世界资源研究所 工作论文 WORLD RESOURCES INSTITUTE 美国绿色电力市场综述 GREENPOWERMARKET:USEXPERIENCE 袁敏苗红时璟丽彭澎著 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 目录 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 执行摘要 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 Executive Summary - 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 美国电力市场概况 5 电市场的建立正在起步阶段.
尚有诸多问题函待解决.
本报告围绕 美国绿色电力强制交易市场 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 美国绿色电力自愿交易市场 10 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 美国绿色电力追踪机制 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 美国绿电采购合作平台 15 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 美国绿色电力交易案例 ..16 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 对中国绿色电力市场的启示 20 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 附录：美国各地建立的十个地区性绿证追踪系统 动”项目的成果之一.
参考文献 . 24 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 缩略语表 25 26 [简称“自愿市场”）.
强制市场是各州政府依据配额制相关法律 致谢 27 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.
“工作论文”包括初步的研究、分析、结果和意见.
“工 作论文”用于促选讨论，征求，对新事物的争论施加 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 影响.
工作论文最终可能以其他形式进行发表，内容可能 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 会修改.
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 引用建议：袁敏苗红时璟丽彭澎著.美国绿色电力市 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 场综述.2019.工作报告，北京：世界资源研完所. 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 WORLD RESOURCES INSTITUTE 工作论文|2019年1月|1
“绿证”或“REC”】交易经纪人、售电商等.
配额制的实施大力 “第三次征求意见稿”）中，未见明确的惩罚措施，仅 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 提到“各省级能源主管部门会同电力运行管理部门负责 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 督促对未履行配额义务的电力市场主体限期整改，对未 额制直接或间接驱动实现的.
按期完成整改的市场主体依法依规予以处罚，将其列入 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 不良信用记录，予以联合惩戒”.
如果缺乏明确的惩罚 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 机制，可再生能源电力配额制的实施效果将大打折扣.
标.
在管制市场，绿电采购方主要通过公用事业绿色定价（utility 4美国建立两类追踪系统，分别用于追踪绿证和绿电采购 green pricing）和公用事业绿色电费（utility green tariffs）两种途 合同，从而保证绿电产品权的清晰和唯一.
目前中 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缘 国的绿证自愿市场也有相应的追踪机制，但由于目前尚 电：在放松管制市场，自愿购电协议（PPA）是最常用的一种绿电 未开放二级市场，对追踪功能的要求并不高.
考虑到中 采购方式.
此外还有非插绑的绿证市场、社区集中采购、社区太阳 国即将实施强制性的配额考核，加上目前的绿证自愿市 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 场也可能开放二级市场，现有的追踪机制函待细化完 目和放松管制市场的自原购电协议选取了案例进行制析.
善，尤其需要考虑电量实物消纳和绿证价格双重特性.
除了市场主体，一些由政府机构和非政府组织发起的组 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 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 应和采购渠道进一步扩大了绿电市场，满足了各种消费者 （GPP）、可再生能源买家联盟（REBA）和100%可再生能源项 的不同需求.
中国目前的绿电消费途径包括自行发电、 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 实体购电协议、从发电商处购买绿证（但没有直接购电） 会合作，为企业的绿电采购提供了更广阅的平台.
等几种，相对于美国的绿电自愿市场，市场灵活度相对较 报告在最后总结了美国缘电市场相对成功的六条经验，希望 小，用户可选择的方式也较少.
中国新一轮的以市场化为 给起步阶段的中国绿电市场带来一些借鉴与思考.
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 1.美国缘电交易的强制市场和自愿市场同时存在，两个市 交易、风光平价上网试点等机会，开发更多的绿电自愿交 场既可相互关联运行，也可独立运行.
市场结构明确.
易模式，为绿电用户提供更多的采购选择.
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， 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 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 承担起节能减排和推动社会可持续发展的责任：另一方 尚不明确.
建议在初期，两类市场可独立运行，待相对 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 成熟后建立统一体系.
购方式有助于企业在一定时期内锁定电力价格.
