基于网络DEA的能源与环境治理效率评估
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摘要
能源与环境保护问题是直接关系到人类社会生存与发展的社会问题,而传统的经济发展模式造成的能源短缺和环境污染已成为我国可持续发展的两个严重障碍。科学发展观要求在发展经济的同时,把建设资源节约型和环境友好型社会联系起来,保持良好的社会和自然环境,以实现人类社会的可持续发展。
有必要对经济生产中的能源效率与环境治理效率进行研究,从而降低能源的高消耗度,提高环境治理成果。本文的效率研究工具主要是数据包络分析。数据包络分析(DEA)是由Charnes等人创建的,用于评价具有多输入和多输出的决策单元之间的相对效率,被广泛的应用于经济系统和环境系统的效率评价中。传统的利用DEA评价效率主要是针对能源利用效率或环境效率进行单独研究,没有考虑到中国经济发展的实际模式,将能源利用与环境治理结合起来研究。
本文构建合理的经济系统框架结构,将经济系统划分为能源系统和环境治理系统,利用网络DEA的方法模型,从两阶段的角度综合研究分析经济系统效率。这样综合评价能源效率和环境治理效率,可以更好的分析经济效率低下原因是能源浪费严重还是环境治理技术落后。通过选取适当指标对中国29个省市进行实证研究,分析能源和环境治理对经济系统的影响。
本文共分为五个部分:第一章是绪论部分,主要阐述研究的背景以及本文研究主要内容;第二章是对数据包络分析(DEA)基本理论以及网络DEA作简要介绍;第三章给出了DEA方法在环境效率评价中的一些应用;第四章利用网络DEA对能源与环境治理系统进行综合评价,并进行了实证研究;第五章是论文总结与展望,提出了研究过程中的不足之处和未来的研究方向。
Energy and environment protection have directly impact on our human being existence and development, energy shortage and environment pollution which were caused by traditional economic development pattern have become two major obstacles to Chinese sustainable development.. Scientific outlook on development requires to link the resource-conserving and environment-friendly society construction with the development of economy to keep good social and natural environment, in order to achieve the sustainable development of human society.
It is necessary to research energy efficiency and environmental management efficiency in economic production to reduce high energy consumption and improve environmental governance profit. The efficiency research tool in this paper is data envelopment analysis(DEA). DEA, as first developed by Charnes et al, is used to provide a relative efficiency score for each member of a set of decision making units (DMU), which consume multiple inputs to generate multiple outputs. It has been widely used in efficiency evaluation of economic system and environmental system.
In the past, the use of DEA in economic system efficiency was mainly aimed at energy efficiency or environmental efficiency independently, without taking into account the actual pattern of China's economic development to research economic production and environmental management simultaneously. This paper divides economic system into energy system and environmental governance system to build a framework for the economic system structure. On the basis of network DEA, it evaluates efficiency of economic system comprehensively from the perspective of two-stage study. In this way, it can better analyze the reason for inefficiency economic is serious waste of energy or backward environmental governance technology. By selecting appropriate indicators for 29 provinces and municipalities of China and evaluating their efficiency, it analyzes the influence of energy and environmental governance to economic system.
This paper is divided into five parts. The first chapter is the introduction section, it mainly describes the background and the main content of this paper. Chapter two briefly introduces basic theories of data envelopment analysis (DEA) and network DEA. Chapter three reviews some applications of DEA in environment efficiency evaluation. In the fourth chapter, we use network DEA to evaluate efficiency of energy and environmental governance system comprehensively, also we give an example to illustrate the our research. Chapter five summarizes all the work of this thesis, and gives some shortcomings in the research process and some suggestions for future research.
