中国新能源产业发展政策研究

【作者】 张宪昌；

【导师】 曹新；

【作者基本信息】 中共中央党校 ， 政治经济学， 2014， 博士

【摘要】 能源是所有人类文明赖以建立的基础，并推动着人类文明的繁荣与发展。现代工商文明进程的加快，急遽增加了对能源的需求和大量消耗。面对传统能源供应、使用双重安全的严峻考验，美欧日等主要发达国家率先调整能源政策，采取能源多元化供应战略，鼓励开发新的能源形式，以核能、风能、太阳能和生物质能为主的新能源和新能源产业，由此应运而生。进入21世纪，特别是2005年以来，面对来自发达国家的竞争优势，中国加大了对新能源领域的扶持培育力度，逐步建立起风电和太阳能产业竞争的数量优势（主要是产量和价格优势），但原始创新能力的相对薄弱和市场标准体系的不健全，决定了中国在世界新能源发展中还不是领军者。随着新能源产业的发展壮大，如何有效应对近几年来国外新能源产业以补贴为代表的政策调整和以“双反”（反倾销、反补贴）为代表的贸易壁垒和保护主义重新抬头，以确保我国新能源产业国际竞争力不受损害并稳中有升？又该如何基于产业发展的自身规律，对新能源产业发展政策做出内生性调整，将新能源产业培育成为先导性和支柱性产业，使新能源成为未来的主导能源之一？这是当前我国新能源产业发展遇到的新难题，也是摆在决策者和学者面前必须予以思考和研究的新课题。本文基于产业发展理论和资源配置理论，建构了产业发展政策和新能源产业发展政策体系框架。在比较并借鉴世界主要新能源产业发展与部分发达国家政策演变经验的基础上，主要探讨我国新能源产业发展的战略确立、财税政策、融资政策、技术政策和国际竞合策略，力图对新能源产业发展规律、战略目标和政策工具运行机理以及其动态演变作一个尝试性的探索和积极性的发掘，希冀能够在一定意义上拓展和丰富现代市场经济理论的应用框架和研究内容，从而被赋予较高的理论价值和现实意义。本文内容，共分为十章。前3章为学理性研究，第4章偏重于在实证分析中提炼出一般抽象，第5-9章为实证性分析，第十章为结论和展望。第一章为“导言”。阐述本文选题的背景和意义，综述国内外主要观点，引出本文的研究视角，阐释研究方法、研究内容与写作框架，并对本文的创新点和研究不足进行说明。第二章为“产业发展政策的理论依据与体系建构”。基于产业发展理论（包括生命周期理论、幼稚产业保护理论、主导产业理论、经济增长的要素与结构理论和可持续发展理论）和资源配置理论（市场失灵理论与政府失灵理论），建构了产业发展政策和新能源产业发展政策体系框架。从理论建构的横向内容来看，我国新能源产业发展政策应包括产业发展战略规划、目标和具体政策实施工具。从产业发展的要素依赖以及环境来看，新能源产业发展具体工具应包括财税政策、融资政策、技术政策、人才政策、国际竞合策略和配套措施等。这是本文的理论创新之一。第三章为“新能源产业发展政策的基本概念与内容建构”。在界定新能源概念和内涵的基础上，总结归纳新能源产业的“新特性”。沿着第二章的分析思路，对本文所要研究的新能源产业发展政策框架进行内容建构。第四章为“世界主要新能源产业发展与部分发达国家政策演变比较”。在探讨世界主要新能源产业发展状况及历程的基础上，比较研究美欧日新能源产业发展政策的演变过程，力图探求对新能源产业发展政策演变的共性和一般规律。研究表明，选择、制定一套有效、可持续的政策体系至关重要。应确立新能源产业发展的战略地位，保持政策运行的稳定性、持续性和连贯性，注重政策整体调控、市场微观配置和社会机制作用的全面发挥，并予以有效政策评估和动态调整。这是本文的创新点之二。第五章为“中国新能源产业发展与战略目标选择”。在探讨中国新能源产业发展的基础上，对部分新能源消费与中国经济增长的关系进行了Var模型分析，论证了新能源产业已经成为中国经济新的增长点之一。这是本文的创新点之三。中国新能源产业发展战略方向定位为，满足能源供应和使用双重安全需要，提高能源效率，推动科学发展。目标层次为，到2050年左右，将成为能源供应体系中的主导能源之一。第六章为“中国新能源产业发展的财税政策”。分析了财税政策的一般规定，专门研究了财税政策对新能源产业发展的扶持机理，详细探讨并总结了中国新能源产业财税政策的演变历程。在未来政策选择上，提出应实施稳健的新能源财税政策；适时调整具体的财税政策工具，使之符合新能源产业发展的生命周期和技术发展阶段；注重通过引导、发挥市场机制配置资源的决定性作用而发挥作用，如实施投资主体多元化策略、征收环境税、实行消费者补贴等。第七章为“中国新能源产业发展的融资政策”。分析了融资政策的一般规定，专门研究了融资政策对新能源产业发展的推动机理，详细探讨并总结了中国新能源产业融资政策的演变历程和现实困境。在未来政策选择上，提出应降低银行业进入门槛，建立同业间的充分竞争机制；组建新型政策性金融组织；建立完善的多元、多层次资本市场体系等。第八章为“中国新能源产业发展的技术政策”。分析了产业技术政策的一般规定，专门研究了产业技术政策对新能源产业发展的引领作用，详细探讨并总结了中国新能源产业技术政策的演变历程和现实困境。在未来政策选择上，提出坚持正确的技术发展导向，培养和提高原始自主创新能力；打造创新动力的价值取向；持续加大研发投入力度；加速推动技术产业化进程等。第九章为“中国新能源产业发展政策的其他工具”。分析了政府在新能源产业国际竞合中扮演的角色与作用，提出因时因地因物制宜，调整新能源产业国际合作策略；有效运用国际法则，积极应对新能源产业贸易摩擦。总结了新能源立法情况，提出要加强立法保障、市场规范和社会支持。最后为“总结和展望”。对本文整个研究做出概括性的总结和前景展望。更多还原

