中国煤炭产业效率及其规制效应分析  

Efficiency Levels and Regulation Effects of Coal Industry in China

作　　者：李世祥[1,2] 王剑成[1] 成金华[2] 

机构地区：[1]中国地质大学(武汉)公共管理学院,湖北武汉430074 [2]中国地质大学(武汉)中国矿产资源战略与政策研究中心,湖北武汉430074

出　　处：《中国人口·资源与环境》2015年第11期169-176,共8页China Population,Resources and Environment

基　　金：国家社科基金项目"我国煤碳资源清洁化利用与国家能源安全研究"(编号:10CJY025);国家社科基金项目"我国资源环境问题的区域差异和生态文明指标体系研究"(编号:11&ZD040);国土资源部法律评价工程重点实验室开放基金(编号:CUGFP-1502);中国地质大学(武汉)资源环境经济研究中心开放基金(编号:H2013005A)

摘　　要：由于煤炭资源开发的外部性和能源安全保障需求,政府通过合理的政策规制以提升煤炭产业的效率水平,应该成为煤炭产业政策的主要目标之一。在政府试图对煤炭产业实施再规制的当下,科学考察我国煤炭产业的效率水平,评价现有主要政策对煤炭产业效率的规制效应,具有必要性和现实意义。本文采用中国煤炭企业100强2007-2012年的数据,构建Malmquist指数测算我国煤炭产业的效率水平,并基于SFA方法检验技术水平、安全生产和清洁生产规制对煤炭产业技术效率产生的冲击效应。结果显示:1样本期内,煤炭产业平均全要素生产率相对稳定,但技术效率却出现了恶化趋势;2规模较大企业的全要素生产率和技术效率都高于规模较小企业,而特大型企业的规模效率却不一定高;3技术水平规制对煤炭产业技术效率的正向效应明显,而安全生产和清洁生产规制的负向效应明显。这意味着,要想规制不伤害煤炭产业效率,就要短期内鼓励煤炭企业加大R&D投入以提升效率水平,而中长期要引导煤炭企业循序渐进加大安全投入以避免"暴饮暴食"和"消化不良",并主要通过经济手段支持煤炭企业提高清洁生产水平和努力构建现代煤炭产业体系。同时,应在目前资源整合政策效应已显现的基础上,继续"抓大放小",扶持适度规模的中大型煤炭企业和关停并转小煤矿,以促进整个煤炭产业效率水平提升。Due to the externality of coal exploitation and demand for energy security, improvement of efficiency levels by government＇ s feasible regulation on coal industry should be one of the main targets of the coal industry policy in China. Under the circumstance of government＇ s re-regulation on coal industry, it is necessary and significant to examine the efficiency levels of coal industry in China and evaluate the regulated effects of existing coal industry policy. Therefore, this paper calculates the efficiency levels of Chinese coal industry with Malmquist index, and explores the regulation effects of technical level, security production and clearer production on efficiency with SFA models, by employing a panel data of top 100 coal firms from the year 2007 to 2012. The results show that：① during the sample period, the average TFP of coal industry stays relatively stead while the technical efficiency deteriorates; ②larger coal firms have higher TFP and technical efficiency than smaller ones, while the biggest firms does not mean the highest scale efficiency; ③ R＆D input significantly determines the technical efficiency positively, while safety input and cleaner production separately exerts negative impacts on efficiency. This mean the government should encourage coal firms to input more R＆D in the short run, while leading them to increase security investment step by step in a long run for escaping excessive input or indigestion. Meanwhile, coal firms＇ effort of improving cleaner production and the establishment of modem coal industry system should be supported by the government through strong economic incentives. Besides, to promote the whole efficiency levels of coal industry, the government should assist the medium-sized and larger coal firms with appropriate scale and continue focusing on ＂Invigorating Large Enterprises and Relaxing Control over Small Ones＂based on the presence of effects of consolidated resources policy.

关 键 词：煤炭产业 效率 规制效应 中国 

分 类 号：F062.1[经济管理—政治经济学]