基于改进三阶段松弛测量-数据包络模型的火电上市公司碳排放效率评估研究  

The Carbon Emission Efficiency of China’s Listed Thermal Power Companies:An Improved Three-Stage Slack Based Measure-Data Envelopment Analysis Model

作　　者：袁家海[1,2] 胡玥琳 张健 YUAN Jiahai;HU Yuelin;ZHANG Jian(School of Economics and Management,North China Electric Power University,Beijing 102206,China;Beijing Key Laboratory of New Energy and Low-Carbon Development(North China Electric Power University),Beijing 102206,China)

机构地区：[1]华北电力大学经济与管理学院,北京市昌平区102206 [2]新能源电力与低碳发展研究北京市重点实验室(华北电力大学),北京市昌平区102206

出　　处：《发电技术》2024年第3期458-467,共10页Power Generation Technology

基　　金：国家自然科学基金项目(72173043);教育部哲学社会科学研究后期资助项目(22JHQ096)。

摘　　要：【目的】计算火电上市公司的碳排放效率,对比分析效率排名居后的原因及排名前列的驱动因素,根据差异性条件对火电公司进行分组,探讨造成效率差异的影响因素。【方法】基于非期望产出的改进三阶段松弛值测量(slackbasedmeasure, SBM)-数据包络分析(data envelopment analysis,DEA)模型评估中国火电上市公司2016—2022年全要素碳排放效率。【结果】火电上市公司的碳排放效率逐年递增,并在剔除外部环境影响后整体下降。增加政府环保补贴可能会引发火电公司资本、人员和煤炭过度投入;增加地区研发投入对公司资产、人员和煤耗量具有积极作用;区域经济水平的提高会促进企业资产优化配置和人员有效管理,但会导致发电煤耗量的浪费。【结论】中央实控、低煤耗率和有碳排放交易的火电上市公司技术差距率更高,整体碳排放效率水平更优。[Objectives]Calculate the carbon emission efficiency of listed thermal power companies,compare and analyze the reasons why the efficiency ranks at the bottom and the top driving factors,group thermal power companies according to different conditions,and explore the influencing factors of efficiency differences.[Methods]Based on the improved three-stage undesirable-slack based measure(SBM)-data envelopment analysis(DEA)model to more accurately measure the total-factor carbon emission efficiency of China listed thermal power companies during 2016-2022.[Results]The carbon emission efficiency of listed thermal power companies rises annually and lowers when the effects of the external environment are taken into account.The increasing environmental subsidies from government may lead to excessive investment of capital,personnel and coal consumption in the thermal power companies.The increasing in regional R&D investment has a beneficial impact on company assets,personnel,and coal consumption.The most effective utilization of company assets and employees management will be promoted by a better regional economic level,but wasteful consumption of coal for power generation will occur.[Conclusions]The listed thermal power companies with central control,low coal consumption rate and carbon emissions trading have higher technology gap rate and better overall carbon emission efficiency.

关 键 词：改进三阶段松弛值测量-数据包络分析(SBM-DEA) MALMQUIST指数 火电上市公司 碳排放效率 

分 类 号：TK01[动力工程及工程热物理] F426[经济管理—产业经济]