生产技术异质性与区域绿色全要素生产率增长——基于共同前沿与2000—2012年中国省际面板数据的分析
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摘要
由于中国区域社会经济发展严重不平衡,从而使得不同区域绿色生产技术呈现显著的异质性特征。在生产技术异质性假定下,以非参数共同前沿理论作为分析工具,将能源与环境因素纳入到绿色生产率的核算框架之中,对我国各省份、三大区域2000—2012年的共同前沿绿色全要素生产率及其分解指数进行测算,在此基础上分析其地区差异与动态演变趋势。实证分析结果表明:以全国跨期前沿为参考基准,分析期内我国绿色全要素生产率实现了年均0.73%的增长,主要是依靠技术进步而非技术效率改善来驱动;三大地区绿色生产技术存在很强的异质性,东部地区的省份一直牢牢占据全局前沿,代表了全国最优的绿色生产技术,而中西部地区的生产前沿则逐渐偏离全国最优绿色技术前沿,与东部地区绿色生产技术的差距存在进一步扩大的危险。
China's different regions may not have the same green production technology due to the unbalanced regional development. Under the assumption of heterogeneous technology, this paper incorporates energy and environment factors into the framework of measurement of green productivity, and estimates the metafrontier green total factor productivity and its decomposition indexes of China's provinces and three major regions over 2000—2012 using non-parametric metafrontier theory, on basis of which the regional differences and dynamic trends are investigated. The empirical analysis results show that China's metafrontier green total factor productivity has reached 0.73% average growth rate promoted by technological change rather than efficiency improvement. Green technology of China's three major regions is remarkably heterogeneous. East region has been occupying the leading status of global frontier and represents the optimal green technology over the analysis period, while the production frontiers of the Central and West regions are deviating from the global green production frontier. It is dangerous that green production technology gap is further enlarged between the Central-West and the East.
China's different regions may not have the same green production technology due to the unbalanced regional development. Under the assumption of heterogeneous technology, this paper incorporates energy and environment factors into the framework of measurement of green productivity, and estimates the metafrontier green total factor productivity and its decomposition indexes of China's provinces and three major regions over 2000—2012 using non-parametric metafrontier theory, on basis of which the regional differences and dynamic trends are investigated. The empirical analysis results show that China's metafrontier green total factor productivity has reached 0.73% average growth rate promoted by technological change rather than efficiency improvement. Green technology of China's three major regions is remarkably heterogeneous. East region has been occupying the leading status of global frontier and represents the optimal green technology over the analysis period, while the production frontiers of the Central and West regions are deviating from the global green production frontier. It is dangerous that green production technology gap is further enlarged between the Central-West and the East.
引文
[1]陈诗一.节能减排、结构调整与工业发展方式转变研究[M].北京:北京大学出版社,2011.
[2]郭庆旺,贾俊雪.中国全要素生产率的估算:1979—2004[J].经济研究,2005(6):51-60.
[3]Solow R K.Technical change and the aggregate production function[J].Review of Economic Review,1957,39(3):312-320.
[4]Jorgenson D W,Grilliches Z.Issues in growth accounting:a reply to E.F.Dension[J].Survey of Current Business,1972(5):65-94.
[5]Hailu A,Veeman T S.Environmentally sensitive productivity analysis of the Canadian pulp and paper industry[J].Journal of Environmental and Management,2000(40):251-274.
[6]Jorgen D W,Gollop F,Fraumeni B.Productivity and U.S.economic growth[M].Cambridge,MA:Harvard University Press,1987.
[7]Ayres R U,Ayres L W,Warr B.Exergy,power and work in the US economy:1900—1998[J].Energy,2003,28(3):219-273.
[8]Bovenberg A L,Smulders S.Environmental quality and polluting-augmenting technological changes in a two-sector endogenous growth model[J].Journal of public economics,1995(57):369-391.
[9]Ramanathan R.An analysis of energy consumption and carbon dioxide emissions in countries of the Middle East and North Africa[J].Energy,2005,30(15):2831-2842.
