环境约束下中国与世界主要国家技术效率和生产率的测度与比较  

Measurement and Comparison of Technical Efficiency and Productivity between China and Major Countries in the World under Environmental Constraints

作　　者：程时雄[1,2] 陈利鹏 Cheng Shixiong;Chen Lipeng(School of Business,Hubei University,Wuhan 430062,China;Open Economy Center,Hubei University,Wuhan 430062,China)

机构地区：[1]湖北大学商学院,武汉430062 [2]湖北大学开放经济研究中心,武汉430062

出　　处：《技术经济》2022年第12期1-11,共11页Journal of Technology Economics

基　　金：国家自然科学基金青年科学基金“雾霾治理下中国绿色经济增长研究:基于绿色技术创新视角”(19AJL004)。

摘　　要：运用含非期望产出的超效率SBM(slack based measure)模型和GML(global Malmquist-Luenberger)指数,对中国与世界主要国家1991—2016年的分别在考虑和不考虑环境约束下的技术效率和全要素生产率进行测度与比较。研究发现,不考虑环境约束的测度结果忽略了一国发展所造成的污染损失,导致技术效率与生产率被高估;中国的技术效率在考虑环境因素后显著下降,总效率排名从样本中的第16位下降至第40位。时间趋势上,中国的环境效率与技术效率的差距呈现先扩大后缩小,且近年来有逐渐趋同的态势;动态视角上,不考虑环境约束时中国的全要素生产率变化总体呈现增长趋势,但在考虑环境因素后中国的环境全要素生产率转变为下降趋势,这其中,技术进步的下降是影响环境全要素生产率变化的主要因素。Using the super-SBM(slack based measure)model with undesirable output and GML(global Malmquist-Luenberger)index,the technical efficiency and total factor productivity of China and other major countries in the world from 1991 to 2016 were measured and compared,respectively,with and without considering environmental constraints.It is found that the measurement results without considering environmental constraints ignore the pollution loss caused by a country’s development,which leads to the overestimation of technical efficiency and productivity.China’s technical efficiency dropped significantly when environmental factors were taken into account,with the overall efficiency ranking dropping from 16th to 40th in the sample.In terms of time trend,the gap between environmental efficiency and technical efficiency in China first widened and then narrowed,and there was a trend of gradual convergence in recent years.From the dynamic perspective,the change of China’s total factor productivity shows an overall growth trend without considering environmental constraints,but it turns to a downward trend after considering environmental factors.Among them,the decline of technological progress is the main factor affecting the change of China’s total factor productivity.

关 键 词：环境约束 超效率SBM(slack based measure)模型 GML(global Malmquist-Luenberger)指数 技术效率 环境全要素生产率 

分 类 号：F124.6[经济管理—世界经济]