基于循环经济的中国钢铁产业生态效率评价研究
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摘要
钢铁产业是国民经济的基础性和战略性产业。在我国国民经济持续快速发展的推动下，我国钢铁产业取得了飞速的发展，在技术水平、企业竞争力等各个方面有了长足的进步，粗钢产量己连续十年居世界第一位。但是，我国还不是一个钢铁强国，还存在产品结构不合理，资源利用率低，环境污染严重，技术创新能力不强和国际竞争力弱等诸多问题。其粗放型经济增长方式尚未根本转变，高投入、高消耗、高排放、高污染问题十分突出。大力发展循环经济、实现钢铁产业生态化转型已经成为钢铁工业一项十分重要、刻不容缓的发展战略之一。
实现钢铁产业生态化转型，建设资源节约型、环境友好型企业是我国钢铁产业发展的主要方向。为了促进钢铁产业发展循环经济，评估其生态化建设和改造进程，需要运用科学的评价方法进行综合评价，为政府和企业提供科学的决策依据。
生态效率(eco-efficiency)是指通过提供能满足人类需要和提高生活质量的竞争性定价商品与服务，同时使整个生命周期的生态影响与资源强度逐渐降低到一个至少与地球可承载能力一致的水平。其核心思想是强调以较少资源投入和较低污染排放创造较高质量的产品，对产业来讲，就是要求产业内企业在产品生产过程中，要用最少的资源和能源，生产最多的产品，并且对环境产生最小的影响，实现经济效益和环境效益的双赢，最终实现产业的可持续发展。生态效率为产业提供了一个将自身纳入可持续发展议程中的重要手段和工具。
本文以钢铁产业发展循环经济、进行生态化转型为研究背景，以生态效率为主线，探讨钢铁产业生态效率的内涵，提出了钢铁产业生态效率的定量化测度模型，建立了基于循环经济的钢铁产业生态效率测度的评价指标体系和综合评价模型。对我国钢铁产业的生态效率进行了科学的评价。本文研究内容分为理论研究、定量研究和对策研究三个部分，共为七章，其中第二章、第三章、第四章为理论研究部分，第五章为定量研究部分，第六章为对策研究部分，具体内容如下：
第一章绪论部分，阐明了论文选题的来源、研究的背景和意义。该章对相关文献进行了系统归纳和综合评析，指出现有理论和研究方法上的局限。国内外与生态效率有关的理论大多只涉及企业，研究大多停留在企业内部和工艺流程层面上，且集中在对生态效率的概念认识和一般分析。基于前人研究的不足，本文随后阐述了研究目标、研究思路和方法以及主要研究内容。
第二章为本文研究的理论基础。本章对钢铁产业生态效率评价的基础理论进行了梳理，包括循环经济理论和产业生态理论。循环经济理论和产业生态理论为产业的可持续发展提供了可操作的理论框架，从方法论上解决了产业可持续发展问题。不管是循环经济理论，还是产业生态理论，均将由资源和环境投入带来的产品和服务组成的自然资本纳入了传统的生产函数，既然资源和环境要素被引入生产函数中，就存在生态效率问题。生态效率在实现钢铁产业经济增长和发展循环经济双赢目标中起着重大的桥梁作用，生态效率才是循环经济的合适测度。
第三章分析了我国钢铁产业发展现状，从产业结构、产品结构和资源环境三个方面指出了我国钢铁产业目前存在的主要问题；在对世界钢铁产业发展趋势了解的基础上，指出了循环经济是我国钢铁产业必由之路。本章对我国钢铁产业现状的描述，以及对世界钢铁产业发展趋势的了解能够深层次挖掘我国钢铁产业发展循环经济、进行生态效率评价的主要原因，同时也为后文提出钢铁产业生态效率评价的理论体系提供现实依据。
第四章是论文理论研究的主要部分，界定了论文研究的核心概念，回答了“钢铁产业生态效率的内涵是什么”这个问题。本章首先对生态效率的实质和特征进行了深入的分析，在研究生态效率与循环经济、经济增长、环境负荷三者关系的基础上，说明本研究中，生态效率的实质(内涵)是物质(资源、能源)减量化、环境污染减少与经济增长的同时实现；其次，从产业生态理论出发，对钢铁产业生态化的内涵进行了分析，总结了钢铁产业生态化的目标、特征、实现路径和基本模式，得出了提高生态效率是产业生态化的核心内容，而产业生态化是提高生态效率的主要途径的结论；最后，把生态效率与产业生态化结合，分析其内在联系，在这些研究基础上，界定了钢铁产业生态效率的内涵。
第五章是定量研究部分，是全篇论文的核心篇章之一，全面阐述了效率评价的DEA基本理论和基本模型、污染物的处理方法和生产可能集、评价指标的选取和数据的来源等等。在现有定量研究理论和方法的基础上，从不期望产出的角度出发，将钢铁产业污染物排放作为一种非期望输入引入到数据包络分析模型中，对我国钢铁产业生态效率(包括规模效率、纯技术效率和综合效率)进行了系统、科学、动态地评价，研究结果表明：①钢铁产业生态效率总体上讲不高，但呈现出波动上升的趋势；②尽管规模在一定程度上影响了钢铁产业生态效率的变化，但是纯技术效率是影响我国钢铁产业生态效率的主要因素之一；③钢铁产业效率改进分析表明，我国钢铁产业还存在着较严重的投入拥挤和产出不足现象，即我国钢铁产业还存在较大的节能减排潜力。
