随着我国经济基础的日渐雄厚，企业和社会越来注重环境保护与可持续发展，绿 色化已成为企业发展的新要求，全面推行绿色制造成为我国参与国际竞争、提高竞争 力的重要选择。供应链在国际环境变化、国家政策引导、自身绿色环保意识中逐渐向 绿色供应链转型。绿色供应链是绿色制造理论与供应链管理技术结合的产物，科学有 效的对绿色供应链企业进行评价与管理，有利于供应链信息反馈与各环节调整，形成 一个闭环绿色供应链体系，最大限度降低对环境和社会的负面影响，进而提高绿色供 应链企业的效率，实现企业与社会的绿色可持续发展。 本研究在全要素和可持续发展相关理论基础的指导下，从全要素视角出发，选取 国家工业和信息化部公示的绿色供应链管理示范企业为研究对象，首先运用四阶段 DEA 方法和 Malmquist 指数对 2014-2018 年 A 股上市的 10 家绿色供应链管理示范企业 全要素效率进行测度与分析；其次将绿色供应链企业全要素效率解构为绿色供应链企 业全要素管理效率和绿色供应链企业全要素环境效率，从管理和环境双重视角挖掘绿 色供应链企业无效率的根源，识别改善策略和外生环境变量影响机理；然后结合 Malmquist 指数考察绿色供应链企业全要素效率的动态变化及分解情况，探究影响全要 素效率变动的因素；最后为加强绿色供应链管理、改善企业发展环境、提高绿色供应 链企业全要素效率提出合理有效建议，进而引领相关行业绿色转型，推动绿色制造体 系建设，加快生态文明建设。 研究发现：第一，绿色供应链企业全要素效率值在 0.73-0.85 之间，在 2014-2018 年期间呈现先下降后上升的态势，还有 15%-27%的提升空间，发展潜力巨大。第二， 九阳股份和诺力股份的平均全要素效率最高均为 1，振华重工的平均全要素效率最低为 0.490，效率最高值与最低值相差两倍，反映出绿色供应链企业发展的不平衡性。第三， 绿色供应链企业全要素管理效率明显高于绿色供应链企业全要素效率，外生环境对绿 色供应链企业全要素效率具有负面影响，忽略外部环境的评价结果存在偏差。第四， 九阳股份和诺力股份同时位于绿色供应链企业全要素效率和全要素管理效率的前沿 面；金风科技供应链无效率受到外部环境影响；海尔智家存在绿色供应链管理无效率 问题；潍柴动力、雪人股份、三一重工、特变电工、振华重工和四川长虹均存在不同 程度的管理无效率和环境无效率。第五，企业所在地区 GDP、年末人口数、专利申请 授权量比重与投入松弛量均呈负相关关系，外部环境水平越高，企业投入冗余越低。 第六，绿色供应链企业平均全要素效率变化下降 1.8%，技术进步是主要影响因素。 关键词：绿色供应链；全要素效率；四阶段 DEA；Malmquist 指数 论文类型：c.应用研究西南科技大学硕士学位论文 VI ABSTRACT With the growing economic base of our country, enterprises and society pay more attention to environmental protection and sustainable development. Greening has become a new requirement for enterprise development. Comprehensive implementation of green manufacturing has become an important choice for China to participate in international competition and improve competitiveness. The supply chain has gradually transformed into a green supply chain in the context of international environmental change, national policy guidance, and its own green environmental awareness. The green supply chain is the product of the combination of green manufacturing theory and supply chain management technology. Scientific and effective evaluation and management of green supply chain enterprises is conducive to supply chain information feedback and adjustment of various links to form a closed-loop green supply chain system, and to minimize the negative effect on the environment and society, thereby to improve the efficiency of green supply chain enterprises and achieve green and sustainable development of enterprises and society. Under the guidance of the theoretical basis of total factor and sustainable development, this study starts from the perspective of total factors, selects the green supply chain management demonstration enterprise publicized by the Ministry of Industry and Information Technology as the research object. Firstly, using the four-stage DEA method and Malmquist index to measure and analyze the total factor efficiency of 10 green supply chain management demonstration enterprises listed in A-shares in 2014-2018. Secondly, deconstructing the total factor efficiency of green supply chain enterprises into the total factor management efficiency and the total factor environmental efficiency of green supply chain enterprises to identify improvement strategies and mechanisms of exogenous environmental variables. And the roots of inefficiency of green supply chain enterprises are explored from the dual perspectives of management and environment. Then the Malmquist index is used to investigate the dynamic changes and decomposition of the total factor efficiency of green supply chain enterprises, and to explore the factors affecting the efficiency of total factor efficiency. Finally, it proposes reasonable and effective suggestions for strengthening green supply chain management, improving the development environment of enterprises, and improving the total factor efficiency of green supply chain enterprises. Then to lead the green transformation of relevant industries, promote the construction of green manufacturing systems, and accelerate the construction of ecological civilization. The study found that: First, the total factor efficiency value of green supply chain enterprisesVII is between 0.73-0.85, showing a trend of first decline and then rising during 2014-2018. There is room for improvement of 