有必要对经济生产中的能源效率与环境治理效率进行研究,从而降低能源的高消耗度,提高环境治理成果。本文的效率研究工具主要是数据包络分析。数据包络分析(DEA)是由Charnes等人创建的,用于评价具有多输入和多输出的决策单元之间的相对效率,被广泛的应用于经济系统和环境系统的效率评价中。传统的利用DEA评价效率主要是针对能源利用效率或环境效率进行单独研究,没有考虑到中国经济发展的实际模式,将能源利用与环境治理结合起来研究。
本文构建合理的经济系统框架结构,将经济系统划分为能源系统和环境治理系统,利用网络DEA的方法模型,从两阶段的角度综合研究分析经济系统效率。这样综合评价能源效率和环境治理效率,可以更好的分析经济效率低下原因是能源浪费严重还是环境治理技术落后。通过选取适当指标对中国29个省市进行实证研究,分析能源和环境治理对经济系统的影响。
本文共分为五个部分:第一章是绪论部分,主要阐述研究的背景以及本文研究主要内容;第二章是对数据包络分析(DEA)基本理论以及网络DEA作简要介绍;第三章给出了DEA方法在环境效率评价中的一些应用;第四章利用网络DEA对能源与环境治理系统进行综合评价,并进行了实证研究;第五章是论文总结与展望,提出了研究过程中的不足之处和未来的研究方向。
Energy and environment protection have directly impact on our human being existence and development, energy shortage and environment pollution which were caused by traditional economic development pattern have become two major obstacles to Chinese sustainable development.. Scientific outlook on development requires to link the resource-conserving and environment-friendly society construction with the development of economy to keep good social and natural environment, in order to achieve the sustainable development of human society.
It is necessary to research energy efficiency and environmental management efficiency in economic production to reduce high energy consumption and improve environmental governance profit. The efficiency research tool in this paper is data envelopment analysis(DEA). DEA, as first developed by Charnes et al, is used to provide a relative efficiency score for each member of a set of decision making units (DMU), which consume multiple inputs to generate multiple outputs. It has been widely used in efficiency evaluation of economic system and environmental system.
In the past, the use of DEA in economic system efficiency was mainly aimed at energy efficiency or environmental efficiency independently, without taking into account the actual pattern of China's economic development to research economic production and environmental management simultaneously. This paper divides economic system into energy system and environmental governance system to build a framework for the economic system structure. On the basis of network DEA, it evaluates efficiency of economic system comprehensively from the perspective of two-stage study. In this way, it can better analyze the reason for inefficiency economic is serious waste of energy or backward environmental governance technology. By selecting appropriate indicators for 29 provinces and municipalities of China and evaluating their efficiency, it analyzes the influence of energy and environmental governance to economic system.
This paper is divided into five parts. The first chapter is the introduction section, it mainly describes the background and the main content of this paper. Chapter two briefly introduces basic theories of data envelopment analysis (DEA) and network DEA. Chapter three reviews some applications of DEA in environment efficiency evaluation. In the fourth chapter, we use network DEA to evaluate efficiency of energy and environmental governance system comprehensively, also we give an example to illustrate the our research. Chapter five summarizes all the work of this thesis, and gives some shortcomings in the research process and some suggestions for future research.
引文
白华,韩文秀.1999.区域经济—资源—环境(Ec-R-Ev)复合系统结构及其协调分析[J].系统工程,17(2):19-24
毕功兵,梁樑，杨锋.2007.两阶段生产系统的DE A效率评价模型[J].中国管理科学,15(2):92-96
卞亦文. 2006.基于DEA理论的环境效率评价方法研究[D]: [博士] .合肥:中国科学技术大学
卞亦文.2009.基于DEA的环境绩效评价研究现状及拓展方向[J].商业时代,6:64-65.
曹刚,杨正见.2001.环境质量与经济增长的库兹涅茨关系量化探讨[J].环境保护,6:21-22
董秀海,胡颖廉,李万新.2008.中国环境治理效率的国际比较和历史分析——基于DEA模型的研究[J].科学学研究,26(6):1221-1230.
范金,沈洁,包振强等.2001.生态经济投入占用产出的多目标优化模型及求解[J].系统工程理论与实践,21(5):75-81.
