基于数据包络分析法的区域生态效率评价研究——以内蒙古为例

生态效率是衡量生态发展水平的重要指标,反映了经济发展中利用自然资源减轻环境压力的效率。将数据包络分析(DEA)方法运用到生态效率的实证研究当中,对内蒙古地区2001～2009年的生态效率进行测度和评价。结果表明CO2、工业固体废物、工业废气、工业废水等污染物的排放及能源的消耗成为影响内蒙古地区生态效率的主要因素。总之粗放型经济增长方式制约区域生态效率的改善,技术水平的提高和规模效益的达成是提高生态效率、实现节能减排的根本途径。     

区域生态经济评价模型及实证研究

生态效率是基于环境一经济系统相互关系的定量描述，搭建了经济效益和环境效益之间的桥梁。基于区域生态效率增长与环保投入的平衡关系，本文构建了区域生态经济评价模型，以反映一个地区在一定环保投入条件下的环境改善效果，并对中国30个城市的经济环境协调状况进行综合评价，力求为现阶段中国区域生态经济状况提供新的可行评价方法。     

Dynamic environmental performance analysis: A Malmquist index approach

This article presents a general framework for dynamic environmental performance analysis by generalizing the approach proposed by Kuosmanen and Kortelainen [Kuosmanen, T., Kortelainen, M., 2005. Measuring Eco-Efficiency of Production with Data Envelopment Analysis. Journal of Industrial Ecology 9(4), 59-72.] from a static to a dynamic setting. For this purpose we construct an environmental performance index (EPI) by applying frontier efficiency techniques and a Malmquist index approach. Compared to other dynamic environmental productivity and efficiency analysis approaches based on these methods, our approach builds on the standard definition of eco-efficiency as it is presented in the ecological economics literature. Recognizing the importance to analyze the sources of environmental performance changes, we show how changes in overall environmental performance can be decomposed into changes in relative eco-efficiency and shifts in environmental technology, respectively. We apply the presented technique at the macro level to dynamic environmental performance analysis of 20 member states of the European Union in 1990-2003. According to the results, environmental technical change mostly explains the improvement in overall environmental performance, while relative eco-efficiency change has been minor for most countries during the sample period.     

中国地区工业的生态效率测度及趋同分析：2003—2010年

生态效率兼顾经济活动的生态效益和经济效益,在一定程度上反映了经济可持续发展水平,其综合评价有助于探索经济发展方式转变的路径。2003—2010年中国大陆31个省份的工业生态效率测度及趋同分析表明：我国工业生态效率普遍偏低,其省际差异和年际变化差异都较大,而且存在明显的生态效率趋同。为进一步改善我国各省的工业生态效率,既要广泛搭建技术转移平台以促进先进技术推广,还要大力提高落后地区的技术能力以促进先进技术的充分吸收和利用。     

Eco-efficiency guiding micro-level actions towards sustainability: Ten basic steps for analysis

This paper looks at the compatibility between technological improvements at the micro-level and sustainability at the macro-level. The two main approaches to prevent environmental degradation are technological improvement and economic degrowth. How do we establish the sustainability of technological options? LCA-type analysis of the technology system, combined with economic cost analysis, offers a first integrated eco-efficiency score. However, such a technology analysis focuses on micro-level technology relations only, is usually too optimistic and ignores other constraints implied in a choice.Fitting more comprehensive knowledge into the sustainability evaluation of options requires a unifying systematic framework, which is worked out in the present paper as a ten-step procedure. The integrative framework for empirical analysis is ultimately a comparative-static systems analysis at macro-level, not in a deterministic dynamic mode, which is impossible, but as a knowledge-fed scenario analysis. The analysis shows the change in society's overall eco-efficiency, combining total value creation with total environmental impacts.Possible domains of application include not only technology choices like those in eco-innovation, including changed consumption styles and volumes, but also changes in policies regarding technologies and markets, whether direct policy shifts or indirect changes through institutional adaptations. Ultimately, such a framework also allows culturally framed questions about the type of society we would like to live in, to be analysed in terms of their economic and environmental consequences.     

