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1、Market Efficiency-Market FailuresRecall that:Adam Smiths“invisible hand”of the marketplace leads self-interested buyers and sellers in a market to maximize the total benefit that society can derive from a market.But market failures can still happen.第1页/共45页市场效率 和 市场失灵回顾:亚当.斯密所说的市场中“看不见的手”引导着市场中自利的买者
2、和卖者追求自己利益最大化的同时，使整个社会从市场中获得的总利益也达到最大化。但是市场也会失灵第2页/共45页EXTERNALITIES AND MARKET INEFFICIENCYuAn externality refers to the uncompensated impact of one persons actions on the well-being of a bystander.uExternalities cause markets to be inefficient,and thus fail to maximize total surplus.第3页/共45页外部性与市场无
3、效率u外部性一个人的行为对旁观者福利的影响，这种影响得不到补偿。u外部性导致市场失灵，因此单靠市场力量不能使社会总剩余最大化。第4页/共45页An externality arises 外部性产生.when a person engages in an activity that influences the well-being of a bystander and yet neither pays nor receives any compensation for that effect.当一个人的行为影响到旁观者的福利时，若此人既不为此支付成本（给旁观者带来成本时）又不能得到补偿（给旁观
4、者带来利益时），外部性就产生了。第5页/共45页EXTERNALITIES AND MARKET INEFFICIENCY 外部性与市场无效率uWhen the impact on the bystander is adverse,the externality is called a negative externality.给旁观者带来不利影响的外部性称为负外部性uWhen the impact on the bystander is beneficial,the externality is called a positive externality.给旁观者带来有利影响的外部性称为正外
5、部性第6页/共45页uAutomobile exhaust 汽车尾气uCigarette smoking 吸烟uBarking dogs(loud pets)狂叫的狗uLoud stereos in an apartment building 在公寓楼里大声放立体声Examples of Negative Externalities负外部性例子第7页/共45页uImmunizations 免疫uRestored historic buildings 修复历史古迹uResearch into new technologiesu新技术研究开发 Examples of Positive Extern
6、alities正外部性例子第8页/共45页The Market for Aluminum 铝市场数量Quantity ofAluminum0Price ofAluminum铝的价格QMARKETDemand(private value）需求（私人价值)Supply(private cost）供给（私人成本)Equilibrium 均衡第9页/共45页The Market for Aluminum and Welfare Economics铝市场和福利经济学The quantity produced and consumed in the market equilibrium is effici
7、ent in the sense that it maximizes the sum of producer and consumer surplus.“市场均衡时的生产量和消费量是有效率的”，这句话的意思是说生产者和消费者的总剩余最大。第10页/共45页The Market for Aluminum and Welfare Economics铝市场和福利经济学If the aluminum factories emit pollution(a negative externality),then the cost to society of producing aluminum is lar
8、ger than the cost to aluminum producers.如果铝厂排放污染（负外部性），那么生产铝的社会成本就比铝生产者的私人成本高。第11页/共45页The Market for Aluminum and Welfare Economics铝市场和福利经济学For each unit of aluminum produced,the social cost includes the private costs of the producers plus the cost to those bystanders adversely affected by the poll
9、ution.每生产一个单位量的铝，社会成本既包括铝生产者的私人成本，也包括污染给旁观者带来的成本。第12页/共45页QMARKETPollution and the Social Optimum污染和社会最优产量Quantity ofAluminum0Price of Aluminum 铝的价格Demand(private value）需求（私人价值)Supply(private cost）供给（私人成本)Social cost 社会成本QoptimumCost of Pollution污染成本Equilibrium均衡Optimum社会最优第13页/共45页Negative External
10、ities 负外部性The intersection of the demand curve and the social-cost curve determines the optimal output level.需求曲线和社会 成本曲线的交点决定了社会最优产量。uThe socially optimal output level is less than the market equilibrium quantity.社会最优产量比市场均衡产量低。第14页/共45页Negative Externalities 负外部性Internalizing an externality involv
11、es altering incentives so that people take into account the external effects of their actions.外部性的内在化通过改变激励，使人们考虑他们自己行为的外部效应。第15页/共45页Achieving the Socially Optimal Output实现社会最优产量The government can internalize an externality by imposing a tax on the producer to reduce the equilibrium quantity to the
