。研究表明:排放税具有“抑制产出效应”,而排放标准却有“产出补贴效应”。在完全竞争市场中,排放税是有效率的,是最优减排政策,而排放标准存在效率损失,是次优减排政策。在不完全竞争市场中,排放税有效率损失,是次优减排政策,而排放标准是有效率的,是最优减排政策。由于现实经济几乎不存在完全竞争市场,所以,排放标准的经济效率要优于排放税。无论在何种经济状态下,排放税与产出补贴的政策组合、排放标准与消费税的政策组合,均可使经济达到最优状态,是最优减排政策。     

A differential game of industrial pollution management

This paper explores a differential game between a policy maker and a profit maximizing entrepreneur in which production generates pollution. The government levies a pollution tax on output and uses the tax received for pollution abatement. The entrepreneur determines the level of output. A feedback Nash equilibrium is derived. Using more specific functional forms, the game is extended to cover the multiple firm case.     

Effects of pollution restrictions on dynamic investment policy of a firm

The purpose of this paper is to determine the effects of different pollution standards on the firm's resource allocation decisions. To do so, a dynamic model of the firm is developed in which it is assumed that production causes pollution as an inevitable byproduct. Concerning its investment policy, we suppose that the firm can choose between investing in productive capital goods and investing in abatement efforts.It is shown that, in some cases, future abatement expenses have a negative impact on the present level of productive investment, even if the pollution standard is not binding at the moment. This implies a really dynamic optimal investment policy for the firm, which cannot be obtained within a comparative static analysis.This research has been made possible by a fellowship of the Royal Netherlands Academy of Arts and Sciences. Comments by Frank van der Duyn Schouten and Piet Verheyen (Tilburg University) and by Raymond Gradus (Dutch Ministry of Finance, The Hague) are gratefully acknowledged.     

Environmental safety stock: The impacts of regulatory and voluntary control policies on production planning,inventory control,and environmental performance

This paper analyzes the impacts of different pollution control policies on a firm’s decisions of production planning and inventory control. Based on a stochastic model with both demand and environmental uncertainties, we derive the optimal policies of production planning and inventory control under both regulatory and voluntary pollution control approaches, and investigate their operational and environmental effects. We establish that the conventional wisdom which suggests that reduction of environmental waste at the end of a production process also decreases the stock and throughput levels of a production system is not necessarily true. Rather, a regulatory environmental standard that limits the total amount of waste may induce the firm to raise its planned stock level, which would lead to a higher expected amount of environmental wastes before the standard is enforced as well as environmental risks at other stages of the production process. The additional planned stock level, which is termed “environmental safety stock,” can be reversed by using the voluntary control approach that provides the firm with the flexibility to occasionally exceed the environmental standard. We also conduct numerical experiments to analyze the effects of different values of model parameters under different control approaches. The analytical results provide new insights to the impacts of a firm’s production and inventory decisions on the natural environment as well as to the choices of pollution control approaches by decision makers in both the private and public sectors.     

基于模糊综合评判方法的土壤重金属污染度研究

本文应用模糊综合评判方法对城区的土壤污染情况进行评估,根据土壤重金属污染等级标准,确定隶属度函数的类型,并把土壤污染分为低污染、中等污染和高污染三个级别。按照隶属度最大的原则,确定各功能区样本点的污染级别,进而对各功能区的污染情况进行分析。     

Mathematical modeling and comparison of air standard Dual and Dual-Atkinson cycles with friction,heat transfer and variable specific-heats of the working fluid

Based on finite-time thermodynamics, a comparative performance analysis of air standard Dual and Dual-Atkinson cycles with heat-transfer loss, friction like term losses and variable specific-heats of the working fluid have been performed. Also the effects of heat loss, as characterized by a percentage of the fuel’s energy, friction and variable specific-heats of the working fluid, on performance of the mentioned irreversible cycles are analyzed. Moreover, detailed numerical examples show the relations between the power output and the compression ratio, between the thermal efficiency and the compression ratio, as well as the optimal relation between the power output and the thermal efficiency of cycles. Results show the importance of consideration of heat loss effects on the both cycles’ performance. Also performance comparison of two cycles show that heat efficiency and power output of a Dual-Atkinson cycle are higher than a Dual cycle’s ones. The results obtained from this paper will provide guidance for the design of Dual-Atkinson engines.     

Use of goal programming and integer programming for water quality management—A case study of Gaza Strip

This paper describes a project dealing with achieving an optimum mix of water from different underground wells, each having different amounts of nitrates and chlorides. The amounts of chlorides and nitrates in each of the wells may be higher or lower than the World Health Organization (WHO) standards. Therefore, the optimum mix would be the one that meets WHO standard which is 250 mg/l for chlorides and 50 mg/l for nitrates. A goal programming model was developed to identify the combination of wells along with the amounts of water from each well that upon mixing would result in minimizing the deviation of the amounts of chlorides and nitrates from the standards set by WHO. The output of the goal programming model along with the coordinates of the wells identified above was then used for a second model that determines the locations of the mixing points “reservoirs” in such a way that minimizes the total weighted distances from the corresponding wells. Finally, an easy-to-use pumping schedule was developed using integer programming. Results indicate that for the case study, there exist several optima which make it easier for the decision maker to consider other intangible factors if there are any.     

