2006-2012年中国工业行业能源和环境综合效率及其影响因素

Energy and environmental unified efficiency of industrial sub-sectors and its influemcing factors in China

能源消费量大、能源效率低以及环境问题突出已经成为中国发展面临的严峻挑战。由于工业部门能源消耗占中国能源消耗总量的70%左右,因此,本文基于工业36个子行业2006-2012年的数据,采用结合自然处置性和管理处置性概念的DEA模型将固定资产、能源消费及劳动力作为自然处置性下的投入,研发(R&D)投资额作为管理处置性下的投入,评价各子行业能源和环境综合效率以及R&D投资对各子行业减少非期望产出的有效性,最后,采用Truncated回归模型分析中国工业能源和环境综合效率的影响因素。研究结果表明:除烟草制品业等4个行业外,其余32个行业的综合效率均有改善空间,煤炭开采和洗选业、化学原料和化学制品制造业以及非金属矿物制品业等的综合效率值均在0.800以下,其中非金属矿物制品业效率值最低仅为0.472;2012年,研发投资对煤炭开采和洗选业等16个行业减少非期望产出是有效的;能源结构、技术创新和市场竞争对综合效率具有显著影响,其中煤炭在能耗中占比的提高对综合效率有抑制作用,而研发投资比例的提高对其则有促进作用。

As an energy- intensity sector, the industrial sector consumes 70% of energy and generates more than 50% of CO2 in China. According to data spanning 36 industrial sub- sectors from 2006 to 2012, we adopted a non- radial DEA model which combined Natural Disposability and Managerial Disposability to study energy and environmental unified efficiency. Input indicators including fixed assets, energy and labor were considered as inputs under Natural Disposability, and RD investment was regarded as an input under Managerial Disposability. The government promotes RD investment on energy- saving technology and equipment in the industrial sector in China＇s National Plan on Climate Change. This study also verified whether RD investment was effective for different industrial sub- sectors to reduce undesirable outputs based on DEA modeling. Truncated regression modeling was adopted to analyze factors driving energy and environmental unified efficiency. We found that thirty-two sub-sectors had great room to improve their energy and environmental performance except for four sub- sectors（e.g. tobacco products industry）. The unified efficiency scores of three sub-sectors including the coal mining and washing industry, chemical raw materials and chemical products manufacturing industry and nonmetallic mineral products industry were all below 0.8, while the non-metallic mineral industry was0.472 in this case. In 2012, RD investment was effective for 16 sectors including coal mining and washing industry. Energy mix, technological innovation and market competition had significant impacts on unified efficiency. The proportion of coal consumption had a negative influence on unified efficiency, and the relationship between the ratio of RD investments and unified efficiency was positive.