技术存量效应、真实效率追赶与中国低碳TFP核算——基于RAM与序列Malmquist-Luenberger指数  

Technology Stock Effect,Real Efficiency Catch-up and China’s low-carbon TFP Accounting Based on RAM and Serial Malmquist-Luenberger Index

作　　者：李涛[1,2] 陈碧琴[1] 何雪峰[1] 

机构地区：[1]重庆理工大学财会研究与开发中心,重庆400054 [2]重庆大学经济与工商管理学院,重庆400044

出　　处：《管理工程学报》2013年第3期116-123,共8页Journal of Industrial Engineering and Engineering Management

基　　金：国家自然科学基金资助项目(70941029/G0301)

摘　　要：传统以GDP为导向的TFP核算已经难以适应中国发展经济发展方式转变的现实。本文采用新发展的非径向DEA方法 -双重产出RAM模型与序列Malmquist-Luenberger框架构建了中国低碳TFP指数,继而基于TFP分解研究了技术存量效应和效率追赶效应,并检验了低碳TFP的收敛性。研究发现碳排放纳入核算明显拉低了中国TFP增长,中国粗放经济模式付出了的高额环境代价;2006年后技术进步成为TFP增长的主要引擎;地区间存在明显的追赶效应;中国整体上不存在绝对收敛,但存在条件收敛。Local government accounting system has been putting too much emphasis on GDP growth and facing the dilemma betweeneconomic development and carbon reduction. The new productivity analysis framework needs to consider the potential impact of carbon dioxide production on economic productivity. The conventional TFP measures （ such as Tornqvist index, Fischer index, Malmquist index ） are not capable of accounting productivity constrained by resource and environment. Chung developed the directional distance function （DDF） from Shephard distance function, and further built the Malmquist-Luenberger （ML） index to achieve non-parameter measurement of environmental sensitivity TFP based on DDF. However, DDF is a radial and oriented DEA method. ＂Radial＂ means that input or output is required to change in the same proportion during the evaluation of efficiency. When non-zero slack exists, radial measure will overestimate efficiency of the DMU. ＂Oriented＂ means that when efficiency is evaluated choice must be made between cost minimization based on constant input and income maximization based on constant output. Under the condition of variable return to scale, conflict occurs between efficiency values of the same DMU based on the calculation of the two orientations. In addition, ML index based on the current production possibility set （PPS） cannot avoid impact from external factors such as macroeconomic fluctuations, which lead to misjudgment of technical recession and efficiency deterioration. In order to resolve the abovementioned problems, this paper uses a new non-radial and non-oriented DEA model--RAM （Range Adjusted Measure） and sequential Malmquist-Luenberger （SML） index -- to estimate China＇ s low carbon TFP. Specifically, this paper has three primary objectives. First, we expand RAM model with undesirable outputs of sequential RAM model and estimate unified efficiency measurement of GDP growth and carbon dioxide emissions of China＇ s 29 provincial regions. Second, according to seque

关 键 词：TFP 非径向DEA RAM 序列Malmquist-Luenberger指数 

分 类 号：F061.5[经济管理—政治经济学]