市场化进程中中国发电行业绩效研究
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摘要
电力行业是国民经济发展中最重要的基础能源行业,是国民经济的第一基础行业,同时也是世界各国经济发展战略中优先发展的重点。随着电力控制、信息技术的进步以及对垄断行业认识的进一步深化,为提升电力行业经营效率,世界各国纷纷进行电力行业的市场化改革,中国也不例外。电力市场化改革成功与否、成效如何将对整个社会、经济等诸方面产生重大影响,因此对市场化进程中中国电力行业绩效研究有着重大的研究意义。
中国电力体制改革历经国家垄断经营、缺电形势下的集资办电、政企分开公司化改组以及“厂网分开、竞价上网”等四个发展阶段,通过这四个阶段的回顾,发现中国电力市场化主要是发电侧的市场化。所以市场化进程中发电行业绩效研究这一主题更符合中国的实际情况,对电力市场化研究更具有针对性。在市场化进程中,发电行业的产权结构逐步向多元化发展,发电企业法人治理结构逐步完善,竞争性市场结构开始形成,这一系列的变革影响市场化进程中发电行业的绩效变动。
发电行业绩效研究是一个复杂的系统工程,很难在一个统一的层面上进行分析,而应该从微观(企业)、中观(区域)和宏观(基于资源、环境因素约束条件下)三个不同层面进行全方位、系统的考察。根据指标选取的一般原则和发电行业的自身特征,尤其是具有以煤为主的电源结构特征,提出了三个不同层面上绩效研究各自的投入产出指标,采用非参数方法(包括DEA和基于DEA的Malmquist效率指数)对发电行业绩效进行了系统、全面研究,并通过面板数据的计量模型对绩效的影响因素进行实证研究。
微观层面上发电行业绩效主要从资源配置效率(利润率指标)与全要素生产率(分解为技术效率、规模效率和技术进步率三个部分)的动态变动进行研究。发电行业上市公司年平均净资产利润率在1998—2007年期间总体上呈下降趋势,这表明引入竞争、打破垄断,降低了上市公司凭借其市场势力所获得的较高利润,提高了发电行业上市公司的资源配置效率。采用基于DEA的Malmquist效率指数法对上市公司进行实证测算,结论表明,上市公司在2000—2006年期间的全要素生产率变动、技术效率变动、规模效率变动和纯技术效率变动整体上均呈现不断改善的趋势,其年均改善程度分别为2.1%、2.4%、0.9%和1.5%,虽然技术进步变动在此期间年平均值小于1,但其在2005和2006这2年内技术进步十分显著。进一步采用面板数据的回归模型对绩效影响因素进行分析,结论表明:电力体制市场化改革、企业规模和独立董事比例与企业绩效存在显著性正相关关系,第一大股东持股比例和董事会规模则与企业绩效存在显著性负相关关系,而高管人员的报酬则对绩效无显著性影响。
中观层面发电行业绩效分析与微观层面一致,同样从资源配置效率、全要素生产率两个方面的动态变动来进行研究。各区域发电行业的平均总资产利润在1999—2006年期间呈上升趋势,使得各区域内全部发电企业的资源配置效率整体上提高。同样采用基于DEA的Malmquist效率指数法对各区域内发电行业进行实证测算,结果表明,在1998—2006年期间发电行业的绩效有一定程度改善,全要素生产率变动、技术效率变动、技术变动和纯技术效率变动的年均改善程度分别为1.4%、0.2%、1.2%和0.4%。进一步采用面板数据的回归模型对绩效的影响因素进行了分析,结论表明:电力体制市场化改革、原煤生产量及电力产品价格三者均与技术效率存在着显著的正相关关系,火电比重与煤炭价格两者均与效率存在显著性负相关关系,而区域内发电企业的平均规模与效率之间呈现“U”型关系。宏观层面发电行业绩效分析,在阐述发电行业长期可持续发展受资源与环境的双重制约的基础上,运用Matlab7.2软件首次采用具有非期望产出的超效率DEA模型对1991—2007年期间火力发电行业的绩效进行实证研究,结果表明,在此期间火力发电行业的效率由1991年的0.8923上升到2007年的1.7519,绩效呈现出不断改善的趋势,尤其是2007年,其相对于2006年增幅达71.49%,绩效改善相当显著。这主要是由于国家节对电力行业的环境问题治理工作,尤其是节能减排工作所取得的成效。
基于以上绩效影响因素的实证研究,以为应从以下方面着手改革以进一步提高发电行业绩效:(1)进一步引入竞争机制,推动产权结构多元化;(2)健全现代企业制度,完善法人治理结构;(3)改善电源结构,推动绿色能源发展;(4)继续深化电价改革,逐步理顺电价机制;(5)进一步推进促进发电技术水平提高与节能减排的产业政策。
Power industry is one of the most important foundational energy industries in national economy. It is also a foundational sector, which always has a priority in economic development strategies in almost every economy. With technology advancement, especially power control and information technology improving, and understanding about monopoly industries deepening, countries around the world start to actualize market-oriented reform of power industry in succession in order to enhance power industry operational efficiency. China is no exception. The successes of the market-oriented reform of power industry and its effectiveness have significant impacts on the entire economy. Therefore, the study on performance of Chinese power industry during market-oriented reform has a vital significance.
