新的电价上限监管模式与发电排放的环保折价标准
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摘要
在电力工业放松管制后，建立与竞争性电力市场相适应的电力监管体制，以保证市场的充分有效运作，是各国电力工业改革的成功经验，也是我国电力市场化改革迫切需要研究和解决的课题。
本文首先介绍电力市场监管背景，阐述电力市场监管的经济学基础，总结国内外电力监管体制的职能、特点和原则。然后在理论准备的基础上，对电力市场监管的两大基本问题(价格上限和环境成本)进行研究和论证。
价格上限是电力市场化改革的简单产物。本文将最高限价与动态利润调整机制联系起来，提出一种新的电价上限确定方法—利润上限法；在此基础上，本文借鉴两种典型的监管模式(ROR和RPI—X)，提出利润上限监管模式，为电价监管提供一揽子(a package solution)的解决方案。
环境成本造成电力市场失灵，是电力监管的重要内容。本文的另一项工作是响应国家电力体制改革方案的要求，对发电排放的环境折价标准进行估算，实证分析电力市场的外部效应。
After the deregulation of electric power industry, a new Regulation System, adapting to the competitive electricity market, must be established to ensure the market efficiently functioning, which is an international experience. China electric power reform has been started-up, the regulatory issue need be studied and solved urgently so as to make the reform further proceed smoothly.
This paper firstly introduces the background of electricity market regulation, demonstrates the Economics fundamental of regulation, and summarizes the characteristic and principle of modern electric regulation. On the basis of theoretic preparation, the paper then focuses on two basic regulatory issues, Price Cap and Environmental Cost.
Price cap is a simple product of competitive electricity market. The paper integrates price limit with dynamic profit-adjusting mechanism for the first time, and proposes a new price ceiling method, Profit Capping. Furthermore, on appraising two popular regulation models (ROR and RPI-X), the paper suggests a new regulation model, Profit Capping Model (PCM), which offers a package solution to electricity price regulation.
Environmental Cost is one of the most important reasons how to result in market failures. Another task of this paper is answering the request of National Electric Industry Reform Plan, evaluating the Environmental Value Schedule (EVS) for electricity generation, and analyzing the external effects of electricity market.
本文首先介绍电力市场监管背景，阐述电力市场监管的经济学基础，总结国内外电力监管体制的职能、特点和原则。然后在理论准备的基础上，对电力市场监管的两大基本问题(价格上限和环境成本)进行研究和论证。
价格上限是电力市场化改革的简单产物。本文将最高限价与动态利润调整机制联系起来，提出一种新的电价上限确定方法—利润上限法；在此基础上，本文借鉴两种典型的监管模式(ROR和RPI—X)，提出利润上限监管模式，为电价监管提供一揽子(a package solution)的解决方案。
环境成本造成电力市场失灵，是电力监管的重要内容。本文的另一项工作是响应国家电力体制改革方案的要求，对发电排放的环境折价标准进行估算，实证分析电力市场的外部效应。
After the deregulation of electric power industry, a new Regulation System, adapting to the competitive electricity market, must be established to ensure the market efficiently functioning, which is an international experience. China electric power reform has been started-up, the regulatory issue need be studied and solved urgently so as to make the reform further proceed smoothly.
This paper firstly introduces the background of electricity market regulation, demonstrates the Economics fundamental of regulation, and summarizes the characteristic and principle of modern electric regulation. On the basis of theoretic preparation, the paper then focuses on two basic regulatory issues, Price Cap and Environmental Cost.
Price cap is a simple product of competitive electricity market. The paper integrates price limit with dynamic profit-adjusting mechanism for the first time, and proposes a new price ceiling method, Profit Capping. Furthermore, on appraising two popular regulation models (ROR and RPI-X), the paper suggests a new regulation model, Profit Capping Model (PCM), which offers a package solution to electricity price regulation.
