【摘要】：技術(shù)效率是衡量企業(yè)運行健康的核心指標，技術(shù)進步是提高生產(chǎn)率進而推動企業(yè)經(jīng)濟增長的決定性力量，可見技術(shù)效率改善和技術(shù)進步是企業(yè)可持續(xù)發(fā)展的保障。技術(shù)效率不僅能夠反映企業(yè)在生產(chǎn)經(jīng)營中的技術(shù)利用率，還可以用來考察和評價企業(yè)的綜合技術(shù)績效。論文通過對現(xiàn)有文獻的梳理，基于中原證券投資分析系統(tǒng)中低碳企業(yè)的數(shù)據(jù)資料，運用隨機前沿模型測算并考量2005-2012年38家低碳企業(yè)技術(shù)效率的差異化特征，并借助收斂模型考查低碳企業(yè)技術(shù)效率的收斂特性，以此為企業(yè)技術(shù)效率的高效提升及差距縮小尋求路徑。論文的主要研究內(nèi)容及研究結(jié)論如下： 第一，企業(yè)技術(shù)效率的理論基礎(chǔ)分析。采取理論研究與實證分析相結(jié)合，以企業(yè)技術(shù)效率為主線，在對已有研究成果分析的基礎(chǔ)上，綜合集成企業(yè)技術(shù)效率分析的理論方法與技術(shù)（包括效率理論、技術(shù)效率理論、生產(chǎn)前沿面理論、隨機前沿模型、系統(tǒng)聚類理論、收斂性理論），明確了企業(yè)技術(shù)效率分析的理論體系框架。 第二，企業(yè)技術(shù)效率的模型構(gòu)建與測算。基于隨機前沿模型具體形式，結(jié)合企業(yè)治理結(jié)構(gòu)情況，選取的投入產(chǎn)出指標有主營業(yè)務(wù)收入、勞動人數(shù)及固定資產(chǎn)總額，同時涉及到董事會規(guī)模、董事會獨立性、企業(yè)規(guī)模、股權(quán)集中度、資產(chǎn)負債率及高管薪酬等影響因素。接著測算了38家低碳企業(yè)的技術(shù)效率水平，其技術(shù)效率均值僅為0.5027，尚存在40.73%的提升空間。 第三，企業(yè)技術(shù)效率的差異化分析。由彈性分析可知，董事會規(guī)模、獨立董事比例及企業(yè)規(guī)模對技術(shù)效率有負彈性作用，資產(chǎn)負債率、股權(quán)集中度及高管薪酬與技術(shù)效率存在正彈性關(guān)系，各影響因素對技術(shù)效率的彈性驅(qū)動各異。從技術(shù)效率的均值、最值、標準差及變異系數(shù)的截面分析得出，低碳企業(yè)技術(shù)效率的差異有所削弱但仍很明顯；由變動分析可得，低碳企業(yè)技術(shù)效率多年保持穩(wěn)定增長，個別年份存在差異化的增長率。 第四，企業(yè)技術(shù)效率的系統(tǒng)聚類分析。運用系統(tǒng)聚類將低碳企業(yè)劃分為高、中、低三類，其技術(shù)效率均值分別為0.3350、0.4863和0.6846。觀察各類企業(yè)的均值及方差的趨勢圖后發(fā)現(xiàn)，低碳企業(yè)間的技術(shù)效率存在著增長幅度、增長速度等多重差異，并且各類企業(yè)的技術(shù)效率處于不同程度的發(fā)散狀態(tài)。 第五，企業(yè)技術(shù)效率差異的收斂性研究。收斂顯示，低碳企業(yè)的技術(shù)效率呈現(xiàn)收斂與發(fā)散交替變化的特征，同時存在階段性的波動特征；收斂表示，低碳企業(yè)及高、中、低各類企業(yè)的技術(shù)效率均存在顯著的收斂趨勢，并且低-中、低-高、中-高各類企業(yè)技術(shù)效率的收斂趨勢也很明顯，各類企業(yè)均表現(xiàn)出俱樂部收斂特征。 最后，基于實證結(jié)果，，結(jié)合低碳企業(yè)現(xiàn)狀，闡釋了企業(yè)技術(shù)效率提升的政策建議：發(fā)揮企業(yè)的規(guī)模效應(yīng)、強化員工的福利效應(yīng)、增強技術(shù)的促進效應(yīng)、完善管理的規(guī)范效應(yīng)、深化融資的多元效應(yīng)、整合資源的集聚效應(yīng)、激發(fā)董事的聯(lián)創(chuàng)效應(yīng)、優(yōu)化股權(quán)的聚合效應(yīng)。
[Abstract]:The technical efficiency is the core index to measure the operation health of the enterprise, and the technical progress is the decisive force to improve the productivity and further promote the economic growth of the enterprise, and the improvement of the technology efficiency and the technological progress are the guarantee of the sustainable development of the enterprise. The technical efficiency can not only reflect the technical utilization ratio of the enterprise in the production and operation, but also can be used to study and evaluate the comprehensive technical performance of the enterprise. Based on the data of the low-carbon enterprises in the central-China securities investment analysis system, the paper makes use of the stochastic frontier model to measure and consider the differential characteristics of the technology efficiency of 38 low-carbon enterprises in 2005-2012, By means of the convergence model, the convergence of the technology efficiency of the low-carbon enterprises is investigated, so as to improve the efficiency of the enterprise's technical efficiency and to narrow the gap. The main contents and conclusions of the paper are as follows: First, the theoretical basis of enterprise's technical efficiency Based on the analysis of the existing research results, the theoretical method and technology of the enterprise's technical efficiency analysis (including the efficiency theory, the technology efficiency theory and the production front face) are combined with the theoretical research and the empirical analysis, and the theoretical method and technology of the enterprise's technical efficiency analysis are integrated on the basis