环境规制、投资效率和企业全要素生产率

环境规制与经济效率的关系及其作用机制,是更好地推动绿色发展的关键。波特假说给出了环境规制改进经济效率、提高企业竞争力的理论基础。以各省份环境法律法规逐年累计值来表征环境立法,各省份排污费征收强度来表征环境执法,实证检验了两类环境规制(环境立法和环境执法)对制造业上市公司全要素生产率的影响,以及投资效率的中介效应。研究发现,样本期强化环境规制能够促进制造业上市公司全要素生产率的提升,而且,投资效率发挥着部分中介作用,不过,企业规模、上市企业环保核查行业分类不同的企业存在异质性;其中,环境立法能够通过提升投资效率对大型企业、非重污染企业的全要素生产率发挥积极作用,而环境执法通过提升投资效率对中小型企业、重污染企业的全要素生产率发挥积极作用,此外,异质性的影响机制也有所不同。     

论中国“污染避难所效应”及其法律规制

"污染避难说假说"认为国际资本存在从环境规制严格的国家向环境规制宽松的国家流动的趋势。虽然该假说仍然存在争议,但是包括中国在内的很多国家已经出现了"污染避难所效应",较为宽松的环境规制手段成为吸引外资的优势之一,然后据此吸引外资导致的代价却是严重的环境破坏。本文在分析了"污染避难所效应"及其后果后,认为有必要对其进行法律规制,并提出了自己的规制设想。     

民间投资视角下环境规制对绿色全要素生产率的影响研究

既有文献较少关注民间投资在波特假说实现过程中发挥的关键性作用。本文采用2007—2017年的省级面板数据，通过方向距离函数对中国绿色全要素生产率进行测度。以民间投资为中介变量和门槛变量，研究了环境规制、民间投资与绿色全要素生产率之间的关系，结果表明：(1)环境规制与绿色全要素生产率之间存在“U”型关系，中国处于拐点左侧，只有提高环境规制强度才能促进绿色全要素生产率提升；(2)民间投资的中介效应显著，环境规制与民间投资呈现显著的“U”型关系，加大民间投资能够促进绿色全要素生产率提升；(3)民间投资具有门槛效应，当民间投资水平较低时，环境规制与绿色全要素生产率负相关且不显著，只有当民间投资水平较高时，环境规制才能显著促进绿色全要素生产率的提升，边际效应随民间投资的增长而递增。本文结果表明，民间投资发展是推动“波特假说”实现的必要前提。     

环境规制、技术创新与企业经营绩效

"波特假说"理论认为,环境规制的加强能够促进企业的RD投入,因为企业试图通过RD投入来提高企业治理污染的能力以及产品的科技含量,进而抵消环境规制给企业经营绩效所带来的不利影响。以2008-2013年的深沪A股上市的重污染行业的公司为研究样本,实证检验了环境规制对RD投入的影响、RD投入对企业经营绩效的影响。研究结果表明:环境规制对中国重污染行业的RD投入有一定的促进作用,但企业的RD投入对经营绩效的影响存在一定的滞后效应。研究结论不仅验证完善了"波特假说"的理论,同时对企业在环境规制下开展技术创新,提高经营绩效具有指导意义。     

环境规制，企业演化与城市制造业生产率

本文从企业演化的视角,以“十一五”期间全国主要污染物排放总量控制计划作为准自然实验,结合工业企业数据库和《中国城市统计年鉴》2002年~2008年的数据,运用双重差分法考察环境规制与城市制造业经济效率的因果关系.并进一步使用动态Olley-Pakes方法对城市制造业全要素生产率增长结构进行分解,剖析了环境规制的具体作用渠道.实证结果表明:相比于低减排指标城市,在排放总量控制计划实施后,高减排指标城市的制造业TFP平均提高8.8%.环境规制政策主要通过提升存活企业TFP和阻止低TFP企业进入的途径提升了生产率,但短期内也导致高TFP企业退出比例的上升和资源配置效率的降低.本研究对促进地方政府厘清环境规制和城市经济效率之间的关系、有效落实环境保护政策具有一定的参考意义.     