[10]Considine T J,Larson D F.The environment as a factor of production[J].Journal of Environmental Economics and Management,2006,52(3):645-662.
[11]Chen K H,Huang Y J,Yang C H.Analysis of regional productivity growth in China[J].China Economic Review,2009,20(4):777-792.
[12]Chung Y H,Fare R,Grosskopf S.Productivity and undesirable outputs:a directional distance function approach[J].Journal of Environmental Management,1997,51(3):229-240.
[13]Fare R S,Grosskopf S,Noh D W,Weber W.Characteristics of a pollution emissions in measures of state manufacturing productivity growth[J].Journal of Regional Science,2001,41(3):381-409.
[14]Boyd G A,Tolley G,Pang J.Plant level productivity,efficiency,and environmental performance of the container glass industry[J].Environmental and Resource Economics,2002(23):29-43.
[15]Yoruk B,Zaim O.Productivity growth in OECD countries:a comparison with malmquist indices[J].Journal of Comparative Economics,2005,33(2):401-420.
[16]Kumar S.Environmentally sensitive productivity growth:a global analysis using malmquist-luenberger index[J].Ecological Economics,2006,56(2):280-293.
[17]Brummer B,Glauben T,Lu W.Policy reform and productivity change in Chinese agriculture:a distance function approach[J].Journal of Development Economics,2006(81):61-79.
[18]陈诗一.中国绿色工业革命:基于环境全要素生产率视角的解释(1980—2008)[J].经济研究,2010(11):21-35.
[19]Hu J L,Sheu H J,Lo S F.Under the shadow of Asian brown clouds:unbalanced regional productivities in China and environmental concerns[J].International Journal of Sustainable Development and World Ecology,2005(1):2429-2442.
[20]Managi S,Kaneko S.Economic growth and the environmental in China:an empirical analysis of productivity[J].International Journal of Global Environmental Issues,2006,6(1):89-133.
[21]Watanabe M,Tanaka K.Efficiency analysis of Chinese industry:a directional distance function approach[J].Energy Policy,2007(35):6323-6331.
[22]涂正革.环境、资源与工业增长的协调性[J].经济研究,2008(2):93-105.
[23]杨俊,邵汉华.环境约束下的中国工业增长状况研究——基于Malmquist-Luenberger指数的实证分析[J].数量经济技术经济研究,2009(9):64-80.
[24]胡鞍钢,郑京海,高宇宁,等.考虑环境因素的省级技术效率排名:1999—2005[J].经济学季刊,2008,7(3):933-960.
[25]王兵,吴延瑞,颜鹏飞.中国区域环境效率与环境全要素生产率增长[J].经济研究,2010(5):95-109.
[26]汪克亮,杨宝臣,杨力.中国省际能源利用的环境效率测度模型与实证研究[J].系统工程,2011,29(1):8-15.
[27]刘瑞翔,安同良.资源环境约束下中国经济增长绩效变化趋势与因素分析——基于一种新型生产率指数构建与分解方法的研究[J].经济研究,2012(11):34-47.
[28]Battese G E,Rao D S P.Technology gap,efficiency and a stochastic metafrontier function[J].International Journal of Business and Economics,2002,1(2):87-93.
[29]王燕,谢蕊蕊.区域工业效率和技术差异研究——基于共同前沿方法的考察[J].产业经济研究,2012(2):18-25.
[30]Hayami Y.Source of agricultural productivity gap among selected countries[J].American Journal of Agriculture Economics,1969(51):564-575.
[31]Hayami Y,Ruttan V W.Agricultural development:an international perspective[M].Baltimore and London:John Hopkins University Press,1971.
[32]Battese G E,Rao D S P,O’Donnell C J.A metafrontier production function for estimation of technical efficiencies and technology gaps for firms operating under different technologies[J].Journal of Productivity Analysis,2004(21):91-103.
