【作者】 张志宗；

【导师】 陆书玉；

【作者基本信息】 东华大学 ， 环境工程， 2011， 博士

【摘要】 清洁生产是实施循环经济的技术载体,也是持续发展经济同时保护生态环境和合理利用资源的有效途径。对清洁生产效益进行综合评价,有助于了解清洁生产的开展情况,进而了解循环经济和可持续发展战略的执行情况。然而国内外对于从效益评价角度研究清洁生产还鲜有涉及。因此,选择清洁生产效益综合评价进行课题研究,以合适的数理统计、决策分析等理论作指导,初步建立基于环境效益、经济效益和社会效益的清洁生产效益综合评价体系,确定多方法集成的综合评价模式,并以此作为诊断清洁生产的有效工具,为政府部门提供决策手段,推进清洁生产向可持续清洁生产的方向发展,以期为清洁生产的决策、管理、研究提供新思路。本研究收集了充足的基础资料,整理了国内外清洁生产评价现有的指标体系；参照了国家颁布实施的清洁生产行业标准或国内外其它类比项目地实测、考察等调研资料,运用数学方法将评价指标体系中的定性指标转化为能反映实际情况、可操作性较强的量化数值；参考了国内外现有的评价方法和数学模型,通过系统分析和评价方法,将定性指标与定量指标统一起来,建立与指标体系相对应的综合评价模型,并考察数学模型的准确性和精确性,完善优化模型；利用建立的综合评价模型进行实证分析,提出清洁生产研究和管理方面的建议。本研究首先从清洁生产的起源、内涵、理论基础和发展综述出发,阐述了清洁生产是一整套系统而完整的可持续发展战略,强调预防为主、全过程控制,采取污染物源头削减措施。企业通过采用清洁生产方案,可以大幅度地减少污染物的排放总量和排放种类,取得明显的环境效益；可以减少一次性投资和运行费用,降低企业的生产成本,带来可观的经济效益；同时,推行清洁生产可带来巨大的社会效益。其次,讨论了评价指标体系的特点和功能、选取原则、构建和筛选、种类、研究现状,分析了国内外现有清洁生产评价指标体系和建设项目社会评价指标体系,并结合清洁生产审核经验和行业清洁生产自身特点,根据经济学和社会学原理,增加有关环境管理、经济效益和社会效益等方面的指标,建立符合清洁生产效益综合评价的指标体系,首次涵盖了清洁生产的环境效益、经济效益和社会效益3个方面。再次,分析了清洁生产与环境影响评价、清洁生产审核、生命周期评价等的相互关系和侧重点,叙述了清洁生产的现状研究、方法比较和权重确定方法,得出清洁生产评价活动顺利开展的必要条件是评价方法与指标体系的相互匹配,明确了影响评价合理性的重要因素是评价指标的权重确定。第四,从综合评价的基础理论谈起,在现有清洁生产评价方法的基础上,完善和补充了综合评价方法,将先进的主观评价方法和客观评价方法有序地引入综合评价全过程,获取主客观集成化的评价指标综合权重,构建新型的主客观集成化的综合评价系统,并将其首度应用于清洁生产效益评价。最后,选择石油炼制业内具有代表性的企业,对该企业的清洁生产状况和与效益有关的情况进行了调研和考察,摸清重点环节、关键节点和现状实况。运用清洁生产效益综合评价模式分析判断待评价对象的效益水平等级,找出需改进的薄弱环节,提出持续清洁生产的建议等。该实例研究过程首次进行了清洁生产的社会效益评价。本研究主要获得以下结论：(1)现阶段国内外专家学者对于清洁生产评价的研究工作主要考察企业所取得的环境效益,部分考察企业的经济效益,几乎不涉及社会效益；一般采用环境效益与经济效益互相分离且单独进行评价的方法；而从效益评价角度研究清洁生产的案例鲜有涉及。本文根据收集的基础资料,通过合理的数学手段进行清洁生产效益评价,包括环境效益、经济效益和社会效益三个方面的有机结合,其中首次进行清洁生产社会效益评价。(2)现有评价指标体系在一定程度上不能真正反映出清洁生产所能带来的实际效益。本文建立了符合清洁生产效益综合评价的指标体系。该体系首次涵盖清洁生产环境效益、经济效益、社会效益3个方面,包含4个纵向层次、3个横向子系统,由3个要素层指标、14个准则层指标和58个具体的评价指标组成,其中30项为定量评价指标,其余28项为定性评价指标。通过该体系可以直观、量化地体现实施清洁生产的综合效益。为使效益评价指标体系适用于各行业的清洁生产,各项具体的评价指标内容可根据行业特点适当进行删减或增添,删除某些信息较少的或不重要的评价指标,增加与清洁生产关联度大的或具有特征性的评价指标。(3)现有清洁生产评价方法中存在着内容不全面、评价指标不规范、方法较粗糙、主观性较强等问题,且并不适用于清洁生产效益评价。本文在现有清洁生产评价方法的基础上,有序地引入粗糙集理论、熵理论、模糊数学方法、层次分析法、统计分析原理等理论方法,构建新型的主客观集成化的综合评价系统,并将其首次应用于清洁生产效益评价。(4)清洁生产效益综合评价的权重确定是将各效益水平等级所对应的指标值与待评价对象相应的指标值组成一个关系集合,在熵理论和粗糙集理论的基础上,利用指标值数据本身包含的信息进行客观权重的确定,同时结合专家对评价指标相对重要性的主观意见划分,获取专家群组排序权重向量组。运用信息熵和粗糙集理论,比较由各权重确定方法之间的相对重要程度,包括主观赋值向量组(群组排序权重向量组)、客观赋值向量组,对各权重确定方法进行权重确定,最终获取主客观集成化的评价指标综合权重。(5)清洁生产效益综合评价的新模式流程如下：建立模糊集合,建立相对偏差模糊矩阵,建立综合评价模式,识别判断效益水平。模糊集合的建立运用了粗糙集等理论,实现了定性指标的量化处理；相对偏差模糊矩阵的运用,获得了包括各效益水平等级和待评价对象效益水平在内的数值结果；根据模糊数学的择近原则,实现了待评价对象的清洁生产效益水平所属级别的量化识别判断。本文提出的清洁生产效益综合评价方法首次实现了全过程的量化处理。(6)实例研究过程中,根据行业和企业的自身特点及可作为参考的现有评价标准和统计信息,建立综合评价的等级集合、指标集合。指标集合共包括48个评价指标,其中定量指标20个,定性指标28个。利用标准和相关统计年鉴的规定和内容,确定清洁生产效益各水平等级相对应的指标值。定量指标值直接获取,定性指标值由粗糙集理论确定离散型量化的数值,并由11人组成的专家组根据规则打分后取平均值进行赋值,最终形成综合评价的关系集合。通过清洁生产效益综合评价的新模式判断识别,待评价对象在资源能源利用、污染物产生、废物回收利用、产品指标、经济收益性、经济发展性、社会经济影响等方面已经达到清洁生产效益国际先进水平,而其它各方面基本达到国内先进水平。总体而言,该企业的清洁生产效益水平属于国内先进水平。(7)该企业的持续清洁生产主要针对还未达到国际先进水平的各方面开展,主要是生产工艺与装备、环境管理、环境投资和成本、社会环境影响、可持续发展等方面,应当研究和制定继续实施清洁生产的计划方案,并尽快付诸行动,使企业最终能够完全达到清洁生产效益国际先进水平。清洁生产效益的综合评价是清洁生产为数不多的研究角度,本课题选择在此方面系统研究了综合评价指标体系构建、综合评价模式确定和案例分析的全过程。课题成果有助于了解清洁生产的开展情况,了解循环经济和可持续发展战略的执行情况；主要适用于政府的决策管理部门,也可用于企业自查和环境管理,还可以用于企业清洁生产审计和建设项目环境影响评价工作。更多还原

