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基于流域梯级开发的水电工程项目后评价研究
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摘要
摘要:流域梯级水电工程项目在流域发电、防洪、灌溉、供水、航运、旅游、养殖等方面产生重要的社会效益和综合效益。流域梯级水电开发过程投入资金多、建设规模大、时间跨度长、影响范围广,对整个项目周期的决策工作有严格的要求。因此,充分积累流域项目开发经验,不断提高项目开发的决策水平和管理能力,是新时期我国实现流域社会、经济、生态环境可持续发展的关键因素。项目后评价旨在总结工程开发过程的经验教训,是提高项目科学决策能力、增加工程开发经验的重要途径。但是,当前缺乏从流域开发的角度对水电工程群的建设工作进行后评价理论和方法研究。针对该问题,论文在对国内外相关研究进行综述的基础上,结合流域水电开发的现实特征,梳理了流域水电工程后评价的基本理论和作用机制,然后由点及线,首先从水电项目的建设过程、发展目标、社会和生态环境影响四个方面,研究了流域水电开发的基本组成单元——单项水电工程后评价的指标体系和评价方法;其次,从梯级电站整体的效益视角,阐述了流域水电开发的经济和开发时序后评价的理论框架和评价模型;最后,结合以上的研究成果,以沅水流域水电开发项目为对象进行后评价实证分析,验证相关理论的科学性和方法的有效性。论文研究工作如下。
     (1)梳理流域水电开发后评价的理论体系和作用机制。提出系统控制论和可持续发展的项目评价理论是流域水电工程后评价的两个基本理论,前者把整个项目管理视为一个系统,项目后评价是项目管理系统中重要的控制系统。后者要求项目建设要有利于可持续发展的目标,充分考虑经济、社会、生态环境的影响,达到决策目标的最大综合效益;构建水电项目后评价机制设计的基本原则,分析了项目后评价的监督控制作用,剖析了适合我国流域梯级水电工程项目的后评价三级管理机构体系管理和运行机制,设计了适合流域梯级水电工程项目的反馈流程图,其目的是通过理论分析,使后评价的成果能顺利地反馈到决策、设计、建设和运营单位,为项目的决策及建设起到控制作用和借鉴意义。
     (2)流域梯级水电项目单项后评价理论和方法。从流域单项水电工程的建设过程、整体目标以及对社会、自然环境的影响四个维度进行后评价研究,对于具有动态控制作用的建设过程后评价,结合实际工程建设过程后评价控制作用,探讨了单项水电工程具有动态控制作用后评价的内容和评价方法,并建立了后评价指标体系;对于目标可持续后评价,梳理了流域梯级水电项目可持续性的研究范围、内涵、定义以及特征,提出了流域梯级水电项目目标可持续后评价的概念以及基本内容,从而构建指标评价体系;对于和谐发展观的社会影响评价,分析了其基本内容,并构建了指标体系,另外详细分析了项目与社会的适应性以及移民安置后评价等内容;对环境影响后评价研究中,构建了流域梯级水电项目生态环境的后评价指标体系,建立了生态环境影响后评价的物元—层次分析耦合模型。
     (3)流域梯级水电项目经济效益后评价理论和方法。从国民经济后评价和财务后评价两个方面,深入探究了流域梯级水电项目总体经济效益内容、指标体系。针对流域梯级水电项目补偿效益的现实,将梯级补偿效益指标引入了总体经济后评价指标体系中,详细探讨了流域梯级水电项目补偿效益机理以及指标计算方法,并从三种分摊方式入手,深入剖析了流域梯级水电项目效益补偿分摊问题,给出三种分摊方式的计算方法;研究了基于DEA模型的流域梯级水电项目总体经济效益后评价,构建了流域梯级水电项目总体经济效益后评价的“静态分析—综合评价”的理论框架,建立了评价指标体系,提出了流域梯级水电项目总体经济后评价DEA模型。
     (4)流域梯级水电项目开发时序后评价理论和方法。回顾了世界流域开发的基本方式,针对我国“流域、梯级、滚动、综合”开发的方针,运用结构模型解析(ISM)技术,分析出了流域梯级水电开发时序后评价的关键因素,探讨了小型、大中型流域开发利用的管理模式。阐述了模糊优选模型建模的基本理论,提出了基于模糊优选模型进行流域梯级水电开发时序后评价的模型。
     (5)沅水流域开发项目后评价实证分析。简述了沅水流域水电开发基本情况;运用层次分析法结合专家打分方式,对沅水流域梯级水电工程过程进行后评价;在定性分析沅水水电工程的可持续影响因素基础上,评价了该工程目标可持续性;全面分析了沅水流域梯级水电开发社会环境影响因素;评价了该工程在发电、航运以及防洪对受益区的影响情况,并分析了该工程移民安置的情况;运用物元—层次分析模糊模型进行了沅水流域水电工程环境影响后评价;以“静态分析—综合评价”的两阶段评价的方式,运用DEA模型评价了梯级水电开发的总体经济效益;运用模糊优选模型,计算出该工程理想开发时序,结合工程实际开发情况,进行沅水流域梯级水电开发时序后评价。全面总结沅水流域梯级水电工程开发的主要结论,提出了相应的政策建议。
     论文通过对流域梯级水电项目后评价研究,探索了流域水电开发后评价的理论体系和作用机制,剖析了水电项目单项后评价的指标指标和评价方法,建立了流域梯级水电开发经济影响和开发时序后评价的基本理论和评价模型,实证评价了沅水流域开发项目。论文的研究工作对流域梯级水电项目后评价相关理论和应用研究起到了积极的推动作用。
Abstract:Hydro power project in power generation, flood control, irrigation,water supply, shipping, tourism,aquaculture and so on have important social and comprehensive benefits.Cascade hydropower development in investment, construction scale,long time span,wide scope,work in the entire project cycle decisions have strict requirements. Therefore, to gain fully basin project development experience,and to improve constantly the level of water conservancy construction of decision-making and management ability, is in the new period