Cost data quality considerations for eco-efficiency measures

Cost data are a central aspect of eco-efficiency measures, either as means to assess value of production, or, more directly, as one dimension of the efficiency ratio. Several aspects may affect the quality of cost data, among them definitions, time and space, and confidentiality issues. Somewhat surprisingly, cost data quality has received little attention in the field of sustainability and eco-efficiency so far. Even worse, perhaps, is the lack of tools suitable for a cost data quality assessment and management.This paper discusses parameters that affect cost data quality, and will then propose a pedigree matrix as a tool designed for managing cost data quality issues. The application of the matrix is described, also in combination with a previously proposed, and broadly used, pedigree matrix for environmental data quality management.     

绿色增长视角下不可再生能源效率测度模型的构建及实证分析

系统整合MFA方法、DEA方法和生态效率评价法,构建了绿色增长视角下的全要素不可再生能源效率测度模型。定义了全要素不可再生能源效率测度指标体系,其中投入指标包括不可再生能源、人力资源、资本资源、科技资源以及不可再生能源的隐藏流,产出指标包括经济价值和环境正影响。对1953—2012年中国的全要素不可再生能源效率以及不可再生能源的经济效率、环境效率和生态效率进行了测算和分析。研究结果表明:所构建的全要素不可再生能源效率测度模型不仅可用于测算全要素不可再生能源效率,而且可用于测算不可再生能源在开发和利用过程中的经济价值、环境影响和生态代价,是一个符合绿色增长理念的、较科学而全面的不可再生能源效率测度模型。     

环保政策约束下的企业生产拥挤DEA模型分析

在环境效率分析中引入环保政策,在分析政策因素对期望产出和污染物影响的基础上,提出了带有政策因素的DEA模型。在此基础上,分析了污染物不可强处理的情况下发生的生产拥挤现象,并给出了生产拥挤的评价指标。最后,采用淮河流域造纸厂的实例对文章提出的方法进行了详细的分析。由于模型中采用政策变量选择参考单元,在效率评价中消除政策因素对决策单元相对效率的影响,由此而确定的生产拥挤的评价指标,能够反映由于环境管制对经济效益的影响,这将为环境管理问题的决策提供更为精确的参考信息。     

Measuring inefficiency in the presence of bad outputs: Does the disposability assumption matter?

Multiple approaches to incorporate environmental pollution in production technologies have been proposed. In this paper, we analyze the consequences of these theoretical models for applied research. Our comparison focuses on alternative disposability assumptions imposed on bad outputs and their effects on the measurement of productive efficiency. Using empirical data on electricity generation in the US, we quantify and analyze differences among the theoretical models. Moreover, Monte Carlo simulations are conducted to evaluate the ability of the models to correctly estimate inefficiency given varying specifications of the pollution-generating process.     

新型城镇化进程中长三角城市群生态效率的时空演变及影响因素

长三角城市群城镇化的快速推进带来经济效益的同时,生态文明建设相对滞后的矛盾日益凸显,生态效率的研究对于协调城镇化发展与生态文明建设的意义重大。基于2003-2017年长三角26市的面板数据,以改进的熵权TOPSIS计算新型城镇化水平,通过随机前沿模型量化生态效率,运用空间混合模型分析其与新型城镇化的关系及影响因素,结果表明:①长三角城市群的生态效率保持稳定的增长趋势,生态效率较低的城市拥有更大的提升空间。②较高生态效率的城市分布格局呈"Z"型集聚,长三角城市群已由中等效率主导阶段向较高效率主导阶段转变。③长三角各省市均达到新型城镇化与生态效率二次关系的拐点值,另外,提高能源利用率、合理引入外商投资、以技术推动经济转型能有效提高生态效率。     