Environmental Cost is one of the most important reasons how to result in market failures. Another task of this paper is answering the request of National Electric Industry Reform Plan, evaluating the Environmental Value Schedule (EVS) for electricity generation, and analyzing the external effects of electricity market.
引文
[1] 尚金成，黄永皓，夏清 等著．电力市场理论研究与应用．北京：中国电力出版社，2002
[2] 于尔铿，韩放，谢开 等著．电力市场．北京：中国电力出版社，1998．4
[3] 姚建刚，章建，银车来 著．电力市场运营及其软件开发．北京：中国电力出版社，2002
[4] 黄海波 著．电信管制—从监督垄断到鼓励竞争．北京：经济科学出版社，2002．12
[5] 江曙霞 著．银行监管理论与资本充足性管制．北京：中国发展出版社，1994
[6] 言茂松(Yan Maosong)．当量电价与融资重组(Electricity Value Equivalent Pricing and Restructuring)[M]．北京：中国电力出版社(Beijing: China Electric Power Press),2000
[7] 国务院办公厅秘书局．电力体制改革方案．北京，2002．3．5
[8] 保罗·萨谬尔森，威廉·诺德毫斯 著，萧琛 等译．微观经济学(第十六版)．北京：华夏出版社，2002
[9] 坎贝尔·麦克康耐尔，斯坦利·布鲁伊 著，陈晓 等译．经济学：原理、问题和政策(下册)．北京大学出版社／科文(香港)初版有限公司，2000
[10] 范家骧，高天虹 著．西方经济学．北京：中国经济出版社，1992
[11] 曾鸣(Zheng Ming)．电力市场理论及其应用(Theory and Application of Electricity Market)[M]．北京：中国电力出版社(Beijing: China Electric Power Press),2000
[12] 胡代光，周安军 编著．当代国外学者论市场经济．北京：商务印书馆，1996
[13] 胡代光，胡企林 编著．现代市场经济的理论与实践．北京：商务印书馆，1996
[14] 高宏业 主编．西方经济学(上册 微观部分)．北京：中国经济出版社，1998．12，第4次印刷
[15] 樊纲．市场机制与经济效率．上海三联书店，上海人民出版社，1997
[16] Zhejiang university. Preprint proceedings of the 1st U.S.-China symposium on CO_2 emission control science & technology[R].Hangzhou: Zhejiang University,2001.
[17] 中国科学院可持续发展研究组．1999中国可持续发展战略报告．北京：科学出版社，1999．
[18] 史玉波 主编．英国新电力交易制度．国家经贸委电力司，2001．6
[19] 王志轩．中国火电厂二氧化硫排放控制综合对策建议[J]．中国电力，2002，26(1)：60-63．
[20]Wolfram Krewitt．德国和欧洲矿物燃料发电的环境损害代价[J]．国际电力，2000，4(3)：54-61．
[21]冯飞．垄断性产业改革与重组的理论与规制研究．国务院发展研究中心，2002
[22]王俊豪(Wang Junhao)．英国政府管制体制改革研究(Study on the Regulatory Reform of British Government)[M]．上海：上海三联书店(Shanghai: Joint Publishing(Shanghai)Company)，1998
[23]王俊豪 等著．中国自然垄断经营产品管制价格形成机制研究．北京：中国经济出版社，2002
[24]Z.Yu,F.T.Sparrow,G.Nderitu,et al.A Large Oligopoly Competition Model with an Application to the Midwest Electricity Markets[J]. IEEE Trans on Power Systems,2001,16(9): 1040～1045
[25]朱成章(Zhu Chengzhang)．美国加州电力危机的启示(Lessons and Revelations from the Power Supply Crisis in California) [J]．华东电力(East China Electric Power)，2001，29(4)：47～52
[26]http://www.iso-ne.com/market_info/Selected_date.html
[27]文福栓(Wen Fushuan)，David A K.加州电力市场失败的教训(Lessons from Electricity Market Failure in California)[J]．电力系统自动化 (Automation of Electric Power Systems)，2001，25(5)：1～5
