【作者】 王秋彬；

【导师】 张建华；

【作者基本信息】 华中科技大学 ， 西方经济学， 2009， 博士

【摘要】 能源是人类赖以生存和进行生产的重要物质基础，改革开放以来，我国依靠大量消费能源，推动了经济的高速增长，但也使我国经济增长越来越接近了能源约束的边界。如果我们不能改变传统的工业结构优化升级模式，势必加剧能源的短缺、环境的破坏，影响经济的可持续发展。基于此，本文结合我国的具体国情，分析了能源约束下的工业结构优化升级的机理；研究了工业内部的能源结构优化升级和工业行业的能源效率与工业结构优化升级；最后从产业关联的角度，通过案例分析，探讨了企业应如何通过重组整合、节约能源，来促进工业结构优化升级，为我国充分提高能源效率实现工业结构优化升级寻找一条较为适宜的途径。文章第一部分探讨了能源约束的经济含义，在没有考虑技术进步的假设下，研究认为能源约束会促使短期的经济选择是无效率的，这为探讨能源约束下的工业结构优化升级提供了依据，因此，能源约束下的工业结构优化升级的实质是如何建立一个节能的机制，从技术、结构、制度三个方面，迫使个人、企业、政府积极参入能源节约，从而实现工业结构的优化升级。文章第二部分是实证分析，针对我国能源约束现状，构筑了一个可持续发展的能源供应评价指标体系，并运用它对我国能源供给现状进行了实证分析，进一步研究发现能源工业内部(煤、电、油、气)的产业关联会通过能源价格机制、市场结构等来影响工业内部的结构优化升级，最后在借鉴日本处理能源约束问题经验的基础上，提出了构建可持续发展的能源供应体系的方法和途径。紧接着运用DEA数据包络分析法，测度了不同行业、地区的能源效率差异，并对其影响因累进行了实证检验，在借鉴日本节能经验的基础上，提出了促进我国工业结构优化升级的发展战略路径。文章第三部分是例证分析，从产业关联的角度，对平煤神马集团的重组前和整合后的产业发展现状及问题进行了剖析，分析认为此次重组整合将会取长补短，使集团实现规模运营，拓宽了产业链，还会避免同业竞争以及重复建设。因此，为企业如何通过重组整合、节约能源，促进工业结构优化升级提供借鉴。本文的主要结论：(1)在没有考虑技术进步的假设下，研究认为能源约束会促使短期的经济选择是无效率的，其主要原因在于人类的生产行为，没有对能源总量进行要素的跨期最优配置，由此而导致了经济效率的损失；(2)技术进步是超越能源约束的最佳路径，它可以从提高可利用能源的总量、提高要素的生产效率、找到能源的替代品三个方面催化能源工业内部结构优化升级；它还可以通过开发新产品、完善工艺流程等改造传统产业或催化新产业推动非能源工业结构优化升级；(3)结构性问题对能源效率的影响十分显著性，主要表现在，三次产业结构、工业内部结构、国际产业分工结构、城市形态结构、交通模式结构、区域空间结构等结构性问题上，系统性谋划、逐步解决这些结构性问题是提高能源效率的重要途径；(4)制度性节能是实现能源节约的核心策略，好的制度是对节能进行科学合理的规划和计划，有利于加强节能工作的指导、监督和考核，使节能工作步入有序化的轨道，还可作用于结构使其向有利于能源节约的方向转变，也可推动技术进步，促进工业结构优化升级；(5)企业可以通过重组整合、节约能源，来促进工业结构优化升级。文章主要创新之处：(1)较全面的分析了能源约束下工业结构优化升级的机理；(2)构筑了一个可持续发展的能源供应评价体系；(3)从行业地区角度，把技术进步、制度、三次产业结构、工业内部结构、国际产业分工结构、城市形态结构、交通模式结构等影响能源节约的因素引入变量进行实证分析；(4)探讨了企业应如何通过重组整合、节约能源，来促进工业结构优化升级。更多还原

