基于绩效的管制模式及其应用

随着对传统的投资回报率管制模式存在弊端的认识逐步加深和管制经济学理论的发展，一种被称为基于绩效的管制模式已被引入到电力工业的管制，并在很多国家逐步得到广泛应用。对于西方大多数发达国家，其电力工业市场化改革的主要动机之一是，解决由于对垄断的电力公司长期采用的基于投资的利润控制管制所引起的过量投资问题，基于绩效的管制可以在相当程度上解决这一问题，因而受到普遍重视。文中以具有自然垄断特性的输电和配电系统的管制为背景，在对传统的基于投资回报率的管制方法存在的问题进行简单介绍的基础上，对基于绩效的管制的几种主要模式、优缺点，以及设计这类管制模式时需要注意的问题做了简要综述。

PERFORMANCE-BASED REGULATION AND ITS APPLICATIONS

With the development of regulation economics and the wide recognition of inherent drawbacks of the traditional rate-of-return (ROR) regulation or cost-of-service (COS) regulation, a kind of new regulation regimes named performance-based regulation (PBR) has been introduced into the power industry. The PBR provides a mechanism for solving the inherent problems of the ROR regulation such as over-investment, and is hence well acknowledged in the emerging electricity market environment. After a brief introduction about the inherent drawbacks of the ROR regulation, a survey is made, in the context of transmission and distribution regulations, about the existing PBR methods, their advantages and disadvantages, and several issues which are needed to be looked after in PBR regulation designs.