中部地区人文发展的生态效率评价

人文发展导向的生态效率研究是对经济发展观向人文发展观和可持续发展观演变的响应。基于生态效率概念演变并对其概念框架进行人文发展导向的拓展,建立生态效率的概念模型便是这一响应的具体体现。通过主成分分析法和功效系数法计算中部6省的环境负荷,进而对1990—2008中部地区省级尺度人文发展的生态效率进行定量评价,以此提出提高中部地区人文发展水平和生态效率的对策建议。     

Eco-efficiency of intensification scenarios for milk production in New Zealand

New Zealand (NZ) dairy farms used to be the lowest input and most efficient dairy farms of the world. However, intensification of the traditional pasture-based system has occurred over the last decade and has not always been accompanied by increased efficiency. The purpose of this paper is to produce an updated reference of the eco-efficiency of NZ dairy farm systems and to analyse the implications of intensification on their eco-efficiency. Results for an average NZ dairy farm system were compared with those for three dairy farmlet systems representing a wide range in intensification practices. A low input system (LI) (no N fertiliser, no brought-in feed supplement, stocking rate of 2.3 cows/ha) was compared with an N-fertilised farm system (NF) (170 kg fertiliser-N/ha/year, 3 cows/ha) representing a first level of intensification and with an N-fertilised and maize silage supplemented system (NFMS) (170 kg fertiliser-N/ha/year, 13 t DM maize silage/ha/year, 5.2 cows/ha), representing a possible future intensification option. Their eco-efficiency in terms of milk production and land use was compared using Life Cycle Assessment (LCA) methodology. NZ dairy farm systems rely on favourable temperate climate conditions and long-term perennial ryegrass/white clover pasture, to achieve eco-efficient milk production and land use compared to European systems. However, intensification of NZ dairy farms was shown to be detrimental to their eco-efficiency in terms both of milk production and land use functions and could greatly reduce their advantage compared to European systems. The eco-efficiency of LI was very high whatever the functional unit which is remarkable from an LCA perspective. NF and NFMS had a similar eco-efficiency except for energy use which corresponded to the most critical hot spot of NFMS. All studied NZ systems presented some areas for improvement where some new technologies available for dairy farms might play a promising role in the future. Finally, it should be highlighted that the comparison with European studies based on the literature available needs validation through a more comprehensive study using harmonised methodology and assumptions across countries.     

西部地区生态效率测度及动态分析 ——基于2000-2010年省际数据

本文尝试以西部地区为研究对象,利用改进的DEA模型,对西部地区2000-2010年的生态效率进行测度,并在此基础上,进一步利用Malmquist指数做动态分析。结果表明,自西部大开发以来,整个西部地区生态效率的均值小于1,未达到最有效的生产前沿,但跨期呈波动上升趋势;省际在效率水平和冗余率两方面存在明显差异;能源的消耗和工业“三废”等污染物的排放是影响非生产前沿面地区生态效率的主要因素;西部地区生态效率提升主要得益于技术进步的贡献,而纯技术效率的贡献不显著,规模效率的贡献为负。     

Data envelopment analysis for measuring economic growth in terms of welfare beyond GDP

Recent discussions about the definition of growth in terms of welfare beyond GDP suggest that it is of urgent need to develop new approaches for measuring the economic performance of firms and national economies. The new concepts should simultaneously take into account economic as well as social and environmental goals. First we present several approaches to productivity measures. Then we extend the data envelopment analysis models with environment indicators in order to measure the so called eco-efficiency and social indicators to take into consideration social performance. For illustration, we perform the analysis of 30 European countries for the year 2010. The last section concerns itself with the possibilities of inter-temporal analysis of the proposed models and their use in ex-ante evaluation of different policy scenarios.     

