本文關(guān)鍵詞： SBM模型 技術(shù)效率 規(guī)模效率 全要素能源效率　出處：《東北財(cái)經(jīng)大學(xué)》2013年碩士論文　論文類型：學(xué)位論文

【摘要】：我國(guó)是鋼鐵生產(chǎn)、消費(fèi)和進(jìn)出口大國(guó),已躍居世界第一位,鋼鐵行業(yè)的健康發(fā)展對(duì)我國(guó)國(guó)民經(jīng)濟(jì)的有序運(yùn)行發(fā)揮著重要的作用。2011年鋼鐵行業(yè)的工業(yè)總產(chǎn)值占全國(guó)工業(yè)總產(chǎn)值的10%,鋼鐵是機(jī)械、建筑、汽車、家電、造船等行業(yè)的原料來(lái)源,為國(guó)民經(jīng)濟(jì)的平穩(wěn)、快速發(fā)展提供了非常重要的原材料保障。但是,我國(guó)鋼鐵行業(yè)存在著高投入、高消耗、高排放、高污染等問(wèn)題,造成了大量的資源浪費(fèi),也產(chǎn)生了大量的溫室氣體,破壞和污染了環(huán)境。而研究鋼鐵工業(yè)的能源效率問(wèn)題有助于這些問(wèn)題的解決,本文即在此背景下,基于SBM-DEA模型對(duì)我國(guó)的鋼鐵行業(yè)的能源效率進(jìn)行分析。 DEA模型對(duì)社會(huì)經(jīng)濟(jì)系統(tǒng)的多投入和多產(chǎn)出指標(biāo)的有效性評(píng)價(jià)獨(dú)具優(yōu)勢(shì)。它是基于數(shù)學(xué)規(guī)劃思想,通過(guò)建立線性規(guī)劃模型來(lái)評(píng)價(jià)決策單元之間的相對(duì)效率。在度量和評(píng)價(jià)相似決策單元(DMU)之間的效率與生產(chǎn)率問(wèn)題上,DEA方法得到了廣泛的應(yīng)用,已經(jīng)被證明是十分有效的工具。但是正像Chames等(1978)所批評(píng)的那樣,DEA的相對(duì)效率評(píng)價(jià)思想要求應(yīng)該最大化地減少投入,而同時(shí)產(chǎn)出則必須盡可能地?cái)U(kuò)大。但現(xiàn)實(shí)生產(chǎn)過(guò)程遠(yuǎn)遠(yuǎn)沒(méi)有理想的那樣簡(jiǎn)單,一些生產(chǎn)過(guò)程會(huì)產(chǎn)生很明顯的污染物,這些我們并不希望產(chǎn)生的副產(chǎn)品被稱為“非期望產(chǎn)出”。按照常識(shí)來(lái)講,我們必須盡可能地減少和控制這些非期望產(chǎn)出,經(jīng)濟(jì)效率才有可能達(dá)到最佳狀態(tài)。但是如上所說(shuō),傳統(tǒng)的DEA模型卻只能使非期望產(chǎn)出增加,這與效率評(píng)價(jià)最初的目的不符,因此就必須對(duì)傳統(tǒng)的DEA模型進(jìn)行修正。傳統(tǒng)的DEA模型大都依從徑向和角度來(lái)分析,這樣就無(wú)法充分考慮到投入產(chǎn)出的松弛性問(wèn)題,計(jì)算的效率值也是不準(zhǔn)確的或是有偏的。很多估計(jì)環(huán)境效率的DEA模型在分析時(shí)都忽略了松弛性問(wèn)題,因此也就忽略了由于不同決策單元投入過(guò)多和期望產(chǎn)出不足所導(dǎo)致的經(jīng)濟(jì)無(wú)效問(wèn)題,因而也無(wú)法綜合衡量、比較決策單元DMU的經(jīng)濟(jì)和環(huán)境效率。Tone于2001年提出了一個(gè)直接處理松弛問(wèn)題的SBM模型(Slacks-based model),則較為完美地解決了如上所說(shuō)的問(wèn)題。與傳統(tǒng)CCR和BCC模型相比,SBM模型的不同之處在于它把松弛變量直接放進(jìn)目標(biāo)函數(shù)中,這就解決了松弛問(wèn)題。此外,SBM模型一般以非徑向和非角度的方式測(cè)度效率,避免了徑向和角度選擇差異帶來(lái)的偏差和影響。 本文在具體的分析過(guò)程中,將29個(gè)地區(qū)按照經(jīng)濟(jì)、政治、地理等因素劃分為七大經(jīng)濟(jì)區(qū)。利用SBM模型,選取勞動(dòng)力、資本存量、能源消費(fèi)作為投入,工業(yè)總產(chǎn)值、產(chǎn)品產(chǎn)量、二氧化碳排放量作為產(chǎn)出,估算了我國(guó)29個(gè)省、自治區(qū)、直轄市從1990年到2011年間的鋼鐵行業(yè)的能源效率。研究結(jié)論表明在經(jīng)濟(jì)發(fā)達(dá)的環(huán)渤海和長(zhǎng)江三角經(jīng)濟(jì)區(qū)內(nèi)的北京、上海的效率值始終為1,天津、江蘇、廣東大部分年份的效率數(shù)值為1,而處于生產(chǎn)的前沿面,經(jīng)濟(jì)相對(duì)落后的大西北、大西南地區(qū)的青海、海南的全要素能源效率大部分年份的效率值也為1。從經(jīng)濟(jì)相對(duì)落后的大西北經(jīng)濟(jì)區(qū)的其余省份,到大西南經(jīng)濟(jì)區(qū)、中部六省、中等經(jīng)濟(jì)發(fā)展水平的東北經(jīng)濟(jì)區(qū),再到珠江三角洲經(jīng)濟(jì)區(qū),全要素能源效率表現(xiàn)出逐漸遞增的態(tài)勢(shì)。這說(shuō)明在各個(gè)地區(qū)的鋼鐵行業(yè)中,全要素能源效率與地區(qū)經(jīng)濟(jì)發(fā)展水平呈現(xiàn)一種“U型”的關(guān)系。最后,本文又對(duì)技術(shù)效率進(jìn)行了分解,分解為純技術(shù)效率和規(guī)模效率,期望從技術(shù)和規(guī)模角度找到綜合技術(shù)效率低下的原因。結(jié)論表明鋼鐵行業(yè)能效值既受技術(shù)的影響,也受規(guī)模報(bào)酬的影響。在純技術(shù)效率值為1的情況下,經(jīng)濟(jì)落后地區(qū)的規(guī)模報(bào)酬應(yīng)該遞增,經(jīng)濟(jì)相對(duì)發(fā)達(dá)地區(qū)的規(guī)模報(bào)酬應(yīng)該遞減。根據(jù)實(shí)證分析,最后提出政策建議：促進(jìn)各個(gè)產(chǎn)區(qū)的產(chǎn)能調(diào)整,淘汰鋼鐵行業(yè)的落后產(chǎn)能,促進(jìn)鋼鐵行業(yè)結(jié)構(gòu)優(yōu)化調(diào)整,鼓勵(lì)技術(shù)創(chuàng)新。
[Abstract]:China's iron and steel production, consumption and import and export power, has been ranked first in the world, the healthy development of steel industry and orderly operation of China's economy plays an important role in the total industrial output value of.2011 in the steel industry accounted for 10% of the total industrial output value of iron and steel, machinery, construction, automotive, appliance, shipbuilding etc. industry sources of raw materials for the national economy stable and rapid development provides the raw material security is very important. However, China's iron and steel industry there is a high input, high consumption, high emissions, high pollution and other issues, resulting in a large waste of resources, but also produce large amounts of greenhouse gases, destruction and pollution. The problem of environment. The energy efficiency of iron and steel industry helps to solve these problems, this paper is based on this background, analysis of the iron and steel industry SBM-DEA model for China's energy efficiency based on.
