内蒙古工业大学硕士学位论文
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摘 要
能源是人类社会得以生存的物质基础，能源产业作为国民经济发展的重要产业之
一，更是经济运行的基石。为了保障我国经济平稳运行，坚持走可持续发展道路，“节
能降耗、提高能源效率”已成为不容忽视的重要问题。内蒙古自治区是我国非常重要
的能源产地和能源消耗地之一，资源方面得天独厚，在此基础上内蒙古经济得到了飞
速发展。在带动经济发展的同时，由于成本高、技术落后、资源浪费严重等问题，内
蒙古也面临着环境污染和能源枯竭的双重压力，提高能源效率变得迫在眉睫。很多学
者已从宏观层面对内蒙古能源效率进行研究，很少从内蒙古大型能源企业这一微观层
面对其生产效率进行研究，能源企业作为能源的终端消费者和经济效益的创造者，对
其效率进行测评显得格外重要
首先选择DEA-BCC模型以及DEA-Malmquist指数法，分别构建了内蒙古大型能
源企业静态效率模型和动态效率模型，从静态和动态双维度视角出发对内蒙古7家大
型能源企业2007-2016年间的生产效率进行了测算和评价。在实证分析所得的能源企
业效率基础上，构建Tobit回归模型，进一步研究了影响内蒙古大型能源企业生产效
率的影响因素，分析了各因素对生产效率的影响方向、大小和显著性
研究结果表明：（1）从内蒙古大型能源企业静态效率结果来看，2007-2016年样
本企业的综合技术效率均值为0.722，距离有效还差27.8%，在2011年达到最高值，
为0.822，其趋势近十年发生了由低变高然后稍有下降最后趋于平稳的变化，总体上
生产效率较低，主要由规模效率较低所致；（2）从内蒙古大型能源企业动态效率结果
来看，样本企业生产效率年均下降了3.9%，2007-2012年生产效率是下降的，2012-2016
年生产效率变为上升，两个阶段的生产效率总体上是下降的，其中，在2012年之前
主要受技术进步指数的制约，之后的制约因素主要是纯技术效率指数；（3）从内蒙古
大型能源企业生产效率影响因素结果来看，显著的影响因素按照影响力度由大到小依
次为人力资本、GDP增长率、股权结构、盈利能力、营运能力、企业规模、上市时
间，这七个因素对能源企业生产效率均呈现正向影响
最后在生产效率及其影响因素实证分析的基础上，分别从企业和政府两个角度提
出了内蒙古能源企业生产效率的提升对策
关键词：内蒙古；能源企业；生产效率；影响因素
内蒙古工业大学硕士学位论文
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Abstract
Energy is the material basis for the survival of human society, as one of the important
industries in the development of the national economy, the energy industry is the
cornerstone of the economic operation. Saving energy and improving energy efficiency
is an important problem that can not be ignored in ensuring the running smoothlyand
sustainable development of China's economy. The Inner Mongolia Autonomous Region is
one of the most important areas of boththe energy production and energy
consumption in China. Its resources are unique, on this basis, the economy in Inner
Mongolia has been developing rapidly. While leading toeconomical improvements, Inner
Mongolia is also faced with the double pressure of environmental pollution and energy
depletion. Because of the high cost, the backward technology and the serious waste of
resources, it is imminent to improve energy efficiency. Many scholars have studied the
energy efficiency of Inner Mongolia from the macro level, yet there are a few studies about
the production efficiency from the micro level of Inner Mongolia's large energy enterprises.
As the end consumers of energy and creators of economic benefits, it is particularly
important to evaluate the efficiency of energy companies.
First, it chooses the DEA-BCC model and the DEA-Malmquist index method to build
a static efficiency model and a dynamic efficiency model for large energy companies in
Inner Mongolia, then it measurs and evaluats the production efficiency of 7 large energy
enterprises of Inner Mongolia in the past 2007-2016 years from the static and dynamic dual
dimensions. Based on the empirical analysis of the efficiency of energy enterprises, it
builds the Tobit regression model to further studys the factors affecting the production
efficiency of large energy enterprises in Inner Mongolia, and analyses the influence
direction, size and significance of various factors on production efficiency.
The results of the study show that: (1) From the results of the static efficiency of the
large energy enterprises in Inner Mongolia, the overall technical efficiency of the sample
enterprises in the past 2007-2016 year is 0.722, and the distance from effective level is
27.8%. In 2011, it reachs the highest value of 0.822. The trend in the last ten years has
changed from low to high and then slightly down to a steady level. On the whole, the
production efficiency is low，it is mainly caused by the low efficiency of scale. (2) From
the dynamic efficiency results of the large energy enterprises in Inner Mongolia, the
production efficiency of sample enterprises fells by 3.9% annually. The production
内蒙古工业大学硕士学位论文
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efficiency declins from 2007 to 2012, then turns up from 2012 to 2016, it is declining as a
whole in the two stages. Among them, it is mainly restricted by the technology progress
index before 2012, after that, the main factor is pure technical efficiency index. (3) In
terms of the factors affecting the production efficiency of large energy enterprises in Inner
Mongolia, according to the influence intensity from large to small，the significant
influencing factors are human capital, GDP growth rate, equity structure, profitability,
operating capacity, business scale and time of market, these seven factors have a positive
impact on the production efficiency of energy enterprises.
Finally, based on the empirical analysis of production efficiency and its influencing
factors, from the two angles of the enterprise and the government, it puts forward the
countermeasures to improve the production efficiency of energy enterprises in Inner
Mongolia.
Key Words: Inner Mongolia；energy companies; production efficiency; affecting factors。。。。。。