The study on the environmental problems in China from the perspective of public finance

作为重要的市场失灵现象，在以“弥补市场失灵”为核心的公共财政视角下，环境污染问题的解决是政府不可推卸的职责。近年来中国政府不断加大环保治理力度，但中国环境污染问题仍不断恶化，环境治理问题依然极其严峻。一个基本的逻辑推演是，政府在环境治理领域存在着较为严重的政府失灵问题，因此环境污染这一市场失灵现象没有得到应有的矫正。 为验证政府失灵现象是否存在，结合已有文献，本文首先根据市场失灵发展的过程时间顺序，将政府失灵分为在市场失灵领域形成（环境污染形成）和干预过程中（环境污染治理）的政府失灵，其中将前者称为政府主动失灵，将后者称为政府干预失灵。而根据最终表现形式，又将政府干预失灵分为政府干预活动的不...As an important market failure, the solve of the environmental pollution is an inescapable responsibility for the government under the perspective of the public finance, of which the core is “to make up for the market failure”. In recent years, the Chinese government has continuously increased the intensity of environmental protection, but the problem of environmental pollution in China continues ...学位：经济学博士院系专业：经济学院_财政学学号：1552013015395

财政民生支出对居民消费的区域效应研究——基于CFPS数据的实证分析

摘要：消费是经济增长的重要引擎，是我国发展的巨大潜力所在。新常态下，如何发挥财政的作用，推进城乡居民的消费升级，促进经济健康发展，是目前十分值得探究的问题。本文通过中国家庭追踪调查数据库（CFPS），利用固定效应面板数据模型以及分样本回归方法，使用中国56个地市2010—2014年的微观家庭面板数据，分析了财政民生支出对居民消费的区域效应。实证结果表明，教育支出对居民消费的效应最为显著，尤其是对西部农村居民的消费具有很高的促进作用；医疗卫生支出对居民消费的效应只在中东部地区有效，社会保障支出对无自有住房居民的消费具有促进作用。就促进居民的消费升级而言，西部的教育支出对居民的发展性消费较为有效，中东部的医疗卫生支出对居民的发展性消费影响效果更大，而社会保障支出则对各地区居民的发展性消费影响均不显著

财政分权对财政支出效率影响的实证检验

文章抛弃传统衡量财政分权水平方法,从地方财政收入结构测度各地的财政分权度,考虑到传统财政分权理论中没有论述经济增长与财政分权的关系,从地方财政支出效率角度研究财政分权。利用dEA方法计算2000~2010年中国31个省市自治区的财政支出效率,运用TObIT模型回归发现财政分权对财政支出效率具有显著正效应,并发现这种正效应是由规范的、便于管理的财政分权方式造成的。国家社科基金重大项目(10zd&036

城市空气质量与环境移民——基于模糊断点模型的经验研究

目前缺乏中国地区间环境移民的有效证据,这可能受样本数据和实证策略的限制。环境移民提高了宏观地区的住房需求,本文选择住房销售面积作为人口代理变量,并根据国家环保模范城市考核指标体系设计了模糊断点回归(frd)。结果表明模范城市增加了住房销售面积,这也得到了常住和户籍人口的证据支持,同时户籍政策抑制了模范城市人口的增长;最后,“申请效应“和“就业效应“检验排除了环境移民效应来自其他途径的可能。政府在制定经济与环境政策时必须考虑到环境对人力资本流动的影响。国家自然科学基金青年项目(71303196); 教育部人文社会科学一般项目(13YJA790061); 国家社科基金青年项目(15CGL014); 厦门大学经济学院财政系研究生科研创新项目的阶段性成

Sub-Provincial Fiscal Decentralization,Local Government's Behavior and Non-tax Revenue——Empirical Evidence from Fujian,Zhejiang and Jiangxi Provinces

以福建省2002年实行的“县级收入自留“政策作为“准自然实验“,分析了省以下财政分权后县级政府非税收入的变化情况。对福建、浙江、江西三省195个县的实证研究表明,省以下财政分权显著减少了人均非税收入,分权造成的税收收入增长不仅客观上减少了相应的地方政府非税收入,而且改变了地方政府收入筹集模式,主观上放弃了对非税收入增长的依赖。因此,非税收入管理改革必须建立在解决地方财政短缺问题的基础之上。The local financial shortage causes a distortion of the local government behavior.This paper takes the policy of " retention of county revenue "adopted in Fujian province 2002 as a"quasi-natural experiment", and analyzes the changes in the non-tax revenue after sub-provincial fiscal decentralization.The empirical results which contain 195 counties from Fujian,Zhejiang and Jiangxi show that the sub-provincial fiscal decentralization does significantly reduce the non-tax revenue per capita.Fiscal decentralization causes the increase of tax revenue, which not only decreases local non-tax revenue objectively, but also changes the mode of local government collecting revenue and dispels the will of local government choosing non-tax revenue.Based on the empirical results,we propose that non-tax revenue management reform must be established on the basis of solving the problem of the local financial shortage.国家社会科学基金重大项目“健全公共财政体系研究”(10zd&036); 福建省社会科学基金重点项目“完善福建省财政体制研究”(2012A005); 福建省软科学项目“基于空间福利性与拥挤性溢出的海峡西岸经济区基本公共服务均等化实施战略研究”(2010R0087