our country the key factors to realize the social,economic,ecological environment sustainable development in river basin.The project post-evaluation aims at summing up the experience of the project development process, to improve the project decision-making ability, increase the project development experience's important way. But the current lack of research on post-evaluation theory and method of hydropower engineering based on river basin development. Aiming at this problem,based on the related research at home and abroa, combined with the feature of reality of river basin development, combing the basic theory of river basin hydropower project post-evaluation and the mechanism of action,at the same time,by points and lines,first of all,on the base of hydropower project construction process,development goal, society and ecological environment influence four aspects,the basic composition unit of river basin hydropower development, individual hydropower project post-evaluation index system and evaluation method. Secondly, from the perspective of the overall benefit of cascade hydropower stations,this paper expounds the economic and development after the temporal evaluation of river basin hydropower development of theoretical framework and evaluation model.Finally, combining with the results of the above,taking YuanShui basin hydropower development projects for the object after the evaluation of the empirical analysis,verify the relevant theory of the scientific nature and effectiveness.Thesis research work is as follows.
     (1)We summarize river basin hydropower development post-evaluation theory system and the mechanism of action.System cybernetics and put forward the sustainable development of project evaluation theory are two basic theories of river basin hydropower project post-evaluation,the whole project management as a system,the former after the project evaluation is the important project management systems and control systems.Request for project construction should be the goal of sustainable development, fully considering the influence of the economic, social and ecological environment, achieve the goal of decision maximum comprehensive benefit;The basic principles of building hydropower project post-evaluation mechanism design,analyzes the project post-evaluation supervisory control function,analyzed the suitable for cascade hydropower project post-evaluation in our country3D management organization system and operational mechanism,which is suitable for cascade hydropower project design flow chart of the feedback, its purpose is theoretical analysis,the evaluation results can be smoothly after feedback to the decision-making, design, construction and operation units,for the project decision-making and construction control effect and significance.
