摘 要
目前，我国经济处在发展势头迅猛而又能源供应紧缺的境况下，核电作为技
术成熟的清洁能源，满足了国家对电力及环保的共同需求。核电产业作为我国战
略性新兴产业，已然成为我国能源发展中的热点和焦点产业。核电企业经营绩效
的优劣关系到我国整个核电行业的健康发展，而对于核电产业链内上市公司绩效
的研究，对于核电产业的发展具有一定的借鉴意义，而目前我国对于核电产业绩
效的研究在学术领域并不太多，尤其在选用数据包络(DEA)分析法详细进行评价
的更少。鉴于此,本文选取核电产业链内上市公司的绩效进行评价研究

本文以我国核电产业绩效评价方法及应用为主题进行了详细研究。采用理论
与实证、定性与定量及比较分析的方法。基于对国内外核电产业和企业绩效评价
研究现状的分析，提出了研究技术路线，研究内容和创新点。第二部分是理论部
分，本文对核电产业概念进行了基本定义，介绍了企业绩效评价理论，分析并比
较了 5 种企业绩效评价常用方法。第三部分是介绍 DEA 模型及之间的区别，说
明本文应用 DEA 评价方法的合理性。第四部分对选取的年- 年三年内，
我国核电产业链内企业沪深 A 股中筛选后的上市公司，进行了具体模型实证分析
计算。本文主要运用 DEA 方法评估了我国核电产业内上市公司的三大效率：综
合效率、技术效率和规模效率，并进行了效率排名。最后评价分析结果显示在样
本年份，我国核电企业整体效率有所提升，整体水平较好，但样本企业之间的差
异仍比较明显。所以本文从核电产业上市公司和整个核电产业两个角度提出相关
建议

立足于世界核电发展趋势与中国核电产业发展的历史与现实背景，对核电产
业链相关企业进行绩效评价并提出针对性建议是必要的。因此，建立科学合理的
绩效评价体系来评估核电企业的经营活动，提高核电企业的技术创新与竞争力，
成为一个重要课题

关键词：核电产业；绩效评价；数据包络分析；DEA 效率iii
ABSTRACT
In the current rapid economic development of our country and in the shortage of
energy supplies, nuclear power has satisfied the country at the pressing needs of the
electric energy and environmental protection, which as a clean power, and its mature
technology. Nuclear industry, as a strategic emerging industry in our country, has
become the focus of attention in the energy development of our country. The pros and
cons of nuclear power enterprises operating performance is related to the healthy
development of the nuclear power industry in our country, and for nuclear power, the
performance of listed companies in the industry of research has reference value to the
healthy development of our nuclear power industry. And the study of the performance
for the nuclear power industry in China in the academic field is not too much.
Especially choose few of DEA method. Given this, this article selects the nuclear
power industry chain of listed companies’ performance evaluation to research.
This paper mainly researches the method and application of the performance
evaluation of the nuclear power industry in China in detail. In the research process,
we study mainly adopted combination theory and case, qualitative and quantitative,
and comparative analysis methods. Based on domestic and international nuclear
power industry and the enterprise performance evaluation research status quo, we
made the flow chart, contents, new ideas. The second part is the theoretical section.
This paper introduces the basic definition of nuclear industry concept and the
enterprise performance evaluation theory, analysis and compares five kinds common
methods for business efficiency evaluation. The third part introduces the DEA models
and the difference between them, and also illustrates the rationality of the application
of DEA evaluation method. The fourth part，selectthree years, China39;s
nuclear power industry chain enterprises in Shanghai and Shenzhen A shares in public
company, after the screening，we do the empirical calculation and analysis. This paper
uses DEA model to evaluate the efficiency of nuclear power public companies in
China: they are comprehensive efficiency, technical efficiency and scale efficiency,
and we rank the efficiency. The final evaluation results show that in the sample years,
China39;s nuclear power enterprise overall efficiency is lifting, the integral level is
better, but the difference between sample enterprises is still obvious. So we propose
relevant advices from two aspects: the nuclear industry listed companies and theiv
national macro policy.
Based on the international development trend of nuclear power and the realistic
background, China39;s nuclear power industry development of nuclear power industry
chain enterprises performance evaluation and puts forward corresponding proposals
are necessary. Therefore, it becomes an important subject to establish scientific and
reasonable performance evaluation system, to evaluate scientifically of nuclear power
enterprises, to further improve the technology of nuclear power enterprise innovation.
Key Words： Nuclear Power Industry； Performance Evaluation； DEA； DEA
Efficiency湖南科技大学硕士学位论文
目 录
摘 要 .i
ABSTRACT.iii
第一章 绪论..........1
1.1 选题背景与研究意义 ......... 1
1.1.1 选题背景 ...... 1
1.1.2 研究目的及意义 ...... 1
1.2 文献综述 .... 2
1.2.1 国内外核电产业研究综述 ... 3
1.2.2 国内外企业绩效评价研究综述 ........ 5
1.3 研究思路与研究内容 ......... 6
1.3.1 研究思路 ...... 6
1.3.2 研究内容 ...... 8
1.3.3 本文的创新点 .......... 9
第二章 核电企业概述及绩效评价理论 ....... 11
2.1 核电企业概念及发展 ....... 11
2.1.1 核电企业相关概念 . 11
2.1.2 我国核电企业发展 . 11
2.2 企业绩效评价基础理论 .... 12
2.3 企业绩效评价常用方法及比较 .... 14
第三章 基于 DEA 方法的我国核电企业绩效评价模型构建19
3.1 DEA 基本理论 ....... 19
3.2 DEA 方法评价我国核电企业绩效的步骤 . 23
3.3 DEA 方法评价核电企业绩效的优点......... 24
第四章 基于 DEA 的我国核电企业绩效评价实证研究...27
4.1 样本选取 .. 27
4.2 数据来源 .. 28
4.3 指标选取及对应原则 ....... 29
4.4 DEA 模型计算与分析 ....... 33
4.4.1 核电企业的 DEA 有效性判定与分析 ........ 40
4.4.2 核电企业绩效综合有效性分析 ...... 43湖南科技大学硕士学位论文
4.4.3 核电企业技术有效性分析 . 44
4.4.4 核电企业规模有效性分析 . 45
4.4.5 核电企业效率排名与被参考次数 .. 46
第五章 总结........53
5.1 主要结论 .. 53
5.2 建议及展望........... 54
参 考 文 献........59
致 谢.......63
附录 A：攻读学位期间所发表的学术论文目录 ....65
附录 B：实证数据及结果........67湖南科技大学硕士学位论文
- 1 -
第一章 绪论
1.1 选题背景与研究意义
1.1.1 选题背景
改革开放后，我国经济的发展速度高速平稳，能源和电力需求量剧增。然而
以燃煤为主的能源消费结构使得我国经济的发展面临能源供应相对短缺与环境污
染相对严重的双重
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