【作者】 刘志坦；

【导师】 谭力文；

【作者基本信息】 武汉大学 ， 企业管理， 2011， 博士

【摘要】 电力体制改革八年来,电力产业在发电环节形成了五大发电集团为代表的央企发电集团和以粤电集团等为代表的地方国有发电企业,以及以保利协鑫等为代表的外资发电企业并存的发电企业竞争格局。八年来,一方面整个发电行业在电源结构优化、节能减排、整体装备及技术水平等方面取得了诸多发展成就,对社会经发展的支撑能力显著增强；另一方面,受煤电矛盾、电力体制改革不彻底等内外部因素的制约和影响,发电行业面临着越来越大的发展压力和诸多困难及不确定因素。发电环节是整个电力产业的龙头,处于电力产业链中的枢纽地位。发电企业,特别是一些大型发电集团的健康发展,业绩的优劣直接关系到整个行业的发展和改革方向,并最终影响到国家的经济发展和社会稳定。因此对发电企业竞争力的来源、竞争力影响因素和路径以及如何应对更加复杂多变的行业环境,如何采取适宜的发展战略等现实问题展开研究具有重要的现实意义和理论价值。基于上述现实背景,本文以五大发电集团为代表的发电集团为研究对象,以电力产业链为研究视角,对发电产业特性、发电集团竞争力影响因素、路径和发展战略进行研究。在这一过程中,本文力求在以下三个方面实现创新：一是独特的研究视角和研究对象。同以往许多研究不同,本文从电力产业的现实问题出发,基于电力产业链的视角,以发电集团而非单个发电企业或某一独立下属发电公司为研究对象,研究的视角更具全局性,研究对象的选择具有很强的实用性和一定的新颖性,因而研究的结论对于解释当前发电行业的现实问题具有很强的针对性、普遍性和现实意义。二是现有理论体系的梳理和完善及新概念的提出。本文在产业链理论和电力产业发展实践的基础上,系统地构建了电力产业链理论体系和模型。同时重点研究了电力产业链纵向关系和电力产业链对发电产业竞争力的影响和对策,首次创造性地提出了电力产业链纵向一体化协同和横向多元化协同的核心概念,为进一步分析发电企业竞争力影响因素和机理提供了很好的理论基础和工具。三是构建了发电集团竞争力分析及发展战略的分析框架和理论模型。本文从产业链的视角出发,首先构建了发电集团竞争力的影响因素体系,并以此为基础,对电力体制改革后不同发展阶段的发电集团竞争力影响因素进行了理论研究和实证分析。通过理论研究和实证分析,本文首次提出了在当前阶段,发电集团产业链纵向一体化协同度和横向产业结构优化度指标是影响其竞争力的主要因素这一新的理论观点。基于实证分析,本文构建了发电集团竞争力影响因素结构方程路径模型和基于产业链的发电集团纵向延伸和横向拓展的发展战略模型,提出了发电企业战略重点是提升产业链纵向一体化协同度和横向产业结构优化度的观点。本文共分五部分：第一部分是问题聚焦,即本文的第1章。首先从发电行业面临的现实问题出发,引出问题：电力体制改革八年来,影响发电企业竞争力的内外部因素和影响机理是什么?在当前电力体制改革还未最终完成,电力市场化程度还有限的情况下发电企业如何定位?在发电市场竞争日益激烈的环境中发电企业如何作为?在化石资源日益稀缺、环境压力日益紧迫的背景下如何实现可持续发展?接着通过对电力体制改革前后有关发电企业战略和竞争力的有关文献进行了回顾和评价,总结了目前研究的成果和局限性以及本文的研究意义。进而,对本文的研究对象、研究目标、研究思路与框架、研究方法以及力求形成的创新点做一个总体介绍。第二部分是理论演绎,即本文第2章、第3章和第4章。第2章对论文研究将涉及到的战略管理理论、竞争力理论和产业链理论进行简要地理论梳理。第3章首先从纵向和横向两个维度对电力产业演进的规律进行了研究,对中外电力发展的模式和现状进行了对比；其次对电能产品和电力产业的特性进行了分析；最后对我国发电行业的现状和市场结构进行了分析。第4章在前两章的基础上构建了电力产业链的理论体系,这一章既是前两章理论演绎的成果,也为分析和解决论文第一部分所提出的问题搭建了理论平台。第三部分是实证研究,即本文的第5章。本章分析了影响各发电集团竞争力的诸多因素并构建了影响发电集团竞争力的要素体系。在此基础上通过结构方程模型构建了产业链视角下发电集团竞争力分析模型和影响发电集团竞争力的因素及路径。最后分别对五大发电集团和国华电力、华润电力、粤电集团三个代表性发电集团的竞争力进行了定量和定性评价。第四部分是对策分析和案例,即本文的第6章和第7章。第6章在第5章发电集团竞争力分析的基础上,按照战略分析、战略选择和战略实施几个战略管理环节对发电集团的战略环境进行了分析,对主要发电集团的发展战略进行了汇总、纵向横向对比和研究,并提出了当前及今后战略实施过程中的建议。通过各发电集团的战略实践也可以进一步印证第5章研究的观点。第7章中本文以国电集团为案例,对其“十一五”五年来的转型发展之路进行更深入的分析,作为这前两章研究的实例。最后,结论与展望部分主要是对本文的研究进行全面总结,同时指出未来研究方向。更多还原