环境规制,企业演化与城市制造业生产率北大核心CSCDCSSCI

本文从企业演化的视角,以“十一五”期间全国主要污染物排放总量控制计划作为准自然实验,结合工业企业数据库和《中国城市统计年鉴》2002年〜2008年的数据,运用双重差分法考察环境规制与城市制造业经济效率的因果关系.并进一步使用动态Olley-Pakes方法对城市制造业全要素生产率增长结构进行分解,剖析了环境规制的具体作用渠道.实证结果表明:相比于低减排指标城市,在排放总量控制计划实施后,高减排指标城市的制造业TFP平均提高8.8%.环境规制政策主要通过提升存活企业TFP和阻止低TFP企业进入的途径提升了生产率,但短期内也导致高TFP企业退出比例的上升和资源配置效率的降低.本研究对促进地方政府厘清环境规制和城市经济效率之间的关系、有效落实环境保护政策具有一定的参考意义。     

环境规制与城市绿色技术创新：影响机制与空间效应

环境规制的绿色技术创新效应研究具有重要理论价值和现实意义。在有效测度环境规制强度和城市绿色技术创新的基础上,本文选取2005至2020年全国274个地级及以上城市的面板数据,基于异质性效应和空间溢出视角,探究了环境规制对绿色技术进步的影响及其机制。研究结果表明,环境规制显著激励了绿色技术创新,但其边际效应受到城市创新能力的调节作用。在此基础上,本文采用部分线性函数型系数模型进一步考察了环境规制对绿色技术创新的非线性影响。环境规制政策效应存在空间溢出现象,受规制地区环境政策强度提升可以通过地区间产业转移影响其相邻地区的产业结构与工业化进程,推动产业承接地区的经济增长和研发投入扩张,进而提高相邻地区的绿色创新产出。     

利益激励视角下地方政府行为偏好与环境规制效应分析

行为偏好直接反映了地方政府的利益诉求,对环境规制效应存在着显著影响。地方政府行为偏好的产生以信息不对称和目标函数差异为重要条件,同时受到晋升激励机制的导向影响。由于地方政府行为偏好与环境规制效应显著正相关,因而应从中央政府激励与监督地方政府、地方政府激励与监督环境规制部门双重路径增强环境规制效果。在这个过程中,需要中央政府和地方政府整合民众与企业诉求,制定科学合理的环境规制利益激励与监督引导机制,促进生态与经济和谐发展。     

环境规制对中国企业技术创新影响的实证分析

本文使用中国30个省市(不包括西藏)工业企业1996—2004年的面板数据,实证分析了环境规制对于企业技术创新的影响。实证结果显示,环境规制对滞后1或2期的R&D投入强度以及专利授权数量有显著的正效应,环境规制强度每提高1%,二者分别增加0.12%和0.30%。表明环境规制在中长期对中国企业技术创新有一定的促进作用,波特假说在一定程度上得到了证实。     

演化博弈视角下地方环境规制部门执法策略研究

通过建立环境规制中地方规制部门与排污企业的演化博弈模型,研究了博弈双方的决策演化规律,着重分析了地方规制部门环境执法的影响因素,并采用结构方程模型对理论分析结果进行了实证检验。研究结果表明:地方规制部门与排污企业的决策演化规律一共包含12种情形,对方策略既定条件下治污和执法策略的相对净支付决定了博弈主体策略选择。加大中央(上级)环保部门对地方规制部门的奖惩力度、提高环境规制标准,能够促使地方规制部门提高环境执法力度,而且加大奖惩力度的促进作用要大于提高环境规制标准。对环境执法产生负面影响的主要因素是地方政府干扰,其次是环境执法成本。污染削减技术创新既可能提高、也可能降低环境执法力度,实证结果表明其降低了环境执法力度。企业污染物产生量越大,地方规制部门越倾向提高环境执法力度。地方规制部门的环境执法特征是现有政治、经济和环保体制下多方互动的均衡结果。     

Neighbor product distinguishing total colorings

A total-[k]-coloring of a graph G is a mapping \(\phi : V (G) \cup E(G)\rightarrow \{1, 2, \ldots , k\}\) such that any two adjacent elements in \(V (G) \cup E(G)\) receive different colors. Let f(v) denote the product of the color of a vertex v and the colors of all edges incident to v. A total-[k]-neighbor product distinguishing-coloring of G is a total-[k]-coloring of G such that \(f(u)\ne f(v)\), where \(uv\in E(G)\). By \(\chi ^{\prime \prime }_{\prod }(G)\), we denote the smallest value k in such a coloring of G. We conjecture that \(\chi _{\prod }^{\prime \prime }(G)\le \Delta (G)+3\) for any simple graph with maximum degree \(\Delta (G)\). In this paper, we prove that the conjecture holds for complete graphs, cycles, trees, bipartite graphs and subcubic graphs. Furthermore, we show that if G is a \(K_4\)-minor free graph with \(\Delta (G)\ge 4\), then \(\chi _{\prod }^{\prime \prime }(G)\le \Delta (G)+2\).     

