【作者】 王林珠；

【导师】 杨昌明；

【作者基本信息】 中国地质大学 ， 管理科学与工程， 2013， 博士

【摘要】 煤炭是我国的重要资源,是支撑社会经济发展的基石。煤炭企业为我国经济高速发展做出了巨大贡献,但传统的粗放型开采模式,造成了严重的资源浪费和环境污染等一系列问题,再加上煤炭的有限性和不可再生性,这些问题决定了煤炭企业的发展问题成为一项重要的战略任务。循环经济作为一种协调资源、环境和经济发展的先进发展模式,成为煤炭企业探索新型工业化道路、实现可持续发展的必然选择。在这个过程中,如何大力发展适合煤炭企业特点的循环经济就成为当务之急,而如何科学地评价煤炭企业循环经济发展程度和发展趋势也成为促进循环经济发展的重要途径。目前对循环经济评价的研究成果很多,但对煤炭企业循环经济评价的研究并不多。如何科学评价煤炭企业循环经济发展水平呢?要想找到解决问题的方法,就必须对煤炭企业发展循环经济行为进行深入分析。还要对以下问题进行探讨：如何科学地界定煤炭企业发展循环经济的内涵?如何测度煤炭企业循环经济发展水平?如何遴选评价指标和构建评价指标体系?如何优选评价模型等等。这些研究能充实和完善煤炭企业循环经济评价理论,具有重要的理论意义。从另一个角度来说,通过评价,对煤炭企业进行科学分析并有效提取制约循环经济发展的相关因素,从而为重新调整循环经济发展规划,确定发展重心提供决策依据,这些研究也具有重要的实践指导意义。本文正是顺应了当前我国大力发展循环经济的时代需要,在现有理论基础上对循环经济内涵进行更深层次的认识,并根据自己的见解提出煤炭企业循环经济发展力的评价指标体系和评价方法。本文以煤炭企业发展循环经济、进行经济增长转型为研究背景,提出煤炭企业循环经济展力的概念；阐述了其内涵、特点、功能和运行机理：构建了煤炭企业循环经济发展力评价指标体系；运用层次分析法、灰色关联法和TOPSIS法集成的综合评价模型对煤炭企业循环经济发展力进行评价。本研究以河南义马煤业集团股份有限公司(以下简称：义煤集团)为例,对该企业循环经济发展力进行案例研究。最后,根据分析结果,论文提出了煤炭企业循环经济发展力提升的对策。全文研究内容分为九个部分,具体内容如下：第一章绪论,首先介绍了研究的背景和意义。通过对文献的综述,归纳了有关煤炭企业循环经济评价研究的主要成果和存在的不足,指出现有评价理论和研究方法上的局限。针对前人研究的不足,本文随后阐述了改进的研究思路、研究方法和研究内容,并对创新点作了简要说明。第二章阐述了煤炭企业循环经济发展力的相关理论。主要包括系统论、企业发展理论、可持续发展理论、循环经济理论。通过对理论内涵的阐述,剖析这些理论与煤炭企业发展之间的内在联系,为论文研究奠定了基础。第三章梳理了煤炭资源及其分布特征、煤炭资源的开发与生产、煤炭需求和消费开发情况,分析了煤炭企业的内涵及其发展特点,阐述了我国煤炭企业循环经济存在的问题,这些问题主要表现在如下几点：发展循环经济的动力不足；缺乏发展资金,制约煤炭企业循环经济进一步发展；发展循环经济所需的技术支撑体系不完备,导致环境污染和生态破坏严重；煤炭产业链短,资源综合利用程度较低；中小煤炭企业所占比重较大,市场集中度低,产业间协同度低；安全状况亟待改善等问题。第四章是论文理论研究的主要部分,回答了“为何提出煤炭企业循环经济发展力?”这个问题,并围绕这个问题展开了相关研究。首先提出循环经济发展力概念,对其内涵进行了剖析,并构建了煤炭企业循环经济发展力概念模型；接着阐述了煤炭企业循环经济发展力的特点,对其功能进行挖掘；最后运用“斜坡球体力学模型”对其运行机理进行分析。第五章详细介绍了煤炭企业循环经济发展力指标构建过程。在指标体系构建目标的指引下,以设计原则为准绳,沿着确定影响因素、指标体系的层次结构、频度统计和变异系数相结合的指标筛选和评价指标的检验这条线索,完成了煤炭企业循环经济发展力评价指标体系的构建。指标体系由1个目标层、6个准则层、15个子准则层和36个指标组成。这个指标体系的建立为后续的煤炭企业循环经济发展力评价奠定了基础。第六章煤炭企业循环经济发展力评价方法优化研究。首先介绍了常用的评价方法,即模糊综合评价法、层次分析法、灰色关联法、TOPSIS法、数据包络法和神经网络法,对这些评价方法的基本思想、计算步骤和方法特点进行比较分析；根据本文研究所依据的样本数据特征和评价目标,引入‘’AHP-GRA-TOPSIS’’综合集成评价方法。该方法运用层次分析法给出评价指标的综合权重,运用灰色关系分析方法比较数据列的几何形状相似程度来判定样本(方案)之间的关联程度,运用TOPSIS法得出各方案与最优方案的贴近度,依据贴近度给出各方案的排序。综合运用这些评价方法可充分利用各自优势,以克服单一评价方法的不足,使其结论更加合理。第七章是全篇论文的核心篇章之一。本文选择义煤集团作为研究对象。首先介绍义煤集团基本情况,接着从该企业发展循环经济的经历、实施的效果和存在的问题等方面对其发展循环经济的状况进行了分析。运用"AHP-GRA-TOPSIS’’综合集成评价法,对1996-2011年的企业运行经济数据进行了评价研究。结论认为：1996-2011年义煤集团循环经济发展力是一个由低到高不断提高的趋势。六个子系统对义煤集团循环经济影响作用的图形分析表明：经济增长力、社会责任力、环境保护力、资源循环力、技术创新力与义煤集团循环经济发展力之间具有很强的正向相关关系；管理协调力指标与义煤集团循环经济发展力的正向相关关系则不如前几个强烈。第八章是对策研究部分。本文依据义煤集团循环经济发展力评价的结果,提出了培育和提升煤炭企业循环经济发展力的几点建议,包括：开展多元化经营,增强经济增长力；分别从政府和企业角度提出增强社会责任力；加强资源勘探、矿井水循环利用和资源综合利用等手段提高资源利用率,改善生态环境；加快安全技术创新、信息技术创新和生产技术创新等方面的技术创新；完善循环经济制度、建立循环经济激励制度和重视人才规划等方面健全管理体制,提高管理效率。第九章全文总结与研究展望。总结了全文所取得的研究成果,指出本文研究的不足,提出了以后研究的设想。论文的主要创新点：(1)提出煤炭企业循环经济发展力的概念。前人对煤炭企业循环经济评价研究主要致力于测度值的计算,本文提出煤炭企业循环经济发展力的概念,并对其进行了界定与系统分析。煤炭企业循环经济发展力是指煤炭企业与资源和环境协调发展的过程中,在循环经济理论的指导下,以资源节约和环境友好为核心获得企业生存和发展的综合能力,具有客观性、综合性、动态性、协调性、可测度性的特点。通过评价得出的循环经济发展力,具有诊断、导向、激励、鉴定和引导等功能与作用。在此基础之上,构建了由“六力”组成的煤炭企业循环经济发展力概念模型,并运用斜坡球体力学理论对其运行机理进行了剖析。这是本文主要的理论创新,为煤炭企业发展循环经济提供了新的思路。(2)构建了一套评价煤炭企业循环经济发展力的指标体系。前人构建的煤炭企业循环经济评价指体系大多是三层次的结构框架,本文在以往文献资料、专家访谈等研究的基础之上,设计了由1个目标层、6个准则层、15个子准则层和36个指标组成的四层次的煤炭企业循环经济发展力评价指标体系,使整个评价指标体系结构更加完善。同时确定了影响煤炭企业循环经济发展的因素有经济、社会、环境、资源、技术和管理,有利于全面、有效、科学地评价煤炭企业循环经济发展力。(3)构建了评价煤炭企业循环经济发展力的"AHP-GRA-TOPSIS"综合集成评价模型。该方法将灰色关联度和欧氏距离有机结合,构造了一种新的相对贴近度以实现对煤炭企业循环发展力的评价。新贴近度反映了方案与理想方案和负理想方案之间的位置关系和数据曲线的相似性差异,物理含义更加明确。本文运用该方法对义煤集团1996-2011年的循环经济发展力进行了案例评价,评价结果证明了对煤炭企业循环经济发展力理论研究与评价研究的科学合理性。更多还原

【Abstract】 Coal, as an important resource in our country, is the cornerstone of social and economic development. Although Coal enterprises have made great contributions to China’s rapid economy growth in past, their traditional extensive exploitation mode caused serious waste of resources and environmental pollution. These problems, coupled with limited coal and non-renewable nature of coal resource, make it an important strategic task for the enterprises to plan the future survival and development. Therefore, the coal enterprises need to adjust and optimize the industrial structure, to achieve