2010年10月18日，《国务院关于加快培育和发展战略性新兴产业的决定》（国发［2010］32号）将新能源产业作为未来重点支持的七大战略性新兴产业之一，着重从强化科技创新、积极培育市场、深化国际合作、加大财税金融政策扶持力度、推进体制机制创新等方面提出了比较具体的产业扶持政策。在这些政策措施的作用下，我国风电、太阳能等领域已经有了突破性进展。但与此同时，我国新能源产业发展中也暴露出来一系列问题，例如，制造环节发展过快，应用市场相对滞后；技术水平与国外差距依然较大；产能过剩问题愈演愈烈，等等。这些问题阻碍着我国新能源产业的持续健康发展，需要国家进行政策的顶层设计，制定科学合理的政策体系予以支持。近年来，国内已有不少学者就新能源发展战略、市场培育、定价机制、扶持政策等问题做了深入探索，形成了一批有价值的研究成果，为本项目提供了很好的借鉴。与同类研究相比，本项目较为系统、全面，不仅分析了当前国内外新能源产业发展现状与存在的问题，而且还对新能源产业发展路径、目标以及国内外相关政策进行了较为全面的研究。

本书是我主持的2011年度国家社会科学基金重大项目“促进新能源产业发展的政策措施体系及其比较研究”的最终研究成果。从研究内容上看，分为三个部分，共分17章。“上篇”主要针对新能源产业的发展态势、趋势和问题等实际现状进行深入研究。“中篇”以未来的发展趋势为视角，在对中国新能源产业研究的基础上，结合国家对新能源产业发展的最新规划精神，提出中国新能源产业发展的战略目标、优先次序、技术路线与发展模式。“下篇”则在产业分析的基础上，重点研究如何对中国新能源产业发展给予政策支持，从财政、税收、外贸、金融等各个角度出发构建完整的政策支持体系。

本研究分析总结了我国新能源发展中存在的如下问题：（1）受短期投机利益吸引，催生产业规模过快扩张，进而在产业成长期出现过剩产能问题，整体上看产业发展的基础不牢固；（2）产业发展的核心技术缺失，导致国际竞争力不强，技术创新能力亟待提升；（3）国内产业链发展不平衡，导致在国际市场波动和国际贸易保护主义抬头的情况下，国内产业受到严重冲击；（4）新能源产业的发展不仅面临着原料供给约束和技术约束，还受到市场成长的约束，以光伏和新能源汽车为典型；（5）在风电、光伏和生物质发电等新能源产业发展中，电网规划和建设滞后是制约新能源产业健康发展的重要因素，如何在保障电网安全的情况下协调具有不同品质的新能源电力成为亟须解决的重大难题；（6）新能源汽车还处于发展初期，技术路线存在很大的不确定性，且尚未形成较理想的运营模式；（7）新能源资源丰富区与电力负荷中心错位分布，在可预期的地区电力需求和电网送出通道成长趋势下，新能源区域电力消纳能力较小成为制约新能源产业快速发展的重要因素；（8）在既有政府政绩评价背景下，地方政府主导的新能源产业发展呈现突出的市场份额和地方行政垄断特征，在很大程度上制约新能源产业的市场竞争和政策“扶优劣汰”作用的发挥；（9）新能源产业发展的政策支撑体系不健全、政策连续性不强等问题制约新能源产业的持续健康发展，等等。

我国新能源产业政策存在的问题主要有：（1）产业标准制定相对滞后，且既有标准也存在执行与监管不严格的问题，导致落后产能不能及时被清理出行业，大大延缓产业整合步伐；（2）补贴政策存在标准“一刀切”，范围有限，环节和水平不当，以及可操作性和可延续性不佳等问题，制约了新能源产业投资合理化、竞争多元化、风险最小化的发展路径；（3）新能源消纳政策机制缺乏，导致新能源电力和新能源汽车市场容量有限，产业成长受到较大约束；（4）在国际环境中，新能源产品国际贸易规则和问题解决机制存在局限性，导致新能源产业发展中的国际贸易争端频发；（5）新能源技术创新政策不健全，政策实施效率不高，共性技术供给机制尚未形成，导致我国新能源产业技术创新生态系统建设滞后，联合创新水平较低；（6）税收政策存在优惠方式单一、缺乏系统性等问题，而且现有的新能源政策支持资金来源存在资金总量不足、分配不公的福利效应，以及征管不积极等问题；（7）在上网电价政策机制方面，则存在电价水平和执行时间的合理性问题，以及电价水平调整的动态性问题等；（8）新能源产业融资渠道狭窄，缺乏风险投资和资本市场开放度不足，部分行业和环节存在市场垄断问题等。总之，本项研究认为，尽管近年来我国新能源产业已有长足发展，但总体上依然属于典型的幼稚型产业，为了促进我国新能源产业的健康发展，需要制定合理的政策体系加以引导和支撑。