Reform of Chinese power industry includes four stages, such as government monopoly management, collect money to develop generation capability, separation between government and enterprises and company regrouping,“separation of the factory and power-net, merchandizing product after competitions of price”. By retrospection about these four stages, we found that the emphasis of Chinese power industry market-oriented reform is generation-side power market-oriented. Therefore, studying on performance of power generation industry during market-oriented reform process is more in line with Chinese actual conditions, and has more pertinence. During the market-oriented process, power generation industry is gradually moving towards diversification in the structure of property rights, its corporate governance structure is improving, and competitive market structure began to take shape. This series of changes affect alteration of power generation industry during market-oriented reform.
Study on performance of power generation industry is a complex systematic project. It is difficult to analysis in a unified level; it should be in micro-view (enterprises), medium-view (region) and macro-view (based on the restriction condition of resources, environmental factors). Three different levels provide an all-round and systematic inspection. Based on general principle of indicators selected and characteristics of power generation industry, in particular characteristics of coal-dominated electrical source structure, we bring forward input and output indicators of performance research in three different levels. By non-parametric methods (including DEA and Malmquist Productivity Index base on DEA), this paper presents a systematic and comprehensive study performance of power generation industry. In addition, a panel data econometric model accomplishes the empirical research on factors affecting the performance.
On micro-level performance of power generation industry, this paper mainly researches on dynamic change of resource allocation efficiency (profit margin indicator) and total factor productivity (decomposed into three parts, i.e. technical efficiency, scale efficiency and technology advancement rate). During the period of 1998-2007 average return on equity of listed companies in power generation industry presented downward trend in overall, indicating that introduction of competition has broken the monopoly of the listed companies, which reduced their high profits by virtue of market force, and it increased resource allocation efficiency of listed companies in power generation industry. Empirical research on listed companies in power generation industry by Malmquist productivity index base on DEA suggests that during the period 2000-2006, some aspects about listed companies, such as total factor productivity change, technical efficiency change, scale efficiency change and pure technical efficiency change, were performing continuous improvement. The average annual improvement of these aspects are 2.1%, 2.4%, 0.9% and 1.5% separately, while during this period average of annual change on technology advancement rate is less than 1, but in 2005 and 2006 this two years technology advancement is special significant. By a regression model of panel data, further analysis of factors that affect performance shows that the correlation between corporate performance and market-oriented reform of power industry is significant positive. Enterprise size and the proportion of independent directors are positively correlated with corporate performance; the correlation between corporate performance and shareholding ratio of first major shareholders is significant negative, the size of directorate is negatively correlated with corporate performance; while there is no significant correlation between corporate performance and remuneration of the executives.
