我国电力产业管制改革绩效分析

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浙江财经学院硕士学位论文

摘要

电力产业作为重要的能源产业，不仅关系到人们的生活用电，同时也是国民

经济稳定和可持续发展的重要保障。电力产业的顺利发展可以推动其他相关产业

的发展，也对整个经济体系起着支撑和辐射作用。随着电力市场需求的扩大，各

国为了电力产业和其他产业的发展，开始在原本具有自然垄断特征的电力产业进

行逐步改革。作为自然垄断产业，政府对电力产业进行必要的管制也是必要的，

而过度的管制又会降低企业的生产效率。因此管制政策的实施究竟有没有使电力

产业在电力供给、生产效率、利润水平和服务质量等各方面都得到了有效的提高，

需要做进一步的研究。国外学者对电力产业管制绩效的研究得出了不同的观点，

有些学者认为政府管制改革搞活了电力市场、提高了劳动生产率，同时电力产业

的私有化改革降低了电力企业的生产成本，很好地提高了电力产业的生产效率。

而有些学者得出的结论是经济绩效的提高并不是由电力产业私有化引起的，并且

私有化改革对电力产业的影响应该与竞争对电力产业的影响分开来讨论。电力产

业的私有化改革是否可以提供电力企业的经济绩效还要进一步进行研究。当然，

检验电力产业改革带来的管制效果不但是可以对以往管制改革政策进行评价，同

时也直接影响政府下一步的电力产业管制改革政策。

首先，本文从电力产业的基础理论出发，根据电力产业存在自然垄断性特征，

分析电力产业存在的管制需求和 30 年来我国电力产业的管制供给，结合我国电

力产业管制改革的历程，从电力产业的管制成本和管制收益方面来说明我国政府

的管制改革实践。然后，通过对电力产业管制绩效进行描述，并用不对称信息条

件下的政府与电力企业之间的博弈模型来分析不对称信息对我国电力产业管制

绩效的影响。然后用 DEA 方法对我国电力产业管制改革对电力企业的技术效率和

规模效率的影响进行分析。最后，实证分析部分设置了检验管制绩效的关键指标：

人均发电量、电价、利润、生产效率和质量，最后采用时间序列模型，从实证方

面检验我国在 1979-2008 年 30 年电力产业管制改革的效果。通过回归分析，计

量结果表明：改革开放以来我国电力产业改革对电力产业在人均发电量、生产效

率、服务质量方面的影响是显著的。通过计量检验，得出的管制变量系数与预期

基本是一致的，除了管制改革对电价的影响，得出的结果反而是管制改革对电价

水平的上升有一定的作用，统计结果是不显著的，即管制改革对电价的影响很小。

因此本文得出的结论为：总体来说，管制改革对我国电力产业的发展有一定的成

效，但还有一些地方需要改进，最后给出了相关的政策建议，首先应当坚持原来

浙江财经学院硕士学位论文

管制改革方向，同时今后改革应该在电力产业产权改革、理顺电价体系和管制治

理结构等方面做进一步完善。特别是在信息监督方面，政府需要更多的电力产业

可靠的信息，这样不但可以对管制政策进行简单的评估，还可以对煤电矛盾进行

深入的调查，进而保障电力的稳定供应和顺利发展。

本文的创新点在于：首先，在电力产业管制绩效理论分析上，本文采用政府

与电力企业之间的博弈模型来分析信息不对称对管制绩效的影响。其次，本文用

DEA方法来检验我国电力产业管制改革对电力企业技术效率和规模效率的影响，

先从总体上来评价管制改革的绩效。最后，本文在参考国内外相关文献的基础上，

选取了更加贴合我国的电力产业的实际情况新的指标和控制变量，分别对管制绩

效选取人均发电量、电价、利润、生产效率这四个指标在假设的基础上进行计量

检验，然后通过相关数据对电力产业的服务质量进行描述。

关键词：电力改革；管制改革；DEA 模型；管制绩效；管制治理

浙江财经学院硕士学位论文

III

ABSTRACT

Electric Power industry is an important energy industry, not only to social power

consumption, but also to the stable and sustainable development of national economy.

