China’s Industrial Total-Factor Energy Productivity Growth at Sub-Industry Level: A Two-Step Stochastic Metafrontier Malmquist Index Approach
Abstract
:1. Introduction
2. Methodology
2.1. Total-Factor Energy Efficiency under the Metafrontier Framework
2.2. Metafrontier Malmquist Energy Productivity Index
2.3. Model Specification and Estimation
3. Empirical Analysis
3.1. Data and Industrial Heterogeneity
3.2. Estimation Results
3.3. Decomposition Results
3.3.1. Macro-Analysis
3.3.2. Sectoral-Analysis
4. Conclusions
- (1)
- In view of metafrontier Malmquist energy productivity, overall industry has witnessed a 25% cumulative growth and a U-shaped trend bottoming out in 2006, which may indicate that the ECER programs are effective in the periods of 11th and 12th FYPs. Meanwhile, 19 sub-industries have suffered an energy productivity loss, and the remaining 16 sub-industries have experienced an energy productivity gain.
- (2)
- From the technology heterogeneity perspective, light industry outperforms heavy industry in metafrontier Malmquist energy productivity growth, while groupfrontier Malmquist energy productivity growth is on average a little higher than potential Malmquist energy productivity growth, indicating that the intra-group and inter-group energy productivity develops roughly in balance as a whole.
- (3)
- As for individual components, groupfrontier technological change makes the biggest contribution to energy productivity growth (43.4%), followed by technological catch-up (21.8%), efficiency catch-up (−17.4%) and groupfrontier efficiency change (−17.1%). That is, it is technological change that dominates the energy productivity growth, implying that the existing technologies are not utilized sufficiently and the management efficiency needs to improve. Furthermore, groupfrontier technological change makes positive (mainly negative) contributions in productivity gain (loss) sub-industries; technological catch-up works like groupfrontier technological change, both of which dominate the growth of energy productivity in 28 out of 35 sub-industries; efficiency catch-up contributes negatively to all the sub-industries; groupfrontier efficiency change plays a negative (positive) role in energy productivity growth for heavy (light) industry.
- (4)
- There exists σ-convergence of metafrontier Malmquist energy productivity growth in heavy industry and light industry as well as overall industry, implying that the energy efficiency laggards can catch up the energy efficiency leaders in the future, which is line with the concept of metafrontier.
Acknowledgments
Author Contributions
Conflicts of Interest
References
