考虑环境和代际负外部性的中国采矿业绿色全要素生产率

doi:10.18402/resci.2019.12.01

摘要/Abstract

摘要：

中国采矿业具有代际负外部性和环境负外部性特征,但传统的全要素生产率不考虑负外部性影响,而现有绿色全要素生产率测算也仅考虑环境污染,难以真实衡量采矿业的效率与绿色技术进步。本文构建了考虑双重负外部性的绿色全要素生产率测度框架,基于2005—2015年采矿业的省级面板数据测算其变动率,并将绿色全要素生产率分解为技术进步、规模报酬、代际负外部性、环境负外部性等,以考察其关键影响因素和传导机制。结果显示：①考虑环境和代际双重负外部性的绿色全要素生产率普遍低于传统全要素生产率的结果。②采矿业的绿色全要素生产率均有显著增长,其中,黑色金属开采业增速最快,其次为煤炭开采业和有色金属开采业,油气开采业最低。③代际和环境负外部性因素对绿色全要素生产率皆呈现抑制作用,但对不同产业的抑制程度存在异质性。环境负外部性对煤炭开采业和有色金属开采业的绿色全要素生产率具有较高的抑制作用,而代际负外部性对油气开采业和黑色金属开采业的抑制作用则高于其他采矿业。

关键词: 采矿业, 绿色全要素生产率, 代际负外部性, 环境负外部性

Abstract:

Negative intergenerational and environmental externalities are the basic characteristics of Chinese mining industries. Total factor productivity (TFP) had not taken dual negative externalities into account, while most studies on green total factor productivity (GTFP) only considered environmental pollution, and therefore it is difficult to measure the true efficiency of green technology in mining industries. In this study, dual negative externalities were added into the modified Solow residual model to measure the growth rate of GTFP based on the inter-provincial panel data of mining industries from 2005 to 2015, and then GTFPs were decomposed into the effects of technological progress, returns to scale, negative intergenerational externality, negative environmental externality, and so on. The results show that: (1) GTFP was generally lower than TFP without dual negative externalities, and the overall trend was more stable. (2) The GTFP of mining industries presented a clear increasing tendency. Ferrous metal mining industry had the fastest growth rate, followed by coal mining industry and nonferrous metal mining industry, and oil and gas mining industry had the lowest growth rate. (3) The decomposition of GTFP shows that negative intergenerational and environmental externalities both restrained GTFP. Through a comparative analysis, we found that coal and nonferrous metal industries were greatly affected by negative environmental externality, while extraction of oil and gas and ferrous metal mining were more affected by negative intergenerational externality.

Key words: mining industry, green total factor productivity, negative intergenerational externality, negative environmental externality

于立宏, 王艳, 陈家宜. 考虑环境和代际负外部性的中国采矿业绿色全要素生产率[J]. 资源科学, 2019, 41(12): 2155-2171.

YU Lihong, WANG Yan, CHEN Jiayi. Green total factor productivity of Chinese mining industries considering negative intergenerational and environmental externalities[J]. Resources Science, 2019, 41(12): 2155-2171.

图/表 11

表1

模型参数的含义"

参数符号	含义	参数符号	含义
Y	资源产出量	UC	代际负外部性成本
X_K	资本投入量	CE	环境负外部性成本
X_L	劳动投入量	$GTFP^$	绿色全要素生产率增长率
t	时间变量	$Y^$	产出增长率
w_K	资本价格	$C^$	成本增长率
w_L	劳动力价格	$F^$	投入要素增长率
$γ$	可变成本占总成本比重	$S i$	要素成本占总成本比重

表1

表2

表3

表4

表5

采矿业的模型参数估计结果"

估计系数	煤炭	油气	黑色金属	有色金属
$β Y$	0.1996**	0.3976***	0.8792**	0.3815**
$β K$	0.6341***	0.2297***	0.3280***	0.0889*
$β UC$	0.0477***	0.6656***	0.2708**	0.2594***
$β CE$	0.1609***	0.0140	0.1408**	0.2741***
$β t$	0.0120	-0.0097**	0.0463*	-0.0179***
$β YY$	0.1832*	0.1666*	0.6836***	0.0848
$β KK$	0.0873***	0.2448***	0.2220***	0.0988*
$β UU$	0.0211**	0.1793***	0.2473***	-0.1776
$β EE$	0.1598***	0.0923***	0.1910***	0.0541***
$β tt$	-0.0227***	-0.0001	-0.0202***	-0.0002
$β YK$	-0.0154	0.6902**	-0.1303***	-0.0372
$β YU$	-0.0057	-0.1920***	-0.5999***	0.1605
$β YE$	-0.0955**	0.1927***	-0.2827***	-0.1334***
$β KU$	-0.0247*	0.0712	0.0835	0.1899*
$β KE$	-0.1434***	-0.2718***	-0.2119***	0.0088
$β Yt$	-0.0218***	-0.0223*	-0.1033**	-0.0182
$β Ut$	0.0086	0.0205**	0.0485	-0.0109
$β Et$	0.0155***	-0.0042	0.0243	0.0202***
$β UE$	-0.0091	-0.1918***	0.0047	-0.0031
$β 0$	0.1877***	-0.0361*	-0.0782	-0.1767***
整体R²	0.9827	0.8951	0.8661	0.8767
Coldiag²	61.57	63.23	72.13	93.16

