【作者】 孙源远；

【导师】 武春友；

【作者基本信息】 大连理工大学 ， 技术经济及管理， 2009， 博士

【摘要】 石化工业在我国国民经济中占有举足轻重的地位。一方面,作为国民经济的支柱行业,石化行业的增加值在我国GDP中的比例逐年增长,目前已接近6%。另一方面,石油化工是一个高耗能、高污染的行业,仅化工行业每年排放的工业废水、废气和废渣占全国工业三废排放总量的比例就分别达到22%、8%和12%。因此,如何在可持续发展的背景下评价我国石油化工企业的发展水平,是理论和实践共同面临的重大课题。本文以石化企业为例,对石化企业生态效率评价理论和方法做了深入探讨,首先通过文献研究、专家咨询、企业调查以及对国内外研究的比较,构建与我国石化企业技术经济特点相适应的生态效率评价指标体系;其次,针对单个石化企业,构建石化企业生态承载力模型,并通过大连地区典型石化企业生态效率案例分析,对模型进行了验证;最后,通过对生态效率评价方法的研究,构建了基于数据包络分析(DEA)的石化企业相对生态效率评价模型,对大连地区石化行业的经营效率和生态效率进行比较分析。论文的主要创新和研究贡献可归纳为以下三点:(1)构建了适合我国石化企业特点的生态效率评价指标体系与现有的多从一般意义上研究企业生态效率指标的文献不同,本研究从建立石化企业生态效率评价体系的目标出发,对现有的生态效率指标做了全面梳理。构建了石化企业生态效率评价指标体系的层次结构,其分为状态层和变量层两个层次,状态层指标的选取充分借鉴了国际权威专业研究机构如WBCSD等的相关研究成果,保证了本研究的先进性。对于变量层指标的选取,一方面深入现场征询了石化行业的技术、经济、管理专家的意见,另一方面借鉴了已有的国内外关于生态效率和可持续发展评价指标体系的研究成果,保证了本研究的合理性。据此构建的石化企业生态效率评价指标体系,具有较高的理论研究参考价值,可作为相关实证分析的工具。(2)构建了基于生态承载力分析的石化企业生态效率评价模型与现有的多侧重于行为动机和战略视角的关于企业生态效率的定性研究文献不同,本研究从提高研究成果的应用价值出发,尝试了将生态承载力理论应用于石化企业生态效率评价模型的研究,构建的企业生态承载力评价模型能够从资源、经济和环境三方面定量描述石化企业的经济活动以及和资源、环境的相互作用。该模型在三维的几何空间中,将石化企业本身作为对自然资源和自然环境的施压者,状态空间的三个轴分别代表石化企业的经济状况,资源的使用状况和企业对环境的影响状况,评价指标由经济类、环境类和资源类三大类指标组成,具体从经济效益、生产技术经济、环境污染、环境管理、资源总量和资源利用六个方面出发,可以准确描述企业经济活动与资源、环境紧密相联的互动关系。该模型很好地反映了WBCSD提出的“使企业整个生命周期对环境的影响和消耗资源的强度逐渐降低到与生态承载力一致的水平”的理念和追求,开发了生态承载力模型新的应用领域,可作为企业生态效率分析和评价工具,为企业从可持续发展的角度研制和改进发展战略提供方向指引。(3)构建了基于数据包络分析(DEA)的多个石化企业相对生态效率评价模型与现有的行业生态效率评价研究文献大多采用指标评价法进行定性或单指标定量研究不同,本研究从石化行业多投入、多产出的技术经济特性出发,构建了基于数据包络分析(DEA)的石化行业生态效率综合评价模型。实证研究表明,应用该模型不仅可以评价行业内不同企业的相对生态效率,而且揭示企业经营效率与生态效率的差异,开发了DEA模型新的应用领域,是企业和行业度量自身可持续发展水平的更先进、有效的评价方法。另外,DEA的投影分析可为企业确定生态效率改进方向提供决策参考,对提高企业可持续发展水平具有一定理论指导价值。更多还原

【Abstract】 The petrochemical industry plays an important role in the economy.As one of the key industries of national economy,the value added of petrochemical industry is keeping increased to reach nearly 6%in national GDP.However,petrochemical industry is a high energy consuming and polluting industry.The waste water,waste gas and solid waste produced by chemical account for 22%,8%and 12%of the total industrial waste per year.It is a big challenge that how to evaluate the development of petrochemical industry in such a sustainable background for both research and practice.This dissertation takes petrochemical industry as case study to discuss the industrial eco-efficiency evaluation theory and method.First establish a petrochemical industry eco-efficiency indicator system by literature reviews,specialists,surveys and comparation of existing researches.Second,establish carrying capacity model to evaluate individual petrochemical industry.The model is testified by a typical case study in Dalian.Finally, establish comparative eco-efficiency evaluation system of petrochemical industry which is based on Data Envelopment Analysis.The main contribution of this research can be concluded in three aspects:(1) Establish an indicator system based on Chinese petrochemical industry’s development as the first research in this area.Different with current researches of industrial eco-efficiency indicators,this research bases on summarizing all existing eco-efficiency and tries to establish an eco-efficiency evaluation system.The petrochemical industry eco-efficiency indicator system composes two levels indicators which are stating indicators and variable indicators.The stating indicators are mainly based on researches from famous organizations such as WBCSD which can ensure this research a leading position.The variable indicators are based on suggestion from experts from the industries and international advanced researches on eco-efficiency indicator systems and sustainable indicators which make the indicators are suitable for Chinese petrochemical industries.The research can be the first academic attempt in this area so that it has relatively high academic value.(2) Establish petrochemical industry eco-efficiency evaluation model based on carrying capacity analysis which. Different with existing industry eco-efficiency researches which are focus on motivation and strategy,this research tries to apply carrying capacity for industry eco-efficiency evaluation model.The industry carrying capacity model uses a three-dimensioned space describe the resource aspect,economic aspect and environmental aspect of the industry.It has a better understanding of the eco-efficiency concept proposed by WBCSD which can be a useful tool for industry to evaluate eco-efficiency from sustainability aspect and developed new application field of carrying capacity theory.(3) Establish relative eco-efficiency evaluation model which is based on Data Envelopment Analysis.Different with existing industry eco-efficiency evaluation methods,the method in this research is based on Data Envelopment Analysis which can describe the multiple inputs and multiple outputs character.The model used in the research can not only evaluate the relative eco-efficiency of different petrochemical industries but also can compare the difference between economical efficiency and eco-efficiency and suggest improvements.It developed new application field of DEA model and contributes on industry eco-efficiency evaluation method.Also it is a more effective method for industries to self evaluates their sustainability so that it has a good academic value to improve sustainability.更多还原