中國儲能網(wǎng)訊：在澳大利亞電力市場體系中，市場監(jiān)管規(guī)則是保障市場機制發(fā)揮有效作用的重要組成部分。出于其完整性和嚴謹性需要，監(jiān)管規(guī)則大都篇幅冗長、晦澀難懂。為了幫助更多的市場主體了解市場監(jiān)管規(guī)則，澳大利亞能監(jiān)會在其網(wǎng)站上通?？翘峋V挈領、闡述要義的總結性短文，這些短小、精干的文章可以幫助國內讀者基本了解澳大利亞電力市場法規(guī)的作用。因而我們將世界各國電力市場監(jiān)管機構和市場運營機構發(fā)表的這種風格的文章收集起來，以中英對照的形式把原文和譯文提供給讀者，形成系列，希冀對電改有所幫助。我們也希望認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)會網(wǎng)站。澳大利亞對輸電網(wǎng)公司和配電網(wǎng)公司實行經(jīng)濟規(guī)制監(jiān)管，企業(yè)的支出測算是能監(jiān)會核準其準許收入的基礎。了解澳大利亞能監(jiān)會電網(wǎng)支出測算的評估的辦法對國內輸配電價核定和電網(wǎng)企業(yè)成本監(jiān)審等改革措施的實施都有借鑒意義。
什么是支出測算評估？
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算，并將該測算作為企業(yè)收入預算申報的一部分提交給能監(jiān)會。澳大利亞能監(jiān)會評估電網(wǎng)企業(yè)收入申報，決定對這些運營性支出（opex）與資本性支出（capex）總測算是否能合理反映安全可靠供電所需的有效成本。當能監(jiān)會不認同該收入申報合理性時，就必須采用能監(jiān)會自己的有效成本測算來取代電網(wǎng)企業(yè)的申報測算。
支出測算評估指南有哪些內容？
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)會頒布的支出測算評估指南展示了能監(jiān)會如何評估電網(wǎng)企業(yè)的申報收入及如何在需要時決定替代測算。能監(jiān)會所使用的評估方法是基于全國統(tǒng)一的電網(wǎng)企業(yè)提交信息方式。這樣，能監(jiān)會能夠對相似業(yè)務的成本進行比較。指南解釋了能監(jiān)會需要的信息內容、收集的目的與時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)會的評估方法是嚴格的、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)會關注投資效益，確保消費者避免為不必要的支出買單。
如何制定有效的支出測算？
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.
在評估電網(wǎng)企業(yè)的申報收入時，能監(jiān)會通常采用一系列方法將申報收入與能監(jiān)會自己利用有關信息來源所做的估算進行比較，當比較顯示申報的支出不是有效率時，能監(jiān)會將使用自己的有效率測算。
如何評估支出測算？
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)會通常所用的法是評估電網(wǎng)業(yè)務的效率，確定前一時期的支出是否可作為適當?shù)幕鶞庶c。 如果一個企業(yè)是高效的，并且已經(jīng)響應監(jiān)管的支出激勵措施，其前一時期的支出通常是未來所需支出的很好指標。
Our expenditure incentives measures work together with our techniques for assessing revenue proposals. More information on these incentives is in our expenditure incentives factsheet.
值得強調的是監(jiān)管的支出激勵措施和評估申報收入的方法是相配套的。 有關支出激勵措施的更多信息請參見澳大利亞能監(jiān)會的支出激勵指南。
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)會使用多種評估方法來判斷電網(wǎng)業(yè)務支出的效率，其中包括：
經(jīng)濟基準 - 使用生產(chǎn)率度量評估業(yè)務的整體效率。
歸集分析 - 對電網(wǎng)企業(yè)的一系列單項業(yè)務和職能所提供的服務進行對照比較，包括在時間上以及與同行的對比。
預測建模 - 通過統(tǒng)計分析預測未來支出需要。這種方法目前用于評估因用電負荷變化需要升級換代而帶來的支出（augex）需求與替換老舊資產(chǎn)所需支出（repex）。
趨勢分析 – 根據(jù)歷史數(shù)據(jù)預測未來支出。這種方法特別地適用于運營支出（opex）預測，因為運營支出在很大程度上具有循環(huán)性和可預測性。
成本效益分析 - 評估電網(wǎng)企業(yè)是否選擇了具有最佳性價比的支出方案。
項目評審 - 對特定項目或計劃開展詳細的技術審查。
方法審查 - 檢查電網(wǎng)企業(yè)用以編制申報文件的流程、假設、輸入數(shù)據(jù)和模型。
管治和政策評審 - 審查電網(wǎng)企業(yè)的戰(zhàn)略規(guī)劃、風險管理、資產(chǎn)管理及優(yōu)先目標。
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)會在依賴評估方法和電網(wǎng)企業(yè)預測方法時的指導原則，其中包括有效性、準確性、可靠性、簡約性、魯棒性、透明度和適用性。
如何評估資本支出申報？
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.
在評估資本金支出時，能監(jiān)會根據(jù)支出的需要和申建項目的效率來評估電網(wǎng)申報的資本金支出，可能詳細地考慮用電需求預測和與擬議項目相關的支出的時間、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子類別接受評估。前面已描述了 repex和augex，能監(jiān)會還考慮與電網(wǎng)接入和其它客戶驅動的業(yè)務及非電網(wǎng)的支出（例如IT設備）相關的資本金支出預測。 能監(jiān)會對每個子類別應用不同的評估方法。例如可以按照基準對標電網(wǎng)接入客戶的成本，還會使用不同評估技術復查過去的資本金支出（詳見澳大利亞能監(jiān)會的資本金支出激勵指南）。
如何評估運營支出申報？
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’.
由于運營支出在很大程度上具有循環(huán)性和可預測性，能監(jiān)會以電網(wǎng)企業(yè)在監(jiān)管期內某年度（該年稱為“基準年”）的實際運營支出為起點，來預測其未來監(jiān)管時期的運營支出需求。
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)會使用評估技術來確定基準年是否是滿足有效率的條件的年度。一旦設定了基準年，能監(jiān)會使用變化率來考慮計入價格、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)管評估顯示基準年支出不是有效率，能監(jiān)會可能會進行調整或替換為適當?shù)臄?shù)額。
利益相關方如何參與？
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.
當能監(jiān)會收到電網(wǎng)企業(yè)的收入申報后，將其發(fā)布在機構的網(wǎng)站上，并邀請利益相關方發(fā)表評論。 能監(jiān)會運用其評估方法對申報提出大體“初評”的初步觀點，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)會發(fā)布一份監(jiān)審決定討論稿，其中列出對資本金支出和運營支出預測的看法。 如果能監(jiān)會使用自己的預測替代原始申報的話，要概述其理由。 能監(jiān)會還會邀請利益相關方就決定的討論稿提交意見，電網(wǎng)企業(yè)可以修改其申報報告。 在考慮了所提交的意見和修改后的收入申報后，能監(jiān)會發(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)會還將發(fā)布年度基準報告。這些報告定期提供電網(wǎng)企業(yè)的相對的業(yè)務效率信息。 這些報告對電網(wǎng)企業(yè)績效的公開審查會鼓勵企業(yè)進行改進，并指出在評估收入時能監(jiān)會可能注意的方面。
