自2015年3月(yue),中共(gong)中央、國(guo)務院發布了《關于進(jin)一(yi)步(bu)深化(hua)電(dian)(dian)(dian)(dian)力(li)體制(zhi)改革(ge)的若干(gan)意(yi)見》(中發〔2015〕9號)及其(qi)系列配套文件(jian)以來,我國(guo)新一(yi)輪(lun)電(dian)(dian)(dian)(dian)力(li)體制(zhi)改革(ge)進(jin)入了深水區和(he)“快車道(dao)”,在(zai)電(dian)(dian)(dian)(dian)力(li)市(shi)場(chang)建(jian)設、電(dian)(dian)(dian)(dian)力(li)市(shi)場(chang)化(hua)直接交易(yi)、輸配電(dian)(dian)(dian)(dian)價改革(ge)、電(dian)(dian)(dian)(dian)力(li)交易(yi)機(ji)構(gou)(gou)組建(jian)、電(dian)(dian)(dian)(dian)力(li)中長(chang)期與現貨市(shi)場(chang)建(jian)設、增(zeng)量配電(dian)(dian)(dian)(dian)網改革(ge)等(deng)方(fang)面取得了積極成效。尤其(qi)在(zai)電(dian)(dian)(dian)(dian)力(li)交易(yi)機(ji)構(gou)(gou)規范化(hua)建(jian)設運行方(fang)面,始(shi)終(zhong)堅持(chi)“小步(bu)走、不停(ting)步(bu)”的原則。
目前國家級和各地方省級電力交易機構均已完成組建并且持續推進獨立規范運行系列工作。但是,在實際推進和落地操作層面,目前仍然存在諸多值得深思、挖掘、探索的問題。
2018年8月28日,國(guo)家發(fa)展(zhan)改革委、國(guo)家能(neng)源局印發(fa)了《關于推(tui)(tui)(tui)進(jin)(jin)電(dian)(dian)(dian)(dian)力(li)(li)交(jiao)易機(ji)構(gou)(gou)規(gui)(gui)范(fan)化建(jian)(jian)(jian)設的(de)(de)通知(zhi)》(發(fa)改經(jing)體(ti)〔2018〕1246號),這是(shi)自2016年國(guo)家電(dian)(dian)(dian)(dian)網(wang)有限(xian)公司(si)(原國(guo)家電(dian)(dian)(dian)(dian)網(wang)公司(si))和(he)各(ge)省(sheng)級(ji)電(dian)(dian)(dian)(dian)力(li)(li)公司(si)紛(fen)紛(fen)撤(che)銷(xiao)原省(sheng)級(ji)電(dian)(dian)(dian)(dian)網(wang)企業電(dian)(dian)(dian)(dian)力(li)(li)交(jiao)易中心(xin)職能(neng)部門、以全資子(zi)公司(si)方式(shi)組(zu)建(jian)(jian)(jian)成立(li)(li)省(sheng)級(ji)電(dian)(dian)(dian)(dian)力(li)(li)交(jiao)易中心(xin)有限(xian)公司(si)之后,中央首次明(ming)確(que)提出要求推(tui)(tui)(tui)進(jin)(jin)電(dian)(dian)(dian)(dian)力(li)(li)交(jiao)易機(ji)構(gou)(gou)規(gui)(gui)范(fan)化建(jian)(jian)(jian)設,實現(xian)電(dian)(dian)(dian)(dian)力(li)(li)交(jiao)易機(ji)構(gou)(gou)相對(dui)獨立(li)(li)和(he)規(gui)(gui)范(fan)運行。其中,電(dian)(dian)(dian)(dian)力(li)(li)交(jiao)易機(ji)構(gou)(gou)股(gu)份(fen)制改造是(shi)推(tui)(tui)(tui)進(jin)(jin)相對(dui)獨立(li)(li)和(he)規(gui)(gui)范(fan)運行的(de)(de)首要任(ren)務。
2020年2月(yue)18日,國家發(fa)(fa)展改革(ge)委、國家能(neng)源局(ju)聯(lian)合印(yin)發(fa)(fa)了《關于推進電力交(jiao)易機構獨(du)立(li)(li)規(gui)范(fan)運(yun)行(xing)的(de)實施意見》(發(fa)(fa)改體改〔2020〕234號)。時(shi)隔兩(liang)年,中(zhong)央(yang)再次發(fa)(fa)文推進電力交(jiao)易機構組建后(hou)的(de)運(yun)行(xing)工作,并且將原(yuan)先(xian)所(suo)述的(de)“相(xiang)對(dui)獨(du)立(li)(li)和規(gui)范(fan)運(yun)行(xing)”調(diao)整為“獨(du)立(li)(li)規(gui)范(fan)運(yun)行(xing)”。僅僅刪除了“相(xiang)對(dui)”二(er)字,但是其中(zhong)的(de)深(shen)遠意義(yi)不(bu)言(yan)(yan)而喻。換言(yan)(yan)之,“獨(du)立(li)(li)”不(bu)存在“相(xiang)對(dui)獨(du)立(li)(li)”這一模棱(leng)兩(liang)可、難以界定的(de)電改中(zhong)間產物(wu)的(de)概念;允許“小步(bu)慢走(zou)”,但不(bu)允許“打折扣(kou)”。
筆者從職能定(ding)(ding)位、市場管理委員會、交(jiao)易(yi)規(gui)則制定(ding)(ding)、股權多(duo)元化、人財物(wu)獨(du)立、監督監管、混合所有制改(gai)革和黨(dang)建(jian)工作八個方面為切入點,針對目前電力交(jiao)易(yi)機構(gou)獨(du)立規(gui)范運行(xing)的現狀進行(xing)深入剖析,并對未來發展目標提出建(jian)議。
