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Does Environmental Regulation Indirectly Induce Upstream Innovation? New Evidence from India 环境规制是否间接诱导上游创新?来自印度的新证据
Pub Date : 2015-09-22 DOI: 10.2139/ssrn.2664131
Pavel Chakraborty, Chirantan Chatterjee
Exploiting a quasi-natural experiment, which involves the imposition of a ban by Germany in 1994 on an input (‘Azo-dyes’) used by the Indian leather and textile industries, we estimate the indirect impact of the environmental regulation on innovation activities of upstream (dye-producing) firms in India and examine how it varies by different firm characteristics: size and ownership. We find robust evidence of a significant increase (11–61%) in innovation expenditure for the dye-makers in response to the ‘Azo-dyes’ ban. Additionally, we find: (i) increase in technology transfer to the tune of 1.2–2.5 times more than that of internal RD (ii) increase in innovation expenditure with firm size; (iii) domestic firms investing more in technology transfer as compared to R&D, whereas foreign firms only undertaking the latter and (iv) decrease in investments towards innovation by downstream firms, thereby pointing towards a possible substitution effect in aggregate innovation by upstream firms. Our results are consistent with a variety of estimation methods and robustness checks.
利用一项准自然实验,其中涉及1994年德国对印度皮革和纺织工业使用的一种投入物(“偶氮染料”)实施禁令,我们估计了环境监管对印度上游(染料生产)公司创新活动的间接影响,并研究了不同公司特征(规模和所有权)对环境监管的影响。我们发现有力的证据表明,染料制造商在应对“偶氮染料”禁令时,创新支出显著增加(11-61%)。此外,我们发现:(1)技术转移的增长是内部研发的1.2 ~ 2.5倍;(2)创新支出随企业规模的增加而增加;(3)与研发相比,国内企业在技术转让方面的投资更多,而外国企业只进行研发;(4)下游企业在创新方面的投资减少,从而表明上游企业在总创新中可能存在替代效应。我们的结果与各种估计方法和鲁棒性检查一致。
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引用次数: 172
Polluted River Problems and Games with a Permission Structure 污染河流问题和带有许可结构的游戏
Pub Date : 2015-08-26 DOI: 10.2139/ssrn.2657489
R. Brink, Simin He, Jia-Ping Huang
Polluted rivers are harmful to human, animals and plants living along it. To reduce the harm, cleaning costs are generated. However, when the river passes through several different countries or regions, a relevant question is how should the costs be shared among the agents. Ni and Wang (2007) first consider this problem as cost sharing problems on a river network, shortly called polluted river problems. They consider rivers with one spring which was generalized by Dong, Ni, and Wang (2012) to rivers with multiple springs. They introduce and axiomatize three cost sharing methods: the Local Responsibility Sharing (LRS) method, the Upstream Equal Sharing (UES) method and the Downstream Equal Sharing (DES) method. In this paper, we show that the UES and DES methods can also be obtained as the conjunctive permission value of an associated game with a permission structure, where the permission structure corresponds to the river structure and the game is determined by the cleaning costs. Then, we show that several axiomatizations of the conjunctive permission value also give axiomatizations of the UES and DES methods, of which one is comparable with the one from Dong, Ni, and Wang (2012). Besides, by applying another solution, the disjunctive permission value, to polluted river games with a permission structure we obtain a new cost allocation method for polluted river problems. We axiomatize this solution and compare it with the UES method.