目前中国 2.美国绿电强制交易市场由州立法进行保障，且具有因地 绿电自惠认购进展缓慢，一方面是由于企业对于采购绿电 制宜的特点.
中国目前实施的《可再生能源法》侧重从 带来的能源成本上升有所顾虑：另一方面，当前自愿绿证 生产端增加可再生能源供应、改善能源结构，虽然在原 的价格是基于补贴强度设定的，普逾较贵，而用电企业在 则上鼓励在消费端消纳和使用可再生能源电力，但尚未 购买绿证后，既不能转售，又得不到其他方面的激励，很 提出任何具有约束性的机制.
建议将拟实施的可再生能 难有持续采购绿证的积极性.
中国如果借着近年案可再生 源电力配额制上升为下一轮《可再生能源法》修订的主 能源尤其是风光成本快速下降的有利条件.
将绿电自愿认 要内容，以法律为保障，具体实施规则可通过法规和政 购市场向已投入发电的可再生能源项目开放，则可以 策的形式加以体现.
较大幅度降低自愿绿证价格：如果将电价补贴与自惠绿证 价格脱钩，则自愿绿证的价格可以与美国相当甚至更低： 3.美国绿电强制交易市场设计了合适的惩罚机制.
通常罚 如果将绿电自愿采购与企业产品绿色认证、税收优惠等机 金会高于采购可再生能源的成本，罚金所得会用于投资 制逐步挂钩，企业的环境意识和社会责任能得到更有力的 新的可再生能源项目.
中国的可再生能源电力配额制于 体现，企业采购绿电的积极性也一定会得到加强.
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 2WORLD RESOURCESINSTITUTE
美国绿色电力市场综述 EXECUTIVESUMMARY in RPS include state governments regulatory agencies (such as Public Utilities Commission) power generators The U.S. green power market emerged in the 1ggos and renewable energy certificate (REC) brokers power sellers has experienced exploration and practice for more than etc. RPS has greatly encouraged the development of 20 years. Through promotion of state governments and renewable energy in the U.S. Since 20oo 56% of all newly active participation of market players a market structure installed capacity of renewable energy and 51.6% of newly has emerged with flexible procurement methods in qp s aaas which pliance and voluntary markets coexist. As a requirements in either a diret or an indireet way. fast-growing economy China is trying to promote low- carbon economy and sustainable development with unprecedented efforts. The construction of China’s green The voluntary green power market has emerged in power market is still at a nascent stage and there are many coexistence with the pliance market to satisfy problems that need to be solved. Several major issues that customer preference for green power. It provides consumers with flexible and diverse procurement concern the domestic policy makers and market players include: (1) How is the U.S. green power market organized mechanisms while for enterprises it fulfills their and operated? (2) What are the main approaches and key social responsibilities on sustainable development s are p ( d od a r sa and helps control cost with increasingly affordable of the noteworthy procurement cases in regulated and renewable energy. In states with regulated power market deregulated markets respectively? (4) What lessons can e amod a asd ensn sau China learn from the U.S. experience? This working paper pesd d first provides an in-depth analysis of the structure and In states with deregulated markets consumers purchase the status of both pliance and voluntary green power green powerthrough petitive supplier.Inthe semi- markets in the U.S. This is followed by an overview of the regulated market voluntary Power Purchase Agreement green power procurement mechanisms along with two (PPA) is most monly used. Other methods include case studies. It last summarizes the experience of the U.S. voluntary unbundled RECs munity choice green power market to inspire Chinese policy makers and aggregation munity solar and self-supply. In the market players on green electricity market design and penultimate section this paper diseusses two cases in deal organization. This working paper is one of the output ue paenlau u raagoadsau puaanad ramod uaan from the “Green Power Consumption" project which was deregulated markets. supported by Energy Foundation. In addition to government and market entities some There are two main types of green power market in the programs and organizations initiated by government U.S. One is the pliance market (or the mandatory agencies and NGOs are actively promoting green power market) based on the Renewable Portfolio Standard procurement. The Green Power Partnership (GPP) the (RPS) and the other one is the voluntary market. Renewable Energy Buyers Alliance (REBA) and RE100 Compliance markets are constructed by governments in for example have been advocating social cooperation to certain states in accordance with RPS regulations in order promote clean energy development and these programs to help pliance entities such as electricity utilities to have provided a broader platform for corporate green meet pliance requirements while voluntary market is power procurement. driven by consumer preference for renewable energy. At the end of the report we summarized some lessons RPS is the core mechanism that drives the pliance from US experience in the hope of providing some market. The state-level RPS requires pliance entities inspirations for Chin’s nascent green power market. to supply a minimum amount of green power within a specified time frame and for those pliance entities I.The pliance and voluntary markets exist at the that cannot meet the requirement on time a penalty same time in the U.S. These two types of markets can will be imposed. At present in U.S. there are 29 states either link to each other or operate independently. the District of Columbia and three territories that Besides their respective market structures are clear have implemented the RPs but with different targets and trading mechanisms are flexible and varied. pliance entities valid renewable energy technologies China is currently in an early stage of green power and pliance deadlines. Main stakeholders involved marketization. The voluntary market of REC has been 工作论文2019年1月3