国家统计局.2009年国民经济和社会发展统计公报.
洪钢.1998.生命周期分析法——环境评估的有效工具[J].环境保护,6:29-31
雷明.1996.资源—经济一体化核算研究[J].系统工程理论与实践,16(9):42-50
申玉铭,方创琳.1996.区域PRED协调发展的有关理论问题[J].地域研究与开发,15(4):19-22.
盛昭瀚,朱乔,吴广谋.1996.DEA理论,方法与应用[M].北京:科学出版社
王波,张群,王飞.2002.考虑环境因素的企业DEA有效性分析[J].控制与决策,1:24-28
魏权龄.1988.评价相对有效性的DEA方法――运筹学的新领域[M].北京:中国人民大学出版社
魏权龄.2004.数据包络分析[M].北京:科学出版社
吴承业,袁达.2000.中国工业经济与环境协调发展的经济计量分析[J].数量经济技术经济研究,17(10):15-17.
谢艾国,罗英,王应明.1999.时序DEA的理论与方法研究[J]系统工程与电子技术21(11): 1-4
杨锋.2006.含有多个子系统的决策单元的DEA效率评估研究[D]: [博士] .合肥:中国科学技术大学
杨锋,梁樑,查勇等.2008.基于完全包络面的DEA Super效率评价方法[J].管理科学, 21(4):69-74.
姚愉芳,贺菊煌.1998.中国经济增长与可持续发展—理论、模型与应用[M].社会科学文献出版社
曾嵘,魏一鸣,范英等.2000.人口、资源、环境与经济协调发展系统分析[J].系统工程理论与实践,20(12):1-6.
周泽昆,陈廷.1986.评价管理效率的一种新方法[J].系统工程,4(4):42-49.
Afriat, S.N. 1972. Efficiency Estimation of Production Functions[J]. International Economic Review, 13: 568-98
Banker R D, Charnes A, Cooper W W.1984. Some models for estimating technical and scale inefficiencies in data envelopment analysis[J]. Management Science, 30: 1078-1092.
Bithas Konstantions, Nijkamp Peter. 1996. Environmental-economic modeling with semantic insufficiency and factual uncertainty[J]. Environmental System, 25(2):167-183.
Byrnes P., Faer R., Grosskopf S.1984.Measuring productive efficiency: An application to Illinois strip mines[J]. Management Science, 30: 671-681
Charnes A, Cooper W W, Rhodes E. 1978. Measuring the efficiency of decision making units[J]. European Journal of Operational Research, 2: 429-444.
Charnes A, Cooper W W., Wei Q L.1986. A semi-infinite multicriteria programming approach to data envelopment analysis with many decision-making units, Center for Cybernetic Studies Report CCS 551, Sep.
Charnes A, Cooper W W., Wei Q L. et al. 1989. Cone ratio data envelopment analysis and multi-objective programming[J]. International Journal of Systems Science, 20(7), 1099-1118.
Chen Y, Liang L, Yang F, Zhu J.2006. Evaluation of information technology investment: a data envelopment analysis approach[J]. Computers & Operations Research, 33: 1368-1379.
Chiang Kao. 2009. Efficiency measurement for parallel production systems[J]. European Journal of Operational Research,196(3):1107-1112
Chiang Kao, Shiuh-Nan Hwang. 2008.Efficiency decomposition in two-stage data envelopment analysis: an application to non-life insurance companies in Taiwan [J]. European Journal of Operational Research, 185(1): 418–429.
Chung Y H, F?re R, Gorsskopf S.1997. Productivity and undesirable outputs: A directional distance function approach.[J]. Journal of environmental management, 51:229-240
Cook W D., Green R H.2005. Evaluating power plant efficiency: a hierarchical model. Computers & operations research,32:813-823
Cook W D., Green R H., Joe Zhu. 2006. Dual-role factors in data envelopment Analysis[J].IIE Transactions,38:105-115.