職能定位
根(gen)據電(dian)(dian)力交(jiao)(jiao)易機構組(zu)建(jian)成(cheng)立之(zhi)初的經營范圍和職(zhi)責(ze)定(ding)義,其(qi)負責(ze)電(dian)(dian)力交(jiao)(jiao)易平(ping)臺(tai)的建(jian)設(she)、運營和管理,負責(ze)市(shi)場(chang)(chang)主體(ti)注冊(ce)和管理,負責(ze)電(dian)(dian)力市(shi)場(chang)(chang)化(hua)交(jiao)(jiao)易組(zu)織,為市(shi)場(chang)(chang)主體(ti)提供公平(ping)、公正、透明和規范的電(dian)(dian)力交(jiao)(jiao)易服務,包括注冊(ce)服務、交(jiao)(jiao)易組(zu)織、出(chu)具電(dian)(dian)量結算(suan)依據等。
根據中央關(guan)于(yu)(yu)電力(li)體制改革的(de)(de)有(you)關(guan)精(jing)神(shen),電力(li)交(jiao)易(yi)機(ji)構不(bu)應(ying)受制于(yu)(yu)或者聽命(ming)于(yu)(yu)市(shi)(shi)場主(zhu)(zhu)體中的(de)(de)任何一方(fang),而應(ying)該(gai)立(li)足于(yu)(yu)電力(li)市(shi)(shi)場的(de)(de)健康發展、服從政(zheng)(zheng)府(fu)主(zhu)(zhu)管(guan)部(bu)門的(de)(de)安(an)排、接受政(zheng)(zheng)府(fu)部(bu)門的(de)(de)監(jian)管(guan)監(jian)督、廣泛吸(xi)納市(shi)(shi)場主(zhu)(zhu)體的(de)(de)建議。某種意義來(lai)講,電力(li)交(jiao)易(yi)機(ji)構和證券(quan)、期貨交(jiao)易(yi)所(suo)類似(si),都(dou)是(shi)在為(wei)全社會(hui)經(jing)濟發展服務。
建議:電(dian)(dian)(dian)網企業(ye)可以(yi)考慮成立屬于自己(ji)的電(dian)(dian)(dian)力(li)交易(yi)職能部門(men),以(yi)便電(dian)(dian)(dian)力(li)交易(yi)機構能夠(gou)按照電(dian)(dian)(dian)改精(jing)神及自身定(ding)位,為(wei)市場主體提供公平、公正、公開(kai)、透(tou)明、高效(xiao)和(he)優質(zhi)的電(dian)(dian)(dian)力(li)交易(yi)服務(wu)。
電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)作為央(yang)企(qi),服務(wu)(wu)黨中央(yang)、保障社會民生(sheng)(sheng)的(de)(de)(de)宗(zong)旨始終不(bu)(bu)(bu)變(bian),為了確保政策(ce)性非(fei)市(shi)(shi)場(chang)(chang)(chang)化(hua)購(gou)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)業(ye)(ye)(ye)(ye)(ye)務(wu)(wu)有(you)序穩定(ding)、經營(ying)性業(ye)(ye)(ye)(ye)(ye)務(wu)(wu)公平(ping)合(he)(he)法參與競(jing)爭,電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)可(ke)以考慮(lv)成立(li)屬于(yu)自(zi)己的(de)(de)(de)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)部(bu)(bu),和(he)(he)現有(you)發展部(bu)(bu)門、營(ying)銷部(bu)(bu)門類似(si),這里需要說明“電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)部(bu)(bu)”的(de)(de)(de)成立(li)并不(bu)(bu)(bu)是“電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)中心(xin)”的(de)(de)(de)恢復,更(geng)不(bu)(bu)(bu)是電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)改(gai)步伐的(de)(de)(de)倒退(tui)。電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)的(de)(de)(de)“電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)部(bu)(bu)”之所以稱(cheng)之為“部(bu)(bu)”,而不(bu)(bu)(bu)是“中心(xin)”,原(yuan)(yuan)因在(zai)于(yu)此時(shi)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)的(de)(de)(de)“電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)部(bu)(bu)”的(de)(de)(de)職責(ze)劃分已和(he)(he)原(yuan)(yuan)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)“電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