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Variables | Units | Heavy industry | Light industry | ||||||||
---|---|---|---|---|---|---|---|---|---|---|---|
Obs. | Mean | Std. dev. | Min | Max | Obs. | Mean | Std. dev. | Min | Max | ||
Y | 109 RMB | 330 | 1.254 | 2.078 | 0.009 | 15.413 | 195 | 0.541 | 0.456 | 0.056 | 2.433 |
K | 109 RMB | 330 | 0.372 | 0.476 | 0.016 | 3.628 | 195 | 0.118 | 0.109 | 0.005 | 0.599 |
L | 109 Persons | 330 | 0.036 | 0.028 | 0.002 | 0.108 | 195 | 0.027 | 0.022 | 0.002 | 0.095 |
E | 109 TCE | 330 | 0.769 | 1.296 | 0.015 | 8.034 | 195 | 0.143 | 0.162 | 0.009 | 0.730 |
K/L | RMB/Person | 330 | 15.019 | 18.309 | 1.130 | 110.882 | 195 | 6.698 | 6.887 | 0.373 | 30.250 |
E/Y | TCE/RMB | 330 | 1.885 | 2.624 | 0.020 | 13.608 | 195 | 0.266 | 0.227 | 0.038 | 1.229 |
First Step | Second Step | |||||||
---|---|---|---|---|---|---|---|---|
I Pooled a | II Heavy a | III Light a | IV Metafrontier b | |||||
lnk | 0.221 ** | 0.110 | 0.868 *** | 0.138 | −0.669 ** | 0.308 | 0.124 | 0.142 |
lnl | −0.720 *** | 0.235 | −1.673 *** | 0.238 | 0.832 ** | 0.377 | −0.969 ** | 0.392 |
lny | −0.531 *** | 0.136 | −0.221 * | 0.137 | −1.337 *** | 0.361 | −0.399 ** | 0.181 |
t | −0.057 *** | 0.021 | −0.168 *** | 0.026 | 0.114 *** | 0.042 | −0.056 ** | 0.023 |
(lnk)2 | −0.071 *** | 0.015 | −0.058 ** | 0.025 | −0.124 *** | 0.050 | −0.075 *** | 0.009 |
(lnl)2 | −0.140 *** | 0.039 | −0.311 *** | 0.042 | −0.026 | 0.045 | −0.171 *** | 0.055 |
(lny)2 | 0.024 | 0.022 | 0.017 | 0.020 | −0.145 | 0.134 | 0.021 | 0.018 |
t2 | 0.001 | 0.001 | 0.001** | 0.001 | −0.003** | 0.001 | 0.000 | 0.000 |
lnklnl | 0.257 *** | 0.033 | 0.414 *** | 0.051 | 0.279 *** | 0.052 | 0.238 *** | 0.044 |
lnklny | −0.089 *** | 0.025 | −0.115 *** | 0.025 | −0.221 * | 0.134 | −0.084 *** | 0.024 |
tlnk | 0.029 *** | 0.003 | 0.032 *** | 0.005 | 0.048 *** | 0.013 | 0.036 *** | 0.002 |
lnllny | −0.043 | 0.046 | 0.055 | 0.046 | 0.026 | 0.113 | −0.005 | 0.049 |
tlnl | −0.030 *** | 0.005 | −0.059 *** | 0.007 | −0.026 *** | 0.010 | −0.036 *** | 0.005 |
tlny | 0.010 *** | 0.004 | 0.015 *** | 0.004 | 0.040* | 0.022 | 0.010 *** | 0.002 |
dum115 | 0.053 ** | 0.023 | 0.081 *** | 0.024 | 0.087** | 0.038 | 0.055 *** | 0.008 |
dum125 | 0.048 | 0.036 | 0.049 | 0.037 | 0.149 *** | 0.056 | 0.048 *** | 0.010 |
cons | 1.546 *** | 0.452 | −0.074 | 0.486 | 2.537 *** | 0.562 | 0.946 | 0.130 |
μ | 1.678 *** | 0.447 | 1.552 ** | 0.669 | 1.045 *** | 0.180 | −4.287 *** | 1.692 |
η | −0.013 *** | 0.002 | −0.020 *** | 0.002 | 0.008 | 0.006 | −0.019 *** | 0.004 |
lnσ2 | 0.827 ** | 0.406 | 0.922 * | 0.544 | −1.925 *** | 0.291 | 1.014 *** | 0.266 |
