【作者】 戴平生；

【导师】 黄良文；

【作者基本信息】 厦门大学 ， 统计学， 2004， 博士

【摘要】 本文主要研究电力市场价格形成机制，即电力价格是如何形成的，在其形成及运动过程中受到哪些因素的影响或制约。近十几年来电力工业的市场化改革正逐渐成为世界电力工业改革的主流，改革的目标在于打破电力行业垄断，在发电、售电环节逐步引入竞争，从而提高整个电力行业的生产效率，让用户享有更加优质低廉的用电服务。我国从1999年就开始了发电侧竞价上网的尝试，但由于电力行业体制改革的不相适应，这项工作进展十分缓慢。其中还有一个重要的原因是电力改革没有得到经济理论的必要支持，而电价形成机制在社会主义市场经济条件下是电力工业市场化改革的核心。研究电力市场的价格形成机制，不仅要充分借鉴较早进行市场化改革的英美等国经验，而且还要结合我国电力市场的价格理论实践，这样才能提出既符合市场经济规律，又适应我国具体国情的电价改革建议。 本文立足于国内的电力市场实际，对我国电力价格的形成进行了系统的经济学分析，从电力市场价格管制的研究入手，认为集资办电引发的价格双轨制，造成了社会各利益团体的寻租行为；同时用电侧歧视定价客观上增进了社会福利，实质上是对垄断自身负效应的一种抵消。我国电力价格的形成还受到了上游煤炭产业和下游电力用户(需求侧)的影响，金融工程也为市场化的电力定价提供了必要的工具，经济学的实验方法对理解市场支配力和需求侧参与报价抵消市场支配力提供了有力的依据。全文分为四个部分共八章。第一章构成了第一部分，综述电力市场定价的有关研究；第二、三章构成了第二部分，对电力市场价格管制、上网电价和销售电价进行了经济学分析；第四、五章构成了第三部分，分析煤炭价格和需求侧对电力市场定价的影响；第六至八章构成了第四部分，介绍金融工程和经济学实验方法在电力市场定价中作用。 本篇论文的研究主要有以下几点让作者较为满意：一、本文是国内较早论文摘要利用经济学理论对电力市场价格形成机制进行系统研究的论文，目前这方面的研究还较为零散。二、本文在研究电力市场价格管制的基础上，对我国电力市场的寻租行为进行了详尽、系统的分析，在国内的相关研究中还缺乏这方面的细致分析;三、本文在研究用电侧价格的基础上，对零售环节的歧视定价进行了系统的分析，是国内在这一领域较早进行研究且较为完整的论文。目前国内的电力定价理论只承认差别定价而回避歧视定价，文中在区分两种定价方法的同时阐述了歧视定价的积极意义;四、本文在影响电力市场价格形成相关因素分析的基础上，对我国电力需求侧管理的产生和发展进行了详尽、系统的阐述，目前国内在这方面的研究还相对比较零散，还不能形成整体的观点;五、本文在电力工业的市场化研究中介绍了实验经济学方法，这一方法为理解和消除市场支配力提供了一种十分有力的工具，文中利用国外的实验数据进行了详尽的分析。由于经济学实验近两年才被介绍到国内，目前利用该方法研究电力市场定价的文章在国内还很少看到。此外，本文还对金融工程在电力市场中的应用进行了系统的归总，阐述了资金筹措和金融工具对电力市场定价的影响。更多还原

【Abstract】 The price forming mechanism that electrical price how to form, which factors infect the price is studied in this paper. It becomes a mainstream of world’s electrical industry reformation that deregulation in electricity market near several years, the object of which is to break electricity industry monopoly and introduces gradually competition in the sectors of generation and retail so that to improve the whole industry efficiency and to service clients with high quality and cheaper. Since 1999, the tempt of generators’ producing by price competition has been carried, its development is very slow because the electricity system reformation hasn’t been coincident with it. The other important reason is that electricity reformation haven’t gotten the necessary support of economic theory, it’s a core that electricity price forming mechanism in deregulation of electricity industry. Study on the price forming mechanism of electricity market isn’t only to use the experiences in England and USA for reference, where the deregulation have been carried earlier, but also to combine the theory and practice of pricing in electricity market in China, so that we can make suggestions on electricity price reformation that fit both market economy rule and China’s situation.This paper based on the practice of electricity market in China analyses electricity price forming by system economics, it begins with price regulation on electricity market and finds that two parallel price systems caused by collecting money to build power plant have produced the rent-seeking of social benefit groups; at the same time, Discriminated Pricing in demand-side has improved impersonally social welfare and has counteracted essentially monopoly’s negative effect. The electricity price forming in China is affected by coal industry and electricity customers, Financial Engineering also provides necessary utilities forelectricity pricing in market economy, Economic Experiment has been providing a powerful evidence to understand market power and demand-side bidding to weaken market power. This paper consists of four parts and includes eight chapters. Chapter 1 is the part 1, it summarizing the relative researches on pricing of electricity market; Chapter 2 and 3 form Part 2, it analyses electricity price regulation, generating electricity price and retail electricity price; Charter 4 and 5 form part 3, it analyses affections of coal price and demand-side on electricity market pricing; Chapter 6-8 form part 4, it introduces applications of Financial Engineering and Economic Experiment on electricity market pricing.There are several characters in study of the paper: first, it is one of theearliest dissertations studied systematically by economic theory on price formingmechanism in China electricity market; secondly, it is the first time to analyzedetailedly and systematically seeking rent in China electricity market with studyon price regulation; thirdly, it is the most whole and earlier dissertation thatanalyses systematically discriminated pricing in retail electricity price with studyon use-side price; fourthly, it is the first time to expound systematicallyappearance and development of demand-side management in China with analysison relative factors affecting electricity market price; fifthly, EconomicExperiment provides a quite powerful utility to understand and avoid marketpower, it is the first time to introduce detailedly this method to study onelectricity marketization. Besides, this paper summaries the applications ofFinancial Engineering on electricity market, it is the most whole in domesticstudy.更多还原