工作论文 | 2019年 1月 | 1工作论文美国绿色电力市场综述袁敏 苗红 时璟丽 彭澎 著GREEN POWER MARKET US EXPERIENCE引用建议袁敏 苗红 时璟丽 彭澎 著. 美国绿色电力市场综述. 2019. 工作报告，北京世界资源研究所. http// . 1cutive Summary . 3美国电力市场概况 . 5美国绿色电力强制交易市场 5美国绿色电力自愿交易市场 . 10美国绿色电力追踪机制 13美国绿电采购合作平台 15美国绿色电力交易案例 16对中国绿色电力市场的启示 . 20附录美国各地建立的十个地区性绿证追踪系统 23参考文献 . 24缩略语表 . 25注释 26致谢 27执行摘要美国的绿色电力（简称“绿电”）市场兴起于20世纪90年代，历经了二十余年的探索与实践，通过各州政府的推动及各类市场主体的积极参与，已形成了强制市场与自愿交易并存、采购方式灵活多样的市场格局。中国作为一个快速发展的经济体，正在以前所未有的力度推动低碳经济、环境污染治理及可持续发展。中国绿电市场的建立正在起步阶段，尚有诸多问题亟待解决。本报告围绕国内决策者和市场主体共同关心的几大问题，包括美国的绿电市场的构建方式和运作机制、绿电采购的主要途径和关键步骤、管制市场和放松管制市场下的交易案例，以及美国的实践经验对我国构建绿电市场的启示，通过文献调研对美国绿电市场的架构、强制市场与自愿交易市场的进展、绿电的采购模式与案例进行了深入的分析，并从中总结美国绿电市场成功的经验，希望能为中国绿电市场的构建提供参考。本报告是能源基金会支持的“绿色电力消费行动”项目的成果之一。 美国绿电市场主要有两种类型一是基于可再生能源配额制（简称“配额制”或“RPS”）的强制市场，二是自愿交易市场（简称“自愿市场”）。强制市场是各州政府依据配额制相关法律法规建立的，目的是帮助承担配额义务的责任主体实现可再生能源配额目标。自愿市场则是消费者出于自身绿电消费意愿而采购可再生能源的市场。配额制是驱动强制市场的核心政策机制,州级配额制要求电力供应商的绿电供应量在规定期限内必须达到一定比例，不能按时履约的责任主体则会受到相应的惩罚。目前美国已有29个州、华盛顿哥伦比亚特区及3个领地 实施了配额制，但各地区的配额标准、责任主体、支持的可再生能源技术、履约期限等细节各有不同。配额制所涉及的主要利益相关方包括州政府、监管机构（如公用事业委员会）、发电商、可再生能源绿色电力证书（以下简称2 | “绿证”或“REC”）交易经纪人、售电商等。配额制的实施大力推动了美国可再生能源的发展。2000年以来，美国新增可再生能源装机容量的56和新增非水可再生能源发电量的51.6都是由配额制直接或间接驱动实现的。自愿市场为有意愿采购绿电的消费者提供灵活多样的采购渠道，帮助企业履行可持续发展的社会责任，实现绿色发展的目标。在管制市场，绿电采购方主要通过公用事业绿色定价（utility green pricing）和公用事业绿色电费（utility green tariffs）两种途径采购绿电；在半管制市场，绿电采购方主要通过竞价市场采购绿电；在放松管制市场，自愿购电协议（PPA）是最常用的一种绿电采购方式，此外还有非捆绑的绿证市场、社区集中采购、社区太阳能、自行发电等采购模式。本报告还分别就管制市场的绿色电费项目和放松管制市场的自愿购电协议选取了案例进行剖析。除了市场主体，一些由政府机构和非政府组织发起的组织和平台也在积极推动美国的绿电采购。以绿色电力伙伴项目（GPP）、可再生能源买家联盟（REBA）和100可再生能源项目（RE100）为主的项目或机构正大力倡导推动清洁能源发展的社会合作，为企业的绿电采购提供了更广阔的平台。报告在最后总结了美国绿电市场相对成功的六条经验，希望给起步阶段的中国绿电市场带来一些借鉴与思考。1. 美国绿电交易的强制市场和自愿市场同时存在，两个市场既可相互关联运行，也可独立运行，市场结构明确，交易模式灵活多样。中国目前处于绿电市场发展的初期，可再生能源绿色电力证书自愿认购实施刚一年多，代表强制市场的可再生能源电力配额考核机制还在征求意见阶段。这两类市场及各自的绿证未来如何协调运作尚不明确。建议在初期，两类市场可独立运行，待相对成熟后建立统一体系。2. 美国绿电强制交易市场由州立法进行保障，且具有因地制宜的特点。中国目前实施的可再生能源法侧重从生产端增加可再生能源供应、改善能源结构，虽然在原则上鼓励在消费端消纳和使用可再生能源电力，但尚未提出任何具有约束性的机制。建议将拟实施的可再生能源电力配额制上升为下一轮可再生能源法修订的主要内容，以法律为保障，具体实施规则可通过法规和政策的形式加以体现。3. 美国绿电强制交易市场设计了合适的惩罚机制。通常罚金会高于采购可再生能源的成本，罚金所得会用于投资新的可再生能源项目。中国的可再生能源电力配额制于2009年被正式提出以来，经多次公开征集意见并修改，关于惩罚机制的制定也经历了反复讨论。然而，最新发布的国家发展改革委 国家能源局关于实行可再生能源电力配额制的通知（征求意见稿）（也被业内称为“第三次征求意见稿”）中，未见明确的惩罚措施，仅提到“各省级能源主管部门会同电力运行管理部门负责督促对未履行配额义务的电力市场主体限期整改，对未按期完成整改的市场主体依法依规予以处罚，将其列入不良信用记录，予以联合惩戒”。如果缺乏明确的惩罚机制，可再生能源电力配额制的实施效果将大打折扣。4. 美国建立两类追踪系统，分别用于追踪绿证和绿电采购合同，从而保证绿电产品所有权的清晰和唯一。目前中国的绿证自愿市场也有相应的追踪机制，但由于目前尚未开放二级市场，对追踪功能的要求并不高。考虑到中国即将实施强制性的配额考核，加上目前的绿证自愿市场也可能开放二级市场，现有的追踪机制亟待细化完善，尤其需要考虑电量实物消纳和绿证价格双重特性。5. 美国绿电自愿市场结构明确且灵活多样，多样化的绿电供应和采购渠道进一步扩大了绿电市场，满足了各种消费者的不同需求。中国目前的绿电消费途径包括自行发电、实体购电协议、从发电商处购买绿证（但没有直接购电）等几种，相对于美国的绿电自愿市场，市场灵活度相对较小，用户可选择的方式也较少。中国新一轮的以市场化为目标的电力体制改革已启动三年多，市场化交易的平台已经建立，建议结合近期已经开展或计划开展的分布式发电交易、风光平价上网试点等机会，开发更多的绿电自愿交易模式，为绿电用户提供更多的采购选择。6. 美国企业自愿采购绿电的驱动力既来自其社会责任意识，也来自直接的经济利益。一方面，企业通过采购绿电逐步承担起节能减排和推动社会可持续发展的责任；另一方面，可再生能源成本大幅降低使得企业采购绿电实际支付的成本较采购其他电力增加有限，并且长期购电协议等采购方式有助于企业在一定时期内锁定电力价格。目前中国绿电自愿认购进展缓慢，一方面是由于企业对于采购绿电带来的能源成本上升有所顾虑；另一方面，当前自愿绿证的价格是基于补贴强度设定的，普遍较贵，而用电企业在购买绿证后，既不能转售，又得不到其他方面的激励，很难有持续采购绿证的积极性。