[33]O’Donnell C J,Rao D S P,Battese G E.metafrontier frameworks for the study of firm-level efficiencies and technology ratios[J].Empirical Economics,2008(34):231-255.
[34]Oh D H.A metafrontier approach for measuring an environmentally sensitive productivity growth index[J].Energy Economics,2010(32):146-157.
[35]Oh D H,Lee J D.A metafrontier approach for measuring Malmquist productivity index[J].Empirical Economics,2010(38):47-64.
[36]Mazumdar M,Rajeev M.Comparing the efficiency and productivity of the Indian pharmaceutical firms:a malmquist-metafrontier approach[J].International Journal of Business and Economics,2009,8(2):159-181.
[37]王群伟,周德群,周鹏.中国全要素CO2排放绩效的区域差异:考虑非期望产出共同前沿函数的研究[J].财贸经济,2010(9):112-117
[38]程云鹤,齐晓安,汪克亮,等.基于技术差距的中国省际全要素CO2排放效率研究[J].软科学,2012,26(12):64-68.
[39]汪克亮,杨宝臣,杨力.中国全要素能源效率与能源技术的区域差异[J].科研管理,2012,33(5):56-64.
[40]Pastor J T,Lovell C A K.A global malmquist productivity index[J].Economic Letters,2005(88):266-271.
[41]Tulkens H,Eeckaut P.Non-parametric efficiency,progress and regress measures of panel data:methodologies aspects[J].European Journal of Operational Research,1995(80):474-499.
[42]Caves D W,Christensen L R,Diewert W E.The economic theory of index numbers and the measurement of input,output and productivity[J].Econometrica,1982(50):1393-1414.
[43]Fare R,Grosskopf S,Norris M,Zhang Z.Productivity growth,technical progress and efficiency change in industrialized countries[J].American Economics Review,1994(84):66-83.
[44]Simar L,Wilson P W.Sensitivity analysis of efficiency scores:how to bootstrap in nonparametric frontier models[J].Management Science,1998,44(1):49-61.
[45]刘晓欣,邵燕敏,张珣.基于Bootstrap-DEA的工业能源效率分析[J].系统科学与数学,2011,31(3):361-371.
[46]卞亦文.基于DEA理论的环境效率评价方法研究[D].合肥:中国科学技术大学,2006.
[47]张军,吴桂荣,张吉鹏.中国省际物质资本存量估算:1952—2000[J].经济研究,2004(10):35-44.
[48]金相郁.中国区域全要素生产率与决定因素:1996—2003[J].经济评论,2007(5):107-112.
[49]庞瑞芝,杨慧.中国省际全要素生产率差异及经济增长模式的经验分析[J].经济评论,2008(6):16-22.
1 包括省、直辖市与自治区,统称省份。为了便于资料整理,重庆归入四川,西藏、台湾、香港与澳门没有包括在分析范围之内。
2 东部地区包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东、海南;中部地区包括山西、吉林、黑龙江、安徽、江西、河北、湖北、湖南;西部地区包括内蒙古、广西、四川、贵州、云南、陕西、甘肃、青海、宁夏、新疆。
3 此处即为“全国跨期前沿”。
1与此同时,本文采用非参数Kruskal-Wallis H检验也在统计上证实了三大区域绿色生产率存在的显著差异性。27
1图2、图3纵轴中的绿色生产率及其分解值均是由原值减去1得到,正值代表生产率提升,负值表示生产率下降。28
[2]郭庆旺,贾俊雪.中国全要素生产率的估算:1979—2004[J].经济研究,2005(6):51-60.
[3]Solow R K.Technical change and the aggregate production function[J].Review of Economic Review,1957,39(3):312-320.
[4]Jorgenson D W,Grilliches Z.Issues in growth accounting:a reply to E.F.Dension[J].Survey of Current Business,1972(5):65-94.
[5]Hailu A,Veeman T S.Environmentally sensitive productivity analysis of the Canadian pulp and paper industry[J].Journal of Environmental and Management,2000(40):251-274.