被污染的河流对生活在河边的人类和动植物都是有害的。为了减少危害,产生了清洁费用。然而,当河流经过几个不同的国家或地区时,一个相关的问题是如何在代理人之间分担成本。Ni和Wang(2007)首先将这一问题视为河网上的成本分担问题,简称污染河流问题。他们将Dong, Ni, and Wang(2012)提出的单泉河流归纳为多泉河流。他们介绍并公理化了三种成本分担方法:局部责任分担法(LRS)、上游平等分担法(UES)和下游平等分担法(DES)。在本文中,我们证明UES和DES方法也可以作为具有权限结构的关联博弈的合取权限值,其中权限结构对应于河流结构,博弈由清理成本决定。然后,我们证明了连接许可值的几个公理化也给出了UES和DES方法的公理化,其中一个与Dong, Ni, and Wang(2012)的方法相当。此外,将另一种解——析取权限值——应用于具有权限结构的污染河流博弈,得到了污染河流问题的一种新的成本分配方法。我们将此解公理化,并与UES方法进行比较。
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引用次数: 37
Controlling Carbon Emissions from U.S. Power Plants: How a Tradable Performance Standard Compares to a Carbon Tax 控制美国发电厂的碳排放:可交易绩效标准与碳税的比较
Pub Date : 2015-08-01 DOI: 10.2139/ssrn.2642062
Warwick McKibbin, A. Morris, P. Wilcoxen
Different pollution control policies, even if they achieve the same emissions goal, could have importantly different effects on the composition of the energy sector and economic outcomes. In this paper, we use the G-Cubed model of the global economy to compare two basic policy approaches for controlling carbon emissions from power plants: a tradable performance standard and a carbon tax. We choose these two approaches because they resemble two key options facing policymakers: continue implementing a performance standard approach under the Clean Air Act or adopt an excise tax on the carbon content of fossil fuels instead. Our goal is to highlight the important high-level differences in these basic approaches, abstracting from the details of specific policy proposals. We explore a wide variety of the illustrative policies’ economic outcomes including: changes in capital stocks and electricity production across eight types of generators, changes in end-user electricity prices, changes in gross domestic product (GDP), overall welfare impacts on the household sector and, finally, one outcome represented in the G-Cubed model and few others: short to medium-run changes in aggregate employment.
不同的污染控制政策,即使它们实现了相同的排放目标,也可能对能源部门的构成和经济结果产生重要的不同影响。在本文中,我们使用全球经济的g - cube模型来比较控制发电厂碳排放的两种基本政策方法:可交易的绩效标准和碳税。我们选择这两种方法,是因为它们类似于政策制定者面临的两个关键选择:继续实施《清洁空气法》规定的绩效标准方法,或者对化石燃料的碳含量征收消费税。我们的目标是从具体政策建议的细节中抽象出来,强调这些基本方法中重要的高层差异。我们探索了各种说明性政策的经济结果,包括:资本存量和八种类型发电机的电力生产的变化,最终用户电价的变化,国内生产总值(GDP)的变化,对家庭部门的总体福利影响,最后,g立方模型中代表的一个结果和其他几个结果:总就业的中短期变化。
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引用次数: 5
Coping with Uncertainty: Cost-Benefit Analysis, the Precautionary Principle, and Climate Change 应对不确定性:成本效益分析、预防原则和气候变化
Pub Date : 2015-07-28 DOI: 10.2139/ssrn.2637105
D. Farber
Two competing strategies for setting climate policy are cost-benefit analysis and the precautionary principle. This Article analyzes these strategies and considers their application to climate risks in four case studies: determination of the social cost of carbon, international endorsement of a 2° ceiling on warming, EPA’s endangerment finding, and the polar bear listing decision. In practice, cost-benefit analysis of climate change encounters great difficulties. The precautionary principle works well in determining whether to regulate, but gives modest guidance about the level of regulation. One possibility might be to combine the approaches in a two-step process: (1) using economic models to help identify feasible emissions trajectories that minimize the risk of catastrophic outcomes, and then (2) backing out the social cost of carbon based on compliance costs along the optimum trajectories. In the meantime, the four case studies indicate that decision makers have managed to make reasonably defensible decisions despite the obstacles.
制定气候政策的两种相互竞争的策略是成本效益分析和预防原则。本文分析了这些策略,并通过四个案例研究来考虑它们在气候风险中的应用:碳的社会成本的确定、2°c升温上限的国际认可、EPA的濒危发现和北极熊的上市决定。在实践中,气候变化的成本效益分析遇到了很大的困难。预防性原则在决定是否进行监管方面效果很好,但在监管水平方面给出的指导并不充分。一种可能性是将这些方法分两步结合起来:(1)使用经济模型来帮助确定可行的排放轨迹,从而将灾难性后果的风险降至最低;然后(2)根据最优轨迹上的合规成本来剔除碳的社会成本。同时,这四个案例研究表明,尽管存在障碍,决策者仍设法作出合理的可辩护的决定。
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引用次数: 9
A Retrospective Study of EPA's Air Toxics Program under the Revised Section 112 Requirements of the Clean Air Act 根据《清洁空气法》第112条修订要求对环保署空气毒物项目进行回顾性研究
Pub Date : 2015-06-12 DOI: 10.2139/ssrn.2622704
A. Fraas, A. Egorenkov
Under the 1990 Clean Air Act Amendments, the US Environmental Protection Agency (EPA) was required to establish standards limiting air toxics emissions from industrial plants. This paper examines the effect of five of the largest cost rules issued by EPA in the initial round of air toxics rulemaking over the 1995 to 2000 period. Our estimates suggest that plants in the printing and publishing and pulp and paper industries realized important reductions in their air toxics emissions in the period between publication of the final rule and the effective date for compliance with the rule—although the reduction in air toxics emissions by pulp and paper mills falls short of EPA’s ex ante projections. However, our estimates suggest that plants in the other three industries—petroleum refining, pharmaceutical, and wood furniture—achieved little or no additional reduction in air toxics emissions over the compliance period in response to EPA’s air toxics rules. Finally, the paper explores steps that EPA should take in setting up future retrospective analyses.
