中国电力监管机构能力建设研究报告2025|PDF|Epub|mobi|kindle电子书版本百度云盘下载

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致谢1

缩略语2

内容概述4

第1章 引言12

1.1　课题研究的背景12

1.2　中国电力监管机构能力建设需要解决的主要问题14

1.3　本报告的结构15

第2章 电力监管的目的、地位和作用16

2.1 电力监管的目的和要求16

2.1.1　为什么要监管16

2.1.2　为什么要对电力行业实施专业化监管17

2.2　电力监管的对象18

2.3 电力监管的三个主要内容18

2.3.1　价格18

2.3.2　质量19

2.3.3　投资19

2.4　电力监管的目标和原则——平衡各方利益20

2.4.1　用户利益20

2.4.2　公用事业投资者利益20

2.4.3　政府政策目标20

2.5　有效监管体系的设计——国际经验21

2.5.1　顶层目标21

2.5.2　独立性21

2.5.3　经费来源22

2.5.4　中央和地方的监管权限23

2.5.5　监管机构的管理23

2.5.6　监管的标准程序23

2.5.7　监管机构的监管对象24

2.5.8　监管机构的主要职责24

2.6　监管产业范围——是否仅限于电力24

第3章 中国电力监管职能的合理配置26

3.1　现状评述26

3.1.1 电力体制改革工作小组26

3.1.2　国家发展改革委员会26

3.1.3　财政部27

3.1.4　省级经贸委27

3.1.5 国资委27

3.2 目前中国电力监管职能配置存在的问题27

3.2.1　政策制定和监管职能不分28

3.2.2　规划审批与投资监管职责混淆28

3.2.3 电价监管职责配置不当28

3.3　相关问题的国际例证29

3.3.1　监管职能横向配置的国际例证29

3.3.2　监管职能纵向分配的国际例证29

3.4　对中国电力监管职能横向配置的建议29

3.4.1　建立专门的能源政策制定机构30

3.4.2　界定投资监管责任30

3.4.3　逐步调整电价和成本监管职责的配置30

3.4.4　协调反垄断（竞争政策）的职能分工31

3.4.5　落实技术和质量监管责任31

3.5　对中国监管职权纵向分配的建议31

3.5.1 中国监管职权纵向分配的重要意义31

3.5.2　对中国监管职权纵向配置的具体建议32

第4章 电力行业监管的基本方法34

4.1　价格和成本监管34

4.1.1　价格监管的目标34

4.1.2 良好的电价制度的主要特点34

4.1.3　电价监管的基本方法35

4.1.4　总收入监管36

4.1.5　国外各环节电价及其监管38

4.2　质量监管39

4.3　投资监管40

4.3.1　发电投资监管40

4.3.2　输电和配电投资监管41

4.3.3　议定的投资标准和责任41

4.3.4　对中国现阶段系统规划和投资监管协调机制的建议42

4.4　电力企业（运营）许可证制度42

4.4.1　许可证可以是简单的或详尽的42

4.4.2　许可证是针对具体业务的43

4.4.3　豁免和例外44

4.4.4　许可证的颁发、变更和吊销程序44

4.4.5　通用核心条款45

4.4.6　不同许可证类型的专用条款46

4.5　对国有电力企业的监管47

4.5.1　监管国有企业的困难所在47

4.5.2　监管国有电力企业的特殊方法48

第5章 竞争性电力市场的建立与监管50

5.1 电力体制的几种模式50

5.1.1　模式1——垂直一体化垄断51

5.1.2　模式2——单一购买者51

5.1.3　模式3——趸售竞争52

5.1.4 模式4——零售竞争53

5.2　模式2——单一买方中的监管问题53

5.2.1　模式2中监管者的作用54

5.2.2　单一购买者模式下的电网公司54

5.2.3　单一购买者模式下的发电采购55

5.2.4　单一购买模式中的调度问题55

5.3　模式3——趸售竞争中的监管问题56

5.3.1 模式3中监管者的作用56

5.3.2　监管交易安排（市场规则）58

5.3.3　促进发电市场的竞争58

5.3.4　模式3中的“容量支付”59

5.4　供需平衡的责任62

5.4.1　模式2中的投资监管62

5.4.2　模式3中的投资监管63

第6章 中国电力监管机构的近期能力建设64

6.1　加快电力体制改革64

6.2　大力推进区域电力市场建设65

6.3　将“规范市场秩序”和“保护消费者”作为重点工作领域66

6.4　进一步构建电力监管法规体系66

6.5　与政府有关部门加强协作，共同开展有关监管工作67

6.6　完善并落实电力监管费的征收措施68

6.7　尽快研究建立电力监管基层组织68

6.8 申请授权采用特殊方法对国有电力企业实施有效监管69

6.9　及时准确掌握电力企业相关信息，建立与外界进行有效沟通和交流的机制69

6.10　加强员工培训，制定工作人员行为规范69

附录A　各国电力监管和监管机构情况对比71

A.1 案例研究1：定价权和监管独立80

A.2　案例研究2：监管权力的垂直划分——印度、美国和俄罗斯84

附录B 中国电力行业现状研究94

B.1 行业概况94

B.2 改革计划98

B.3　业务拆分的进程99

B.3.1　发电99

B.3.2　输电99

B.3.3　配电101

B.4　电价101

B.4.1 电价现状101

B.4.2　价格监管权力和程序103

B.5 电力行业现状104

B.6 电量交易的发展计划105

B.7 目前进展106

B.7.1 系统运行106

B.7.2　电量交易106

B.7.3　零售竞争107

B.8　地区行业和市场安排的监管107

附录C　有效监管的主要特征109

C.1　地位和目标明确109

C.2 自治性110

C.3 可问责性110

C.4　参与性110

C.5　透明度111

C.6　可预见性111

C.7　适当的监管能力112

参考资料113

Acknowledgements115

Abbreviations and Acronyms116

Executive Summary118

Chapter 1　Introduction128

1.1　Background to the Study128

1.2　Key Issues to be Solved for Capacity Building of the Electricity Regulatory Institutions of China131

1.3　Structure of This Report132

Chapter 2　The Purpose,Role and Functions of Regulation133

2.1　Purpose of Electricity Regulation133

2.1.1　Why Regulate Anything133

2.1.2　Why Should We Implement Professional Regulation in the Electricity Sector134

2.2　Entities to be Subjected to Electricity Regulation135

2.3　Three Key Areas of Electricity Regulation136

2.3.1　Prices136

2.3.2　Quality137

2.3.3　Investment138