表5

表6

2005—2015年采矿业各子行业GTFP变动情况"

$GTFP^$ /%	煤炭	油气	黑色	有色
2005	30.93	17.20	-	23.37
2006	21.08	12.40	-	32.41
2007	19.70	2.43	33.25	21.85
2008	41.36	2.48	42.57	10.40
2009	16.81	-11.62	11.49	4.88
2010	20.38	14.07	38.17	25.47
2011	22.84	13.52	21.84	20.54
2012	16.16	-6.53	17.38	10.50
2013	10.49	-3.74	18.59	7.34
2014	5.91	0.78	8.68	3.17
2015	-2.86	-23.78	-8.07	-
平均	18.44	1.57	20.43	15.99

表6

表7

2005—2015年煤炭开采业GTFP平均增长及其分解情况"

年份	$GTFP^$ /%	GTFP分解
		$I 1$			$I 2$	$I 3$			$I 4$
		小计/%	RS	$Y^$ /%	$TP^$ /%	小计/%	U	$UC^$ /%	小计/%	E	$CE^$ /%
2005	30.93	29.22	4.48	37.61	5.92	-1.08	0.02	48.43	-3.13	0.17	18.75
2006	21.08	18.83	4.25	24.36	7.21	-1.56	0.03	53.97	-3.20	0.18	18.13
2007	19.70	16.01	4.11	21.17	8.43	-2.31	0.04	64.54	-2.42	0.18	13.47
2008	41.36	35.25	3.56	50.38	9.85	-5.52	0.05	118.38	0.79	0.16	-4.83
2009	16.81	8.98	3.73	12.26	10.56	-1.02	0.05	21.64	-1.72	0.16	10.94
2010	20.38	21.44	3.47	30.14	11.82	-11.32	0.06	175.80	-1.56	0.16	9.96
2011	22.84	16.81	3.14	24.64	13.79	-5.80	0.08	76.15	-1.96	0.17	11.71
2012	16.16	2.89	3.26	4.16	14.77	-0.91	0.08	11.86	-0.59	0.16	3.66
2013	10.49	-5.11	3.85	-6.90	14.37	1.69	0.06	-25.43	-0.46	0.15	3.05
2014	5.91	-9.18	4.69	-11.67	13.69	2.00	0.06	-36.13	-0.60	0.13	4.48
2015	-2.86	-17.79	6.21	-21.21	12.45	1.70	0.04	-38.41	0.79	0.11	-6.89
平均	18.44	10.74	4.07	15.00	11.17	-2.19	0.05	42.80	-1.28	0.16	7.49

表7

表8

2005—2015年油气开采业GTFP平均增长及其分解情况"

年份	$GTFP^$ /%	GTFP分解
		$I 1$			$I 2$	$I 3$			$I 4$
		小计/%	RS	$Y^$ /%	TP/%	小计/%	U	$UC^$ /%	小计/%	E	$CE^$ /%
2005	17.20	20.97	3.79	26.02	0.21	-2.04	0.08	25.00	-0.13	0.04	3.00
2006	12.4	16.44	3.55	20.70	0.22	-2.52	0.09	27.30	-0.17	0.05	3.56
2007	2.43	2.04	3.93	2.52	0.22	0.19	0.08	-2.31	0.15	0.04	-3.65
2008	2.48	6.45	3.13	8.43	0.23	-3.40	0.11	30.60	-0.08	0.05	1.67
2009	-11.62	-16.62	3.89	-20.65	0.25	3.47	0.07	-48.36	0.01	0.03	-0.31
2010	14.07	21.26	3.42	27.18	0.25	-5.11	0.09	55.35	-0.29	0.04	8.02
2011	13.52	18.32	3.37	23.43	0.25	-3.20	0.10	32.33	-0.02	0.04	0.64
2012	-6.53	-7.99	3.74	-9.97	0.21	0.62	0.09	-6.68	-0.06	0.03	2.14
2013	-3.74	-5.21	3.80	-6.50	0.22	0.85	0.09	-9.84	-0.01	0.03	0.54
2014	0.78	0.87	4.75	1.01	0.19	0.37	0.07	-5.66	-0.59	0.02	28.10
2015	-23.78	-27.92	6.12	-32.00	0.19	2.49	0.04	-59.82	0.30	0.01	-21.27
平均	1.57	2.60	3.94	3.65	0.22	-0.75	0.08	3.45	-0.08	0.03	2.04

表8

表9

2007—2015年黑色金属开采业GTFP平均增长及其分解情况"