Cooper W W, Seiford L M, Zhu J.2004. Handbook on data envelopment analysis. Boston: Kluwer Academic Publishers
Entani Tomoe, Maeda Yutaka, Tanaka Hideo.2002. Dual models of interval DEA and its extension to interval data[J].European Journal of Operational Research, 136(1): 32-45
F?re R, Grosskopf S.1985.A nonparametric cost approach to scale efficiency[J]. Journal of Economics,87: 594-604.
F?re R, Grosskopf S.1996. Productivity and intermediate products: a frontier approach.[J] Economics Letters, 50: 65-70.
F?re R, Grosskopf S. 2000.Network DEA[J]. Socio-Economic Planning Sciences, 34: 35-49.
F?re R, Grosskopf S, Lovell CAK. Et al.1989. Multilateral productivity comparisons when some outputs are undesirable: a nonparametric approach[J]. The Review of Economics and Statistics,71: 90–98.
Farrell M J. 1957. The measurement of production efficiency[J].Journal of Royal Statistical Society, Series A, General, 120, Part 3: 253-281.
Hua Z S., Bian Y W, Liang L. 2007.Eco-efficiency analysis of paper mills along the Huai River: An extended DEA approach[J]. Omega, 35:578– 587.
Jahanshahloo G R., Afzalinejad M.2006. A ranking method based on a full-inefficient frontier[J]. Applied Mathematical Modelling, 30:248-260.
Kordrostami S., Amirteimoori A. 2005. Un-desirable factors in multi-component performance measurement[J]. Applied Mathematics and Computation, 171 : 721-729.
Lewis H F, Sexton T R. 2004.Network DEA: efficiency analysis of organizations with complex internal structure[J]. Computers & Operations Research, 31: 1365-1410.
Moon Young Seok. 1996. Productive energy consumption and economic growth: An endogenous growth model and its empirical application[J]. Resource and Energy Economics,9:42-50,63.
Nagano F, Yamaguchi T, Fukukawa T.1995.DEA with fuzzy output data[J]. Journal of Operational Research Society,40(3):425-429.
Pareto V. 1906. Cours d'economie politique[M].Geneva: Libraire Droz, 125-167
Peijun Guo, Hideo Tanaka. 2001. Fuzzy DEA: a perceptual evaluation method[J].Fuzzy Sets and Systems,119(1):149-160.
Pekka J K, Mikulas L. 2004.Eco-efficiency analysis of power plants: An extension of data envelopment analysis[J]. European Journal of Operational Research, 154: 437–446.
Reinhard S., Lovell C A K., Thijssen G J.2000. Environmental efficiency with multiple environmentally detrimental variables: estimated with SAF and DEA[J]. European Journal of Operational Research, 121: 287–303.
Sarkis J., Talluri S. 2004. Ecoefficiency measurement using data envelopment analysis: research and practitioner issues[J]. Journal of Environmental Assessment Policy andManagement,6(l):91-123
Seiford L M., Thrall R M. 1990.Recent developments in DEA, The mathematical programming approach to frontier analysis[J]. Journal of Econometrics,46:7-38.
Seiford L M , Zhu J.2002. Modeling Undesirable Factors in Efficiency Evaluation[J]. European Journal of Operational Research, 142 (1): 16- 20.
Shephard R W. 1970. Theory of cost and Production functions[M]. Princeton: Princeton University Press, NJ
Sueyoshi T. 2000. Stochastic DEA for restructure strategy: an application to a Japanese petroleum company[J].Omega,28:385-398
Varian H.1984.The Nonparametric Approach to Production Analysis[J]. Econometrica, 54:579-97.
Vencheh A H, Matin R K, Kajani M T. 2005.Undesirable factors in efficiency measurement[J]. Applied Mathematics and Computation, 163: 547–552.
Wang C H., Gopal R, Zionts S.1997. Use of data envelopment analysis in assessing information technology impact on firm performance[J]. Annals of Operations Research, 73: 191-213.
