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论文编号：	5092
作者编号：	2220091925
上传时间：	2013/5/25 8:27:31
中文题目：	我国发电集团公司治理研究
英文题目：	Research on Corporate Governance in China Power Generation Groups
指导老师：	李维安
中文关键字：	发电集团；央企；公司治理；集团治理
英文关键字：	Power generation groups; Enterprise owned by the centeral government; Corporate governance; Group governance
中文摘要：	2002年，国家进行了“厂网分离”电力体制改革，成立了中国华能、国电、大唐、华电、中电投5家中央发电企业集团(简称五大发电集团）。2011年底，我国发电装机达10.6亿千瓦，成为世界第一，其中五大发电集团约占48.75%。虽然我国发电企业发展快速，五大发电集团也于2012年度均进入世界500强，但多数发电集团资产负债沉重、经营效益不佳，发展的快速度、大规模未带来发展的高质量、好效益，主要原因在于发电集团公司治理（简称集团治理）存在着电力体制改革滞后，母公司董事会建设缓慢，集团内部激励和竞争机制效用不强，集团管控模式不适应发展要求等突出问题。鉴于五大发电集团重要地位和代表性，以其为例，研究我国发电集团治理并改善、解决存在的问题，是合理的、必要的、迫切的。 我国发电集团成立时间只有十年，且具有行业的特殊性，如发电集团具有很强政府计划性和一定市场垄断性，其公司治理的理论研究和实践还处于初始阶段。五大发电集团治理研究，既要运用国有企业集团治理的基本理论和研究成果，借鉴发电企业公司治理的成功实践，还要把握国家对于发电央企在改革的不同时期关于公司治理制度和目标的变化，考虑市场和政府计划并存的电力体制对公司治理的影响，遵从党和国家关于发电央企“政治责任、社会责任、经济责任”履职考核要求及党委会等决策制度的规定。研究的目的，既要着眼未来，为央企及发电集团治理顶层设计提供参考；又要立足现实，在当前法律法规框架内和所处发展阶段、外部治理环境下，为完善发电集团治理提出建议，这些都是发电集团治理的特殊性。 本文在运用公司治理的基本理论和企业集团治理研究成果基础上，基于发电集团治理的特殊性，对五大发电集团公司治理的外部环境进行了讨论，并对五大发电集团组织架构和母子公司治理现况进行了比较。通过讨论、比较，本文对五大发电集团治理存在的主要问题及成因进行了梳理与分析。最后，结合华润电力、苏龙热电两个发电企业公司治理的成功实践，从顶层制度设计视角提出了优化五大发电集团治理的设计，并进一步从实际出发，提出了完善五大发电集团治理的建议。 本文对发电集团治理的研究不仅能够为国有企业公司治理、集团治理以及垄断行业企业的公司治理理论研究提供素材，而且能够为完善五大发电集团治理提供实践层面的对策建议。
英文摘要：	China reformed the power system by the separation of plant and grid in 2002, and set up five major state-owned power generation groups, China Huaneng Group(CHNG), China Datang Corporation(CDT), China Guodian Corporation (CGD), China Huadian Corporation (CHD), and China Power Investment Corporation (CPIC). To the end of 2011, the installed power generation capacity has reached 10.6 billion kilowatts, the number of which is the first in the world, while the capacity of five major state-owned power generation groups has accounted for 80 percent. Although Chinese power generation enterprises have made great progresses and the five major state-owned power generation groups have all entered the world top 500, most power generation enterprises have heavier liabilities and weak operation benefits, and the rapid development and expansion do not bring higher quality and more benefits, the weak corporate governance is the main reason. Specifically, the group governance is weak, the construction of the board of directors in the parent corporation is slowly, the systems of incentives and competition are not effective and the mode of management and control cannot meet the need of the development. Taking the importance of the five major state-owned power generation groups, studying the corporate governance in power generation groups and solving the governance problems by adopting the five major state-owned power generation groups as examples is necessary and reasonable. The time of the formation of Chinese power generation groups is just 10 years, and due to the industrial specialty, they have severe characteristics of governmental planning and monopolistic, the studies on their corporate governance are limited. Studying the corporate governance in the five major state-owned power generation groups should not only apply the theories and research conclusions of corporate governance in state-owned enterprises, use the successful practices of power generation corporations for reference, but also understand the changes of corporate governance institutions and targets in different stages for power generation corporations, take the effects of coexistence of the market and governmental planning on corporate governance into account, and obey the regulations of evaluation on the political, economic and social responsibilities as well as the institutions like decision-making by the party committee, these are the specialty of corporate governance of the power generation groups. This thesis adopts the theories and research conclusions of corporate governance and group governance, and discusses the external governance environment for the five major state-owned power generation groups based on the specialty of corporate governance of the power generation groups. Moreover, this study compares the organizational structures and corporate governance in parent corporations of the five major state-owned power generation groups and analyzes the main governance problems as well as the causes. Finally, this study provides the suggestions for the optimization of group governance from the view of top-level design and improvement recommendations of corporate governance of the five major state-owned power generation groups from the view of practices. This thesis can not only be helpful for the theoretical studies on the state-owned enterprises and group governance as well as the corporate governance for the enterprise in monopoly industries but also provide practical recommendations for improving the corporate governance of the five major state-owned power generation groups.
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