针对我国新能源发展中存在的问题，以及既有新能源产业政策存在的不足，我们的对策建议：（1）因地制宜、因时制宜地制定新能源产业发展规划，将新能源产业及其辅助产业均纳入规划范围，尤其要注重新能源电力发展与电网发展，乃至区域市场消纳能力发展之间的协调性，以及新能源汽车发展与相应基础设施发展的平衡性；（2）加大研发支持力度，拓宽研发支持范围，按新能源技术的成长阶段进行差别性的支持力度设计，加快具有自主知识产权的技术和产品创新，引导共性技术创新系统和平台建设；（3）加快新能源应用市场培育，支撑上游产品的生产，打破地方行政垄断造成的市场分割，激活市场优胜劣汰作用机制的同时，拓宽企业的市场选择范围；（4）结合国内新能源产品应用市场特征，加快产业和产品标准的制定，引导企业之间的竞争从价格向质量变迁，核心是重生产和产出质量，轻进入门槛；（5）拓宽政策的支持范围，激活市场的竞争机制，避免由政策直接选择市场“赢家”，尤其要对创新型中小企业给予特殊的扶持政策，加强市场的竞争水平，激励企业不断创新；（6）综合考虑区域差异、价格水平、执行时限和调整机制等因素，对不同区域的不同新能源电力制定差异化的上网电价机制，实现上网电价的动态调整和可预测性，有效降低政策造成的企业风险；（7）将投资补贴从生产环节向研发环节和消费环节转移，避免国际贸易争端，积极拓宽新能源企业，尤其是中小新能源企业的融资渠道。此外，各种政策机制的制定和执行均需要配套的监督机制，以及后期的效果评价机制。

考虑到新能源产业发展是一个系统工程，涉及领域较广，在2011年立项之初，我特别邀请了国家电网能源研究院、国家发改委能源所、中科院电工所等对新能源产业应用领域有特殊研究专长的优秀人才加入到课题组。课题于2013年结项，取得了比较丰富的阶段性成果，其中，通过《中国社会科学院要报》向国办报送政策咨询报告13份，其中3份得到国务院总理和副总理的批示。在学术期刊发表论文27篇。所发表的内部研究报告和论文产生了一定的影响，为我国制定和完善新能源产业政策提供了科学依据，丰富了新能源产业政策的研究内容。

课题研究的总体思路和基本框架由我负责设计，并对各章研究提出了具体要求和修改意见，对全书书稿进行了修改和审定。各章的分工如下：第1章、第17章，史丹、王蕾；第2章、第3章，杨帅；第4章，马翠萍；第5章、第6章、第7章、第10章、第16章，李琼慧、谢国辉、曹石亚、王乾坤、汪晓露、黄碧斌、史丹、蒋莉萍；第8章，李鹏飞；第9章、第15章，杨丹辉；第11章，贺俊、赵剑波、王钦；第12章，夏先良；第13章，史丹、何淑彪、夏晓华；第14章，何辉。杨帅对研究报告进行了编辑。

为了深入了解我国新能源产业发展现状与存在的问题，本课题组曾赴呼和浩特、鄂尔多斯、包头、四平、山西等地进行实地调研，并多次召开课题组研讨会。此外，针对课题研究中发现的政策难点，曾邀请国家能源局、商务部等有关部门专家进行指导，听取各方面专家的意见。在此，感谢课题组成员的共同努力，感谢有关地区和部门的领导和专家为本课题研究提供的支持和帮助。

