摘要
在环境问题不断恶化的形势下,对中国工业能源效率进行测度并发现提升动力显得尤为重要。现有研究大多采用全要素生产率(Total factor productivity,TFP)方法进行测度,其不足之处在于无法获得方向性距离函数优势并提高测算效率。在中国工业能源效率改善的动力方面,由于缺乏对中国工业自主研发和资本形成内生性特征的认识,现有研究难以揭示其对中国工业能源效率的微观作用机理。鉴于此,本文采用在Malmquist指数基础上发展起来的Luenberger生产率指数,测算了中国工业部门1997-2011年的能源效率变化,然后根据内生增长理论构建自主研发和工业资本影响中国工业能源效率的内生检验模型,并采用系统矩估计(GMM)方法重点检验了自主研发对中国工业能源效率的影响。研究发现中国工业部门全要素能源效率在1996-2011年的改善率达到9.7%。其中,技术进步的整体均值为-0.56%,技术效率的整体均值达到15.3%,反映出中国工业能源效率的生产前沿面在不断退化,而中国工业能源效率距生产前沿面的距离在不断缩小。在计量检验中,发现企业研发支出更容易改善全要素能源效率,而政府研发支出容易抑制全要素能源效率。在分样本检验中,政府研发对重工业技术前沿面移动的促进效应更加显著,但是对轻工业技术前沿面移动的促进效应不明显。资本形成显示出抑制中国工业能源全要素生产率的倾向,而资本深化则发挥着促进作用。根据研究结论,认为应该在能源技术等重工业共性应用领域加大政府研发资助力度;在轻工业领域完善以企业为主体的研发资助体系,通过市场力量传导研发需求压力;通过引进国外先进技术和高技术资本等方式改善中国工业资本结构和质量。
It is valuable to evaluate the energy efficiency of China＇ s industrial trades , as well as to reveal the endogenous promoting forces. For failing to combining the advantage of SBM, traditional methods for evaluating total factor productivity（TFP） used in related papers should be modified. Also, the relationships among R＆D inputs, capital accumulation and energy efficiency have been neglected in related researches. A endogenous model should be developed to describe the relations of the three variables. Then, the industrial energy efficiencies in China have been evaluated during 1997 -2011 based on Luenberger index. The influences of R＆D inputs on the industrial energy efficiencies have also been tested with GMM model. The results show that the TFP had been promoted with 9.7% per year, consisted with -0.56% of the technical progress per year, and 15.3% of efficiency change per year. This results indicated the promotion of efficiency change and the deterioration of technical frontier from 1997 to 2011. The regressions of overall samples show that R＆D expenditures from the government depressed the TFP, while the R＆D expenditures from the enterprises promoted the TFP. With the sub-samples, we can find that R＆D expenditures from the government promoted the technical frontier in heavy industries significantly, but not obviously in slight industries. Capital accumulation depressed the TFP, while the capital deepening promoted the TFP. According to the research results, the R＆D investments from the government should be strengthened in heavy industries as energy technologies. And the R＆D system should be designed by enterprises that are tightly linked to the market in slight industries. Advanced technologies and technology-intensive capital should also be absorbed from seaside.
出处
《中国人口·资源与环境》
CSSCI
CSCD
北大核心
2015年第11期82-87,共6页
China Population,Resources and Environment
基金
国家自然科学基金青年项目"基于自主创新与国际扩展协同驱动的创新集群演进路径及高新区升级战略研究"(编号:71003054)
国家自然科学基金面上项目"基于供应链的产业绿色低碳多重耦合协同演进机制"(编号:71273140)
教育部人文社会科学青年项目"在华外资研发
本土政策供给对区域自主创新网络演化的交互机制研究"(编号:14YJC630051)
江苏高校优势学科建设工程资助