收入分配对农村居民恩格尔系数的影响研究

恩格尔系数是衡量居民生活水平的重要指标.本文通过理论分析和实证研究发现:收入差距扩大降低了我国农村居民的恩格尔系数,提高了农民总体生活水平,收入差距对总体生活水平上升的贡献度达到1/3,从而出现"分配越不平等,农民生活水平越高"的悖论.因此在对农民生活做(福利)评价时,必须同时考虑总体指标和分配指标,在发展农村经济、提高农民生活水平过程中,必须重视收入分配,兼顾公平与效率,才能实现农民的福利最大化.     

混合所有制改革背景下政府最优减排研发补贴政策研究

通过构建两阶段异质产品减排博弈模型,文章研究了混合所有制改革背景下最优的企业减排研发投资及研发补贴政策,并进一步讨论了最优减排研发补贴政策下政府实施国企混合所有制改革的环境和经济效果。结论表明：政府应主动实施减排研发补贴政策,最优减排研发补贴受技术溢出率、产品差异程度以及混合所有制改革程度的影响。当减排研发效率较低时,随着技术溢出率增大,最优的减排研发补贴水平不断提高,当减排研发效率较高时,随着技术溢出率增大,最优的减排研发补贴水平不断下降;随着产品差异化程度提高,最优减排研发补贴水平不断提高;混合所有制改革程度加深将使得最优减排研发补贴水平下降。最优减排研发补贴政策下,政府实施国企混合所有制改革能够降低整个行业的污染排放、提高行业的利润和社会福利水平,从而能够取得经济和环境的双赢。最后,结合相关结论,本文给出了混合所有制改革背景下减排研发补贴政策设计的相关建议,为政府决策提供一定参考。     

环境治理政策的减排、增效与结构优化效果动态评价

为测度环境治理政策波动对产出、减排、要素配置、消费与产业结构的影响及其传导机制,将异质性消费偏好、产出差异性、环境效用和环境损失函数引入E-DSGE模型。政策强度分析发现,技术进步、排污税和消费税政策效果较强,环境控制和治污支出冲击效果较弱。政策效应分析发现,技术进步政策效应最优,能实现增产和减排双重目标,促进要素配置和居民消费、产出与消费结构改进;排污税和政府治污支出政策次优,能实现增产和减排的双赢目标,促进要素供给和产出结构清洁化,不利于消费提升和消费结构优化;环境控制与消费税政策效果最差,以牺牲产出实现减排,不利于要素配置,产出与消费结构改进效果较弱,消费税会抑制居民消费,但消费税政策效果随环境友好型家庭比例提升而加强。     

Estimation of production technology when the objective is to maximize return to the outlay

This paper deals with estimation of production technology where endogeneous choice of input and output variables is explicitly recognized. To address this endogeneity issue, we assume that producers maximize return to the outlay. We start from a flexible (translog) transformation function with a single output and multiple inputs and show how the first-order conditions of maximizing return to the outlay can be used to come up with an ‘estimating equation’ that does not suffer from the econometric endogeneity problem although the output and input variables are chosen endogenously. This is because the regressors in this estimating equation are in ratio forms which are uncorrelated with the error term under the assumption that producers maximize return to the outlay. The analysis is then extended to the multiple outputs and multiple inputs case with technical inefficiency. Although the estimating equations in both single and multiple output cases are neither production nor distance functions, they can be estimated in a straightforward manner using the standard stochastic frontier technique without worrying about endogeneity of the regressors. Thus, we provide a rationale for estimating the technology parameters consistently using an econometric model which requires data on only input and output quantities.     

Interacting environmental influences: Concepts of synergism,antagonism, and superposition

Since an enormous number of different pollutants is usually simultaneously present in a certain environmental area, it must be expected that interactions between these pollutants may occur frequently. Nevertheless, not very much is known about the combined impact of several pollutants and the environmental policy ignores these effects in defining pollution standards and limits just for single pollutants. Moreover, it is not at all clear how these effects should precisely be described. Starting from definitions of interactions between different environmental influences introduced by Ott [7] and one of the present authors [8], new concepts of synergism (and antagonism and superposition) in a deterministic context will be presented. It is analyzed which properties an environmental quality index has to have in order to describe such interactions.     

OPTIMAL TAXES FOR POLLUTION REGULATION: DYNAMIC,SPATIAL AND STOCHASTIC CHARACTERISTICS

The paper develops a model that incorporates the dynamic, spatial and stochastic aspects of environmental pollution. Conditions for optimal resource allocation between output production and pollution abatement processes are derived. Optimal emission (Pigouvian) taxes which may be used to efficiently regulate pollution in each region are determined. The pattern of emission taxes over time and their relative sizes among different regions are additionally explored with the help of a simplified numerical example.     