2.4　Targets and Principles of Electricity Regulation—Balancing Various Interests138

2.4.1 Consumers' Interests138

2.4.2　Utility Investors' Interests139

2.4.3　Government's Legitimate Policy Interests139

2.5　Design of Effective Regulation—International Experience139

2.5.1　High Level Objectives139

2.5.2　Independence140

2.5.3　Funding141

2.5.4　Central or Local Regulation142

2.5.5　Governance142

2.5.6　Standard Processes143

2.5.7　Areas of Regulation of the Regulatory Institutions143

2.5.8　Major Functions of Regulatory Institutions144

2.6　Extent of the Regulatory Body's—Whether It is Limited to the Electricity Sector144

Chapter 3 Allocation of Electricity Regulatory Responsibilities in China146

3.1 Review of Current Situation146

3.1.1　The Power Sector Reform Working Group146

3.1.2　The National Development and Reform Commission147

3.1.3　The Ministry of Finance147

3.1.4　Provincial Economic and Trade Commissions147

3.1.5　The State-owned Assets Supervision and Administration Commission(SASAC)148

3.2　Current Problems of the Functional Distribution of Electricity Regulation in China148

3.2.1　Policy Making and Regulatory Function are Confused148

3.2.2　Planning Approvals and Investment Supervision Functions are Confused149

3.2.3　Tariff Regulation Functions are not Allocated Properly149

3.3　International Examples of Relevant Issues149

3.3.1　International Examples of Horizontal Allocation of Regulatory Function149

3.3.2　International Examples of Vertical Distribution of Regulatory Functions150

3.4　Recommendations for Horizontal Allocations of the Electricity Regulation Functions in China150

3.4.1　Create an Energy Policy-making Function in China150

3.4.2　Establish Responsibilities for Investment Regulation151

3.4.3　Gradually Adjust the Allocation of Electricity Tariff and CostRegulation Functions152

3.4.4　Coordinate Anti-trust(Competition Policy)Responsibilities152

3.4.5　Clarify Responsibility for Technical and Quality Regulation153

3.5 Recommendations for the Vertical Allocation of Regulatory Powers in China153

3.5.1　The Importance of the Vertical Distribution of Regulatory Power in China153

3.5.2　Concrete Suggestions for the Vertical Allocation of Regulatory Powers in China154

Chapter 4　Basic Methods for Electricity Sector Regulation156

4.1　Tariff Regulation in Economic Regulation156

4.1.1　The Importance of Tariff Regulation in Economic Regulation156

4.1.2 Key Features of a"Good"Tariff Regime157

4.1.3　Basic Methods of Electricity Price Regulation157

4.1.4　Principal Methodologies158

4.1.5　Types of Tariff and Their Regulation160

4.2　Quality Regulation161

4.3　Investment Regulation163

4.3.1　Investment Regulation for Electricity Generation163

4.3.2　Transmission and Distribution Investment164

4.3.3　Agreed Investment Criteria and Obligations164

4.3.4　Suggestions for a Coordination Mechanism for the Existing System Planning and Investment Regulation in China165

4.4　Licensing of Operations of Electricity Sector Entities166

4.4.1　Licenses Can be Short or Comprehensive166

4.4.2　Licensing is Specific to the Activity167

4.4.3　Exemptions and Exceptions168

4.4.4　Processes for Issuing,Amending and Revoking Licences169

4.4.5　Common Core Conditions170

4.4.6　Specific Conditions for Different License Types171

4.5　Regulation of State-owned Electricity Sector Utilities172