由于时间和水平有限，必有诸多不足。希望学界同仁能够提出宝贵意见，并欢迎指正。

史丹

2014年10月18日

On October 18, 2010, the Decision of the State Council on Accelerating the Cultivation and Development of Strategic Emerging Industries (Guo Fa [2010] No. 32) took the new energy industry as one of the seven strategic emerging industries to be supported in the future, focusing on strengthening scientific and technological innovation, actively cultivating the market, deepening international cooperation, increasing fiscal and financial policy support, and promoting institutional innovation. Under the role of these policies and measures, China has made breakthroughs in the fields of wind power and solar energy. But at the same time, a series of problems have been exposed in the development of China's new energy industry, for example, the manufacturing process is developing too fast and the application market is relatively lagging behind; The gap between the technical level and foreign countries is still large; The problem of overcapacity is intensifying, and so on. These problems hinder the sustainable and healthy development of China's new energy industry, and require the state to carry out the top-level design of policies and formulate a scientific and reasonable policy system to support them. In recent years, many scholars in China have made in-depth explorations on new energy development strategy, market cultivation, pricing mechanism, support policies and other issues, forming a number of valuable research results, which provide a good reference for this project. Compared with similar research, this project is more systematic and comprehensive, not only analyzing the current development status and existing problems of new energy industry at home and abroad, but also conducting a more comprehensive study on the development path, goals and relevant policies of new energy industry. This book is the final research result of the 2011 National Social Science Foundation major project "Policy Measures System and Its Comparative Study to Promote the Development of New Energy Industry" that I presided. From the perspective of research content, it is divided into three parts, with a total of 17 chapters. The "first part" mainly focuses on the actual status quo of the new energy industry, such as the development trend, trend and problems. From the perspective of future development trends, on the basis of research on China's new energy industry, combined with the latest planning spirit of the country's new energy industry, the "middle part" puts forward the strategic objectives, priorities, technical routes and development models of China's new energy industry development. On the basis of industrial analysis, the "next part" focuses on how to give policy support to the development of China's new energy industry, and build a complete policy support system from various perspectives such as finance, taxation, foreign trade, and finance. This study analyzes and summarizes the following problems in the development of new energy in China: (1) attracted by short-term speculative interests, the scale of the production industry is too rapid to expand, and then there is a problem of excess capacity in the industrial growth period, and the foundation of industrial development is not solid on the whole; (2) The lack of core technologies for industrial development has led to weak international competitiveness and urgent improvement of technological innovation capabilities; (3) The development of the domestic industrial chain is unbalanced, resulting in serious impacts on the domestic industry under the circumstances of international market fluctuations and the rise of international trade protectionism; (4) The development of the new energy industry is not only facing the constraints of raw material supply and technology, but also by the constraints of market growth, with photovoltaic and new energy vehicles as typicals; (5) In the development of new energy industries such as wind power, photovoltaic and biomass power generation, the lag in grid planning and construction is an important factor restricting the healthy development of the new energy industry, and how to coordinate new energy power with different qualities under the condition of ensuring the security of the power grid has become a major problem that needs to be solved urgently; (6) New energy vehicles are still in the early stage of development, there is great uncertainty in the technical route, and a more ideal operation model has not yet been formed; (7) The dislocation distribution of new energy resource-rich areas and power load centers, under the predictable growth trend of regional power demand and power grid transmission channels, the small power consumption capacity of new energy regions has become an important factor restricting the rapid development of new energy industry; (8) Under the background of the evaluation of the existing government performance, the development of the new energy industry led by local governments presents outstanding market share and local administrative monopoly characteristics, which largely restricts the market competition of the new energy industry and the role of the policy of "supporting the survival of the fittest"; (9) The policy support system for the development of the new energy industry is not perfect, the policy continuity is not strong, and other problems restrict the sustainable and healthy development of the new energy industry, and so on. The main problems in China's new energy industry policy are: (1) the formulation of industrial standards is relatively lagging behind, and there are problems of lax implementation and supervision of both standards and regulations, resulting in backward production capacity not being cleared out of the industry in time, greatly delaying the pace of industrial integration; (2) The subsidy policy has problems such as "one-size-fits-all" standards, limited scope, improper links and levels, and poor operability and sustainability, which restrict the development path of rationalization of investment in the new energy industry, diversification of competition and minimization of risks; (3) The lack of new energy consumption policy mechanisms has led to limited market capacity of new energy power and new energy vehicles, and industrial growth has been greatly constrained; (4) In the international environment, there are limitations in the international trade rules and problem solving mechanisms for new energy products, resulting in frequent international trade disputes in the development of new energy industries; (5) The new energy technology innovation policy is not perfect, the policy implementation efficiency is not high, and the common technology supply mechanism