然而，众所周知，雾霾、水污染这些环境问题依然困扰着如今的中国。虽然国家
采取了一定的措施控制了火电企业的能源消耗和污染排放，但是，这些高能耗高污染
的企业是否还存在改善环境绩效的潜力呢？本文采取数据包络分析方法（简称 DEA
方法），测算了中国上市火电企业的节能减排绩效——环境绩效，最终得出只有 4 家
企业在分析年份内实现了 DEA 最优，其余 16 家火电企业仍然存在改善环境绩效的潜
力。进一步地，本文又从区域和企业规模角度分析不同火电企业间环境绩效的差异，
结果表明东部地区的火电企业表现出更好的环境绩效、中部地区次之、西部地区最末，
而火电企业的规模并不显著地影响其环境绩效
基于利益相关者理论，本文分析环境绩效的提高除了需要政府部门的政策激励、
社会公众的广大监督外，还需要企业这一环境绩效改善的主要实施者从源头上控制能
源的消耗和污染的排放。然而，不少企业认为环境绩效的改善是与其企业管理的主要
目标——企业财富最大化相悖的，这种企业财富在某种程度上可以表现为企业的经济
绩效。因此，本文以基于数据包络分析方法计算出的环境绩效为基础，利用多元回归
分析方法探索火电企业的环境绩效与经济绩效的关系。研究结果表明二者呈现正相关
的关系，即环境绩效高的火电企业表现出更好的经济绩效。这也给本文环境绩效改善II
的实施者——火电企业一个参考，期望其能在环境绩效的改善过程中发挥主观能动
性，积极从源头上控制污染的排放和能源的消耗
最后，基于以上的研究，本文在归纳全文研究内容的基础上，对环保部门等政府
部门、火电企业提出改善环境绩效的建议，期望能够实现我国火电行业的可持续发展，
有效地保护好我国的生态环境
关键词：火电企业；环境绩效；经济绩效
作 者：许雪妮
指导教师：赵建新III
Study on the Environmental Performance of China&39;s Thermal Power
Enterprises and Its Relationship with Economic Performance based on
DEA and Multiple Regression Analysis
Abstract
Nowadays, with the growing environmental problems, environmental protection has
become a hot topic in China. As characterized by high energy consumption and high
pollution, thermal power enterprises are remediation targets in environmental protection
area. Especially since the 11th Five-Year Plan, our country has introduced a series of
policies to control the discharge of pollutants, and specially introduced the standards for
thermal power plants about air pollutant discharge to limit thermal power plants’ pollutant
emissions. Furthermore, China has also introduced the mechanism of subsidy price in order
to stimulate the power plants to increase environmental protection investment. From the
aspect of industrial structure adjustment, China implemented the encourage large projects
and discourage small energy-inefficient power plants policy, out of high energy
consumption of small thermal power units. All of the actives above and many more have
achieved some success.
However, as we all know, Haze, water pollution still plagued today&39;s China. Although
our country has taken some measures to control the energy consumption and pollution
emissions of the thermal power enterprises, it’s still a question that whether these high
emission and polluting enterprises have a potential for improvement. So in this paper, data
envelopment analysis method (DEA method) is adopted to measure the performance of
energy-saving and emission reduction (environmental performance) in China&39;s listed
thermal power enterprises. As a result, there are only 4 companies in the analysis of the
year achieve the DEA optimal, the remaining 16 thermal power companies still have a
potential to improve environmental performance. Furthermore, this paper analyzes the
differences in the environmental performance of different thermal power enterprises from
the perspective of regional and enterprise scale. The results show that the thermal power
enterprises in the eastern region show better environmental performance, followed by the
central region and the western region, and the size of the thermal power enterprises does
not significantly affect its environmental performance.IV
Based on the theory of stakeholder, this paper analyzes that the improvement of
environmental performance needs not only the policy incentives of the government
departments and the supervision of the public, but also the enterprises themselves as a
indispensable role. However, many companies believe that the improvement of
environmental performance is contrary to the main goal of their business management-to
maximize corporate wealth, this kind of corporate wealth can be expressed as the economic
performance of enterprises to some extent. Therefore, based on the environmental
performance with data envelopment analysis method, this paper explores the relationship
between environmental performance and economic performance in thermal power industry
by using multiple regression analysis. The results show that there is a positive correlation
between environmental performance and environmental performance, that is, thermal
power enterprises with higher environmental performance show better economic
performance. This is also a reference for the thermal power enterprises to play a subjective
initiative in the process of improving environmental performance and actively control the
emissions and energy consumption from the source.
Finally, based on the above research, this paper puts forward suggestions for
environmental protection departments and other government departments and thermal
power enterprises to improve the environmental performance, hoping to realize the
sustainable development of China&39;s thermal power industry and effectively protect the
ecosystem.
Key words: Thermal power enterprise; Environmental performance; Economic
performance
Written by Xueni Xu
Supervised by Jianxin Zhao
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目 录
第一章 引 言 .......1
1.1 研究背景 ..........1
1.2 研究意义 ..........3
1.2.1 理论意义....3
1.2.2 现实意义....3
1.3 研究内容和研究框架 ..5
1.3.1 研究内容....5
1.3.2 研究框架....7
1.4 论文可能的创新之处 ..7
第二章 文献综述 ...9
2.1 基于 DEA 的效率（绩效）研究........9
2.2 基于 DEA 的电力企业的效率（绩效）研究..........10
2.3 基于 DEA 的环境效率（绩效）研究.......... 11
2.4 环境绩效与经济绩效的关系研究 ....12
2.5 简要评析 ........15
第三章 概念界定与理论基础 .....16
3.1 相关概念的界定 ........16
3.1.1 环境绩效（环境效率）的概念解释......16
3.1.2 经济绩效的概念解释......17
3.2 理论基础 ..
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