ln[γ/(1 − γ)] | 5.260 *** | 0.414 | 5.734 *** | 0.552 | 2.677 *** | 0.385 | 6.846 *** | 0.400 |
log-likelihood | 293.397 | 243.325 | 81.528 | 678.769 | ||||
LR test | Chi-squared = 62.91 (p-value = 0.000) | |||||||
obs. | 525 | 330 | 195 | 525 |
Groups | Periods | Cumulative Growth Index | Log Cumulative Growth | ||||||||
---|---|---|---|---|---|---|---|---|---|---|---|
MMEPI | GECI | GTCI | ECUI | TCUI | MMEPI | GECI | GTCI | ECUI | TCUI | ||
Heavy | 2001–2005 | 0.821 | 0.882 | 0.938 | 0.986 | 0.998 | −0.198 | −0.125 | −0.064 | −0.014 | −0.002 |
Light | 2001–2005 | 0.866 | 1.034 | 0.977 | 0.943 | 0.885 | −0.144 | 0.033 | −0.023 | −0.059 | −0.122 |
Overall | 2001–2005 | 0.837 | 0.938 | 0.952 | 0.970 | 0.956 | −0.177 | −0.064 | −0.049 | −0.030 | −0.045 |
Heavy | 2006–2010 | 0.966 | 0.871 | 1.044 | 0.985 | 1.075 | −0.034 | −0.138 | 0.044 | −0.015 | 0.072 |
Light | 2006–2010 | 1.041 | 1.032 | 1.094 | 0.937 | 0.971 | 0.040 | 0.032 | 0.090 | −0.065 | −0.030 |
Overall | 2006–2010 | 0.994 | 0.931 | 1.063 | 0.967 | 1.036 | −0.006 | −0.072 | 0.061 | −0.033 | 0.036 |
Heavy | 2011–2015 | 1.174 | 0.858 | 1.184 | 0.983 | 1.177 | 0.160 | −0.153 | 0.169 | −0.017 | 0.163 |
Light | 2011–2015 | 1.195 | 1.031 | 1.171 | 0.931 | 1.057 | 0.179 | 0.031 | 0.158 | −0.071 | 0.055 |
Overall | 2011–2015 | 1.182 | 0.922 | 1.179 | 0.964 | 1.132 | 0.167 | −0.081 | 0.165 | −0.037 | 0.124 |
Heavy | 2001–2015 | 1.139 | 0.635 | 1.290 | 0.948 | 1.394 | 0.130 | −0.454 | 0.255 | −0.053 | 0.332 |
Light | 2001–2015 | 1.437 | 1.120 | 1.496 | 0.800 | 0.969 | 0.363 | 0.114 | 0.403 | −0.223 | −0.032 |
Overall | 2001–2015 | 1.250 | 0.815 | 1.366 | 0.893 | 1.236 | 0.223 | −0.204 | 0.312 | −0.113 | 0.212 |
Indus. | 01/02 | 02/03 | 03/04 | 04/05 | 05/06 | 06/07 | 07/08 | 08/09 | 09/10 | 10/11 | 11/12 | 12/13 | 13/14 | 14/15 | Geom. |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
H01 | 0.875 | 0.882 | 0.886 | 0.883 | 0.881 | 0.887 | 0.902 | 0.920 | 0.934 | 0.948 | 0.957 | 0.964 | 0.977 | 0.989 | 0.920 |
H02 | 1.044 | 1.040 | 1.029 | 1.025 | 1.020 | 1.023 | 1.033 | 1.049 | 1.058 | 1.064 | 1.075 | 1.093 | 1.114 | 1.128 | 1.056 |
H03 | 0.915 | 0.919 | 0.916 | 0.907 | 0.906 | 0.920 | 0.943 | 0.969 | 0.988 | 1.005 | 1.018 | 1.028 | 1.043 | 1.062 | 0.966 |
H04 | 0.936 | 0.948 | 0.959 | 0.966 | 0.972 | 0.974 | 0.981 | 0.997 | 1.008 | 1.015 | 1.020 | 1.025 | 1.037 | 1.051 | 0.992 |
H05 | 0.858 | 0.875 | 0.887 | 0.900 | 0.914 | 0.929 | 0.932 | 0.931 | 0.939 | 0.950 | 0.959 | 0.968 | 0.977 | 0.984 | 0.928 |
H06 | 1.002 | 1.006 | 1.009 | 1.006 | 1.003 | 1.005 | 1.014 | 1.033 | 1.050 | 1.056 | 1.061 | 1.071 | 1.080 | 1.089 | 1.034 |
H07 | 0.949 | 0.956 | 0.960 | 0.963 | 0.968 | 0.974 | 0.982 | 0.993 | 1.003 | 1.014 | 1.026 | 1.036 | 1.047 | 1.058 | 0.994 |