)中心(xin)”不(bu)(bu)(bu)再相(xiang)同(tong),“電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)部(bu)(bu)”僅負責(ze)國家政策(ce)性(如(ru)保障民生(sheng)(sheng)、優先(xian)(xian)購(gou)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)、電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)所承擔(dan)的(de)(de)(de)可(ke)再生(sheng)(sheng)能(neng)源消(xiao)納(na)責(ze)任權重(zhong)等(deng))基數(shu)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)量(liang)交(jiao)易(yi)(yi)(yi)和(he)(he)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)競(jing)爭性市(shi)(shi)場(chang)(chang)(chang)化(hua)購(gou)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)業(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(如(ru)與綜合(he)(he)能(neng)源、電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)動汽車等(deng)市(shi)(shi)場(chang)(chang)(chang)化(hua)業(ye)(ye)(ye)(ye)(ye)務(wu)(wu)相(xiang)關的(de)(de)(de)購(gou)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)業(ye)(ye)(ye)(ye)(ye)務(wu)(wu)等(deng)),這樣才可(ke)解決(jue)股份制改(gai)造(zao)后(hou)的(de)(de)(de)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)機(ji)(ji)構(gou)議事決(jue)策(ce)權力(li)(li)(li)(li)(li)(li)機(ji)(ji)關由原(yuan)(yuan)先(xian)(xian)全資子公司(si)單一股東(dong)方(即電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye))轉(zhuan)變(bian)為若干(gan)股東(dong)方(電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)網(wang)(wang)(wang)企(qi)業(ye)(ye)(ye)(ye)(ye)及各市(shi)(shi)場(chang)(chang)(chang)主體等(deng))后(hou),可(ke)能(neng)因意見不(bu)(bu)(bu)合(he)(he)出(chu)現的(de)(de)(de)決(jue)策(ce)難(nan)、推進難(nan)、效率低等(deng)弊端。更(geng)為重(zhong)要的(de)(de)(de)是,如(ru)此一來才能(neng)使得電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)機(ji)(ji)構(gou)專心(xin)致力(li)(li)(li)(li)(li)(li)于(yu)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)市(shi)(shi)場(chang)(chang)(chang)建設、運行和(he)(he)發展管理,才能(neng)使得電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)機(ji)(ji)構(gou)真(zhen)正成為第三方獨立(li)的(de)(de)(de)電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)市(shi)(shi)場(chang)(chang)(chang)化(hua)交(jiao)易(yi)(yi)(yi)服務(wu)(wu)平(ping)臺,使電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)機(ji)(ji)構(gou)真(zhen)正扮演電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)市(shi)(shi)場(chang)(chang)(chang)運行的(de)(de)(de)“裁判員”角色,實現“只在(zai)起點發令(ling)、終點掐表,而不(bu)(bu)(bu)在(zai)場(chang)(chang)(chang)內同(tong)場(chang)(chang)(chang)賽跑”。而在(zai)賽場(chang)(chang)(chang)內競(jing)技的(de)(de)(de)國家隊(dui)、省隊(dui)、體校(xiao)、民間愛好者除了在(zai)訓練背(bei)景、裝備配置(zhi)上不(bu)(bu)(bu)同(tong)外,均應享受電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)市(shi)(shi)場(chang)(chang)(chang)、電(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)(dian)力(li)(li)(li)(li)(li)(li)交(jiao)易(yi)(yi)(yi)機(ji)(ji)構(gou)提供的(de)(de)(de)平(ping)等(deng)服務(wu)(wu)和(he)(he)成績判定(ding)。
