【作者】 李霞；

【导师】 成金华；

【作者基本信息】 中国地质大学 ， 资源产业经济， 2013， 博士

【摘要】 当前,我国经济发展面临诸多问题,其中,我国能源紧缺和环境污染问题一度成为引起世界广泛关注的问题。然而要解决这两个问题,就必须提高能源利用效率。要提高能源效率,首先要弄清楚什么是能源效率,其次要对我国能源效率现状进行分析,最后要根据研究成果制定提高能源利用效率的路径、对策。本文就是以这样提高我国能源效率为目的和主线,通过实证分析,运用生产率理论、环境经济理论的等知识,利用现有的研究方法,对我国物理学能源效率、经济学能源效率分别作了测算。其中,经济学测算又分别用单要素法和全要素法对我国各省区能源效率现状进行分析。在全要素法分析中,本文运用DEA模型测算被评估单元(我国各省区,以及东、中、西和东北地区)的全要素能源效率。并指出现有研究方法的不足之处。本文的第一章,首先从我国能源供给、需求、利用、环境污染四个层面,刻画出我国现在所面临的的能源问题,揭露我国实现可持续发展的巨大困境和挑战,从而引出研究能源效率的重要性和必要性。通过分析能源效率国内外研究现状,找出单要素法分析能源效率的利弊,并找出全要素法评价能源效率所用投入指标、产出指标,并对它们进行对比分析。同时介绍了本论文的研究思路、方法及创新点。第二章对本文整体研究所需要的理论基础做了总结。本文的研究目的是构建一套能够客观、全面评价我国能源综合利用效率的指标体系,而构建指标体系首先要做的就是指标的测度,就已有研究成果而言,能源效率评价指标测度主要有单要素、全要素两种,本文第三章将运用这两种方法分别对我国能源效率做出分析,并在第五章对比能源综合利用效率分析这三种不同的评价方法结果。接下来就是要将测度好的指标按照所需要达到的研究目的进行集成。本文将测度指标集成为能源节约、能源高效利用和污染减排三个子系统,并以这三个子系统的结果运用系统的理论表示能源综合利用效率。第三章利用现有能源效率评价方法对我国能源效率现状做了评述。首先界定了能源利用效率的物理学、经济学定义与度量,在此基础上分析了我国物理能源效率,并就我国能源利用效率的变动趋势及国际比较做了比较详尽的分析。发现,我国按汇率计算的单位GDP能耗与国际先进水平差距显著,而按购买力平价计算的单位GDP能耗则与国际先进水平差异明显减少,由此认为在做能源效率的国际比较时,按购买力平价计算的单位GDP能耗更能准确反映我国真实能源效率水平。接着,本章利用数据包络方法,设计出基于DEA方法中的BCC模型的计算全要素能源效率的方法。其中,投入方面包括四个变量,分别是资本存量、人力资本(考虑了劳动者素质因素)、能源消费量和生物质能源(农作物播种面积)。鉴于运用DEA模型设置投入变量不宜过多,因此本章利用环境污染指数来表征熵值法合成的工业三废变量,并用环境污染指数的倒数来表征DEA模型的非合意产出,如此一来,本章中产出变量就有两个,分别为GDP和环境污染指数的倒数。计算结果表明,从1995年到2007年这13年的年均能源效率来看,我国四大经济区域的全要素能源效率值由高到低依次为东、东北、中、西部地区。最后,本章针对前三节的分析结果,指出现有能源效率评价方法的不足之处,认为在分析能源效率影响因素方面,国内学术界并未形成一个统一的评价标准,由此造成学者们的研究结论存在冲突的地方,从而极大削弱了为现实中的政策制定提供指导的意义。第四章根据能源综合利用效率指标体系内涵及其构建目的,设计了一个比较全面反映能源节约、能源高效利用、污染减排指征的能源利用效率评价指标体系。其由四个评价层次、三大评价系统、27个变量因素所构成。分别就能源节约子系统、能源高效利用子系统和污染减排子系统评价指标的含义和作用做了细致的解释。最后,分析了能源综合利用效率评价模型计算方法,并就其指标权重选取方法做了界定。第五章首先就能源综合利用效率评价模型、变量与数据做了阐释。利用因子分析法,构建能源综合利用效率的因子分析模型,制定出详细的基于因子分析的能源综合利用效率评价流程,对数据采集来源做了说明,并对相关数据进行预处理。按照基于因子分析的能源综合利用效率流程,分别对我国29个省区的能源节约、能源高效利用、污染减排3个子系统进行测算,根据测算结果根据相应权重测算出29个省区的能源综合利用效率绩效指数,针对三大子系统以及能源综合利用效率值对29个省区进行排名并分区,可以看出,东部省份的能源综合效率绩效指数排名均处在比较靠前的位置,中部、东北省份则均处于中间的位置,而西部省份处于比较靠后的位置。第六章根据第五章对我国30个省区能源综合利用效率的测算结果,分别就能源节约、能源高效利用以及污染减排三大子系统提出提高我国能源综合利用效率的路径选择。认为,提高能源节约绩效指数,一是要逐步完善节能降耗相关法律法规体系,制定与行业、产品配套的统一能耗标准和标识；二是要设立专门的能源管理机构,负责管理、协调并监督节能降耗相关法律法规政策实施过程；三是要优先发展高新技术产业,实现产业结构升级和高级化；四是要较快落后产能淘汰,并控制高耗能行业发展速度；五是要推广全民节能,通过节能宣传、发放节能产品等手段逐步实现全民节能；六是要突出节能政策区域差异特征,因地制宜,并根据不同发展阶段适时修改和调整节能政策,逐步提高节能标准；七是要强化节能激励政策和财税政策,深化基于市场手段、经济规律的长效节能调控体制；八是要发展分布式能源,推广能源梯级利用技术。提高能源高效利用绩效指数的路径有：努力改善能源利用规模效率；大力提高能源利用配置效率；积极调整产业结构,在降低重工业比重同时提高第三产业比重；加大技术进步投资,提高各行业部门能源利用水平；提高我国与国外先进企业之间的合作；完善市场经济体制,推动能源有序流动,进而推动我国整体能源效率提升；大力发展循环经济,发展可再生能源。要进一步提高能源利用效率,推进节能减排,建立节约和环境友好社会,需要正确评价各省、自治区、直辖市能源利用效率,并结合其能源节约、能源高效利用和污染减排等方面具体情况,从根源上找到提高能源利用效率的路径。更多还原

【Abstract】 At present, China’s economy is facing many problems, which became China’s energy shortage and environmental pollution problems caused worldwide attention. However, to solve these two problems, it is necessary to improve energy efficiency. To improve energy efficiency, we must first figure out what is energy efficiency, followed by analysis of the status quo of China’s energy efficiency, the last to be developed based on research to improve energy efficiency path, countermeasures.Is to improve China’s energy efficiency for the purpose and the main line, through empirical analysis, the use of productivity theory, such as knowledge of environmental economic theory, the use of existing research methods, economics, energy efficiency calculations made on the physics energy efficiency in China. Economics estimates the status quo of China’s provinces and autonomous regions in energy efficiency with a single-element method and total factor method analysis. In total factor analysis, the use of DEA model to calculate the evaluation unit (all provinces in the eastern region, central region, northeast old industrial base, the western region and the country) energy efficiency. And pointed out the inadequacies of the existing research methods.The first chapter of this paper, first from China’s energy supply, demand, the use of four levels of environmental pollution, energy issues, exposing depicts China is