中国电力产业的规制改革研究

【作者】 张睿；

【导师】 王雅莉；

【作者基本信息】 东北财经大学 ， 国民经济学， 2005， 硕士

【摘要】 电力产业是国民经济的重要基础产业，过去长期被认为是自然垄断产业而受到严格规制。然而，自20世纪80年代以来，由于技术和经济条件的变化以及传统规制的失灵等因素，世界各国纷纷开始对电力产业进行规制改革。中国自改革开放以来，电力产业进行了一系列的改革，电力产业的规制程度和规制方式一直在探索中。特别是2002年电力资产的拆分重组，以及随后国家电力监管委员会的成立，发电环节已初步形成了“厂网分离、竞价上网”的竞争格局；而2005年《电力监管条例》的颁布、新的电力定价机制的实行、电监会与发改委的分权等，都标志着中国电力产业规制体系的不断完善。下一步应如何深化电力产业规制改革，以建立更高效率的电力产业促进其持续发展，已经成为当前我国经济体制改革的重要内容。 本文运用规制经济学的理论，以中国电力产业的规制改革为研究主题，为我国电力产业改革与发展寻找经济理论依据，并力求前置于实践，指导实践。从研究方法上看，使用规范分析与实证分析、定量分析与定性分析相结合的方法。从结构上看，本文的具体论述分为四章： 第一章是对电力产业规制改革的理论综述。从电力产业的特征入手，介绍了规制的涵义及其理论的演进，规制改革理论的新发展包括自然垄断现代理论和激励性规制理论的产生和发展。 第二章是对电力产业规制改革的共性研究。首先探究了电力产业规制改革动因，接着分析了不同市场结构下的运营模式，最后通过对比分析英、美、日等发达国家电力产业规制改革的实践，归纳出其共性所在，对中国具有一定的借鉴意义。 第三章是对中国电力产业规制改革的实证描述与绩效评价。分别从市场结构的变迁、市场准入规制、电价规制改革、环境规制、规制机构的沿革等方面，考察了中国电力产业的规制改革实践。通过所选取的相关数据，对中国电力产业的供需情况、经济效益、电价水平与结构等方面进行了绩效分析，并指出了规制体制现存的主要问题。 第四章是进一步深化中国电力产业规制改革的政策设计。内容涉及规制内容、规制主体、规制客体三方面。首先是规制内容的调整，包括适当运用辅助更多还原

【Abstract】 The electricity industry is one of the most important infrastructure industries to national economy. For quite a long time, the electricity industry was considered as a natural monopoly industry, and government in many countries had been executing strict regulation on it. However, after the 1980s, it is the progress in technology and economy as well as the failure of traditional regulation that lead the worldwide regulatory reform. Since China’s Reform and Open, a series of reform measures have been carried out in the electricity industry, the regulated degree and the means for Chinese electricity industry were exploring. Especially after the split and regroup of electric asset in 2002, and the subsequent establishment of SERC(State Electricity Regulatory Commission), the generation segments have taken on a competitive picture called "separating electric power plant from electric power grid, netting by price-bidding". White in 2005, "Electricity Regulatory Rules" was promulgated; the new electric price mechanism was implemented; the functions between SERC and NDRC (National Development and Reform Commission) were cleared. All these indicated that the regulatory system in the field of electricity industry was in an improving stage. How to deepen the regulatory reform next, in order to build the electricity industry with higher efficiency and continuous development, becomes a critical issue in structural reform of the economy in China nowadays.This dissertation uses the economics of regulation theories, studies on the regulatory reform of the Chinese electricity industry, in order to search the economic theory reliance of the electricity industry reformation and development, and tries to be before the practice, conducts the practice. From the study method, uses the method of combining normative analysis and positive analysis as well as the quantitative analysis and the qualitative analysis. From the framework of the dissertation, it consists of four chapters:Chapter one is the summarization of the regulatory reform theories in electricity industry. Starting with the characteristics of electricity industry, it introduces the definition of regulation and the evolution of regulatory theories. The regulatory reform theories include the development of the New Natural Monopoly更多还原