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分类号：学校代码：10079密级：华北电力大学硕士学位论文题目：我国电力市场政府规制理论研究与应用英文题目：StudyandApplicationofGovernmentRegulationinChinesePowerMarket研究生姓名：邵长军专业：管理科学与工程研究方向：电力市场运营导师姓名：张文泉职称：教授论文提交日期：2004年1月华北电力大学(北京)华北电力大学(北京)硕士学位论文摘要本文对我国电力市场的政府规制进行研究，为我国电力工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，论文以电力市场的自然垄断性为切入点，尽量使用规范分析与实证分析相结合的方法，力争论据清晰，有的放矢。从结构上看，论文的第一、二章首先对政府规制和电力市场基本概念与基本理论进行论述；第三、四章是本论文的核心部分，从成本弱增和有效竞争的角度分别对电力市场的进入规制进行探讨，通过投资回报率模型和最高限价模型之间的比较分析对我国电力市场的价格规制进行研究；第五章得出我国电力市场政府规制的政策导向：法治是电力监管的精髓，独立的监管机构是电力监管的关键，产权清晰是电力监管的保障。关键词：政府规制，自然垄断，有效竞争ABSTRACTThispaperstudiesgovernmentregulationofthepowermarketinourcountrytosearchtheeconomictheoryrelianceofpowerindustryreformationanddevelopment,andtrytobebeforethepractice,conductthepractice.Fromthestudymethod,thepaperbeginswiththenaturalmonopolyofpowermarket,usesthemethodofcombiningprescriptiveanalysisandactualanalysisasmuchasitcan,andtriestomaketheargumentsclear,thecontentsbeingobjective.Fromtheframeworkofthepaper,thefirstandsecondchaptersexpoundthebasicnotionsandtheoriesofthegovernmentregulationandpowermarket;thethirdandfourthchaptersarethecoreparts,tostudytheentranceregulationfromtheanglesofcostsubadditivityandtheworkablecompetition,studythepriceregulationthroughcontrastanalysisoftheinvestmentreplyratemodelandthehighestlimitpricemodel;thefifthchapterreachthepolicyofthegovernmentregulationinourpowermarket:rulebylawisthemarrow,theindependentregulationorganizationisthekeypoint,theclearanceofpropertyrightsistheguarantee.ShaoChangjun(ManagementScienceandEngineering)Directedbyprof.ZhangWenquanKEYWORDS:GovernmentRegulation,NaturalMonopoly,WorkableCompetition华北电力大学(北京)硕士学位论文目录中文摘要英文摘要引言.................................................................................................................1第一章政府规制的一般理论及我国政府规制的环境分析.......................21.1政府规制的理论基础.................................................................................................21.1.1政府与市场.........................................................................................................21.1.2政府规制的定义.................................................................................................31.1.3公共利益理论与部门利益理论........................................................................41.2政府规制的有关概念辨析........................................................................................61.2.1微观规制与宏观调控........................................................................................61.2.2政府规制与政府管理........................................................................................61.2.3市场规制与计划管制........................................................................................71.3转型期我国政府规制的环境分析............................................................................81.3.1宏观环境分析.....................................................................................................81.3.2微观环境分析.....................................................................................................9第二章电力市场的技术经济特征及我国电力市场化进程.....................112.1电力市场的概念.......................................................................................................112.2电力市场的主要技术特征......................................................................................112.3电力市场的主要经济特征......................................................................................122.4我国电力市场的形成及发展..................................................................................13第三章电力市场的进入规制研究..............................................................163.1从成本弱增的角度分析进入规制..........................................................................163.1.1单一产品的成本弱增性..................................................................................173.1.2多种产品的成本弱增性..................................................................................173.2从有效竞争的角度分析进入规制..........................................................................193.2.1有效竞争体现为一定的市场结构.................................................................193.2.2有效竞争是一种均衡竞争和正当竞争.........................................................203.2.3有效竞争是一种动态竞争..............................................................................20第四章电力市场的价格规制研究..............................................................234.1价格规制的目标.......................................................................................................234.1.1公平目标...........................................................................................................234.1.2效率目标...........................................................................................................23华北电力大学(北京)硕士学位论文4.1.3财务目标...........................................................................................................244.2价格水平规制模型分析...........................................................................................254.2.1投资回报率规制模型......................................................................................254.2.2最高限价规制模型.........................................................................................