[28]魏萍，文福栓，倪以信，等(Wei Ping,Wen Fushuan,Ni Yixin,et al)．三峡电力市场的输电定价与阻塞管理(Transmission Tarrifs and Congestion Management for Three Gorges Electricity Market) [J]．电力系统自动化(Automation of Electric Power Systems)，2002，26(1)：7～13
[29]浙江省电力公司(Zhejiang Provincial Electric Power Company)．浙江电网发电市场规则(Zhejiang Provincial Power Market Management Rules)[M]．2000
[30]曾鸣 主编(Zheng Ming,et al)．电力工业商业化运营与电力市场(Electric Power Industry Commercialization and Electricity Market)[M]．北京：中国电力出版社(Beijing: China Electric Power Press)，1999
[31][法]让·雅克·拉丰，让·泰勒尔(Jean-Jacques Laffont,Jean Tirole)．电信竞争(Competition in Telecommunications)[M]．北京：人民邮电出版社(Beijing: People's Posts & Telecommunications Publishing House)，2001
[32]王永干，刘宝华 主编(Wang Yonggan,Liu BaoHua)．国外电力工业体制与改革(Systems and Reforms of Foreign Power Industries)[M]．北京：中国电力出版社(Beijing: China Electric Power Press)，2001
[33]国家电力公司(China State Power)．电力工业“九五”总结(The ninth five-year Summary of China Power Industry)[M]．北京：中国电力出版社(Beijing: China Electric Power Press)，2002
[34]戴彦，韩祯祥，娄为(Dai Yan,Han Zhenxiang,Lou Wei)．浙江电力市场竞价分析(Price Bidding Analysis in Zhejiang Electricity Market)[J]．电力系统自动化(Automation of Electric Power Systems)，2002，26(9)
[35]王锡凡(Wang Xifan)．电力系统规划基础(Fundamental of Power System Planning)[M]．北京：水利电力出版社(Beijing: China Water Resource & Electric Power Press)，1994
[36]田国强(Tian Guoqiang)．激励、信息与经济机制(Incentive,Information and Economic Mechanism)[M]．北京：北京大学出版社(Beijing: Peking University Press)，2000
[37]尹殿喜．广东地区燃煤电厂脱硫现状及经济分析[J]．电力技术经济，2001．(6)：32-34．
[38]陈德放．电站锅炉脱硫方法的技术经济分析[J]．能源研究与信息，2000，16(4)：28-36．
[39]王金南，杨金田，曹东，等．中国排污收费标准体系的改革设计[J]．环境科学研究，1998，11(5)：1-7．
[40]张建民．我国发展替代能源的经济环境成本分析[J]．中国能源，1996，(2)：29～31．
[41]中国电机工程学会燃气轮机发电专业委员会．1998年年会论文集．
[42]何昌群，陈兆庆，张建平．华东电网利用天然气发电的前景分析[J]．华东电力，1999，27(6)：1～3
[43]浙江省经济贸易委员会．建立浙江省电力监管机构研究报告．2002．9．
[44]Makansi J, "California's electricity crisis rooted in many failings," IEEE Spectrum, Vol. 38, No. 2, 2001.
[45]Hugh Rudnick, Jorge A. Donoso, "Integration of Price Cap and Yardstick Competition Schemes in Electrical Distribution Regulation," IEEE Trans. on Power Systems, vol. 15, No. 4, pp. 1428-1433, Nov. 2000.
[46]Yong T. Yoo, Marijia D. Ilic, "Price-Cap Regulation for Transmission: Objectives and Tariffs," IEEE, vol. 16, No. 9, pp. 1052-1057, 2001.
[47]Shams N. Martin S, Baughman L, "Reliability differentiated pricing of spinning reserve," IEEE on Power Systems, Vol. 10, No. 3, 1995.
