【作者】 沈浩；

【导师】 柳思维；

【作者基本信息】 中南大学 ， 工商管理， 2013， 博士

【摘要】 中国工业化能不能另辟蹊径而不重蹈发达国家“先发展后治理”的覆辙,这是转变经济发展方式走中国特色新型工业化道路的重要课题。越来越多的人意识到,依赖能源粗放使用并大量排放污染物的发展之路已经难以为继。在这一背景下,提高重点行业和重点企业的能源效率并实现节能减排成为经济学研究的重要内容之一。微观层面的炼油企业的能源效率决定了炼油行业总体的能源效率。在考虑污染物排放的能源效率分析框架下,中国石化炼油企业的能源效率怎样?影响能源效率的因素有哪些?如何提高炼油企业的能源效率?这些问题促使本文以中国石化炼油企业为研究对象,测度能源效率、分析影响因素、提出对策建议构成了本研究的主要内容。本文综合运用微观经济学、产业经济学、资源经济学、环境经济学、管理学和计量经济学等学科理论和计量分析方法,深入研究了中国石化炼油企业的能源效率和影响因素并提出了相应对策和建议。在理论上丰富了微观层面的能源效率研究,拓展了研究的视野,对提升中国石化炼油企业核心竞争力,完善企业自身绩效评价体系,推进企业节能减排和促进经济、社会和环境协调发展具有重要的现实意义。本文探讨了在资源枯竭和环境恶化背景下炼油企业能源效率研究的理论意义和现实意义,梳理了相关理论基础,并进而提出了研究框架。实证研究主要是从不同角度实证分析中国石化炼油企业C02排放数量和边际收益、能源效率测度和影响因素、节能减排潜力等问题。在实证研究的基础上提出了对策和建议。随即,作者提炼了本文的主要研究结论并提出下一步研究展望。首先,本文在借鉴国内外研究成果的基础上,构建了炼油企业碳平衡模型,计算了2004年-2009年①中国石化炼油企业CO2排放数量和边际收益,总结了炼油企业CO2排放的基本特征。在此基础上,利用方向距离函数(DDF)测度了中国石化炼油企业CO2排放的边际收益。这些工作也为后继实证研究章节核算企业“绿色产出”和引入污染物变量供理论支撑和现实依据。其次,本文运用环境经济学的最新研究成果,基于面板数据构建随机前沿生产模型,测度了中国石化炼油企业的能源效率并检验了影响炼油企业能源效率的企业规模、能源结构、能源价格、技术进步、环境规制等因素。研究表明,Cobb-Douglas生产函数比Tanslog生产函数形式更适宜本研究；企业规模、技术进步和能源结构对于提高中国石化炼油企业能源效率有显著的促进作用。基于模型测度结果,本文揭示了中国石化炼油企业能源效率的空间分布特征。然后,本文用数据包络方法(DEA)构建了基于环境技术的节能减排潜力评价模型,测度了中国石化旗下24家炼油企业2004年-2009年的电力、燃料油、燃料气节能潜力和CO2减排潜力。在此基础上,对比分析了不同的能源效率评价方法。基于随机前沿生产函数的能源效率测度能够比较好地识别各个企业的能源效率差距和变动趋势。最后,基于以上理论分析和实证分析,本文总结中国石化提高炼油企业能源效率所面临的主要问题并借鉴国外先进经验,提出依靠技术进步走内涵式发展之路、充分利用石油资源、开发CO2封存和综合利用技术、积极介入生物质能研发、关注国家能源立法进程和碳排放权交易等对策和建议。本文研究的创新之处主要体现在以下三个方面：一是进一步拓展了能源效率的研究视野,弥补了现有能源效率研究在微观层面的局限和不足。已有文献中,系统研究微观层面的企业能源效率并检验影响因素的成果并不多见。由于企业数据信息获得的困难,对中国企业能源效率的实证研究大多通过分析工业数据——亦即企业的加总数据——来间接评价企业能源效率和影响因素,而且使用的大多是企业的加总数据(Aggragated Data)而非微观数据(Micro-data)。本文使用中国石化炼油企业的微观投入、产出数据对其能源效率进行实证研究并检验影响因素,为能源效率研究提供了一个新的微观视角。本文的研究,是对我国企业能源效率研究的补充和深化,研究视角新颖独特,具有一定的创新性。二是将CO2排放纳入炼油企业能源效率的分析框架。这样,实现了企业生产过程外部效应的内部化,突破了以往能源效率研究固有的企业“实体边界”,丰富和发展了能源效率理论。主流经济学关注的能源效率仅仅是既定投入条件之下的经济产出最大化。本文切中当前对碳排放这一热点问题的关注,利用炼油企业CO2排放收益调整炼油企业产出值,从而将CO2排放纳入炼油企业能源效率分析的框架中。本文构建了考虑能源资源和CO2排放的一个新的炼油企业能源效率的分析框架,将其视为实证模型的内生变量,对企业能源效率的评价更加科学、更加客观,据此提出的对策和建议针对性强易于操作。三是通过参数和非参数方法结合的实证研究,将企业一般的单要素能源效率状况描述和简单分析推向环境全要素能源效率计量分析,体现了研究方法上的综合运用和创新。已有的文献大多单独采用参数方法或者非参数方法,综合运用多种研究方法的研究比较缺乏。本文一方面用碳平衡模型、方向距离函数等方法计算了中国石化炼油企业的CO2排放数量及边际收益。另一方面,利用CO2排放收益调整企业产出值并采用随机前沿生产函数(SFA),实证研究了中国石化炼油企业的能源效率并检验了影响因素。而且,本文运用数据包络方法(DEA)测度炼油企业节能减排潜力,进而对不同的能源效率评价方法进行比较分析。更多还原

