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
Acknowledgements 115
Abbreviations and Acronyms 116
Executive Summary 118
Chapter 1 Introduction 128
1.1 Background to the Study 128
1.2 Key Issues to be Solved for Capacity Building of the Electricity Regulatory Institutions of China 131
1.3 Structure of This Report 132
Chapter 2 The Purpose,Role and Functions of Regulation 133
2.1 Purpose of Electricity Regulation 133
2.1.1 Why Regulate Anything 133
2.1.2 Why Should We Implement Professional Regulation in the Electricity Sector 134
2.2 Entities to be Subjected to Electricity Regulation 135
2.3 Three Key Areas of Electricity Regulation 136
2.3.1 Prices 136
2.3.2 Quality 137
2.3.3 Investment 138
2.4 Targets and Principles of Electricity Regulation—Balancing Various Interests 138
2.4.1 Consumers' Interests 138
2.4.2 Utility Investors' Interests 139
2.4.3 Government's Legitimate Policy Interests 139
2.5 Design of Effective Regulation—International Experience 139
2.5.1 High Level Objectives 139
2.5.2 Independence 140
2.5.3 Funding 141
2.5.4 Central or Local Regulation 142
2.5.5 Governance 142
2.5.6 Standard Processes 143
2.5.7 Areas of Regulation of the Regulatory Institutions 143
2.5.8 Major Functions of Regulatory Institutions 144
2.6 Extent of the Regulatory Body's—Whether It is Limited to the Electricity Sector 144
Chapter 3 Allocation of Electricity Regulatory Responsibilities in China 146
3.1 Review of Current Situation 146
3.1.1 The Power Sector Reform Working Group 146
3.1.2 The National Development and Reform Commission 147
3.1.3 The Ministry of Finance 147
3.1.4 Provincial Economic and Trade Commissions 147
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 China 148
3.2.1 Policy Making and Regulatory Function are Confused 148
3.2.2 Planning Approvals and Investment Supervision Functions are Confused 149
3.2.3 Tariff Regulation Functions are not Allocated Properly 149
3.3 International Examples of Relevant Issues 149
3.3.1 International Examples of Horizontal Allocation of Regulatory Function 149
3.3.2 International Examples of Vertical Distribution of Regulatory Functions 150
3.4 Recommendations for Horizontal Allocations of the Electricity Regulation Functions in China 150
3.4.1 Create an Energy Policy-making Function in China 150
3.4.2 Establish Responsibilities for Investment Regulation 151
3.4.3 Gradually Adjust the Allocation of Electricity Tariff and CostRegulation Functions 152
3.4.4 Coordinate Anti-trust(Competition Policy)Responsibilities 152
3.4.5 Clarify Responsibility for Technical and Quality Regulation 153
3.5 Recommendations for the Vertical Allocation of Regulatory Powers in China 153
3.5.1 The Importance of the Vertical Distribution of Regulatory Power in China 153
3.5.2 Concrete Suggestions for the Vertical Allocation of Regulatory Powers in China 154
Chapter 4 Basic Methods for Electricity Sector Regulation 156
4.1 Tariff Regulation in Economic Regulation 156
4.1.1 The Importance of Tariff Regulation in Economic Regulation 156
4.1.2 Key Features of a"Good"Tariff Regime 157
4.1.3 Basic Methods of Electricity Price Regulation 157
4.1.4 Principal Methodologies 158
4.1.5 Types of Tariff and Their Regulation 160
4.2 Quality Regulation 161
4.3 Investment Regulation 163
4.3.1 Investment Regulation for Electricity Generation 163
4.3.2 Transmission and Distribution Investment 164
4.3.3 Agreed Investment Criteria and Obligations 164
4.3.4 Suggestions for a Coordination Mechanism for the Existing System Planning and Investment Regulation in China 165
4.4 Licensing of Operations of Electricity Sector Entities 166
