: D EA 3,,,, 2005 2007 30 ( ),,,, DEA,, 5, 2005 20%, 2005 10%, 3 : 310018 : xiaochu@ zstu. edu. cn; : 361005 : dlm sos@ hotmail. com; : 310018 : smhsmh@zstu. edu. cn 2009 PACE, -, (08AJY031 08BJL050) (09YJA820074 09YJC790167) 2010 3 141
: D EA, 2006 2007, GDP 1. 79% 3. 66%, 2008 4. 21%, SO 2 4. 2%, 2008,,,,,,,,? :,,,,,, 20% 10%,,,,, (, 2008)?,,,,, (, 2008),,,,?, (, 2007),,,,??, 2007, 2010 3 142
, :, 20% 10%?,,?,,?,,?,, ; ;,,,,,,,, Hu W ang (2006), DEA,, 1,, 10% 20%,, 1 /8, PPP,, (2004), (2005), (2005), (2007) 2010 3 143
: D EA ( ) 1 SS, ( ), C D, A,, Farrell (1957), A OA /OA, C Pareto, A CA A : AA, AA ; A C, (AA +A C) A C,,,,, 1, : EE i, t = TE I i, t / E i, t = ( E i, t - L E I i, t ) / E i, t (1) EE i, t ( Energy Efficiency) i t, TE I i, t ( Target Energy Input), E i, t, L EI i, t ( loss energy input), (1) S PE i, t ( saving potential of energy), : S PE i, t = L E I i, t / E i, t (2),,,, SPE + EE = 1 DEA, (1) TE I, E EE L E I SPE ( ),, DEA Cooper (2000), Coelli (2005) 1 A C, AA A C, Hu and W ang ( 2006), (2007) 2010 3 144
,,,, GDP,,,,, ( Scheel, 2001), : INP (L iu and Sharp, 1999), ADD (Berg et al, 1992) TR (A li and Seliford, 1990) ; MLT ( Golany and Roll, 1989; Lovell et al., 1995), Fare ( 1989) Chung (1997) (D irectional D istance Function),,,, : MLT, Scheel(2001), MLT Banker (1984), T = { ( x, y) T X x, T Y y, 0, T e = 1}, MLT f k i (B ) = 1 b k i, B, : T ML T : T w ith Y = f B, v,,, i t A PP i, t (Abatement Potential of Pollution) : A PP i, t = (A P i, t - TP i, t ) /A P i, t (3) A P i, t (Actural Pollution), TP i, t ( Target Pollu2 tion) A PP,,, (2008), Scheel(2001), (2008) (2008),,, MLT, MLT, b i k, BCC, : h k y = max, s. t. T X x k, T Y y k, T e = 1, 0, Y, Y = ( f (B ), v) 2010 3 145
: D EA, DEA, (3) TP, A P (A P - TP) A PP ( ) 2, OBAD, C, y b C, b 0, y 0, b 3,, CE, ; CG, Shephard,, CE CG,, :, X b 0, A 2 y 2, C b 0, C F,, B y 1, b 3, C,,,, (0, - 1),, ( ), 2010 3 146
, y 2 - y 1 2, b 0, i t TPO i, t ( Target Potential Output), b 3,, TPO 3 i, t, L PO i, t ( loss of potential output) : L PO i, t = TPO 3 i, t - TPO i, t (4),,, TPO, DEA ( ) 2005 2007 30 ( ), GDP : GDP,, 2005,,,,,, 2007, 2005,,,,,,, 1 :, DEA,,, 2005 20% 10% ( GDP ),, DEA,, : (2004), 1997,, 2005 2007,,,, :, 1996 GDP, 2010 3 147