Evaluation of the effectiveness of the DEA model of multi inputs to the social economic system and multi output index has its unique advantages. It is based on the theory of mathematical programming, through the establishment of a linear programming model to evaluate the relative efficiency of DMUs. Evaluation similar decision making unit (DMU) and measure the efficiency and productivity of the problem, obtained by DEA a wide range of applications, has been proved to be very effective tools. But as Chames (1978) which critics do, relative efficiency evaluation of the idea of DEA requirements should minimize input, while output must expand as much as possible. But the real production process is far from ideal as simple as that, some of the production process can produce the pollutant obviously, we don't want these byproducts called "undesirableoutputs." according to common sense, we must as far as possible to reduce and control the Expected output, economic efficiency can reach the best state. But as mentioned above, the traditional DEA model can only increase the undesirable output, and the efficiency evaluation of the original purpose is inconsistent, so we must revise the traditional DEA model. DEA model is the traditional compliance radial and angle, thus unable to fully consider the input-output relaxation problem, the computational efficiency value is inaccurate or biased. Many of the estimated environmental efficiency DEA model ignores the relaxation problem in the analysis, so it is ignored because of the different decision making units put too much and expected output deficiency caused by invalid economic problems therefore, can not be a comprehensive measure, decision making economic and environmental efficiency of.Tone unit DMU SBM model is proposed to deal directly with a relaxed problem in 2001 (Slacks-based model), is more perfect To solve the above mentioned problems. Compared with the traditional CCR and BCC model, the difference of the SBM model is that it combines the slack variables directly into the objective function, which solves the problem of relaxation. In addition, the SBM model with non radial and non angle to measure efficiency, avoid the size difference and angle to choose the deviation and influence.
Based on the analysis of the specific process, the 29 regions in accordance with economic, political, geographical and other factors are divided into seven economic zone. By using the SBM model, selection of labor, capital, energy consumption as the input, output the total industrial output value, product, carbon dioxide emissions as output, estimated in 29 provinces, autonomous China from 1990 to 2011, the steel industry's energy efficiency municipalities. Research results indicate that the economic zone in the economically developed Yangtze River Delta around Bohai and Beijing in Shanghai, the efficiency value is always 1, Tianjin, Jiangsu, Guangdong, most of the year for the numerical efficiency of 1, and in the production frontier, the economy is relatively behind the great northwest, southwest of Qinghai, Hainan efficiency total factor energy efficiency of most of the year for the value of 1. provinces in the Northwest Economic Zone from the rest of the economy is relatively backward, to the southwest economic area, the six central provinces, in The Northeast Economic Zone economic development level, and then to the Pearl River Delta Economic Zone, the total factor energy efficiency showed a gradually increasing trend. This shows that in the various regions of the iron and steel industry, the relationship between total factor energy efficiency level and regional economic development is a kind of "U". Finally, this article also made the decomposition of technical efficiency is decomposed into pure technical efficiency and scale efficiency, expect to find low technical efficiency from the point of view of technical and scale reasons. Results show that the steel industry energy efficiency value is not only influenced by the technology, is also affected by the return to scale. The pure technical efficiency value is 1, returns to scale in economically backward regions should the increasing returns to scale, the economy is relatively developed areas should decline. According to the empirical analysis, finally puts forward the policy recommendations: to promote all areas of production capacity adjustment of iron and steel industry, eliminate backward production capacity, promote the iron and steel The structure of the industry is optimized and adjusted to encourage technological innovation.

