【作者】 朱利明；

【导师】 郑有业； 杨树旺；

【作者基本信息】 中国地质大学 ， 资源管理工程， 2013， 博士

【摘要】 电力行业是我国重要的支柱产业和战略性产业,电力行业低碳化是我国其他行业实现低碳化的基础,也是我国经济社会节能减排的重要保证。研究大型发电企业低碳竞争力问题在理论层面上能够丰富企业竞争力和低碳经济的有关理论,在实践层面上能够为有关部门制定和企业界相关的措施提供决策参考。此外,大型发电企业低碳竞争力的构建是一个系统工程,涉及方方面面的要素,既需要政府层面采取切实可行的措施加以推动,又需要企业自身提高低碳意识,在微观层面给予支持和配合。本文根据企业竞争力理论、企业可持续发展理论以及低碳经济理论的基本框架,首先建立了大型发电企业低碳竞争力分析框架,并对相关概念及特征进行界定；其次,分析中国大型发电企业低碳竞争力现状,并基于价值链的基本理论就中国大型发电企业低碳竞争力的影响因素进行分析；然后,从定量的角度构建大型发电企业低碳竞争力评价体系,包括评价基本原则、基本流程、指标体系以及评价方法,在此基础上,选取A发电有限公司为实证研究对象,对其低碳竞争力进行评价；最后,提出中国大型发电企业低碳竞争力的培育路径。全文共七章,具体如下：第一章——导论,本章主要介绍了论文的研究背景、意义,并对相关文献进行综述。最后,介绍了论文的研究思路、研究内容、研究方法和主要的创新点。第二章——相关理论基础。本章作为后续研究的理论基础,首先指出,企业竞争力是企业作为竞争主体在市场竞争环境中赖以生存和发展的能力,即独立经营的企业依据内外部环境及其变化,有效地利用和配置资源,构建竞争优势,进行市场扩张和获得利润,以此为基础实现企业持续发展的能力；然后,对大型发电企业进行了界定,即大型发电企业是指企业规模较大、发电类型较多、业务分布较广的拥有多个发电厂(公司)的企业集团。在此基础上,将大型发电企业低碳竞争力定义为以减少对煤炭石油等高碳能源的依存度、改善能源结构、提高能源效率,培育以低能耗、低排放为主要内涵的资源低碳配置能力,包括运营竞争力、环境竞争力、资源竞争力和管理竞争力等多方面的内容；其次,由于低碳经济是一个新兴的事物,发展低碳经济更是没有现成的模式可以套用,这就说明大型发电企业在资源低碳配置的过程中必须敢于探索、勇于创新,主要表现在技术、管理和理念创新三方面。在企业参与竞争的过程中,技术、管理和理念创新将直接表现为企业的低碳技术、低碳管理和低碳文化；本章最后认为,大型发电企业低碳竞争力是低碳经济背景下企业竞争力和企业可持续发展的延伸和拓展。第三章——中国大型发电企业低碳竞争力分析。本章首先从销售收入、利润、发电量、供电煤耗、清洁能源装机比例、项目储备及煤耗等七个方面分析了中国大型发电企业的发展现状;在此基础上,进一步分析了中国大型发电企业发展过程中的博弈主体,包括电源主体、电网公司、各省电力公司、供电公司、调控和监管部门；最后,提出了中国大型发电企业低碳竞争力的形成机理：一是企业参与,二是低碳能源使用,三是低碳技术运用;四是引入低碳发展资金；五是加强低碳管理；六是营造企业低碳文化。此外,本章还将大型发电企业的生产运营活动划分为基本活动和辅助活动两种类型,并对大型发电企业基本活动和辅助活动中涉及的各环节对低碳竞争力的影响进行了定性分析。其中,大型发电企业的基本活动主要通过生产运营因素、安全生产因素、后勤活动因素、环境保护因素、销售活动因素和服务活动因素等对低碳竞争力产生影响；大型发电企业辅助活动则是为大型发电企业完成生产经营活动提供支撑的条件和活动,主要通过产权制度、经营资源、人力资源、技术管理等四个方面的因素对低碳竞争力产生影响。第四章——大型发电企业低碳竞争力的评价体系。首先,在对大型发电企业低碳竞争力特征进行分析的基础上,本章提出了评价的基本原则,分别为全面性原则、科学性原则、系统性原则、可操作性原则、动态适用性原则；其次,设计出了评价的基本流程,包括成立评价组、制定评价方案、实施具体评价和撰写评价报告等四个步骤；然后,根据已确立的评价基本原则和流程,从运营竞争力、环境竞争力、资源竞争力、管理竞争力等四个维度入手,构建出了由11个一级指标和54个二级指标组成的大型发电企业低碳竞争力评价指标体系,并对相应的指标进行了具体解释；最后,鉴于大型发电企业低碳竞争力评价的评价是一个系统性的工程,而且电力行业的特殊性,大型发电企业不同于一般的企业,在综合考虑各方面因素后,本文将采用模糊综合评价法与层次分析法相结合的方法,综合运用于对大型发电企业低碳竞争力的评价中。第五章——实证分析。本章以A发电公司为实证研究对象,应用已建立的大型发电企业低碳竞争力评价指标体系,对其2007年、2011年的低碳竞争力进行了对比分析,结论显示：第一,经过近4年的发展,A发电公司低碳竞争力水平有了一定地提高,但总体上仍属于一般以下水平;第二,与2007年相比,2011年A发电公司低碳竞争力水平评价指标体系中的运营竞争力、环境竞争力、资源竞争力等准则层虽有提升,但提升水平有限；第三,与2007年相比,2011年大部分一级指标、二级指标得分均有不同程度的提高,但有部分一级指标、二级指标的得分呈现出负增长的趋势,需要引起足够的重视。第六章——大型发电企业低碳竞争力的培育路径。本章研究了大型发电企业低碳竞争力的培育路径,包括政府层面的培育路径和企业层面的培育路径两方面的内容。一方面,政府层面的培育路径包括：第一,战略规划层面,是指一方面,应注重电力需求侧的管理,通过改变电力供给量和建立高效率、低消耗的生产体系来达到节能减排的目标；另一方面,应弱化资源约束在电力供需增长和电力结构规划中的作用,强化CO2排放量的约束力,从而降低电力结构中的碳比例。第二,政策制度层面,一是加强政策引导,构建低碳电力体制框架；二是积极发展节能发电调度模式；三是借鉴中国绿色碳基金的经验,增加碳汇；四是充分利用CDM引进低碳技术和资金；五是降低发电成本,解决可再生能源的并网问题；六是重视碳会计核算方法,加快其应用研究。第三,科技创新层面,相关部门应该针对不同能源的特性和发电障碍,在研发、应用等方面给予价格补贴、税收优惠和政策扶持等。第四,人才梯队层面,一是增加高等院校核电、电站环保等专业的招生量；二是充实完善现有的可再生能源专业；三是调整原有的电力技术与工程相关专业；四是设立服务于低碳经济人才培养的新专业。另一方面,企业层面的培育路径包括：第一,战略实施层面,一是加大上游资源的控制力度,提高煤炭自给率；二是加强燃料的全过程管理；三是加强风险防范意识,提高企业抗风险能力；四是加强资本运作,保障资金供应,改善资本结构；五是积极争取获得政府理解,完善煤电联动机制。第二,技术创新层面,对于发电企业,尤其是大型发电企业,应大力发展新能源技术。第三,电源结构层面,一是优化发展煤电；二是大力开发水电；三是积极发展风电；四是创新开发核电；五是适度推进燃机、分布式、太阳能发电：六是因地制宜发展生物能源及其他能源。第四,营销策略层面,一是提升优质服务,树立企业品牌；二是在服务上追求更好；三是以市场需求为导向。第五,产业结构层面,一是改变产业结构单一局面,二是创造新的利润增长点,三是形成多种产业协调发展格局。第六,职工培训层面,一是企业职工培训方面的架构变革,二是培训形式与内容的灵活多样化,三是提升企业教育培训地位和加大管理力度。第七,企业社会责任层面,包括重视低碳企业文化的塑造,将企业环境责任纳入企业发展战略规划和综合利用管理措施和技术措施。第七章——全文总结及研究展望。本章对全文的主要结论、研究局限、不足进行总结,并对未来进行了研究展望。更多还原

【Abstract】 The power industry is an important pillar industry and strategic industry, low-carbon power industry is not only the basis of other industries in China to achieve low carbonization,but also an important guarantee for social energy-saving and emission reduction in China’s economy. Low-carbon competitiveness issues in the study large-scale power generation companies can enrich the theoretical level, the competitiveness of enterprises, low-carbon economy theory, on a practical level to the relevant departments to formulate measures provide relevant for business decision-making reference. In addition, large-scale power generation enterprises in low carbon competitiveness is a systematic project, involving in all aspects of the elements, which need the government to take practical measures to promote the enterprise itself, and it also need to improve the low carbon consciousness, support and cooperation at the micro level. Based on the theory of competitiveness of enterprises, enterprise sustainable development theory as well as low-carbon economic theory, the basic framework, first of all to establish a large-scale low-carbon power enterprise competitive analysis framework, and the related concepts and definition; Second, analysis of China’s large-scale