中国如果借着近年来可再生能源尤其是风光成本快速下降的有利条件，将绿电自愿认购市场向所有已投入发电的可再生能源项目开放，则可以较大幅度降低自愿绿证价格；如果将电价补贴与自愿绿证价格脱钩，则自愿绿证的价格可以与美国相当甚至更低；如果将绿电自愿采购与企业产品绿色认证、税收优惠等机制逐步挂钩，企业的环境意识和社会责任能得到更有力的体现，企业采购绿电的积极性也一定会得到加强。美国绿色电力市场综述工作论文 | 2019年 1月 | 3CUTIVE SUMMARYThe U.S. green power market emerged in the 1990s and has experienced exploration and practice for more than 20 years. Through promotion of state governments and active participation of market players, a market structure has emerged with flexible procurement s in which compliance and voluntary markets coexist. As a fast-growing economy, China is trying to promote low-carbon economy and sustainable development with unprecedented efforts. The construction of China’s green power market is still at a nascent stage and there are many problems that need to be solved. Several major issues that concern the domestic policy makers and market players include 1 How is the U.S. green power market organized and operated 2 What are the main approaches and key steps for green power procurement 3 What are some of the noteworthy procurement cases in regulated and deregulated markets respectively 4 What lessons can China learn from the U.S. experience This working paper first provides an in-depth analysis of the structure and the status of both compliance and voluntary green power markets in the U.S. This is followed by an overview of the green power procurement mechanisms, along with two case studies. It last summarizes the experience of the U.S. green power market to inspire Chinese policy makers and market players on green electricity market design and deal organization. This working paper is one of the output from the “Green Power Consumption” project, which was supported by Energy Foundation.There are two main types of green power market in the U.S. One is the compliance market or the mandatory market based on the Renewable Portfolio Standard RPS, and the other one is the voluntary market. Compliance markets are constructed by governments in certain states in accordance with RPS regulations in order to help compliance entities - such as electricity utilities, to meet compliance requirements, while voluntary market is driven by consumer preference for renewable energy.RPS is the core mechanism that drives the compliance market. The state-level RPS requires compliance entities to supply a minimum amount of green power within a specified time frame, and for those compliance entities that cannot meet the requirement on time, a penalty will be imposed. At present in U.S., there are 29 states, the District of Columbia, and three territories that have implemented the RPS, but with different targets, compliance entities, valid renewable energy technologies, and compliance deadlines. Main stakeholders involved in RPS include state governments, regulatory agencies such as Public Utilities Commission, power generators, renewable energy certificate REC brokers, power sellers, etc. RPS