产能过剩与环境规制相机选择——基于正式与非正式环境规制视角  

Overcapacity and Strategic Choice of Environmental Regulation:From the Perspective of Formal and Informal Environmental Regulations

作　　者：陈林 陈臻 肖倩冰 CHEN Lin;CCHEN Zhen;XIAO Qian-bing(Institute of Industrial Economics,Jinan University;Institutes of Science and Development,Chinese Academy of Sciences;School of Public Policy and Management,University of Chinese Academy of Sciences;School of Economics and Trade,Hunan University of Technology and Business)

机构地区：[1]暨南大学产业经济研究院 [2]中国科学院科技战略咨询研究院 [3]中国科学院大学公共政策与管理学院 [4]湖南工商大学经济与贸易学院

出　　处：《中国工业经济》2024年第3期62-80,共19页China Industrial Economics

基　　金：教育部哲学社会科学研究重大课题攻关项目“健全中国特色国有资产治理体系研究”(批准号22JZD007);广东省自然科学基金面上项目“广东省经济周期波动与环境规制的适宜性选择”(批准号2022A1515011107);广东省哲学社会科学规划基础理论研究重大课题“广东省碳达峰与碳中和先行示范研究”(批准号GD21ZDZYJ01)。

摘　　要：考虑行业产能利用率差异,相机组合正式与非正式环境规制工具以较小的经济成本实现污染防治目标,对于推动经济质的有效提升和量的合理增长具有重要意义。本文创新性地尝试将行业产能利用率作为外生约束条件,构建了一个基于产能过剩(不足)与环境规制的企业产量竞争博奔模型,论证了产能过剩行业与产能不足行业中正式与非正式环境规制对企业污染减排和经济绩效的异质性影响,并使用中国工业污染源重点调查数据进行实证检验。研究发现:在产能不足行业,正式与非正式环境规制均能有效减少企业污染排放,但会降低企业经济绩效;在产能过剩行业,正式与非正式环境规制的环境治理效果同样明显,但对企业经济绩效的影响存在不确定性;从环境治理效果看,正式环境规制的边际政策效应在不同产能利用率行业均大于非正式环境规制。因此,正式与非正式环境规制的策略选择需考虑行业产能利用水平,防止过度干预进而加剧产能过剩,使国民经济治理权衡好环境保护与经济增长之间的关系。本文对于有效发挥经济政策(如产业政策)与非经济政策(如环境政策)的协同性,因时因业因地制宜地选择环境规制工具助力产业绿色转型具有一定的启示意义。Insufficient effective demand and overcapacity in certain industries have emerged as one of the challenges to economic recovery and improvement in China.The development of industries and the reduction of carbon emissions and pollution should be pursued synchronously,while implementing the industrial and environmental policies in tandem.Environmental regulation is one of the policy measures to address overcapacity and crucial tools for pollution control,and its potential impact to exacerbate overcapacity through excessive intervention should be wielded cautiously.In this context,taking the variations in capacity utilization across industries into account,the strategic combination of formal and informal environmental regulatory tools to achieve pollution control objectives with minimal economic costs is of significant importance.This approach is essential for facilitating quality enhancement and reasonable quantitative growth of the economy.This paper defines overcapacity(undercapacity)as an exogenous variable between environmental regulation and enterprise pollution emissions.It also constructs an output competition model based on overcapacity(undercapacity)and environmental regulation with the maximum capacity of enterprises as a constraint,then demonstrates the heterogeneous impact of formal and informal environmental regulation on enterprises'pollution emission reduction and economic performance between overcapacity and undercapacity industries.By employing data from the key surveys of industrial pollution sources in China from 1998 to 2014,this paper conducts a set of empirical analysis,and reveals that in the industries facing undercapacity factors,both formal and informal environmental regulations are effective in reducing enterprise pollution emissions,but simultaneously diminish economic performance.In industries with overcapacity,the environmental governance effects of formal and informal regulations are comparably significant,yet their effects on economic performance are uncertain.Moreover,in terms of en

关 键 词：产能过剩 产能利用率 环环境规制 非正式环境规制 

分 类 号：F262[经济管理—国民经济]