【作者】 张华新；

【导师】 马树才；

【作者基本信息】 辽宁大学 ， 国民经济学， 2008， 博士

【摘要】 从世界范围来看,70年代的能源危机使能源价格改革成为全球趋势。能源价格改革包括很多领域,由于能源价格形成机制发挥着基础性的作用,成为改革的中心问题。尽管我国经过近30年的改革,一般商品价格和服务价格市场化程度已经非常高。但能源价格形成机制仍存在很多问题,对能源价格形成机制进行优化和改革成为价格改革的重点和难点。能源价格形成机制的研究无论在理论还是在实践上都处于不断发展中。一方面是新技术和新的行为模式出现,使能源在生产过程中需要处理更多的信息。不同种类的信息在能源价格形成中的作用越来越突出,使能源价格形成越来越复杂。二是需要不断处理好复杂的多目标的平衡,这些目标既可能是能源消费者在希望获得低价格、高质量、安全稳定的服务;也可能是能源生产者希望企业快速发展,技术不断更新,获得较高的投资回报;或者政府希望国家的能源政策能够得到贯彻等。因此,研究在复杂条件下,能源价格形成机制及其优化问题成为经济学研究中的前沿问题之一。本文主要研究能源价格形成机制及其优化问题。能源价格形成机制是指能源价格形成的基础因素的构成功能及运行方式。主要包括能源初始价格决定机制和能源基础设施接入价格形成机制两个方面。分别以煤炭和电网为例说明了能源初始价格决定机制和基础设施接入价格形成机制。在分析能源价格形成机制演进过程及动因的基础上,采用格兰杰因果检验和数据包络分析,测算能源生产和消费效率,发现能源价格机制不合理导致能源生产和消费效率较低。在能源价格形成机制优化问题上,主要采用机制设计理论,并借鉴国外在能源初始价格决定机制和基础设施接入价格形成机制上的成功经验,提出了能源价格形成机制的优化策略和政策选择。在本文的导言部分主要阐述了论文选题背景及研究意义;研究内容及结构安排;研究方法;创新点及尚待进一步研究的问题。全文正文共分五部分,第一部分是文献综述部分,归纳了国内外能源价格研究中的产权价值、价格形成机制、影响因素和优化策略等领域的研究成果,主要围绕能源初始价格形成机制和能源基础设施接入价格规制两个方面展开,发现国外学者关于能源价格研究发生了重要的转变,主要是新技术和新的行为模式使能源生产过程中需要处理更多的信息。研究者需要研究不同种类的信息在能源价格形成中的作用。将信息经济学、博弈论和机制设计理论引入能源价格形成机制的研究,成为研究的新方向。第二部分是理论分析部分,主要研究了机制设计理论和能源价格理论。在机制设计理论中首先研究了机制设计的内涵,博弈路径以及机制设计最优化的衡量等问题。由于机制设计理论的研究领域广泛,所以选择了机制设计理论中与本文联系密切的最优定价机制设计、最优规制和不完全信息条件下的静态博弈的优化策略进行研究,对其内在原理、相关概念和应用范围进行了阐述。在能源价格理论中选择了能源基础设施接入价格形成机制相关的激励规制理论,并详细阐述了能源价格最优规制理论,通过模型的形式对能源价格水平规制中本文使用的两种重要的方法,边际成本定价和激励上限定价进行了详细阐述。第三部分是实证研究部分,主要研究了我国的能源初始价格决定机制和基础设施接入价格的形成机制。分析了能源价格形成机制的演进与其动因,并以能源消费效率与生产效率的实证研究的结论作为评价能源价格形成机制的依据。在实证研究部分,首先分析了能源初始价格决定机制,以具有代表性的煤炭为例,说明了初始价格决定机制。在能源基础设施接入价格的形成机制研究中,以电网为例,说明了基础设施接入价格形成机制。其次研究能源总体价格形成机制的演进过程与动因,并使用格兰杰因果分析和数据包络分析对能源的消费效率和生产效率进行了实证研究,发现由于能源价格形成机制不合理导致生产效率和消费效率低下。第四部分以美国、英国和智利等国家为例,分析了这些国家能源价格形成机制及对我国的启示。研究发现建立完善的矿产资源税费制度和能源资源产权交易市场和采用放松规制等措施完善能源基础设施接入价格形成机制是这些国家在完善能源价格形成机制中的主要经验。第五部分提出了我国完善能源价格形成机制应采取的优化策略和政策选择。首先对能源价格形成机制变化及效果进行了预测。其次,依据机制设计理论,提出了能源价格形成机制的优化策略,以实现不同目标的平衡。最后依据前面的分析提出了能源价格形成机制优化的政策选择,包括财税政策和推进能源价格形成机制改革。结论:本文通过研究能源初始价格决定机制和基础设施接入价格形成机制,发现当前的能源价格形成机制导致能源生产和消费效率较低,较多的资源在早期被使用,不利于我国的经济结构和增长方式的调整。能源价格形成机制的完善需要从建立反映能源产权的初始价格决定机制和完善基础设施接入价格形成机制入手。更多还原