[48]Alvarado F, "The Stability of Power System Markets," IEEE Trans on PAS, Vol. 14, No. 2, 1999.
[2] 于尔铿，韩放，谢开 等著．电力市场．北京：中国电力出版社，1998．4
[3] 姚建刚，章建，银车来 著．电力市场运营及其软件开发．北京：中国电力出版社，2002
[4] 黄海波 著．电信管制—从监督垄断到鼓励竞争．北京：经济科学出版社，2002．12
[5] 江曙霞 著．银行监管理论与资本充足性管制．北京：中国发展出版社，1994
[6] 言茂松(Yan Maosong)．当量电价与融资重组(Electricity Value Equivalent Pricing and Restructuring)[M]．北京：中国电力出版社(Beijing: China Electric Power Press),2000
[7] 国务院办公厅秘书局．电力体制改革方案．北京，2002．3．5
[8] 保罗·萨谬尔森，威廉·诺德毫斯 著，萧琛 等译．微观经济学(第十六版)．北京：华夏出版社，2002
[9] 坎贝尔·麦克康耐尔，斯坦利·布鲁伊 著，陈晓 等译．经济学：原理、问题和政策(下册)．北京大学出版社／科文(香港)初版有限公司，2000
[10] 范家骧，高天虹 著．西方经济学．北京：中国经济出版社，1992
[11] 曾鸣(Zheng Ming)．电力市场理论及其应用(Theory and Application of Electricity Market)[M]．北京：中国电力出版社(Beijing: China Electric Power Press),2000
[12] 胡代光，周安军 编著．当代国外学者论市场经济．北京：商务印书馆，1996
[13] 胡代光，胡企林 编著．现代市场经济的理论与实践．北京：商务印书馆，1996
[14] 高宏业 主编．西方经济学(上册 微观部分)．北京：中国经济出版社，1998．12，第4次印刷
[15] 樊纲．市场机制与经济效率．上海三联书店，上海人民出版社，1997
[16] Zhejiang university. Preprint proceedings of the 1st U.S.-China symposium on CO_2 emission control science & technology[R].Hangzhou: Zhejiang University,2001.
[17] 中国科学院可持续发展研究组．1999中国可持续发展战略报告．北京：科学出版社，1999．
[18] 史玉波 主编．英国新电力交易制度．国家经贸委电力司，2001．6
[19] 王志轩．中国火电厂二氧化硫排放控制综合对策建议[J]．中国电力，2002，26(1)：60-63．
[20]Wolfram Krewitt．德国和欧洲矿物燃料发电的环境损害代价[J]．国际电力，2000，4(3)：54-61．
[21]冯飞．垄断性产业改革与重组的理论与规制研究．国务院发展研究中心，2002
[22]王俊豪(Wang Junhao)．英国政府管制体制改革研究(Study on the Regulatory Reform of British Government)[M]．上海：上海三联书店(Shanghai: Joint Publishing(Shanghai)Company)，1998
[23]王俊豪 等著．中国自然垄断经营产品管制价格形成机制研究．北京：中国经济出版社，2002
[24]Z.Yu,F.T.Sparrow,G.Nderitu,et al.A Large Oligopoly Competition Model with an Application to the Midwest Electricity Markets[J]. IEEE Trans on Power Systems,2001,16(9): 1040～1045
[25]朱成章(Zhu Chengzhang)．美国加州电力危机的启示(Lessons and Revelations from the Power Supply Crisis in California) [J]．华东电力(East China Electric Power)，2001，29(4)：47～52
[26]http://www.iso-ne.com/market_info/Selected_date.html
[27]文福栓(Wen Fushuan)，David A K.加州电力市场失败的教训(Lessons from Electricity Market Failure in California)[J]．电力系统自动化 (Automation of Electric Power Systems)，2001，25(5)：1～5
[28]魏萍，文福栓，倪以信，等(Wei Ping,Wen Fushuan,Ni Yixin,et al)．三峡电力市场的输电定价与阻塞管理(Transmission Tarrifs and Congestion Management for Three Gorges Electricity Market) [J]．电力系统自动化(Automation of Electric Power Systems)，2002，26(1)：7～13