H08 | 0.964 | 0.978 | 0.990 | 1.001 | 1.012 | 1.022 | 1.028 | 1.032 | 1.037 | 1.043 | 1.047 | 1.053 | 1.064 | 1.072 | 1.024 |
H09 | 0.875 | 0.884 | 0.891 | 0.892 | 0.896 | 0.909 | 0.927 | 0.942 | 0.950 | 0.961 | 0.974 | 0.987 | 1.000 | 1.008 | 0.935 |
H10 | 0.837 | 0.848 | 0.861 | 0.874 | 0.887 | 0.901 | 0.913 | 0.924 | 0.935 | 0.949 | 0.963 | 0.974 | 0.984 | 0.995 | 0.916 |
H11 | 0.945 | 0.956 | 0.967 | 0.973 | 0.981 | 0.990 | 0.999 | 1.010 | 1.022 | 1.030 | 1.037 | 1.039 | 1.044 | 1.052 | 1.003 |
H12 | 0.936 | 0.949 | 0.958 | 0.960 | 0.966 | 0.972 | 0.978 | 0.992 | 1.009 | 1.022 | 1.031 | 1.042 | 1.053 | 1.064 | 0.994 |
H13 | 0.845 | 0.860 | 0.873 | 0.882 | 0.896 | 0.915 | 0.932 | 0.943 | 0.950 | 0.961 | 0.977 | 0.986 | 0.997 | 1.003 | 0.929 |
H14 | 0.895 | 0.903 | 0.906 | 0.908 | 0.916 | 0.929 | 0.946 | 0.961 | 0.971 | 0.982 | 0.989 | 0.998 | 1.009 | 1.017 | 0.951 |
H15 | 0.921 | 0.929 | 0.933 | 0.941 | 0.951 | 0.962 | 0.973 | 0.982 | 0.989 | 0.999 | 1.010 | 1.019 | 1.028 | 1.036 | 0.976 |
H16 | 0.945 | 0.954 | 0.961 | 0.966 | 0.974 | 0.985 | 0.994 | 1.006 | 1.016 | 1.028 | 1.037 | 1.046 | 1.057 | 1.067 | 1.002 |
H17 | 0.904 | 0.906 | 0.910 | 0.910 | 0.915 | 0.925 | 0.944 | 0.966 | 0.980 | 0.997 | 1.011 | 1.019 | 1.029 | 1.037 | 0.960 |
H18 | 0.989 | 0.992 | 0.992 | 0.984 | 0.981 | 0.984 | 0.979 | 0.983 | 1.004 | 1.016 | 1.022 | 1.035 | 1.047 | 1.054 | 1.004 |
H19 | 0.898 | 0.910 | 0.919 | 0.929 | 0.937 | 0.947 | 0.956 | 0.966 | 0.978 | 0.989 | 0.993 | 1.003 | 1.019 | 1.029 | 0.962 |
H20 | 1.056 | 1.062 | 1.076 | 1.088 | 1.093 | 1.103 | 1.114 | 1.122 | 1.132 | 1.148 | 1.155 | 1.155 | 1.162 | 1.174 | 1.117 |
H21 | 1.028 | 1.042 | 1.061 | 1.072 | 1.086 | 1.100 | 1.102 | 1.108 | 1.117 | 1.122 | 1.122 | 1.121 | 1.130 | 1.144 | 1.096 |
H22 | 0.965 | 0.968 | 0.976 | 0.984 | 0.992 | 1.005 | 1.010 | 1.007 | 1.012 | 1.024 | 1.033 | 1.036 | 1.042 | 1.044 | 1.007 |
L23 | 1.017 | 1.025 | 1.031 | 1.036 | 1.050 | 1.070 | 1.082 | 1.088 | 1.095 | 1.104 | 1.115 | 1.126 | 1.134 | 1.138 | 1.079 |
L24 | 0.976 | 0.986 | 0.989 | 0.993 | 1.005 | 1.024 | 1.039 | 1.044 | 1.046 | 1.049 | 1.054 | 1.059 | 1.065 | 1.071 | 1.028 |
L25 | 1.009 | 1.012 | 1.022 | 1.028 | 1.037 | 1.045 | 1.049 | 1.052 | 1.057 | 1.062 | 1.065 | 1.068 | 1.074 | 1.077 | 1.047 |
L26 | 1.061 | 1.064 | 1.068 | 1.067 | 1.065 | 1.065 | 1.065 | 1.065 | 1.068 | 1.073 | 1.076 | 1.074 | 1.074 | 1.075 | 1.069 |
L27 | 1.046 | 1.046 | 1.048 | 1.050 | 1.056 | 1.069 | 1.084 | 1.092 | 1.094 | 1.097 | 1.104 | 1.114 | 1.122 | 1.126 | 1.082 |
L28 | 0.848 | 0.861 | 0.876 | 0.894 | 0.917 | 0.939 | 0.958 | 0.966 | 0.969 | 0.976 | 0.990 | 1.004 | 1.011 | 1.017 | 0.943 |
