【作者】 张建玲；

【导师】 王国顺；

【作者基本信息】 中南大学 ， 管理科学与工程， 2008， 博士

【摘要】 涉及生态、环境与可持续发展的“生态经济效率”问题,是社会各界关注的热点问题,覆盖面广、内容丰富,是一个多学科、多层次、多角度相互交叉、相互渗透的综合性的课题。严峻的资源和生态环境现实,使得提高生态经济效率的相关理论与实践研究非常迫切。然而主流经济学对于生态经济效率评价理论和评价方法研究的局限性、以及评价指标体系的片面性,导致生态经济效率评价理论研究落后于实践发展的需要。本文的目的是研究“生态经济效率”评价中迫切需要解决的三个主要问题:评价的理论基础框架、评价指标体系和评价方法。本文通过集成微观经济学、广义生态经济学、管理学、物理化学、物理学、计量经济学等相关学科的理论,采用系统科学与跨学科的综合研究方法,定性分析与定量分析相结合、以及规范研究与实证研究相结合的方法,对企业生态经济效率评价的理论基础以及数学建模理论基础进行了研究,构建了企业生态经济效率评价的框架以及系统支撑理论模型;设计了适合我国生产型企业生态经济效率评价的指标体系,构建了生态经济效率评价的综合数学模型,并根据理论研究结果,运用所构建的指标体系与数学模型,对我国钢铁企业的生态经济效率进行了实证研究,分析了钢铁企业生态经济效率的风险因素。本文的主要创新点为:(1)提出了生态经济效率评价的框架,包括企业的生态边界、有限理性生态经济人假设、生态经济效率适度最优的效率判断标准,以及基于物质的效率分析框架。(2)设计了综合考虑资源效率、能源效率和环境效率的企业生态经济效率评价指标体系。(3)构建了考虑资本、劳动、资源和能源投入以及环境影响的企业生态经济效率综合评价数学模型。在主流经济学理论框架下,结合广义生态经济学理论,本文提出了生态经济效率评价研究的基础框架:定义并分析了企业生态边界,有限理性生态经济人假设,提出了生态经济效率适度最优标准,以及基于物质的效率分析框架。构建了企业生态经济效率评价的系统支撑理论模型;探讨了生态经济效率评价数学模型构建的理论基础。传统的绩效评价指标体系,因为没有考虑经济行为的环境影响,因而不适应生态经济效率评价的要求。本文根据所提出的生态经济效率评价的框架,生态经济效率的权威定义,以及企业生态经济效率评价指标体系设计的目标和应遵循的原则,设计了生态经济效率综合评价指标体系,其中包含传统效率、资源效率、能源效率和环境效率指标体系四个子系统,以及每个子系统具体的指标变量,全面地反映企业的生态化经营业绩、核心竞争优势以及对社会和环境造成的影响。应用本文提出的生态经济效率评价框架,系统支撑理论模型、以及以及数学建模理论基础,结合面板数据模型,对传统生产函数模型进行了改进,把资源、能源和环境影响作为投入要素,构造出用于生态经济效率评价的综合准确的数学模型,包含了生产的废弃物对生产过程产生的反馈影响,考虑到了物质和能源投入以及非期望产出。根据理论框架、评价指标体系、数学模型以及生态经济效率的权威定义,以资本、劳动、资源、能源和环境影响指标作为投入,以实证方式研究了这些指标以及节能技术对于中国钢铁企业生态经济效率的影响。我国钢铁企业生态经济效率存在的主要风险因素是,资源利用效率低,环保投入不足,能源消耗太高,应该通过技术创新提高资源能源使用效率,减少对环境的影响,而不仅仅是增加资本投入。本文的研究结论是,主流经济学的效率研究框架必须作重大的改进,才能适应生态经济理论的发展要求,以及经济社会和环境的可持续协调发展的现实。传统经济学只关注价值循环,广义生态经济学在有限理性生态经济人假设和企业生态边界的前提下,关注物质循环、能量循环、价值循环与信息循环的统一,效率分析基于物质的基础之上,生态经济学逻辑的变化,最终体现在效率评价标准的变化上,由传统的投入产出的帕累托效率转向生态经济效率的适度最优。效率评价指标体系和评价方法,必须相应地考虑企业经济行为的环境影响。实证研究的结果证明了理论研究结论的正确性。更多还原