第六章是对策研究部分。本章根据上一章的研究结果，提出了一些我国钢铁产业提高生态效率的对策，即产业组织创新对策、循环经济技术创新对策以及制度创新对策，力图为促进钢铁产业循环经济的发展、产业生态化的转型提供政策支持。
本文的主要创新之处：
1、延伸了生态效率理论在中观层面(钢铁产业)的研究，提出了生态效率描述钢铁产业生态经济系统的经济、环境二维特性，可作为评价钢铁产业循环经济发展水平以及生态化水平的合适测度，扩展了生态效率的理论体系和应用范围。
本文系统研究了生态效率的理论体系，指出了生态效率的实质(内涵)是物质(资源、能源)减量化、环境污染减少与经济增长的同时实现；研究了生态效率在实现钢铁产业经济增长和发展循环经济双赢目标中的桥梁作用，从而延伸了生态效率理论在中观层面(产业)上的研究。本文应用生态效率的经济、环境二维特性，对产业发展循环经济进行综合评价，在理论体系上扩展了生态效率的应用领域，丰富了钢铁产业生态效率的内涵，为钢铁产业生态效率测度和生态化评价方法提供了理论基础。
2、在现有理论和方法的基础上，从不期望产出的角度出发，将钢铁产业污染物排放作为一种非期望输入引入到数据包络分析模型中，将该模型应用于基于循环经济的我国钢铁产业生态效率评价中，这对于研究我国钢铁产业循环经济发展问题具有一定的现实意义。
钢铁产业发展循环经济一直是我国政府、企业以及学术界人士关注的问题之一。大量研究结果论证了钢铁产业是我国发展循环经济的重要着力点。本课题采用数据包络分析方法对我国钢铁产业的循环经济发展水平进行测评，指出其节能减排的潜力，对于促进钢铁产业发展循环经济、节能减排降耗、找出差距、寻找改进对策和措施无疑具有重大的现实意义。
3、基于生态效率评价结果，提出了钢铁产业提升循环经济水平、提高生态效率的三大对策：产业组织创新对策、循环经济技术创新对策以及制度创新对策。为促进钢铁产业发展循环经济提供了政策支持。
Iron and steel industry is the foundational and strategic industry of the national economy. Promoted by sustained and rapid development of its economy, China's iron and steel industry has achieved rapid development in technology, enterprise competitiveness as well as other aspects, while the crude steel output has been ranking first for ten successive years in the world. However, China is not yet a great power in iron and steel production because there are a lot of problems , such as unreasonable product structure, low resource utilization, environmental pollution, weak technological innovation capability and international competitiveness and so on. The extensive mode of economic growth, characterized by high-input, high-consumption, high-emission and high-pollution, has not yet been fundamentally transformed. Vigorously developing the circular economy and realizing the ecological transformation has become a very important and urgent strategy adopted by iron and steel industry.
