【作者】 赵芳；

【导师】 曹洪军；

【作者基本信息】 中国海洋大学 ， 环境规划与管理， 2008， 博士

【摘要】 改革开放以来,中国能源发展迅猛,现已成为世界第三大能源生产国和第一大能源消费国。然而与此同时,能源发展与经济增长、环境保护之间的矛盾突出,成为中国实现社会整体稳定、可持续发展所必须高度重视和尽快解决的瓶颈问题。能源、经济、环境(简称3E)间的协调发展以及与之相配合的能源政策问题,目前亦成为国内外所关注的新的重要研究课题。在此背景下,论文尝试结合中国国情,从协调发展的视角探讨既能保证能源供应以支撑经济发展,又保证能源生产和消费中产生的环境负面影响不突破底线甚或对环境产生积极效应的能源发展政策,以进一步提高三者间的协调性,促进节约型社会与和谐社会的构建。论文对能源-经济、能源-环境、能源-经济-环境关系、能源政策的国内外研究成果以及相关基础理论进行了综述。理论研究表明,国内外现有研究未能充分强调中国应制定综合、协调的能源政策,对研究能源政策制定机制的创新重视不够,致使能源发展与其他领域的发展(例如环境保护)之间欠缺互动性和相互的融合。现有研究也没有站在协调的角度,利用经济学理论去充分解释3E矛盾现象,以便更好的指导中国能源决策。中国能源发展取得了重大成就,但仍然存在着一些令人担忧的现象,主要表现在:能源结构性矛盾明显,能源工业管理体制相对落后,能源发展与环境保护的矛盾比较突出,过于强调经济增长速度导致能耗增加,能源利用效率低等等。一些能源发展政策的执行效果并不十分理想,如能源政策与经济、环境相关政策协调程度不够;缺乏富有成效的、民主科学的决策程序和机制;能源政策的实施尚缺统一管理和内部协调;执法监督十分薄弱;对非矿物能源的发展重视不够。总体来看,尽管目前中国能源发展与经济增长之间存在着一些不协调方面,但二者间的协调效应相对更为明显。而中国能源发展与环境保护间则存在着较为突出的冲突与不协调性,主要表现在能源发展对中国环境质量的损害和环境因素对能源发展的负面制约这两个方面。在此基础上,论文运用主成分分析法、模糊数学法对中国2000-2005年的能源-经济-环境协调发展状态进行了深入的实证分析,基本结论是:中国3E系统协调程度总体水平偏低,处于弱协调状态;其中能源与经济的协调水平好于能源与环境、经济与环境之间的协调水平,除2003年外其余5年都处于弱协调等级之上;能源与环境的发展处于轻度不协调状态;经济与环境的协调度平均水平最低,属于中度不协调等级。3E系统处在不断调整之中,系统协调发展总的趋势是逐步提高。论文运用环境经济学、制度经济学、能源经济学、微观经济学理论对中国3E系统中的非协调发展现象进行了深刻的理论探究,认为影响协调发展的主要因素为:资源环境的公共性与不明晰的产权安排、环境和资源利用中存在着广泛的外部不经济性、环境和资源不完善的市场与价格机制、实现经济外部均衡的资源要素投入效益难以衡量以及人类行为假设下不完善的制度安排。美国、欧盟、日本、韩国等国家为促进其3E的协调发展,从各自国情出发采取了一系列行之有效的能源政策。例如增加对新能源和可再生能源开发的投资力度、加强国际合作、促进能源领域市场化、始终把环保因素融入能源发展政策之中、调整能源产品比价体系等。这些能源发展政策措施为中国的能源发展提供了宝贵的经验借鉴。密切结合中国3E现实和对未来3E发展的预测,应在能源政策的基本思路与导向方面做出合理调整,并实行基于3E协调的能源发展政策:强化能源节约,如强化结构节能与产业节能,制定和实行产品能耗等级标签制度等;优质开发传统能源,积极推广传统能源的现代化开发方式和传统能源开发的东西联动;大力推进替代能源发展,尽快完善替代能源发展规划及其标准体系,建立国家级替代能源基地;加强能源环境保护,加快出台、实施与能源发展相关的环境管理制度和环境经济政策,如采用能源绿色保险措施;努力提高能源科技水平,针对各大类能源科技的特点促进能源技术发展;深化政府能源管理体制建设,例如加快解决能源管理体制缺陷,建立能源与经济、环境协调发展的政策保障体系。论文所进行的探索性研究主要有三点:(1)对2000-2005年间的能源发展与经济增长、环境保护的协调发展状态进行了实证研究,测算出中国3E协调度;(2)尝试对3E系统中非协调发展现象作出经济学理论解释;(3)根据前文的协调性研究,并借鉴四国能源发展经验,提出基于3E协调的能源发展政策架构与政策建议,为政策制定者和研究者开拓了新的能源发展思路。更多还原