Neighbor sum distinguishing total choosability of planar graphs

A total-k-coloring of a graph G is a mapping \(c: V(G)\cup E(G)\rightarrow \{1, 2,\dots , k\}\) such that any two adjacent or incident elements in \(V(G)\cup E(G)\) receive different colors. For a total-k-coloring of G, let \(\sum _c(v)\) denote the total sum of colors of the edges incident with v and the color of v. If for each edge \(uv\in E(G)\), \(\sum _c(u)\ne \sum _c(v)\), then we call such a total-k-coloring neighbor sum distinguishing. The least number k needed for such a coloring of G is the neighbor sum distinguishing total chromatic number, denoted by \(\chi _{\Sigma }^{''}(G)\). Pil?niak and Wo?niak conjectured \(\chi _{\Sigma }^{''}(G)\le \Delta (G)+3\) for any simple graph with maximum degree \(\Delta (G)\). In this paper, we prove that for any planar graph G with maximum degree \(\Delta (G)\), \(ch^{''}_{\Sigma }(G)\le \max \{\Delta (G)+3,16\}\), where \(ch^{''}_{\Sigma }(G)\) is the neighbor sum distinguishing total choosability of G.     

Neighbor sum distinguishing index of 2-degenerate graphs

We consider proper edge colorings of a graph G using colors in \(\{1,\ldots ,k\}\). Such a coloring is called neighbor sum distinguishing if for each pair of adjacent vertices u and v, the sum of the colors of the edges incident with u is different from the sum of the colors of the edges incident with v. The smallest value of k in such a coloring of G is denoted by \({\mathrm ndi}_{\Sigma }(G)\). In this paper we show that if G is a 2-degenerate graph without isolated edges, then \({\mathrm ndi}_{\Sigma }(G)\le \max \{\Delta (G)+2,7\}\).     

Neighbor sum distinguishing list total coloring of subcubic graphs

Let \(G=(V, E)\) be a simple graph and denote the set of edges incident to a vertex v by E(v). The neighbor sum distinguishing (NSD) total choice number of G, denoted by \(\mathrm{ch}_{\Sigma }^{t}(G)\), is the smallest integer k such that, after assigning each \(z\in V\cup E\) a set L(z) of k real numbers, G has a total coloring \(\phi \) satisfying \(\phi (z)\in L(z)\) for each \(z\in V\cup E\) and \(\sum _{z\in E(u)\cup \{u\}}\phi (z)\ne \sum _{z\in E(v)\cup \{v\}}\phi (z)\) for each \(uv\in E\). In this paper, we propose some reducible configurations of NSD list total coloring for general graphs by applying the Combinatorial Nullstellensatz. As an application, we present that \(\mathrm{ch}^{t}_{\Sigma }(G)\le \Delta (G)+3\) for every subcubic graph G.     

Neighbor sum distinguishing total coloring of 2-degenerate graphs

A proper k-total coloring of a graph G is a mapping from \(V(G)\cup E(G)\) to \(\{1,2,\ldots ,k\}\) such that no two adjacent or incident elements in \(V(G)\cup E(G)\) receive the same color. Let f(v) denote the sum of the colors on the edges incident with v and the color on vertex v. A proper k-total coloring of G is called neighbor sum distinguishing if \(f(u)\ne f(v)\) for each edge \(uv\in E(G)\). Let \(\chi ''_{\Sigma }(G)\) denote the smallest integer k in such a coloring of G. Pil?niak and Wo?niak conjectured that for any graph G, \(\chi ''_{\Sigma }(G)\le \Delta (G)+3\). In this paper, we show that if G is a 2-degenerate graph, then \(\chi ''_{\Sigma }(G)\le \Delta (G)+3\); Moreover, if \(\Delta (G)\ge 5\) then \(\chi ''_{\Sigma }(G)\le \Delta (G)+2\).     