12、 socially desirable quantity.政府可以向生产者收税以降低市场均衡产量为社会所希望的产量，将 外部性内在化。第16页/共45页Positive Externalities 正外部性When an externality benefits the bystanders,a positive externality exists.当外部性有利于旁观者时，就存在正外部性。uThe social value of the good exceeds the private value.物品的社会价值大于私人价值。第17页/共45页Positive Externalities 正
13、外部性A technology spillover is a type of positive externality that exists when a firms innovation or design not only benefits the firm,but enters societys pool of technological knowledge and benefits society as a whole.一个企业的创新或设计不仅给本企业带来效益，还会增加社会的技术知识存量，给全社会带来效益，也就是说创新和设计存在着技术溢出效应，技术溢出效应是一种正外部性第18页/共4
14、5页Figure 3 Education and the Social OptimumCopyright 2004 South-WesternQuantity ofEducation0Price ofEducationDemand(private value)SocialvalueSupply(private cost)QMARKETQOPTIMUM第19页/共45页图3.教育与社会最优教育的数量0教育的价格需求(私人价值)社会价值供给(私人成本)Q市场Q最优第20页/共45页Positive ExternalitiesThe intersection of the supply curve
15、and the social-value curve determines the optimal output level.uThe optimal output level is more than the equilibrium quantity.uThe market produces a smaller quantity than is socially desirable.uThe social value of the good exceeds the private value of the good.第21页/共45页正外部性供给曲线和社会价值曲线的交点决定了社会最优产量水平
16、。u社会最优产量比市场均衡产量多。u市场生产的量比社会所希望的量少。u物品的社会价值大于私人价值。第22页/共45页Positive Externalities Internalizing Externalities:SubsidiesUsed as the primary method for attempting to internalize positive externalities.Industrial PolicyGovernment intervention in the economy that aims to promote technology-enhancing indu
17、striesPatent laws are a form of technology policy that give the individual(or firm)with patent protection a property right over its invention.The patent is then said to internalize the externality.第23页/共45页正外部性 外部性内在化：补贴作为首选的办法将正外部性内在化。技术政策政府旨在促进产业技术进步的经济干预专利保护是一种技术政策。专利法通过给予发明者在一定时期内排他性地使用自己的发明而保护了
18、发明者的权益。专利制度将外部性内在化第24页/共45页Internalizing Externalities外部性的内在化uTaxes are the primary tools used to internalize negative externalities.税收是将负外部性内在化的首选手段。uSubsidies are the primary tools used to internalize positive externalities.补贴是将正外部性内在化的首选手段。第25页/共45页Private Solutions to Externalities外部性的私人解决方法Gove
19、rnment action is not always needed to solve the problem of externalities.并不总是需要政府行为来解决外部性问题第26页/共45页Types of Private Solutions to Externalities外部性的私下解决方式uMoral codes and social sanctions 道德规范和社会约束uCharitable organizations 慈善组织uIntegrating different types of businesses 不同类型的企业一体化uContracting between
20、parties 交易各方签订合同第27页/共45页The Coase TheoremThe Coase Theorem is a proposition that if private parties can bargain without cost over the allocation of resources,they can solve the problem of externalities on their own.Transactions CostsTransaction costs are the costs that parties incur in the process
21、of agreeing to and following through on a bargain.第28页/共45页科斯定理科斯定理 一种观点，认为如果私人各方可以无成本地就资源配置进行协商，那么，他们就可以自己解决外部性问题。交易成本交易成本 各方在协商达成与遵守协议过程中所发生的成本。第29页/共45页Why Private Solutions Do Not Always Work为什么私下解决方式不能总是有效Sometimes the private solution approach fails because transaction costs can be so high tha
22、t private agreement is not possible.有时候，交易成本很高而不可能私下达成协议，因此私下方式不能解决外部性问题第30页/共45页Public Policy Toward Externalities解决外部性的公共政策When externalities are significant and private solutions are not found,government may attempt to solve the problem through.当外部性问题严重且找不到私人解决方式时，政府也许采用以下方式试图解决外部性问题：command-and-