: D EA 1 GDP, (2005 2007) GDP ( ) SO 2 ( ) ( ) ( ) ( ) 7546. 9 84. 5 2340. 7 15452. 5 9651. 4 662. 1 5. 2 164. 2 1207. 3 649. 7 543. 3 2. 2 267. 6 1745. 4 819. 1 29 399. 9 200. 2 5859. 7 50 421. 5 28 554. 4 ( ) (1) TE I, E, 2 ( I),, 2 ( II) 2,, 2005 2007, 1,, ;,,,,,,,,,, ( ) (2),, 3 :,,,,,,,,,,,, DEAP2. 1 2010 3 148
,,, Pareto, 2 (2005 2007) ( I) ( II) 2005 2006 2007 2005 2006 2007 1. 000 1. 000 1. 000 1 0. 991 1. 000 1. 000 1 0. 802 0. 809 0. 817 8 0. 714 0. 711 0. 704 9 0. 406 0. 407 0. 410 23 0. 406 0. 401 0. 393 23 0. 270 0. 267 0. 273 27 0. 270 0. 263 0. 261 27 0. 325 0. 332 0. 338 26 0. 321 0. 315 0. 310 26 0. 446 0. 464 0. 464 21 0. 433 0. 438 0. 429 22 0. 483 0. 496 0. 506 20 0. 483 0. 478 0. 470 20 0. 546 0. 546 0. 550 16 0. 546 0. 538 0. 527 16 1. 000 1. 000 1. 000 1 0. 875 0. 869 0. 857 4 0. 864 0. 860 0. 871 5 0. 861 0. 853 0. 838 5 0. 887 0. 887 0. 884 4 0. 887 0. 880 0. 863 3 0. 655 0. 659 0. 664 10 0. 655 0. 649 0. 636 10 0. 848 0. 848 0. 848 7 0. 848 0. 838 0. 819 7 0. 752 0. 753 0. 754 9 0. 752 0. 743 0. 727 8 0. 623 0. 637 0. 644 12 0. 623 0. 618 0. 608 12 0. 575 0. 575 0. 580 13 0. 575 0. 567 0. 556 13 0. 526 0. 527 0. 531 18 0. 526 0. 520 0. 509 18 0. 568 0. 570 0. 577 14 0. 568 0. 562 0. 553 14 1. 000 1. 000 1. 000 1 1. 000 0. 986 0. 958 2 0. 650 0. 647 0. 647 11 0. 650 0. 638 0. 620 11 0. 868 0. 845 0. 832 6 0. 868 0. 840 0. 812 6 0. 560 0. 562 0. 569 15 0. 560 0. 554 0. 545 15 0. 519 0. 515 0. 520 19 0. 519 0. 507 0. 499 19 0. 245 0. 242 0. 243 29 0. 245 0. 238 0. 233 29 0. 458 0. 451 0. 454 22 0. 458 0. 445 0. 435 21 0. 538 0. 527 0. 533 17 0. 538 0. 519 0. 511 17 0. 352 0. 351 0. 354 25 0. 352 0. 346 0. 339 25 0. 258 0. 248 0. 244 28 0. 258 0. 243 0. 234 28 0. 192 0. 188 0. 189 30 0. 192 0. 185 0. 180 30 0. 391 0. 387 0. 382 24 0. 376 0. 363 0. 352 24 : ( II) ( ),,,,, = /, 0 1,, 2010 3 149
: D EA 3 ( ) ( % ) ( % ) 2006 2007 2006 2007 2006 2007 0. 0 0. 0 0. 0 0. 0 0. 0 0. 0 866. 5 906. 0 19. 2 18. 3 0. 8 0. 7 12861. 9 13864. 6 59. 3 59. 0 11. 3 11. 2 9893. 5 10635. 7 73. 3 72. 8 8. 7 8. 6 7479. 1 8419. 6 66. 8 66. 2 6. 6 6. 8 8476. 1 9309. 2 53. 6 53. 6 7. 4 7. 5 3335. 5 3632. 6 50. 4 49. 5 2. 9 2. 9 3963. 1 4217. 1 45. 4 45. 0 3. 5 3. 4 0. 0 0. 0 0. 0 0. 0 0. 0 0. 0 2617. 5 2662. 2 14. 0 12. 9 2. 3 2. 2 1496. 5 1692. 2 11. 3 11. 6 1. 3 1. 4 2421. 0 2605. 0 34. 1 33. 6 2. 1 2. 1 1036. 4 1152. 0 15. 2 15. 2 0. 9 0. 9 1152. 3 1242. 