能源效率测度和资源优化配置的非参数前沿面建模方法研究

项目名称： 能源效率测度和资源优化配置的非参数前沿面建模方法研究

项目编号： No.71471018

项目类型： 面上项目

立项/批准年度： 2015

项目学科： 管理科学

项目作者： 王科

作者单位： 北京理工大学

项目金额： 62万元

中文摘要： 针对能源环境效率测度、节能减排相关资源优化配置及其成本效益估算开展理论方法和建模研究，是科学提升能源环境管理绩效的前提和基础。当前基于非参数前沿面分析开展的建模研究尚存在诸如距离函数方向向量选取随意性大，忽略效率前沿面潜在收缩塌陷和影子价格识别方向不一致等问题，以及资源配置和成本效益估算中较少考虑要素互补替代关系等不足。针对上述问题，本项目基于非参数前沿面建模理论，研究设计更加科学的建模机制，包括期望与非期望产出方向向量内生机制、非期望产出自由处置性选择机制、前沿面收缩重构机制、负向影子价格规避和一致性影子价格寻优机制、非期望产出排放权非独立迭代调整机制等。在此基础上，构建新的或改进的能源环境集成效率和生产率测度模型、节能减排目标分解和资源优化配置模型、减排成本和潜在效益增量估算模型。结合能源管理现实需求开展应用研究，验证建模机制和模型方法的有效性，为提升能源管理绩效提供决策支持。

中文关键词： 效率评价建模；资源配置建模；数据包络分析；非参数前沿面分析；成本效益估算建模

英文摘要： Energy and environmental efficiency evaluation modeling, energy saving and emission reduction related resources allocation modeling, and relative cost and benefit estimation modeling are considered as the foundation of improving energy management performance. Currently, there still exist several shortages on the non-parametric frontier analysis based efficiency evaluation and resources allocation modeling, such as, arbitrarily choosing the direction vector in the direction distance function based efficiency measure, ignoring the potential contraction of frontier when measuring productivity, ignoring the possible inappropriate shadow price when solving the dual optimization program, and lacking the consideration of complementarity and substitutability relationship of input and output factors when allocating resources and estimating cost and benefit from energy saving and emission reduction process. Focusing on the above shortages and based on the non-parametric frontier efficiency evaluation framework, this project performs the following studies: designing the endogenous mechanism of identifying desirable and undesirable outputs related direction vectors; designing the mechanism of choosing appropriate disposability assumption on undesirable output; designing the mechanism of reconstructing contracted frontier; designing the mechanism of avoiding non-positive shadow price and searching consistency shadow price; and designing the independent iteration and adjustment scheme for undesirable output emission rights and integrated evaluation scheme for potential gains from resources allocation. Based on these mechanisms proposed, new or modified energy and environmental efficiency evaluation and productivity evaluation models, energy saving and emission reduction target decomposition and related resources allocation models, and emission reduction cost and benefit estimation models will be developed. These newly developed models and mechanisms will be applied to China's regional energy efficiency evaluation issues, and the empirical results will verify the effectiveness of the models and mechanisms, and provide decision supports for promoting the performance of energy management.

英文关键词： Efficiency evaluation modeling;Resources allocation modelling;Data envelopment analysis;Non-parametric frontier analysis;Cost and benifit estimation modeling