has not yet been formed, resulting in the lagging construction of the technological innovation ecosystem of China's new energy industry and the low level of joint innovation; (6) There are problems such as single preferential methods and lack of systematization in tax policies, and the existing new energy policy support fund sources have problems such as insufficient total amount of funds, unfair distribution welfare effects, and inactive collection and management; (7) In terms of the on-grid tariff policy mechanism, there are problems such as the rationality of the electricity price level and implementation time, as well as the dynamic problem of the adjustment of the electricity price level; (8) The financing channels of the new energy industry are narrow, there is a lack of venture capital and insufficient openness of the capital market, and there are market monopoly problems in some industries and links. In short, this study believes that although China's new energy industry has developed greatly in recent years, it is still a typical infantile industry on the whole, and in order to promote the healthy development of China's new energy industry, it is necessary to formulate a reasonable policy system to guide and support. In view of the problems in China's new energy development and the shortcomings of the existing new energy industry policy, our countermeasures and suggestions: (1) formulate the new energy industry development plan according to local conditions and time conditions, and include the new energy industry and its auxiliary industries in the planning scope, especially paying attention to the coordination between the development of new energy power and the development of power grids, and even the development of regional market absorption capacity, as well as the balance between the development of new energy vehicles and the development of corresponding infrastructure; (2) Increase R&D support, broaden the scope of R&D support, design differentiated support according to the growth stage of new energy technology, accelerate technology and product innovation with independent intellectual property rights, and guide the construction of common technological innovation systems and platforms; (3) Accelerate the cultivation of new energy application markets, support the production of upstream products, break the market segmentation caused by local administrative monopolies, activate the market survival of the fittest mechanism, and broaden the scope of market choices for enterprises; (4) Combined with the characteristics of the domestic new energy product application market, accelerate the formulation of industrial and product standards, guide the competition between enterprises to change from price to quality, the core is to emphasize production and output quality, and light entry threshold; (5) Broaden the scope of policy support, activate the market competition mechanism, avoid the direct selection of market "winners" by policies, especially give special support policies to innovative small and medium-sized enterprises, strengthen the level of market competition, and encourage enterprises to continue to innovate; (6) Comprehensively consider regional differences, price levels, implementation time limits and adjustment mechanisms, and formulate differentiated feed-in tariff mechanisms for different new energy power in different regions, so as to realize the dynamic adjustment and predictability of feed-in tariffs and effectively reduce the enterprise risks caused by policies; (7) Transfer investment subsidies from production to R&D and consumption, avoid international trade disputes, and actively expand financing channels for new energy enterprises, especially small and medium-sized new energy enterprises. In addition, the formulation and implementation of various policy mechanisms require supporting supervision mechanisms and later effect evaluation mechanisms. Considering that the development of new energy industry is a systematic project involving a wide range of fields, at the beginning of the project in 2011, I specially invited outstanding talents with special research expertise in the application field of new energy industry, such as the State Grid Energy Research Institute, the Energy Institute of the National Development and Reform Commission, and the Institute of Electrical Engineering of the Chinese Academy of Sciences, to join the research group. The project was completed in 2013 and achieved relatively rich phased results, among which, 13 policy consultation reports were submitted to the State Office through the Bulletin of the Chinese Academy of Social Sciences, of which 3 were approved by the Premier and Vice Premier of the State Council. He has published 27 papers in academic journals. The internal research reports and papers published have had a certain impact, providing a scientific basis for China's formulation and improvement of new energy industry policies, and enriching the research content of new energy industrial policies. I was responsible for designing the overall idea and basic framework of the project research, put forward specific requirements and suggestions for the research of each chapter, and revised and reviewed the manuscript of the whole book. The division of labor in each chapter is as follows: chapters 1 and 17, Stan and Wang Lei; Chapter 2, Chapter 3, Yang Shuai; Chapter 4, Ma Cuiping; Chapters 5, 6, 7, 10, 16, Li Qionghui, Xie Guohui, Cao Shiya, Wang Qiankun, Wang Xiaolu, Huang Bibin, Shi Dan, Jiang Liping; Chapter 8, Li Pengfei; Chapters 9 and 15, Yang Danhui; Chapter 11, He Jun, Zhao Jianbo, Wang Qin; Chapter 12, Xia Xianliang; Chapter 13, Shi Tan, He Shubiao, Xia Xiaohua; Chapter 14, He Hui. Yang Shuai edited the research report. In order to deeply understand the development status and existing problems of China's new energy industry, our research group has gone to Hohhot, Ordos, Baotou, Siping, Shanxi and other places to conduct field research, and held research group seminars for many times. In addition, in view of the policy difficulties found in the research project, experts from relevant departments such as the National Energy Administration and the Ministry of Commerce were invited to provide guidance and listen to the opinions of experts in various fields. Here, I would like to thank the joint efforts of the members of the research group, and the leaders and experts of relevant regions and departments for their support and assistance for the research of this topic. Due to the limited time and level, there must be many shortcomings. It is hoped that colleagues in the academic community can put forward valuable opinions and welcome corrections. Stan, October 18, 2014（AI翻译）