【Abstract】 Since the mechanism reformation of electricity power system of China, there are three types of co-exist competition power generation corporations formatted the generation sector of the power industry, such as the 5 power generation groups represented the central level power groups and Guangdong Yuedian Power Group represented the local state-owned power generation companies, as well as the GCL-Poly Energy as the representative of the foreign power plants. For eight years, on the one hand, the power generation industry has made many achievements in the power structure optimization, energy saving and environmental protection, the overall level improving of equipment and technology, and its capabilities to support the development of social and economic has been strengthened as well. On the other hand, the power generation industry is facing increasing development pressure and a lot of difficulties and uncertainties because of the contradiction between coal and power, the un-completed system reformation and other internal and external factors and impacts. Power generation industry is the leader of the whole power industry with a hub position in the industry chain. The healthy development of generation enterprises, especially some of the of large-scale power generation groups, and their performance will directly affect the orientation of the industry’s development and reform, and ultimately affect the country’s economic development and social stability. Therefore, it is important and has great practical significance and theoretical value to study the source, impact factors and effect path of the competitiveness of power generation enterprises, and research in how to deal with the more complex industry environment, adopt appropriate development strategies and other practical problem.Based on the realistic background, this dissertation took the 5 power generation groups represented the power generation companies as the research object. The characteristics of the generation industry, impact factors and effect path of the competitiveness of power generation groups and their current and future development strategy were researched from the perspective of power industry chain. Three innovations were formed during the research process as follows:Firstly, the special research perspective and objects. It is different from any previous studies that this dissertation was based on the real situation of power industry, took the power industry chain as research perspective with more overall situation, and the research object was the power generation group rather than a single generation company or any independent affiliated power generation company, and this choice brought strong practicality and novelty. Thus, the current findings of the study could explain the reality of power generation industry with highly relevant, universal and practical significance.Secondly, the sorting and improving of existing theory system, and the proposing of new concepts. The power industry chain theory system and model were constructed on the basis of industrial chain theory and practice of electric power industry. The vertical relationship of power industry chain and the impact of power industry chain to the power generation industrial competitiveness were the focuses in this study. The core concepts of vertical integration synergy and horizontal diversification synergy were proposed at the first time, providing a theoretical basis and tools for the further analysis of the impact factors and mechanism of power generation enterprise competitiveness.Thirdly, the constructing of analytical frame and the theoretical model for competitive analysis and the development strategy of the power generation groups. The impact factors system of competitiveness for power generation groups was build from the perspective of industry chain. And on this basis, the competitiveness impact factors of the power generation groups at different development stages were theoretical researched and empirical analyzed. According to these researches, one of the innovative theoretical views was pointed at the first time that the dominate factors impact the power generation industrial competitiveness in the current stage are the synergies degree of vertical integration and the optimized rate of transverse industrial structure. Based on empirical analysis, the impact factors structural equation path model of power generation groups competitiveness and the industry chain based vertical extension and horizontal expansion development strategy model of power generation groups were constructed. The issue that the power generation enterprises should focus on the enhancement of the synergies degree of vertical integration and the optimized rate of transverse industrial structure in the power generation industry chain was raised. This dissertation is composed of 5 parts:The first part, Problem Focus, that is Chapter 1 of this dissertation. First of all, a series of questions were proposed from the practical problems faced by the power industry, which are:What are the internal and external impact factors and impact mechanism of the power generation enterprises competitiveness? How to determine their position for the power generation enterprises in the current situation that the mechanism reform has not been finalized and the marketization degree of the power industry was still limited. How to deal with the increasingly competitive power market environment for the power generation companies? And how to achieve sustainable development facing the growing scarcity of fossil resources and increasingly environmental pressures? Furthermore, the significance, purpose and the ideas, framework of this study were generally described and introduced in this part.The second part, Theory Interpretation, includes Chapter 2,3 and 4. In the Chapter 2, first of all, the related documents and other literatures in the phases before and after the mechanism reform of power system of China was reviewed and assessed. Then, the achievements and limitation of current research were summarized. And furthermore, the strategic management theory, competition theory and industry chain theory involved in this article were systemized briefly. In Chapter 3, the evolution principle of the power industry was researched from the vertical and horizontal perspectives, and the development mode and current status of power generation industry at home and broad were compared, followed by the analysis of electricity products and power industry characteristics. Finally, the current status and market structure of the China power generation industry were analyzed. In Chapter 4, the electric power industry chain theory system was built based on the previous two chapters. This chapter is the results of theoretical interpretation, and also set up a theoretical platform for analyzing and solving the questions raised in the first part.The third part, Empirical Study, is Chapter 5 of this dissertation. This chapter analyzed the impact factors of the competitiveness of the Power Generation Groups, and formulated the impact factors system of the power generation groups competitiveness. Based on the impact factors system and via the Structural Equation Model, the power generation groups competitive analysis model and the impact factors and effect path were constructed in the perspective of industry chain. Finally, the competitiveness of 5 power generation groups and Guohua Power, Huarun Power, Guangdong Yuedian Electric Power Group were quantitative and qualitative evaluated respectively.The fourth part, Countermeasures and Cases, composed by the Chapters 6 and 7 of this dissertation. Based on the competitiveness analysis of power generation groups in the Chapter 5, the strategic environment of power generation groups was analyzed in accordance with the strategic analysis, strategic choice and strategic management and other aspects, and the development strategy of several main Power Generation Group’s was summarized, vertical and horizontal compared and researched, and many advices for the strategies implementation in the current and future were recommended in Chapter 6. The power generation groups’ strategy practices also could further confirmed the views pointed in Chapter 5. In Chapter 7, China Guodian Corporation, which is one of the power generation groups, was took as a research case. The transformation and development of China Guodian Corporation since the 11th Five-Year Plan was analyzed in depth as the concrete instance of the research in previous 2 chapters of this part.The last Part is Conclusion and Perspective. The major conclusions and outlook of the research were comprehensive summarized in this part, and the direction of the future research was pointed out as well.更多还原