摘要
自从人类诞生之日起能源问题就始终是一个难以逾越的话题，是社会各界高度
关注的核心，因为它是人类成长和发展的核心基础，为中国经济的快速发展提供了
有力的支持和保障，在人类整个进步史中扮演着重要角色。但是经济发展带动城市
化及工业化的过程中也对能源造成了一系列问题，比如供需不平衡、消耗结构不合
理、主要以煤炭为主、环境问题严重等。据预测，2020 年世界人口将达到 75 亿，
能源消费总量将达到 137.49 亿吨，但由于煤炭资源存量非常有限，传统能源越来越
少，已经不能满足生产活动的需求，同时由于煤炭自身特点，在使用过程中会释放
大量对环境有害物质，再加上如今环境污染问题逐渐走入国际社会的视线，越来越
受到重视，对中国未来的能源使用问题造成了严重困扰和担忧。面对上述状况国家
大力寻找新能源来维持发展，但是在现阶段，新能源在使用过程中也存在着成本高、
不稳定、利用率低等一系列问题，因此对于能源的研究分析迫在眉睫。大型能源企
业作为这其中的特殊部分，其生产运作效率在一定程度上反映了整个行业的生产绩
效，也反映出自身企业内部运作的效果，所以无论从整个行业方面还是企业自身，
对于大型能源企业生产效率的研究都非常有必要。同时从效率角度出发能够了解能
源企业经营现状，对于提高企业竞争力和产业的发展也具有非常重要的现实意义

本文选择数据包络分析方法 DEA 以及基于 DEA 的 Malmquist 指数法分别构建
了中国大型能源企业静态效率模型(包括技术效率及其分解——规模效率和纯技术
效率)和动态效率模型(包括全要素生产率变化指数及其分解——技术进步指数和
技术效率变化指数)，从静态和动态的双维视角出发对 40 家中国大型能源上市公司
2011—2015 间的效率变动进行测算，分析效率水平变动趋势以及差异性。其中静态
分析分别从总体均值、综合技术效率、纯技术效率、规模效率、变化趋势、所有制、
投影这 7 个方面进行，动态分析分别从各企业四年间平均 TFP 值、企业分年度 TFP
值和所有制角度进行。在实证分析企业效率的基础上，本文又建立了指标体系来进
一步分析了影响能源企业效率的因素，并构建Tobit分析模型，解释效率影响机制

最后基于以上分析从企业和政府角度提出了对策

研究表明：样本企业综合技术效率均值未达到有效状态，是由纯技术效率和规
模效率低下共同导致的，其中纯技术效率的影响更显著；2011-2015 年综合技术效
率除了 2012 年有所下降之外总体处于上升状态；全要素效率总体而言处于下降状
态，其中技术效率处于增长状态，而技术进步处于下降状态，技术效率分解成的纯
技术效率和规模效率也均处于上升状态，其中规模效率的增长量较大；从变化趋势
来看，全要素生产效率具有波动性，2013-2014处于增长状态，2012-2013和2014-2015内蒙古工业大学硕士学位论文
II
处于下降状态；Tobit 分析说明了能源企业效率是由企业规模、员工素质、资产和股
权结构、所有制形式、创新能力和政府补助共同作用的结果，同时这七个因素与效
率均呈现出正相关关系，但各个因素的影响程度各不相同，其中企业规模、股权结
构和政府补助对效率的影响不显著，其它四个因素的影响显著

关键词：能源企业；效率；影响因素内蒙古工业大学硕士学位论文
III
Abstract
Since the date of birth of the human, energy problem has always been an
insurmountable topic, is the core of social concern, because it is the core of human
growth and development, provides powerful support and guarantee for the rapid
development of China economy, plays an important role in the history of human progress.
However, the process of urbanization and industrializationcaused by economic
development has caused a series of problems, such as imbalance between supply and
demand, irrational consumption structure, mainly coal, environmental problems, etc.It is
predicted that the world&39;s population will reach 7.5 billion in 2020,the total energy
consumption will reach 13.749 billion tons. But due to the stock of coal resource is very
limited, the traditional energy has become less and less, already cannot satisfy the needs
of production activities, Combined with the characteristics of coal, will release a large
number of harmful substances to the environment in the process of using, the
international community is more and more concerned about the problem of co2
emissions, the problem of China&39;s future energy use is affected by the impact from
external pressure. At present, there are a series of problems in use process for new energy,
for example, cost is high, the instability, low utilization rate,so the research for energy
analysis is imminent. Big energy companies as part of this special, its production
efficiency to a certain extent, reflects the performance of the whole industry production,
also reflect the effect of its own internal operations, so no matter from the aspects of the
industry or enterprise itself, for large energy enterprise production efficiency study is
very necessary. At the same time from the perspective of efficiency of examining the
energy enterprise management present situation to improve the energy enterprise
competitiveness and accelerate the development of China&39;s energy industry has important
practical significance.
This paper choose the method of data envelopment analysis DEA and Malmquist
index method based on DEA respectively constructed large Chinese energy companies
static efficiency model (including the technical efficiency and its decomposition-scale
efficiency and pure technical efficiency) and dynamic efficiency model (including
changes in total factor productivity index and its decomposition, technical progress and
technical efficiency change index), this paper measures the efficiency of the variation in
the 2011-2015 of 40 Chinese big energy listed companies and the change trend and the
analysis efficiency level difference from the two dimensional angle of static and dynamic.内蒙古工业大学硕士学位论文
IV
The static analysis separately from the overall mean value, comprehensive technical
efficiency, pure technical efficiency, scale efficiency, change trend, ownership, the
projection of the 7 aspects，and dynamic analysis, respectively from the enterprise four
years annual average TFP value, TFP value and enterprise ownership perspective.On the
basis of empirical analysis by the enterprise efficiency, the paper further analyzes the
factors that influence efficiency of energy enterprises, and build a tobit analysis model,
explain the influence mechanism of efficiency. Finally, based on the above analysis, the
paper puts forward the countermeasures from the angle of enterprise and government.
Studies have shown that: sample enterprise comprehensive mean technical
efficiency has not been achieved valid state, is made of pure technical efficiency and
scale inefficiency caused by common, among them the influence of pure technical
efficiency is more significant; Overall in the 2011-2015, the comprehensive technical
efficiency increasing in addition to 2012; total factor productivity in general is in a state
of decline, the technical efficiency in the growth state, while technological progress is in
a state of decline, the technical efficiency is decomposed into pure technical efficiency
and scale efficiency are also in a rising state, but the growth in large scale efficiency;
from the point of change trend, total factor productivity are volatile, 2013-2014 in the
growth state, 2012-2013 and 2014-2015 in a state of decline; factor analysis shows the
efficiency of the energy enterprises are the result of the enterprise scale factor, quality of
employees,assets and equity structure,ownership form, innovation ability and
government grants. At the same time, the seven factors and efficiency are showing a
positive correlation, but the influence degree of various factors each are not identical,
firm size、equity structure and governent grants are of no significant impact on efficiency,
the other four factors significantly.
Keywords: energy companies; efficiency; affecting factor内蒙古工业大学硕士学位论文
V
目录
摘要 .. I
Abstract ......... III
第一章 绪论 ........ 1
1.1 研究背景与意义.......... 1
1.2 国内外研究现状.......... 2
1.2.1 国内研究现状........ 2
1.2.2 国外研究现状........ 5
1.3 研究思路和方法.......... 6
1.3.1 研究思路 6
1.3.2 研究方法 6
1.4 研究内容和框架...
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