在我国市场经济飞速发展背景下，为了确保经济的发展速度，社会对用电量 也有越来越高的需求。一方面，企业生产需要大量电量支持，另一方面百姓高质 量生活也离不开电。所以对于发电企业来说，若其无法实现供电量的提升，进一 步推动电力供应量增长，就无法满足当前社会发展需求。虽然目前我国也积极拓 展水电、风电等环保型发电方式，但火力发电量仍占据首位，碳减排任务艰巨。 在碳减排工作践行的过程中，核心是要确保碳减排效率提升。结合我国目前经济 发展现状来说，区域经济发展不平衡是一个突出问题，而且不同地区的资源存在 差异，所以导致我国不同省市的碳减排效率也会有不同的差异。 通过研究Y省火力发电企业碳排放现状及碳减排效率变化情况，从而找出Y 省火力发电企业碳排放存在的问题，有针对性的提出提高Y省火力发电企业碳 减排效率的措施，这对Y省火力发电企业绿色环保、可持续发展具有重大的现 实意义及理论意义。本文以Y省为研究对象，针对其碳排放现状，采用DEA模 型以及Malmquist指数模型的方法，研究火电企业碳减排效率问题。文章首先对 国内外相关的研究进行了整理分析，奠定了文章的理论基础，确定了本研究所要 采用的方法，其次选取了Y省五个具有代表性的火力发电企业进行分析，阐述 了Y省火力发电行业生产、消费及碳排放现状。再次，构建了Y省火力发电企 业碳减排效率模型，同时通过查阅相关资料，总结了我国范围内所有省市的碳减 排效率，明确Y省的差距。最后，对Y省火力发电企业碳减排效率进行了实证 分析，并根据结果提出Y省火力发电企业碳减排效率的改进策略，以期可以给Y 省火力发电企业提升碳减排效率提供一定的参考。 在环境污染日益严重的今天，如何处理好经济发展与保护环境之间的关系， 实现经济社会的可持续发展，对任何一个国家来说都至关重要。基于本文提出的 针对性举措，不仅可以促使Y省有效改善其在当前背景下的碳排放效率情况，也 可以给其他省市做出参考，对推动我国的碳减排进程有一定帮助。 关键词：火力发电企业；碳减排效率；DEA；Malmquist 昆明理工大学专业学位硕士学位论文Y省火力发电企业碳减排效率评价研究 II Abstract UnderthebackgroundoftherapiddevelopmentofChina'smarketeconomy,in ordertoensurethespeedofeconomicdevelopment,thesocietyalsohashigherand higherdemandforelectricity.Ontheonehand,theproductionofenterprisesneedsa largeamountofelectricitysupport.Anotherhand,people'slifeisalsoinseparable fromelectricity.Therefore,forpowergenerationenterprises,iftheycannotachieve theimprovementofpowersupplyandfurtherpromotethegrowthofpowersupply, theycannotmeetthecurrentsocialdevelopmentneeds.AlthoughChinaisalso activelyexpandingenvironmentalprotectionpowergenerationmethodssuchas hydropowerandwindpower,thethermalpowergenerationstilloccupiesthefirst place,andthecarbonemissionproblemisdifficult.Inthepracticeofcarbonemission reduction,thecoreistoensureahighcarbonemissionrateinChina.Consideringthe currentsituationofChina'seconomicdevelopment,theimbalanceofregional economicdevelopmentisaprominentproblem,andtheresourcesindifferentregions aredifferent,sothecarbonemissionefficiencyofdifferentprovincesandcitiesin Chinawillbedifferent. Basedontheabovebackground,thispapertakesyProvinceastheresearch object,aimingatitscarbonemissionstatus,adoptsDEAmodelandMalmquistindex modeltostudythecarbonemissionreductionefficiencyofenterprises.Firstly,this paperanalyzestherelevantresearchathomeandabroad,establishesthetheoretical basisofthearticle,determinesthemethodstobeadoptedinthisresearch,andthen selectsfiverepresentativethermalpowerenterprisesinYprovincetoanalyze,and expoundsthecurrentsituationofthermalpowerindustry,production,consumption andcarbonemissioninYProvince.Thirdly,thepaperconstructsthecarbonemission reductionefficiencymodelofthermalpowerenterprisesinYProvince,and summarizesthecarbonemissionreductionefficiencyofallprovincesandcitiesin Chinabyconsultingrelevantmaterials,whichidentifythegapbetweenYprovince andotherprovinces.Finally,thepapermakesanempiricalanalysisofthecarbon emissionreductionefficiencyofthethermalpowerenterprisesinYProvince,and givestheimprovementstrategiesofthecarbonemissionreductionefficiencyofthe 昆明理工大学专业学位硕士学位论文Y省火力发电企业碳减排效率评价研究 III thermalpowerenterprisesinYprovinceaccordingtotheresults,inordertoprovide somereferenceforthethermalpowerenterprisesinYprovincetoimprovethecarbon emissionreductionefficiency. Nowadays,environmentalpollutionisbecomingmoreandmoreserious.Howto dealwiththerelationshipbetweeneconomicdevelopmentandenvironmental protectionandrealizethesustainabledevelopmentofeconomyandsocietyisvery importantforanycountry.Basedonthetargetedmeasuresweproposedinthispaper, theycanhelpYprovincetoimprovethecurrentcarbonemissionefficiency,andthey canalsogiveotheraspectsProvincesandcitiestomakeareference.Itwillbehelpful topromotetheprocessofcarbonemissionreductioninChina. Keywords:carbontrading;thermalpowerenterprises;carbonemissionreduction 昆明理工大学专业学位硕士学位论文Y省火力发电企业碳减排效率评价研究 i 目录 摘要................................................................................................................................I Abstract..........................................................................................................................II 第一章绪论...............................................................................................1 1.1选题背景........................................................................................1 1.2国内外研究现状............................................................................2 1.2.1国外研究现状........................................................................2 1.2.2国内研究现状........................................................................4 1.2.3研究评述................................................................................6 1.3选题目的与意义............................................................................7 1.3.1研究目的...............................................................................7 1.3.2研究意义...............................................................................7 1.4研究思路与方法............................................................................8 1.4.1研究内容...............................................................................8 1.4.2研究方法...............................................................................9 第二章研究的相关理论和方法.............................................................11 2.1外部性理论..................................................................................11 2.2火力发电企业碳排放核算基础..................................................12 2.3DEA模型......................................................................................13 2.4Malmquist模型.............................................................................18 第三章Y省火力发电企业碳排放现状分析.........................................20 3.1Y省火力发电企业现状...............................................................20 3.2Y省火力发电生产及消费现状...................................................22 3.3Y省火力发电企业碳排放现状...................................................24 第四章Y省火力发电企业碳减排效率评价体系构建.........................29 4.1火力发电企业碳减排效率指标体系构建..................................29 昆明理工大学专业学位硕士学位论文Y省火力发电企业碳减排效率评价研究 ii 4.1.1指标体系选择标准..............................................................29 4.1.2指标体系选择......................................................................30 4.2Y省火电企业碳减排效率静态结果分析...................................31 4.3全国火电企业碳减排效率对Y省的启示分析........................33 第五章Y省火力发电企业碳减排效率影响原因及策略制定.............41 5.1Y省火电企业碳减排效率动态结果分析...................................41 5.2Y省火电企业碳减排效率变化原因初步分析...........................43 5.3Y省火力发电企业碳减排策略制定...........................................44 5.3.1完善碳排放效率激励机制..................................................44 5.3.2合理引入竞争机制..............................................................44 5.3.3改善火力发电企业生产环境..............................................45 第六章结论与展望.................................................................................47 6