sustainable development through a new economic model. Practice has proved that circular economy policy help coal enterprises to realize the resource recycling and saving, to obtain maximum development benefits with minimal resources consumption and minimum pollution, to achieve sustainable development. The decision of circular economy is not only inevitable, but also correct choice for enterprises to implement the strategy of sustainable development to cater for rapid economy growth and to overcome the resource shortage, environmental pollution. In this process, how to vigorously develop the circular economy for coal enterprise characteristics has become a pressing matter of the moment, and how to scientifically evaluate the level of circular economy development and the development of coal enterprises also become an important way to promote the development of circular economy.At present, although the general research achievement of circular economy evaluation is abundant, it is not so for specific study of coal enterprises. How to scientifically evaluate the coal enterprise circular economy development level? To find a solution to the problem, we must in-depth analysis the behavior of the development of circular economy in coal enterprises, and answer the following questions for circular economy in coal enterprises:what is its connotation? how to measure the development level? How to select and evaluate the index system of? How to optimize the evaluation model and so on. This study has important theory significance, since it can enrich and perfect the theory of circular economy evaluation of coal enterprise. The study also has important practical significance:the evaluation analysis scientifically the coal enterprise performance, extract the restricting factors, then provides advice for adjusting the circular economy development planning, and defines focus for decision making. This dissertation responses well to the era’s calling for circular economy in our country. It deepened understanding of the connotation of circular economy theory; put forward the evaluation index system and evaluation methods.Coal enterprises’developments of circular economy, their transformation of economic growth are the research background of this dissertation. The dissertation defined the concept of circular economy development power of coal enterprises; expatiated its connotation, characteristics, functions and operating mechanism; established the circular economy development evaluation index system; proposed the use of analytic hierarchy process, integrated gray correlation method and the TOPSIS model to evaluate the coal enterprise circular economy development. Finally put forward the countermeasures to improve the development of circular economy of coal enterprises. The research content is divided into nine parts; the specific contents are as follows:The first chapter is the introduction, first introduced the research background and significance. Through review of the literature, summarized the main achievements of research on Evaluation of circular economy in coal enterprises and existing problems, points out the evaluation theory and methodological limitations. Based on the shortcomings of previous studies, this dissertation describes the research ideas, research methods and research contents, and the innovation points briefly.The second chapter discusses the theories of the coal enterprise circular economy development power. Mainly includes the system theory, enterprise development theory, sustainable development theory, the circulation economic theory. Based on the theoretical connotation, analyzes the internal relations between these theories and the development of coal enterprises, laid the foundation for the study of the.The third chapter is about the coal resource and its distribution features, development and production, the development of coal demand