负荷率电价的理论依据、计算方法与政策选择
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摘要
负荷率是电力生产能力利用程度的指标。我国电力工业在国民经济持续高速发展过程中发挥了重要作用，但是，同时也产生了电力设施利用率低即负荷率低，资源配置效率低等问题。2003年国家《销售电价改革方案》中就提出了根据用户负荷特性进行电价改革的设想。2012年国家开始研究制定考虑负荷率因素的销售电价即负荷率电价实施办法，以此推动电力工业和国民经济从粗放到集约发展的转型。本文以我国负荷率电价改革为背景，在总结国外负荷率电价研究成果与政策实践的基础上，运用管制经济理论及其它相关理论，对负荷率电价的理论依据、计算方法和具体政策等问题进行了系统的分析和研究，为推进我国负荷率电价的改革和负荷率电价制度体系的完善奠定了理论基础。
本文研究内容分三个部分共八个方面，第一部分包括提出负荷率电价问题与国内外文献综述两个方面。主要根据国家电价改革任务提出了负荷率电价问题及研究任务，然后从经济理论与政策分析的角度，综合分析和评价了国内外研究现状与应用情况。第二部分由第二章组成，虽然篇幅不大，但是，对电价问题研究具有基础和指导意义。主要针对目前电价研究存在的问题，设计和提出电价研究包括负荷率电价研究的职能、理论、方法与政策的四要素分析范式，同时建立了以负荷率电价研究为例的电价职能、理论、方法和政策的理论体系或知识平台。第三部分是负荷率电价的四个专题研究，在结构上又可以分成两块，第一块是负荷率对包括用户用电成本在内的各种成本的影响及相应的分摊办法；第二块包括三个方面，是负荷率电价的具体研究，首先对负荷率电价研究的内容进行总体设计；然后，提出了具体的计算模型；最后，根据负荷率电价政策执行的特点与要求，建立了可选择负荷率电价的模型，并通过模拟计算证明了相关结论；三个方面本身有先后逻辑顺序关系，同时也以负荷率影响成本的机理为基础，并遵循本文提出的四要素分析范式。最后，在结论与展望中，本文在总结相关结论的基础上，对需要进一步研究的问题进行了阐述。
本文完成的主要研究工作有：（1）提出了电价研究的职能、理论、方法和政策的四要素分析范式，并结合负荷率电价进行了详细分析，构建了负荷率电价甚至一般电价问题的经济学研究的基本框架。（2）提出和设计了负荷率电价的理论依据及制定方法组合。本文根据电价的四种职能，提出了政府管制条件下电价政策制定与执行中需要组合使用的四种经济理论与方法；既对理论与方法根据电价改革与政策实践的要求进行了评价性分析，也根据负荷率电价研究的需要提出了理论与方法的使用条件与效果，把负荷率电价问题建立在更坚实的理论基础之上。（3）指出了负荷率影响成本的机理。建立了用户负荷率、同时率与系统负荷率三者之间的耦合关系模型，对基于负荷率（包括同时率）用电成本分摊办法特别是容量成本分摊办法进行了比较分析，对基于BARY曲线的分摊方法进行了修改和完善。（4）负荷率电价政策的构成及其特征描述。建立了负荷率电价的社会福利优化模型，在对国外负荷率电价政策进行比较研究的基础上，根据我国电价政策实际，对负荷率电价政策的经济理论原因，负荷率电价政策的主要内容及与其它电价的关系等进行了分析和界定。（5）提出了分步最优的长期边际成本定价模型。在总结国外经验的基础上，对具有规模经济效益的管制定价模型在拉姆齐定价的基础上进行了修改和完善，分步最优长期边际成本定价方法理论上属于次最优定价，弥补了拉姆齐定价难操作的缺陷。（6）建立了可选择负荷率电价模型。反映负荷率电价的特点和要求，建立了可选择负荷率电价模型，通过模拟计算证明了模型和结论的有效性。
负荷率电价是一个新课题，国内外有关负荷率电价的经济理论研究成果较少。本文以负荷率电价为对象，侧重于理论和方法研究，是一项系统创新成果。主要创新有三个方面。（1）国内外电价研究缺乏基本的分析范式，本文以负荷率电价为例提出的职能、理论、方法与政策四要素分析范式反映了电价研究的理论逻辑与现实需要，为电价研究和政策分析提供了统一的研究规范和知识平台。其中关于负荷率电价的经济理论与方法的结构和过程组合的分析结论，既是目前电价研究与管理工作的理论总结，也突破了传统的单向选择思维，具有理论指导和政策应用价值。（2）提出了负荷率电价和其它电价制定的分步最优长期边际成本定价方法。针对拉姆齐电价因为缺乏用户的价格需求弹性而难以采用的现实问题，在总结法国等国长期边际成本定价实践的基础上，本文提出了先根据长期边际成本定价，然后将测算得出的亏损平均分摊到边际成本定价的结果上，以经过亏损项调整的边际价格作为实际执行电价的定价方法，这种定价在保证企业不亏损前提下尽可能地实现了资源最优配置，同时操作简单。（3）指出了可选择负荷率电价的实现方式。根据机制设计理论提出了可选择负荷率电价的模型；高负荷率用户执行高容量电价和低电量电价，低负荷率用户执行低电量电价和高电量电价，由用户自己选择电价方案。模拟计算表明，用户的理性选择和用电行为调整将提高用户和社会福利，实现帕累托优化。
Load factor is an indicator of the degree of utilization of production capacity.China's power industry has played an important role in the process of sustained andrapid development of the national economy. But the power industry also produced thelow utilization factor of power facilities such as low load factors and low efficiencyof resource configuration.'Retail electricity price reform program' which was markedin2003by government proposed a tariff reform envisage under user loadcharacteristics. In2012the country began to develop