The analysis on performance of power generation industry in medium-view is in line with the micro-view, the research also focuses on dynamic change of resource allocation efficiency and total factor productivity. During the period 1999-2006 average total assets profit margin of each regional power generation industry is raising, this makes resource allocation efficiency of all power generation enterprises in each region improve in overall. Empirical research on Chinese power generation industry in all regions by Malmquist productivity index based on DEA suggests that during the period 1998-2006 performance of power generation industry in each region has been improved in a certain degree. The average annual improvement of total factor productivity, technical efficiency, technology advancement rate and pure technical efficiency are 1.4%, 0.2%, 1.2% and 0.4% separately. Based on regression model of panel data, this paper further analyzed factors that affect performance of power generation industry in each region. The result suggests that the correlation between performance and market-oriented reform of power industry is significant positive, capacity of coal in each region and price of power product are same positive correlated with performance. Correlation between performance and the proportion of firepower is significant negative, price of coal is the same negative correlated with performance. The relation of average scale of power generation enterprise and performance presents a U-shape curve.
The analysis on performance of power generation industry in macro-view is based on dual constraints, i.e. resources and environment-affected long-term sustainable development of power generation industry; By Matlab7.2 software and a super-efficiency DEA model with non-expected output, for performance of thermal power industry during the period 1991-2007 is examined. The empirical research results show that during the period 1991-2007, performance of thermal power industry ranges from 0.8923 in 1991 to 1.7519 in 2007, which shows a continuously improving trend during this period, particularly in 2007, compares to 2006 the increase rate reaches 71.49%. The improvement is significantly. This is mainly due to the environmental management to power industry by the government, especially benefit from the work on saving energy and reducing pollutant emission.
In order to further improve performance of power generation industry based on empirical researches above, considering factors that affect the performance significantly, following steps should be taken in several aspects. (1) Introduce in competition mechanisms to further promote the diversification of property rights structure; (2) Improve modern enterprise system and the corporate governance structure; (3) Improve power supply structure, and promote green energy development; (4) Further deepen reform of power price and gradually tune up mechanism of power price; (5) Further enhance industrial policy of saving energy and reducing pollutant emission, and advance the skill level of power generation.
中国电力体制改革历经国家垄断经营、缺电形势下的集资办电、政企分开公司化改组以及“厂网分开、竞价上网”等四个发展阶段,通过这四个阶段的回顾,发现中国电力市场化主要是发电侧的市场化。所以市场化进程中发电行业绩效研究这一主题更符合中国的实际情况,对电力市场化研究更具有针对性。在市场化进程中,发电行业的产权结构逐步向多元化发展,发电企业法人治理结构逐步完善,竞争性市场结构开始形成,这一系列的变革影响市场化进程中发电行业的绩效变动。
发电行业绩效研究是一个复杂的系统工程,很难在一个统一的层面上进行分析,而应该从微观(企业)、中观(区域)和宏观(基于资源、环境因素约束条件下)三个不同层面进行全方位、系统的考察。根据指标选取的一般原则和发电行业的自身特征,尤其是具有以煤为主的电源结构特征,提出了三个不同层面上绩效研究各自的投入产出指标,采用非参数方法(包括DEA和基于DEA的Malmquist效率指数)对发电行业绩效进行了系统、全面研究,并通过面板数据的计量模型对绩效的影响因素进行实证研究。