4.5.1　Difficulties in Regulating State-owned Enterprises173

4.5.2　Specific Methods for Regulation of State-owned Electricity Enterprises173

Chapter 5　Establishment and Regulation of Competitive Electricity Markets175

5.1　Some Models for Electricity Sector Structure176

5.1.1　Model 1:Vertically Integrated Monopoly176

5.1.2　Model 2:Single Buyer177

5.1.3 Model 3:Wholesale(Generation)Competition177

5.1.4　Model 4:Retail Competition178

5.2　Model 2—Regulation of Single Buyers179

5.2.1　The Role of the Regulator in Model 2179

5.2.2　The Grid Company in a Single Buyer Model180

5.2.3　Procurement of Generation in the Single Buyer Model180

5.2.4　Dispatching Generating Plant in a Single Buyer Model181

5.3 Regulatory Issues in Model 3—Wholesale Competition182

5.3.1 The Role of the Regulator in Model 3182

5.3.2　Regulating the Trading Arrangements(the market rules)in Model 3184

5.3.3　Promoting Competition in the Generating Markets in Model 3184

5.3.4 Generation Investments and"Capacity Payments":Models 1 and 3185

5.4　Responsibilities for the Supply/Demand Balance in Models 2 and 3189

5.4.1　Investment Regulation in Model 2189

5.4.2　Investment Regulation in Model 3189

Chapter 6　Capacity Building for SERC in the Near-term191

6.1　Speed up Electricity Sector Reform191

6.2　Energetically Promote Construction of Regional Electric Electricity Markets191

6.3　Focus on Regulating Markets and Protecting Customers as the Key Near-term Areas of Work191

6.4　Further Development of the Legal Framework for Electricity Regulation195

6.5　Strengthen Cooperation with Relevant Departments of the Government and Jointly Execute Relevant Regulatory Tasks196

6.6　Improve and Implement Measures on Electricity Regulation Fee Collection197

6.7　Urgent Need for Establishment of SERC at Regional,Provincial,and Local Levels197

6.8　Apply for Authority to Regulate State-owned Electricity Enterprises through Specific Methods198

6.9　Improve Communication Channels with Other Government Agencies,and with Regulatory Bodies in China and Worldwide198

6.10　Strengthen Personnel Training,and Establish Regulations for the Behaviour of Personnel199

Appendix A International Comparisons of Regulatory Bodies and Practices201

A.1　Case Study 1:Tariff Setting Powers and Regulatory Independence211

A.2　Case Study 2:The Vertical Split of Regulatory Authority—India,the United States and Russia216

Appendix B　Detailed Review of the Current Situation in the Chinese Electricity Sector227

B.1 Overview of the Sector227

B.2　Reform Plans230

B.3　Progress with Unbundling231

B.3.1 Generation232

B.3.2　Transmission232

B.3.3　Distribution235

B.4　Electricity Tariffs235

B.4.1　The Current Tariff Position235

B.4.2　Price Regulation Powers and Procedures237

B.5　The Electricity Sector Context238

B.6　Plans for Development of Trading Arrangements239

B.7　Progress to Date240

B.7.1　System Operation240

B.7.2　Electricity Trading241

B.7.3　Retail Competition242

B.8 Regulation of the Regional Sectors and the Market Arrangements242

Appendix C　Elaboration of Key Features of Effective Regulation244

C.1　Clarity of Roles and Objectives244

C.2 Autonomy245

C.3 Accountability245

C.4 Participation246

C.5 Transparency246

C.6　Predictability246

C.7 Proper Regulatory Capacity247

References248