and consumption situation, analyzes the connotation and characteristics of the development of coal enterprises, expounds the current situation of the development of coal enterprise of circular economy in China and the existing problems:lack of motivation and funds to take circular economy revolution; environmental pollution and ecological destruction due to bad technical support ystem; comprehensive utilization inefficiency of coal resources; low rate of resource recovery; short industry chain; low added value of products; large proportion of small coal enterprises; low market concentration,bad coordination between interpresis; poor safety etc.The fourth chapter is the main part of theoretical research, answer to "why the coal enterprise circular economy development?" This problem, and on this topic related research. First proposed the concept of circular economy development, and analyzes its connotation, and constructed the coal enterprise circular economy development concept model; then describes the characteristics of the development of circular economy force of coal enterprise, carries on the excavation to the function; finally the use of "slope spheroid mechanics model" of its running mechanism analysis.The fifth chapter introduces the index of circular economy development force of coal enterprise construction process. The goal of constructing the index system under the guidance of the principle, design as the yardstick, along the perfect screening indicators to determine the influencing factors, index system hierarchy, the frequency statistics and coefficient of variation of combination and evaluation index of this clue, completing the development of circular economy force of coal enterprise evaluation index system. The index system consists of1target layer, criterion layer,6layer15sub criteria and36indicators, for the development of circular economy of coal enterprises laid the foundation of stress evaluation.The sixth chapter is about optimization of the development of circular economy force of coal enterprise evaluation method. First introduced the general evaluation method, fuzzy comprehensive evaluation method, AHP, grey correlation method, TOPSIS method, data envelopment analysis, neural network method, the basic idea, characteristics, method of calculation steps were compared and analyzed, according to the features of object and evaluate sample data, the introduction of "AHP-GRA-TOPSIS" comprehensive evaluation method". According to the comprehensive weight analytic hierarchy method gives evaluation index, compare the geometry data columns use gray relation analysis method of similarity degree to determine the degree of correlation between samples (scheme), the close degree of each scheme and the optimal solution is given by TOPSIS method, the ranking of the alternatives, and make full use of their respective advantages, overcomes the shortcomings of the existing evaluation, more reasonable evaluation results are given.The seventh chapter is one of the core chapters of this thesis. This dissertation choose justice coal group as the object of study. Firstly, the text introduced the basic situation of the company, then analysis the development of its circular economy, including the experience, implementation effect and the existing problems and so on.Use the "AHP-GRA-TOPSIS comprehensive evaluation method", the appraisal of justice coal group1996-2011sample data. Conclusion:1996～2011justice coal group’s development of circular economy is a low to high rising trend. The six subsystems are graphical analysis on the role of justice coal group of circular economy has a positive effect, strong correlation can be seen between economic growth, social responsibility, environmental support, resource recycling capacity, technology innovation and justice coal group’s development of circular economy; there is significant positive correlation