【作者】 周鲁霞；

【导师】 丁慧平；

【作者基本信息】 北京交通大学 ， 企业管理， 2008， 博士

【摘要】 电力等具有自然垄断和基础网络性质行业的改革是世界各国共同面临的一大难题。在经历了放松管制运动之后，西方主要资本主义国家已基本完成了这些行业的市场化改革，并取得显著绩效。中国这些行业的改革还刚刚起步。改革的难点不在于这些行业的自然垄断性质，而在于这些行业处于严格的行政垄断之下。行政垄断行业的市场化改革，实质上是重新界定政府与市场的边界，是政府自己革自己的“命”。以国务院下发《关于印发<电力体制改革方案>的通知》(国发[2002]5号)为标志，中国电力行业的市场化改革进入了整体设计、全面推进的新阶段，并取得初步成效。由于进入2003年后中国出现了连续4年的大面积电力短缺，也由于利益集团的强势干扰等原因，电力改革不仅没有顺利推进，甚至出现了方向上的偏差。直至2007年4月国务院批复实施《关于“十一五”深化电力体制改革的实施意见》，对电力体制改革的方向和重点做了新的矫正。与此同时，中共十六届三中全会后，国家提出了以人为本，全面、协调、可持续发展，建设和谐社会的科学发展观，标志着新世纪我国经济社会发展模式和发展战略的重大调整。经济社会发展战略的调整，对节约能源、环境保护提出了新的更加严格的要求，发电行业恰恰是高耗能和重污染的行业。行政垄断的消解、新型管制的建立以及科学发展观的确立，使发电厂商的外部环境已经并将继续发生巨大的变化。迎接挑战，抓住机遇，适应环境的变化，制定和实施正确的经营策略，保持企业的持续发展，是发电厂商共同面临的一个问题。企业经营策略是企业在特定环境下，在竞争中求生存和发展而做出的应对措施，是企业发展战略指导下的战术组合。古典战略管理理论假设环境相对稳定，或是可测和基本可测的。中国电力体制改革正在进行中，尽管大的改革方向和目标已经明确，但具体政策和通向最终目标的路径仍有很大的不确定性。在此情况下，发电厂商经营策略的选择较战略的研究制定，对企业的发展更加具有现实意义。这是论文选择发电厂商经营策略研究的重要原因。论文在以较宽的视野对行政垄断、管制理论、发电厂商的行业背景和行业特性进行深入研究的基础上，提出并论证了，在从垄断到竞争的背景下，发电厂商的总体经营战略：基于总成本控制的核心竞争能力提升战略，以及实现这一总体经营战略的具体经营策略：绿色能源策略、大客户营销策略、信息化建设策略、价值重塑策略。论文以A发电公司为具体案例进行实证性研究，验证和拓展了本论文所提出的理论和具体经营策略的正确性，提出了A公司在垄断到竞争背景下所应该采取的经营策略。1．论文首次对行政垄断作了全面系统的研究，对行政垄断、自然垄断、市场垄断和管制作了比较分析。按照公共利益理论、部门利益理论、可竞争市场理论、新管制经济学的发展脉络，对管制理论进行梳理总结。对国内外电力体制改革与发展进行了回顾概括，分析了发电厂商内部环境以及不同发电厂的经济特性。目的是为发电厂商制订科学的战略和策略提供理论和现实背景支持。2．论文提出并论证了从垄断到竞争背景下发电厂商实施基于总成本控制的核心竞争能力提升战略的必要性和途径。总体战略以总成本领先战略、技术改造与创新战略、产业价值链提升战略为主要内容。由垄断到竞争的大背景、发电厂商的行业特性决定了总成本领先战略对发电厂商的适用性，实施总成本领先战略，必须着眼于降低价值链上每一项活动的成本。竞争策略的核心是强化企业核心竞争力，巩固原有优势，并不断创造竞争新优势。技术改造与创新战略是降低成本、提高核心竞争力的重要保证。产业价值链提升战略纵向以煤电一体化为重点，横向以产融结合做保证，核心是服务于做大作强发电主业。3．论文提出并论证了发电厂商实施绿色能源策略的必要性、总体思路及外部保障措施。鉴于发电厂商电源结构已经对外部环境呈现出极大的不适应性，实施绿色能源策略成为一项十分紧迫的任务。实施绿色能源策略的重点是在国家能源战略和产业政策的指导下，以市场发展和资源分布为导向，以经济效益为目标，以发展大容量、高效率、环保型火电机组为基础，优化发展火电，大力开发水电，稳步发展风电、核电、秸秆发电，形成以火电为主，水电、风电、核电等新能源互补的“一主多元”的发电结构。论文以垃圾焚烧发电为例，构建了垃圾焚烧发电市场可行性经济模型。此模型同样适用于秸秆等可再生能源发电。4．论文提出并论证了发电厂商运用先进的营销理论，重点做好大客户营销工作的原则和途径。面对发电侧即将出现的竞争局面，发电厂商要树立市场意识、创建营销模式，以先进的市场营销理论指导开展营销活动。重点是做好市场潜力大、经济效益高和社会效益好的大客户业务，通过向大客户提供高差异、高附加值服务，巩固原有市场优势，并不断发展创造新的竞争优势。论文对发电厂商做好大客户营销的策略组合进行了深入的分析研究。到论文提交时，大客户直供电制度政策尚未出台，论文的研究具有较强的超前性。论文把电网公司也看作发电厂商的大客户，构建了发电厂商竞价模型。5．为了保证经营策略目标的实现，论文提出并研究了发电厂商的信息化建设策略和价值重塑策略。把信息化建设作为全面提升企业管理水平的支撑和手段，分析研究了发电厂商信息化建设的现状与需求、总体策略与具体内容。资源总会枯竭，唯有文化生生不息，企业文化是企业的灵魂和发展的原动力；电力工业作为耗能大户和排放大户，在实现节能降耗目标中扮演着举足轻重的角色，在可持续发展战略中承担着极为重要的社会责任。论文把企业文化塑造和社会责任重塑，作为发电厂商提升内在价值和外在价值的重要途径，目的是以价值的重塑，为实现企业经营策略提供人文支持。6．论文以A发电公司为具体案例，进行实证性研究，验证和拓展了本论文所提出的理论和具体经营策略的正确性。在对A发电公司目前经营管理现状深入分析、总结其优劣的基础上，根据本文前面章节的研究成果，提出A发电公司在垄断到竞争背景下所应采取的经营策略。打破行政垄断，建立基于法律和规则的符合市场经济规律的管制，是中国经济和政治体制改革的一项重要任务。虽然2002年以来的中国电力体制改革历经曲折和反复。但是市场化改革是大势所趋、人心所向。未来的5到10年，应是电力体制改革加快推进的时期，也是发电厂商外部环境发生巨大变化的时期。在体制转型的关键时期，未雨绸缪、及早应对，研究制定适应外部环境变化、适合企业自身特点的正确地经营策略，对发电厂商的生存与发展至关重要。更多还原

【Abstract】 The reform of those industries of natural monopoly and basic network, such as electric power industry, is always a real difficulty faced by countries all over the world. Most western countries have primarily completed the reforms in these sectors and made visible achievements. This kind of reform has just started in China. It is not because of the character of natural monopoly that make reforms difficult, but of the strict administrative monopoly. Therefore, the reform to adopting a market principle in administrative monopolies is actually to re-define the functions of government and that of market. The government is going on a "revolution" in itself.The Reform of Electric Power System approved by the State Council in March 2002 is a symbol that the general adoption of market principle in Chinese electric power has entered a new stage of overall planning and promotion. However, since 2003, due to a 4-year-shortage of electricity power in large areas and strong intervention from interest group, the electric power system reform had not gone on wheels, and even much worse that it had gone to a wrong direction. In December 2006, the State Council examined and approved in principle the Implementation Proposals on the Deepening Electric Power System Reform during the Eleventh Five-Year Plan, which made corrections on the direction and