The main direction of China's iron and steel industry development is to build resource-conserving and environment-friendly enterprises by achieving ecological transformation. In order to promote the development of circular economy in iron and steel industry and assess its ecological construction and renovation process, scientific evaluation methods are required for comprehensive evaluation, which is the scientific basis for government and enterprises' decision.
Eco-efficiency refers to the goods and services with competitive price, which could be provided to meet human being's need and improve their life quality, meanwhile, the ecological impacts and resource intensity of its entire life cycle gradually reduce to the level which, at least, suited to the Earth's carrying capacity. Its core idea emphasizes that we should manufacture higher quality products with less resource input and lower pollution emissions. In order to achieve the sustainable development of industries ultimately, it is demand that industry enterprises should manufacture the maximum products with the minimal resources and energy in the production process, exerting the smallest influence on the environment and achieving a win-win situation between economic and environmental benefits. Eco-efficiency provides the industry with an important means and tool, which can fit the sector itself into a sustainable development agenda.
Based on the background of circular economy development and ecological transition in the iron and steel industry, this dissertation, taking the eco-efficiency as the main line, explores the connotation of eco-efficiency in steel sector and puts forward the quantitative model for eco-efficiency measurement. Meanwhile, based on the circular economy, the evaluation index system and comprehensive evaluation model for eco-efficiency measurement in iron and steel industry is also set up, which are used for scientific evaluation about the eco-efficiency in this sector. The contents of this dissertation will be tentatively composed of three parts namely, the theoretical research, the quantitative research and the countermeasure research. It can be further divided into seven chapters, in which, chapter two, chapter three and Chapter four constitute the theoretical study and chapter five is the quantitative study while Chapter six. deals with countermeasures research. Detailed contents come as follow:
Chapter one offers an introduction to the source, background and significance of this dissertation. By means of systematic summarization and comprehensive assessment of related literature, it points out the limitations of current research theory and methodology. Theories related to Eco-efficiency, both home and abroad, mostly involved the enterprises, while researches were conducted within the enterprise and process level and focused on the concept awareness and general analysis of eco-efficiency. Because of the insufficiency of the previous studies, this paper then expounds research objectives, research ideas and methodology as well as the main contents of the research.
Chapter two serves as the theoretical basis for this study. It classifies and analyses the basic theory of eco-efficiency evaluation in the iron and steel industry, including the circular economy theory and industrial ecology theory, both of which provide the practical theoretical framework for the sustainable development of industries, and solve the problems for sustainable development in terms of the methodology. Both the circular economy theory and the industrial ecology theory bring the natural capital, the composition of products and services brought by investment of resources and environment into the traditional production function. Therefore, the eco-efficiency problems have emerged since the elements of the resources and the environment was introduced into the production function. Eco-efficiency serves as an important bridge, for a win-win goal between achieving economic growth and developing circular economy, as well as the appropriate measurement of the circular economy.
Chapter three analyzes the current development of China's iron and steel industry. It points out the current main problems of the iron and iron and steel industry in China from three aspects, namely, the industry structure, product structure, resource and environment. On the basis of understanding of the world steel sector's development trend, it also indicates that the circular economy is the only way for China's iron and steel industry. The description of the status quo of China's steel sector and the understanding of the development trend of world steel industry in this chapter will not only help to find the deep-rooted reason for developing circular economy and carrying out ecological efficiency evaluation in China's iron and steel industry, but also provide realistic basis for the eco-efficiency evaluation theory system in the iron and steel industry in the latter part of this paper.