市場管理委員會
根據部分省份(fen)已(yi)經成立的(de)市場(chang)管理(li)委員(yuan)(yuan)會職(zhi)責(ze)定(ding)位和運行(xing)情況(kuang)來(lai)(lai)看,其(qi)負(fu)責(ze)研(yan)究(jiu)討論(lun)交易(yi)規則、協調電(dian)力市場(chang)相(xiang)關(guan)事(shi)(shi)項,均屬(shu)于自(zi)治性議事(shi)(shi)機(ji)構(gou),其(qi)組成人員(yuan)(yuan)來(lai)(lai)自(zi)各類市場(chang)主(zhu)體(ti)及第三(san)方(fang)機(ji)構(gou)代表。市場(chang)管理(li)委員(yuan)(yuan)會的(de)存(cun)在相(xiang)當于電(dian)力交易(yi)機(ji)構(gou)或者是某(mou)(mou)一地(di)區電(dian)力市場(chang)的(de)外(wai)部獨立董事(shi)(shi),不代表某(mou)(mou)一方(fang)利益,而(er)是各方(fang)主(zhu)體(ti)的(de)授權新(xin)聞代言人和指定(ding)參事(shi)(shi)團(tuan)。對(dui)于電(dian)力交易(yi)機(ji)構(gou)的(de)獨立規范(fan)運行(xing)和整體(ti)電(dian)力市場(chang)運行(xing)可以起到(dao)積極的(de)監督管理(li)作用。
建(jian)(jian)議:盡快全面建(jian)(jian)立(li)各地區電(dian)(dian)力(li)市(shi)(shi)場(chang)管理(li)委(wei)員(yuan)會。不論電(dian)(dian)力(li)交(jiao)(jiao)易(yi)機(ji)(ji)構(gou)股(gu)(gu)份制改(gai)造后的(de)股(gu)(gu)東、股(gu)(gu)權如(ru)何,只要(yao)開展(zhan)了(le)市(shi)(shi)場(chang)化交(jiao)(jiao)易(yi),都有必要(yao)及時組建(jian)(jian)成(cheng)立(li)電(dian)(dian)力(li)市(shi)(shi)場(chang)管理(li)委(wei)員(yuan)會,彌補(bu)電(dian)(dian)力(li)市(shi)(shi)場(chang)缺失的(de)“行業仲裁、新(xin)聞發(fa)言人和參事智囊團”。同時,建(jian)(jian)立(li)各地區電(dian)(dian)力(li)市(shi)(shi)場(chang)管理(li)委(wei)員(yuan)會也是部分(fen)電(dian)(dian)力(li)交(jiao)(jiao)易(yi)機(ji)(ji)構(gou)股(gu)(gu)權資本(ben)多樣性不足的(de)一劑“補(bu)藥”,給未(wei)當選電(dian)(dian)力(li)交(jiao)(jiao)易(yi)機(ji)(ji)構(gou)股(gu)(gu)東的(de)市(shi)(shi)場(chang)主體提供(gong)“共(gong)參交(jiao)(jiao)易(yi)、共(gong)商電(dian)(dian)改(gai)、共(gong)謀未(wei)來(lai)”的(de)平臺(tai)、機(ji)(ji)遇和席位。
交易規則制定
在電力(li)市場(chang)化(hua)改(gai)革(ge)起步(bu)初期,頂層設(she)計、規(gui)則制度的(de)不(bu)完善(shan)或許容(rong)易取得社會的(de)原(yuan)諒。但(dan)是,在各(ge)省電力(li)市場(chang)建(jian)設(she)過(guo)程中,出現的(de)規(gui)則差異化(hua)、執行困難等問題往往增加了市場(chang)主體參(can)與交易、分享紅利的(de)各(ge)類成本。
在(zai)最(zui)新發布的(de)(de)“234號文(wen)件(jian)”中明確省(sheng)內交(jiao)易(yi)細(xi)則(ze)由能源(yuan)監管(guan)部(bu)(bu)門(men)(men)、地(di)(di)方(fang)政府主(zhu)管(guan)部(bu)(bu)門(men)(men)組織交(jiao)易(yi)機構在(zai)國(guo)家層面制定的(de)(de)基本規則(ze)框(kuang)架(jia)下起草,經由市(shi)(shi)場(chang)管(guan)理委員會審(shen)(shen)議、能源(yuan)監管(guan)部(bu)(bu)門(men)(men)和地(di)(di)方(fang)政府主(zhu)管(guan)部(bu)(bu)門(men)(men)審(shen)(shen)定后發布。“市(shi)(shi)場(chang)管(guan)理委員會審(shen)(shen)議”這一(yi)環節(jie)旨在(zai)于先(xian)期聽取各類市(shi)(shi)場(chang)主(zhu)體的(de)(de)聲音并集體研(yan)究采納與否,而不是(shi)廣(guang)泛(fan)征求(qiu)意(yi)見結果后“石沉大海”。同時,文(wen)件(jian)還明確交(jiao)易(yi)機構無(wu)權變(bian)更批準實施后的(de)(de)規則(ze)和細(xi)則(ze),言外之意(yi)就(jiu)是(shi)電(dian)力交(jiao)易(yi)機構的(de)(de)通知、說明文(wen)件(jian)不應再涉及某一(yi)地(di)(di)區電(dian)力市(shi)(shi)場(chang)的(de)(de)原則(ze)性問題(ti),僅僅是(shi)時間節(jie)點、注冊公(gong)示、平臺操作、計劃申報、信息發布等實施過程的(de)(de)例(li)行(xing)文(wen)件(jian)。