4 24. 7 24. 6 1. 0 1. 0 9494. 5 10175. 1 36. 3 35. 6 8. 3 8. 2 6895. 6 7495. 8 42. 5 42. 0 6. 1 6. 1 5105. 3 5562. 0 47. 3 46. 9 4. 5 4. 5 4245. 6 4562. 0 43. 0 42. 3 3. 7 3. 7 0. 0 0. 0 0. 0 0. 0 0. 0 0. 0 1944. 4 2164. 8 35. 3 35. 3 1. 7 1. 8 141. 4 170. 8 15. 5 16. 8 0. 1 0. 1 2066. 4 2249. 6 43. 8 43. 1 1. 8 1. 8 6086. 3 6563. 4 48. 5 48. 0 5. 3 5. 3 5342. 2 5820. 3 75. 8 75. 7 4. 7 4. 7 3643. 9 3914. 8 54. 9 54. 6 3. 2 3. 2 2871. 9 3098. 2 47. 3 46. 7 2. 5 2. 5 3080. 2 3295. 1 64. 9 64. 6 2. 7 2. 7 1432. 2 1583. 8 75. 3 75. 6 1. 3 1. 3 2274. 8 2472. 2 81. 2 81. 1 2. 0 2. 0 3706. 9 4063. 4 61. 3 61. 8 3. 3 3. 3 113931. 0 123529. 5 39. 4 39. 0 100. 0 100. 0 36990. 8 39931. 9 25. 9 25. 6 32. 5 32. 3 37011. 9 39952. 6 47. 7 47. 2 32. 5 32. 3 39928. 3 43645. 0 57. 7 57. 4 35. 0 35. 3 2010 3 150
3,, 50% :,,,,,, 5%, 2007, 7 53. 8%,, 2006 2007, 113931 123 529, 39. 4% 39%, 40% ;, ( ), 57%, (47% ) (25% ),,, 1 /3, 20%, 3,, ( 3% ) ;,,,,, ( ) (3), SO 2,, 4 0 4, MLT 30% :,, http: / /www. gov. cn /xxgk /pub / govpublic /m rlm /200803 / t20080328_32000. htm l 0,,,,, Pareto,, 2010 3 151
: D EA 4 SO 2 ( ) ( % ) ( % ) 2006 2007 2006 2007 2006 2007 0. 0 0. 0 0. 0 0. 0 0. 0 0. 0 1. 2 1. 7 4. 6 7. 1 0. 1 0. 2 36. 1 37. 9 23. 4 25. 4 4. 2 4. 4 34. 7 37. 1 23. 5 26. 8 4. 0 4. 4 39. 6 42. 0 25. 4 28. 9 4. 6 4. 9 29. 1 32. 2 23. 1 26. 1 3. 4 3. 8 10. 4 12. 8 25. 3 32. 1 1. 2 1. 5 7. 9 8. 7 15. 2 16. 9 0. 9 1. 0 0. 0 0. 0 0. 0 0. 0 0. 0 0. 0 117. 3 109. 7 90. 0 90. 1 13. 7 12. 9 69. 4 65. 3 80. 8 81. 9 8. 1 7. 7 13. 8 14. 2 23. 7 24. 9 1. 6 1. 7 7. 1 6. 8 15. 1 15. 2 0. 8 0. 8 15. 6 15. 2 24. 6 24. 5 1. 8 1. 8 124. 4 113. 8 63. 4 62. 5 14. 5 13. 3 32. 4 39. 5 20. 0 25. 3 3. 8 4. 6 22. 0 21. 1 28. 9 29. 9 2. 6 2. 5 18. 1 18. 6 19. 4 20. 6 2. 1 2. 2 0. 1 0. 0 0. 0 0. 0 0. 0 0. 0 19. 1 22. 7 19. 2 23. 4 2. 2 2. 7 0. 0 0. 0 0. 0 0. 0 0. 0 0. 0 36. 8 35. 5 42. 8 43. 0 4. 3 4. 2 36. 5 34. 9 28. 5 29. 6 4. 2 4. 1 58. 8 54. 7 40. 2 39. 8 6. 9 6. 4 25. 6 24. 7 46. 5 46. 4 3. 0 2. 9 41. 9 40. 6 42. 7 43. 8 4. 9 4. 8 13. 1 13. 9 24. 1 26. 6 1. 5 1. 6 5. 7 6. 0 44. 0 44. 5 0. 7 0. 7 20. 1 19. 5 52. 6 52. 6 2. 3 2. 3 21. 6 23. 6 39. 3 40. 7 2. 5 2. 8 858. 4 853. 0 33. 2 34. 6 100. 0 100. 0 384. 7 367. 4 40. 0 40. 2 44. 8 43. 1 154. 9 167. 4 22. 3 25. 1 18. 0 19. 6 318. 8 318. 2 34. 3 35. 8 37. 1 37. 3 2010 3 152