[6]Jorgen D W,Gollop F,Fraumeni B.Productivity and U.S.economic growth[M].Cambridge,MA:Harvard University Press,1987.
[7]Ayres R U,Ayres L W,Warr B.Exergy,power and work in the US economy:1900—1998[J].Energy,2003,28(3):219-273.
[8]Bovenberg A L,Smulders S.Environmental quality and polluting-augmenting technological changes in a two-sector endogenous growth model[J].Journal of public economics,1995(57):369-391.
[9]Ramanathan R.An analysis of energy consumption and carbon dioxide emissions in countries of the Middle East and North Africa[J].Energy,2005,30(15):2831-2842.
[10]Considine T J,Larson D F.The environment as a factor of production[J].Journal of Environmental Economics and Management,2006,52(3):645-662.
[11]Chen K H,Huang Y J,Yang C H.Analysis of regional productivity growth in China[J].China Economic Review,2009,20(4):777-792.
[12]Chung Y H,Fare R,Grosskopf S.Productivity and undesirable outputs:a directional distance function approach[J].Journal of Environmental Management,1997,51(3):229-240.
[13]Fare R S,Grosskopf S,Noh D W,Weber W.Characteristics of a pollution emissions in measures of state manufacturing productivity growth[J].Journal of Regional Science,2001,41(3):381-409.
[14]Boyd G A,Tolley G,Pang J.Plant level productivity,efficiency,and environmental performance of the container glass industry[J].Environmental and Resource Economics,2002(23):29-43.
[15]Yoruk B,Zaim O.Productivity growth in OECD countries:a comparison with malmquist indices[J].Journal of Comparative Economics,2005,33(2):401-420.
[16]Kumar S.Environmentally sensitive productivity growth:a global analysis using malmquist-luenberger index[J].Ecological Economics,2006,56(2):280-293.
[17]Brummer B,Glauben T,Lu W.Policy reform and productivity change in Chinese agriculture:a distance function approach[J].Journal of Development Economics,2006(81):61-79.
[18]陈诗一.中国绿色工业革命:基于环境全要素生产率视角的解释(1980—2008)[J].经济研究,2010(11):21-35.
[19]Hu J L,Sheu H J,Lo S F.Under the shadow of Asian brown clouds:unbalanced regional productivities in China and environmental concerns[J].International Journal of Sustainable Development and World Ecology,2005(1):2429-2442.
[20]Managi S,Kaneko S.Economic growth and the environmental in China:an empirical analysis of productivity[J].International Journal of Global Environmental Issues,2006,6(1):89-133.
[21]Watanabe M,Tanaka K.Efficiency analysis of Chinese industry:a directional distance function approach[J].Energy Policy,2007(35):6323-6331.
[22]涂正革.环境、资源与工业增长的协调性[J].经济研究,2008(2):93-105.
[23]杨俊,邵汉华.环境约束下的中国工业增长状况研究——基于Malmquist-Luenberger指数的实证分析[J].数量经济技术经济研究,2009(9):64-80.
[24]胡鞍钢,郑京海,高宇宁,等.考虑环境因素的省级技术效率排名:1999—2005[J].经济学季刊,2008,7(3):933-960.
[25]王兵,吴延瑞,颜鹏飞.中国区域环境效率与环境全要素生产率增长[J].经济研究,2010(5):95-109.
[26]汪克亮,杨宝臣,杨力.中国省际能源利用的环境效率测度模型与实证研究[J].系统工程,2011,29(1):8-15.
[27]刘瑞翔,安同良.资源环境约束下中国经济增长绩效变化趋势与因素分析——基于一种新型生产率指数构建与分解方法的研究[J].经济研究,2012(11):34-47.
[28]Battese G E,Rao D S P.Technology gap,efficiency and a stochastic metafrontier function[J].International Journal of Business and Economics,2002,1(2):87-93.
[29]王燕,谢蕊蕊.区域工业效率和技术差异研究——基于共同前沿方法的考察[J].产业经济研究,2012(2):18-25.
