中國(guó)儲(chǔ)能網(wǎng)訊：在澳大利亞電力市場(chǎng)體系中，市場(chǎng)監(jiān)管規(guī)則是保障市場(chǎng)機(jī)制發(fā)揮有效作用的重要組成部分。出于其完整性和嚴(yán)謹(jǐn)性需要，監(jiān)管規(guī)則大都篇幅冗長(zhǎng)、晦澀難懂。為了幫助更多的市場(chǎng)主體了解市場(chǎng)監(jiān)管規(guī)則，澳大利亞能監(jiān)會(huì)在其網(wǎng)站上通常刊登提綱挈領(lǐng)、闡述要義的總結(jié)性短文，這些短小、精干的文章可以幫助國(guó)內(nèi)讀者基本了解澳大利亞電力市場(chǎng)法規(guī)的作用。因而我們將世界各國(guó)電力市場(chǎng)監(jiān)管機(jī)構(gòu)和市場(chǎng)運(yùn)營(yíng)機(jī)構(gòu)發(fā)表的這種風(fēng)格的文章收集起來，以中英對(duì)照的形式把原文和譯文提供給讀者，形成系列，希冀對(duì)電改有所幫助。我們也希望認(rèn)同我們想法的專家積極踴躍投稿。
本文資料來自澳大利亞能監(jiān)會(huì)網(wǎng)站。澳大利亞對(duì)輸電網(wǎng)公司和配電網(wǎng)公司實(shí)行經(jīng)濟(jì)規(guī)制監(jiān)管，企業(yè)的支出測(cè)算是能監(jiān)會(huì)核準(zhǔn)其準(zhǔn)許收入的基礎(chǔ)。了解澳大利亞能監(jiān)會(huì)電網(wǎng)支出測(cè)算的評(píng)估的辦法對(duì)國(guó)內(nèi)輸配電價(jià)核定和電網(wǎng)企業(yè)成本監(jiān)審等改革措施的實(shí)施都有借鑒意義。
什么是支出測(cè)算評(píng)估？
Network businesses plan the expenditure they need to provide a safe and reliable supply of electricity for consumers over the next five year period. Businesses then put these expenditure plans to us as part of a revenue proposal. We then assess this revenue proposal to determine whether the total operating and capital expenditure (opex and capex) forecasts reasonably reflect the efficient costs of providing a safe and reliable supply of electricity. If we do not consider the proposal is reasonable, we must replace it with our own forecast of efficient costs.
電網(wǎng)企業(yè)編制保障安全可靠供送電所需支出的五年測(cè)算，并將該測(cè)算作為企業(yè)收入預(yù)算申報(bào)的一部分提交給能監(jiān)會(huì)。澳大利亞能監(jiān)會(huì)評(píng)估電網(wǎng)企業(yè)收入申報(bào)，決定對(duì)這些運(yùn)營(yíng)性支出（opex）與資本性支出（capex）總測(cè)算是否能合理反映安全可靠供電所需的有效成本。當(dāng)能監(jiān)會(huì)不認(rèn)同該收入申報(bào)合理性時(shí)，就必須采用能監(jiān)會(huì)自己的有效成本測(cè)算來取代電網(wǎng)企業(yè)的申報(bào)測(cè)算。
支出測(cè)算評(píng)估指南有哪些內(nèi)容？
Our expenditure forecast assessment guideline sets out how we assess a business’s revenue proposal and how we determine a substitute forecast when required. The assessment techniques we use are underpinned by a nationally consistent framework for network businesses to report information to us. This consistent approach to information reporting lets us compare the costs of conducting similar activities across networks. The guideline explains what data we need and why, when we intend to collect it and how we will collect it.