【Abstract】 Energy price reform has become the trend of the world after the energy crisis in the 70s. Energy reform includes many fields. The energy price formation mechanism is the key to the reform for its fundamental role for energy price. Although China endured the price reform for nearly thirty years, there are still many defects in the energy price formation mechanism. The optimization of the energy price formation has been the core of the energy reform.The studies about the energy price formation mechanism developed in theory and operation, caused by the emerging technique and behavior pattern. More information involved in the energy production and different type of information take significant role in the energy price formation. Complex objects need to be thought to keep balance, which includes the objects of the consumers for services provided in better quality and lower price and the objects of the producers for higher regards and keeping more rapid development. Even the objects of the government need to be carried out. So the studies about the energy price formation mechanism and its optimization have been the most advanced one of the research fields.The paper focuses the energy formation and its optimization. The conception of energy price formation mechanism means the relationship between the fundamental factors and its function. The energy initialization price formation mechanism and the infrastructure connect price formation are the main part of the energy price formation mechanism. The existing studies about this problem mainly concentrate on the operation optimization of energy price formation mechanism and the concrete optimization of transition procedure, setting out from energy price formation mechanism. The main defect is that, as far as methods are concerned, they mostly sum up or inherit the existing western theories, especially the mechanism design theory. Few of them produce certain innovation suitable for China’s energy price formation mechanism. This is just the very original intention of the thesis. The thesis, starting from China’s special situation of energy price formation mechanism, supported by the econometric analysis of the current situation of the efficiency of China’s energy production and consumption, lays its basis on the classical China’s energy price formation mechanism, provides the mechanism design theory after the revision suitable for China’s actual conditions and advances the corresponding policy strategy.The preface expounds the background and the research significance of the dissertation, the content and structure arrangement of this paper, the research approach, the innovation and the problems to be studied further.The five parts of this dissertation go as following: Part One is the survey of the studies both at home and abroad. Induce the research fruit about property right of energy, energy price formation mechanism, influence factor and optimization of strategy.Part Two elaborates the relevant theories of the mechanism design and energy price theories. After explaining the concrete conception of the mechanism design, its channels and criterion for the optimization of the mechanism, it also provides the regulation theory of relative to the energy infrastructure connect price.Part Three sets forth the energy initialization price mechanism and the energy infrastructures connect price mechanism in China. It is the qualitative evaluation of China’s energy price and evaluates the present energy price formation mechanism. First, from the property right, resource value and mining value the energy initialization price mechanism is analyzed. Especially, coal initialization price mechanism is studied and conducted econometric analysis. Second, the price formation patterns such as marginal cost price formation, average cost price formation and Lamsay price formation are employed to analyze the energy infrastructure connect price formation mechanism. The electricity access price mechanism is analyzed and conducted econometric analysis. Finally, mainly with resort to Granger Causality Test and DEA, this chapter econometrically analyzes the efficiency of the energy production and energy consumption. Research finds that the current energy price formation mechanism needs to be optimized.Part Four analyses the energy price formation mechanism in foreign countries including U.S.A., Britain and Chile and inspiration gained from experience of them. Research finds two points are the main success experience. One is to establish the mining resource price mechanism and energy resource property market. The other is the release of regulation.Part Five offers the optimizing strategy and policy based the mechanism theory and result of simulation. Simulation analysis assumes four diversification of energy price formation mechanism and anticipates the result. Optimization of strategy in put forward to implement the balance of multiple objects according to the theory of mechanism design. Finally, it is the countermeasure of the dissertation. It proposes reform suggestion as to financial and tax policy and promoting the reform of the energy price formation mechanism.The research finds that the current energy price formation policy leads the low efficiency of energy production and consumption. Energy resources are utilized earlier than it used to be. So the optimization of energy price formation mechanism is the ultimate measure to make energy price reasonably.更多还原