【Abstract】 The conception of constructing a resource-economizing and environment-friendly society to a sustainable development way has impregnated into many fields of natural science and social science. Sustainable development indicates a development that can satisfy the demands of our offspring as well as can meet our present needs. It has evolved as a develop model which is currently accepted and turned into a significant sign of human society civilization and the common target.In days gone by, the key point of pollution abatement was put on the ending treatment, which means if we want to inhibit the worsen tendency, we have to increase the money invested, develop various pollution treatment technology and sophisticated equipment, set up pollution control measures, and dispose all classes of pollutants during manufacture. Such traditional ending treatment model resulted in wasting of resources, high expense, hard to manage and high risk of contamination. It’s difficult to achieve the unification of economic benefit, social benefit and environmental benefit. Also the sustainable developing strategy is difficult to carry out.Companies have often introduced processes without considering their environmental impact. They have argued that a tradeoff is required between economic growth and the environment, and that some level of pollution must be accepted if reasonable rates of economic growth are to be achieved. This argument was no longer valid, and the United Nations Conference on Environment and Development (UNCED), held in Rio de Janeiro in June 1992, established new goals for the world community that advocate environmentally sustainable development. Cleaner production can contribute to sustainable development, as endorsed by Agenda 21. Cleaner production can reduce or eliminate the need to trade off environmental protection against economic growth, occupational safety against productivity, and consumer safety against competition in international markets. Setting goals across a range of sustainability issues leads to ’win-win’ situations that benefit everyone.Cleaner production is defined as the continuous application of an integrated preventive environmental strategy applied to processes, products and services to increase overall efficiency and reduce risks to humans and the environment. For production processes, Cleaner production involves the conservation of raw materials and energy, the elimination of toxic raw materials, and the reduction in the quantities and toxicity of wastes and emissions. For product development and design, Cleaner production involves the reduction of negative impacts throughout the life cycle of the product:from raw material extraction to ultimate disposal. For service industries, Cleaner Production involves the incorporation of environmental considerations into the design and delivery of services. Cleaner production can be and has already been applied to raw material extraction, manufacturing, agriculture, fisheries, transportation, tourism, hospitals, energy generation and information systems. It is important to stress that cleaner production is about attitudinal as well as technological change. In many cases, the most significant cleaner production benefits can be gained through lateral thinking, without adopting technological solutions. A change in attitude on the part of company directors, managers and employees is crucial to gaining the most from cleaner production.When cleaner Production and pollution control options are carefully evaluated and compared, the cleaner production options are often more cost effective overall. The initial investment for Cleaner Production options and for installing pollution control technologies may be similar, but the ongoing costs of pollution control will generally be greater than for Cleaner Production. Furthermore, the Cleaner Production option will generate savings through reduced costs for raw materials, energy, waste treatment and regulatory compliance. The environmental benefits of Cleaner Production can be translated into market opportunities