英国输配电业务RIIO规制模式研究:基本框架、运行绩效与持续优化  

Research On RIIO Regulation Model of UK’s Power Transmission and Distribution Industry:Basic Framework,Operational Performance and Continuous Optimization

作　　者：李宏舟[1] 朱丽君 Hongzhou Li;Lijun Zhu

机构地区：[1]东北财经大学产业组织与企业组织研究中心,辽宁省大连市116025 [2]东北财经大学经济与社会发展研究院,辽宁省大连市116025

出　　处：《产业经济评论（山东）》2022年第3期117-151,共35页Review of Industrial Economics

基　　金：李宏舟主持的国家自然科学基金面上项目“效率变革视阈下输配电成本的溯源识别、实证测度与监管进路”(72173016);东北财经大学科研平台研究能力提升专项“日本电力市场体系研究:内在逻辑、运行模式与发展路径”(DUFE-KYPT2022005)的阶段性成果

摘　　要：产出导向型RIIO规制模式的核心是根据利益相关者的意见设定电网企业输配电业务的产出类型和相应的激励约束机制,以此对电网企业的行为和收入进行监管。英国在实施RIIO-1规制期间出现了电网企业产出绩效明显高于监管机构设定的标准、实际支出普遍低于准许支出、电网企业股东收益率偏高等问题。为此英国监管机构提出了在RIIO-2规制期间完善总成本支出激励机制、调整产出激励机制、调整风险应对机制等具体措施。本文同时认为我国现行输配电成本监审和准许收入设定中缺乏有效破解信息不对称的机制设计、缺乏基于绩效导向的激励约束机制,因此结合激励性规制理论和英国的监管实践,提出了通过模拟市场竞争优化定价机制和以系统观念协同推进输配电监管制度改革的建议。The core of the output-oriented RIIO regulatory model is to determine the output type of the transmission and distribution business of the grid enterprise and the corresponding incentive and restraining mechanism according to the opinions of stakeholders,so as to supervise the behavior and income of the grid enterprise.During the implementation of the first round of RIIO(RIIO-1)regulatory framework in the United Kingdom,the output performance of power grid enterprises is significantly higher than the standard set by the regulator,the actual expenditure is generally lower than the permitted expenditure,and the shareholder yield of the grid enterprise is high.For this reason,the regulatory authority in UK has proposed specific measures such as improving the total cost expenditure incentive mechanism,adjusting the output incentive mechanism,and adjusting the risk response mechanism during the second round of RIIO(RIIO-2)regulatory framework.At the same time,this paper holds that the current transmission and distribution cost supervision and permitted income setting in China lacks the effective mechanism design to crack information asymmetry,performance-oriented incentive and restraining mechanism is absent,too.This paper finally combined with incentive regulation theory and British regulatory practice,put forward the proposal to optimize the pricing mechanism through simulated market competition and promote the reform of the transmission and distribution regulatory system with system concepts.

关 键 词：RIIO 产出导向型规制框架 准许成本 合理收益 

分 类 号：TM72[电气工程—电力系统及自动化] F416.61[经济管理—产业经济]