中国省域生态文明建设评价指标体系研究——以上海为例

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摘要

作为工业化进程中最大的发展中国家，中国面临的生态环境问题是非常严峻

的。在党的“十七大”与“十八大”报告中，分别提出了“生态文明”理念与“要

大力推进生态文明建设”。虽然我国生态文明建设评价指标体系的相关研究和实践

取得了积极的进展，但还存在一些不足，主要包括：一是对生态文明建设的内涵

认识不够明确，许多地方把生态文明建设等同于生态建设，忽视了生态文明建设

与经济、文化、社会建设之间相互融合、协调促进的作用关系；二是评价指标的

筛选大多依靠评价者的主观经验，缺乏客观性、逻辑性和透明度；三是大多数评

价体系与“十八大”提出的生态文明建设的主要任务—优化国土空间开发格局，有

一定的差距。因此，建立一套科学可行的指标体系以评价我国生态文明建设状况

是本文的研究目标。

本文以生态文明的内涵特征为切入点，首先探讨了指标体系设置的原则、指

标筛选的思路，按照生态文明的内涵要求和生态文明建设的主要任务，构建了一

个包括“总目标—考察领域—具体指标”的层次结构模型，将生态文明建设的总体目

标划分为包括生态经济、生态空间、环境质量、生态文化与社会和谐五个考察领

域的目标集，将每个考察领域进一步分解成更细小的方面，共筛选出50 多个初级

指标。其次，采用层次和因子分析相结合的方法，对初选指标进行定量筛选，在

此基础上对指标又进行了多次讨论、修订、增删和测算，确定27 个指标来反映我

国生态文明建设的具体要求，构成中国省域生态文明建设评价指标体系。在构建

指标体系的过程中，对生态空间领域中的绿色生态空间密度、国土空间开发的效

率性和可持续性进行了重点研究。然后，运用灰色层次分析法确定权重，给出相

对评价模型—生态文明建设指数（ECCI）和绝对评价模型—平均进步率指数（API）。

最后，选取上海作为评价对象，对上海市2006～2013 年生态文明建设水平进行综

合评价，总体判断是：第一，近七年，全市生态文明建设指数在小幅波动中呈向

上发展趋势，生态文明建设整体状况保持良好；第二，重点领域投入加大，资源

环境稳定改善；第三，生态承载力面临挑战，环保投入滞后于经济发展。

本文共分为六章内容。第一章为绪论；第二章生态文明理论基础及指标体系

构建方法研究；第三章构建中国省域生态文明建设评价指标体系；第四章上海生

态文明建设实证研究；第五章总结与展望。

关键词：生态文明建设指标体系因子分析灰色层次分析生态空间

ABSTRACT

As the largest developing country in the process of industrialization, China is facing

very serious ecological and environmental problems. In the seventeenth congress report,

eco-civilization construction was first written into the party's report, and the eighteenth

report also pointed out: "eco-civilization construction should been vigorously

promoted." Although great progress has been made on the research of the evaluation

indicators system of eco-civilization construction, but there are still some deficiencies.

First, understanding the meaning of the eco-civilization construction is not clear enough,

and in many places the eco-civilization construction is equivalent to the ecological

construction, and the mutual integration among eco-civilization construction, economic

construction, cultural construction and social construction is ignored. Second, most of

the screening evaluation indicators rely on subjective experience, lacking of objectivity,

logic and transparency. Third, there is a gap between most evaluation systems and

optimizing national spatial development pattern that the eighteen report proposed.

Therefore, this paper’s goal is to establish a scientific and feasible indicators system in

order to evaluate the condition of eco-civilization construction.

The paper regards the eco-civilization connotation as the starting point. First, the

principles of the indicators system settings and the ideas of indicators screening are

discussed. In accordance with the content and requirements of eco-civilization, the

hierarchy model including an overall goal, study areas and specific indicators is

building. The overall goal of eco-civilization construction is divided into five divisions

including ecological economy, ecological space, environmental quality, ecological

cultural and social harmony. Each area is further divided into small areas, and more than

50 indicators were screened. Second, the paper uses the combination of analytic

hierarchy process and factor analysis to screen indicators quantitatively. On the basis of

this, the indicators screening, a number of discussions, amendments and deletions

estimates are conducted to determine 27 indicators to reflect eco-civilization specific

requirements finally. In the process of constructing the indicators system, green of

ecological space density, land space developing efficiency and sustainability in the area

of ecological space are the research focus. Then, The paper uses the grey analytic

hierarchy process to determine the weight and proposes the relative evaluation model─

eco-civilization construction index (ECCI) and absolute evaluation model─average

progress index (API). Finally, the paper chooses Shanghai as the object and evaluates

the level of eco-civilization construction from 2006 to 2013. The conclusion is as

follows: in the past seven years, Shanghai's eco-civilization construction index showed

an upward trend in the slight volatility, and the eco-civilization construction maintained

good overall condition; investment is increasing in key fields, while resources and

environment are improving stably; Ecological carrying capacity is faced with challenges

and environmental protection investment leaves behind economic development.

This paper is divided into six chapters. The first chapter is an introduction. The

second chapter studies the theoretical basis of eco-civilization construction and the

building method of indicators system. The third chapter completes the evaluation

indication indicators system of eco-civilization construction at the provincial level in

China. The forth chapter is the empirical study on eco-civilization construction in

Shanghai. The final chapter is the summary and outlook.