建議:摸石頭(tou)過(guo)河難免濕鞋,電力(li)(li)市(shi)場(chang)(chang)建設(she)初(chu)期允許試錯(cuo),但是(shi)糾錯(cuo)的(de)主(zhu)體(ti)不能出現偏差。組委(wei)會(政(zheng)府主(zhu)管部(bu)門),負(fu)責賽事整體(ti)籌劃,裁判員(yuan)(yuan)(電力(li)(li)交(jiao)易(yi)(yi)機構(gou))僅發(fa)令、計時,運動員(yuan)(yuan)(各市(shi)場(chang)(chang)主(zhu)體(ti))一(yi)心(xin)比賽競技。盡早成立各地區電力(li)(li)市(shi)場(chang)(chang)管理委(wei)員(yuan)(yuan)會,并且吸納(na)具有專業背景、但不牽扯利益的(de)科(ke)研院所、第三方非(fei)電力(li)(li)交(jiao)易(yi)(yi)領域交(jiao)易(yi)(yi)場(chang)(chang)所的(de)學(xue)者(zhe)人士作(zuo)為(wei)顧問,以(yi)旁觀(guan)者(zhe)的(de)視角(jiao)積極參與(yu)電力(li)(li)市(shi)場(chang)(chang)的(de)設(she)計、建設(she)、修正和評估(gu)。
股權多元化
股份制(zhi)改造的完成并不一定代(dai)表(biao)著(zhu)獨立規范(fan)運行的實(shi)現(xian)(xian)。股比均衡、非(fei)國有資(zi)本的引入更是實(shi)現(xian)(xian)市(shi)場公平、市(shi)場活力激發(fa)、體現(xian)(xian)多方(fang)代(dai)表(biao)性的關鍵要素。
由此看來,股權多元化僅(jin)(jin)僅(jin)(jin)是電力(li)交易機(ji)構(gou)獨立規范(fan)運行的(de)(de)一小步,后續(xu)還要依(yi)照(zhao)公司法修訂完善公司章程(cheng)、議事規則,建立互(hu)相制衡的(de)(de)法人治理(li)結(jie)構(gou),打造靈活高效的(de)(de)管(guan)理(li)經營機(ji)制。
建(jian)議:股(gu)權多(duo)元化的(de)完成最多(duo)稱之為“相對獨(du)立”,想要實現真正的(de)“獨(du)立規范(fan)運行(xing)”,交易(yi)(yi)機構的(de)董事(shi)、監(jian)事(shi)和(he)高級管(guan)理(li)人員均應來自非(fei)電(dian)力市場主體(ti)的(de)利益無關方(fang),或(huo)者至少應該與原股(gu)東(dong)單(dan)位不再(zai)保(bao)持勞動關系。甚至可以采(cai)取由政府委派、任命和(he)選聘的(de)方(fang)式來產生電(dian)力交易(yi)(yi)中心股(gu)份有限公司(si)的(de)高級管(guan)理(li)人員。如此一來,董事(shi)長、監(jian)事(shi)會和(he)高級管(guan)理(li)人員乃至全體(ti)電(dian)力交易(yi)(yi)機構從(cong)業人員便可真正為電(dian)改(gai)負(fu)責、為政府負(fu)責、為市場負(fu)責,而不必(bi)再(zai)因(yin)心存股(gu)東(dong)方(fang)原單(dan)位的(de)種種人事(shi)因(yin)素所牽絆。
人、財、物獨立
目前電(dian)(dian)力市場(chang)化交易并未(wei)實施收取(qu)交易手續(xu)費政策,也就(jiu)是說電(dian)(dian)力交易機構日常運(yun)行開支、人員薪酬(chou)福利、交易平臺無(wu)形(xing)資(zi)產、辦公場(chang)所(suo)固定資(zi)產等人、財、物均(jun)來(lai)自娘家——電(dian)(dian)網企業(ye)撥(bo)款,組織人事關(guan)系任免權也均(jun)屬于(yu)電(dian)(dian)網企業(ye)管轄范疇(chou)。
而(er)新一輪(lun)輸(shu)配電(dian)價核定(ding)并(bing)未將電(dian)力(li)交易服務費(fei)從電(dian)網企(qi)業成本(ben)中(zhong)剔除(chu),也就(jiu)是說在(zai)實現(xian)收取(qu)交易手續費(fei)之前,電(dian)力(li)交易機構(gou)的(de)開支(zhi)成本(ben)將繼續由電(dian)網企(qi)業專項支(zhi)付,而(er)“234號文件”為此舉(ju)提供了政策依據。
建議:電(dian)力交易機構作為電(dian)力體制(zhi)改革的(de)(de)中(zhong)間產物(wu)和(he)新(xin)興服務平臺(tai),需(xu)要在起步之(zhi)初便注入新(xin)鮮血液和(he)活力來促進我(wo)國電(dian)力市場的(de)(de)建設和(he)發(fa)展(zhan),其人、財(cai)、物(wu)的(de)(de)獨立具有(you)特殊的(de)(de)重要意義。
