基于实验经济学视角的中国排污权拍卖形式研究  

Research on Auction Form of Emission Rights in China from the Perspective of Experimental Economics

作　　者：郭瑞 刘文杰[3] 赵丹 黄姗姗[3] 胡玉杰 GUO Rui;LIU Wenjie;ZHAO Dan;HUANG Shanshan;HU Yujie(School of Business Administration,Northeast University,Shenyang Liaoning 110004,China;Institute of Microelectronics,Chinese Academy of Sciences,Beijing 100029,China;Nanjing University of Finance and Economics,Nanjing Jiangsu 210046,China)

机构地区：[1]东北大学工商管理学院,辽宁沈阳110004 [2]中国科学院微电子研究所,北京100029 [3]南京财经大学,江苏南京210046

出　　处：《生态经济》2020年第11期159-164,171,共7页Ecological Economy

基　　金：国家自然科学基金项目“不完全信息下内生匹配型议价市场机制及政策效应研究”(71603113);2018年江苏省教育科学“十三五”规划高教青年项目“互联网+时代经管类专业实验翻转课堂的体验式教学研究与实践”(C-c/2018/01/07)。

摘　　要：党的十九大报告指出,中国经济已经进入高质量发展新阶段,供给侧结构性改革和绿色发展理念深入推进,生产企业也逐步由高污染高投入模式向清洁环保低污染模式转型,这就使得现阶段采用的排污权拍卖形式需要按照效率最大化的原则进行重新调整与优化。采用实验经济学研究方法,利用统一价格拍卖、歧视价格拍卖、时钟拍卖、多轮歧视价格拍卖四种方式,分析了成交价格、拍卖效率、买方和卖方收益四个指标,以研究中国生产型企业转型升级过程与拍卖形式选择的关系。实证研究结果显示,统一价格拍卖形式是效率最优的拍卖类型。当行业进行转型升级后,无论采用何种拍卖形式,均会使得拍卖成交价格下降,降低了排污权许可证的稀缺性;从拍卖效率角度来看,升级后只有时钟拍卖会降低拍卖效率;从买者收益角度来看,升级后只有时钟拍卖会降低买者收益;从卖者收益角度来看,无论采用哪种方式都使得卖者收益降低。基于研究结论,提出了在排污权拍卖形式的选择或法制的完善过程中,一定要兼顾效率与公平性,以免形成排污权市场的垄断现象。The report of the 19th National Congress of the Communist Party of China pointed out that China’s economy has entered a new stage of high-quality development,the supply side structural reform and the concept of green development have been deeply promoted,and the production enterprises have gradually transformed from the mode of high pollution and high investment to the mode of clean,environmental protection and low pollution,which makes the auction form of emission right adopted at this stage need to be readjusted and optimized according to the principle of maximum efficiency.In this paper,four methods of unified price auction,discriminatory price auction,clock auction and multiple rounds of discriminatory price auction is analyzed by the method of experimental economics.This paper analyzes the four indicators of transaction price,auction efficiency,buyer and seller’s income,so as to study the relationship between the transformation and upgrading process of China’s production-oriented enterprises and the selection of auction forms.The empirical results show that the unified price auction is the most efficient auction type.After the transformation and upgrading of the industry,no matter what kind of auction form is adopted,the auction transaction price will drop and the scarcity of emission permits will be reduced.From the perspective of auction efficiency,only the clock auction will reduce the auction efficiency after upgrading.From the buyer’s income point of view,only the clock auction will reduce the buyer’s income.From the perspective of seller’s income,no matter what kind of auction form is adopted,no matter what kind of auction form is adopted,the auction price will decrease and the scarcity of emission permits will be reduced in either way,and the seller’s profit will be reduced.Based on the research conclusion,it is proposed that efficiency and fairness must be taken into account in the process of choosing the auction form of emission right or perfecting the legal system,so as to avoid the m

关 键 词：排污权拍卖 统一价格拍卖 歧视价格拍卖 时钟拍卖 多轮歧视价格拍卖 

分 类 号：X196[环境科学与工程—环境科学]