has greatly encouraged the development of renewable energy in the U.S. Since 2000, 56 of all newly installed capacity of renewable energy and 51.6 of newly non-hydro renewable energy generation is driven by RPS requirements in either a direct or an indirect way.The voluntary green power market has emerged in coexistence with the compliance market to satisfy customer preference for green power. It provides consumers with flexible and diverse procurement mechanisms, while for enterprises, it fulfills their social responsibilities on sustainable development and helps control cost with increasingly affordable renewable energy. In states with regulated power market, consumers usually purchase green power mainly through utility green pricing programs and utility green tariffs. In states with deregulated markets, consumers purchase green power through competitive supplier. In the semi-regulated market, voluntary Power Purchase Agreement PPA is most commonly used. Other s include voluntary unbundled RECs, community choice aggregation, community solar, and self-supply. In the penultimate section, this paper discusses two cases in green power procurement respectively in regulated and deregulated markets.In addition to government and market entities, some programs and organizations initiated by government agencies and NGOs are actively promoting green power procurement. The Green Power Partnership GPP, the Renewable Energy Buyers Alliance REBA, and RE100, for example, have been advocating social cooperation to promote clean energy development and these programs have provided a broader plat for corporate green power procurement.At the end of the report, we summarized some lessons from US experience, in the hope of providing some inspirations for Chin’s nascent green power market.I. The compliance and voluntary markets exist at the same time in the U.S. These two types of markets can either link to each other or operate independently. Besides, their respective market structures are clear, and trading mechanisms are flexible and varied. China is currently in an early stage of green power marketization. The voluntary market of REC has been 4 | on track for just over one year, and the RPS under compliance market is still in the consultation stage. It remains unclear how these two markets and their respective REC trading will coordinate in the future. We suggest that in the initial stage, compliance and voluntary markets should operate independently. A single unified market could be considered in the future when compliance and voluntary markets both mature. II. State legislation provides a legal guarantee for U.S. compliance market, which is characterized by the legislative adjustment based on local conditions. The “Renewable Energy Law” implemented in China mainly focuses on increasing the supply of renewable energy in upstream market and improving the energy structure, while no binding mechanism in the downstream