一(yi)是獨立自(zi)(zi)主的(de)(de)選(xuan)人(ren)(ren)(ren)(ren)用人(ren)(ren)(ren)(ren)。電力交(jiao)易機(ji)(ji)構原(yuan)班人(ren)(ren)(ren)(ren)馬(ma)大(da)多(duo)數(shu)來自(zi)(zi)電網(wang)企業原(yuan)電力交(jiao)易中心(xin)、調控(kong)中心(xin)、營銷部等部門及其他二級單位,幾乎都經(jing)歷了掛職、借調,當電力交(jiao)易機(ji)(ji)構獨立規(gui)范運行的(de)(de)步伐不斷(duan)加快,相信會(hui)有相當一(yi)部分人(ren)(ren)(ren)(ren)員(yuan)將脫(tuo)離電網(wang)企業這一(yi)廣闊(kuo)的(de)(de)舞臺(tai),轉而投(tou)身于電力交(jiao)易事業,單一(yi)的(de)(de)發展(zhan)路線或(huo)多(duo)或(huo)少會(hui)影(ying)響人(ren)(ren)(ren)(ren)員(yuan)的(de)(de)積極性,因為晉(jin)升之路顯而易見(jian),平調之路只能是異地交(jiao)流(liu)。應當建立起靈活(huo)暢通、利于發展(zhan)的(de)(de)用人(ren)(ren)(ren)(ren)選(xuan)人(ren)(ren)(ren)(ren)機(ji)(ji)制,并且通過(guo)市場化選(xuan)聘機(ji)(ji)制引入經(jing)濟、金融、精算、會(hui)計等其他專業的(de)(de)高端(duan)技術人(ren)(ren)(ren)(ren)才來彌補現有人(ren)(ren)(ren)(ren)馬(ma)只懂“電”、不懂“期(qi)貨、現貨”的(de)(de)短板。
二是(shi)財和(he)物獨(du)(du)立(li)是(shi)公(gong)司運營的(de)(de)(de)基本(ben)條件。據(ju)了解,目前仍有(you)(you)(you)不(bu)(bu)少電力交(jiao)易(yi)(yi)機構尚未成立(li)財務(wu)(wu)資(zi)(zi)產部(bu),日常(chang)財務(wu)(wu)工作(zuo)由綜合(he)處兼顧或由電網企業(ye)(ye)代(dai)為(wei)管(guan)理(li)。財務(wu)(wu)專(zhuan)業(ye)(ye)人(ren)士(shi)都明白沒(mei)有(you)(you)(you)日常(chang)收入并(bing)不(bu)(bu)代(dai)表沒(mei)有(you)(you)(you)財務(wu)(wu)工作(zuo),一(yi)(yi)個公(gong)司自完成工商注(zhu)冊(ce)之日起便離不(bu)(bu)開(kai)財務(wu)(wu)賬目。股(gu)份制改造后(hou),隨著(zhu)辦(ban)公(gong)資(zi)(zi)產等事宜的(de)(de)(de)明確,更需有(you)(you)(you)專(zhuan)業(ye)(ye)、專(zhuan)職的(de)(de)(de)財務(wu)(wu)人(ren)員負責(ze)股(gu)份有(you)(you)(you)限公(gong)司的(de)(de)(de)財務(wu)(wu)管(guan)理(li)。此外,采取購(gou)買、租賃(lin)等有(you)(you)(you)償方式實現(xian)辦(ban)公(gong)場所固定資(zi)(zi)產獨(du)(du)立(li)合(he)規(gui)使(shi)用(yong),可以(yi)進一(yi)(yi)步實現(xian)獨(du)(du)立(li)運行(xing)。試想無償使(shi)用(yong)房東提供的(de)(de)(de)屋子(zi),免交(jiao)物業(ye)(ye)費、水電費、綠化費、停車費等各(ge)種(zhong)(zhong)開(kai)銷,那(nei)么“住(zhu)客”對于“房東”的(de)(de)(de)感(gan)激之情定難以(yi)無視。電力交(jiao)易(yi)(yi)平臺(tai)是(shi)電網企業(ye)(ye)歷(li)時多年、投入巨(ju)資(zi)(zi)打(da)造的(de)(de)(de)全國統一(yi)(yi)電力市(shi)(shi)場技(ji)術平臺(tai),其中的(de)(de)(de)海量服務(wu)(wu)器、數據(ju)庫、寶貴的(de)(de)(de)無形資(zi)(zi)產事關(guan)整個電力市(shi)(shi)場運行(xing)的(de)(de)(de)穩(wen)定。因此建議延續現(xian)有(you)(you)(you)的(de)(de)(de)交(jiao)易(yi)(yi)平臺(tai)資(zi)(zi)產管(guan)理(li)、運行(xing)和(he)維護模(mo)式,暫不(bu)(bu)遷移、變更和(he)重新部(bu)署,相反(fan)應(ying)該繼(ji)續加大(da)針對電力交(jiao)易(yi)(yi)平臺(tai)的(de)(de)(de)資(zi)(zi)金(jin)、技(ji)術和(he)研(yan)發投入力度,以(yi)滿足日益擴(kuo)大(da)的(de)(de)(de)市(shi)(shi)場規(gui)模(mo)、交(jiao)易(yi)(yi)品(pin)種(zhong)(zhong)和(he)復(fu)雜的(de)(de)(de)結算(suan)業(ye)(ye)務(wu)(wu)需求。
監管監督
電(dian)力(li)(li)交(jiao)易機構(gou)首先是依法(fa)合規(gui)注冊成(cheng)立的有(you)限公司,對于(yu)公司自(zi)身運營情況的監督(du)管(guan)理其實已經(jing)有(you)了很成(cheng)熟的制(zhi)度流程、匯(hui)算清繳(jiao)、年度審(shen)計、財表上(shang)報等。此(ci)部(bu)分公司自(zi)身運營監管(guan)不屬于(yu)在此(ci)所述(shu)的政(zheng)府監督(du)之范疇,此(ci)處所說的行業監管(guan)準確地(di)說是對某一(yi)地(di)區電(dian)力(li)(li)市場運行情況的監督(du)管(guan)理,而不是某一(yi)個電(dian)力(li)(li)交(jiao)易中心有(you)限公司或股份(fen)有(you)限公司。