【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F426.31;F224

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 程丹潤(rùn);李靜;;環(huán)境約束下的中國(guó)省區(qū)效率差異研究:1990—2006[J];財(cái)貿(mào)研究;2009年01期

2 王維國(guó);馬越越;;中國(guó)區(qū)域物流產(chǎn)業(yè)效率——基于三階段DEA模型的Malmquist-luenberger指數(shù)方法[J];系統(tǒng)工程;2012年03期

3 李金穎;成云雪;;基于超效率DEA方法的全要素能源效率分析[J];工業(yè)工程;2012年01期

4 杜春麗;;基于DEA的我國(guó)鋼鐵企業(yè)節(jié)能減排潛力研究[J];工業(yè)技術(shù)經(jīng)濟(jì);2011年07期

5 王喜平;姜曄;;基于非期望產(chǎn)出和環(huán)境管制的省際能源效率研究[J];工業(yè)技術(shù)經(jīng)濟(jì);2011年11期

6 吳琦;武春友;;基于DEA的能源效率評(píng)價(jià)模型研究[J];管理科學(xué);2009年01期

7 金培振;張亞斌;李激揚(yáng);;能源效率與節(jié)能潛力的國(guó)際比較——以中國(guó)與OECD國(guó)家為例[J];世界經(jīng)濟(jì)研究;2011年01期

8 陳凱;史紅亮;;中國(guó)鋼鐵行業(yè)全要素生產(chǎn)效率實(shí)證分析[J];經(jīng)濟(jì)問(wèn)題;2011年01期

9 史紅亮;陳凱;;我國(guó)鋼鐵行業(yè)全要素能源效率實(shí)證分析——基于省際面板數(shù)據(jù)[J];經(jīng)濟(jì)問(wèn)題;2011年09期

10 李玲;陶鋒;;污染密集型產(chǎn)業(yè)的綠色全要素生產(chǎn)率及影響因素——基于SBM方向性距離函數(shù)的實(shí)證分析[J];經(jīng)濟(jì)學(xué)家;2011年12期

，

本文編號(hào)：1447868