【摘要】：高污染、高環(huán)境風(fēng)險(xiǎn)產(chǎn)品(以下簡(jiǎn)稱“雙高”產(chǎn)品)的篩選是我國《“高污染、高環(huán)境風(fēng)險(xiǎn)”產(chǎn)品名錄》(以下簡(jiǎn)稱名錄)制定的基礎(chǔ)。隨著名錄影響力的擴(kuò)大,“雙高”產(chǎn)品的篩選方法也逐漸受到公眾和名錄制定機(jī)構(gòu)的關(guān)注和重視,過去以專家打分法的為主的篩選體系無法支撐當(dāng)前的需求。迫切需要一種新的產(chǎn)品篩選方法,能夠科學(xué)全面評(píng)價(jià)產(chǎn)品環(huán)境和經(jīng)濟(jì)特征；能夠?qū)Α半p高”產(chǎn)品的遴選、排序和判定；能夠切實(shí)可行的應(yīng)用到名錄制定工作當(dāng)中。本文分析現(xiàn)有名錄制定3種方法的優(yōu)缺點(diǎn),同時(shí)梳理國內(nèi)外環(huán)境績(jī)效評(píng)價(jià)方法,最終選擇和嘗試使用數(shù)據(jù)包絡(luò)分析(以下簡(jiǎn)稱DEA)于“雙高”產(chǎn)品篩選中。DEA通過最優(yōu)化線性規(guī)劃評(píng)價(jià)具有多投入多產(chǎn)出的產(chǎn)品(DEA中稱為決策單元,Decision Making Units, DMU),識(shí)別他們的相對(duì)有效和相對(duì)無效性,并將相對(duì)無效的產(chǎn)品按照無效嚴(yán)重程度進(jìn)行排序,找出最需要幫助的產(chǎn)品。本文將DEA引入產(chǎn)品環(huán)境績(jī)效評(píng)價(jià)中,構(gòu)建反映產(chǎn)品“雙高”屬性的指標(biāo)體系,選取國民經(jīng)濟(jì)行業(yè)分類中的36個(gè)主要行業(yè)作為DEA參照集,基于參照集對(duì)其他產(chǎn)品進(jìn)行環(huán)境績(jī)效評(píng)價(jià)；另外以行業(yè)為區(qū)分制定篩選閾值,將產(chǎn)品的環(huán)境績(jī)效評(píng)價(jià)結(jié)果與閾值進(jìn)行比對(duì)后,篩選出環(huán)境績(jī)效指數(shù)低于閾值的產(chǎn)品列入“雙高”名錄中。本文的結(jié)論和貢獻(xiàn)主要體現(xiàn)在以下三個(gè)方面：(1)將DEA中的C2R模型引入產(chǎn)品的環(huán)境績(jī)效指數(shù)構(gòu)建中,建立22個(gè)二級(jí)指標(biāo)和7個(gè)一級(jí)指標(biāo)組成的指標(biāo)體系,并測(cè)算了我國36個(gè)行業(yè)的環(huán)境績(jī)效指數(shù)。(2)構(gòu)建基于DEA的“雙高”產(chǎn)品篩選方法。引入?yún)⒄占烷撝蹈拍?一方面,以36個(gè)行業(yè)為參照集,將被測(cè)產(chǎn)品與參照集同時(shí)放入C2R模型中,計(jì)算被測(cè)產(chǎn)品的環(huán)境績(jī)效指數(shù)；另一方面,構(gòu)建了反映行業(yè)差異的篩選閾值。(3)實(shí)證研究表明篩選方法能夠適應(yīng)“雙高”名錄制定的需求。該方法既能夠?qū)a(chǎn)品環(huán)境績(jī)效定量化,也能通過行業(yè)特征構(gòu)建閾值體系對(duì)產(chǎn)品進(jìn)行“雙高”篩選和判定。(4)提出了基于DEA的“雙高”產(chǎn)品篩選方法優(yōu)化思路。通過豐富和完善指標(biāo)體系,即可提升“雙高”產(chǎn)品篩選時(shí)的全面性和科學(xué)性；通過加強(qiáng)DEA方法的研究,可將帶有“偏好”的DEA模型引入“雙高”產(chǎn)品篩選中,從而體現(xiàn)名錄制定中對(duì)各指標(biāo)的重視程度差異,適應(yīng)名錄工作需求。
[Abstract]:The screening of products with high pollution and high environmental risk (hereinafter referred to as "double high" products) is the basis of making the list of products with "high pollution and high environmental risk" (hereinafter referred to as "list") in our country. With the expansion of the influence of the list, the screening methods of "double high" products have been paid more and more attention by the public and the list making organizations. The screening system based on the expert scoring method in the past can not support the current demand. There is an urgent need for a new product screening method, which can evaluate the environmental and economic characteristics of the products scientifically and comprehensively; can select, rank and judge the "double high" products; and can be applied to the list making work. This paper analyzes the advantages and disadvantages of the three existing methods of directory development, and combs the domestic and foreign environmental performance evaluation methods. Finally, data envelopment analysis (DEA) is selected and tried in the selection of "double high" products. DEA evaluates products with multiple inputs and outputs through optimal linear programming (DEA is called decision making unit, Decision Making Units, DMU),). Identify their relative effectiveness and relative ineffectiveness and rank the relatively ineffective products according to the severity of invalidation to identify the products most in need of help. This paper introduces DEA into the evaluation of product environmental performance, constructs the index system which reflects the attribute of "double high" of product, and selects 36 main industries in industry classification of national economy as the reference set of DEA. Environmental performance evaluation of other products based on reference set; After comparing the environmental performance evaluation results with the threshold value, the products whose environmental performance index is lower than the threshold value are listed in the "double high" list. The conclusions and contributions of this paper are mainly reflected in the following three aspects: (1) the C2R model in DEA is introduced into the construction of environmental performance index of products, and the index system consisting of 22 secondary indicators and 7 first-grade indicators is established. The environmental performance index of 36 industries in China was calculated. (2) the method of "double high" product screening based on DEA was constructed. The concept of reference set and threshold is introduced. On the one hand, 36 industries are taken as reference sets, the products and reference sets are put into the C2R model at the same time, and the environmental performance index of tested products is calculated. On the other hand, a screening threshold reflecting industry differences is constructed. (3) empirical research shows that the screening method can meet the needs of "double high" list. This method can not only quantify the environmental performance of the product, but also select and judge the product by constructing the threshold system of the industry characteristics. (4) the optimization idea of the "double high" product screening method based on DEA is put forward. By enriching and perfecting the index system, we can improve the comprehensiveness and scientificalness of "double high" product screening. By strengthening the research of DEA method, the DEA model with "preference" can be introduced into the screening of "double high" products, so as to reflect the differences in the importance of each index in the making of the list and to meet the needs of the list work.
【學(xué)位授予單位】：北京化工大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：X322

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