Chapter four is the main body of the theoretical research in this dissertation, which defines the core concept of this research and answers the question "What is the connotation of eco-efficiency in iron and steel industry ". First, it conducts an in-depth analysis on the essence and characteristics of eco-efficiency and it also illustrates that, in this research, the essence of eco-efficiency lies in the simultaneously realization of the substances (resources, energy) and pollution reduction as well as the economic growth, which based on the relation between recycling economy and three other factors, i.e. the circular economy, the economic growth and the environmental load; Second, in the light of industrial ecology theory, it analyses the essence of ecological steel industry and sums up the objectives, characteristics, implementation path and the basic model of ecological steel industry. Hence, it reaches a conclusion that improving eco-efficiency is the core content in eco-industries, which is the main way for improving eco-efficiency; Finally, it defines the essence of eco-efficiency of the iron and steel industry on the basis of combination and internal relationship of the eco-efficiency and industrial ecology.
Chapter five, a quantitative study, is one of the cores of the whole paper. It comprehensively exposits the basic DEA theory and models for efficiency evaluation, methods of pollutants treatment, production probability muster, the evaluating indicator selections and the data sources and so on. On the basis of the current quantitative study theory and methodology, this research, from the angle of undesirable outputs, brings the pollutant emissions, acting as the undesirable input, into the data envelopment analysis model (DEA) and then conducts a systematic, scientific, dynamic evaluation about China's eco-efficiency (including scale efficiency, pure technical efficiency and overall efficiency) in the iron and steel sector. The research results show that:①the whole eco-efficiency in the steel industry is not high, but witnesses a fluctuating upward trend;②Although the scale of the sector influences the steel industry to some extent, the pure technical efficiency is one of the dominant factors impacting eco-efficiency in this industry;③The analysis of efficiency improvement in the iron and steel industry illustrates that there are still serious phenomena, such as over inputs and inadequacy output, which means there is still large potential for energy-saving and emission-reducing in China's iron and steel industry.
Chapter six provides countermeasures. In the light of the research result of the previous chapter, it puts forward a number of countermeasures, namely, the innovative measures of industrial organization, the measures of circular economy technical innovation and the measures of institutional innovation, to improve eco-efficiency in China's iron and steel sector. It also tries to provide the policy support for the development of circular economy and ecological transition in the iron and steel sector.
The main innovation in this dissertation:
1、Extends the research of eco-efficiency theory to the meso-level (the iron and steel industry), and proposes that the two-dimensional characteristics, both economical and environmental, of steel sector's eco-economic system described by eco-efficiency could be used as an appropriate measurement to assess the level of circular economy development and ecological advancement in iron and steel industry, which expands the theory system and application scope of eco-efficiency.
After systematically study of eco-efficiency theory system, this dissertation points out that the essence (connotation) of the eco-efficiency is the simultaneously realization of the substances (resources, energy) and pollution reduction as well as the economic growth; and Studies the effect of eco-efficiency, which acts as a bridge, for a win-win goal between achieving economic growth and developing a circular economy and, then, extends the research of eco-efficiency theory to the meso-level (industry). Adopting the two-dimensional characteristics, both economical and environmental, of eco-efficiency, this research conducts a comprehensive evaluation for developing circular economy in this sector and expands the applications scope of eco-efficiency theory systems as well as enriches the essence of eco-efficiency in steel sector, which provides a theoretical foundation for the eco-efficiency measurement and eco - evaluation methodology in the steel industry.
2、Based on the current theories and methods, this research, from the angle of undesirable output, brings the pollutant emissions, acting as the undesirable input, into the envelopment analysis model and then applies the model, on the basis of circular economy, into eco-efficiency assessment in China's iron and steel industry, which has a certain practical significance for studying circular economy development in this industry.
Developing circular economy in iron and steel industry has been one of the concerns in Chinese government, enterprises as well as academic circle. A great number of results demonstrate that the steel sector is a significant focus for developing circular economy in China. Applying data envelopment analysis methods, this research conducts an assessment about development level of circular economy in China's steel sector and points out its potential of energy-saving and emission-reducing, which undoubtedly bears great practical significance for the steel industry in many aspects, such as developing circular economy, reducing energy consumption and emissions, identifying gaps, looking for improvement strategies and measurements.