[30]Hayami Y.Source of agricultural productivity gap among selected countries[J].American Journal of Agriculture Economics,1969(51):564-575.
[31]Hayami Y,Ruttan V W.Agricultural development:an international perspective[M].Baltimore and London:John Hopkins University Press,1971.
[32]Battese G E,Rao D S P,O’Donnell C J.A metafrontier production function for estimation of technical efficiencies and technology gaps for firms operating under different technologies[J].Journal of Productivity Analysis,2004(21):91-103.
[33]O’Donnell C J,Rao D S P,Battese G E.metafrontier frameworks for the study of firm-level efficiencies and technology ratios[J].Empirical Economics,2008(34):231-255.
[34]Oh D H.A metafrontier approach for measuring an environmentally sensitive productivity growth index[J].Energy Economics,2010(32):146-157.
[35]Oh D H,Lee J D.A metafrontier approach for measuring Malmquist productivity index[J].Empirical Economics,2010(38):47-64.
[36]Mazumdar M,Rajeev M.Comparing the efficiency and productivity of the Indian pharmaceutical firms:a malmquist-metafrontier approach[J].International Journal of Business and Economics,2009,8(2):159-181.
[37]王群伟,周德群,周鹏.中国全要素CO2排放绩效的区域差异:考虑非期望产出共同前沿函数的研究[J].财贸经济,2010(9):112-117
[38]程云鹤,齐晓安,汪克亮,等.基于技术差距的中国省际全要素CO2排放效率研究[J].软科学,2012,26(12):64-68.
[39]汪克亮,杨宝臣,杨力.中国全要素能源效率与能源技术的区域差异[J].科研管理,2012,33(5):56-64.
[40]Pastor J T,Lovell C A K.A global malmquist productivity index[J].Economic Letters,2005(88):266-271.
[41]Tulkens H,Eeckaut P.Non-parametric efficiency,progress and regress measures of panel data:methodologies aspects[J].European Journal of Operational Research,1995(80):474-499.
[42]Caves D W,Christensen L R,Diewert W E.The economic theory of index numbers and the measurement of input,output and productivity[J].Econometrica,1982(50):1393-1414.
[43]Fare R,Grosskopf S,Norris M,Zhang Z.Productivity growth,technical progress and efficiency change in industrialized countries[J].American Economics Review,1994(84):66-83.
[44]Simar L,Wilson P W.Sensitivity analysis of efficiency scores:how to bootstrap in nonparametric frontier models[J].Management Science,1998,44(1):49-61.
[45]刘晓欣,邵燕敏,张珣.基于Bootstrap-DEA的工业能源效率分析[J].系统科学与数学,2011,31(3):361-371.
[46]卞亦文.基于DEA理论的环境效率评价方法研究[D].合肥:中国科学技术大学,2006.
[47]张军,吴桂荣,张吉鹏.中国省际物质资本存量估算:1952—2000[J].经济研究,2004(10):35-44.
[48]金相郁.中国区域全要素生产率与决定因素:1996—2003[J].经济评论,2007(5):107-112.
[49]庞瑞芝,杨慧.中国省际全要素生产率差异及经济增长模式的经验分析[J].经济评论,2008(6):16-22.
1 包括省、直辖市与自治区,统称省份。为了便于资料整理,重庆归入四川,西藏、台湾、香港与澳门没有包括在分析范围之内。
2 东部地区包括北京、天津、河北、辽宁、上海、江苏、浙江、福建、山东、广东、海南;中部地区包括山西、吉林、黑龙江、安徽、江西、河北、湖北、湖南;西部地区包括内蒙古、广西、四川、贵州、云南、陕西、甘肃、青海、宁夏、新疆。
3 此处即为“全国跨期前沿”。
1与此同时,本文采用非参数Kruskal-Wallis H检验也在统计上证实了三大区域绿色生产率存在的显著差异性。27
1图2、图3纵轴中的绿色生产率及其分解值均是由原值减去1得到,正值代表生产率提升,负值表示生产率下降。28