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1、非期望产出的处理Seiford 和 zhu 在 2002 提出的线性数据函数转换方法，即令转换后的 Z j 当作期望产出进行处理，加入到传统的 DEA 效率模型中。根据节约能源的要求，且中间产物会影响第二阶段的效率考虑两阶段环境效率评价中希望污染物越小越好，根据传统 DEA 中投入越小越好的观点，因此在 DEA 关于环境效率评价相关文献中，有很多学者将污染物作为投入指标来处理。污染物作投入法有其自身的合理性，因为在很多生产过程中，尤其是工业生产，由于技术原因或化学反应，伴随着能源的投入，污染物会同时出现在生产过程中，那么说明有污染的物质本身就是投入的成分，所以无论采用何种技术，污染物总是存在的
2、。这种关系使得有益的产出总是伴随着一定的资源投入和非期望的污染物，有益的期望产出越多同时意味着资源投入和污染物也越多，期望产出越少对应着资源投入和污染物也越少。这种期望产出与非期望产出之间一同增减的关系与生产函数中的投入产出关系几乎是一致的。Measuring environmental performance in Chinas industrial sectors with non-radial DEA国家目标2015 年工业 能源消耗和 CO2 的排放量降低 16%，17% 。与 2010 相比 2015 工业产值增加 18%，固体废物的利用率达 72%Desirableandundes
3、irableoutputsarenull-joint,i.e.if(x ,y ,q) S andq =0,theny .Thisassumptionsaysthatundesirableoutputsmustbeproducedinordertoproducedesirableoutputs.TheonlywaytoremovealltheundesirableOutputsistoceasetheproductionprocessEPI=min 非期望/max 期望CO 2 intensity CO 2 emission per unit of GDPCO 2 productivity Th
4、e ratio of GDP to CO 2 emission, that is, CO 2 productivity is the reciprocal of CO 2 intensityCO 2 emission per capita The ratio of CO2 emission to populationEmbodied CO 2 emission in tradeCalculation is implemented by taking CO 2 emission transfer in international trade Measuring environmental per
5、formance with stochastic environmentalDE A: T he c as e o f A PE C e c o no mi esCo2 emissionChinas regional energy and environmental efficiency: A Range-Adjusted Measure based analysisThe input variables are (i) Total energy consumption which mainly involves the consumption of coal, oil, and natura
6、l gas. They are all converted to the standard coal equivalent (million tonnes of coal equivalent, tce). (ii) Labor (thousand employees). (iii) Capital stock (billion RMB). The desirable/good output variable is gross domestic product (GDP) (billion RMB). The undesirable/bad output variable is CO2emis
7、sions (million tonnes of CO2). The data of labor, energy consumption, GDP are obtained from China Statistical Yearbook and China EnergyStatistical Yearbook of 20072011The data set of labor and GDP is collected fromStatistical Yearbook of China 2010, and the data on energy inputs areobtained from Chi
8、na Energy Statistical Yearbook 2010. The data oncapital stock in 1952 prices are obtained based on the results ofShan(2008),whicharealsousedbyGuo et al. (2011)andWang et al.(2012).ThedataonCO2 emissionsisestimatedbyusingEq.Regional differences of environmental efficiency of Chinas energy utilization
9、 and environmental regulation cost based on provincial panel data and DEA method(3) Capital investment. Most studies suggest that capital stock is an ideal substitute index for capital investment, and this paper also follows this practice. Because the data of capital stock cannot be obtained from th
10、e China Statistical Yearbook, perpetual inventory method proposed by Goldsmith 32 is used to estimate capital stock of each province, and theformula is: Kj,t = Ij,t + (1 )Kj,t . And Kj,tis the capital stock of j province in the time of t , is depreciation rate, Ij,tis the investment of j province in
11、 the time of t . The algorithm can be found in the study of Zhang et al. 33.(4) 资本投入 : 资本存量的估算是一个相当复杂过程多数研究采用永续盘存法估算了各地区固定资本存量计算方法 : K it = Iit + ( 1 - i) K it - 1 。 其中 K it 是地区 i 第 t 年的资本存量 , Iit 是地区 i 第 t 年的投资 , i 是地区 i 固定资产折旧率 。 单豪杰 ( 2008) 利用国家统计局最近基于经济普查和年度修正的最新数据资料 , 在对基期资本存量和折旧率确定进行细致推算基础上 ,
12、重新估算了 1952 - 2006 全国省际资本存量 。 我们参考单豪杰 ( 2008) 已有成果 , 并严格按照其计算方法把资本存量扩展到 2007 年CO2 emission Zfixedassets Zenergyconsumption ZCO2emission ZGDP Zlaborincludec:ProgramFilesSPSSIncSPSS16SamplesEnglishridge regression.sps.QA3AW8U62Z4ZWTSPV44VXI65P59OLE547WHIQVZYWLARL9JEYQEGDUBLH8Z3ZCJAL3FLXMS98V95TSDYI7FOEXUPRR