into retail electricity tariff whichis considering load factor to promote the power industry and national economy intransition from extensive to intensive development. Under the background of loadfactor electricity price reform in China, this paper summarizes the research and policypractice of the foreign load price electricity tariff, using the management of economictheory and other related theories to systematically analyze and research theoreticalbasis, calculation methods and specific policy issues of load factor tariff to laid atheoretical foundation for China to promoting the load factor tariff reform andestablishing perfect load factor tariff system.
The research content of this paper is divided into three parts. The analysis will bepresented in the following eight aspects. The first part consists of two aspects of theproposing the load factor tariff issues and domestic and international literature review.This part is mainly based on the national tariff reform task to propose load factortariff issues and research tasks, and then comprehensively analysis and evaluate theresearch status and application from the point of view of economic theory and policyanalysis. The second part is from the second chapter. Although it has not the length ofan article, but has the foundation and guiding significance of tariff issues. This part isfocused on the problems of the tariff study, and designs and proposes a tariff researchparadigm including function, theory, method and policy of load factor tariff research.Meanwhile, this part also established tariff functions, theory, method and policysystem or knowledge platform which is based on load factor tariff research. The thirdpart includes four thematic studies of the load factor tariff，structurally which can bedivided into two modules. The first module is the load factor effect on cost includinguser electricity costs and cost-sharing arrangements. The second module is thespecific research of load factor tariff which includes three aspects. First, it designed the content of the load factor tariff; and then proposed specific computational model;finally, according to the characteristics and requirements of the load factor tariffpolicy implementation, established the optional load factor tariff model, throughsimulation to demonstrator the relevant conclusions. There is a logical orderrelationship in three aspects, which also affect the cost of loading factor mechanism,and follow the four-factor analysis paradigm presented in this paper. Finally, on thebasis of summarizing the conclusions, conclusions and outlook described the mainissues which need a further research.