電(dian)力交(jiao)易(yi)(yi)機(ji)構(gou)的職責(ze)定位(wei)是(shi)(shi)負(fu)責(ze)交(jiao)易(yi)(yi)平(ping)臺(tai)的建、管(guan)(guan)、運,為市場(chang)主體提(ti)供(gong)電(dian)力交(jiao)易(yi)(yi)服務。也就(jiu)是(shi)(shi)說(shuo)電(dian)力交(jiao)易(yi)(yi)機(ji)構(gou)作為第三方獨立的電(dian)力交(jiao)易(yi)(yi)服務平(ping)臺(tai),有責(ze)任提(ti)供(gong)公平(ping)服務,但對于電(dian)力市場(chang)的健康發展(zhan)、爭議處理、違規違約等情(qing)況,電(dian)力交(jiao)易(yi)(yi)機(ji)構(gou)僅(jin)僅(jin)有責(ze)任和義(yi)務如實提(ti)供(gong)交(jiao)易(yi)(yi)和結(jie)算數據、注冊信(xin)息及過程(cheng)情(qing)況,最(zui)終的裁定權依然屬于政府(fu)主管(guan)(guan)部門和行業監管(guan)(guan)部門。
建議:為了切實促進(jin)電(dian)力(li)(li)(li)市(shi)場健康發展(zhan)、客(ke)觀(guan)分析電(dian)力(li)(li)(li)市(shi)場運行(xing)情況、科學研提修(xiu)編整改(gai)方案,應該在完(wan)善監(jian)督(du)監(jian)管(guan)條例的同時,進(jin)一步(bu)優化(hua)監(jian)督(du)監(jian)管(guan)隊伍結構(gou)。可由能源、金融行(xing)業監(jian)管(guan)和(he)第三方獨(du)立專(zhuan)業機構(gou)共同組建電(dian)力(li)(li)(li)市(shi)場監(jian)督(du)監(jian)管(guan)力(li)(li)(li)量,融合電(dian)力(li)(li)(li)、期貨、會計等(deng)相(xiang)關專(zhuan)業,匯集政(zheng)府、科研院所、第三方機構(gou)和(he)電(dian)力(li)(li)(li)交易機構(gou)多方共同為電(dian)力(li)(li)(li)市(shi)場的建設和(he)發展(zhan)出謀劃策(ce)。對于(yu)改(gai)革(ge)步(bu)伐較快的現貨試點省份,還要及(ji)時補充電(dian)力(li)(li)(li)調度專(zhuan)業力(li)(li)(li)量共同為電(dian)力(li)(li)(li)現貨市(shi)場的運行(xing)保駕護航(hang)。
混合所有制改革
混合所(suo)有制(zhi)改(gai)革的(de)初衷是(shi)為了促使國(guo)有企業更(geng)(geng)快更(geng)(geng)好地(di)發(fa)展,提(ti)高(gao)國(guo)資(zi)(zi)管人管事管資(zi)(zi)產(chan)的(de)效率(lv),通過吸(xi)納(na)靈活、高(gao)效、有活力(li)的(de)社會資(zi)(zi)本來實現(xian)以“混”向“促”。結合電(dian)(dian)(dian)力(li)交(jiao)易(yi)機(ji)構(gou)(gou)股(gu)(gu)(gu)份制(zhi)改(gai)造而言(yan),“1246號(hao)(hao)文件”明確提(ti)出(chu)“股(gu)(gu)(gu)權多元化,發(fa)電(dian)(dian)(dian)、售電(dian)(dian)(dian)、用戶及第三(san)方(fang)機(ji)構(gou)(gou)參股(gu)(gu)(gu)”,“234號(hao)(hao)文件”強調“電(dian)(dian)(dian)網企業持股(gu)(gu)(gu)比例降低至(zhi)50%以下”。不難看出(chu),雖然(ran)沒有明顯(xian)的(de)混改(gai)字眼(yan),但(dan)是(shi)其核心內容已(yi)將混改(gai)思(si)想(xiang)融入(ru)電(dian)(dian)(dian)力(li)交(jiao)易(yi)機(ji)構(gou)(gou)股(gu)(gu)(gu)份制(zhi)改(gai)造。然(ran)而電(dian)(dian)(dian)力(li)交(jiao)易(yi)機(ji)構(gou)(gou)雖然(ran)是(shi)公司治理結構(gou)(gou),但(dan)是(shi)其“不以營利為目的(de)”的(de)定位顯(xian)然(ran)不同于一般(ban)企業,更(geng)(geng)和國(guo)有資(zi)(zi)產(chan)保值(zhi)增值(zhi)的(de)理念原則有所(suo)不同。
那么(me),電(dian)(dian)力交(jiao)易機(ji)(ji)構(gou)的(de)(de)股(gu)(gu)(gu)改和混(hun)(hun)改區別何在(zai)?又有著(zhu)怎樣的(de)(de)深層(ceng)次(ci)含義呢?從概念上講,“股(gu)(gu)(gu)改”肯定大(da)于(yu)“混(hun)(hun)改”,混(hun)(hun)改向民(min)間(jian)敞開大(da)門。作(zuo)為(wei)市場(chang)主體(ti)能(neng)夠(gou)入(ru)股(gu)(gu)(gu)電(dian)(dian)力交(jiao)易機(ji)(ji)構(gou),即使不分(fen)紅也能(neng)獲得一(yi)席股(gu)(gu)(gu)東,筆者認為(wei)不算賠本(ben)買賣。而作(zuo)為(wei)非市場(chang)主體(ti)的(de)(de)企業單位,在(zai)眼(yan)前看不到(dao)利益的(de)(de)情況下(xia),如果依然能(neng)夠(gou)對入(ru)股(gu)(gu)(gu)電(dian)(dian)力交(jiao)易機(ji)(ji)構(gou)產生極大(da)興趣,或許真的(de)(de)財大(da)氣粗,或許真的(de)(de)眼(yan)光長遠(yuan)。可(ke)以期(qi)待,此(ci)輪電(dian)(dian)力交(jiao)易機(ji)(ji)構(gou)股(gu)(gu)(gu)改后真正引入(ru)民(min)營資本(ben)的(de)(de)會有幾家?又分(fen)別是(shi)什(shen)么(me)行業、入(ru)股(gu)(gu)(gu)動機(ji)(ji)又是(shi)什(shen)么(me)?