market to ensure renewable energy adoption. We suggest that the RPS should be prioritized in the next revision of “Renewable Energy Law.” III. Penalty mechanism is an integral part of the U.S. compliance green power market with alternative compliance payments usually invested in new renewable energy projects. The RPS to be implemented in China has been discussed and updated several times, the penalty mechanism also differed a lot in different versions. Comparing to previous versions, the latest released RPS consultation draft weakened the penalty measures. If obligated entities failed to implement renewable obligation, they will be listed in bad credit file and get punishment. However, clear and specific penalty measures are absent, bringing high uncertainty of the effect of RPS implementation. IV. There are two ways to track green power transactions in the U.S. – one based on RECs and the other on procurement agreements. Either can assure a clear and unique ownership of green power products. At present, China has established a REC tracking mechanism in the voluntary market. Since secondary market for REC trading is not open to the public, the requirement for tracking system is not very strict. Given the mandatory RPS to be implemented in China soon and the prospect of opening the secondary market in REC voluntary trading, the current tracking mechanism must be strengthened and optimized in advance. V. The structure of the voluntary market in the U.S. is clear and flexible. Diversified green power supply and purchase channels have further expanded the green power market and meet the different needs of various customers. Compared to the U.S., flexibility in the Chinese voluntary market is relatively low, and end users usually do not possess that many options. A new round of China’s electricity system re with the goal of marketization was initiated three years ago. A plat for market-based transactions has been established. We propose that more purchase channels and more purchasing options should be developed for green power consumers in China. VI. In the U.S., it is both corporate social responsibility and economic interest that motivates and drives companies to purchase green electricity voluntarily. On one hand, companies gradually assume the responsibility for energy saving, emission reduction, and socially sustainable development through the procurement of green power. On the other hand, the cost of renewable energy has experienced a substantial reduction, and long-term power purchase agreements allow companies to hedge the risk of future energy price fluctuations in the long run. At present, the slow progress of China voluntary green power purchase is caused by mainly two concerns of end consumers first, the possible increase in energy cost due to green power procurement; second, the lack of incentives for companies to purchase RECs due to its high costs and non-transferability. If China takes