Can air pollution influence the local environmental protection expenditure——Based on the multiple-cutoffs regression discontinuity design

地方环保投入随污染程度的正向改变是缓解环境污染持续恶化的内在财政机制。根据API等级分类规则,本文设计了多断点回归模型检验空气污染对地方环保投入的影响。结果表明较低水平的空气污染会导致环保支出比重的下降;而较高水平的空气污染并不存在这种效应。分样本回归分析了地方政府环保支出对空气污染的“逆调节“反应机制,结果表明:环保模范城市的环保支出比重不存在断点效应,而非环保模范城市的断点存在显著负效应;在省会及副省级城市不存在断点效应,而在其他城市断点效应显著存在。这表明地方政府在治理空气污染问题上存在异质性动机,建立和完善地方政府环保投入的激励与约束机制仍是治污的首要条件。Local environmental inputs' positive change with the pollution levels is the internal financial mechanism which could alleviate the problem of environmental pollution.According to the classification rules of API,the research makes use of multiple regression discontinuity model to test the impact of air pollution on the local environmental protection expenditure.Empirical results show that: the aggravating of low level air pollution could cause a decline of environmental expenditure rates,but the high level air pollution could not.It analyzes the"inverse regulation"reaction mechanism based on the sample regression,and finds that there are not the cutoff effect on the environmental expenditure rates in the model cities for environmental protection,while there are the negative cutoff effects on the non-environmental protection model cities.In the provincial and vice-provincial cities there are no cutoff effect,while the breakpoint effect is still obvious in other cities.This suggests that it exists the heterogeneity among the local governments in solving the pollution problems.It is important to build and improve the incentive and constraint mechanism for the local environmental protection expenditure to control pollution.国家自然科学基金青年项目“人民币汇率变动对我国物价水平的微观传递和宏观影响研究”(71303196); 教育部人文社会科学一般项目“基础设施产业集聚效应的微观基础:基于空间数据与方法的经济研究”(13YJA790061); 国家社科基金青年项目“新常态下促进区域经济发展的省以下财政分权政策研究”(15CGL014); 厦门大学经济学院财政系研究生科研创新项目“中国特色环境问题与政府职能转型研究”的资

财政压力、产能过剩与供给侧改革

中国产能过剩问题自20世纪90年代末开始凸显,中央政府不断出台化解产能过剩的相关政策,但效果不符预期,这一问题值得深思。本文试图以地市增值税分成变化为切入视角,分析这一财力冲击对地方政府的财政激励效应。实证结果表明,地市政府积极应对增值税分成减少所形成的财政压力,努力发展能够带来大量增值税的产能过剩行业工业企业。最后,本文发现也证实这种"压力式"的财政激励使历次化解产能过剩政策的效果不佳。可以认为,财政压力是中国产能过剩形成和化解难问题的关键性因素。这对于供给侧改革具有重要启示。国家自然科学基金面上项目(71573218,71673229)、国家自然科学基金青年项目(71403289)；中国博士后科学基金面上项目(2016M601209)；福建省自然科学基金计划资助项目(2017J01134)；中央高校基本科研业务费专项资金资助(20720161013,20720171023)的资助

Heterogeneous Effects of Rail Transit on Air Pollution——An Empirical Study with RDID

兴建轨道交通被认为是解决当前城市交通拥堵与空气污染的一项有效措施,但传统研究往往受困于内生性所导致的估计偏误。本文利用DID、RD以及RDID等准实验方法估计了中国14个城市新开通的45条线路对空气污染的影响,发现轨道交通的开通具有显著且稳健的污染治理效应。此外,本文分别考察了轨道交通减排效应的城市异质性与污染物异质性。前者发现污染治理效应随人口规模、人口密度及污染程度的提升而增强;后者发现CO、SO_2、NO_2及悬浮颗粒(PM)的减排效果比较显著,且在交通高峰与凌晨非高峰期存在显著差异。而且还发现轨道交通可以缓解较大规模城市的交通拥堵,而对二、三线城市的作用不显著:对不同交通出行工具的检验表明轨道交通的减排效应是通过对出租车出行的替代实现的。最后,本文探讨了轨道交通的规模效应,发现累积开通里程越长,新开通线路的减排效果越强,而这一规律在人口密度较高的城市表现得较为明显,表明在网络正外部性作用下,当前的城市轨道交通仍未达到最优规模。Urban rail transit system is regarded as an effective measure to solve the problem of traffic congestion and air pollution.This paper employs quasi-experimental methods,namely DID,RD and RDID to estimate the impact of 45 newly opened rail lines of 14 cities on air pollution.These estimation,which control endogeneity and show robustness,prove that rail transit can significantly reduce air pollution.Moreover,we discuss the heterogeneous effects of rail transit and find that the pollution abatement effect enhances with increase of population scale and density,as well as air pollution severity.We also discover that abatement effect is particularly notable in terms of the vehicle related emission of SO_2,NO_2,and PMs.In the mechanism analysis,the subway is found to be effective on the alleviation of morning peak-hour traffic congestion,which suggests that traffic substitution is the main channel of pollution alleviation.Due to positive network externality,finally,we find that it appears scale effect in pollution alleviation of rail transit.More mileage of built rail transit lines means more pollution abatement,especially in those cities with high population density.国家自然科学基金面上项目“交通设施的空间网络特征及其异质性产业集聚效应研究”(批准号71573218);; 教育部人文社会科学研究一般项目“基础设施产业集聚效应的微观基础:基于空间数据与方法的经验研究”(批准号13YJA790061);; 国家社会科学基金青年项目“新常态下促进区域经济发展的省以下财政分权政策研究”(批准号15CGL014