power generation companies carbon competitive status quo, based on the basic theory of the value chain analysis of influencing factors of low-carbon competitiveness of China’s large-scale power generation companies; Then, from a quantitative point of view,the construction of evaluation system of low carbon competitiveness of large-scale power generation enterprises from the quantitative point of view, including the basic principles, evaluation, indicator system and evaluation method, on this basis, select A Power Generation Co., Ltd. in Xinjiang as the research object, and evaluate the competitiveness of low-carbon; finally, cultivate the path forward Chinese large-scale power generation enterprises in low carbon competitiveness.There are seven chapters in this paper:The first chapter-Introduction. This chapter introduces the research background, significance, and a literature review, and final, thesis ideas, research, research methods and innovation.The second chapter-Related theoretical basis. This chapter is the theoretical basis of the follow-up study, first this chapter pointed out that corporate competitiveness of enterprises as the main competition in the market competition environment in the survival and development of the ability that independent business enterprise based on the internal and external environment and its changes, effective use and allocation of resources to build competitive advantage, market expansion and profit, as the basis of the ability to achieve sustainable development of enterprises; then define the large-scale power generation companies, that large-scale power generation companies to large enterprise scale generation type business widely distributed enterprise groups have more than one power plant (company), on this basis, the definition of low-carbon competitiveness of large-scale power generation companies to improve energy efficiency and optimize the energy structure to reduce the use of fossil energy high carbon and dependence of the energy resources of low-carbon formation based on low energy consumption, low emission configuration capabilities, including many of the operational competitiveness, environmental competitiveness, resources, competitiveness and management competitiveness.Secondly, because the development of low-carbon economy is still a relatively cutting-edge concept, there is no ready-made model can be applied, which determines that the large-scale power generation business’s practicing resources low carbon configuration process must be an innovative process, which mainly means technological innovation, management innovation, and the concept of innovation. when large-scale power generation enterprise in lower competitive process, three innovations will translate into the formation of elements of its low-carbon competitiveness of low-carbon technologies, carbon management and low-carbon culture; Finally, the chapter argues that large-scale power generation companies’low-carbon competitiveness is the extend and expand in the context of low-carbon economy and sustainable development of enterprises.Its theoretical foundation should include theory of corporate competition, theory of corporate sustainable development and theory of low-carbon competitiveness.The third chapter-Low-carbon competitiveness analysis of China’s large-scale power generation companies. This chapter first analyzes the current development of sales revenue, profit, power generation, coal consumption for power supply, the proportion of clean energy installed capacity, the project reserves and coal consumption in seven parts of China’s large-scale power generation companies.Based on the current development,,the chapter makes further analysis of the large-scale power generation companies in China game subject in the development process, including the power the main power grid companies, the provincial power company, the power company, regulation and regulatory authorities; Finally,it proposes mechanism of the formation of low-carbon competitiveness of China’s large-scale power generation companies, Firstly, enterprises to participate; Secondly, the use of low-carbon energy; Thirdly, the use of low-carbon technologies; Fourth, the introduction of low-carbon development funds; Fifth,strengthen the management of low-carbon; Sixth, to create low-carbon culture.The fourth chapter-Influencing factors analysis based on the low-carbon competitiveness of the value chain of China’s