【Abstract】 Energy has been the important material basis for human’s subsistence and production Since the Economic Reform and Opening Up, China has maintained high-speed economic growth by heavy consumption of energy, which, however, causes the economic growth more and more closer to the boundary of energy constraint. If the traditional upgrading pattern of industry structure optimization can not be well transformed, it will inevitably exacerbate the energy insufficiency and environment destruction, and will ultimately affects the sustainability of economic development. In this regard,, this thesis, based on China’s concrete situation, has analyzed the mechanism of industry structure upgrade and optimization under the energy constraint; studied the energy structure optimizing and upgrading within the industry and the enengy efficiency and industry structure optimization and upgrade across industries; and finally from the perspective of industry connection with case study, it has analyzed how enterprises can promote the industry structure optimizing and upgrading by saving energy as well as emerging and restructuring, and consequently found a new approach for China to fully raise energy efficiency and to realize the industry structure upgrade and optimizationThe first part of this thesis analyzes the economic implication of energy constraint. Under the assumption that there is no technogical progress , the research finds that the energy constraint causes inefficient short-term economic choice, which provides the basis for the discussions on industry structure upgrading and optimizing under energy contraint. In fact,, the essence of industry structure upgrading and optimizing under energy constraint is how to establish an energy saving mechanism that can force individuals, enterprises and government to actively participate in energy conservation from technology, structure and institution aspects, and consequently realize the industry structure upgrade and optimization.The second part is empirical analysis. Based on the present situation of energy structure in China, the thesis has constructed an evaluating indicator system for sustainable development of energy supply; with which it launches the empirical analysis on present energy supply situation in China The research discovers that the industrial connections among energy industries (coal, electricity, oil, gas) can affect the industry structure upgrading and optimizing through the energy price mechanism and the market structure mechanism. Then, the thesis proposes the methods and approaches of constructing sustainable energy supply systems based on Japan’s experience on energy constraint procession By utilizing the DEA method, it has estimated the energy efficiency disparities among different industries and different regions, and tested on the influencing factors. Learning from international experience, this thesis puts forward the development strategy of promoting the industry structure upgrading in China.The third part of this thesis is case study. From the perspective of industrial connection, the thesis, taking as an example the industry development before and after the restructure of the Shenma Pingmei Group in Pingdingshan Coal Co., Ltd., has pointed out that emerging and restructuring will draw the strong points of other enterprise to offset one’s own weakness, making the Group scale of economies, widening its industry chain and consequently avoiding the competition among the same industries and the redundant reconstruction. The case provides an reference for enterprises how to undertake structure upgrading and optimizing by emerging and restructuring as well as energy saving.The main conclusions of the paper are: (1) with the assumption that there is no technological progress, energy constraint will lead to short-term inefficient economic choice. The reason is that the producing behavior of individuals does not optimize the intertemporal factor substitute on energy aggregate, which will cause the loss of economic efficiency. (2)Technological progress is the optimal path to overcome energy constraint. It can not only enhance structure upgrade of energy industry by raising usable energy aggregate, increasing the productivity of factors and searching for energy substitute, but also promote the structure upgrade of non energy industries by innovating new products and improving working process to transform traditional industries and create new industries (3) The structure factor has very significant influence on energy efficiency. The influence lies in three-time industrial structures, the structure within an industry, international industrial division, urban morphological structure, transportation model configuration, region spatial structure and so on. The systematic plans and step-by-step resolutions on these issues are the important approaches to realize energy saving. (4) Institutional energy saving is the core strategy to realize energy saving. A good institution is the one that makes scientific and reasonable plans on energy saving, which will be beneficial to strengthening the instruction, supervision and inspection on the energy conservation work, consequently making it onto an orderly track and directing the structure transformation in a way that is in favor of energy saving and promote technological progress and structure upgrade. (5) Enterprises can realize industry structure upgrade and optimization by emerging and restructuring as well as saving energy.The main innovations of this article are: (1) it provides a more comprehensive analysis on the mechanism of industry structure upgrade and optimization under the energy constraint; (2) it constructs an evaluating system of sustainable energy supply; (3) it introduces variables that affect energy saving into empirical analysis from the perspective of industries and regions. Those variables include technogical progress, institution, three-time industrial structure, international industrial division, urban morphological structure, transportation model etc; (4) it has analyzed how enterprises can promote the industry structure optimizing and upgrading by saving energy as well as emerging and restructuring.更多还原