Neighbor sum distinguishing total coloring of graphs with bounded treewidth

A proper total k-coloring \(\phi \) of a graph G is a mapping from \(V(G)\cup E(G)\) to \(\{1,2,\dots , k\}\) such that no adjacent or incident elements in \(V(G)\cup E(G)\) receive the same color. Let \(m_{\phi }(v)\) denote the sum of the colors on the edges incident with the vertex v and the color on v. A proper total k-coloring of G is called neighbor sum distinguishing if \(m_{\phi }(u)\not =m_{\phi }(v)\) for each edge \(uv\in E(G).\) Let \(\chi _{\Sigma }^t(G)\) be the neighbor sum distinguishing total chromatic number of a graph G. Pil?niak and Wo?niak conjectured that for any graph G, \(\chi _{\Sigma }^t(G)\le \Delta (G)+3\). In this paper, we show that if G is a graph with treewidth \(\ell \ge 3\) and \(\Delta (G)\ge 2\ell +3\), then \(\chi _{\Sigma }^t(G)\le \Delta (G)+\ell -1\). This upper bound confirms the conjecture for graphs with treewidth 3 and 4. Furthermore, when \(\ell =3\) and \(\Delta \ge 9\), we show that \(\Delta (G) + 1\le \chi _{\Sigma }^t(G)\le \Delta (G)+2\) and characterize graphs with equalities.     

Neighbor sum distinguishing total coloring of planar graphs without 4-cycles

Let \(G=(V,E)\) be a graph and \(\phi : V\cup E\rightarrow \{1,2,\ldots ,k\}\) be a proper total coloring of G. Let f(v) denote the sum of the color on a vertex v and the colors on all the edges incident with v. The coloring \(\phi \) is neighbor sum distinguishing if \(f(u)\ne f(v)\) for each edge \(uv\in E(G)\). The smallest integer k in such a coloring of G is the neighbor sum distinguishing total chromatic number of G, denoted by \(\chi _{\Sigma }''(G)\). Pil?niak and Wo?niak conjectured that \(\chi _{\Sigma }''(G)\le \Delta (G)+3\) for any simple graph. By using the famous Combinatorial Nullstellensatz, we prove that \(\chi _{\Sigma }''(G)\le \max \{\Delta (G)+2, 10\}\) for planar graph G without 4-cycles. The bound \(\Delta (G)+2\) is sharp if \(\Delta (G)\ge 8\).     

基于近邻截断的跳跃扩散过程波动函数的设定检验

高频数据环境下的波动函数设定检验容易受到数据中跳跃的影响。为此，本文基于近邻截断（nearest neighbor truncation）方法，利用残差构造部分和（partial sum）过程构造出波动函数参数形式的设定检验方法，并分析了该检验方法在原假设条件下的近似极限性质与自助检验步骤。所提出的波动函数设定检验方法能渐近有效的避免跳跃扩散过程的漂移项与跳跃项的影响。蒙特卡洛模拟结果表明这些检验方法对跳跃的影响具有稳健性，且具有合理的检验水平（size）和检验功效（power）。利用这些检验方法对我国的上海银行间同业拆放利率（Shibor）数据进行实证分析，结果表明本文所提出的跳跃稳健的波动函数检验方法比非跳跃稳健的波动函数检验方法具有更好的区分度。     

Neighbor sum distinguishing total coloring of graphs embedded in surfaces of nonnegative Euler characteristic

A total coloring of a graph \(G\) is a coloring of its vertices and edges such that adjacent or incident vertices and edges are not colored with the same color. A total \([k]\)-coloring of a graph \(G\) is a total coloring of \(G\) by using the color set \([k]=\{1,2,\ldots ,k\}\). Let \(f(v)\) denote the sum of the colors of a vertex \(v\) and the colors of all incident edges of \(v\). A total \([k]\)-neighbor sum distinguishing-coloring of \(G\) is a total \([k]\)-coloring of \(G\) such that for each edge \(uv\in E(G)\), \(f(u)\ne f(v)\). Let \(G\) be a graph which can be embedded in a surface of nonnegative Euler characteristic. In this paper, it is proved that the total neighbor sum distinguishing chromatic number of \(G\) is \(\Delta (G)+2\) if \(\Delta (G)\ge 14\), where \(\Delta (G)\) is the maximum degree of \(G\).