能監(jiān)會(huì)頒布的支出測(cè)算評(píng)估指南展示了能監(jiān)會(huì)如何評(píng)估電網(wǎng)企業(yè)的申報(bào)收入及如何在需要時(shí)決定替代測(cè)算。能監(jiān)會(huì)所使用的評(píng)估方法是基于全國(guó)統(tǒng)一的電網(wǎng)企業(yè)提交信息方式。這樣，能監(jiān)會(huì)能夠?qū)ο嗨茦I(yè)務(wù)的成本進(jìn)行比較。指南解釋了能監(jiān)會(huì)需要的信息內(nèi)容、收集的目的與時(shí)間以及信息收集的方式。
Our assessment approaches are rigorous, transparent and cost effective. Businesses need to invest in electricity networks to provide a safe and reliable supply, but we’ll focus on the efficiency of that expenditure so consumers pay no more than necessary.
能監(jiān)會(huì)的評(píng)估方法是嚴(yán)格的、公開透明的、有成本效率的。電網(wǎng)企業(yè)需要投資電網(wǎng)以保障安全可靠的供電，而能監(jiān)會(huì)關(guān)注投資效益，確保消費(fèi)者避免為不必要的支出買單。
如何制定有效的支出測(cè)算？
To assess a business’s revenue proposal, we apply a range of techniques that typically involve comparing the proposal to estimates we develop from relevant information sources. Where these techniques indicate the expenditures are not efficient, we will set our own efficient forecast.
在評(píng)估電網(wǎng)企業(yè)的申報(bào)收入時(shí)，能監(jiān)會(huì)通常采用一系列方法將申報(bào)收入與能監(jiān)會(huì)自己利用有關(guān)信息來源所做的估算進(jìn)行比較，當(dāng)比較顯示申報(bào)的支出不是有效率時(shí)，能監(jiān)會(huì)將使用自己的有效率測(cè)算。
如何評(píng)估支出測(cè)算？
Our general approach is to assess the efficiency of a network business and determine whether previous spending is an appropriate starting point. If a business is efficient and has been responding to our expenditure incentives measures, its past expenditure is often a good indicator of how much it will need to spend in future.
能監(jiān)會(huì)通常所用的法是評(píng)估電網(wǎng)業(yè)務(wù)的效率，確定前一時(shí)期的支出是否可作為適當(dāng)?shù)幕鶞?zhǔn)點(diǎn)。 如果一個(gè)企業(yè)是高效的，并且已經(jīng)響應(yīng)監(jiān)管的支出激勵(lì)措施，其前一時(shí)期的支出通常是未來所需支出的很好指標(biāo)。
Our expenditure incentives measures work together with our techniques for assessing revenue proposals. More information on these incentives is in our expenditure incentives factsheet.
值得強(qiáng)調(diào)的是監(jiān)管的支出激勵(lì)措施和評(píng)估申報(bào)收入的方法是相配套的。 有關(guān)支出激勵(lì)措施的更多信息請(qǐng)參見澳大利亞能監(jiān)會(huì)的支出激勵(lì)指南。
We use our assessment techniques to test the efficiency of a network business’s expenditure. These techniques include:
economic benchmarking—productivity measures used to assess a business’s efficiency overall.
category level analysis—comparing how well a business delivers services for a range of individual activities and functions, including over time and with its peers.
predictive modelling—statistical analysis to predict future spending needs, currently used to assess the need for upgrades or replacement as demand changes (augmentation capex, or augex) and expenditure needed to replace aging assets (replacement capex, or repex).
trend analysis—forecasting future expenditure based on historical information, particularly useful for opex where spending is largely recurrent and predictable
cost benefit analysis—assessing whether the business has chosen spending options that reflect the best value for money.
project review—a detailed engineering examination of specific proposed projects or programs.
methodology review—examining processes, assumptions, inputs and models that the business used to develop its proposal.
governance and policy review—examining the business’s strategic planning, risk management, asset management and prioritisation.