【Abstract】 Energy is the basis on which all human civilization is established, and it can pushforward the prosperity and development of human civilization. The energy demandand consumption is sharply increased in the process of the rapid development ofmodern industrial and commercial civilization. Facing the severe test of both thesupply security and the use safety for the traditional energy, the United States, Europe,Japan and the other main developed countries have been the first to readjust energypolicy, adopt the diversified energy supply strategy, encourage the development ofnew forms of energy. Therefore, as the main forms of the new energy and the newenergy industry, nuclear energy, wind energy, solar energy and biomass energy havearisen at the historic moment. In the21st century, in the face of competitive advantagefrom the developed countries, China has stepped up efforts in supporting thedevelopment in the new energy field and built up the competitive amount advantage(mainly production and price advantages) of wind power and solar energy industry.But the original innovation ability is relatively weak and the market standard systemis not sound. Thus China has not played a leading role in the new energy developmentin the world.The new changes have appeared in the development of the new energy industry.How could we effectively deal with foreign new energy industry policy adjustmentrepresented by subsidies and trade barriers and rising protectionism called by “doublereverse”(anti-dumping, anti-subsidy) to ensure that the international competitivenessof Chinese new energy industry will be not damaged but improved? How could weendogenously change the new energy industry development policies to make the newenergy one of the guiding and pillar industries in the future based on the industrydevelopmental laws? These are new problems arising in the new energy industrydevelopment in our country and also new topics the policymakers and the academicsthinking of and doing research on.Based on the industrial development theory and resource allocation theory, thispaper constructs the industrial development policy and the industrial developmentpolicy system framework of the new energy industry. It mainly discusses the strategyestablishment, the fiscal and taxation policy, the finance policy, the technology policyand the international competition tactics in the new energy industry development in China, on the basis of comparison and reference of the world’s leading new energyindustry development and the policy evolution of developed countries. It makes atentative exploration and positive excavation of the new energy industry developmentlaw, the strategic target, the policy tools running mechanism and dynamic evolution,in a certain sense in order to expand and enrich the theory of modern market economyapplication framework and the research content. Therefore this paper can be endowedwith high theory value and realistic significance.This paper is divided into ten chapters. The first3chapters are closely related totheoretical research. The fourth chapter put emphasis on refining general abstractionfrom the empirical analysis. The4-9chapters refer to empirical analysis. The tenthchapter is called the conclusion and prospect.The first chapter is “introduction”. It describes the background and significanceof the topic, summarizes the main view points both in China and abroad, explains theresearch methods, research contents and writing frame and points out the innovativepoints and the lack in this paper.The second chapter is “the theoretical basis and system construction of industrialdevelopment policies”. Based on the industrial development theories (including lifecycle theory, infant industry protection theory, leading industry theory, economicgrowth factor and structure theory and sustainable development theory) and theresource allocation theories (including market failure theory and government failuretheory), this chapter constructs the industrial development policy and the new energyindustry development police framework. From the perspective of the transversecontent of theoretical construction, new energy industry development policy shouldinclude industrial development strategy planning, objectives and in China. From thedependent elements and environment of industrial development, specific policy toolsof the new energy industry including fiscal policy, financing policy, technology policy,talent policy, international competition strategy and supporting measures and so on.This is one of the innovations of this paper.The third chapter is “basic concept and content construction of the new energyindustry development policy”. This chapter summers up new characteristics of newenergy on a basis of defining its concept and