Productivity differences across OECD countries in the presence of environmental constraints

The purpose of this paper is to carry out a computational analysis of the tradeoffs between a good output and the CO₂ emissions or bad output that is often created as a by-product of the production process. The efficiency of this process is computed through a series of DEA formulations, related to the two outputs. One formulation considers the strategy of minimizing the pollution level produced for the generation of a given good-output level. Another seeks the maximum good-output production for a set bad-output level. A mixed strategy looks for simultaneous increases in the good output and decreases in CO₂ emissions. A fourth ignores altogether the presence of the bad output. The empirical analysis illustrates the feasibility of achieving productivity growth and pollution decreases. It also identifies country trends for the 1970–1990 period in the production of good and bad outputs of 14 OECD countries. These trends resemble quite closely the strategies described in the paper.     

In search of contextual variables in a stochastic DEA framework: effect of regulation on efficiency of Indian cement industry

The paper assesses the difference in the nature of relationship between efficiency and its determinants of Indian cement producing firms in the presence and absence of environmental regulation. It provides an intuitive construct to identify the determinants of efficiency, which is followed by an empirical verification using a two-stage stochastic data envelopment analysis. Important quantitative determinants of efficiency include factor intensities of outputs, levels of pollution abatements, gross value added, whereas size, age, ownership type, development indicators of the place of location of a firm are among the qualitative determinants. An initial phase and a matured phase of regulation are considered in the paper. The main results suggest that capital intensity of output plays a positive role in increasing efficiency under regulation in the initial phase, material intensity in both phases and labour intensity, a negative role, in the subsequent phase. Higher levels of pollution abatements cause higher efficiency under regulation, while in the initial phase private firms report higher efficiencies under regulation; it is just the reverse in the subsequent phase. Size, age and development indicator of the state in which a firm is located can play a positive role to achieve higher efficiencies in the matured phase of regulation.     

On a two-fluid model of two-phase compressible flows and its numerical approximation

We consider a two-fluid model of two-phase compressible flows. First, we derive several forms of the model and of the equations of state. The governing equations in all the forms contain source terms representing the exchanges of momentum and energy between the two phases. These source terms cause unstability for standard numerical schemes. Using the above forms of equations of state, we construct a stable numerical approximation for this two-fluid model. That only the source terms cause the oscillations suggests us to minimize the effects of source terms by reducing their amount. By an algebraic operator, we transform the system to a new one which contains only one source term. Then, we discretize the source term by making use of stationary solutions. We also present many numerical tests to show that while standard numerical schemes give oscillations, our scheme is stable and numerically convergent.     

Numerical solutions to coupled-constraint (or generalised Nash) equilibrium problems

This paper is about games where the agents face constraints in the combined strategy space (unlike in standard games where the action sets are defined separately for each player) and about computational methods for solutions to such games. The motivation examples for such games include electricity generation problems with transmission capacity constraints, environmental management to control pollution and internet switching to comply to buffers of bounded capacity. In each such problem a regulator may aim at compliance to standards or quotas through taxes or charges. The relevant solution concept for these games has been known under several names like generalised Nash equilibrium, coupled constraint equilibrium and more. Existing numerical methods converging to such an equilibrium will be explained. Application examples of use of NIRA, which is a suite of Matlab routines that implement one of the methods, will be provided.      

环境评价中不存在污染指标权重的原因

当今环境评价都以权重反映评价指标重要性程度的差异,并且在定权方法上存在不同意见.实际上环评中的指标权重只针对定性指标,对制定了"分级标准"的污染指标并不存在权重概念,更不存在确定权重的问题,这是环评特点.如果环评中不再确定污染指标权重,那么仅此一点已足可改变当今所有环评的评价结果,所以从理论上论证为什么环评领域对污染指标不存在权重问题是十分必要的,也是规范环评方法的一个必要条件.     

基于产业结构优化的节能减排离散动态演化模型

从中国能源环境现状出发,基于产业结构发展趋势及其演变规律,运用动态投入产出分析法,对现有数据进行分析,结合演化理论,提出能源消耗演化目标和污染排放演化目标,建立节能减排下的离散动态演化模型,深入探讨节能减排策略和优化产业结构方法.模型对中国2000-2008年的数据进行拟合检验,得出中国三次产业经济产值、中国能源消耗量及污染排放量,并将其与实际情况进行比较,从节能减排和产业结构优化两个方面给予实证分析.基于建立的模型,结合情景分析法对中国2015年的经济产值、能源消耗及污染排放进行预测并对预测结果进行演化情景分析为中国制定相应的节能减排策略、实现产业结构优化提供了理论依据,为中国实现能源环境可持续发展提供了一个全新的视角和路线.     

考虑污染控制、技术进步和人力资本积累下的经济可持续增长

构建一个带有环境污染、污染控制、内生人力资本积累和内生技术进步的动态经济增长模型,并运用最优控制方法探讨经济最优增长路径.研究表明:人力资本积累效率、消费跨期替代弹性和时间贴现率决定着经济最优增长路径.消费跨期替代弹性、时间贴现率、人力资本积累效率、物质产品和技术研发部门的投入产出弹性、污染排放的产出和控制弹性会对稳态中的人均经济增长率、人均污染排放增长率产生影响.