large-scale power generation companies. This chapter is based on the theory of the value chain, the production of large-scale power generation companies operating activities are divided into two types of basic activities and support, and basic activities and support for large-scale power generation companies involved in various aspects of its low-carbon competitiveness qualitative analysis. Among them, the basic activities of large-scale power generation enterprises, mainly through the production of operational factors, safety factors of production logistics activity factors, environmental factors, sales activity factors and service activities factors impact on its low-carbon competitiveness;auxiliary activities of large-scale power generation companies conditions and activities are that provide support for large-scale power generation companies to complete the production and business activities,the main impact on its low-carbon competitiveness through the four aspects of the system of property rights, business resources, human resources, technology and management.The fourth chapter-The large-scale power generation enterprise evaluation system for low-carbon competitiveness. First, based on the analysis of low-carbon competitive characteristics of large-scale power generation companies, this chapter presents the evaluation of the basic principles, namely the principle of comprehensiveness, scientific principles, systematic principle, and the principle of operability, dynamic principle of applicability; Second designing evaluation process, including the establishment of the evaluation team to develop the evaluation program, and the implementation of specific evaluation and written evaluation report four steps; then, based on the evaluation of the basic principles and processes which has been.established from the operational competitiveness, environmental competitiveness resource competitiveness, management competitiveness four dimensions starting to build a large-scale power generation companies by the11-level indicators and54secondary indicators of low-carbon competitiveness evaluation index system, and the corresponding indicators specific Explanation; Finally, in view of the complexity and specificity of low-carbon competitiveness evaluation of large-scale power generation companies, as well as the reality of the power industry statistics, the combination of all the strengths and weaknesses of the evaluation method, presenting in this chapter should be fuzzy comprehensive evaluation method and Analytic Hierarchy Process which is combined with comprehensive applied to the evaluation of large-scale power generation companies low-carbon competitiveness.The fifth chapter-Empirical Analysis. This Chapter use A Power Generation Company of Xinjiang for the empirical study, using low-carbon applications of large-scale power generation enterprise competitiveness evaluation index system that has been established to do its low carbon competitiveness comparative analysis in2007and2011, the result shows:first, After nearly four years of development, the level of competitiveness of A Power Generation Company of Xinjiang lower have had a certain extent, but it overall still below the average level;second, compared with2007, Although the level of low-carbon power generation company A Xinjiang’s competitiveness in competitiveness evaluation index system like operational competitiveness, environmental competitiveness, competitiveness of resources, resource competitiveness improved in2010,but they are just criteria layer improved; Third, compared with2007, in2011the majority of a score indicators, two indicators improved to vary degrees, but part of an indicator, the scores of the two indicators showing negative growth trend, which need to draw enough attention.The sixth chapter-The cultivation path of low-carbon competitiveness of large-scale power generation enterprises. This chapter studies the cultivation path of low-carbon competitiveness of large-scale power generation enterprises, including both the contents of the government level cultivation path and enterprise level path. On the one hand, the cultivation of the government level path includes:Firstly, the strategic planning level, should be combined with demand side managemem by the choices of investment in the power supply or energy-saving, while reducing the carbon emissions of some power consumption, change the past power supply and demand