connotation. Along the analysis methodof the second chapter, the content construction of the new energy industrydevelopment is completed. The fourth chapter is “the major new energy industry development in the worldand comparative evolution of policies in some developed countries”. On the basis ofdiscussing the present situation and evolution process of leading new energydevelopment industry in the world, it compares research on the evolution process ofnew energy industry development policies in United States and Europe and Japan inorder to explore the evolution features and general rules of new energy industrydevelopment policy. This research shows that selecting and developing a set ofeffective policy system is of utmost importance. The strategic status of new energyindustry development should be established, with the policy stability, continuity andconsistency maintained. And also policy’s overall control and full function of marketallocation and social mechanism should be paid attention to. Finally, the evaluationand dynamic adjustment of policies should be effective. This is the second innovationin this article.The fifth chapter is “Chinese new energy industry development and strategicobjectives”. Based on retrospect of new energy industry development in China, Varmodel is used to analyze the relationship between some of the new energyconsumption and Chinese economic growth. It is concluded that the new energyindustry has become a new growth point of Chinese economy. This is the thirdinnovation in this article. And its strategic direction is to meet the dual security ofneeds including energy supply and energy use, improve energy efficiency andpromote scientific development. The target level is that, new energy will be one of thedominant energies in the energy supply system around2050.The sixth chapter is “Chinese fiscal policy in the new energy industrydevelopment”. Firstly, the general provision of fiscal and taxation policy is analyzedand the mechanism of fiscal policy to support the development of new energy industryis specially studied, with the evolution of fiscal policy in Chinese new energy industrydiscussed in details and summarized. Secondly, the future policy is chose that a robustnew energy finance and taxation policy should be implied; fiscal policy specific toolsshould be adjusted to meet the life cycle and technological stage of the new energyindustry development; the market mechanism should be guided to play a decisive rolein the allocation of resources, such as the implementation of investmentdiversification strategy, environmental taxes and subsidies to consumers.The seventh chapter is “Chinese financing policy in the new energy industry development”. Firstly, the general provision of financing policy is analyzed and themechanism of financing policy to push forward the development of new energyindustry is specially studied, with the evolution process and present dilemma offinancing policy discussed in details and summarized in the new energy industry inChina. Secondly, the future policy is chose that the barriers to entry to the bankindustry should be lowered with adequate competition mechanism established, andthat the new policy financial organizations should be built with the perfect, pluralistic,multi-level capital market system established.The eighth chapter is “Chinese technology policy in the new energy industrydevelopment”. Firstly, the general provision of industrial technology policy isanalyzed and the role of technology policy in leading the development of new energyindustry is specially studied. Then the evolution process and the present dilemma oftechnology policy are discussed in details and summarized in the new energy industryin China. Thirdly, the future policy is chose that the correct orientation of technologydevelopment should be steadfastly adhered to, with original innovation abilitycultivated and improved, and that value orientation of innovation power should bebuilt, with R&D input continuously increased and the process of technologyindustrialization accelerated.The ninth chapter is “Chinese other policy tools in the new energy industrydevelopment”. Firstly, the role the government playing in the internationalcompetition and coordination in the new energy industry is analyzed. Secondly, thestrategy of international cooperation should be readjusted according to the reality andinternational law should be effectively used to actively respond to the new energyindustry trade friction. Finally, this chapter sums up the new energy legislation andproposes that the legislative protection, market regulation and social support shouldbe strengthened.The last chapter is “summary and prospects”. It makes a general summary andlooks ahead into the research in the future.更多还原