根据1990年的《清洁空气法修正案》,美国环境保护署(EPA)被要求制定标准,限制工业工厂排放的空气有毒物质。本文考察了1995年至2000年期间环保局在第一轮空气毒物规则制定中发布的五个最大成本规则的影响。我们的估计表明,印刷、出版、纸浆和造纸行业的工厂在最终规则公布和遵守规则生效日期之间的这段时间内实现了空气有毒物质排放的重要减少,尽管纸浆和造纸厂的空气有毒物质排放减少低于环保署之前的预测。然而,我们的估计表明,其他三个行业(石油炼制、制药和木材家具)的工厂在遵守EPA的空气毒性规定期间,几乎没有或根本没有进一步减少空气毒性排放。最后,本文探讨了环境保护局在建立未来回顾性分析时应采取的步骤。
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引用次数: 5
A Primer on Comprehensive Policy Options for States to Comply with the Clean Power Plan 各州遵守清洁能源计划的综合政策选择入门
Pub Date : 2015-04-24 DOI: 10.2139/ssrn.2622697
K. Palmer, A. Paul
The US Environmental Protection Agency (EPA) has proposed regulations to reduce emissions of carbon dioxide (CO2)from existing fossil electricity generators in its proposed Clean Power Plan rule under section 111(d) of the Clean Air Act. The proposal is based on the best system of emissions reductions (BSER) and calls for states to develop plans to achieve reductions that are demonstrated to be equivalent to those attained by the application of BSER to each state. Policy options from which states may choose are not restricted - the BSER and state plans are distinct from one another. This primer describes the different types of incentive-based comprehensive policies that states could adopt and how policy design features can address particular objectives including overall cost-effectiveness, distributional consequences for electricity consumers and producers, administrative costs, and emissions of other pollutants. We also elucidate some trade-offs that state policymakers will face as they develop their plans for Clean Power Plan compliance.
根据《清洁空气法》第111(d)条,美国环境保护署(EPA)在其拟议的《清洁能源计划》规则中提出了减少现有化石燃料发电机二氧化碳排放的法规。该提案以最佳减排体系(BSER)为基础,并呼吁各州制定计划,以实现与每个州采用最佳减排体系所达到的减排效果相当的减排目标。各州可以选择的政策选项不受限制- BSER和州计划彼此不同。本入门介绍了各州可以采用的不同类型的基于激励的综合政策,以及政策设计特征如何解决特定目标,包括总体成本效益、电力消费者和生产者的分配后果、行政成本和其他污染物的排放。我们还阐明了国家政策制定者在制定清洁能源计划合规计划时将面临的一些权衡。
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引用次数: 11
More Love in the Time of Cholera: Staying Clear of Black Holes, Whirlpools, Vices and Other Sins in Offset Policy Design 霍乱时期更多的爱:在抵消政策设计中远离黑洞、漩涡、恶习和其他罪恶
Pub Date : 2015-04-14 DOI: 10.2139/SSRN.2594320
Sandeep Verma
This short academic paper, prepared for background study by senior civil servants in a forthcoming mid-career training course, looks at certain plausible elements of sound offset and counter-trade policy design, that are repeatedly noticed in important national jurisdictions that have successfully deployed such tools for fostering their domestic industrial base. It attempts to develop an objective framework for analysing and comparing national offset systems, as an alternative to anecdotal and responses-based systems presently employed for the purpose. The issues for offsets reforms discussed in this short paper could also provide useful pointers to developing countries in particular that may be serious in their intentions and efforts for smart leveraging of public procurement cases for fostering domestic industrial capabilities.