微观层面上发电行业绩效主要从资源配置效率(利润率指标)与全要素生产率(分解为技术效率、规模效率和技术进步率三个部分)的动态变动进行研究。发电行业上市公司年平均净资产利润率在1998—2007年期间总体上呈下降趋势,这表明引入竞争、打破垄断,降低了上市公司凭借其市场势力所获得的较高利润,提高了发电行业上市公司的资源配置效率。采用基于DEA的Malmquist效率指数法对上市公司进行实证测算,结论表明,上市公司在2000—2006年期间的全要素生产率变动、技术效率变动、规模效率变动和纯技术效率变动整体上均呈现不断改善的趋势,其年均改善程度分别为2.1%、2.4%、0.9%和1.5%,虽然技术进步变动在此期间年平均值小于1,但其在2005和2006这2年内技术进步十分显著。进一步采用面板数据的回归模型对绩效影响因素进行分析,结论表明:电力体制市场化改革、企业规模和独立董事比例与企业绩效存在显著性正相关关系,第一大股东持股比例和董事会规模则与企业绩效存在显著性负相关关系,而高管人员的报酬则对绩效无显著性影响。
中观层面发电行业绩效分析与微观层面一致,同样从资源配置效率、全要素生产率两个方面的动态变动来进行研究。各区域发电行业的平均总资产利润在1999—2006年期间呈上升趋势,使得各区域内全部发电企业的资源配置效率整体上提高。同样采用基于DEA的Malmquist效率指数法对各区域内发电行业进行实证测算,结果表明,在1998—2006年期间发电行业的绩效有一定程度改善,全要素生产率变动、技术效率变动、技术变动和纯技术效率变动的年均改善程度分别为1.4%、0.2%、1.2%和0.4%。进一步采用面板数据的回归模型对绩效的影响因素进行了分析,结论表明:电力体制市场化改革、原煤生产量及电力产品价格三者均与技术效率存在着显著的正相关关系,火电比重与煤炭价格两者均与效率存在显著性负相关关系,而区域内发电企业的平均规模与效率之间呈现“U”型关系。宏观层面发电行业绩效分析,在阐述发电行业长期可持续发展受资源与环境的双重制约的基础上,运用Matlab7.2软件首次采用具有非期望产出的超效率DEA模型对1991—2007年期间火力发电行业的绩效进行实证研究,结果表明,在此期间火力发电行业的效率由1991年的0.8923上升到2007年的1.7519,绩效呈现出不断改善的趋势,尤其是2007年,其相对于2006年增幅达71.49%,绩效改善相当显著。这主要是由于国家节对电力行业的环境问题治理工作,尤其是节能减排工作所取得的成效。
基于以上绩效影响因素的实证研究,以为应从以下方面着手改革以进一步提高发电行业绩效:(1)进一步引入竞争机制,推动产权结构多元化;(2)健全现代企业制度,完善法人治理结构;(3)改善电源结构,推动绿色能源发展;(4)继续深化电价改革,逐步理顺电价机制;(5)进一步推进促进发电技术水平提高与节能减排的产业政策。
Power industry is one of the most important foundational energy industries in national economy. It is also a foundational sector, which always has a priority in economic development strategies in almost every economy. With technology advancement, especially power control and information technology improving, and understanding about monopoly industries deepening, countries around the world start to actualize market-oriented reform of power industry in succession in order to enhance power industry operational efficiency. China is no exception. The successes of the market-oriented reform of power industry and its effectiveness have significant impacts on the entire economy. Therefore, the study on performance of Chinese power industry during market-oriented reform has a vital significance.
Reform of Chinese power industry includes four stages, such as government monopoly management, collect money to develop generation capability, separation between government and enterprises and company regrouping,“separation of the factory and power-net, merchandizing product after competitions of price”. By retrospection about these four stages, we found that the emphasis of Chinese power industry market-oriented reform is generation-side power market-oriented. Therefore, studying on performance of power generation industry during market-oriented reform process is more in line with Chinese actual conditions, and has more pertinence. During the market-oriented process, power generation industry is gradually moving towards diversification in the structure of property rights, its corporate governance structure is improving, and competitive market structure began to take shape. This series of changes affect alteration of power generation industry during market-oriented reform.
Study on performance of power generation industry is a complex systematic project. It is difficult to analysis in a unified level; it should be in micro-view (enterprises), medium-view (region) and macro-view (based on the restriction condition of resources, environmental factors). Three different levels provide an all-round and systematic inspection. Based on general principle of indicators selected and characteristics of power generation industry, in particular characteristics of coal-dominated electrical source structure, we bring forward input and output indicators of performance research in three different levels. By non-parametric methods (including DEA and Malmquist Productivity Index base on DEA), this paper presents a systematic and comprehensive study performance of power generation industry. In addition, a panel data econometric model accomplishes the empirical research on factors affecting the performance.