年份	$GTFP^$ /%	GTFP分解
		$I 1$			$I 2$	$I 3$			$I 4$
		小计/%	RS	$Y^$ /%	TP/%	小计/%	U	$UC^$ /%	小计/%	E	$CE^$ /%
2007	33.20	33.25	3.70	46.49	7.36	-6.32	0.11	56.43	-1.71	0.09	19.46
2008	42.57	44.46	3.32	63.62	8.63	-9.16	0.12	75.10	-1.35	0.07	20.74
2009	11.49	0.72	3.60	1.00	8.68	2.48	0.08	-29.58	-0.40	0.06	6.95
2010	38.17	41.31	3.89	55.58	9.04	-11.39	0.11	104.05	-0.79	0.04	21.59
2011	21.84	18.71	3.73	25.55	11.06	-7.78	0.15	50.82	-0.16	0.02	6.72
2012	17.38	5.15	4.10	6.82	10.94	1.68	0.13	-13.06	-0.40	0.03	14.52
2013	18.59	8.02	4.58	10.26	11.31	-0.56	0.13	4.23	-0.18	0.02	11.28
2014	8.68	-3.26	5.92	-3.92	9.53	2.44	0.09	-26.08	-0.04	0.01	2.67
2015	-8.07	-20.60	7.58	-23.72	9.15	3.24	0.08	-39.82	0.13	0.02	-7.69
平均	20.43	14.27	4.49	20.19	9.52	-2.82	0.11	20.23	-0.55	0.04	10.69

表9

表10

2005—2014年有色金属开采业GTFP平均增长及其分解情况"

年份	$GTFP^$ /%	GTFP分解
		$I 1$			$I 2$	$I 3$			$I 4$
		小计%	RS	$Y^$ /%	TP/%	小计/%	U	$UC^$ /%	小计/%	E	$CE^$ /%
2005	23.37	23.41	4.28	30.55	1.40	-1.11	0.07	15.47	-0.33	0.16	2.00
2006	32.41	31.76	3.54	44.28	1.92	-0.59	0.03	18.39	-0.68	0.16	4.15
2007	21.85	20.83	3.30	29.89	2.20	-0.17	0.03	6.46	-1.01	0.17	5.83
2008	10.40	8.68	4.02	11.55	1.96	0.01	0.04	-0.25	-0.25	0.15	1.67
2009	4.88	2.95	4.74	3.74	1.81	0.14	0.05	-2.66	-0.02	0.14	0.14
2010	25.47	24.38	4.27	31.84	2.10	-0.37	0.03	12.21	-0.64	0.14	4.45
2011	20.54	18.34	3.52	25.61	2.64	-0.08	0.01	8.47	-0.36	0.16	2.23
2012	10.50	8.04	3.70	11.03	2.67	0.01	0.02	-0.65	-0.22	0.16	1.38
2013	7.34	5.36	4.42	6.93	2.37	0.07	0.03	-2.55	-0.46	0.15	3.05
2014	3.17	1.45	5.25	1.78	2.09	0.14	0.05	-2.99	-0.51	0.15	3.48
平均	15.99	14.52	4.11	19.72	2.12	-0.19	0.04	5.22	-0.45	0.16	2.84

表10

图1

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行业	2005	2006	2007	2008	2009	2010	2011	2012	2013	2014	2015
煤炭开采业	180.900	169.980	159.620	146.820	137.040	96.574	67.631	73.106	77.218	83.866	91.622
油气开采业	35.599	33.179	30.600	29.599	29.799	27.941	27.834	28.503	27.961	27.116	29.011
黑色金属开采业	61.729	52.062	44.990	42.307	46.416	32.997	21.919	26.715	27.444	33.044	39.582
有色金属开采业	22.155	20.063	18.381	16.456	16.051	13.240	14.240	10.125	9.826	10.256	10.804
非金属开采业	150.380	138.750	132.300	152.730	157.430	142.440	105.580	100.050	105.470	106.330	104.600

行业	平均值	标准差	最小值	最大值
煤炭开采业	253523.4	642263.9	0	4148007
油气开采业	357241.6	749630.1	0	4408512
黑色金属开采业	501811.7	1275967.0	5334.883	7649219
有色金属开采业	614085.7	1568531.0	212.663	1.22e+7
非金属开采业	121315.9	321022.6	1726.093	2419624

检验	检验方法	煤炭	油气	黑色金属	有色金属	说明
混合估计还是固定效应	F检验	F=30.84	F=16.70	F=21.95	F=11.28	选择固定效应
混合估计还是随机效应	BP检验	chi²=489.45	chi²=216.05	chi²=402.29	chi²=171.93	选择随机效应
随机效应还是固定效应	Houseman检验	chi²=60.14	chi²=33.43	chi²=15.53	chi²=31.44	选择固定效应
是否存在异方差	wald检验	chi²=19703.67	chi²=1451.69	chi²=1647.38	chi²=4815.33	存在异方差
是否存在自相关	wooldridge	F=41.81	F=8.45	F=30.50	F=39.41	存在自相关