4.4.1 Licenses Can be Short or Comprehensive 166
4.4.2 Licensing is Specific to the Activity 167
4.4.3 Exemptions and Exceptions 168
4.4.4 Processes for Issuing,Amending and Revoking Licences 169
4.4.5 Common Core Conditions 170
4.4.6 Specific Conditions for Different License Types 171
4.5 Regulation of State-owned Electricity Sector Utilities 172
4.5.1 Difficulties in Regulating State-owned Enterprises 173
4.5.2 Specific Methods for Regulation of State-owned Electricity Enterprises 173
Chapter 5 Establishment and Regulation of Competitive Electricity Markets 175
5.1 Some Models for Electricity Sector Structure 176
5.1.1 Model 1:Vertically Integrated Monopoly 176
5.1.2 Model 2:Single Buyer 177
5.1.3 Model 3:Wholesale(Generation)Competition 177
5.1.4 Model 4:Retail Competition 178
5.2 Model 2—Regulation of Single Buyers 179
5.2.1 The Role of the Regulator in Model 2 179
5.2.2 The Grid Company in a Single Buyer Model 180
5.2.3 Procurement of Generation in the Single Buyer Model 180
5.2.4 Dispatching Generating Plant in a Single Buyer Model 181
5.3 Regulatory Issues in Model 3—Wholesale Competition 182
5.3.1 The Role of the Regulator in Model 3 182
5.3.2 Regulating the Trading Arrangements(the market rules)in Model 3 184
5.3.3 Promoting Competition in the Generating Markets in Model 3 184
5.3.4 Generation Investments and"Capacity Payments":Models 1 and 3 185
5.4 Responsibilities for the Supply/Demand Balance in Models 2 and 3 189
5.4.1 Investment Regulation in Model 2 189
5.4.2 Investment Regulation in Model 3 189
Chapter 6 Capacity Building for SERC in the Near-term 191
6.1 Speed up Electricity Sector Reform 191
6.2 Energetically Promote Construction of Regional Electric Electricity Markets 191
6.3 Focus on Regulating Markets and Protecting Customers as the Key Near-term Areas of Work 191
6.4 Further Development of the Legal Framework for Electricity Regulation 195
6.5 Strengthen Cooperation with Relevant Departments of the Government and Jointly Execute Relevant Regulatory Tasks 196
6.6 Improve and Implement Measures on Electricity Regulation Fee Collection 197
6.7 Urgent Need for Establishment of SERC at Regional,Provincial,and Local Levels 197
6.8 Apply for Authority to Regulate State-owned Electricity Enterprises through Specific Methods 198
6.9 Improve Communication Channels with Other Government Agencies,and with Regulatory Bodies in China and Worldwide 198
6.10 Strengthen Personnel Training,and Establish Regulations for the Behaviour of Personnel 199
Appendix A International Comparisons of Regulatory Bodies and Practices 201
A.1 Case Study 1:Tariff Setting Powers and Regulatory Independence 211
A.2 Case Study 2:The Vertical Split of Regulatory Authority—India,the United States and Russia 216
Appendix B Detailed Review of the Current Situation in the Chinese Electricity Sector 227
B.1 Overview of the Sector 227
B.2 Reform Plans 230
B.3 Progress with Unbundling 231
B.3.1 Generation 232
B.3.2 Transmission 232
B.3.3 Distribution 235
B.4 Electricity Tariffs 235
B.4.1 The Current Tariff Position 235
B.4.2 Price Regulation Powers and Procedures 237
B.5 The Electricity Sector Context 238
B.6 Plans for Development of Trading Arrangements 239
B.7 Progress to Date 240
B.7.1 System Operation 240
B.7.2 Electricity Trading 241
B.7.3 Retail Competition 242
B.8 Regulation of the Regional Sectors and the Market Arrangements 242
Appendix C Elaboration of Key Features of Effective Regulation 244
C.1 Clarity of Roles and Objectives 244
C.2 Autonomy 245
C.3 Accountability 245
C.4 Participation 246
C.5 Transparency 246
C.6 Predictability 246
C.7 Proper Regulatory Capacity 247
References 248