导　　师： 楼高翔

学科专业： 1201

授予学位： 硕士

作　　者： ;

机构地区： 华东理工大学

摘　　要： 随着全球气候异常日益成为人们关注的焦点,如何有效减少碳排放成为国际社会的重要议题。目前国际上主要运用的减排政策工具包括碳交易与碳税两种,作为碳排放量最大的国家,我国正在这两种减排政策上积极探索与实践。 2011年10月国家发改委决定在北京、上海等七个省市开展碳交易试点,2013以来各试点地区发布了试行的减排政策方案,其中有两项政策值得我们关注：一是部分城市将同一行业内企业按照企业规模分为大型企业组与中小型企业组,每个组设定不同的碳强度减排目标；二是很多地区开始将非工业排放源纳入到碳减排政策体系中。政策中对同一行业内企业进行分组将会影响企业间的竞争,而随着减排政策范围的扩大,必然也会对不同行业中企业的合作造成影响。依据此背景,本文对碳减排政策下企业的竞争与供应链合作展开研究。 首先,本文通过竞争地位和单位产品碳排放的假设,将两竞争企业看作大型企业与中小型企业的代表,并构建双寡头竞争模型,比较分析实行碳减排政策前后企业的最优决策,研究碳减排政策下不同规模企业的减排行为,并比较碳交易与碳税政策对企业收益的影响,进而通过数值分析对政府的分组政策进行验证。 其次,本文建立合作型的企业关系模型——二级供应链模型,分别研究碳交易和碳税情景下供应链上企业的碳减排决策。通过分散供应链与集中供应链的企业碳减排决策分析,比较两种供应链结构下的减排效果,并研究减排政策强度对供应链企业合作行为的影响。最后比较了碳交易与碳税政策的减排效果。 通过以上的研究,我们发现,对大型企业与中小型企业实行同质的减排政策,将会进一步扩大同一行业内大型企业的竞争优势,不利于中小企业发展。在供应链合作方面,实行碳减排政策不仅会减少供应链企业的收益,还会降低供应链上下游企业的合作意愿。在减排政策对比方面,实现相同的减排目标,企业更乐于接受碳交易政策。 As global climate anomalies increasingly becoming the focus of attention, how to effectively reduce carbon emissions becomes the important issue of the international community. At present the main emission reduction policy used the most are carbon tax and carbon trading. As the largest country in carbon emissions, China is exploring these two emission reduction policy actively. In October2011, the national development and reform commission decided to set up seven provinces and cities, including Beijing and Shanghai, as the pilot cities to carry carbon trading. Among the emission reduction policy published by the pilot cities since2013, there are two policies worth noting. One is that part of these cities divided enterprises in the same industry into large enterprise group and small and medium-sized enterprise group in accordance with the enterprise size, which given the different carbon intensity target. The other is that many areas began to include non-industrial emission source in carbon reduction policy system. For grouping within the same industry enterprises in policy will affect the competition between enterprises, with the policy scope expansion, emission reduction policy will also affect cooperation between enterprises. According to this background, we study the competition between enterprises and supply chain cooperation under emission reduction policy in this paper. First of all, based on the competitive position and carbon emissions per unit product assumption, we can regard the two competitive enterprises as the representative of large enterprises and small and medium enterprises. We build the duopoly competition model, analysis enterprise's optimal decision before and after implementing emission reduction policy, study the emission reduction behavior by different scale enterprise, then compare the impact of carbon tax and carbon trading on enterprise's earnings, after that verify this grouping policy through the numerical analysis. Secondly, we establish a cooperative business relationship model-secondary supply chain in this paper, study the emission reduction decision by supply chain enterprise under carbon tax policy and carbon trading policy respectively. Through the analysis of emission reduction under decentralized and centralized supply chain, we compare the emission reduction effect of these two kinds of supply chain structure and study the influence of emission reduction policy intensity on cooperative behavior of the supply chain enterprise. After that we compare emission reduction effect of carbon trading policy and carbon tax policy. Through the above research, we find that when implement a homogeneous emission reduction policy, will further expand the competitive advantage in the industry, which is not conducive to the development of small and medium-sized enterprises. In the supply chain cooperation aspect, Implementing of emission reduction will not only reduce the earning of supply chain enterprise, will also reduce the willingness of cooperation between supply chain upstream and downstream. In the emission reduction policy compare, enterprise is more willing to accept carbon trading policy under the same emission reduction target.

关 键 词： 碳税 碳交易 碳减排 双寡头垄断 供应链合作

分 类 号： [F205 F273.7]

领　　域： [经济管理] [经济管理] [经济管理]