     (2)Cascade hydropower the single project post-evaluation theory and methods.From the individual of the basin hydropower engineering construction process,the overall goal as well as to the society, natural environment, the evaluation on the four dimensions to examine the effects of to have dynamic control effect after the construction process of evaluation,combining with the actual construction process control effect after evaluation, discusses the individual hydropower project have dynamic control effect after evaluation content and evaluation method, and established the evaluation index system;Target for sustainable post-evaluation,combing the research scope of cascade hydropower project in sustainability, connotation,definition and characteristics,puts forward the concept of cascade hydropower project goals in the sustainable post-evaluation and basic content, to build the index evaluation system;Impact assessment for the harmonious development of society, analyses its basic contents,and builds the index system, and detailed analysis of the project and the social adaptability and resettlement evaluation content;After the environmental impact assessment study, cascade hydropower project in the ecological environment is constructed after the evaluation index system,establishing the ecological environment impact assessment matter-element-level analysis of coupled model.
     (3)Cascade hydropower project in economic benefits post-evaluation theory and method.From the national economic evaluation and financial evaluation after two aspects,delves into the overall economic benefit of cascade hydropower project in content, index system.In view of the river basin of compensation benefits of cascade hydropower project, introduced the general economic compensation benefits of cascade indexes after the evaluation index system, discusses the mechanism and compensation benefits of cascade hydropower project in index calculation method, and from three allocation methods,in-depth analysis of the cascade hydropower project benefit compensation allocation problem,gives the calculation method of three share ways;Is studied based on the DEA model of cascade hydropower project in the overall economic benefits after evaluation,constructs the cascade hydroelectric project in the overall economic benefits after evaluation of the theory framework of "static analysis and comprehensive evaluation", established the evaluation index system, puts forward the cascade hydropower project economic evaluation after the DEA model as a whole.
     (4) Cascade hydropower project development sequence in post-evaluation theory and method.Reviewed the basic mode of river basin development in the world, aiming at "valley, stair, rolling, comprehensive development" the principle of using the structural model analysis (ISM) technology, analysis of the cascade hydropower development in sequence after the evaluation of the key factors,discusses the development and utilization of the management mode of small and medium,large and medium-sized valley.This paper expounds the basic theory of fuzzy optimization model modeling, based on the fuzzy optimization model is put forward after cascade hydropower development evaluation model.
     (5)Post-evaluation of the empirical analysis after YuanShui river basin development project.The article introduces the situation;YuanShui river basin hydropower development. Using the analytic hierarchy process (AHP)combined with the expert scoring method,to post-evaluate YuanShui valley cascade hydropower project process;In qualitative analysis YuanShui hydropower project based on the factors affecting the sustainable evaluation of the project goal sustainability;Comprehensive analysis of YuanShui cascade hydropower development in the social environment factors;Evaluation of the engineering in power generation, navigation and flood control effect on yield zone, and analyzes the project resettlement; Using the fuzzy model of matter-elemen-level analysis for the YuanShui river basin hydropower project after the environmental impact assessment; By static analysis and comprehensive evaluation of two stage evaluation approach, using DEA model to evaluate the overall economic benefit of cascade hydropower development; Using fuzzy optimization model to calculate the ideal development timing, the project development situation,combination with the engineering practice of YuanShui cascade hydropower development in sequence post-evaluation. Comprehensive summary YuanShui the main conclusion of the development of cascade hydropower project puts forward the corresponding policy recommendations.
     Paper based on cascade hydropower project post-evaluation study, explores the theoretical system of river basin hydropower development after evaluation and function mechanism,analyze the hydropower project after single indicator of evaluation index and evaluation method, set up a cascade hydropower development in economic impact and development after the temporal evaluation of basic theory and evaluation model,the empirical evaluation of the YuanShui river basin development project. Thesis research work of cascade hydropower project evaluation related theory and application research has played a positive role in promoting.
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