环境规制和产业集聚对能源效率的影响与作用机制：基于空间效应的视角

doi:10.31497/zrzyxb.20221214

摘要/Abstract

摘要：

在中国向高质量发展转型下，探究环境规制、产业集聚对能源效率的作用，对实现“双碳目标”具有重要的现实意义。系统梳理了三者间的作用机制，并基于中国2006—2018年的数据，运用多种“近邻”权重下的空间杜宾模型，检验环境规制、产业集聚以及二者的融合发展对能源效率的溢出效应及其区域差异。研究发现：（1）环境规制和能源效率二者间存在“波特假说”，但这种效应却具有“度”的限制；产业集聚（专业化、多样化）能够有效地助推自身以及与之“相邻”（地理邻近、经济互动）地区能源效率的提升。（2）环境规制对能源效率的作用表现出明显的区域差异，且在中国东、中以及西部三区域间也具有显著的经济地理关联性；产业集聚对能源效率的影响也表现出明显的区域差异，东部来源于多样化集聚，而中西部来源于专业化与多样化集聚。（3）在效应分解方面，无论是全样本还是分区域样本中，环境规制、产业集聚对能源效率的空间溢出效应并不单单是由于地理“相邻”造成的，更多是地区间地理邻近与经济互动协同的结果。（4）环境规制与专业化集聚的融合发展，抑制了专业化带来的正效应，而其与多样化集聚的融合发展对推动能源效率提升具有更强效果。

关键词: 环境规制, 产业集聚, 能源效率, 杜宾模型, 空间溢出

Abstract:

In the transition to high-quality development in China, it is important to investigate the effect of environmental regulation and industrial agglomeration on energy efficiency to achieve energy conservation and emission reduction. Based on the data from 2006 to 2018, the spatial Durbin model with various "near-neighbor" weights is applied to examine the spillover effects of environmental regulation, industrial agglomeration and their integration on energy efficiency and their regional differences. The study finds that there is a "Porter's hypothesis" between environmental regulation and energy efficiency, but this effect is limited by "degree". Industrial agglomeration (specialization and diversification) can effectively contribute to itself and its own effect of environmental regulation on energy efficiency. The role of environmental regulation on energy efficiency shows significant regional differences, and there is also a significant economic-geographic correlation between the eastern, central and western regions of China. The impact of industrial agglomeration on energy efficiency also shows obvious regional differences, with the eastern part from diversified agglomeration, and the central and western parts from specialized and diversified agglomeration. In terms of effect decomposition, the spatial spillover effects of environmental regulation and industrial agglomeration on energy efficiency are not solely due to geographical "proximity", but are more the result of geographical proximity and economic interaction between regions. The integration of environmental regulation and specialized agglomeration suppresses the positive effect of specialization, while its integration with diversified agglomeration has a stronger effect on promoting energy efficiency.

Key words: environmental regulation, industrial agglomeration, energy efficiency, Durbin model, spatial spillover

孙浩, 郭劲光. 环境规制和产业集聚对能源效率的影响与作用机制：基于空间效应的视角[J]. 自然资源学报, 2022, 37(12): 3234-3251.

SUN Hao, GUO Jin-guang. The influence and mechanism of environmental regulation and industrial agglomeration on energy efficiency: A spatial effects-based perspective[J]. JOURNAL OF NATURAL RESOURCES, 2022, 37(12): 3234-3251.

图/表 11

表1

四种空间权重矩阵的定义

权重矩阵	矩阵说明
邻接权重（ $W 1$ ）	$w i j = 1 地区 i 与地区 j 在地理位置上相邻 0 地区 i 与地区 j 在地理位置上不相邻或者 i = j$
地理权重（ $W 2$ ）	$w i j = 1 d i j, d i j 表示地区 i 与地区 j 间省会城市间的距离（ k m ）$
经济权重（ $W 3$ ）	$w i j = 1 Y i - Y j, Y i 表示地区 i 历年人均 G D P 的均值（万元 / 人）$
嵌套权重（ $W 4$ ）	$W 4 = W 1 × W 3 = (w i j) n × n = a i j × 1 Y i - Y j n × n$