这篇简短的学术论文是为高级公务员在即将举行的职业中期培训课程中进行背景研究而编写的,它探讨了健全的抵消和反贸易政策设计的某些看似合理的因素,这些因素在成功地利用这些工具促进其国内工业基础的重要国家司法管辖区一再得到注意。它试图制定一个客观的框架来分析和比较各国抵消制度,作为目前为此目的采用的轶事和基于反应的制度的替代办法。本文讨论的补偿改革问题也可以为发展中国家提供有用的指导,特别是那些可能认真考虑和努力巧妙利用公共采购案例来培养国内工业能力的发展中国家。
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引用次数: 0
China and Environmental Sustainability: Challenges and Opportunities Ahead 中国与环境可持续性:未来的挑战与机遇
Pub Date : 2015-04-07 DOI: 10.2139/ssrn.2996193
Matteo Cantoni
Since the introduction of the market-oriented reform in 1978, China has achieved such miraculous economic growth to become the world’s second largest single-country economy. However, growing gross domestic product (GDP) as a top priority together with a rapidly growing population has resulted in a severe environmental degradation. China is today the world’s largest source of carbon emissions, world’s top consumer of primary energy and minerals, and leads the world in resource consumption and waste emissions. Domestically, energy and water shortages, water and air pollution, cropland losses, desertification, and biodiversity losses, have become really severe obstacles to a future sustainable development of the country, threatening both China’s natural ecosystems and public health. In such a context, the environmentally sustainable development challenge is arguably China’s most complex and difficult challenge that any country has ever tried to confront. The Chinese government has acknowledged the time has come to implement an alternative growth model. However, what is more striking is the coexistence of often contradictory initiatives. On the one hand, the government continues investing in renewable energy so massively that it has become the world’s largest investor in such sector. On the other, it has repeatedly declared it will not be able to reduce its dependence on coal in the short-term, it will make domestic consumption of the rising middle-class the new growth model, especially promoting car ownership, while imposing at the same time strict measures to tackle pollution. The massive urbanization process, the growing unbridled demand of natural resources and consumption, the increasing production of polluting waste will negatively impact more and more Chinese people in the near future if the country’s leadership will not be able to reconcile its socioeconomic model with environmental protection, namely to achieve environmental sustainability in the long-term. Based on an extensive relevant literature review as well as an accurate analysis of statistical data related to the topic at issue, the present research seeks therefore to broadly examine the key intertwined challenges and opportunities for China to achieve an environmentally sustainable development. By adopting a holistic approach and presenting data, the study was explorative and interpretative in nature. Given the cross-cutting nature of the topic, which requires to be analyzed from many perspectives in order to be fully understood, conducting such kind of research was not easy task. Despite this, it has attempted to give the most accurate picture and analysis to contribute to the discussion about environmental sustainability in present-day China. China’s huge environmental challenges are significant for us all. The choices the Chinese government and Chinese people are making influence not only the health and wellbeing of China but, given the global nature of environmental problems, th
自1978年实行市场化改革以来,中国取得了奇迹般的经济增长,成为世界第二大单一国家经济体。然而,作为最优先事项不断增长的国内生产总值加上迅速增长的人口导致了严重的环境退化。中国是世界第一大碳排放国、第一大一次能源和矿产消费国,资源消耗和废物排放居世界前列。在国内,能源和水资源短缺、水和空气污染、耕地流失、荒漠化和生物多样性丧失,已经成为中国未来可持续发展的严重障碍,威胁着中国的自然生态系统和公众健康。在这样的背景下,环境可持续发展的挑战可以说是中国面临的最复杂、最困难的挑战。中国政府承认,现在是实施另一种增长模式的时候了。然而,更引人注目的是经常相互矛盾的倡议并存。一方面,中国政府继续大举投资可再生能源,已成为该领域全球最大的投资者。另一方面,中国一再宣称,短期内无法减少对煤炭的依赖,它将使国内新兴中产阶级的消费成为新的增长模式,特别是促进汽车保有量,同时实施严格的措施来解决污染问题。大规模的城市化进程、对自然资源日益增长的不受控制的需求和消费、不断增加的污染废物的产生,如果中国的领导层不能协调其社会经济模式与环境保护之间的关系,即实现长期的环境可持续性,那么在不久的将来,将会对越来越多的中国人产生负面影响。基于广泛的相关文献综述以及对相关主题统计数据的准确分析,本研究旨在广泛审视中国实现环境可持续发展的关键挑战和机遇。通过采用整体方法和提供数据,研究本质上是探索性和解释性的。考虑到该主题的交叉性,需要从多个角度进行分析才能充分理解,进行这样的研究并非易事。尽管如此,它还是试图给出最准确的画面和分析,为当今中国环境可持续性的讨论做出贡献。中国面临的巨大环境挑战对我们所有人都意义重大。中国政府和中国人民正在做出的选择不仅影响到中国的健康和福祉,而且考虑到环境问题的全球性,影响到地球的未来。
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引用次数: 1
The Environmental Effects of Changing Speed Limits: A Quantile Regression Approach 变化速度限制的环境影响:分位数回归方法
Pub Date : 2014-12-02 DOI: 10.2139/ssrn.2533098
G. Bel, Catalina Bolancé, Montserrat Guillén, Jordi Rosell
Two speed management policies were implemented in the metropolitan area of Barcelona aimed at reducing air pollution concentration levels. In 2008, the maximum speed limit was reduced to 80 km/h and, in 2009, a variable speed system was introduced on some metropolitan motorways. This paper evaluates whether such policies have been successful in promoting cleaner air, not only in terms of mean pollutant levels but also during high and low pollution episodes. We use a quantile regression approach for fixed effect panel data. We find that the variable speed system improves air quality with regard to the two pollutants considered here, being most effective when nitrogen oxide levels are not too low and when particulate matter concentrations are below extremely high levels. However, reducing the maximum speed limit from 120/100 km/h to 80 km/h has no effect – or even a slightly increasing effect –on the two pollutants, depending on the pollution scenario.
