基于历史法和零和DEA方法的用能权与碳排放权初始分配研究

本文引入了同时考虑用能权与碳排放权初始分配的零和DEA方法，从公平与效率视角对比分析了历史法与零和DEA方法两种分配方式的适用性，并应用市场交易模型检验了不同初始分配方式对各地区交易行为的影响。研究结果表明，零和DEA方法能够提高用能权与碳排放权初始分配的公平性，但却是以牺牲前沿技术效率水平为代价。其次，完善的市场机制能够提高基于零和DEA方法调配用能权与碳排放权的配置效率，生产技术水平较高的地区可以通过出售多余的用能权和碳排放权来获得额外收益，有利于促进绿色技术创新；相反，历史法容易导致高耗能、高排放的地区在初始分配中获得较多的用能权和碳排放权，不利于正向促进技术进步。最后，当市场机制不完善时，基于零和DEA方法配置用能权和碳排放权，可能会抑制技术进步，而基于历史法的初始分配方式则至少可以在短期内维持现有生产技术水平。

Research on Initial Allocation of Energy-consuming Right and CO2-emission Right Based on Historical Method and ZSG-DEA Method

Energy-consuming right trading and CO₂-emission right trading are typical market-oriented energy and environment policies,which give full play to the advantagesof efficient allocation of resources in the market.The choice of initial allocation mode of energy-consuming right and CO₂-emission right has always been the key and difficult point in the process of establishing market mechanism.Using data from 29 regions of China (except Tibet, Hong Kong, Macao and Taiwan,Chongqing's data is incorporated into Sichuan) in 2016 and discussing the initial allocation of energy-consuming right and CO₂-emission right at the provincial level,it introduces the ZSG-DEA model that considers the initial allocation of energy-consuming right and CO₂-emission right,and compares the applicability of the historical method and the ZSG-DEA method from the perspective of fairness and efficiency. Under the hypothesis of market efficiency, the market trading model is applied to further test the impact of different initial allocation modes on the trading behavior of each region. Research indicates: Firstly, although the ZSG-DEA method improves the fairness of the initial allocation, it increases the technical efficiency level of backward regions at the expense of the frontier technical efficiency level. Secondly, the perfect market mechanism is the carrier of the ZSG-DEA method. When the market is effective, the regions with higher production technology can obtain additional income by selling surplus energy-consuming right and CO₂-emission right, which is conducive to promoting green technology innovation. When the market mechanism is not perfect, the ZSG-DEA method may inhibit technological progress and even destroy productivity, while the historical method can preserve existing productivity at least in the short term.Finally, under the hypothesis of market efficiency,the historical method is likely to lead to regionswith high energy consumption and high emissions to obtain more energy-consuming right and CO₂-emission right.The phenomenon of "whipping fast cattle" is not conducive to the positive promotion of technological progress. Based on the above conclusions, it is suggested that in theprimarystage of energy-consuming right trading and CO₂-emission right trading market, since the market mechanism is not perfect, it is not appropriate to adopt the ZSG-DEA method for initial allocation to avoid the phenomenon of technological regression and productivity degradation caused by poor trading. However, with the continuous improvement of marketization, the initial allocation mode can gradually change from historical method to ZSG-DEA method, improve the fairness of the initial allocation of energy-consuming right trading and CO₂-emission right, and gradually eliminate the phenomenon of "whipping fast cattle" caused by historical method.