表1

表2

表3

表4

表5

表6

环境规制、产业集聚的直接效应、溢出效应和总效应

变量	效应	空间杜宾模型（SDM）
		全样本				东部
		邻接权重（W₁）	地理权重（W₂）	经济权重（W₃）	嵌套权重（W₄）	邻接权重（W₁）	地理权重（W₂）	经济权重（W₃）	嵌套权重（W₄）
ER	直接效应	0.015^** (2.05)	0.0145^** (1.99)	0.021^*** (2.88)	0.0200^*** (2.77)	0.0046 (0.51)	-0.00411 (-0.40)	-0.000852 (-0.10)	-0.00178 (-0.20)
	间接效应	0.0322^** (2.01)	0.0487 (1.35)	0.0350^** (2.28)	0.00462 (0.15)	0.0272^* (1.73)	-0.000334 (-0.01)	-0.0161 (-1.08)	0.00934 (0.51)
	总效应	0.0473^** (2.54)	0.0632 (1.63)	0.0556^*** (3.23)	0.0247 (0.76)	0.0318 (1.55)	-0.00445 (-0.13)	-0.0169 (-0.98)	0.00755 (0.38)
SI	直接效应	-0.00333 (-0.16)	-0.0153 (-0.75)	0.031 (1.53)	0.0294^** (2.51)	-0.0152 (-0.52)	-0.0225 (-0.75)	-0.00629 (-0.20)	0.0428 (1.55)
	间接效应	-0.00752 (-0.22)	-0.386^** (-2.44)	0.0211 (0.64)	0.119^** (2.42)	0.0411 (1.03)	-0.0916 (-0.65)	-0.0745^* (-1.96)	-0.0676^* (-1.65)
	总效应	-0.0109 (-0.30)	-0.401^** (-2.43)	0.0521 (1.64)	0.149^* (1.74)	0.026 (0.62)	-0.114 (-0.81)	-0.0808^* (-1.93)	-0.0248 (-0.65)
DI	直接效应	0.00643^* (1.73)	0.011^*** (3.03)	0.0107^*** (3.07)	0.0119^*** (3.38)	0.019^*** (2.72)	0.0230^*** (3.26)	0.0131^* (1.66)	0.0233^*** (3.42)
	间接效应	0.022^*** (2.69)	0.059^*** (2.7)	-0.0132 (-1.58)	-0.00374 (-0.28)	0.047^*** (4.12)	0.0669^** (2.46)	-0.013 (-1.24)	-0.00268 (-0.27)
	总效应	0.0283^*** (3.25)	0.069^*** (3.09)	-0.0025 (-0.28)	0.0081 (0.56)	0.066^*** (5.25)	0.0899^*** (3.16)	0.000116 (0.01)	0.0206^* (1.78)
变量	效应	中部				西部
变量	效应	邻接权重（W₁）	地理权重（W₂）	经济权重（W₃）	嵌套权重（W₄）	邻接权重（W₁）	地理权重（W₂）	经济权重（W₃）	嵌套权重（W₄）
ER	直接效应	0.0647^*** (3.33)	0.0224 (1.21)	0.026 (1.61)	0.0290^* (1.79)	0.0434 (1.53)	0.0630^** (2.06)	0.0505^* (1.71)	0.0386 (1.27)
	间接效应	0.133^*** (3.35)	0.0194 (0.29)	0.0128 (0.23)	-0.102 (-1.39)	0.0983^** (2.03)	0.00779 (0.14)	0.0468 (0.66)	0.0951^* (1.83)
	总效应	0.198^*** (3.51)	0.0418 (0.51)	0.0388 (0.58)	-0.073 (-0.85)	0.142^** (2.51)	0.0708 (1.23)	0.0973 (0.05)	0.134^** (2.39)
SI	直接效应	-0.155^*** (-3.54)	-0.0581 (-1.34)	-0.019 (-0.42)	0.120^** (2.15)	0.226^*** (2.81)	0.152 (1.51)	0.250^** (2.53)	0.416^*** (5.09)
	间接效应	-0.0777 (-1.02)	0.162 (0.97)	0.193 (1.54)	0.554^*** (2.88)	-0.0521 (-0.27)	0.188 (0.59)	0.830^*** (3.30)	0.528 (1.64)
	总效应	-0.233^** (-2.33)	0.104 (0.59)	0.174 (1.29)	0.674^*** (2.89)	0.174 (0.84)	0.34 (1.03)	1.08^** (2.14)	0.943^*** (2.76)
DI	直接效应	0.00772 (1.62)	-.000411 (-0.10)	0.00339 (0.95)	0.00286 (0.91)	0.00451 (1.31)	0.00428 (0.8)	0.0155^*** (2.7)	-0.0031 (-0.89)
	间接效应	0.0121^** (2.14)	0.0129 (1.34)	0.0183^** (2.32)	-0.00912 (-1.00)	0.014 (1.56)	0.0238 (1.45)	0.0548^*** (3.03)	-0.0196 (-1.20)
	总效应	0.0199^** (2.19)	0.0125 (1.09)	0.0217^*** (2.67)	-0.00626 (-0.59)	0.0185^* (1.84)	0.0281 (1.56)	0.0702^*** (3.24)	-0.0227 (-1.32)