3、On the basis of eco-efficiency evaluation results, it puts forward three main countermeasures for promoting circular economy level and improving eco-efficiency, namely, the innovative measures of industrial organization, the measures of circular economy technical innovation and the measures of institutional innovation, which provide the policy support for the development of circular economy and ecological transition in the steel sector.
实现钢铁产业生态化转型，建设资源节约型、环境友好型企业是我国钢铁产业发展的主要方向。为了促进钢铁产业发展循环经济，评估其生态化建设和改造进程，需要运用科学的评价方法进行综合评价，为政府和企业提供科学的决策依据。
生态效率(eco-efficiency)是指通过提供能满足人类需要和提高生活质量的竞争性定价商品与服务，同时使整个生命周期的生态影响与资源强度逐渐降低到一个至少与地球可承载能力一致的水平。其核心思想是强调以较少资源投入和较低污染排放创造较高质量的产品，对产业来讲，就是要求产业内企业在产品生产过程中，要用最少的资源和能源，生产最多的产品，并且对环境产生最小的影响，实现经济效益和环境效益的双赢，最终实现产业的可持续发展。生态效率为产业提供了一个将自身纳入可持续发展议程中的重要手段和工具。
本文以钢铁产业发展循环经济、进行生态化转型为研究背景，以生态效率为主线，探讨钢铁产业生态效率的内涵，提出了钢铁产业生态效率的定量化测度模型，建立了基于循环经济的钢铁产业生态效率测度的评价指标体系和综合评价模型。对我国钢铁产业的生态效率进行了科学的评价。本文研究内容分为理论研究、定量研究和对策研究三个部分，共为七章，其中第二章、第三章、第四章为理论研究部分，第五章为定量研究部分，第六章为对策研究部分，具体内容如下：
第一章绪论部分，阐明了论文选题的来源、研究的背景和意义。该章对相关文献进行了系统归纳和综合评析，指出现有理论和研究方法上的局限。国内外与生态效率有关的理论大多只涉及企业，研究大多停留在企业内部和工艺流程层面上，且集中在对生态效率的概念认识和一般分析。基于前人研究的不足，本文随后阐述了研究目标、研究思路和方法以及主要研究内容。
第二章为本文研究的理论基础。本章对钢铁产业生态效率评价的基础理论进行了梳理，包括循环经济理论和产业生态理论。循环经济理论和产业生态理论为产业的可持续发展提供了可操作的理论框架，从方法论上解决了产业可持续发展问题。不管是循环经济理论，还是产业生态理论，均将由资源和环境投入带来的产品和服务组成的自然资本纳入了传统的生产函数，既然资源和环境要素被引入生产函数中，就存在生态效率问题。生态效率在实现钢铁产业经济增长和发展循环经济双赢目标中起着重大的桥梁作用，生态效率才是循环经济的合适测度。
第三章分析了我国钢铁产业发展现状，从产业结构、产品结构和资源环境三个方面指出了我国钢铁产业目前存在的主要问题；在对世界钢铁产业发展趋势了解的基础上，指出了循环经济是我国钢铁产业必由之路。本章对我国钢铁产业现状的描述，以及对世界钢铁产业发展趋势的了解能够深层次挖掘我国钢铁产业发展循环经济、进行生态效率评价的主要原因，同时也为后文提出钢铁产业生态效率评价的理论体系提供现实依据。
第四章是论文理论研究的主要部分，界定了论文研究的核心概念，回答了“钢铁产业生态效率的内涵是什么”这个问题。本章首先对生态效率的实质和特征进行了深入的分析，在研究生态效率与循环经济、经济增长、环境负荷三者关系的基础上，说明本研究中，生态效率的实质(内涵)是物质(资源、能源)减量化、环境污染减少与经济增长的同时实现；其次，从产业生态理论出发，对钢铁产业生态化的内涵进行了分析，总结了钢铁产业生态化的目标、特征、实现路径和基本模式，得出了提高生态效率是产业生态化的核心内容，而产业生态化是提高生态效率的主要途径的结论；最后，把生态效率与产业生态化结合，分析其内在联系，在这些研究基础上，界定了钢铁产业生态效率的内涵。