of the analysis of the existing research results. The theory, the stochastic frontier model, the system clustering theory, the convergence theory, and the theoretical system of the enterprise's technical efficiency analysis are clarified. Framework. Second, model of enterprise technology efficiency Construction and measurement. Based on the concrete form of the stochastic frontier model, and in combination with the enterprise governance structure, the input-output index selected has the main business income, the labor force and the total fixed assets, and also relates to the scale of the board of directors, the independence of the board of directors and the scale of the enterprise. Equity concentration, asset-liability ratio and high-rate compensation The technical efficiency of 38 low-carbon enterprises is then measured. The average technical efficiency is only 0.5027, and there are still 40. 73%. Promotion space. Third, enterprise technology The analysis of the difference of efficiency is that the scale of the board, the proportion of independent directors and the scale of the enterprise have a negative impact on the efficiency of the technology, and the ratio of debt-to-debt, the degree of equity concentration and the high-pipe pay and the technical efficiency are in positive and elastic relation. The elastic driving of the rate is different. From the analysis of the mean value, the most value, the standard deviation and the coefficient of variation of the technical efficiency, the difference of the technical efficiency of the low-carbon enterprises is weakened, but it is still obvious; by the change analysis, the technical efficiency of the low-carbon enterprises has remained stable for many years, and the individual years are stored At a differentiated rate of growth. Fourth, the enterprise The system cluster analysis of the technical efficiency is divided into three categories: high, medium and low by using the system clustering, and the average technical efficiency of the system is 0. 3350, 0. The trend of the mean and variance of all kinds of enterprises is observed, and it is found that the technical efficiency of low-carbon enterprises is the same as that of the growth rate, the growth rate and so on, and the technical efficiency of all kinds of enterprises in a different degree of divergence. The convergence of the technical efficiency of the enterprise is studied. The convergence shows that the technical efficiency of the low-carbon enterprises is characterized by the alternation of the convergence and the divergence, and the periodic wave characteristics exist. The convergence shows that the technical efficiency of the low-carbon enterprises and the low-carbon enterprises is significant. Convergence trend, and low-medium, low-high, medium-high, the convergence trend of the technical efficiency of various enterprises is also obvious, In the end, based on the empirical results and the present situation of the low-carbon enterprises, the policy suggestions for improving the efficiency of the enterprise are explained: the scale effect of the enterprise is exerted, the welfare effect of the staff is strengthened, the effect of promoting the technology is enhanced, The standardized effect of management, the multi-element effect of deepening the financing, the gathering effect of the whole resource, the excitation
【學(xué)位授予單位】：江南大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F224;F273.1

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本文編號：2349984