表6

表7

表8

表9

表10

表11

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定义	符号	变量说明	均值	标准差	最小值	最大值
能源效率	EE	非期望产出SBM超效率	0.4951	0.2545	0.1300	1.4000
环境规制强度	ER	污染物的治理投入	1.3429	1.5747	0.1200	12.3500
专业化	SI	Hoover区位熵	0.7029	0.8716	0.0211	4.4104
多样化	DI	赫芬达尔指数的倒数	9.5397	3.1229	3.7791	15.076
经济发展水平	PGDP	地区GDP与人口的比值	3.4898	0.5868	1.7490	4.7720
产业变动	IOR	第三与第二产业增加值之比	0.9809	0.5412	0.4971	4.1653
技术进步	TEC	每百人国内专利授权量	5.3216	7.4877	0.1800	43.2700
外商投资	FDI	外商投资总额与地区总产值之比	0.2445	0.3720	0.00016	2.0384
政府财政支出	GOV	地方财政支出与地区总产值之比	0.2060	0.09437	0.07464	0.6269

变量	随机效应模型（RE）	空间杜宾模型（SDM）
变量	随机效应模型（RE）	邻接权重（W₁）	地理权重（W₂）	经济权重（W₃）	嵌套权重（W₄）
ER	0.0301^*** (3.96)	0.0145^** (2.03)	0.0137^** (1.96)	0.0218^*** (3.13)	0.0198^*** (2.81)
ER2	-0.00156^** (-2.34)	-0.000722 (-1.13)	-0.000584 (-0.96)	-0.00103^* (-1.74)	-0.00108^* (-1.72)
SI	0.0517^*** (2.84)	-0.00538 (-0.25)	-0.0136 (-0.66)	0.0299^** (2.25)	0.0277^** (2.36)
DI	0.00978^*** (2.63)	0.00618 (1.64)	0.00995^*** (2.84)	0.0101^*** (2.86)	0.0119^*** (3.32)
PGDP	0.0512^*** (3.5)	0.310^*** (5.8)	0.363^*** (7.58)	0.186^*** (3.53)	0.192^*** (4.45)
IOR	0.0459^* (1.9)	0.0549^* (1.65)	0.0701^** (2.18)	0.0361 (1)	0.0673^** (2.04)
TEC	0.00457^*** (4.08)	0.00301^** (2.39)	0.00148 (1.17)	-0.00114 (-0.85)	0.00148 (1.19)
FDI	0.0688^** (2.47)	-0.0218 (-0.75)	-0.0194 (-0.71)	0.0477^* (1.73)	0.0161 (0.44)
GOV	-0.112 (-1.21)	-0.281^** (-1.96)	-0.313^** (-2.35)	-0.231^** (-2.02)	-0.350^*** (-3.18)
常数项	0.0912^* (1.71)	0.0493 (0.73)	0.2 (1.33)	0.359^*** (4.27)	0.214^* (1.72)
W×ER		0.0304^** (2.01)	0.0375 (1.4)	0.0457^*** (2.58)	0.00751 (0.23)
W×SI		-0.0043 (-0.13)	0.305^*** (-2.82)	0.0345 (0.92)	0.134 (1.57)
W×DI		0.0207^*** (2.63)	0.0463^*** (2.91)	-0.013 (-1.39)	-0.00301 (-0.21)
ρ		0.0491^*** (2.76)	0.170^** (2.10)	-0.220^** (-2.20)	-0.0988^** (-2.32)
LR test spatial lag		39.13^***	57.32^***	58.63^***	48.15^***
LR test spatial error		39.58^***	55.29^***	53.82^***	48.20^***