The smooth development of power industry can promote the development of other

related industries, and plays an important role in supporting and radiating the entire

economic system. With the expansion of electricity demand, every country begins to

reform the power industry characteristic of natural monopoly gradually, for the

development of electricity industry and other industries. As a natural monopoly

industry, that power industry receives necessary regulation from government is

important1, but excessive regulation only reduces the production efficiency of power

industry. Therefore, it needs further research as to if the implementation of regulation

policy works in facilitating power supply, productivity, profitability and quality of

service, etc.

Different foreign scholars on the performance of power industry reach different

points of view. Some scholars believe that government regulation reform revitalizes

electricity market and improves labor productivity, and privatization reform reduces

the cost of power enterprises and improves the production efficiency of power

industry. But some scholars have concluded that the improvement in economic

performance doesn’t result from the privatization of power industry, and the impact

brought by privatization and that by competition should be discussed separately.

Further research is needed as to if privatization reform could provide economic

performance for power industry. Of course, testing the regulation effect of the power

industry reform could not only evaluate previous regulatory reform policies but also

directly affect the further regulation reform of electricity industry by government.

First, from the basic theory of electric power industry, according to the natural

monopoly characteristics of electricity industry existing in power industry, we analyze

the regulation requirements and the regulation supply of China’s power industry in the

past 30 years to explain the practice of our government’s regulation reform, together

with the process of China’s regulation reform of electric power industry. Then we

describe the regulation performance of the power industry and analyze the impact of

浙江财经学院硕士学位论文

control under the conditions of asymmetric information between power enterprises,

government with game model. Then, analyze the power industry regulatory reform of

the electricity enterprise technical efficiency and scale efficiency with DEA method.

And then analysis through the description of the regulation performance of power

industry, we analyze the indexes used in testing the regulation effect of power industry.

In the empirical analysis part, we set a series of key testing indexes: per capita

generation capacity, price, profit, production efficiency and service quality. In next

step, we use time series models to testify to the effect of power industry regulatory

reform empirically. Through regression analysis and measurement, it shows that

since reform and opening up, power industry reform in China is significant in

facilitating per capita electricity generation, production efficiency, and quality of

service. By measuring test, the regulation variable coefficients obtained are consistent

with the expectation, apart from the impact of electricity price by regulatory reform.

The result is that regulation reform causes price rise to a certain extent, and statistical

result is not significant, or put in another way, regulation reform has little effect on the

price.

This article concluded as follows: in general, the regulation reform of China’s

power industry has some effect, but there are some areas needing improve. Relevant

policy recommendations are given. First of all, we should adhere to the original

direction of regulation reform, and at the same time further improvement is needed in

reforming property rights, disentangling electricity price system and regulating

governance structure of the power industry reform in the future. Particularly in

information monitoring, governments need more reliable information from power

industry, and by doing so, we could make a simple assessment of regulation policy,

and carry out a further investigation on the conflict between coal and electricity, so as

to guarantee a stable supply and smooth development of electric power.

The innovation of this paper lies in following aspects. First, Then we describe the

regulation performance of the power industry and analyze the impact of control under

the conditions of asymmetric information between power enterprises, government

with game model. Second, this paper uses DEA to analyze the technical efficiency and

the scale efficiency of China's electric power companies , the use of relative efficiency

of electric power enterprises in the control of the change between years before and

after the reform to illustrate the power industry regulatory reform in China's overall

performance. Third, in reference to relevant literature at home and abroad, this paper

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摘要：

浙江财经学院硕士学位论文I摘要电力产业作为重要的能源产业，不仅关系到人们的生活用电，同时也是国民经济稳定和可持续发展的重要保障。电力产业的顺利发展可以推动其他相关产业的发展，也对整个经济体系起着支撑和辐射作用。随着电力市场需求的扩大，各国为了电力产业和其他产业的发展，开始在原本具有自然垄断特征的电力产业进行逐步改革。作为自然垄断产业，政府对电力产业进行必要的管制也是必要的，而过度的管制又会降低企业的生产效率。因此管制政策的实施究竟有没有使电力产业在电力供给、生产效率、利润水平和服务质量等各方面都得到了有效的提高，需要做进一步的研究。国外学者对电力产业管制绩效的研究得出了不同的观点，有些学者认为...

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