环境污染、技术进步与中国高耗能产业——基于环境全要素生产率的实证分析

Environmental Pollution,Technical Progress,and Productivity Growth of Energy-intensive Industries in China——Empirical Study Based on ETFP

本文运用方向性距离函数和非参数数据包络分析方法估算了"九五"至"十一五"时期中国高耗能产业的环境全要素生产率(ETFP),并在考察高耗能产业ETFP的行业和省际差异基础上对其影响因素进行了实证分析。本文的研究表明,高耗能产业ETFP增长应主要由技术进步推动,中国的现状说明当前高耗能产业的生产效率还存在较大的改进空间。对省际数据的测算显示,各省区ETFP增长呈现不同程度的收敛特征;市场化改革、FDI流入及能耗强度下降有利于促进各省区ETFP增长,而节能减排投资和企业环境治理能力的提高则可降低环境管制政策对企业的短期成本冲击。

By using directional distance function （DDF） and nonparametric data envelopment analysis （DEA） technique, this paper measures the environmental total factor productivity （ETFP） of energy-intensive industries in China on industrial and provincial level, describes briefly the growth of ETFP during 1996-2009, and analyzes the driving forces of ETFP empirically. It is found that the growth of ETFP of energy-intensive industries in China is mostly driven by technical progress rather than productivity efficiency, which implicate the necessity of greater improvement in efficiency. On provincial level, provinces with higher ETFP agglomerated in the East, and a negative growth of ETFP is verified in the West. However, the conditional 13 convergences has oc, curred in the different areas, which means a faster growth for those farther to the environmental technology frontier. Market reform, FDI, and the reduction of energy intensity are in favor of the growth of ETFP. Energy-saving, emission- abatement investment and the enhancement of enterprises＇ capacity for environmental management have accelerated the transformation and upgrading of energy-intensive industries in China.