建議:電力(li)交易機構的(de)“股改(gai)”與電信行業的(de)“混改(gai)”存在本質上的(de)不(bu)同。
首先,電(dian)信(xin)行業(ye)不像電(dian)力(li)行業(ye)具有(you)(you)自然(ran)屬性壟斷,我們可以(yi)選(xuan)(xuan)擇(ze)(ze)不同的(de)(de)網絡(luo)運營服務(wu)商,不少(shao)人擁有(you)(you)多個移動終端,而電(dian)力(li)消費(fei)的(de)(de)選(xuan)(xuan)擇(ze)(ze)始(shi)終保持著唯一性,這是電(dian)能(neng)屬性決定的(de)(de)。
其次,電(dian)(dian)信行業(ye)的(de)國家隊明(ming)顯(xian)被高(gao)新技術(shu)和互聯(lian)網新興民(min)企(qi)趕(gan)超(chao),而電(dian)(dian)力(li)(li)行業(ye),特(te)別是電(dian)(dian)網企(qi)業(ye)、電(dian)(dian)力(li)(li)交易(yi)(yi)機構(gou)(gou)不存(cun)在靠(kao)引入(ru)高(gao)新技術(shu)和互聯(lian)網新興民(min)企(qi)來提升行業(ye)競爭力(li)(li)、激(ji)發(fa)企(qi)業(ye)生命力(li)(li)的(de)迫(po)切需(xu)求,目前還不存(cun)在電(dian)(dian)力(li)(li)交易(yi)(yi)機構(gou)(gou)的(de)同行對標(biao)民(min)營企(qi)業(ye),每一(yi)個地區只有一(yi)家電(dian)(dian)力(li)(li)交易(yi)(yi)機構(gou)(gou)負責本地區電(dian)(dian)力(li)(li)市場建設運營的(de)初始定位決定了只有“兄弟(di)單位”,沒有“同行冤家”。
最后,電(dian)力交(jiao)易機構的“股(gu)改”是(shi)(shi)規定動作,“混改”可以(yi)(yi)算(suan)是(shi)(shi)“錦上添花”,但(dan)不(bu)可一(yi)味追求(qiu)(qiu),因為股(gu)東要求(qiu)(qiu)回報收(shou)益是(shi)(shi)正常(chang)訴求(qiu)(qiu),央企、市場(chang)主體可以(yi)(yi)為了追求(qiu)(qiu)話語(yu)權而不(bu)顧(gu)收(shou)益率(lv),但(dan)是(shi)(shi)對(dui)于社會資(zi)本能(neng)否完全不(bu)顧(gu)投資(zi)回報率(lv),僅僅為了社會形象(xiang)、廣告效應(ying)而入股(gu)電(dian)力交(jiao)易機構目前(qian)還是(shi)(shi)問號。
筆者認為“股改”的(de)(de)關鍵(jian)點不在(zai)股權(quan)(quan)的(de)(de)“混(hun)”、不在(zai)姓(xing)“國”還(huan)是(shi)姓(xing)“民”,而在(zai)于能否引入對(dui)于電力(li)市場健康發(fa)(fa)展有(you)促進(jin)積極(ji)作用的(de)(de)資(zi)本,在(zai)實現股權(quan)(quan)多元化的(de)(de)同時,考慮引入具有(you)期貨、金(jin)融(rong)、證券(quan)、電力(li)市場研(yan)究相關科研(yan)機構及軟件(jian)開(kai)發(fa)(fa)等(deng)專業背景的(de)(de)股東,以便(bian)新進(jin)股東能夠(gou)對(dui)現貨市場建設、電力(li)交(jiao)易金(jin)融(rong)衍生品、交(jiao)易平臺(tai)功能研(yan)發(fa)(fa)等(deng)方(fang)面發(fa)(fa)揮積極(ji)的(de)(de)專業作用。
黨建工作
黨(dang)(dang)建工作(zuo)(zuo)(zuo)始終是國有企業(ye)工作(zuo)(zuo)(zuo)的重中(zhong)之重。跟隨(sui)股份制改造工作(zuo)(zuo)(zuo)步伐,合理調整電(dian)力(li)(li)(li)交(jiao)易(yi)(yi)機構(gou)黨(dang)(dang)組(zu)織設(she)立,考(kao)慮(lv)各省電(dian)力(li)(li)(li)交(jiao)易(yi)(yi)機構(gou)報審上級(ji)黨(dang)(dang)組(zu)織特(te)批成(cheng)立黨(dang)(dang)委或黨(dang)(dang)總支,國家(jia)級(ji)電(dian)力(li)(li)(li)交(jiao)易(yi)(yi)中(zhong)心升為黨(dang)(dang)組(zu)建制,形成(cheng)電(dian)力(li)(li)(li)交(jiao)易(yi)(yi)機構(gou)黨(dang)(dang)組(zu)織關(guan)系縱向(xiang)垂直管(guan)理,并配備專職黨(dang)(dang)建工作(zuo)(zuo)(zuo)部門和(he)人員力(li)(li)(li)量(liang);同時吸(xi)納新進股東推薦入選黨(dang)(dang)委班子,切(qie)實貫徹(che)落實黨(dang)(dang)中(zhong)央和(he)上級(ji)黨(dang)(dang)組(zu)織指示精神(shen),高效(xiao)推進建設(she)全(quan)國統(tong)一(yi)的電(dian)力(li)(li)(li)市場;學習借鑒(jian)新進股東在(zai)黨(dang)(dang)建工作(zuo)(zuo)(zuo)方面先進經驗,準確把握黨(dang)(dang)建工作(zuo)(zuo)(zuo)和(he)交(jiao)易(yi)(yi)業(ye)務互相融合,實現“黨(dang)(dang)建”促“交(jiao)易(yi)(yi)”、“交(jiao)易(yi)(yi)”貼“黨(dang)(dang)建”的良好局面和(he)氛圍。(本文僅代(dai)表作(zuo)(zuo)(zuo)者(zhe)個人觀(guan)點,不代(dai)表本刊及作(zuo)(zuo)(zuo)者(zhe)供職單位立場)