On micro-level performance of power generation industry, this paper mainly researches on dynamic change of resource allocation efficiency (profit margin indicator) and total factor productivity (decomposed into three parts, i.e. technical efficiency, scale efficiency and technology advancement rate). During the period of 1998-2007 average return on equity of listed companies in power generation industry presented downward trend in overall, indicating that introduction of competition has broken the monopoly of the listed companies, which reduced their high profits by virtue of market force, and it increased resource allocation efficiency of listed companies in power generation industry. Empirical research on listed companies in power generation industry by Malmquist productivity index base on DEA suggests that during the period 2000-2006, some aspects about listed companies, such as total factor productivity change, technical efficiency change, scale efficiency change and pure technical efficiency change, were performing continuous improvement. The average annual improvement of these aspects are 2.1%, 2.4%, 0.9% and 1.5% separately, while during this period average of annual change on technology advancement rate is less than 1, but in 2005 and 2006 this two years technology advancement is special significant. By a regression model of panel data, further analysis of factors that affect performance shows that the correlation between corporate performance and market-oriented reform of power industry is significant positive. Enterprise size and the proportion of independent directors are positively correlated with corporate performance; the correlation between corporate performance and shareholding ratio of first major shareholders is significant negative, the size of directorate is negatively correlated with corporate performance; while there is no significant correlation between corporate performance and remuneration of the executives.
The analysis on performance of power generation industry in medium-view is in line with the micro-view, the research also focuses on dynamic change of resource allocation efficiency and total factor productivity. During the period 1999-2006 average total assets profit margin of each regional power generation industry is raising, this makes resource allocation efficiency of all power generation enterprises in each region improve in overall. Empirical research on Chinese power generation industry in all regions by Malmquist productivity index based on DEA suggests that during the period 1998-2006 performance of power generation industry in each region has been improved in a certain degree. The average annual improvement of total factor productivity, technical efficiency, technology advancement rate and pure technical efficiency are 1.4%, 0.2%, 1.2% and 0.4% separately. Based on regression model of panel data, this paper further analyzed factors that affect performance of power generation industry in each region. The result suggests that the correlation between performance and market-oriented reform of power industry is significant positive, capacity of coal in each region and price of power product are same positive correlated with performance. Correlation between performance and the proportion of firepower is significant negative, price of coal is the same negative correlated with performance. The relation of average scale of power generation enterprise and performance presents a U-shape curve.
The analysis on performance of power generation industry in macro-view is based on dual constraints, i.e. resources and environment-affected long-term sustainable development of power generation industry; By Matlab7.2 software and a super-efficiency DEA model with non-expected output, for performance of thermal power industry during the period 1991-2007 is examined. The empirical research results show that during the period 1991-2007, performance of thermal power industry ranges from 0.8923 in 1991 to 1.7519 in 2007, which shows a continuously improving trend during this period, particularly in 2007, compares to 2006 the increase rate reaches 71.49%. The improvement is significantly. This is mainly due to the environmental management to power industry by the government, especially benefit from the work on saving energy and reducing pollutant emission.
In order to further improve performance of power generation industry based on empirical researches above, considering factors that affect the performance significantly, following steps should be taken in several aspects. (1) Introduce in competition mechanisms to further promote the diversification of property rights structure; (2) Improve modern enterprise system and the corporate governance structure; (3) Improve power supply structure, and promote green energy development; (4) Further deepen reform of power price and gradually tune up mechanism of power price; (5) Further enhance industrial policy of saving energy and reducing pollutant emission, and advance the skill level of power generation.