between management and coordination force index did not show and justice coal group of circular economy development.The eighth chapter is the countermeasure research. According to the justice coal group’s development of circular economy evaluation results, puts forward some suggestions to cultivate and promote the development of circular economy of coal enterprises to carry out stress, namely diversification, enhance economic growth; respectively from the perspective of the government and enterprises to strengthen the social responsibility; strengthen the resource exploration, mine water recycling and comprehensive utilization of resources. Means to improve the utilization rate of resources, improve the ecological environment; to speed up technological innovation technological innovation, information technology innovation and technological innovation; improve the cycle of economic system, the establishment of the incentive system of circular economy and talent planning, perfect management system, improve management efficiency.The ninth chapter is the conclusion and research prospect. Summarized the research results achieved, then points out the shortage of this research exists, and the future research prospects.The main innovation points:(1)Put forward a new concept, namely the coal enterprise circular economy development power. While previous research on Evaluation of circular economy of coal enterprises is mainly devoted to measure value, this dissertation proposes a new concept of circular economy development power of coal enterprise, and has carried on the definition and system analysis.Circular economy development power of coal enterprise is the comprehensive ability under the guidance of the theory for enterprise to survive and develop while adapting to internal and external conditions, keeping frugal for resource and friendly to environment. This concept is objective, comprehensive, dynamic, compatible, and scalable. The power value, which derived from circular economy development evaluation, has the functions of diagnosis, guidance, encouragement, identification and leading. On this basis, build the concept of circular economy development force of coal enterprise model composed of "six force"; analyzed its running mechanism using slope spheroid mechanics theory. This is the main theoretical innovation, which provides a new idea for the development of circular economy in coal enterprises.(2) Constructs a set of evaluation index system of circular economy development of coal enterprises. While the previous works mostly build a structural framework of three levels, this dissertation presents a new model of four levels, designed on the base of the research of previous literature and expert interview. The structure includes one goal layer,6criterion layers,15sub-rule layers and36indicators. This evaluation index system structure is more perfect. It has been found that the development of circular economy in coal enterprises is affected by economic, social, environmental, resource, technology and management etc. factors. That is conducive to a comprehensive, effective, scientific evaluation of circular economy development of coal enterprises.(3) Constructed the integrated evaluation of circular economy development of coal enterprises "AHP-GRA-TOPSIS" comprehensive evaluation model. The Euclidean distance and gray correlation degree of the organic combination, construct a new relative closeness degree to realize the appraisal on the scheme. The new degree reflects the similarity between alternatives and ideal solution and negative ideal solution of the position relations and data curve, the physical meaning is clearer. Use this method to justice coal group1996to the development of circular economy in2011is evaluated, demonstrates the rationality of the theoretical research and evaluation of circular economy development of coal enterprises.更多还原