focuses of the reform.Meanwhile, the concept of scientific development outlook featured in the construction of a people-centered, coordinated, sustainable developed and harmonious society endorsed in the 3rd Plenary Session of the 16th CPC Central Committee marked a great change in the national developing way, mode and strategy. The adjustment of economic social developing strategy means a stricter requirement in saving energy and environment protection. However, the electric power industry is among the energy-intensive and polluting ones.The external environment of electric power plant has changed and will continue to change because of the elimination of administrative monopoly, development of new operationgal strategy and the adoption of scientific developing outlook. All the electric power plants are facing the same problem: to meet with challenge, grasp opportunities, adjust according to the changing environment, make and implement correct operation strategies to maintain their development. The operation strategies are some measures or series of tactics that a company has to develop and adopt in order to survive and develop under some certain circumstances. The classic strategic management theory always presumes the circumstances are relatively stable, measurable or generally measurable. China’s electric power system reform is on its way, although the overall direction and target have been defined, there are still ambiguity in the detailed policies and ways leading to final destinations. So, the choice of operation strategy is more important for the development of a company rather than research and work out a strategy. This is an important reason why this dissertation chooses operation strategies of electric power plant as the subject.This dissertation has a broad vision. Based on administrative monopoly, management theory, industry background and characters of electric power plant, the dissertation proposed and proved a general operation strategy, marketing strategy and production strategy under the circumstances from monopoly to competition. This dissertation takes Huadian Power International Corporation Limited as an example to conduct research, proving, and developing its theory and testify the correctness of the operation strategy. The dissertation proposed operation strategies for Huadian Power International Corporation Limited under a competitive circumstance.1. The dissertation has first done the comprehensive and systematical research for the administrative monopoly, comparative analysis to the administrative monopoly, natural monopoly, market monopoly and regulation. The theory of regulation has been organized and reviewed according to the development trend of the public interest theory, sectional interest theory and new regulation economics. On the basis of the summary on the reform and development of foreign and domestic power system, the analysis has been carried on the inner environment of the power plant and the economic character of different power plant. The purpose is to provide theory and practical background support to the electricity generation merchant on making scientific enterprise regulation strategy.2. The dissertation has put forward and proved, at the background from monopoly to contest, the necessity and ways that the electricity generation merchant carries on the improvement strategy of the core contestable ability based on the control of the total capital. This overall strategy, takes it as the main content that total capital leading strategy, technology transformation and innovation, industrial value chain promotion strategy. The big background from monopoly to contest and the character of the electricity generation merchant have decided the service ability of total capital leading strategy to the electricity generation merchant. The implementation of total capital leading strategy, have to focus to the reduction of every activity cost on the value chain. The strategy of technological transformations and innovation are important