SO 2,, 3. 5%,, 10% 2007, 12 75. 4%, 2006 2007 SO 2 858. 4 853, 33. 2% 34. 6%, 1 /3 SO 2,, 40%, (35% ) (25% ),,, 40%, (37% ) (19% ) SO 2 SO 2, SO 2 10%,,,, 5%,,, ( ) 3 4,, 5 5 2006 2007 ( ) ( % ) SO 2 ( ) ( % ) 2006 113931. 0 39. 4 858. 4 33. 2 2007 123529. 5 39. 0 853. 0 34. 6, http: / /www. gov. cn /zwgk / 2006-08 /23 /content_368354. htm 2010 3 153
: D EA 5, 2006 2007 10, 39%,,,, 39%, 2006 2007 SO 2 850, 30%,,, 1 /3 SO 2 5,,, 6 6 2005 2006 2007 GDP (, 2005 ) 183 217. 4 204 556. 1 228 898. 3 ( ) 224 682 246 270 265 583 SO 2 ( ) (1) 2549. 4 2588. 7 2468. 1 ( / ) 1. 226 1. 204 1. 160 : 2005 ( % ) 1. 83 5. 39 : 2005 ( % ) - 1. 54 3. 19 ( ) 113 931. 0 123 529. 5 SO 2 ( ) (2) 858. 4 853. 0 1: 1 ( / ) 1. 226 1. 148 1. 106 : 2005 ( % ) 6. 37 9. 79 10% : 2005 ( % ) 1. 83 6. 53 2: 2 ( / ) 1. 226 1. 093 1. 052 : 2005 ( % ) 10. 91 14. 19 20% : 2005 ( % ) 5. 19 9. 88 : (1) SO 2 ; (2) SO 2 4 ( MLT ) GDP (2008),, 3, 2005, : 2006 2007 2005 1. 83% 5. 39%, ; 2006 2010 3 154
, 2005 1. 54%, 2007, 2005 3. 19%, : 10% 20% 2007, 1, 2007 1. 106 /, 2005 9. 79%, 6. 53% ; 2, 2005 14. 19%, 9. 88%,, 2010 20% 10% ( ) (4),,, 7 7, 2006 2007,, 20%,, MLT 306. 5 237. 1, 0. 14% 0. 09%,,,,, 20%, : 7 2006 2007 2005 2006 2007 ( ) (1) 197 537. 8 224 684. 0 257 002. 8 ( ) 279 200. 5 324 811. 5 ( % ) 19. 53 20. 88 ( ) 278 894. 0 324574. 4 ( ) 306. 5 237. 1 ( % ) 0. 14 0. 09 : (1) (2005 ), 2010 2005 20% 10%, 4. 36% 2. 08% 2010 3 155
: D EA :???,, DEA, 2005 2007 30 GDP SO 2,, : (1),,, 50%,,,, 5%, 2007, 7 53. 8%, ( ), 57%, (47% ) (25% ),,, 1 /3 (2), : SO 2 30% :,, SO 2,, 3. 5% 2007, 12 75. 4%,, 40%, (35% ) (25% ),, 40%, (37% ) (19% ) SO 2 (3) 2010 20% 10% 2006 2007 10, 40%, 850, 30%, 10% 20%, 2010 3 156
2007, 1, 2007 2005 9. 79% 6. 53% ; 2, 2005 14. 19% 9. 88%, (4) 2006 2007, 306. 5 237. 1, 0. 14% 0. 09%,, 20%,,, : ( 1), 2005, 2006,, ; (2), 2006 2007, 2007 10 2008 4 1,,,,, ; ( 3),,, ; (4),,,,,,,,, : (1),,,,,,,, 2010 3 157
: D EA (2),,,, (3),,,,,,,,,,,, 2009 2010,, :,,, /, /, / / ;,,,,,,,,, (, 2009), (, 2003;, 2008),,,,,,,,, (, 2007),,,,,,, GDP (, 2007), 2010 3 158
,,,,, ;,, GDP (, 2008),,, (, 2009), :,,,,,,,,,,,, : (2008) :, 6 (2007) :, 11 (2005) :, 4 (2004) :?, 4 (2008) : (1999-2005), ( ) 7 3 (2008) :,,, 2008 12 17 (2007) :, 10 (2008) : : DEA, 9 (2008) :, 2 (2005) :, 6 (2007) : : DEA, 8 (2009) : :, 4 (2004) : : 1952-2001, 10 (2008) :, 24 (2009) :,, 2009 1 17 2010 3 159
