基于含有负数DEA模型的中国煤炭上市企业效率研究

发布时间：2018-03-31 04:26

本文选题：煤炭企业　切入点：技术效率　出处：《内蒙古大学》2017年硕士论文

【摘要】：煤炭行业是中国能源支柱性产业,近年来,各种煤炭企业扩张新建导致市场供需不平衡,煤炭价格下跌,煤炭市场面临"黄金十年"之后的"寒冬季",国家针对这种状态出台了一系列供给侧改革,煤炭企业去产能的政策。煤炭企业面临严峻的问题,急需改善现有效率低下问题,以及寻找新的发展路径。基于上述问题,本文主要进行了以下研究工作:(1)将传统DEA模型数据平移有效性分析拓展到广义DEA模型,验证了广义BCC模型的数据平移后,决策单元有效性不变,给出了数据平移尺度合理性的判定条件,从而为广义DEA模型评价煤炭企业效率分析提供了理论支持。(2)选取2009-2015年间中国29家煤炭上市企业作为研究对象,选取合适的投入产出指标,从整体情况、分规模、各企业分别进行效率分析,并且给出投影改进值。(3)运用Malmquist指数法对2009-2015年间中国29家煤炭上市企业进行动态效率分析,评价了全要素生产率指数、综合技术效率指数、技术进步指数的变化。(4)结合Tobit线性回归分析方法,对中国煤炭上市企业综合效率影响因素进行分析。通过实证研究结果表明:①煤炭上市企业近年来综合效率和纯技术效率的都是呈现下滑趋势;②小型煤炭企业效率优于其他规模煤炭企业;③煤炭上市企业全要素生产率下降,和技术进步指数变化趋势相同;④效率影响因素分析表明,基层员工情况、股权集中度、资产负债率和企业综合效率呈显著负相关,总资产周转率和企业综合效率呈显著正相关。最后,对中国煤炭上市企业的效率提升提出了政策建议,并指出了研究中存在的不足及未来的研究展望。
[Abstract]:The coal industry is a pillar of China's energy industry. In recent years, the expansion and construction of various coal enterprises has led to an imbalance between supply and demand in the market, and the price of coal has fallen. The coal market is facing a "cold winter" after a "golden decade," and the state has issued a series of supply-side reforms aimed at this situation. Coal enterprises are facing severe problems and are in urgent need of improving their existing inefficiencies. Based on the above problems, this paper mainly carries out the following research work: 1) extending the data translation validity analysis of the traditional DEA model to the generalized DEA model, and validating the data translation of the generalized BCC model. The validity of Decision-making unit is invariant, and the judgment conditions of the rationality of data translation scale are given, which provides theoretical support for evaluating the efficiency of coal enterprises by generalized DEA model.) 29 coal listed enterprises in China from 2009-2015 are selected as the research objects. Select the appropriate input-output index, analyze the efficiency of each enterprise separately from the whole situation, the scale, and give the projection improvement value. (3) using Malmquist index method to analyze the dynamic efficiency of 29 coal listed enterprises in China from 2009 to 2015. The change of total factor productivity index, comprehensive technology efficiency index and technological progress index is evaluated by Tobit linear regression analysis. This paper analyzes the influencing factors of the comprehensive efficiency of the coal listed enterprises in China. The empirical results show that the comprehensive efficiency and the pure technical efficiency of the 1% 1 coal listed enterprises in recent years are both showing a downward trend and the efficiency of the small coal enterprises. The total factor productivity of coal listed enterprises is lower than that of other coal enterprises. The analysis of influencing factors of efficiency, which is the same as the change trend of technological progress index, shows that there is a significant negative correlation between grass-roots employee situation, equity concentration, asset-liability ratio and enterprise comprehensive efficiency. There is a significant positive correlation between the turnover of total assets and the comprehensive efficiency of enterprises. Finally, some policy suggestions are put forward to improve the efficiency of listed coal enterprises in China, and the shortcomings of the research and the prospects for future research are pointed out.
【学位授予单位】：内蒙古大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F224;F426.21

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