L29 | 0.827 | 0.834 | 0.842 | 0.851 | 0.865 | 0.882 | 0.902 | 0.914 | 0.920 | 0.927 | 0.941 | 0.953 | 0.959 | 0.965 | 0.897 |
L30 | 0.910 | 0.922 | 0.923 | 0.930 | 0.945 | 0.971 | 0.997 | 1.007 | 1.009 | 1.016 | 1.024 | 1.032 | 1.042 | 1.045 | 0.983 |
L31 | 0.805 | 0.823 | 0.832 | 0.845 | 0.865 | 0.895 | 0.926 | 0.937 | 0.937 | 0.940 | 0.946 | 0.954 | 0.963 | 0.967 | 0.901 |
L32 | 1.008 | 1.015 | 1.021 | 1.027 | 1.033 | 1.039 | 1.051 | 1.061 | 1.068 | 1.081 | 1.087 | 1.087 | 1.089 | 1.090 | 1.054 |
L33 | 0.903 | 0.913 | 0.913 | 0.910 | 0.916 | 0.931 | 0.947 | 0.954 | 0.954 | 0.954 | 0.959 | 0.974 | 0.988 | 0.994 | 0.943 |
L34 | 0.788 | 0.793 | 0.795 | 0.800 | 0.814 | 0.831 | 0.851 | 0.865 | 0.867 | 0.867 | 0.919 | 0.977 | 0.987 | 0.996 | 0.865 |
L35 | 1.046 | 1.052 | 1.059 | 1.059 | 1.063 | 1.070 | 1.071 | 1.068 | 1.069 | 1.075 | 1.083 | 1.085 | 1.088 | 1.093 | 1.070 |
Avg.H | 0.936 | 0.944 | 0.951 | 0.955 | 0.961 | 0.971 | 0.981 | 0.993 | 1.004 | 1.015 | 1.024 | 1.032 | 1.043 | 1.053 | 1.009 a |
Avg.L | 0.942 | 0.950 | 0.955 | 0.961 | 0.972 | 0.987 | 1.001 | 1.009 | 1.012 | 1.017 | 1.028 | 1.039 | 1.046 | 1.059 | 1.016 a |
Avg.O | 0.938 | 0.946 | 0.952 | 0.957 | 0.965 | 0.977 | 0.989 | 0.999 | 1.007 | 1.015 | 1.025 | 1.035 | 1.044 | 1.057 | 1.015 a |
Total | GMEPI | PMEPI | MECI | MTCI | GECI | GTCI | ECUI | TCUI | |
---|---|---|---|---|---|---|---|---|---|
Sub-industries | 35 | 20 | 15 | 7 | 28 | 11 | 15 | 0 | 9 |
Heavy industry | 22 | 13 | 9 | 7 | 15 | 11 | 6 | 0 | 5 |
productivity loss | 13 | 12(−) | 1(−) | 7(−) | 6(−) | 8(−) | 4(−) | 0 | 1(−) |
productivity gain | 9 | 1(+) | 8(+) | 0 | 9(+) | 3(−) | 2(+) | 0 | 4(+) |
Light industry | 13 | 7 | 6 | 0 | 13 | 0 | 9 | 0 | 4 |
productivity loss | 6 | 0 | 6(−) | 0 | 6(−) | 0 | 3(−) | 0 | 3(−) |
productivity gain | 7 | 7(+) | 0 | 0 | 7(+) | 0 | 6(+) | 0 | 1(+) |
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Cao, L.; Qi, Z.; Ren, J. China’s Industrial Total-Factor Energy Productivity Growth at Sub-Industry Level: A Two-Step Stochastic Metafrontier Malmquist Index Approach. Sustainability 2017, 9, 1384. https://doi.org/10.3390/su9081384
Cao L, Qi Z, Ren J. China’s Industrial Total-Factor Energy Productivity Growth at Sub-Industry Level: A Two-Step Stochastic Metafrontier Malmquist Index Approach. Sustainability. 2017; 9(8):1384. https://doi.org/10.3390/su9081384
Chicago/Turabian StyleCao, Lizhan, Zhongying Qi, and Junxia Ren. 2017. "China’s Industrial Total-Factor Energy Productivity Growth at Sub-Industry Level: A Two-Step Stochastic Metafrontier Malmquist Index Approach" Sustainability 9, no. 8: 1384. https://doi.org/10.3390/su9081384