地区	邻近矩阵	空间杜宾模型（SDM）
地区	邻近矩阵	ER	ER2	SI	DI	W×ER	W×SI	W×DI	ρ
东部	邻接权重（W₁）	0.00455 (0.52)	0.000066 (0.09)	-0.0174 (-0.57)	0.0196^*** (2.78)	0.0274^* (1.79)	0.0445 (1.13)	0.0487^*** (4.06)	-0.0353 (-0.38)
	地理权重（W₂）	0.0045 (0.46)	0.000724 (0.86)	-0.0252 (-0.81)	0.0231^*** (-3.16)	-0.000826 (-0.03)	-0.0758 (-0.56)	0.0679^** (2.46)	-0.0235 (-0.13)
	经济权重（W₃）	-0.00311 (-0.37)	0.000665 (0.88)	-0.0181 (-0.57)	0.0114 (1.46)	-0.0191 (-1.06)	-0.0889^** (-2.13)	-0.0116 (-1.00)	-0.316^** (-2.49)
	嵌套权重（W₄）	-0.00114 (-0.13)	0.00036 (0.45)	0.033 (1.22)	0.0231^*** (3.34)	0.0169 (0.45)	-0.0879 (-1.18)	0.0223 (0.99)	-1.208^*** (-3.91)
中部	邻接权重（W₁）	0.043^*** (3.11)	0.00366^* (1.7)	0.147^*** (3.47)	0.0057 (1.3)	0.0868^*** (3.64)	-0.00562 (-0.10)	0.00734^* (1.81)	0.337^*** (3.39)
	地理权重（W₂）	0.0205 (1.34)	0.000909 (0.41)	-0.0703 (-1.56)	-0.00113 (-0.28)	0.00963 (0.21)	0.154 (1.17)	0.0112 (1.42)	0.233^* (1.7)
	经济权重（W₃）	0.0246^* (1.87)	-0.00146 (-0.69)	-0.0381 (-0.79)	0.00202 (0.54)	0.00431 (0.11)	0.162^* (1.75)	0.0135^** (2.13)	0.264^* (1.92)
	嵌套权重（W₄）	0.0326^** (2.45)	0.00211^* (1.85)	0.0917^* (1.81)	0.00323 (1.08)	-0.0859^* (-1.73)	0.399^*** (3.41)	-0.00715 (-1.11)	0.239^* (1.73)
西部	邻接权重（W₁）	0.0441^* (1.8)	-0.005^** (-1.98)	0.216^*** (2.59)	0.00502^* (1.86)	0.108^** (2.11)	-0.0339 (-0.17)	0.0147 (1.61)	-0.0708 (-0.61)
	地理权重（W₂）	0.0623^** (2.17)	-0.0038^* (-1.80)	0.153 (1.44)	0.00647 (1.1)	0.0473 (0.61)	0.347 (0.73)	0.0352 (1.48)	-0.530^** (-1.97)
	经济权重（W₃）	0.0484^* (1.72)	-0.00294 (-0.99)	0.227^** (2.23)	0.0165^*** (2.81)	-0.0418 (-0.55)	-0.835^*** (3.40)	0.0576^*** (3.78)	-0.101 (-0.52)
	嵌套权重（W₄）	0.0408 (1.39)	-0.00449 (-1.56)	0.426^*** (4.82)	-0.00355 (-0.90)	0.136^** (1.99)	0.833^* (1.93)	-0.0274 (-1.26)	-0.321^** (-2.22)

邻近矩阵	空间杜宾模型（SDM）
邻近矩阵	ER	ER2	SI	DI	控制变量	ρ
地理权重（W₂）	0.0804^*** (2.80)	-0.00824^*** (-4.05)	-0.201 (-1.08)	0.0153^* (1.78)	控制	0.306^** (2.15)
经济权重（W₃）	0.0595^*** (3.68)	-0.00657^*** (-6.00)	0.192^*** (3.85)	0.0155^** (2.21)	控制	0.457^*** (4.67)

邻近矩阵	空间杜宾模型（SDM）
邻近矩阵	SI	DI	ER×SI	ER×DI	控制变量
邻接权重（W₁）	0.0154 (0.68)	0.00223^** (2.17)	-0.0185^** (-2.46)	0.00259^*** (3.5)	控制
地理权重（W₂）	0.0158 (0.74)	0.0043 (1.22)	-0.0225^*** (-3.06)	0.00298^*** (4.08)	控制
经济权重（W₃）	0.0433^* (1.92)	0.00807^** (2.21)	-0.0161^** (-2.16)	0.00254^*** (3.41)	控制
嵌套权重（W₄）	0.0353 (1.55)	0.0102^*** (2.75)	-0.0153^** (-1.98)	0.00243^*** (3.22)	控制