能監(jiān)會(huì)使用多種評(píng)估方法來判斷電網(wǎng)業(yè)務(wù)支出的效率，其中包括：
經(jīng)濟(jì)基準(zhǔn) - 使用生產(chǎn)率度量評(píng)估業(yè)務(wù)的整體效率。
歸集分析 - 對(duì)電網(wǎng)企業(yè)的一系列單項(xiàng)業(yè)務(wù)和職能所提供的服務(wù)進(jìn)行對(duì)照比較，包括在時(shí)間上以及與同行的對(duì)比。
預(yù)測(cè)建模 - 通過統(tǒng)計(jì)分析預(yù)測(cè)未來支出需要。這種方法目前用于評(píng)估因用電負(fù)荷變化需要升級(jí)換代而帶來的支出（augex）需求與替換老舊資產(chǎn)所需支出（repex）。
趨勢(shì)分析 – 根據(jù)歷史數(shù)據(jù)預(yù)測(cè)未來支出。這種方法特別地適用于運(yùn)營(yíng)支出（opex）預(yù)測(cè)，因?yàn)檫\(yùn)營(yíng)支出在很大程度上具有循環(huán)性和可預(yù)測(cè)性。
成本效益分析 - 評(píng)估電網(wǎng)企業(yè)是否選擇了具有最佳性價(jià)比的支出方案。
項(xiàng)目評(píng)審 - 對(duì)特定項(xiàng)目或計(jì)劃開展詳細(xì)的技術(shù)審查。
方法審查 - 檢查電網(wǎng)企業(yè)用以編制申報(bào)文件的流程、假設(shè)、輸入數(shù)據(jù)和模型。
管治和政策評(píng)審 - 審查電網(wǎng)企業(yè)的戰(zhàn)略規(guī)劃、風(fēng)險(xiǎn)管理、資產(chǎn)管理及優(yōu)先目標(biāo)。
The guideline sets out our principles for guiding our reliance on assessment techniques and a business’s forecasting approach. These include validity, accuracy and reliability, parsimony, robustness, transparency and fitness for purpose.
該指南闡明了能監(jiān)會(huì)在依賴評(píng)估方法和電網(wǎng)企業(yè)預(yù)測(cè)方法時(shí)的指導(dǎo)原則，其中包括有效性、準(zhǔn)確性、可靠性、簡(jiǎn)約性、魯棒性、透明度和適用性。
如何評(píng)估資本支出申報(bào)？
We will assess businesses’ capex proposals by considering the need for the expenditure, and the efficiency of the proposed projects. This is likely to include a detailed consideration of the demand forecast and the timing, scope, scale and level of expenditure associated with proposed projects.
在評(píng)估資本金支出時(shí)，能監(jiān)會(huì)根據(jù)支出的需要和申建項(xiàng)目的效率來評(píng)估電網(wǎng)申報(bào)的資本金支出，可能詳細(xì)地考慮用電需求預(yù)測(cè)和與擬議項(xiàng)目相關(guān)的支出的時(shí)間、范圍、規(guī)模和水平。
Capex will be assessed in four subcategories. Repex and augex were described above. We’ll also consider capex forecasts associated with connections and other customer driven work and non-network capex (for example IT equipment). We will apply different assessment techniques to each subcategory. For example, we may benchmark the costs of connecting a customer across networks. We also use these assessment techniques to review past capex as set out in our capex incentives guideline.
資本金支出分成四個(gè)子類別接受評(píng)估。前面已描述了 repex和augex，能監(jiān)會(huì)還考慮與電網(wǎng)接入和其它客戶驅(qū)動(dòng)的業(yè)務(wù)及非電網(wǎng)的支出（例如IT設(shè)備）相關(guān)的資本金支出預(yù)測(cè)。 能監(jiān)會(huì)對(duì)每個(gè)子類別應(yīng)用不同的評(píng)估方法。例如可以按照基準(zhǔn)對(duì)標(biāo)電網(wǎng)接入客戶的成本，還會(huì)使用不同評(píng)估技術(shù)復(fù)查過去的資本金支出（詳見澳大利亞能監(jiān)會(huì)的資本金支出激勵(lì)指南）。
如何評(píng)估運(yùn)營(yíng)支出申報(bào)？
As opex is largely recurrent and predictable, we start with the actual opex a business spends in one year of the regulatory period to forecast its opex needs for the next regulatory period. We refer to this year as the ‘base year’.
