基于PAC和DEA模型的排污权初始方式研究

发布时间：2018-01-08 02:03

本文关键词：基于PAC和DEA模型的排污权初始方式研究　出处：《浙江理工大学》2011年硕士论文　论文类型：学位论文

【摘要】：自从排污权交易制度在美国实行之后,引起了世界各国的高度重视,并已在许多国家得到实际应用。然而实行排污权交易制度时,在理论上和现实应用中首先要解决的一个关键问题是排污权初始分配问题。初始排污权分配方式主要有祖父制、拍卖和标价出售三种基本方式,这三种制度各有所长,但无论从理论还是实践来看都存在明显的缺陷,因此一直呼唤理论和实践的创新。本文从经济学的基本思想与方法出发,探讨了排污权交易制度理论基础和研究排污权初始分配理论的必要性,对现有的主要分配方式(祖父制和拍卖)进行文献综述,并评述这两种方式的优缺点,并从中总结出进行理论创新的必要性和现实意义。然后对最近提出的两种新分配方式进行研究:基于竞赛机制(Perimt Allocation Contest, PAC)的分配方式和基于非参数DEA模型的分配方式,并对这些分配方式进行对比研究。PAC这种分配机制比传统的分配机制更有优势。这种分配方式与拍卖产生相似的激励,在理论上可以在排污权交易市场有效地分配排污权。但是,排污权交易在与传统的各种制度还需要不断磨合和适应,虽PAC在理论上呈现出一定的完美性,但却使得排污权交易制度更加地复杂化,这不利于排污权交易在我国的推广。所以,只有当我国积累足够的排污权交易实践经验时,可以适时选择试点运行PAC机制。DEA分配模型在一定意义上,可以当作是对祖父制的一种理论改进。虽然这种方式并不象拍卖在理论上看起来那么有效率,但它和祖父制相似,由于不会给公司增加成本并且不会限制公司的正常生产,所以可以更容易地在实践中被运用。最后结合我国基本国情和排污权交易制度实践经验,研究在现阶段我国应该采取何种分配方式,得出结论并对以后的进一步研究进行展望。由于排污权初始分配问题关系到微观企业的利益、环境污染及经济的可持续发展问题,也涉及到公平与效率的问题,需要研究与解决的问题很多,也很复杂,这使得排污权初始分配问题成为实行排污权交易制度中争议最大和最困难的问题。我国正在更大范围内实行排污权交易制度,为了使得我国能更有效地进行排污权初始分配,需要根据我国具体的国情对排污权初始分配问题进行更深入研究,但愿有更多的学者进行这方面的研究和探讨。
[Abstract]:Since the implementation of emissions trading system in the United States, has attracted worldwide attention, and has been used in many countries. However, the implementation of emissions trading system, one of the key problems in theory and practical application is to solve the initial allocation of emission permits.
The initial allocation of emission rights mainly includes grandfather, auction and sale price three basic ways, these three systems each one has his good points both in theory and practice, but there are obvious defects, so it has been calling for the innovation of theory and practice. This article from the basic ideas and methods of economics, discusses the necessity of emission trading the theory and research of initial allocation of emission rights theory, of the existing distribution (grandfather and auction) by literature review, and reviews the advantages and disadvantages of these two methods, and summarizes the necessity and significance of theoretical innovation in China. And then study the two kinds of new distribution methods recently proposed: Based on the mechanism of competition (Perimt Allocation Contest, PAC) distribution mode and distribution mode based on nonparametric DEA model, and the distribution of comparative research this.PAC With the mechanism of allocation mechanism has more advantages than the traditional way. This distribution and auction have similar incentives in the emissions trading market efficient allocation of emission rights in theory. However, the emission trading system in a variety of traditional and also need to constantly adjust and adapt, although PAC shows perfect performance in theory, but makes the emissions trading system more complicated, which is not conducive to the promotion of emissions trading in China. Therefore, only when China has accumulated enough practical experience of emissions trading, can timely choose to run pilot PAC mechanism.DEA distribution model in a certain sense, can be regarded as a theoretical improvement of the grandfather. Although it doesn't seem like the auction so efficient in theory, but it is similar to the system of grandfather and, since no additional cost to the company and the company will not limit the normal production of the It can be used more easily in practice. Finally, combined with the basic national conditions and practical experience of emission trading system, we should find out what way of distribution should be adopted at the present stage, draw conclusions and make further prospects for further research.
The initial allocation of emission rights issues related to micro business interests, environmental pollution and sustainable development of economy, is also related to the fairness and efficiency issues, many need to research and solve the problem, it is very complicated, which makes the initial allocation of emission rights issue has become the most controversial implementation of emissions trading system and the most difficult problem. The implementation of emissions trading system in China is in a larger range, in order to make our country to the initial allocation of emission rights more effectively, the need for further research on the initial allocation of emission permits according to the specific situation of our country, and hope to have more scholars on the study and research.

【学位授予单位】：浙江理工大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：X196;F205;F224

【相似文献】