now facing huge difficulties and challenges of achieving sustainable development in China, which leads to research energy efficiency the importance and necessity. Identify the single factor analysis of the pros and cons of energy efficiency, and to identify the energy efficiency of total factor method used input indicators, output indicators, and they were analyzed by analysis of energy efficiency research status. Of this research ideas, methods and innovation.Chapter Ⅱ summarized the theoretical basis of this article as a whole Institute. The purpose of this paper is to build a set of objective, a comprehensive evaluation index system of China’s energy utilization efficiency, and build the index system is the first thing to do is measure of the indicators, the existing research results, energy efficiency evaluation measure single factor, total factor two, this will use these two methods to analyze China’s energy efficiency, and analyze the results of these three different evaluation methods in Chapter contrast energy utilization efficiency. The next step is to measure good indicator in accordance with the purpose of the research needed to achieve integration. This article will measure indicators of integration for energy conservation, efficient use of energy and pollution reduction three subsystems, and apply the results of these three subsystems theory that the efficiency of energy utilization.Chapter use of existing energy efficiency assessment methodology reviewed the status quo of China’s energy efficiency. First defined the energy efficiency of physics, economics, the definition and measurement of the the Physical energy efficiency in China Based on this analysis, to do a more detailed analysis of energy efficiency changes in trends and international. Found that China’s exchange rate, energy consumption per unit of GDP gap with the international advanced level is significant, while the energy consumption per unit of GDP at purchasing power parity differences with the international advanced level is significantly reduced, thus that do international comparison of energy efficiency, purchasing power parity terms of energy consumption per unit of GDP more accurately reflect the real level of energy efficiency in China. Next, the chapter draws on data envelopment analysis (DEA) in the BCC model design total factor energy efficiency calculation method, in terms of investment in energy consumption, crop acreage (characterization of biomass energy inputs), capital stock, human the capital four variables, including human capital takes into account the quality of workers factors, DEA model input-output variables should not be too much using entropy method "industrial waste" Merge into one variable-Environmental Pollution Index (API), and take the reciprocal of DEA model of non-consensual output, so that output a total of the countdown two variables of GDP and environmental pollution index. The results from a regional perspective,1995-200713years on average, of the four economic regions in total factor energy efficiency descending order:the eastern coastal areas of the northeast old industrial base, the central region,and the western region. At last, the results of the analysis for the first three quarters of this chapter, pointed out the inadequacies of the existing energy efficiency evaluation method that influencing factors in the analysis of energy efficiency, has not yet formed a unified standard system, which makes the conclusions of different scholars can not form consensus can not provide a standard for the actual policy-making.Chapter Ⅳ according to the meaning of the efficiency of energy utilization index system and its construction purposes, designed to reflect a more comprehensive energy conservation, efficient use of energy, the pollution reduction indications energy efficiency evaluation index system. Four levels of evaluation, three evaluation system,27variable factors. Subsystem energy