毕功兵,梁樑，杨锋.2007.两阶段生产系统的DE A效率评价模型[J].中国管理科学,15(2):92-96
卞亦文. 2006.基于DEA理论的环境效率评价方法研究[D]: [博士] .合肥:中国科学技术大学
卞亦文.2009.基于DEA的环境绩效评价研究现状及拓展方向[J].商业时代,6:64-65.
曹刚,杨正见.2001.环境质量与经济增长的库兹涅茨关系量化探讨[J].环境保护,6:21-22
董秀海,胡颖廉,李万新.2008.中国环境治理效率的国际比较和历史分析——基于DEA模型的研究[J].科学学研究,26(6):1221-1230.
范金,沈洁,包振强等.2001.生态经济投入占用产出的多目标优化模型及求解[J].系统工程理论与实践,21(5):75-81.
国家统计局.2009年国民经济和社会发展统计公报.
洪钢.1998.生命周期分析法——环境评估的有效工具[J].环境保护,6:29-31
雷明.1996.资源—经济一体化核算研究[J].系统工程理论与实践,16(9):42-50
申玉铭,方创琳.1996.区域PRED协调发展的有关理论问题[J].地域研究与开发,15(4):19-22.
盛昭瀚,朱乔,吴广谋.1996.DEA理论,方法与应用[M].北京:科学出版社
王波,张群,王飞.2002.考虑环境因素的企业DEA有效性分析[J].控制与决策,1:24-28
魏权龄.1988.评价相对有效性的DEA方法――运筹学的新领域[M].北京:中国人民大学出版社
魏权龄.2004.数据包络分析[M].北京:科学出版社
吴承业,袁达.2000.中国工业经济与环境协调发展的经济计量分析[J].数量经济技术经济研究,17(10):15-17.
谢艾国,罗英,王应明.1999.时序DEA的理论与方法研究[J]系统工程与电子技术21(11): 1-4
杨锋.2006.含有多个子系统的决策单元的DEA效率评估研究[D]: [博士] .合肥:中国科学技术大学
杨锋,梁樑,查勇等.2008.基于完全包络面的DEA Super效率评价方法[J].管理科学, 21(4):69-74.
姚愉芳,贺菊煌.1998.中国经济增长与可持续发展—理论、模型与应用[M].社会科学文献出版社
曾嵘,魏一鸣,范英等.2000.人口、资源、环境与经济协调发展系统分析[J].系统工程理论与实践,20(12):1-6.
周泽昆,陈廷.1986.评价管理效率的一种新方法[J].系统工程,4(4):42-49.
Afriat, S.N. 1972. Efficiency Estimation of Production Functions[J]. International Economic Review, 13: 568-98
Banker R D, Charnes A, Cooper W W.1984. Some models for estimating technical and scale inefficiencies in data envelopment analysis[J]. Management Science, 30: 1078-1092.
Bithas Konstantions, Nijkamp Peter. 1996. Environmental-economic modeling with semantic insufficiency and factual uncertainty[J]. Environmental System, 25(2):167-183.
Byrnes P., Faer R., Grosskopf S.1984.Measuring productive efficiency: An application to Illinois strip mines[J]. Management Science, 30: 671-681
Charnes A, Cooper W W, Rhodes E. 1978. Measuring the efficiency of decision making units[J]. European Journal of Operational Research, 2: 429-444.
Charnes A, Cooper W W., Wei Q L.1986. A semi-infinite multicriteria programming approach to data envelopment analysis with many decision-making units, Center for Cybernetic Studies Report CCS 551, Sep.
Charnes A, Cooper W W., Wei Q L. et al. 1989. Cone ratio data envelopment analysis and multi-objective programming[J]. International Journal of Systems Science, 20(7), 1099-1118.
Chen Y, Liang L, Yang F, Zhu J.2006. Evaluation of information technology investment: a data envelopment analysis approach[J]. Computers & Operations Research, 33: 1368-1379.