第五章是定量研究部分，是全篇论文的核心篇章之一，全面阐述了效率评价的DEA基本理论和基本模型、污染物的处理方法和生产可能集、评价指标的选取和数据的来源等等。在现有定量研究理论和方法的基础上，从不期望产出的角度出发，将钢铁产业污染物排放作为一种非期望输入引入到数据包络分析模型中，对我国钢铁产业生态效率(包括规模效率、纯技术效率和综合效率)进行了系统、科学、动态地评价，研究结果表明：①钢铁产业生态效率总体上讲不高，但呈现出波动上升的趋势；②尽管规模在一定程度上影响了钢铁产业生态效率的变化，但是纯技术效率是影响我国钢铁产业生态效率的主要因素之一；③钢铁产业效率改进分析表明，我国钢铁产业还存在着较严重的投入拥挤和产出不足现象，即我国钢铁产业还存在较大的节能减排潜力。
第六章是对策研究部分。本章根据上一章的研究结果，提出了一些我国钢铁产业提高生态效率的对策，即产业组织创新对策、循环经济技术创新对策以及制度创新对策，力图为促进钢铁产业循环经济的发展、产业生态化的转型提供政策支持。
本文的主要创新之处：
1、延伸了生态效率理论在中观层面(钢铁产业)的研究，提出了生态效率描述钢铁产业生态经济系统的经济、环境二维特性，可作为评价钢铁产业循环经济发展水平以及生态化水平的合适测度，扩展了生态效率的理论体系和应用范围。
本文系统研究了生态效率的理论体系，指出了生态效率的实质(内涵)是物质(资源、能源)减量化、环境污染减少与经济增长的同时实现；研究了生态效率在实现钢铁产业经济增长和发展循环经济双赢目标中的桥梁作用，从而延伸了生态效率理论在中观层面(产业)上的研究。本文应用生态效率的经济、环境二维特性，对产业发展循环经济进行综合评价，在理论体系上扩展了生态效率的应用领域，丰富了钢铁产业生态效率的内涵，为钢铁产业生态效率测度和生态化评价方法提供了理论基础。
2、在现有理论和方法的基础上，从不期望产出的角度出发，将钢铁产业污染物排放作为一种非期望输入引入到数据包络分析模型中，将该模型应用于基于循环经济的我国钢铁产业生态效率评价中，这对于研究我国钢铁产业循环经济发展问题具有一定的现实意义。
钢铁产业发展循环经济一直是我国政府、企业以及学术界人士关注的问题之一。大量研究结果论证了钢铁产业是我国发展循环经济的重要着力点。本课题采用数据包络分析方法对我国钢铁产业的循环经济发展水平进行测评，指出其节能减排的潜力，对于促进钢铁产业发展循环经济、节能减排降耗、找出差距、寻找改进对策和措施无疑具有重大的现实意义。
3、基于生态效率评价结果，提出了钢铁产业提升循环经济水平、提高生态效率的三大对策：产业组织创新对策、循环经济技术创新对策以及制度创新对策。为促进钢铁产业发展循环经济提供了政策支持。
Iron and steel industry is the foundational and strategic industry of the national economy. Promoted by sustained and rapid development of its economy, China's iron and steel industry has achieved rapid development in technology, enterprise competitiveness as well as other aspects, while the crude steel output has been ranking first for ten successive years in the world. However, China is not yet a great power in iron and steel production because there are a lot of problems , such as unreasonable product structure, low resource utilization, environmental pollution, weak technological innovation capability and international competitiveness and so on. The extensive mode of economic growth, characterized by high-input, high-consumption, high-emission and high-pollution, has not yet been fundamentally transformed. Vigorously developing the circular economy and realizing the ecological transformation has become a very important and urgent strategy adopted by iron and steel industry.