Key Words：Eco-civilization Construction, Indicators System, Factor

Analysis, Grey Analytic Hierarchy Process, Ecological Space

中文摘要

ABSTRACT

第一章绪论......................................................1

1.1 研究背景 ....................................................1

1.2 研究目的及意义..............................................1

1.3 研究思路与方法 ..............................................2

1.3.1 研究思路 ................................................2

1.3.2 研究方法 ................................................2

1.4 国内外相关指标体系研究现状综述 ..............................3

1.4.1 国外可持续发展指标体系..................................3

1.4.2 国内生态文明建设评价指标体系............................5

1.4.3 指标体系存在的问题 ......................................7

1.5 主要研究内容与框架 .........................................7

1.5.1 主要研究内容 ............................................7

1.5.2 论文框架 ................................................8

1.6 本研究的主要创新点..........................................8

1.6.1 指标设计的创新 ..........................................8

1.6.2 指标筛选的创新 ..........................................9

1.6.3 评价方法的创新 ..........................................9

第二章生态文明理论基础及指标体系构建方法 .......................10

2.1 生态文明的内涵.............................................10

2.2 指标选取的原则 .............................................11

2.2.1 指标体系具有系统性与层次性 .............................11

2.2.2 指标选取体现综合性与代表性.............................11

2.2.3 指标评价具有科学性与可操作性...........................11

2.2.4 指标体系体现导向性原则 .................................11

2.3 指标体系设计框架 ...........................................12

2.3.1 框架设计...............................................12

2.3.2 初选指标选取...........................................12

2.4 生态空间领域指标计算方法 ..................................13

2.4.1 绿色生态空间（基础生态空间）计算方法 ...................14

2.4.2 土地利用效率（国土空间开发效率性）计算方法 .............14

2.4.3 生态盈亏（国土空间开发可持续性）计算方法 ...............15

2.5 评价指标的筛选与建立 .......................................16

2.5.1 指标筛选前的数据标准化.................................16

2.5.2 信息量最大指标筛选的因子分析...........................17

2.6 生态文明建设评价方法 .......................................18

2.6.1 综合指数分析...........................................18

2.6.2 平均进步率分析.........................................18

第三章中国省域生态文明建设评价指标体系构建.....................20

3.1 样本选取与数据来源 .........................................20

3.2 因子分析对评价指标的筛选 ...................................20

3.2.1 生态经济领域指标因子分析...............................20

3.2.2 生态空间领域指标因子分析...............................20

3.2.3 环境质量领域指标因子分析...............................21

3.2.4 生态文化领域指标因子分析...............................21

3.2.5 社会和谐领域指标因子分析...............................21

3.3 中国省域生态文明建设评价指标体系...........................22

3.3.1 中国省域生态文明建设评价指标体系.......................22

3.3.2 生态文明建设评价指标解释...............................23

3.4 灰色层次分析确定指标权重...................................26

3.4.1 构建递阶层次结构.......................................26

3.4.2 建立灰色判断矩阵 .......................................27

3.4.3 判断矩阵的一致性检验...................................27

3.4.4 求权重向量及排序 .......................................27

第四章上海生态文明建设评价实证分析.............................29

4.1 样本选取与数据来源 .........................................29

4.2 上海市2006-2013 年土地利用效率计算 .........................29

4.2.1 评价指标标准化.........................................29

4.2.2 土地利用效率计算 .......................................29

4.3 上海市2006-2013 年生态盈亏计算 .............................29

4.3.1 上海市2012 年生态足迹的计算 ............................29

4.3.2 上海市2012 年生态承载力的计算 ..........................30

4.3.3 上海市2012 年生态盈亏测算结果..........................31

4.3.4 上海市2006-2013 年生态盈亏测算结果.....................31

4.4 上海市生态文明建设状况 .....................................31

4.4.1 上海市生态文明建设总体评价 .............................31

4.4.2 上海生态文明建设各领域评价分析.........................32

4.5 上海生态文明建设评价结论及政策建议........................35

4.5.1 上海生态文明建设评价结论...............................35

4.5.2 加快绿色变革与转型的几点建议...........................35

第五章结论和展望...............................................37

5.1 主要结论...................................................37

5.2 论文研究不足和有待完善的地方...............................38

5.3 生态文明建设指标体系研究展望...............................38

附录...........................................................40

参考文献........................................................43

在读期间发表的论文和承担科研项目及取得成果......................47

致谢...........................................................48

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摘要：

摘要作为工业化进程中最大的发展中国家，中国面临的生态环境问题是非常严峻的。在党的“十七大”与“十八大”报告中，分别提出了“生态文明”理念与“要大力推进生态文明建设”。虽然我国生态文明建设评价指标体系的相关研究和实践取得了积极的进展，但还存在一些不足，主要包括：一是对生态文明建设的内涵认识不够明确，许多地方把生态文明建设等同于生态建设，忽视了生态文明建设与经济、文化、社会建设之间相互融合、协调促进的作用关系；二是评价指标的筛选大多依靠评价者的主观经验，缺乏客观性、逻辑性和透明度；三是大多数评价体系与“十八大”提出的生态文明建设的主要任务—优化国土空间开发格局，有一定的差距。因此，建立一套科学可行...

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