23、control policies.命令和控制政策。market-based policies.以市场为基础的政策。第31页/共45页Command-and-Control Policies命令和控制政策uUsually take the form of regulations:经常采用管制形式：uForbid certain behaviors 禁止某些行为uRequire certain behaviors 要求采取某些行为uExamples 例子:uRequirements that all students be immunized.要求所有学生注射疫苗。uStipulations on
24、 pollution emission levels set by the Environmental Protection Agency(EPA).由环保局制订和实施污染排放标准。第32页/共45页Market-Based Policies以市场为基础的政策uGovernment uses taxes and subsidies to align private incentives with social efficiency.政府利用税收和补贴手段给私人部门以激励，实现社会效率。uPigovian taxes are taxes enacted to correct the effect
25、s of a negative externality.庇古税用于纠正负外部性影响的税收。第33页/共45页Examples of Regulation versus Pigovian taxIf the EPA decides it wants to reduce the amount of pollution coming from a specific plant.The EPA couldtell the firm to reduce its pollution by a specific amount(i.e.regulation).levy a tax of a given amo
26、unt for each unit of pollution the firm emits(i.e.Pigovian tax).第34页/共45页管制的例子和庇古税如果环保局决定想减少某个工厂的污染排放量，环保局可以命令工厂减少一定量的污染（即管制）按工厂的排污量收税（即庇古税）第35页/共45页Market-Based PoliciesuTradable pollution permits allow the voluntary transfer of the right to pollute from one firm to another.uA market for these perm
27、its will eventually develop.uA firm that can reduce pollution at a low cost may prefer to sell its permit to a firm that can reduce pollution only at a high cost.第36页/共45页以市场为基础的政策u可交易的污染许可证 允许排污权在企业之间自愿进行转移。u交易这种许可证的市场将最终形成。u以低成本可以减少污染的企业愿意将污染许可证出卖给只有以高成本才能减少污染的企业。u污染量没有增加，但污染许可证这一稀缺资源重新配置给对其评价更高的企
28、业。第37页/共45页The Equivalence of Pigovian Taxes and Pollution PermitsQuantity ofPollution0Price ofPollutionPQDemand forpollution rightsPigoviantax(a)Pigovian Tax2.which,togetherwith the demand curve,determines the quantityof pollution.1.A Pigoviantax sets theprice ofpollution.Quantity ofPollution0QDema
29、nd forpollution rightsSupply ofpollution permits(b)Pollution PermitsPrice ofPollutionP2.which,togetherwith the demand curve,determines the priceof pollution.1.Pollutionpermits setthe quantityof pollution.第38页/共45页庇古税和排污许可证的等效性污染量0污染的价格PQ对排污权的需求庇古税(a)庇古税2.庇古税和需求曲线决定污染量1.庇古税决定污染价格污染量0Q对排污权的需求 排污许可证的供给
30、(b)污染许可证污染的价格P2.许可证和需求曲线决定污染的价格.1.污染许可证确定了污染量.第39页/共45页SummaryuWhen a transaction between a buyer and a seller directly affects a third party,the effect is called an externality.uNegative externalities cause the socially optimal quantity in a market to be less than the equilibrium quantity.uPositive
31、 externalities cause the socially optimal quantity in a market to be greater than the equilibrium quantity.第40页/共45页小结u当一个买者和一个卖者之间的交易影响到第三方时，这种影响被称为外部性。u负外部性导致一个市场中的社会最优产量比市场均衡产量低。u正外部性导致一个市场中的社会最优产量比市场均衡产量高。第41页/共45页SummaryuThose affected by externalities can sometimes solve the problem privately.
32、uThe Coase theorem states that if people can bargain without a cost,then they can always reach an agreement in which resources are allocated efficiently.第42页/共45页小结u受外部性影响的各方有时可以私下解决外部性问题。u科斯定理认为，如果私人各方可以无成本地进行协商谈判，那么，他们就可以自己达成能使资源有效配置的协议，解决外部性问题。第43页/共45页Summary 小结uWhen private parties cannot adequately deal with externalities,then the government steps in.当私人各方不能适当地解决外部性问题时，政府就介入了。uThe government can either regulate behavior or internalize the externality by using Pigovian taxes.政府既可以通过管制行为也可以通过庇古税使外部性内在化，解决外部性问题。第44页/共45页感谢您的欣赏！第45页/共45页