savings, energy-efficient use of the meaning and role of the subsystem and pollution reduction subsystem evaluation done a detailed explanation. Finally, the method of calculating the energy utilization efficiency evaluation model and its index weight selection methods have been defined.Chapter first energy utilization efficiency evaluation model, variables and data interpretation. Use of factor analysis, factor analysis model building energy utilization efficiency, sources do work out detailed energy utilization efficiency of the evaluation process based on factor analysis, data acquisition, and data preprocessing. In accordance with the energy utilization efficiency of processes based on factor analysis, respectively, of China’s29provinces, autonomous regions and energy savings, efficient use of energy, the three sub-systems of the pollution reduction is calculated according to the corresponding right to re-measure the energy complex of the29provinces, autonomous regions, according to the calculation results use efficiency performance index for three major subsystems and energy utilization efficiency value of29provinces rank and partition, it can be seen, the eastern provinces of comprehensive energy efficiency performance ranked in the front position, the central The northeast provinces positioned in the middle western provinces by comparison.Chapter Chapter on the calculation results of the energy utilization efficiency of China’s30provinces, autonomous regions, and choose the path of energy conservation, efficient use of energy and pollution reduction three subsystems proposed to increase the efficiency of energy utilization in China. That a higher energy savings performance index, improve the system of energy saving laws and regulations, the development of industry and the highest standards of energy consumption and logo; second is the establishment of national energy management agencies, unified management and coordination of energy policy implementation process is necessary to create a; priority to the development of high-tech industries, upgrade the industrial structure and high-class; control the excessive growth of high energy consumption industries, accelerate the elimination of backward production capacity; intensify promoting energy conservation, promotion of energy-saving products, to achieve universal energy-saving; emphasis on energy-saving policy of regional differences in a timely manner modify, adapt policies to enhance energy-saving policies, energy efficiency standards; develop incentives and fiscal policies, and strengthen long-term regulatory mechanism based on market-based instruments and economic laws; development of distributed energy, promote energy cascade utilization of technology. Improve the efficient use of energy performance index path:efforts to improve the efficiency of the energy scale; and vigorously improve energy efficiency of the allocation; actively adjust the industrial structure, vigorously develop the tertiary industry, efforts to reduce the proportion of heavy industry; increase investment in technological progress, improving the industry sector the level of energy use; improve the level of China’s opening up, China’s enterprises to improve the level of energy use through cooperation with the world’s most advanced enterprise; improve the market economic system, to promote the energy efficiency of the nation as a whole through the orderly flow of energy resources; vigorously develop the circular economy development of renewable energy.To further improve energy efficiency, promote energy conservation, and the establishment of saving and environment-friendly society, need to correct evaluation of the energy efficiency of the provinces, autonomous regions and municipalities directly under the Central Government, and combined with its energy conservation, energy efficiency and pollution reduction, find the root causes of the path to improve energy efficiency.更多还原