The main research work of this paper:(1) proposing analysis paradigm of thefour elements of the load factor tariff: functions, theory, method and policy, and builda basic framework of load factor tariff even general tariff issues combined a detailedanalysis of the load factor tariff.(2) This paper proposed and designed a combinationof the theoretical basis and development methods of load factor tariff. Based on thefour function of the tariff, this paper proposed the four economic theory of tariffpolicy makers may use on tariff setting under government control, and acomprehensive analysis of the development methods under certain theory methods; Itmeans that we made an evaluative analysis of theory and methods according to thetariff reform policies practice requirements, conducted the conditions of use and theeffect of the theory and methods according to the needs of the load factor tariffresearch, build the load factor tariff problem on a more solid theoretical foundation.(3) We pointed out the mechanism that the loading factor affects the cost. Build thecoupling relationship model among user load factor, while factor and system loadfactor to modify and improve the electricity cost-sharing formula based on the loadingfactor (including simultaneous factor) in particular, the capacity cost-sharingarrangements.(4) The description of composition and characteristics of the loadfactor tariff policy. We established social welfare optimization model of the loadfactor tariff, on the basis of a comparative study on the foreign load factor tariffpolicy, according to the reality of China's tariff policy,we analysis and definite theeconomic theory reasons,main content of load factor tariff and its relationship withthe other tariffs policy.(5) We proposed a step-by-step optimal long-run marginal costpricing model. Modify and improve the control of economies of scale pricing modelunder Ramsey pricing on the basis of summing up the experience abroad, step-by-stepoptimal long-run marginal cost pricing method theoretically belong to the sub-optimalpricing and practice operability.(6) We established the optional load factor pricemodel. Reflect the characteristics and requirements of the load factor tariff, through the simulations prove the effectiveness of the model and conclusions.
Load factor tariff is a new topic. This paper talking about the load factor tarifffocuses on the theory and methods of research. This paper is a systematic innovation,mainly reflected in three aspects.(1) The study of tariff at home and abroad lack basiccontent format, this article based on the load factor tariff proposes the four-elementanalysis paradigm which includes functions, theory, method and policy reflecting thetheoretical logic and practical needs of the tariff study, and providing a unifiedknowledge platform for tariff research and policy analysis. Especially, the analysisconclusion for the structures and processes of the economic theory and method ofloading factor tariff is not only the summary of the tariff research and management atpresent, but also broke the traditional one-way choice thinking having value oftheoretical guidance and policy application.(2)This paper presents a long-termmarginal cost pricing method for the load factor tariff and other tariff. Aimed at thepractical problems of Ramsay electricity prices caused by the lack of price elasticitydemand, based on the summary of long-term marginal cost pricing practice in Franceand other countries, this article presents a three-step method of tariff pricing, as is,based on the long-term marginal cost pricing at first, then the estimated lossapportioning equally to the marginal cost pricing results, at last using the marginalprice adjusted after loss items as the actual execution tariff price. This method ofpricing is ensuring companies to achieve the optimal allocation of resource under thecondition of not losing and at the same time easy to operator.