【Abstract】 :Jumping out of the Economic Development Comes before Governance pattern of the developed countries is an important task of the transformation of economic development mode and achieving the new industrialization with Chinese characteristics. More and more decision makers, researchers and the populace realize that China’s sustainable development has been threatened by extensive use of energy and a large number of pollutants released into the environment. Thus, one of the most important parts of economics study lies in improving energy efficiency and achieving energy-saving and emission-reduction of key industries and key enterprises. Oil refining enterprises’energy efficiency at the micro level determines the energy efficiency and sustainable development of the whole industry. In considering the undesired outputs of energy efficiency, what is the actual situation of energy efficiency in China’s oil refining enterprises? What are the factors that influence the energy efficiency in China’s oil refining enterprises? How to improve the energy efficiency of these enterprises? In order to answering all these questions, the research primary coverage of this paper constitutes by measurement of energy efficiency, analysis of influence factors and putting forward the countermeasure and suggestion, taking Sinopec refinery enterprises as the research object.This paper synthetically use the discipline theory and econometric analysis methods of microeconomics, industrial economics, resource economics, environmental economics, and econometrics to study the objective situation and influence factors of Sinopec refinery enterprises’ energy efficiency. Then, countermeasures and suggestions are put forward to improve the energy efficiency of refinery based on theoretical and empirical analysis. This paper is quite realistic significant to enrich the research on micro level in theory, to expand the research vision of enterprise energy efficiency, to enhance the core competitiveness of Sinopec refinery enterprises, to improve the performance evaluation system of enterprises themselves, and to promote China’s industrial economic, social and environmental coordinated development. This paper consists of seven chapters. Chapter one is the introduction. Chapter two includes the research review and the theoretical basis. From chapter three to chapter five, the paper analyses CO2emission, energy efficiency and influence factors of Sinopec refinery enterprises from different perspectives. Chapter six promote the advises to improve the energy efficiency of refinery. Chapter seven summarizes the problems to be further studied and proposes research prospect.Firstly, on the basis of using research results at home and abroad for reference, this paper constructs an oil refining enterprise carbon balance model, estimates the CO2emissions quantity of Sinopec refinery enterprises from2004to2009, summarizes the basic characteristics of oil refining enterprises’ CO2emissions, and puts forward measures and suggestions to reduce CO2emissions. This paper also uses the Directional Distance Function (DDF) to measure the marginal revenue of Sinopec refinery enterprises CO2emissions so as to provide theoretical support and practical basis for undesirable output variables introduced to follow-up research on energy efficiency in refinery.Secondly, based on the domestic and foreign theories and literature related to energy efficiency, this paper uses Data Envelopment Analysis (DEA) to construct evaluation model of oil refining enterprises energy efficiency. The model is used to measure saving potential and energy efficiency of electricity, fuel oil and fuel gas of Sinopec’s24refineries from2004to2009. And then the corresponding countermeasures and suggestions will be put forward.Thirdly, in this paper, stochastic frontier production model based on panel data empirically test the factors that influence energy efficiency of Sinopec refinery enterprises, such as enterprises scale, energy structure, energy prices, and technical progress. The research shows that Cobb-Douglas production function is more appropriate than Tanslog production function in this study. Enterprises scale, energy structure, and technical progress play the significant role in promoting energy efficiency of Sinopec refinery enterprises. The inspection results reveal that coefficient of variation of coastal enterprises’energy efficiency is lower than enterprises in the middle reach of the Yangtze River and in Midwest of China.Lastly, the paper researches on the proposition how to improve energy efficiency of Sinopec refinery enterprises based on the above theoretical analysis and empirical analysis, referring to foreign advanced experience. The countermeasures and suggestions are attaching importance to the way of connotative development relying on technology progress, developing CO2sequestration and comprehensive utilization technology, and taking active preparations and interventions in carbon emissions trading business.The innovation of this paper is mainly reflected in the following three aspects:Firstly,it is not common that the paper systematically research on enterprises’ energy efficiency and influence factors at the micro level in existing literature. Most of the researches adopt aggregated data instead of micro-data. This paper uses micro data to further study energy efficiency and influence factors of Sinopec refinery enterprises. It is the complement and deepening research on energy efficiency of enterprises in China. The research perspective is quite new and original.Secondly, new analytical framework is proposed in this paper, the analytical framework focuses on energy efficiency in China’s oil refining enterprises, considering energy resources and CO2emission. The enterprise economic output value is adjusted by CO2emission earnings, so as to realize internalization of external effects of enterprise production process. This breaks enterprises’Solid Boundary of previous energy efficiency study, and treats energy resources and CO2emissions as endogenous variables of the empirical model. All these make the evaluation of enterprise energy efficiency more scientific and more objective. Accordingly, countermeasures and suggestions will be more targeted and easier to operate.Thirdly, using measuring method, such as carbon balance model and DDF, to estimate the CO2emission levels and measure the CO2emission marginal benefits of Sinopec refinery enterprises. B. Applying DEA to measuring energy-saving and emission-reduction potential and energy efficiency so as to explain the status of energy efficiency of Sinopec refinery enterprises. C. Adopting stochastic frontier approach (SFA) to empirically study the factors that influence the energy efficiency. A variety of research methods are synthetically applied in upgrading general single-factor energy efficiency description and simple analysis of enterprises to econometric analysis of environmental total-factor of energy efficiency.更多还原