清洁发展机制下的低碳技术转移:来自中国的实证与对策研究

ANALYSIS OF LOW-CARBON TECHNOLOGY TRANSFER BY CDM:AN EMPIRICAL STUDY FROM CHINA

清洁发展机制(CDM)下的低碳技术转移,对企业低碳技术进步及节能减排具有重要意义。本文通过Logit模型和两步骤实证分析,揭示中国CDM项目下低碳技术转移的影响因素及其作用机理。研究表明:核证减排量(CER)收益是技术转移的根本动力,而项目规模、CER价格及其形成机制、买方类型及其市场势力、政府对此类收益作征税率等因素则可通过影响收益作用于技术转移。此外,由碳交易机构、科研机构或政府部门提供咨询,可显著促进技术转移。中间商亦可凭借专业化优势或资源配置效率产生正面作用,不同程度地抵消其市场势力所致不利影响。尤应关注的是,项目所在地经济落后程度、企业单纯追逐短期经济利益的市场失灵、金融资本的价格操控、已有相似项目的累积等,会显著制约技术转移。最后,文章提出了若干对策建议。

Low-carbon technology transfer（TT） by CDM is most important to Chinese enterprises＇ technological progress and China＇s mission of energy-saving and emission-reduction.Based on a two-step empirical study via Logit Model,this paper investigates the influencing factors of TT in China＇s CDM projects and their mechanisms.It is found that the ultimate driving forces for TT lie in CER revenues,through which TT can be further influenced by other factors including project size,CER prices and their formation mechanism,type of buyers and their market power,as well as fees imposed on CER revenues by the Chinese government.It is also found that TT can be facilitated with consultation provided by carbon traders,research institutes or government departments.In addition,CER traders can promote TT by virtue of specialization in CDM or efficiency in allocation of resources.To the contrary,TT can be significantly retarded if financial institutes acting as traders manipulate CER prices,or if a project is located in least developed regions where a new type of market failure arises from enterprises＇ pure pursuit for short-term interests.Furthermore,odds of TT can be reduced with the accumulation of existing similar projects.Finally,this paper proposes suggestions on countermeasures.