guarantee to the reduction of the cost and the enhancement of contestable ability. The promotion strategy of industrial value chain takes the coal electricity integration as a key point, the union of production and finance as guarantee. The purpose is to serve the enhancement of generating industry.3. The dissertation has put forward and proved the necessity, general ideas and exterior guarantee measure of the implementation of green energy strategy by the electricity generation merchant. In view of the fact that the merchant power source structure already presented the enormous incompatibility to the external environment, the implementation green energy strategy has become an extremely urgent task. The key point of implementation green energy strategy is to develop the optimized thermal power, make an effort on the hydropower, develop the wind, nuclear, straw stalk electricity generation with steady steps and form a "host many Yuan" electricity generation structure by the thermal power as primarily, hydropower, wind, nuclear electricity and so on new energy as supplementary. This strategy is under the instruction of national energy strategy and industrial policy, to take the market development and the resources distribution as the guidance and the economic efficiency as the goal, the development of large capacity, high efficiency, the environmental protection thermal power unit as the foundation. Using the garbage burning generation for example, the dissertation has constructed the market feasible economic mode of garbage burning generation.4. The dissertation presents and discusses the way on how electricity manufacturer applies innovative marketing theory in VIP customer relationship promotion. Facing incoming competition in electricity generating business, manufacturer must bring up his own marketing sensibility, establish innovative marketing module, and apply advanced marketing theory in marketing practice. The dissertation launches thorough research on how manufacturer combines various marketing strategies in VIP marketing practice. Up to the dissertation’s submission, regulations about VIP direct power supply haven’t been published. Therefore, the dissertation proves to be predicative in scientific study.5. The dissertation presents and conducts the research on how electricity manufacturer realizes IT infrastruction construction and value recreation. IT construction is becoming the key to improve business management. The dissertation analyzes existing IT situation, demand, general strategy and specific content in electricity manufacturer. With recreation of enterprise culture and social responsibilities, the manufacturer reaches the goal of improving internal and external values. Value recreation provides culture assurance for business operation.6. The dissertation conducts specific case study on Huadian Power International Corporation Limited to verify and develop the proposed theory and business operation strategy. With thorough analysis of existing situation of Huadian Power International Corporation Limited business operation and adminstration, dissertation produces responsive business strategy to the background that Huadian Power International Corporation Limited is stepping from monopoly market to sever competition, based upon the research results of previous chapters.One of the most important tasks in Chinese economics and politics reform is to establish market-oriented regulation system with legal compliance. Although Chinese power regulation system reform goes through many difficulties, marketing reform turns out to be of situation inclination and hearty expectation. In next five to ten years, power regulation system reform will be rapidly developed. Meanwhile, electricity manufacturer’s external environment produces huge changes. During system transferrance, it is significant for manufacturers to make up business strategies complying with external changes and their own features, as well the key part in their existance and development.更多还原