[29]浙江省电力公司(Zhejiang Provincial Electric Power Company)．浙江电网发电市场规则(Zhejiang Provincial Power Market Management Rules)[M]．2000
[30]曾鸣 主编(Zheng Ming,et al)．电力工业商业化运营与电力市场(Electric Power Industry Commercialization and Electricity Market)[M]．北京：中国电力出版社(Beijing: China Electric Power Press)，1999
[31][法]让·雅克·拉丰，让·泰勒尔(Jean-Jacques Laffont,Jean Tirole)．电信竞争(Competition in Telecommunications)[M]．北京：人民邮电出版社(Beijing: People's Posts & Telecommunications Publishing House)，2001
[32]王永干，刘宝华 主编(Wang Yonggan,Liu BaoHua)．国外电力工业体制与改革(Systems and Reforms of Foreign Power Industries)[M]．北京：中国电力出版社(Beijing: China Electric Power Press)，2001
[33]国家电力公司(China State Power)．电力工业“九五”总结(The ninth five-year Summary of China Power Industry)[M]．北京：中国电力出版社(Beijing: China Electric Power Press)，2002
[34]戴彦，韩祯祥，娄为(Dai Yan,Han Zhenxiang,Lou Wei)．浙江电力市场竞价分析(Price Bidding Analysis in Zhejiang Electricity Market)[J]．电力系统自动化(Automation of Electric Power Systems)，2002，26(9)
[35]王锡凡(Wang Xifan)．电力系统规划基础(Fundamental of Power System Planning)[M]．北京：水利电力出版社(Beijing: China Water Resource & Electric Power Press)，1994
[36]田国强(Tian Guoqiang)．激励、信息与经济机制(Incentive,Information and Economic Mechanism)[M]．北京：北京大学出版社(Beijing: Peking University Press)，2000
[37]尹殿喜．广东地区燃煤电厂脱硫现状及经济分析[J]．电力技术经济，2001．(6)：32-34．
[38]陈德放．电站锅炉脱硫方法的技术经济分析[J]．能源研究与信息，2000，16(4)：28-36．
[39]王金南，杨金田，曹东，等．中国排污收费标准体系的改革设计[J]．环境科学研究，1998，11(5)：1-7．
[40]张建民．我国发展替代能源的经济环境成本分析[J]．中国能源，1996，(2)：29～31．
[41]中国电机工程学会燃气轮机发电专业委员会．1998年年会论文集．
[42]何昌群，陈兆庆，张建平．华东电网利用天然气发电的前景分析[J]．华东电力，1999，27(6)：1～3
[43]浙江省经济贸易委员会．建立浙江省电力监管机构研究报告．2002．9．
[44]Makansi J, "California's electricity crisis rooted in many failings," IEEE Spectrum, Vol. 38, No. 2, 2001.
[45]Hugh Rudnick, Jorge A. Donoso, "Integration of Price Cap and Yardstick Competition Schemes in Electrical Distribution Regulation," IEEE Trans. on Power Systems, vol. 15, No. 4, pp. 1428-1433, Nov. 2000.
[46]Yong T. Yoo, Marijia D. Ilic, "Price-Cap Regulation for Transmission: Objectives and Tariffs," IEEE, vol. 16, No. 9, pp. 1052-1057, 2001.
[47]Shams N. Martin S, Baughman L, "Reliability differentiated pricing of spinning reserve," IEEE on Power Systems, Vol. 10, No. 3, 1995.
[48]Alvarado F, "The Stability of Power System Markets," IEEE Trans on PAS, Vol. 14, No. 2, 1999.