advantages of the rapid decline in the cost of renewable energy, especially wind and solar, and allows voluntary REC market to open for all green power programs, it is expected that REC price would decline significantly. If the electricity subsidy is decoupled from the price of voluntary REC, the price of voluntary REC may be comparable to or even lower than that in the United States. If the voluntary procurement of green power is gradually linked to the green certification and tax credits, the environmental awareness and social responsibility of companies can be improved. The enthusiasm of companies for purchasing green power will also be strengthened.美国绿色电力市场综述工作论文 | 2019年 1月 | 5美国电力市场概况美国的整体电力市场主要是在管制市场（regulated market）和放松管制市场（deregulated market）的共同协调下运行的。在践行管制市场，如佛罗里达州、科罗拉多州，垂直一体化的公用电力事业覆盖了整个价值链（发电、传输、售电），并受到公共监管机构的监督。用户不具有自主选择电力供应商的权力，他们所在的区域决定了他们的电力供应商。在放松管制市场，比如得克萨斯州，公共事业以外的电力参与方拥有发电设备和电力传输系统。发电商将电力出售给批发市场，零售商购买电力并且出售给用户。用户可以自主选择他们想要的电力来源。整个传输环节由独立的第三方运营商或者区域输电管理机构进行监管。然而，由于管制市场和放松管制市场往往难以完全割裂，包括加利福尼亚州在内的美国部分地区则实行半管制市场（semi-regulated market），对一些大型工业和商业用户实行放松管制市场，对于其他零售用户则采取管制市场。美国整体电力市场的分类如图1所示。由于传统化石能源消耗带来的环境问题日益严峻，美国联邦和州层面分别出台了一系列激励政策来促进可再生能源的发展，绿电市场由此应运而生。在推动可再生能源增长领域，企业自愿购买绿电起了至关重要的作用。在过去几年中，随着可再生能源价格的大幅下降和其良好经济效益的日益显现，越来越多的企业承诺积极的可持续发展和可再生能源使用目标。自2013年起，企业可再生能源绿电直购在美国开始爆发式增长。 市场对可再生能源采购意愿和需求的日益增加也为之后相关政策的制定提供了参考。根据美国国家环境保护局的定义，绿电指的是利用可再生能源如风能、太阳能、生物质能、水能、地热能等生产的电能，包括风电、太阳能光伏发电、地热发电、生物质能气化发电和小水电，其中小水电多指对环境影响较小的低水坝电站发电。 有些州对发电技术进行了分类，在实施配额制的一些州，不同类别的发电技术所对应的配额目标及履约罚金也有所不同（见附录）。美国绿电市场主要有两种类型一是基于配额制的强制市场（compliance markets），二是自愿交易市场（voluntary markets）。强制市场是各州政府依据配额制相关法律法规建立的，目的是帮助承担配额义务的责任主体实现可再生能源配额目标。自愿市场则是消费者出于自身绿电消费意愿而采购可再生能源的市场。美国绿色电力强制交易市场2.1 可再生能源配额制配额制是驱动强制市场的核心政策机制，美国实施得较早。州级配额制要求电力供应商的绿电供应量在规定期限内必须达到一定比例，不能按时履约的责任主体则会受到相应的惩罚。目前美国已有29个州、华盛顿哥伦比亚特区和3个领地实施了配额制，责任主体的数量占美国全部电力零售商的56；另有8个州和1个领地提出了非强制的可再生能源目标。 美国配额制落实情况如图2所示，以截至2018年10月的数据为例。各州的可再生能源配额标准、支持的可再生能源技术、履约期限等细节各有不同，并且会定期更新。部分州对绿电技术的分类及对应的履约罚金见表1。图 1 | 美国整体电力市场的分类管制市场 （ regulated market）半管制市场 （ semi-regulated market）美国整体电力市场放松管制市场 （ deregulated market）佛罗里达州、 科罗拉多州等加利福尼亚州等得克萨斯州等6 | 图 2 | 美国各州配额制目标来源www.dsireusa.org / 2018 年 10 月更新表 1 | 部分州对绿电技术的分类及对应的履约罚金一类（ Tier 1） 二类（ Tier 2）华盛顿州太阳能（发电或发热）、风能、能效大于 65 的生物质能、垃圾填埋气发电垃圾填埋气发电、地热能、海洋能、由一类能源提供的燃料电池、用于加热的废弃用水除抽水蓄能发电外的水电* 必须为 2014 年 1 月 1 日前投产的设施*2019 年后，二类可再生能源不纳入配额制的计算履约罚金50 美元 /MWh 履约罚金10 美元 /MWh纽约州主要类别（Main Tier）生物质能、液态生物质燃料、燃料电池、水电、光伏、海洋能、潮汐能和风能* 适用于大规模发电设施用户侧类别（Customer-Sited Tier， CST ）燃料电池、光伏、太阳能、风电、甲烷消化器* 适用于小规模的用户侧的发电设施/ /新泽西州太阳能、光伏、风能、燃料电池、地热能、潮汐能、垃圾填埋气发电，以及 2012 年 7 月 23 日后投产的小于 3MW 的水电设施小于 30 MW 的水电设施履约罚金 50 美元 /MWh 履约罚金 50 美元 /MWh马里兰州太阳能、风能、生物质能、垃圾填埋气发电、燃料电池、地热能、海洋能、小于 30MW 的水电站、废弃物发电除抽水蓄能以外的水电履约罚金40 美元 /MWh 2016 年前 ，3 7. 5 美元 /MWh2017 年起 履约罚金15 美元 /MWh宾夕法尼亚州太阳能（光伏太阳能和光热太阳能）、风能、低影响的水电、地热能、生物质能、燃料电池、煤层气废弃煤炭、大规模水电站（包括抽水蓄能发电）、固体废弃物、整体煤气化联合循环、制浆或木材加工过程中的发电履约罚金 45 美元 /MWh 履约罚金 45 美元 /MWhHI 1002045OR 502040*large utilitiesMN 26.52025 IOUs31.52020XcelNM 202020*IOUsWA 152020*MT