【Abstract】 Since China’s opening up and reform, energy development goes rapidly and China becomes the third largest energy production country and the largest energy consumption country in the whole world. But meanwhile, the contradiction among energy development and economic increase as well as environmental protection becomes prominent. This is the bottle neck of realizing entire social stable and sustainable development in the future, which needs to be highly concerned and solved as soon as possible. Now the harmonious development of energy-economy- environment and the fitting energy policy problem have become a new important research topic concerned by the whole world. In this background, combining with China’s current condition, from the angle of harmony, this dissertation tries to explore the energy development policies which not only can guarantee the energy supply to support economic increase, but also can guarantee that negative effects of energy consumption and production on the environment will not exceed the baseline or even will have positive effects on the environment, so that the harmonious level of these three items and the construction of saving and harmony society can be promoted.The dissertation overviews domestic and international literatures concerning energy-economy, energy-environment, energy-economy-environment (3E) relations and energy policies. It also sums up some basic theories in the relevant fields. Theoretical research shows that international and domestic current research do not adequately emphasize that China should enact comprehensive and harmonious energy policies. They do not attach enough importance to the study of the innovation mechanism of energy policy formulations. This results in the lack of the interaction and fuse between energy development and the other domains such as environmental protection. Current studies either have not used economic theories to fully explain 3E contradictions in the perspective of the harmony in order to better guide China’s energy policy decision.China has made a magnificent progress in the energy development. However, there are still some worrisome phenonmenon existed, which are: obvious energy structural contradiction, relatively lag behind managerial system of the energy industry, relatively prominent contradiction between energy development and environmental protection, increase of energy costs due to the over-emphasis of the economic increase speed, low efficiency of energy use etc. The enforcement effects of some energy development policies are not very ideal. For example, no enough harmony among energy policies and relevant economic as well as environmental policies; lack of effective democratic and scientific decision-making process and mechanisam; still lack of unified management and internal coordination during the energy policy execution; law enforcement supervision is very weak; lack of emphasis of the non-fossil energy development.Generally speaking, although there are some unharmonious aspects existed between China’s energy development and economic increase, the harmonious effects are more obvious. However, there are relatively prominent contradictions and unharmonious aspects existed between China’s energy development and environmental protection. The damage of energy development on the quality of China’s environment and the environmental factor’s negative restriction on the energy development are two main aspects showing contradictions. Then the dissertation makes use of quantitative analytical methods such as principal component analysis and fuzzy sets method to carry on deep empirical analysis of the harmonious development condition of energy-economy-environment between the year of 2000 and 2005. The basic conclusion is: the general harmonious level of 3E is relatively low and is in a weak harmonious condition; the harmonious level of energy-economy is much better than that of energy-environment and economy-environment, which is above weak harmonious level in five years except the only year of 2003; the development of energy-environment is in a light unharmonious condition; the harmonious level of economy-environment is the lowest, belonging to the medium unharmonious level. 3E system is in the constantly adjustment with the general tendency to the stable improvement.From a theoretical view, the dissertation uses environmental economic theories, institutional economic theories, energy economics theories and microeconomic theories etc to deeply probe into the unharmonious development phenonmenion of 3E system. The main influential factors of harmonious development are: publicity of environment and resource as well as unclear property right arrangement, widely existed external diseconomy in the use of environment and resource, imperfect market and price mechanism of environment and resource, hard calculation of effects of resource inputs with the aim to realize outside economic equilibrium, imperfect institutional arrangement under the human behavior hypothesis.The United States., the European Union, Japan and Korea adopt a series of effective energy policies to promote harmonious development of 3E embarking from their own national conditions. For example, increase investments in new energy and renewable energy development, reinforce international energy cooperation, promote the energy market liberalization, always put environmental factors into the consideration of energy development policy, adjust price parity system of energy products etc. All of these energy development policies offers cherish experiences and references for China’s energy development.Closely combining China’s 3E reality with the forcast of future 3E development, the basic thinking way of China’s energy policy and the policy orientation should be adjusted. Meanwhile, we should implement energy development policies which are based on 3E harmony: reinforce energy saving, such as reinforce structural and industry energy saving, set and implement the grade label system of product energy consumption; insist quality traditional energy development, actively popularize modern development methods and implement west-east joint development; vigorously move forward the alternative energy development, make the development projection and standard system of alternative energy as soon as possible, establish national alternative energy base; reinforce energy environmental protection, carry out energy-relevant environment management system and accelerate the enactment of energy-relevant environment economic policies, for instance adopt the energy green insurance measure; work hard on the energy technology advancement, promote energy technology development in the light of energy technological features of different big categories; deepen the construction of governmental energy managerial system, for example, speed up the settlement of the energy managerial system defects, set up a policy guarantee system ensuring that energy can be developed harmoniously together with the economy and environment.The exploratory research conducted by this dissertation mainly includes following three aspects: (1) Carry on empirical studies on the harmonious development condition of China’s energy development and economic increase as well as environmental protection during the year of 2000-2005, which reveals specific China’s 3E harmonious level; (2) Attempt to make the economic theoretical explaination on the unharmonious development phenonmenion of 3E system; (3) Based on the above research on harmonies, drawing on the energy development experiences of four countries, the dissertation offers energy development policy configuration and policy suggestions within the framework of 3E harmonious development, which provides a new thinking way for energy policy makers and researchers.更多还原