引文
①[美]周定山.西方国家电力体制改革实践及经验教训[M].北京:中国水利水电出版社,2005
①徐新桥,张金隆.澳大利亚电力市场化改革考察与借鉴[J].科技进步与对策,2002(9):67-69
②世界主要国家电力市场改革政策导向及效果评价[EB/OL]. http://www.cctd.com.cn/detail/09/05/27/00198810/content.html?path=09/05/27/00198810/
③Severin Borenstein. The trouble with electricity markets and some solutions. Working Paper. University of California Energy Institute, January 2001
①数据来源:中国电力年鉴1993和2007。
②国家电力监管委员会,中华人民共和国财政部,世界银行编著.中国电力监管机构能力建设研究报告[M].北京:中国水利电力出版社,2007
①樊纲等编.中国市场化指数——各地区市场化相对进程2004年度报告[M].北京:经济科学出版社,2004:3
②肖兴志等著.公用事业市场化与规制模式转型[M].北京:中国财政经济出版社,2008:175
③谢洪军.市场化进程中中国电力产业绩效评价研究[D].博士学位论文,重庆大学,2007
④中国社会科学院经济政策与模拟重点研究室.经济政策与模拟研究报告[M] .北京:经济管理出版社,2008:1-2
⑤火力发电指利用煤炭、石油、天然气等燃料燃烧产生的热能,通过火电动力装置转换成电能的生产活动。
⑥水力发电指通过建设水电站将水能转换成电能的生产活动,包括:水电站发电、抽水蓄能电站的发电活动。
⑦核力发电指利用核反应堆中重核裂变所释放出的热能转换成电能的生产活动,包括:核电站发电。
⑧其他能源发电指利用风力、地热、太阳能、潮汐能、生物能及其他未列明的发电活动,包括:风力发电、地热发电、太阳能发电;潮汐能发电、海洋能发电;利用废料、沼气发电;生物能发电等其他未列明的发电。
①肖兴志.公用事业市场化与规制模式转型[M].北京:中国财政经济出版社,2008:352
①史忠良主编.产业兴衰与转化规律[M].北京:经济管理出版社,2004
②赵文图.改革发展:电力工作的主旋律——中国电力工业改革开放30年综述[EB/OL].http://www.cpnn.com.cn/ttxw/200812/t20081219_266503.htm
①TOT是Transfer—Operate—Transfer的缩写,即移交—经营—移交。TOT是BOT融资方式的新发展。它是指政府部门或国有企业将建设好的项目的一定期限的产权和经营权,有偿转让给投资人,由其进行运营管理;投资人在一个约定的时间内通过经营收回全部投资和得到合理的回报,并在合约期满之后,再交回给政府部门或原单位的一种融资方式。
②1985的数据由《2002中国电力年鉴》中的人均装机容量和人均发电量和《2002年中国统计年鉴》统计的1985年底的人口计算而来。
③数据来源:《2006中国电力年鉴》。
①王晓冰.电力改革方案始末[J].中国改革,2004(4):59-61
①李新民.电力改革能否打破垄断[N].经济参考报,2002年10月30日
②戚聿东.中国自然垄断产业改革的现状分析与政策建议[J].经济学动态,2004(6)
①数据来源于《2007中国电力年鉴》。
②数据来源:和讯数据网.http://datainfo.stock.hexun.com/hybk/ejhy.aspx?data=jbxx&type=D
①孙海彬主编.电力发展概论[M].北京:中国电力出版社,2008:188
②孙海彬主编.电力发展概论[M].北京:中国电力出版社,2008:188-189
③孙耀唯.电力资产重组与公司治理结构的改进[EB/OL]. http://www.china.com.cn/zhuanti2005/txt/2003-11/03/content_5434296.htm
④统计中的27家发电行业的上市公司中:深南电A于1998年设立一个独立董事,深能源A于1999年设立了一个独立董事,粤电力A于2001年设立了2个独立董事,其他发电行业的上市都于2002年设立独立董事。
⑤黄继忠,陈素琼.我国电力行业上市公司治理结构与公司绩效之间的实证研究[J].财经问题研究,2008(11):39-46
①具体可参见文献:张新华.电力市场中发电市场结构与企业竞价行为研究[D].博士学位论文,重庆大学,2004和王行村.中国电力市场化进程中的产业组织分析与设计[D].硕士学位论文,重庆大学图书馆,2002
②数据来源于1999、2000和2002这三年的《中国电力年鉴》。
①贝恩在产业组织理论的开创性系统论著《产业组织》中提出的“结构—绩效”范式。
②斯蒂芬.马丁著,史东辉等译.高级产业经济学(第二版)[M].上海:上海财经大学出版社,2003:7
①M.J.Farrell. The Measurement of Productive Efficiency[J]. Journal of Royal Statistical Society, 1957, (3): 253-290
②Debreu,G. The Coefficient of Resource Utilitzation[J].Economtrica,1951, (19): 273-292
