电力行业的规制改革分析

华中科技大学硕士学位论文电力行业的规制改革分析姓名：董为申请学位级别：硕士专业：西方经济学指导教师：方齐云20050429IIIAbstractNowadays,regulatoryreforminNaturalmonopolyindustriesisunderwayworldwide.Thepowerindustryinchinahascompleteditsdual-splitandgotsomesegmentalachievement.Inpractice,italsohassomedeficiency,soafurtherreformisabsolutelynecessary.Inthethesis,onthebasisofanalyzingthetheoryoftraditionalregulatoryreform,aconclusionthattherealmofnaturalmonopolyisnotinflexibleandpartsofitcanbecompetitiveisdrawnfromtherelationbetweenmonopolyandtheregulatorytheory.Thenafterhavingcomparedandanalyzedthehistoricalbackgroundandpracticalprocess,theauthorsummarizedthatmonopolyandcompetitioncancoexisttoprovidereferenceforthereforminpowerindustryinChina.TheconclusionisdrawnthattherestillexistsmuchmalpracticeinpowerindustryinChinabasedontheanalysisofthepastreform,thestatusquoandpost-reformsituationintheindustry.Inthelightoftheanalysis,suggestiontotheregulatoryreforminpowerindustryisproposed.Atlast,accordingtotherealityofChineseeconomyandthereformexperienceofforeigncountries,aproposalisgivenonhowtopromotethedevelopmentofChinesepowerindustrythroughcompetition.Thespecificmeasuresareasfollowing:disintegrationofpowerindustry,detectiononnaturalmonopolyindustriesandnon-naturalmonopolyindustries,furtherverticalseparationofthenon-naturalmonopolyindustriestopromotefaircompetition.Forthesectionofnaturalmonopoly,itisnecessaryforthegovernmentalregulation.Itisproposedthatinpowerindustryincentivemechanismshouldbeimplementedinthesectionofnaturalmonopoly.Duetoitsimportantpositioninnationaleconomy,themeasuresshouldbetakenbythegovernmenttosecurethefavorableprogressofthereform,includinglegislativedesign,investingsystem,monitorysystemandmacro-managementsystem.Keywords:PowerIndustryGovernmentalRegulationCompetition111.1197928%31%20198419851997199820023520001.78%0.6%20011192003320038.14WTO“”21.21.2.1[1]AlfredMarshall1890“”40Stigler[2]1962—[3](Economicsofscope)(Subadditivity)[4]Baumol1981Demsetz1968,,,,,Baumol(Panzar)(Willig)[5]1982EconomicsofscopeSubadditivity)[6]3niXiiXiC(Xi)XX=ÓXiC(X)C(X)C(X1)+C(X2)+C(X3).......+C(Xn)(i=1,2,......n,n2)CX“”1966(Leibenstein)[7]“AllocativeEfficiencyVersus‘X-efficiency’”XX-inefficiency,,,X:,,,,,X,X[8]Carkson,Miller1982(Averch)[9](Johnson)19624“A-J”(A-Jeffect)KaysenTurner(1959)“……()()”[10][11]2001[12]2003[13]2002[14]2002[15]2002[16]2001[17]200451.2.22070:1.1PmP2P0akcdjc0Newbery[18](1999),,,[19](Demset1968)[20](Shleifer1985)(Littlechild[21]1988)2070(Demsetz1968,Stigler[22]1968,Posner[23]1972)abfcdehACMCDMRP2OQmQPQ2Q0P0C0tPmg1.1kj6RateofReturnRoR(1.1)RR=(RB×RoR)+D+O&M+T(1.1)(1.1)RRRevenueRequirementRBRateBaseRoRAllowableRateofReturnDO&MTPerformanceBasedRegulationPBR3-5PriceCapRPICPIX:Pt+1=Pt(1+RPI-X)121271.32070208012822.12070“”920802.22.2.11957(CentralElectricGenerationBureauCEGB)12101987[24]198811198919903311231(2.1Pool0—1kWPoolPool2.2(RPI-XRetailPriceIndex)(NPC)3(PGC)(NEC)CEGB1(NGC)12(REC)2.1112.270%18-21%28%31%1999753031%39%27%3%2.2.220“”“”“”“A-J”(19838.5)(deregulation)19781992pool121996[25]:,,(IndependentPowerProducerIPP)1987,3000,4.18%19871991,4193.8,47.8%1992,50%[26]199967781.137061.43194.8(8.6%)7282.5(19.6%)18843(50.8%)1235.6(3.3%)5699.7(15.4%)868.38(0.23%)2.2.394%100%[27]EDFEDF199711,40002000112000,13EDF[28],EDF,:————(),[phone]%13%5%70%4.5%25.5%20034492.3142.3.1EDF[29]2.3.21988111989152.3.319902.3.4[30]162.3.5,,17319973.1198530“”19972002543.1.1“”(19851997)18198419881985“”“”“”199720003.1950%2000205558%“”3.1[31]3.112543193.1.2“”(1998-2002)“”19971998“”“”“”“”[32]“”20“”[33]19900.319970.4119980.6[34]3.23.1.32002SETCSDPCMOF……SPC50%IPP2120023.33.23.2.119871200037.8%7.9%1996220033.919490290006202224.2%20031905230147637.8%20044.42187020012003214023373111200461005000200322020.76.0619983000“”3.2.28085%198032%88%1995200297%“”20031000500199040%3.2.35103060220500330/50020038622319784712003380/6.61%6.07%9.64%7.71%5.513.3“2002320%5200052420%32002000543.43.4.1“”“”[35]2004200341.60.49%1%0.7%20052520033.4.20.654.60.38100003/420252001200344%(2003),13.82%200220029.38%(2002)9.38%5“”3.1263.12002%2272912.8%2285725.0%61018430.2%160527025.4%2003P49-503.4.31995[36]2002200432925“”10273“”4“”5“”6“”7“”3.4.4200379[2003]62[37]2004[2004]1927[38]2820032.22.51.72.41.71.93/428.2%0.654.63.4.5[39]2944.1“”“”4.1.11000—15008%90304.1.2“”2.22.51.72.41.71.94.24.2.11997200010820.2510%20%[40]31[41]4.2.2“”32260150[42]4.2.34.2.4“”3310%6%,3435[1]MarshallA.().:,1983.161-162[2]...:,1989.157-178[3]..:,1996[4]BaumolW.J.ContestableMarkets:AnUprisingintheTheoryofIndustryStructure.AmericanEconomicReview,1982(72):1-15[5]W.J.Baumol,W.J.J.PanzarandR.D.Willig.ContestableMarketsandtheTheoryofIndustryStructure.IlarcoutBraceJavanovichLtd.,Newyork.1982[6]Baunol,WilliamJ.OntheProperCostTestsForNaturalMonopolyInAMultiproductIndustry.AmericanEconomicReview,1977(5)[7]Leibenstein,H.AllocativeEfficiencyX-EfficiencyAmericanEconomicReview,1966(56):392-425[8]Clarkson,K.W.,R.L.Miller.IndustrialOrganization:Theory,Evidence,andPublicPolicy,McGraw-HillBookCompany,1982[9]Averch,H.,L.Johnson.BehavioroftheFirmunderRegulationConstrain