: D EA (2003) :, 1 (2007) :, 7 A li, A. I. and Seliford, L. M. Translation Invariance in Data Envelopment Analysis. O perations Research Letters, 1990, 9, pp. 403 405. Banker, R. D. ; Charnes, A. and Cooper, W. W. Some Models for Estimating Technical and Scale Inefficien2 cies in Data Envelopment Analysis. M anagem ent Science, 1984, 30, pp. 1078 1092 Berg, S. A. ; Forsund, F. R. and Jansen, E. S. Malmquist Indices of Productivity Growth During the Deregu2 lation of Norwegian Banking 1980 89. Scandinavian Journal of Econom ics, 1992, pp. 211 228. Chung, Y. H. ; Fare. R. and Grosskopf. S. Productivity and Undesirable Outputs: A D irectional D istance Function App roach. Journal of Environm ental M anagem ent, 1997, 51 (3), pp. 229-240. Coelli, T. J. ; tivity Analysis(2 nd ), 2005. Rao, D. S. P. ; O Donnell, C. J. and Battese, G. E., An Introduction to Efficiency and Produc2 Cooper,W. W. ; Seiford, L. M. and Tone, K. Data Envelopment Analysis: A Comp rehensive Text with Mod2 els, Applications, References and DEA - Solver Software, 2000. Fgre, R. ; Grosskopf, S. and Lovell, C. A. K. Multilateral Productivity Comparisons W hen Some Previous Termoutputs A re Undesirable: Next Term a Nonparametric App roach. The Review of Econom ics and S tatistics 1989, 71, pp. 90 98. Farrell, M. J. The Measurement of Productive Efficiency. Journal of the R oyal S tatistical Society Series A, 1957, 120 (3), pp. 253 290. Golany, B. and Roll, Y. An App lication Procedure for DEA. Om ega: The International Journal of M anage2 m ent Science, 1989. 17, pp. 237 250. Hu, J. L and W ang, S. C. Total - factor Energy Efficiency of Regions in China. Energy Policy, 2006, 34, pp. 3206-3217. L iu, W. and Sharp, J. DEA Models V ia Goal Programm ing, in: W estermann, G. ( Ed. ), Data Envelop2 ment Analysis in the Service Sector, Deutscher Universitgtsverlag, W iesbaden, 1999, pp. 79 101. Lovell, C. A. K. ; Pastor, J. T. and Turner, J. A. Measuring Macroeconom ic Performance in the OECD: A Comparison of European and Non - European Countries. European Journal of O perational R esearch, 1995, 87, pp. 507 518. Scheel. H. Undesirable Outputs in Efficiency Valuations. European Journal of O perational Research, 2001, 132 (2), pp. 400-410. ( : 2009 10 : ) 2010 3 160