Abstract: In recent years, with the continuous increase in global energy consumption, the resource and environmental pressures faced by China’s sustained economic growth due to environmental pollution, climate change, and other impacts have become a focus of attention for the government and various sectors of society. How to improve energy utilization efficiency has gradually become an important issue that urgently needs to be solved in China’s economic development. The eastern region is a leading one for China’s reform and opening up, and its energy-saving and emission reduction experience and measures can provide reference for other regions to a certain extent. Therefore, using scientific quantitative methods to evaluate the energy and environmental efficiency of the eastern region is of great significance for improving the energy utilization efficiency of the eastern region and comprehensively establishing a two-type society of “resource conservation and environmental friendliness”.
   In the study of energy and environmental efficiency evaluation, scholars mainly use Data Envelopment Analysis (DEA) methods, but existing research still have shortcomings: (1)Existing research mainly focuses on self-evaluation systems, and rarely evaluates efficiency from mutual-evaluation systems, leading to incomplete evaluation results. (2)Regarding unexpected outputs in energy and environmental systems, previous studies have mostly established DEA models by distinguishing between weak disposability and strong disposability. Weak disposability assumes that all decision-making units adopt the same emission reduction strategy, while strong disposability assumes that unexpected outputs can be arbitrarily reduced, which is inconsistent with the actual production process of decision-making units. (3)Previous studies have mostly evaluated the energy and environmental efficiency of decision-making units, with little research on their environmental strategy choices in response to environmental regulations.
   In response to the above shortcomings, the paper combines the aggressive cross-efficiency model with the dynamic DEA model considering transfer activities to establish a new dynamic cross efficiency model for natural disposability and management disposability, and an environmental strategy selection model is established based on the efficiency ratio of decision units in the two models. Based on the relevant data from the China Statistical Yearbook (2016-2020) and the China Energy Statistical Yearbook (2016-2020), the total energy consumption and employment are selected as conventional input indicators, capital stock is selected as unconventional input indicators, and is used as a transfer variable between consecutive periods. Regional GDP is used as the expected output indicator, while sulfur dioxide and carbon dioxide emissions are used as unexpected output indicators. An empirical study is conducted on the energy and environmental efficiency and environmental strategy choices in the eastern region of China from 2015 to 2019. In the empirical analysis section, the efficiency of the eastern region is compared under two models, and their environmental strategy choices are analyzed. Finally, suggestions for energy and environmental improvement are proposed. The results indicate that during the period of 2015-2019, most provinces and cities had higher energy and environmental efficiency under natural disposability, while under management disposability, most provinces and cities had lower energy and environmental efficiency, indicating significant potential for energy conservation and emission reduction. From the perspective of the entire research period, provinces and cities outside Tianjin adopting natural disposability strategies are more effective in improving energy and environmental efficiency, while Tianjin adopting management disposability strategies is more helpful in improving efficiency. Therefore, Tianjin should carry out technological innovation through capital accumulation, and the country needs to increase its financial support. Provinces and cities outside Tianjin need to limit the blind expansion of their high energy consuming industries, accelerate the upgrading of industrial structure, and transfer or eliminate related backward enterprises. At the same time, other provinces and cities should strengthen technological exchanges with Tianjin, share Tianjin’s technological innovation achievements, and promote the improvement of energy and environmental efficiency in the entire eastern region.

Key words: energy and environmental efficiency, aggressive cross-efficiency, natural disposability, management disposability, environmental strategy

摘要： 随着环境问题的日益严峻,如何提高能源利用效率,逐渐成为中国经济发展亟待解决的重要问题。而东部地区是中国改革开放的先行区域,其节能减排经验和措施可以在一定程度上为其他区域提供参考。为从自互评体系研究中国东部地区在自然处置和管理处置策略下的动态能源环境效率,论文建立了自然处置和管理处置动态交叉效率模型,根据《中国统计年鉴》(2016—2020),《中国能源统计年鉴》(2016—2020)的相关数据,对2015—2019年中国东部地区的能源环境效率和环境策略选择进行实证研究。结果表明:2015—2019年期间,大多数省市在自然处置下的能源环境效率更高,而管理处置下大部分省市能源环境效率偏低,有较大的节能减排潜力。从整个研究时期来看,天津之外的省市采取自然处置策略对能源环境效率的提高更有效,而天津采取管理处置策略对提高效率更有帮助。

关键词: 能源环境效率, 压他型交叉效率, 自然处置, 管理处置, 环境策略