Chiang Kao. 2009. Efficiency measurement for parallel production systems[J]. European Journal of Operational Research,196(3):1107-1112
Chiang Kao, Shiuh-Nan Hwang. 2008.Efficiency decomposition in two-stage data envelopment analysis: an application to non-life insurance companies in Taiwan [J]. European Journal of Operational Research, 185(1): 418–429.
Chung Y H, F?re R, Gorsskopf S.1997. Productivity and undesirable outputs: A directional distance function approach.[J]. Journal of environmental management, 51:229-240
Cook W D., Green R H.2005. Evaluating power plant efficiency: a hierarchical model. Computers & operations research,32:813-823
Cook W D., Green R H., Joe Zhu. 2006. Dual-role factors in data envelopment Analysis[J].IIE Transactions,38:105-115.
Cooper W W, Seiford L M, Zhu J.2004. Handbook on data envelopment analysis. Boston: Kluwer Academic Publishers
Entani Tomoe, Maeda Yutaka, Tanaka Hideo.2002. Dual models of interval DEA and its extension to interval data[J].European Journal of Operational Research, 136(1): 32-45
F?re R, Grosskopf S.1985.A nonparametric cost approach to scale efficiency[J]. Journal of Economics,87: 594-604.
F?re R, Grosskopf S.1996. Productivity and intermediate products: a frontier approach.[J] Economics Letters, 50: 65-70.
F?re R, Grosskopf S. 2000.Network DEA[J]. Socio-Economic Planning Sciences, 34: 35-49.
F?re R, Grosskopf S, Lovell CAK. Et al.1989. Multilateral productivity comparisons when some outputs are undesirable: a nonparametric approach[J]. The Review of Economics and Statistics,71: 90–98.
Farrell M J. 1957. The measurement of production efficiency[J].Journal of Royal Statistical Society, Series A, General, 120, Part 3: 253-281.
Hua Z S., Bian Y W, Liang L. 2007.Eco-efficiency analysis of paper mills along the Huai River: An extended DEA approach[J]. Omega, 35:578– 587.
Jahanshahloo G R., Afzalinejad M.2006. A ranking method based on a full-inefficient frontier[J]. Applied Mathematical Modelling, 30:248-260.
Kordrostami S., Amirteimoori A. 2005. Un-desirable factors in multi-component performance measurement[J]. Applied Mathematics and Computation, 171 : 721-729.
Lewis H F, Sexton T R. 2004.Network DEA: efficiency analysis of organizations with complex internal structure[J]. Computers & Operations Research, 31: 1365-1410.
Moon Young Seok. 1996. Productive energy consumption and economic growth: An endogenous growth model and its empirical application[J]. Resource and Energy Economics,9:42-50,63.
Nagano F, Yamaguchi T, Fukukawa T.1995.DEA with fuzzy output data[J]. Journal of Operational Research Society,40(3):425-429.
Pareto V. 1906. Cours d'economie politique[M].Geneva: Libraire Droz, 125-167
Peijun Guo, Hideo Tanaka. 2001. Fuzzy DEA: a perceptual evaluation method[J].Fuzzy Sets and Systems,119(1):149-160.
Pekka J K, Mikulas L. 2004.Eco-efficiency analysis of power plants: An extension of data envelopment analysis[J]. European Journal of Operational Research, 154: 437–446.
Reinhard S., Lovell C A K., Thijssen G J.2000. Environmental efficiency with multiple environmentally detrimental variables: estimated with SAF and DEA[J]. European Journal of Operational Research, 121: 287–303.
Sarkis J., Talluri S. 2004. Ecoefficiency measurement using data envelopment analysis: research and practitioner issues[J]. Journal of Environmental Assessment Policy andManagement,6(l):91-123
Seiford L M., Thrall R M. 1990.Recent developments in DEA, The mathematical programming approach to frontier analysis[J]. Journal of Econometrics,46:7-38.
Seiford L M , Zhu J.2002. Modeling Undesirable Factors in Efficiency Evaluation[J]. European Journal of Operational Research, 142 (1): 16- 20.
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