發(fā)布時(shí)間：2018-01-24 10:49

  本文關(guān)鍵詞： 新能源上市公司 BCC模型 Malmquist指數(shù) 績效評價(jià)　出處：《南京工業(yè)大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

【摘要】：近幾年全球新能源發(fā)展迅速，技術(shù)上逐步成熟，經(jīng)濟(jì)上也逐步為人們所接受，據(jù)預(yù)測，到2050年太陽能、風(fēng)能、生物質(zhì)能在世界能源結(jié)構(gòu)中占比將達(dá)到50%�？梢姡�21世紀(jì)是大規(guī)模開發(fā)利用新能源的世紀(jì)。同時(shí)，大力開發(fā)和利用新型能源也是我國優(yōu)化能源結(jié)構(gòu)，改善生態(tài)環(huán)境，促進(jìn)經(jīng)濟(jì)社會(huì)可持續(xù)發(fā)展的重要戰(zhàn)略措施之一。然而我國新能源產(chǎn)業(yè)發(fā)展過程中面臨的技術(shù)、市場、管理和環(huán)境等眾多風(fēng)險(xiǎn)被普遍忽視，使得產(chǎn)業(yè)潛在的危機(jī)凸顯，加上國外市場需求的縮減，多數(shù)企業(yè)虧損、停產(chǎn)，全產(chǎn)業(yè)提前進(jìn)入洗牌期。這無疑對新能源企業(yè)的經(jīng)營績效提出了更高的要求，新能源企業(yè)如何優(yōu)化內(nèi)部資源配置、調(diào)整業(yè)務(wù)結(jié)構(gòu)，提高運(yùn)營和產(chǎn)出效率，成為急待思考和解決的問題。 本文首先根據(jù)現(xiàn)有文獻(xiàn)成果對所要研究的績效、績效評價(jià)相關(guān)概念進(jìn)行了界定，闡述了國外績效評價(jià)研究的發(fā)展歷程，梳理了國內(nèi)績效影響因素、績效評價(jià)方法運(yùn)用、新能源企業(yè)績效等研究的現(xiàn)狀。其次，，研究了新能源產(chǎn)業(yè)發(fā)展的影響因素，發(fā)展階段、產(chǎn)業(yè)鏈和規(guī)模增長狀況，分析了新能源上市公司的總資產(chǎn)、股本規(guī)模狀況、財(cái)務(wù)狀況和經(jīng)營業(yè)績狀況，比較了幾種常用績效評價(jià)方法的優(yōu)勢和劣勢，在與參數(shù)法SFA的比較中給出選取DEA評價(jià)的依據(jù)。再次，分別從靜態(tài)和動(dòng)態(tài)兩方面評價(jià)了新能源產(chǎn)業(yè)上市公司的經(jīng)營績效，以非參數(shù)法的DEA模型度量了新能源上市公司的靜態(tài)績效；用Malmquist指數(shù)衡量了新能源上市公司動(dòng)態(tài)經(jīng)營績效，并從橫向公司之間和縱向不同年度之間兩個(gè)角度分析了全要素生產(chǎn)率以及其變化趨勢。得出如下結(jié)論： （一）我國新能源上市公司投入產(chǎn)出效率整體不是太高，在2009到2012年間，65家新能源上市公司分別有20、23、16、21家公司是純技術(shù)效率和規(guī)模效率同時(shí)有效的，分別占所選企業(yè)的30.77%、35.38%、24.62%、32.31%；處于規(guī)模有效的企業(yè)占總樣本比例分別為58.46%、46.15%、36.92%、36.92%；規(guī)模報(bào)酬遞減的公司所占樣本比例在分別為24.62%、36.92%、49.23%、50.77%；（二）樣本新能源公司績效投影分析中，投入冗余在5個(gè)投入變量上都存在，但主要集中在資本投入、勞動(dòng)力投入和創(chuàng)新投入三方面。產(chǎn)出不足集中在凈利潤和每股收益上；（三）在樣本研究期間，新能源產(chǎn)業(yè)上市公司經(jīng)營效率呈下降趨勢，TFP指數(shù)均值為0.942。新能源企業(yè)的技術(shù)進(jìn)步指數(shù)與全要素生產(chǎn)率指數(shù)變化基本一致，呈現(xiàn)先上漲后下降的趨勢，企業(yè)的技術(shù)進(jìn)步指數(shù)是經(jīng)營績效提高的主要?jiǎng)恿�，結(jié)合我國新能源產(chǎn)業(yè)目前研發(fā)技術(shù)水平與發(fā)達(dá)國家相比還存在很大的差距的實(shí)際情況，技術(shù)進(jìn)步還存在很大空間。從長遠(yuǎn)角度來看，推進(jìn)企業(yè)的技術(shù)進(jìn)步以及提高技術(shù)效率變化指數(shù)，尤其是改善企業(yè)的規(guī)模效率，對企業(yè)的經(jīng)營績效改善有相當(dāng)大的潛力。 最后從產(chǎn)業(yè)的宏觀角度給出完善產(chǎn)業(yè)發(fā)展規(guī)劃及配套政策實(shí)施細(xì)則；建設(shè)新能源相關(guān)技術(shù)標(biāo)準(zhǔn)體系；注重技術(shù)研發(fā)和產(chǎn)業(yè)基礎(chǔ)性研究投入等三方面的對策。從企業(yè)微觀角度給出重視技術(shù)創(chuàng)新；優(yōu)化資源配置；創(chuàng)新思維等三個(gè)方面的建議。
[Abstract]:The global new energy development rapidly in recent years, the technology gradually mature, the economy is gradually accepted by people, according to the forecast, by 2050, solar energy, wind energy, biomass energy in the energy structure in the world accounted for visible ratio will reach 50%. in twenty-first Century, is a large-scale development and utilization of new century energy. At the same time, vigorously develop and use new energy is our country to optimize energy structure, improve the ecological environment, one of the important strategic measures to promote the sustainable development of economy and society. However, facing the development process of China's new energy industry in technology, market, management and environment and many other risks are generally ignored, making the crisis highlights the potential industry, coupled with reduced demand in foreign markets, the majority of enterprises loss of production, the whole industry into the shuffle stage in advance. This put forward higher requirements of new energy business performance, new energy enterprises how to optimize the allocation of internal resources, adjustment The whole business structure, improving the efficiency of operation and output, has become an urgent problem to be thought and solved.