The main direction of China's iron and steel industry development is to build resource-conserving and environment-friendly enterprises by achieving ecological transformation. In order to promote the development of circular economy in iron and steel industry and assess its ecological construction and renovation process, scientific evaluation methods are required for comprehensive evaluation, which is the scientific basis for government and enterprises' decision.
Eco-efficiency refers to the goods and services with competitive price, which could be provided to meet human being's need and improve their life quality, meanwhile, the ecological impacts and resource intensity of its entire life cycle gradually reduce to the level which, at least, suited to the Earth's carrying capacity. Its core idea emphasizes that we should manufacture higher quality products with less resource input and lower pollution emissions. In order to achieve the sustainable development of industries ultimately, it is demand that industry enterprises should manufacture the maximum products with the minimal resources and energy in the production process, exerting the smallest influence on the environment and achieving a win-win situation between economic and environmental benefits. Eco-efficiency provides the industry with an important means and tool, which can fit the sector itself into a sustainable development agenda.
Based on the background of circular economy development and ecological transition in the iron and steel industry, this dissertation, taking the eco-efficiency as the main line, explores the connotation of eco-efficiency in steel sector and puts forward the quantitative model for eco-efficiency measurement. Meanwhile, based on the circular economy, the evaluation index system and comprehensive evaluation model for eco-efficiency measurement in iron and steel industry is also set up, which are used for scientific evaluation about the eco-efficiency in this sector. The contents of this dissertation will be tentatively composed of three parts namely, the theoretical research, the quantitative research and the countermeasure research. It can be further divided into seven chapters, in which, chapter two, chapter three and Chapter four constitute the theoretical study and chapter five is the quantitative study while Chapter six. deals with countermeasures research. Detailed contents come as follow:
Chapter one offers an introduction to the source, background and significance of this dissertation. By means of systematic summarization and comprehensive assessment of related literature, it points out the limitations of current research theory and methodology. Theories related to Eco-efficiency, both home and abroad, mostly involved the enterprises, while researches were conducted within the enterprise and process level and focused on the concept awareness and general analysis of eco-efficiency. Because of the insufficiency of the previous studies, this paper then expounds research objectives, research ideas and methodology as well as the main contents of the research.
Chapter two serves as the theoretical basis for this study. It classifies and analyses the basic theory of eco-efficiency evaluation in the iron and steel industry, including the circular economy theory and industrial ecology theory, both of which provide the practical theoretical framework for the sustainable development of industries, and solve the problems for sustainable development in terms of the methodology. Both the circular economy theory and the industrial ecology theory bring the natural capital, the composition of products and services brought by investment of resources and environment into the traditional production function. Therefore, the eco-efficiency problems have emerged since the elements of the resources and the environment was introduced into the production function. Eco-efficiency serves as an important bridge, for a win-win goal between achieving economic growth and developing circular economy, as well as the appropriate measurement of the circular economy.
Chapter three analyzes the current development of China's iron and steel industry. It points out the current main problems of the iron and iron and steel industry in China from three aspects, namely, the industry structure, product structure, resource and environment. On the basis of understanding of the world steel sector's development trend, it also indicates that the circular economy is the only way for China's iron and steel industry. The description of the status quo of China's steel sector and the understanding of the development trend of world steel industry in this chapter will not only help to find the deep-rooted reason for developing circular economy and carrying out ecological efficiency evaluation in China's iron and steel industry, but also provide realistic basis for the eco-efficiency evaluation theory system in the iron and steel industry in the latter part of this paper.
Chapter four is the main body of the theoretical research in this dissertation, which defines the core concept of this research and answers the question "What is the connotation of eco-efficiency in iron and steel industry ". First, it conducts an in-depth analysis on the essence and characteristics of eco-efficiency and it also illustrates that, in this research, the essence of eco-efficiency lies in the simultaneously realization of the substances (resources, energy) and pollution reduction as well as the economic growth, which based on the relation between recycling economy and three other factors, i.e. the circular economy, the economic growth and the environmental load; Second, in the light of industrial ecology theory, it analyses the essence of ecological steel industry and sums up the objectives, characteristics, implementation path and the basic model of ecological steel industry. Hence, it reaches a conclusion that improving eco-efficiency is the core content in eco-industries, which is the main way for improving eco-efficiency; Finally, it defines the essence of eco-efficiency of the iron and steel industry on the basis of combination and internal relationship of the eco-efficiency and industrial ecology.