15%-27%, and the development potential is huge. Second, Jiuyang and Nuoli shares have the highest average total factor efficiency of 1, while Zhenhua Heavy Industry has the lowest average total factor efficiency of 0.490. The highest and the lowest efficiency value are twice as large, which reflects the imbalance in the development of green supply chain enterprises. Third, the total factor management efficiency is significantly higher than total factor efficiency of green supply chain enterprises. The exogenous environment has a negative impact on the total factor efficiency of green supply chain enterprises. There is a bias in the evaluation results of ignoring the external environment. Fourth, Jiuyang and Nuoli are at the forefront of the total factor efficiency and total factor management efficiency of green supply chain enterprises; the inefficiency of Goldwind's supply chain is affected by the external environment; Haier Zhijia has inefficiencies in green supply chain management; Weichai Power, Snowman, Sany Heavy Industry, TBEA, Zhenhua Heavy Industry and Sichuan Changhong all have different levels of management inefficiency and environmental inefficiency. Fifth, the GDP, the population at the end of the year, and the proportion of authorized patent applications of the region where the enterprise is located are negatively correlated with the slack of input variables. The higher the external environment level is, the lower the redundancy of enterprise investment will be. The higher the level of external environment, the lower the enterprise's input redundancy. Sixth, the change of the average total factor efficiency of green supply chain enterprises has decreased by 1.8%, and technological progress is the main influencing factor. KEY WORDS: Green supply chain; Total factor efficiency; Four-stage DEA; Malmquist index TYPE OF THESIS : c.Application Research 西南科技大学硕士学位论文西南科技大学硕士学位论文 VIII 目 录 摘要........ IV ABSTRACTVI 目 录......VIII 1 绪论............1 1.1 研究背景........................1 1.2 研究目的与意义............2 1.2.1 研究目的.............2 1.2.2 研究意义.............3 1.3 国内外研究现状............3 1.3.1 绿色供应链实践.3 1.3.2 绿色供应链绩效评价指标体系构建5 1.3.3 绿色供应链绩效评价方法................6 1.3.4 文献述评.............7 1.4 研究内容、方法及技术路线.......................8 1.4.1 研究内容.............8 1.4.2 研究方法.............8 1.4.3 技术路线.............9 1.5 研究创新点..................10 2 相关概念与理论基础.............11 2.1 相关概念......................11 2.1.1 绿色供应链.......11 2.1.2 绩效评价...........12 2.1.3 全要素生产率...12 2.2 理论基础......................13 2.2.1 可持续发展理论..............................13 2.2.2 效率评价理论...13 3 全要素视角下绿色供应链企业绩效评价指标体系构建...................15 3.1 绿色供应链企业绩效评价指标体系构建原则........................15 3.1.1 科学性原则.......15 3.1.2 目的性原则.......15 3.1.3 可行性原则.......15IX 3.1.4 可比性原则.......16 3.2 绿色供应链企业绩效评价指标体系.........16 3.2.1 投入指标选取...16 3.2.2 产出指标选取...16 3.2.3 环境指标变量选取..........................18 4 全要素视角下绿色供应链企业绩效评价模型构建...........................19 4.1 绿色供应链企业绩效评价方法比较分析.19 4.1.1 随机前沿分析方法（SFA）...........19 4.1.2 传统数据包络分析（DEA）......... 19 4.1.3 其他绩效评价方法..........................20 4.2 四阶段 DEA 评价模型.............................. 20 4.2.1 第一阶段：原始数据的 DEA-BCC 模型计算.............20 4.2.2 第二阶段：外生变量识别 Tobit 模型..........................21 4.2.3 第三阶段：原始数据调整..............21 4.2.4 第四阶段：调整后数据的重新测度.............................22 4.3 绿色供应链企业全要素效率（GSETFE）的解构.................22 4.3.1 绿色供应链企业全要素管理效率（GSETFME）...... 22 4.3.2 绿色供应链企业全要素环境效率（GSETFEE）........23 4.4Malmquist 指数模型....23 5 绿色供应链企业绩效评价实证研究....................24 5.1 绿色供应链管理示范企业.........................24 5.2 数据来源与描述统计..24 5.3 绿色供应链企业全要素效率分析.............25 5.3.1 绿色供应链企业全要素效率综合评价.........................26 5.3.2 绿色供应链企业全要素效率的解构.............................28 5.3.3 绿色供应链企业全要素效率的改善策略识别.............30 5.3.4 外生环境变量识别..........................31 5.4 绿色供应链企业 Malquist 指数动态分析 33 6 研究结论与展望.....................35 6.1 主要结论......................35 6.2 对策建议......................37 6.2.1 增强绿色供应链企业技术创新能力.............................37 6.2.2 提高外部环境保障水平..................37 6.2.3 强化绿色供应链企业转型扶持力度.............................38 6.3 研究局限与展望..........38 西南科技大学硕士学位论文西南科技大学硕士学位论文 X 致 谢.........39。。。。。。以下内容略