According to the existing research results on the performance, the performance evaluation related concepts, expounds the development course of foreign performance evaluation research, combing the domestic factors affecting the performance and use of performance evaluation methods, the research of new energy enterprise performance status. Secondly, study the factors affecting the development of new energy industry the stage of development, industrial chain and scale growth situation, analysis of the total assets of the new energy listed companies, equity scale, financial condition and results of operations, and compares several performance evaluation methods and the advantages and disadvantages in comparison of SFA parameter method given in the selection of DEA evaluation basis. Thirdly, respectively from two the static and dynamic evaluation of the new energy industry, the performance of Listed Companies in the DEA model of non parameter method to measure the static performance of the new energy listed companies; Malmquist index scale We have measured the dynamic performance of new energy listed companies, and analyzed the total factor productivity and its changing trend from two angles: horizontal companies and vertical different years.
(a) of China's listed companies of the new energy input-output efficiency is not too high, in 2009 to 2012 years, 65 new energy listed companies respectively, 20,23,16,21 company is pure technical efficiency and scale efficiency effectively at the same time, the selected enterprises accounted for 30.77%, 35.38%, 24.62%, 32.31%; in the scale of effective enterprise the proportion of the total sample were 58.46%, 46.15%, 36.92%, 36.92%; decreasing returns to scale the company's share proportion in the sample were 24.62%, 36.92%, 49.23%, 50.77%; (two) analysis of the sample performance of New Energy Company projection, input redundancy in the 5 input variables exist, but mainly concentrated in the capital investment, labor force three. Input and innovation input output deficiency concentrated in net profit and earnings per share; (three) in the sample during the study period, the operating efficiency of the new energy industry listed companies declined, the TFP index value of 0.942. new energy The changes of enterprise technological progress index and total factor productivity index is basically the same, showing a downward trend after the first rise, enterprise technological progress index is the main power of performance improvement, combined with the current level of R & D technology actual situation is still a big gap compared with the developed countries of China's new energy industry, there are still a lot of technical progress space. From a long-term perspective, to promote enterprise technological progress and improve the technical efficiency change index, especially the improvement of enterprise scale efficiency, improve operating performance of the enterprises have considerable potential.
Finally, from the macro angle of the industry is to improve the industrial development planning and policy implementation rules; the construction of new energy related technical standard system; three countermeasures focus on technology research and development and the basic research investment. The importance of technological innovation from the micro perspective is given; optimizing the allocation of resources; three aspects of innovative thinking suggestions.

【學(xué)位授予單位】：南京工業(yè)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F406.7;F426.2

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本文編號：1459862