for greener products. Companies that factor environmental considerations into the design stage of a product will be well placed to benefit from the marketing advantages of any future ecolabelling schemes.Moreover Cleaner Production must be considered to be an integral part of national strategy to establish a circular economy, whose framework conditions will be stipulated in a law that is currently being prepared at the national level. Despite these proactive policies, every country faces significant challenges in effecting extensive and sustainable changes to industrial activities and environmental protection practices. These challenges include the establishment of an adequate institutional framework, which is still being built, a basic lack of awareness capacity and resources among enterprises, and the difficulty in creating a market for Cleaner Production services. Developments in chinese political and economic conditions demand the widespread adoption of Cleaner Production practices and offer opportunities to improve the pursuit of Cleaner Production. Increasing pressure from the general public through the media and citizens’protests on the one hand, and ever tougher implementation and enforcement by provincial and local governments on the other hand, create a situation in China, in which greener production has considerable competitive advantages. Additionally, pressure on Chinese exporters and suppliers from multinational companies as well as on joint-venture partners to comply with the requirements of environmentally conscious customers in industrialized countries, have led to an improvement of the environmental performance of Chinese industries. Thus, external pressures requiring improved environmental performance and product quality are contributing to a growing demand for environmental management services and of complementary tools and approaches, such as life cycle analysis, green design and health and safety measures.The key of cleaner production is how to assess or predict the economic, environmental and social benefit of cleaner production by using optimal methods. And comprehensive assessment method of cleaner production benefit is not a normal method to put into practice, little experts took time to do it. In the following, based on cleaner production assessment home and abroad, to settle the matter of overfull indicators and subjective assessment and so on, the assessment method and the whole process were discussed. The aim was to propose a methodology to assist in developing and optimizing cleaner production processes, and to promote continuering cleaner production.The first part of this thesis gave the opinion that cleaner production, a whole set of sustainable development stratage, was accepted by all of the countries and widely applicable. The main idea was prevent first, process control, and source cut. The second part focused on the indicator system. Cleaner production assessment indicator system, the important ring of cleaner production auditing, was regarded as the impersonal criterion to choose appropriate technique program. Assessment indicator system was the sign of management science and the yardstick of quantitative analysis. When to select the indicator, the following principles should be obeyed:life cycle analysis; pollution prevention; easily quantitative; handy data; space time rule; impersonal veracity; simple and integrative assessment; clear connotation and maneuverability.It was the first time to assess the economic, environmental and social benefit of cleaner