基于数据包络分析理论的中国区域工业生态效率研究

基于2003～2008年中国30个省、自治区、直辖市的际面板数据,利用数据包络分析模型对中国各省市区的工业生态效率进行总体的分析和评价,并利用删截正态回归模型(Tobit回归模型)分析工业生态效率的影响因素.结果显示,我国区域工业生态效率总体水平较低,然而工业生态效率正逐年好转.大多数省份工业生态效率较低,它们在减少资源投入和环境污染排放方面具有较大潜力.通过聚类分析可以看出,省际、区域间工业生态效率差距较大,促进地区之间的工业技术交流和合作具有重要的意义.工业企业研发投入和外资利用对区域工业生态效率改进有积极作用,而工业污染治理和工业生态效率呈现弱显著正相关关系.     

中国的生态效率指标研究

生态效率概念的发展与应用,将有效地促进经济转型,并缓解经济发展与环境保护的矛盾,实现经济的良性发展。目前国内生态效率研究已经有了一定的理论和实践基础,特别是在循环经济建设、评价领域研究较多。借鉴国内学者根据中国实际情况构建的中国循环经济发展的生态效率指标,分析中国1990—2010年生态效率的发展趋势。     

From groundless universalism to grounded generalism: improving ecological economic indicators of human–environmental interaction

Ecological economics occasionally makes universal claims about how to understand and measure change in systems of human–environmental interaction. In terms of environmental policy, one of the most influential universal concepts that has come out of the ecological economics literature recently is ecological efficiency (or eco-efficiency). This article uses eco-efficiency as a vehicle to illustrate that universal indicators of human–environmental interaction are theoretically unfounded and practically problematic. Population ecology and neo-classical economics are identified as two theoretical approaches that have contributed to the emergence of universal concepts such as eco-efficiency. The limited applicability of the approaches is highlighted by putting them in comparative context with approaches that make less universal claims, namely, systems ecology and institutional economics. Investigating indicators of human–environmental interaction from disciplinary perspectives that are rarely found in indicator literature offers novel insights on what indicators are for and how they should be applied. The article concludes with a call for scale sensitive generalization in the development of future indicators.     

Three pitfalls in the construction of family-based models of population growth

This paper describes 3 pitfalls in the construction of family-based models of population growth which must be avoided if internal consistency and empirical relevance are to be maintained. Models of the family in which the number as well as the quality of children are subject to choice were pioneered by Becker in 1960 and more recently have served as a base for the theoretical analysis of population size. In these economic models of population, family size and bequests are the outcomes of utility-maximizing family decisions, with the utility of each family viewed as depending on family consumption, family size, and prospective welfare of children, while the age structure of the population is an endogenous variable. All the models are static and focus on the properties of steady states. The 1st pitfall concerns the internal logical consistency of the models and consists in the possibility that the typical family's maximization problem may have no solution, even with a well-behaved concave utility function. The other 2 pitfalls concern the consistency of the model with some "gross facts of life", 1 deriving from the possibility that, even when the family's maximization problem has a solution, the phase diagram for the stock of capital may contain no steady state other than the origin, and the other that even when there exists a non-trivial steady state for the stock of capital, the community may nevertheless face extinction. The 3 pitfalls can be avoided if utility and production functions are subjected to more stringent restrictions than are usually found in economic theory.     

黄河流域物流业生态效率及降污潜力研究

物流业高质量发展的一个重要方面是生态化要求。以物流业NOx、PM2.5等污染物排放量为非期望产出,基于SBM-Undesirable和Super-SBM-Undesirable模型,建立物流业生态效率及其三类提升潜力测度体系;在识别三类潜力不同提升效果的基础上,分析2004—2017年黄河流域内外部的物流业生态效率,运用ESDA方法从空间演化角度揭示降污潜力挖掘的重点区域和重点联动区域。分析表明:黄河流域物流业生态效率落后于黄河流域以外区域,且落后差距随时间持续扩大;呈"上游低、中游居中、下游高"的显著性差异,且差异随时间呈稳定趋势;相较于资源节约和增加期望产出,挖掘降污潜力是提升效率、缩小差距的最有效途径;上游是降污潜力挖掘的重点区域,甘肃、青海、山西具有降污强联动性。最后结合研究结论,提出针对性政策建议。