③Koopmans,T.An Analysis of Production as an Efficient Combination of Activities, in: Koopmans(Ed.),Activity Analysis of Production and Allocation[M].New York, Wilry, 1951: 177-189
④徐琼.区域技术效率论—基于技术效率的区域经济竞争力提升研究[M] .北京:中国经济出版社,2006:36
①孙建.DEA在企业效率评价中的应用研究[J] .地质技术经济管理,2003(25):61-63
①N.古扎拉蒂著.计量经济学基础(第四版)[M].北京:中国人民大学出版社,2005:600
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②与微观企业层面选择技术效率作为被解释变量同理。
①张国宝.中国已成为第二大能源生产国[EB/OL]. http://www.in-en.com/article/html/energy_0940094095226628.html
①数据来源:《2007中国电力年鉴》。
②数据来源:《2008中国统计年鉴》。
③李军.我国煤炭资源可采百年[N].中国国土资源报,2004年6月24日
④数据来源:《2008中国统计年鉴》。
⑤王金南,曹东等著.能源与环境中国2020[M].北京:中国环境科学出版社,2004:3
①王金南,曹东等著.能源与环境中国2020[M].北京:中国环境科学出版社,2004:6
②邱坤赞,朱燕群等.中国能源、电力与环境可持续发展的若干问题[J].工业加热, 2005(1):1-5
③王金南,曹东等著.能源与环境中国2020[M].北京:中国环境科学出版社,2004:4-5
④数据来源:政策发力酝酿节能建材投资机会,财富证券有限责任公司,2006行业研究报告,2005
⑤我国石油依存度近50%逼近能源预警期[EB/OL]. http://finance.sina.com.cn/roll/20080112/01221926366.shtml
⑥邱坤赞,朱燕群等.中国能源、电力与环境可持续发展的若干问题[J].工业加热,2005(1):1-5
①数据来源:国家环境保护“十五”计划,国家环境总局,2001年12月。
①数据来源于:环境统计数据2007.http://www.stats.gov.cn/tjsj/qtsj/hjtjzl/hjtjsj2007/t20081118_402525274.htm.
②孙秀艳.国家环境保护“十五”计划目标缘何未完成[N].人民日报,2007年6月15日
①H.W.Ngana,J.H.Wanga,W.Engriwana,K.L.Lob.A feasible reform for the electricity supply industry in Hong.Energy Policy(in press).
②陈和平.煤炭发电的环境问题及应对措施[EB/ OL]. http://www.wwfchina.org/wwfpress/publication/climate/coalpowercph.pdf
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②王金南,曹东.能源与环境中国2020[M].北京:中国环境科学出版社,2004:25
③徐亮.电力工业对环境的影响及对策[J].云南地理环境研究,2005(4):77-80
①数据来源:《2008中国电力年鉴》。
①中国二氧化硫排放总量位居世界第一[EB/OL]. http://cn.chinareviewnews.com/doc/1001/8/3/2/100183236.html?coluid=0&kindid=0&docid=100183236
①环境保护部.燃煤电厂污染防治最佳可行技术导则编制研究报告[R].2009
②见对华能井冈山电厂的调研报告[EB/OL].http://www.rcsd.org.cn/NewsCenter/NewsFile/ Attach-20060608111040.pdf
①火电行业节水现状、经验及存在问题[EB/OL]. http://zw.hzgy.gov.cn/html/ShowDetail.aspx?serial=No_20051122_162737500
①王波,张群,王飞.考虑环境因素的企业DEA有效性分析[J].控制与决策,2002,(17):24-28
①朱亚杰,孙兴文.能源世界之窗[M].北京:清华大学出版社,2001:3
①林伯强.电力短缺、短期措施与长期战略[J].经济研究,2004(3):28-36
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③Severin Borenstein. The trouble with electricity markets and some solutions. Working Paper. University of California Energy Institute, January 2001
①数据来源:中国电力年鉴1993和2007。