The Impact of Gasoline Price Fluctuations on the Air Pollution:Through the Channel of Motor Vehicle Use

机动车尾气排放逐渐成为中国空气污染的主要来源,本文利用2005—2013年中国城市日度数据,实证分析了油价对汽车使用和空气污染的影响效应。实证结果表明油价的提高无法改变一个地区的整体空气质量,这主要是因其对私人汽车、公共汽车以及摩托车无显著效应,而仅通过非私人汽车和出租车的使用变化来影响空气质量。在使用API年度汇总数据、考虑油价对机动车购买影响、选择油价工具变量进行2SlS回归以及删除限行或地铁城市样本后,这一结果仍具有稳健性;在安慰剂检验中,油价对工业污染排放无显著影响,表明其并未通过其他非机动车渠道影响空气质量。据此,本文认为不同的油价污染效应在于各类机动车沉淀成本不同,这一解释得到了基于收入效应和替代效应的分析的证实。本文为成品油消费税的节能减排目标提供了一定的启示:在私人汽车快速增长的背景下,政府不应简单依赖税费调节燃油消费,应通过财政补贴等方式鼓励清洁能源的发展。Emissions from motor vehicles have gradually become the main source of air pollution in China.Using the daily data of Chinese cities from 2005 to 2013,this paper analyzes the gasoline price effects on the use of motor vehicle and the air pollution empirically.The results show that fuel costs could not change the overall air quality in a region,which is mainly because of that it had no significant effect on the private cars,buses and motorcycles,but it can affect air quality by changing the use of the non-private cars and taxis.After using the API annual summary data,considering gasoline price impact on the car purchase,choosing Ⅳ of the gasoline price and making a 2SLS regression,and removing the restrictions or metro city samples,the results still have robustness.And gasoline price does not significantly influence on the industrial pollution,which passes the placebo effect,suggesting that the gasoline price does affect the air quality by the vehicle use,and it cannot influence and has nothing to do with industrial pollution.Based on this,the paper argues that different fuel pollution effects are due to the different sunk costs,but have nothing to do with income levels or upfront input costs,which is confirmed by the income effect and substitution effect.Under the background of the rapid growth of private cars,the government should not simply rely on product oil fuel consumption tax,and should encourage the development of clean energy through financial subsidies.国家自然科学基金面上项目“交通设施的空间网络特征及其异质性产业集聚效应研究”(批准号71573218); 教育部人文社会科学基金一般项目“基础设施产业集聚效应的微观基础:基于空间数据与方法的经验研究”(批准号13YJA790061); 国家社会科学基金青年项目“新常态下促进区域经济发展的省以下财政分权政策研究”(批准号15CGL014

Eco-compensation of Trans-provincial Basin Water Resource:Form Government Leadership to Market Readjustment

跨省流域水资源生态补偿是指为实现社会经济可持续发展,对某一流经多省级行政区的水资源采取的一系列恢复、保护、治理等活动的总称。水资源生态补偿的理论基础包括福利经济学理论、产权经济学理论、社会公平论、水资源生态价值论和利益相关者理论。从水资源补偿主客体、补偿标准与途径等方面构建跨省流域水资源生态补偿基本构架,可得出水资源生态补偿中政府主导和市场调节的特点,并可对今后水资源生态补偿的研究提供方向性建议。Eco-compensation of trans-provincial basin water resource is a series of policies to regain,preserve and recovery of water resource flowing over several provinces,in which a sustainable development of social economy can be achieved.The theory basis of eco-compensation of trans-provincial basin water resource includes welfare economics,property rights economics,social fair theory,ecological value theory and stakeholders' theory.The paper builds a theory foundation of eco-compensation of trans-provincial basin water resource upon subject and object of eco-compensation,criterion designing and actualization of eco-compensation.The paper also distinguishes the characteristics of government leadership and market readjustment approaches.At last,the paper puts forward some suggestions on promoting study of eco-compensation of trans-provincial basin water resource.湖北省教育厅人文社会科学研究项目“资源税改革推广时机选择和优化路径研究——新疆经验及启示”; 湖南省哲学社会科学基金项目“发展低碳经济背景下湖南绿色可持续财源建设研究(09YBB079)