(3) This paper points outthe way to achieve the selectable load factor tariff. The selectable load factor tariffmodel based on mechanism design theory; high load factor users performhigh-capacity electricity prices and low electricity price, low load factor usersperform low capacity price and high load factor tariff, users can make their ownchoices. The simulation showed that the rational choice and electrical behaviormodification will improve users' welfare and social welfare, achieving the Paretooptimization.
本文研究内容分三个部分共八个方面，第一部分包括提出负荷率电价问题与国内外文献综述两个方面。主要根据国家电价改革任务提出了负荷率电价问题及研究任务，然后从经济理论与政策分析的角度，综合分析和评价了国内外研究现状与应用情况。第二部分由第二章组成，虽然篇幅不大，但是，对电价问题研究具有基础和指导意义。主要针对目前电价研究存在的问题，设计和提出电价研究包括负荷率电价研究的职能、理论、方法与政策的四要素分析范式，同时建立了以负荷率电价研究为例的电价职能、理论、方法和政策的理论体系或知识平台。第三部分是负荷率电价的四个专题研究，在结构上又可以分成两块，第一块是负荷率对包括用户用电成本在内的各种成本的影响及相应的分摊办法；第二块包括三个方面，是负荷率电价的具体研究，首先对负荷率电价研究的内容进行总体设计；然后，提出了具体的计算模型；最后，根据负荷率电价政策执行的特点与要求，建立了可选择负荷率电价的模型，并通过模拟计算证明了相关结论；三个方面本身有先后逻辑顺序关系，同时也以负荷率影响成本的机理为基础，并遵循本文提出的四要素分析范式。最后，在结论与展望中，本文在总结相关结论的基础上，对需要进一步研究的问题进行了阐述。
本文完成的主要研究工作有：（1）提出了电价研究的职能、理论、方法和政策的四要素分析范式，并结合负荷率电价进行了详细分析，构建了负荷率电价甚至一般电价问题的经济学研究的基本框架。（2）提出和设计了负荷率电价的理论依据及制定方法组合。本文根据电价的四种职能，提出了政府管制条件下电价政策制定与执行中需要组合使用的四种经济理论与方法；既对理论与方法根据电价改革与政策实践的要求进行了评价性分析，也根据负荷率电价研究的需要提出了理论与方法的使用条件与效果，把负荷率电价问题建立在更坚实的理论基础之上。（3）指出了负荷率影响成本的机理。建立了用户负荷率、同时率与系统负荷率三者之间的耦合关系模型，对基于负荷率（包括同时率）用电成本分摊办法特别是容量成本分摊办法进行了比较分析，对基于BARY曲线的分摊方法进行了修改和完善。（4）负荷率电价政策的构成及其特征描述。建立了负荷率电价的社会福利优化模型，在对国外负荷率电价政策进行比较研究的基础上，根据我国电价政策实际，对负荷率电价政策的经济理论原因，负荷率电价政策的主要内容及与其它电价的关系等进行了分析和界定。（5）提出了分步最优的长期边际成本定价模型。在总结国外经验的基础上，对具有规模经济效益的管制定价模型在拉姆齐定价的基础上进行了修改和完善，分步最优长期边际成本定价方法理论上属于次最优定价，弥补了拉姆齐定价难操作的缺陷。（6）建立了可选择负荷率电价模型。反映负荷率电价的特点和要求，建立了可选择负荷率电价模型，通过模拟计算证明了模型和结论的有效性。
负荷率电价是一个新课题，国内外有关负荷率电价的经济理论研究成果较少。本文以负荷率电价为对象，侧重于理论和方法研究，是一项系统创新成果。主要创新有三个方面。（1）国内外电价研究缺乏基本的分析范式，本文以负荷率电价为例提出的职能、理论、方法与政策四要素分析范式反映了电价研究的理论逻辑与现实需要，为电价研究和政策分析提供了统一的研究规范和知识平台。其中关于负荷率电价的经济理论与方法的结构和过程组合的分析结论，既是目前电价研究与管理工作的理论总结，也突破了传统的单向选择思维，具有理论指导和政策应用价值。（2）提出了负荷率电价和其它电价制定的分步最优长期边际成本定价方法。针对拉姆齐电价因为缺乏用户的价格需求弹性而难以采用的现实问题，在总结法国等国长期边际成本定价实践的基础上，本文提出了先根据长期边际成本定价，然后将测算得出的亏损平均分摊到边际成本定价的结果上，以经过亏损项调整的边际价格作为实际执行电价的定价方法，这种定价在保证企业不亏损前提下尽可能地实现了资源最优配置，同时操作简单。（3）指出了可选择负荷率电价的实现方式。根据机制设计理论提出了可选择负荷率电价的模型；高负荷率用户执行高容量电价和低电量电价，低负荷率用户执行低电量电价和高电量电价，由用户自己选择电价方案。模拟计算表明，用户的理性选择和用电行为调整将提高用户和社会福利，实现帕累托优化。
Load factor is an indicator of the degree of utilization of production capacity.China's power industry has played an important role in the process of sustained andrapid development of the national economy. But the power industry also produced thelow utilization factor of power facilities such as low load factors and low efficiencyof resource configuration.'Retail electricity price reform program' which was markedin2003by government proposed a tariff reform envisage under user loadcharacteristics. In2012the country began to develop into retail electricity tariff whichis considering load factor to promote the power industry and national economy intransition from extensive to intensive development. Under the background of loadfactor electricity price reform in China, this paper summarizes the research and policypractice of the foreign load price electricity tariff, using the management of economictheory and other related theories to systematically analyze and research theoreticalbasis, calculation methods and specific policy issues of load factor tariff to laid atheoretical foundation for China to promoting the load factor tariff reform andestablishing perfect load factor tariff system.