production with only one indicator system, used in this thesis was divided into three classes. The first-class included 3 aspects:environmental benefit, economic benefit and social benefit. The second-class included 14 aspects:technology and equipment, utilization of resource and energy, product, pollutant emission (before treatment), waste reuse demand, environmental management demand, economic scale, economic generator, economic advance, policy consistent, social economy, social environment, sustainable development and other aspect. The third-class includes 58 aspects, and 30 of them were quantificational indicators,28 of them were qualitative indicators. Each indicator was divided into four ranks as international advanced level, domestic advanced level, domestic ordinary level and unknown level of chosen enterprise.The third part compared cleaner production with environment impact assessment, cleaner production auditing, and life cycle assessment. It came to the result that assessment method matching to indicator system could make cleaner production assessment go on wheels.The forth part was the most important that the comprehensive assessment method of cleaner production benefit, established with rough set theory, entropy theory, analytic hierarchy process, and fuzzy mathematics, was the first time to have application in cleaner production benefit evaluation. The assessment not only provided a set of systematical methods on cleaner production improving its research methodology, but also provided help for enterprise practice, and it was the first timeThe integration of subjective evaluate and impersonal evaluate was significant to conform weight of indicators. Subjective weight of indicator was conformed by analytic hierarchy process, which was widely used in value assignment, and impersonal weight was conformed by rough set theory and entropy theory, which were newly used in value assignment. The integration weight was formed with rough set theory and information entropy theory.Qualitative indicator might change to be quantized with discretization and rough set theory, and numerical solution of benefit assessment might come true with relative deviation fuzzy matrix. So it was the first time that the whole assessment process was quantized in cleaner production benefit assessment.A simple system of chinese petroleum processing industry was described as a case study to illustrate the proposed methodology in the fifth part. As the work was done in close co-operation with the local producer, it was possible to obtain a large amount of site-specific inventory data. And it was also the first time to realize the society benefit assessmet of cleaner production.The proposed method allowed overall evaluation of risk resulting from the process and products, quantitative analysis of environmental loading related to material and energy flows used in the process as well to flows of environmental unfriendly products and wastes, recovery of secondary materials from wastes and recycling to be taken into account, consumption of raw materials and use of energy recovered in the process to be considered, flows of industrial wastes (solid, liquid and gaseous) to be taken into account, flows of manufactured environmentally noxious products to be included in the assessment.The results showed that comprehensive assessment method coule be easily employed to evaluate cleaner production level, and had a wider applicability and relevance to implement cleaner production as well to perform comparative analyses of other industries.更多还原