基于DEA的高污染高环境风险产品筛选方法研究
发布时间：2019-01-09 18:50
【摘要】：高污染、高环境风险产品(以下简称“双高”产品)的筛选是我国《“高污染、高环境风险”产品名录》(以下简称名录)制定的基础。随着名录影响力的扩大,“双高”产品的筛选方法也逐渐受到公众和名录制定机构的关注和重视,过去以专家打分法的为主的筛选体系无法支撑当前的需求。迫切需要一种新的产品筛选方法,能够科学全面评价产品环境和经济特征；能够对“双高”产品的遴选、排序和判定；能够切实可行的应用到名录制定工作当中。本文分析现有名录制定3种方法的优缺点,同时梳理国内外环境绩效评价方法,最终选择和尝试使用数据包络分析(以下简称DEA)于“双高”产品筛选中。DEA通过最优化线性规划评价具有多投入多产出的产品(DEA中称为决策单元,Decision Making Units, DMU),识别他们的相对有效和相对无效性,并将相对无效的产品按照无效严重程度进行排序,找出最需要帮助的产品。本文将DEA引入产品环境绩效评价中,构建反映产品“双高”属性的指标体系,选取国民经济行业分类中的36个主要行业作为DEA参照集,基于参照集对其他产品进行环境绩效评价；另外以行业为区分制定筛选阈值,将产品的环境绩效评价结果与阈值进行比对后,筛选出环境绩效指数低于阈值的产品列入“双高”名录中。本文的结论和贡献主要体现在以下三个方面：(1)将DEA中的C2R模型引入产品的环境绩效指数构建中,建立22个二级指标和7个一级指标组成的指标体系,并测算了我国36个行业的环境绩效指数。(2)构建基于DEA的“双高”产品筛选方法。引入参照集和阈值概念,一方面,以36个行业为参照集,将被测产品与参照集同时放入C2R模型中,计算被测产品的环境绩效指数；另一方面,构建了反映行业差异的筛选阈值。(3)实证研究表明筛选方法能够适应“双高”名录制定的需求。该方法既能够将产品环境绩效定量化,也能通过行业特征构建阈值体系对产品进行“双高”筛选和判定。(4)提出了基于DEA的“双高”产品筛选方法优化思路。通过丰富和完善指标体系,即可提升“双高”产品筛选时的全面性和科学性；通过加强DEA方法的研究,可将带有“偏好”的DEA模型引入“双高”产品筛选中,从而体现名录制定中对各指标的重视程度差异,适应名录工作需求。
[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.
【学位授予单位】：北京化工大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：X322
本文编号：2405965
[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.
【学位授予单位】：北京化工大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：X322
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