Chapter five, a quantitative study, is one of the cores of the whole paper. It comprehensively exposits the basic DEA theory and models for efficiency evaluation, methods of pollutants treatment, production probability muster, the evaluating indicator selections and the data sources and so on. On the basis of the current quantitative study theory and methodology, this research, from the angle of undesirable outputs, brings the pollutant emissions, acting as the undesirable input, into the data envelopment analysis model (DEA) and then conducts a systematic, scientific, dynamic evaluation about China's eco-efficiency (including scale efficiency, pure technical efficiency and overall efficiency) in the iron and steel sector. The research results show that:①the whole eco-efficiency in the steel industry is not high, but witnesses a fluctuating upward trend;②Although the scale of the sector influences the steel industry to some extent, the pure technical efficiency is one of the dominant factors impacting eco-efficiency in this industry;③The analysis of efficiency improvement in the iron and steel industry illustrates that there are still serious phenomena, such as over inputs and inadequacy output, which means there is still large potential for energy-saving and emission-reducing in China's iron and steel industry.
Chapter six provides countermeasures. In the light of the research result of the previous chapter, it puts forward a number of countermeasures, namely, the innovative measures of industrial organization, the measures of circular economy technical innovation and the measures of institutional innovation, to improve eco-efficiency in China's iron and steel sector. It also tries to provide the policy support for the development of circular economy and ecological transition in the iron and steel sector.
The main innovation in this dissertation:
1、Extends the research of eco-efficiency theory to the meso-level (the iron and steel industry), and proposes that the two-dimensional characteristics, both economical and environmental, of steel sector's eco-economic system described by eco-efficiency could be used as an appropriate measurement to assess the level of circular economy development and ecological advancement in iron and steel industry, which expands the theory system and application scope of eco-efficiency.
After systematically study of eco-efficiency theory system, this dissertation points out that the essence (connotation) of the eco-efficiency is the simultaneously realization of the substances (resources, energy) and pollution reduction as well as the economic growth; and Studies the effect of eco-efficiency, which acts as a bridge, for a win-win goal between achieving economic growth and developing a circular economy and, then, extends the research of eco-efficiency theory to the meso-level (industry). Adopting the two-dimensional characteristics, both economical and environmental, of eco-efficiency, this research conducts a comprehensive evaluation for developing circular economy in this sector and expands the applications scope of eco-efficiency theory systems as well as enriches the essence of eco-efficiency in steel sector, which provides a theoretical foundation for the eco-efficiency measurement and eco - evaluation methodology in the steel industry.
2、Based on the current theories and methods, this research, from the angle of undesirable output, brings the pollutant emissions, acting as the undesirable input, into the envelopment analysis model and then applies the model, on the basis of circular economy, into eco-efficiency assessment in China's iron and steel industry, which has a certain practical significance for studying circular economy development in this industry.
Developing circular economy in iron and steel industry has been one of the concerns in Chinese government, enterprises as well as academic circle. A great number of results demonstrate that the steel sector is a significant focus for developing circular economy in China. Applying data envelopment analysis methods, this research conducts an assessment about development level of circular economy in China's steel sector and points out its potential of energy-saving and emission-reducing, which undoubtedly bears great practical significance for the steel industry in many aspects, such as developing circular economy, reducing energy consumption and emissions, identifying gaps, looking for improvement strategies and measurements.
3、On the basis of eco-efficiency evaluation results, it puts forward three main countermeasures for promoting circular economy level and improving eco-efficiency, namely, the innovative measures of industrial organization, the measures of circular economy technical innovation and the measures of institutional innovation, which provide the policy support for the development of circular economy and ecological transition in the steel sector.
引文
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