巴塞罗那大都市区实施了两项速度管理政策,旨在降低空气污染浓度。2008年,最高速度限制降至80公里/小时,2009年,在一些大都市高速公路上引入了变速系统。本文评估了这些政策是否成功地促进了更清洁的空气,不仅在平均污染物水平方面,而且在高污染和低污染时期。我们对固定效应面板数据使用分位数回归方法。我们发现变速系统改善了这里所考虑的两种污染物的空气质量,在氮氧化物水平不太低和颗粒物浓度低于极高水平时最有效。然而,将最高限速从120/100公里/小时降低到80公里/小时对这两种污染物没有影响,甚至会略有增加,这取决于污染情况。
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引用次数: 40
Is Collaboration a Good Investment? Modeling the Impact of Government Support for Nonprofit Collaborative Watershed Management Councils. 合作是一种好的投资吗?政府支持对非营利性合作流域管理委员会的影响建模。
Pub Date : 2014-11-07 DOI: 10.2139/ssrn.2519660
Tyler A. Scott
This paper couples data concerning 2500 grants given to local watershed management councils by an Oregon state agency, the Oregon Watershed Enhancement Board (OWEB), with 20 years of monthly water quality data sampled at 141 sites around the state. I examine whether public input, in the form of grant funding, to nonprofit watershed councils impacts water quality, and further compare the impacts of different grant types, such as restoration projects or stakeholder outreach. These data present some of the first evidence regarding the effect of collaborative management outputs on environmental outcomes (Carr et al. 2012; Koontz and Thomas 2006). In modeling these effects, this paper also makes a methodological contribution by demonstrating how spatio-temporal ecological and epidemiological modeling techniques can be used to test policy theory and analyze policy impacts using extant data. Specifically, I use integrated nested Laplace approximation (INLA) (Rue et al. 2009) and stochastic partial differential equations (SPDE) (Lindgren et al. 2011) to fit a hierarchical Bayesian model that accounts for spatial and temporal dependency. I find that increased public support (in the form of OWEB grant funds) for nonprofit watershed council education and outreach actions are strongly linked to water quality improvements. Support for council administrative purposes and scientific or technical activities are also associated with improved water quality over longer timer periods. The impacts of restoration projects are positive on average but more uncertain.
本文结合了俄勒冈州机构俄勒冈流域促进委员会(OWEB)向当地流域管理委员会提供的2500笔赠款的数据,以及20年来在该州141个地点取样的每月水质数据。我研究了以赠款资金形式向非营利流域委员会提供的公众投入是否会影响水质,并进一步比较了不同赠款类型(如修复项目或利益相关者外展)的影响。这些数据提供了一些关于协作管理产出对环境结果影响的第一手证据(Carr et al. 2012;Koontz and Thomas 2006)。在对这些影响进行建模时,本文还通过展示如何使用时空生态和流行病学建模技术来测试政策理论并使用现有数据分析政策影响,从而在方法上做出了贡献。具体来说,我使用集成嵌套拉普拉斯近似(INLA) (Rue et al. 2009)和随机偏微分方程(SPDE) (Lindgren et al. 2011)来拟合考虑空间和时间依赖性的分层贝叶斯模型。我发现,增加公众对非营利性流域委员会教育和推广行动的支持(以OWEB赠款基金的形式)与水质改善密切相关。对理事会行政目的和科学或技术活动的支持也与长期改善水质有关。恢复项目的影响总体上是积极的,但不确定性更大。
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引用次数: 3
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Pollution eJournal
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