②国家电力监管委员会,中华人民共和国财政部,世界银行编著.中国电力监管机构能力建设研究报告[M].北京:中国水利电力出版社,2007
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⑤火力发电指利用煤炭、石油、天然气等燃料燃烧产生的热能,通过火电动力装置转换成电能的生产活动。
⑥水力发电指通过建设水电站将水能转换成电能的生产活动,包括:水电站发电、抽水蓄能电站的发电活动。
⑦核力发电指利用核反应堆中重核裂变所释放出的热能转换成电能的生产活动,包括:核电站发电。
⑧其他能源发电指利用风力、地热、太阳能、潮汐能、生物能及其他未列明的发电活动,包括:风力发电、地热发电、太阳能发电;潮汐能发电、海洋能发电;利用废料、沼气发电;生物能发电等其他未列明的发电。
①肖兴志.公用事业市场化与规制模式转型[M].北京:中国财政经济出版社,2008:352
①史忠良主编.产业兴衰与转化规律[M].北京:经济管理出版社,2004
②赵文图.改革发展:电力工作的主旋律——中国电力工业改革开放30年综述[EB/OL].http://www.cpnn.com.cn/ttxw/200812/t20081219_266503.htm
①TOT是Transfer—Operate—Transfer的缩写,即移交—经营—移交。TOT是BOT融资方式的新发展。它是指政府部门或国有企业将建设好的项目的一定期限的产权和经营权,有偿转让给投资人,由其进行运营管理;投资人在一个约定的时间内通过经营收回全部投资和得到合理的回报,并在合约期满之后,再交回给政府部门或原单位的一种融资方式。
②1985的数据由《2002中国电力年鉴》中的人均装机容量和人均发电量和《2002年中国统计年鉴》统计的1985年底的人口计算而来。
③数据来源:《2006中国电力年鉴》。
①王晓冰.电力改革方案始末[J].中国改革,2004(4):59-61
①李新民.电力改革能否打破垄断[N].经济参考报,2002年10月30日
②戚聿东.中国自然垄断产业改革的现状分析与政策建议[J].经济学动态,2004(6)
①数据来源于《2007中国电力年鉴》。
②数据来源:和讯数据网.http://datainfo.stock.hexun.com/hybk/ejhy.aspx?data=jbxx&type=D
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②孙海彬主编.电力发展概论[M].北京:中国电力出版社,2008:188-189
③孙耀唯.电力资产重组与公司治理结构的改进[EB/OL]. http://www.china.com.cn/zhuanti2005/txt/2003-11/03/content_5434296.htm
④统计中的27家发电行业的上市公司中:深南电A于1998年设立一个独立董事,深能源A于1999年设立了一个独立董事,粤电力A于2001年设立了2个独立董事,其他发电行业的上市都于2002年设立独立董事。
⑤黄继忠,陈素琼.我国电力行业上市公司治理结构与公司绩效之间的实证研究[J].财经问题研究,2008(11):39-46
①具体可参见文献:张新华.电力市场中发电市场结构与企业竞价行为研究[D].博士学位论文,重庆大学,2004和王行村.中国电力市场化进程中的产业组织分析与设计[D].硕士学位论文,重庆大学图书馆,2002
②数据来源于1999、2000和2002这三年的《中国电力年鉴》。
①贝恩在产业组织理论的开创性系统论著《产业组织》中提出的“结构—绩效”范式。
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①孙建.DEA在企业效率评价中的应用研究[J] .地质技术经济管理,2003(25):61-63
①N.古扎拉蒂著.计量经济学基础(第四版)[M].北京:中国人民大学出版社,2005:600
①林伯强,魏巍贤,李丕东.中国长期煤炭需求:影响与政策选择[J].经济研究,2007,(2)
②与微观企业层面选择技术效率作为被解释变量同理。
①张国宝.中国已成为第二大能源生产国[EB/OL]. http://www.in-en.com/article/html/energy_0940094095226628.html
①数据来源:《2007中国电力年鉴》。
②数据来源:《2008中国统计年鉴》。
③李军.我国煤炭资源可采百年[N].中国国土资源报,2004年6月24日
④数据来源:《2008中国统计年鉴》。
⑤王金南,曹东等著.能源与环境中国2020[M].北京:中国环境科学出版社,2004:3
①王金南,曹东等著.能源与环境中国2020[M].北京:中国环境科学出版社,2004:6
②邱坤赞,朱燕群等.中国能源、电力与环境可持续发展的若干问题[J].工业加热, 2005(1):1-5
③王金南,曹东等著.能源与环境中国2020[M].北京:中国环境科学出版社,2004:4-5
④数据来源:政策发力酝酿节能建材投资机会,财富证券有限责任公司,2006行业研究报告,2005
⑤我国石油依存度近50%逼近能源预警期[EB/OL]. http://finance.sina.com.cn/roll/20080112/01221926366.shtml
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