【Abstract】 Eco-efficiency issues related to ecology, environment and sustainable development, are hot ones focused on by people of all ranks and classes, which are comprehensive research jobs covered a range variety of intersected and infiltrated disciplines. It is an urgent demand on theory and practice research of the improvement of co-efficiency because of grim situation of resources ecology, and environment. Research of eco-efficiency theory falls behind the needs of the development of practice because the limits of evaluating theory foundation research and evaluating methodology research of mainstream economics, as well as one-sidedness of evaluating index system of eco-efficiency. This paper aims at studying three main problems that are in urgent need of solving in the course of eco-efficiency evaluation, namely, making innovations of theory foundation research, valuating index system and research methodology. By integrating theories of micro-economics with ecological economics in a wide sense, management science, physical chemistry, physics, statistics, econometrics and those having relevance to this discipline, adopting an interdisciplinary and systematic science research methodology, combining qualitative analysis with quantitative analysis, normative research with empirical research, this paper has studied the theory foundation of enterprise’s eco-efficiency evaluation, built up theory research framework of eco-efficiency evaluation, system-support theory model, and mathematic model, designed index system of eco-efficiency evaluation which is suitable to production enterprise’s eco-efficiency evaluation in China. According to the theoretical research results, this paper applies the index system and mathematic model to empirical research of the iron and steel enterprise’s eco-efficiency evaluation in China and analyses risk factors of their eco-efficiency.The main originalities of this paper lie in the following. First, this paper has put forward a theory foundation of enterprise’s eco-efficiency evaluation, including enterprise’s ecological boundary, hypothesis of bounded rational ecological economic man, evaluation criterion of appropriate best eco-efficiency, and a framework of eco-efficiency analysis based on material. Second, this paper has designed an index system of enterprise’s eco-efficiency valuation, integrating resource efficiency, energy efficiency and environment efficiency. Third, this paper has put up a comprehensive mathematical model, taking capital, labor, resources, energy, as well as environment impacts as inputs.Under the framework of theory research paradigm of mainstream economics, utilizing the theory of ecological economics in a wide sense, this paper has built up a theory foundation framework of enterprise’s eco-efficiency evaluation, which defines and analyzes enterprise’s ecological boundary, hypothesis of bounded rational ecological economic man, puts up a appropriate best eco-efficiency criterion, the analysis framework of eco-efficiency based on material. A system-support theory model of eco-efficiency evaluation is built up, and the theory basis of a mathematic model is discussed.Traditional performance evaluation methods do not fit in with the needs of eco-efficiency evaluation because they fail to take environmental impacts of economic activities into consideration. Based on the theory foundation of enterprise’s eco-efficiency evaluation, authoritative definition of eco-efficiency, designing objects and criterion, this paper has designed an index system of enterprise’s eco-efficiency valuation, integrating resource efficiency, energy efficiency and environment efficiency, in which consist of four sub-systems of eco-efficiency index of natural resources efficiency, energy efficiency and environment efficiency as well as their concrete variables. It reflects enterprise’s ecological operating performance, kernel competitive superiority and their impacts on society and environment.Applying the theory foundation framework of enterprise’s eco-efficiency evaluation built by this paper, system-support theory model, and theory foundation of mathematic model building, integrating panel data model, a melioration of tranditional production function is made, and a comprehensive accurate mathematical model valuating eco-efficiency is built up. The production function model containing multivariate involves the feedback impacts of waste material produced in the process on production. It takes material and energy as inputs, as well as undesirable outputs into consideration.According to the theoretical framework, the index system and mathematic model, as well as the authoritative definition of eco-efficiency, taking capital, labor, material, energy and environment impacts as inputs, this paper studies the impacts of these index and energy-saving technology on the eco-efficiency of the iron and steel enterprises in China and analyses risk factors of eco-efficiency by empirical research. The main risk factors of eco-efficiency of the iron and steel enterprise in China are lower utilization efficiency of natural resources, inadequate environmental protection investments, and high energy consumption. Technical innovations should be advocated in order to improve utilization efficiency of natural resources and energy, decrease environment impacts, not only to increase investments.The research results suggest that great melioration should be made about the efficiency research framework of mainstream economics in order to meet the developing requirements of eco-efficiency theory and the reality of economy, society and environment developing in harmony and sustainability. Traditional economics pays close attention only to value circulation, while ecological economics in a wide sense focuses on the unification of material circulation, energy circulation, value circulation, and information circulation on the premise of hypothesis of bounded rational ecological economic man and enterprise’s ecological boundary. Eco-efficiency analysis is based on material, and logical variation of ecological economics reveals transformation of efficiency evaluation criterion, which is changed from traditional Pareto efficiency of input-output to appropriate best eco-efficiency. Accordingly, valuating index system and methodology of eco-efficiency should take environment impacts of enterprise’s economic behavior into account. Empirical research results prove that the conclusions drawn by theoretical research are right.更多还原