growth and the power structure planning which is only by the process of resource constrained, will reduce CO2emissions as to meet the electricity demand of constraint, and thus constraining the carbon content of the power structure. Secondly, for policies and systems level, strengthen policy guidance, build a low-carbon electricity institutional framework; active to the development of energy-saving power generation dispatching mode; Third, learn from the experience of the China Green Carbon Fund to increase carbon sinks; Fourth, make full use of CDM to bring in carbon technology and capital; Fifth, reduce the cost of power generation to solve the problem of the renewable energy grid; Sixth pay much attention to carbon accounting methods to speed up its applied research. Thirdly, the level of scientific and technological innovation requires the government to give support for the different characteristics and bottlenecks in the development of clean energy, in research and development incentives, price subsidies. Fourthly, the level of talent team, firstly, to increase higher education recruitments on the professional admissions amount of nuclear power, power plants and environmental protection; enrich and perfect the existing renewable energy professionals:adjust the original power technology and engineering professional; Fourth, to establish new professional aiming at cultivating low-carbon economy talents. Fourth making full use of CDM introduction carbon technology and capital; reducing the cost of power generation to solve renewable energy grid; Sixth emphasising on carbon accounting methods to speed up its applied research. Third, the level of scientific and technological innovation requires the government to give support and support for the different characteristics and bottlenecks in the development of clean energy, in research and development incentives, price subsidies. Fourth, the level of talent that, firstly, to increase higher education institutions the professional admissions amount of nuclear power, power plants and environmental protection; enrich and perfect the existing renewable energy professionals; adjust the original power technology and engineering professional; Fourth, the establishment new professional service culture in the low-carbon economy talent.On the other hand, the cultivation way of the corporate enterprise level includes:firstly, the implementation of the strategy level, increasing upstream resource control, to improve the self-sufficiency rate of coal:secondly strengthening the whole process of the fuel management, and strengthening the risk prevention awareness, to improve ability to resist risks; strengthening capital operation to protect the supply of funds to improve the capital structure; actively fight to get the government to understand, improve coal linkage mechanism. Secondly, the level of technological innovation, in terms of power generation enterprises, especially large-scale power generation enterprises, vigorously develop new energy technologies. Thirdly, the power structure level, First, optimize the development of coal; second vigorously develop hydropower; Third, the positive development of wind power; four innovative development of nuclear power; five is to moderate propulsion gas turbines, distributing solar power generation; six local conditions to develop students substances and other sources of energy. Fourthly, the marketing strategy level, enhance quality service, establish a corporate brand; pursuit of better service; Third, market demand-oriented. Fifthly, the level of industrial structure, one single situation to change the industrial structure; creating a new profit growth point; Third, to form a pattern of coordinated development of a variety of industries. Sixthly, the level of staff training, first change the architecture of the enterprise employee training; second is training the flexibility and diversity of form and content; enhancing education and training status and increased management. Seventhly, corporate social responsibility level, including the emphasis on low-carbon shaping corporate culture, corporate environmental responsibility into enterprise development, strategic planning and comprehensive utilization management measures and technical measures.The seventh chapter-Full summary and outlook. This chapter summarize the main conclusions of the full study limitations, inadequate, and prospects for future research.更多还原