The research content of this paper is divided into three parts. The analysis will bepresented in the following eight aspects. The first part consists of two aspects of theproposing the load factor tariff issues and domestic and international literature review.This part is mainly based on the national tariff reform task to propose load factortariff issues and research tasks, and then comprehensively analysis and evaluate theresearch status and application from the point of view of economic theory and policyanalysis. The second part is from the second chapter. Although it has not the length ofan article, but has the foundation and guiding significance of tariff issues. This part isfocused on the problems of the tariff study, and designs and proposes a tariff researchparadigm including function, theory, method and policy of load factor tariff research.Meanwhile, this part also established tariff functions, theory, method and policysystem or knowledge platform which is based on load factor tariff research. The thirdpart includes four thematic studies of the load factor tariff，structurally which can bedivided into two modules. The first module is the load factor effect on cost includinguser electricity costs and cost-sharing arrangements. The second module is thespecific research of load factor tariff which includes three aspects. First, it designed the content of the load factor tariff; and then proposed specific computational model;finally, according to the characteristics and requirements of the load factor tariffpolicy implementation, established the optional load factor tariff model, throughsimulation to demonstrator the relevant conclusions. There is a logical orderrelationship in three aspects, which also affect the cost of loading factor mechanism,and follow the four-factor analysis paradigm presented in this paper. Finally, on thebasis of summarizing the conclusions, conclusions and outlook described the mainissues which need a further research.
The main research work of this paper:(1) proposing analysis paradigm of thefour elements of the load factor tariff: functions, theory, method and policy, and builda basic framework of load factor tariff even general tariff issues combined a detailedanalysis of the load factor tariff.(2) This paper proposed and designed a combinationof the theoretical basis and development methods of load factor tariff. Based on thefour function of the tariff, this paper proposed the four economic theory of tariffpolicy makers may use on tariff setting under government control, and acomprehensive analysis of the development methods under certain theory methods; Itmeans that we made an evaluative analysis of theory and methods according to thetariff reform policies practice requirements, conducted the conditions of use and theeffect of the theory and methods according to the needs of the load factor tariffresearch, build the load factor tariff problem on a more solid theoretical foundation.(3) We pointed out the mechanism that the loading factor affects the cost. Build thecoupling relationship model among user load factor, while factor and system loadfactor to modify and improve the electricity cost-sharing formula based on the loadingfactor (including simultaneous factor) in particular, the capacity cost-sharingarrangements.(4) The description of composition and characteristics of the loadfactor tariff policy. We established social welfare optimization model of the loadfactor tariff, on the basis of a comparative study on the foreign load factor tariffpolicy, according to the reality of China's tariff policy,we analysis and definite theeconomic theory reasons,main content of load factor tariff and its relationship withthe other tariffs policy.(5) We proposed a step-by-step optimal long-run marginal costpricing model. Modify and improve the control of economies of scale pricing modelunder Ramsey pricing on the basis of summing up the experience abroad, step-by-stepoptimal long-run marginal cost pricing method theoretically belong to the sub-optimalpricing and practice operability.(6) We established the optional load factor pricemodel. Reflect the characteristics and requirements of the load factor tariff, through the simulations prove the effectiveness of the model and conclusions.
Load factor tariff is a new topic. This paper talking about the load factor tarifffocuses on the theory and methods of research. This paper is a systematic innovation,mainly reflected in three aspects.(1) The study of tariff at home and abroad lack basiccontent format, this article based on the load factor tariff proposes the four-elementanalysis paradigm which includes functions, theory, method and policy reflecting thetheoretical logic and practical needs of the tariff study, and providing a unifiedknowledge platform for tariff research and policy analysis. Especially, the analysisconclusion for the structures and processes of the economic theory and method ofloading factor tariff is not only the summary of the tariff research and management atpresent, but also broke the traditional one-way choice thinking having value oftheoretical guidance and policy application.(2)This paper presents a long-termmarginal cost pricing method for the load factor tariff and other tariff. Aimed at thepractical problems of Ramsay electricity prices caused by the lack of price elasticitydemand, based on the summary of long-term marginal cost pricing practice in Franceand other countries, this article presents a three-step method of tariff pricing, as is,based on the long-term marginal cost pricing at first, then the estimated lossapportioning equally to the marginal cost pricing results, at last using the marginalprice adjusted after loss items as the actual execution tariff price. This method ofpricing is ensuring companies to achieve the optimal allocation of resource under thecondition of not losing and at the same time easy to operator.(3) This paper points outthe way to achieve the selectable load factor tariff. The selectable load factor tariffmodel based on mechanism design theory; high load factor users performhigh-capacity electricity prices and low electricity price, low load factor usersperform low capacity price and high load factor tariff, users can make their ownchoices. The simulation showed that the rational choice and electrical behaviormodification will improve users' welfare and social welfare, achieving the Paretooptimization.
引文
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