由于運(yùn)營(yíng)支出在很大程度上具有循環(huán)性和可預(yù)測(cè)性，能監(jiān)會(huì)以電網(wǎng)企業(yè)在監(jiān)管期內(nèi)某年度（該年稱為“基準(zhǔn)年”）的實(shí)際運(yùn)營(yíng)支出為起點(diǎn)，來預(yù)測(cè)其未來監(jiān)管時(shí)期的運(yùn)營(yíng)支出需求。
We will use our assessment techniques to determine whether the base year is efficient. Once the base year is set, we apply a rate of change to account for changes in prices, productivity and the outputs the business is required to deliver. If our assessment shows that the base year expenditure is not efficient, we may adjust it or substitute an appropriate amount.
能監(jiān)會(huì)使用評(píng)估技術(shù)來確定基準(zhǔn)年是否是滿足有效率的條件的年度。一旦設(shè)定了基準(zhǔn)年，能監(jiān)會(huì)使用變化率來考慮計(jì)入價(jià)格、生產(chǎn)率和電網(wǎng)企業(yè)需要完成的產(chǎn)出等方面的變化。如果監(jiān)管評(píng)估顯示基準(zhǔn)年支出不是有效率，能監(jiān)會(huì)可能會(huì)進(jìn)行調(diào)整或替換為適當(dāng)?shù)臄?shù)額。
利益相關(guān)方如何參與？
When we receive a business’s revenue proposal we publish it on our website and invite stakeholders to comment. We use our assessment techniques to provide a high level ‘first pass’ preliminary view of the proposal. This is in the issues paper we publish before our formal draft decision. We then publish a draft decision that sets out, among other things, our views on the capex and opex forecasts. We will outline our reasons if we have substituted our own forecast in place of the original proposal. Stakeholders are invited to make submissions on our draft decision and the business can revise its proposal. After considering submissions and the revised proposal, we publish our final decision and analysis.
當(dāng)能監(jiān)會(huì)收到電網(wǎng)企業(yè)的收入申報(bào)后，將其發(fā)布在機(jī)構(gòu)的網(wǎng)站上，并邀請(qǐng)利益相關(guān)方發(fā)表評(píng)論。 能監(jiān)會(huì)運(yùn)用其評(píng)估方法對(duì)申報(bào)提出大體“初評(píng)”的初步觀點(diǎn)，并在發(fā)布正式監(jiān)審決定討論稿之前公布在初步意見文件中。然后，能監(jiān)會(huì)發(fā)布一份監(jiān)審決定討論稿，其中列出對(duì)資本金支出和運(yùn)營(yíng)支出預(yù)測(cè)的看法。 如果能監(jiān)會(huì)使用自己的預(yù)測(cè)替代原始申報(bào)的話，要概述其理由。 能監(jiān)會(huì)還會(huì)邀請(qǐng)利益相關(guān)方就決定的討論稿提交意見，電網(wǎng)企業(yè)可以修改其申報(bào)報(bào)告。 在考慮了所提交的意見和修改后的收入申報(bào)后，能監(jiān)會(huì)發(fā)布最終的決定及分析工作。
We are also publishing annual benchmarking reports from September 2014. These provide regular information on the relative efficiency of network businesses. Public scrutiny of network businesses’ performance in these reports encourages businesses to improve, and identifies areas we are likely to target in assessing revenue proposals.
能監(jiān)會(huì)還將發(fā)布年度基準(zhǔn)報(bào)告。這些報(bào)告定期提供電網(wǎng)企業(yè)的相對(duì)的業(yè)務(wù)效率信息。 這些報(bào)告對(duì)電網(wǎng)企業(yè)績(jī)效的公開審查會(huì)鼓勵(lì)企業(yè)進(jìn)行改進(jìn)，并指出在評(píng)估收入時(shí)能監(jiān)會(huì)可能注意的方面。