on track for just over one year and the RPS under purchase channels have further expanded the green pliance market is still in the consultation stage. power market and meet the different needs of various It remains unclear how these two markets and their customers. Compared to the U.S. flexibility in the respective REC trading will coordinate in the future. Chinese voluntary market is relatively low and end We suggest that in the initial stage pliance and users usually do not possess that many options. A new voluntary markets should operate independently. A round of China’s electricity system reform with the single unified market could be considered in the future goal of marketization was initiated three years ago. when pliance and voluntary markets both mature. A platform for market-based transactions has been established. We propose that more purchase channels IIl. State legislation provides a legal guarantee for U.S. and more purchasing options should be developed for pliance market which is characterized by the green power consumers in China. legislative adjustment based on local conditions. The “Renewable Energy Law" implemented in China mainly VI. In the U.S. it is both corporate social responsibility focuses on increasing the supply of renewable energy in and economice interest that motivates and drives upstream market and improving the energy structure panies to purchase green electricity voluntarily. while no binding mechanism in the downstream On one hand panies gradually assume the market to ensure renewable energy adoption. We responsibility for energy saving emission reduction suggest that the RPS should be prioritized in the next and socially sustainable development through the revision of *Renewable Energy Law." procurement of green power. On the other hand the cost of renewable energy has experienced a substantial III. Penalty mechanism is an integral part of the U.S. reduetion and long-term power purchase agreements pliance green power market with alternative allow panies tohedge the risk of future energy pliance payments usually invested in new price fluetuations in the long run. At present the slow renewable energy projeets. The RPS to be and amod uaa ea go ssaod implemented in China has been discussed and is caused by mainly two concerns of end consumers: updated several times the penalty mechanism also first the possible increase in energy cost due to green differed a lot in different versions. Comparing to power procurement; second the lack of incentives previous versions the latest released RPS consultation for panies to purchase RECs due to its high costs draft weakened the penalty measures. If obligated and non-transferability. If China takes advantages entities failed to implement renewable obligation they of the rapid decline in the cost of renewable energy will be listed in bad credit file and get punishment. especially wind and solar and allows voluntary REC However clear and specific penalty measures are market to open for all green power programs it is absent bringing high uncertainty of the effect of RPS expeeted that REC price would decline significantly. implementation. Iftheelectricity subsidy is decoupled from the price of voluntary REC the price of voluntary REC may be IV. There are two ways to track green power transactions parable to or even lower than that in the United in the U.S. one based on RECs and the other on States. If the voluntary procurement of green power procurement agreements. Either method can assure a is graduallylinked to the green certification and tax d aod oduo nbunp a credits the environmental awareness and social At present China has established a REC tracking responsibility of panies can be improved. The enthusiasm of panies for purchasing green power mechanism in the voluntary market. Since secondary market for REC trading is not open to the public the will also be strengthened. 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 4|WORLD RESOURCES INSTITUTE
美国绿色电力市场综述 美国电力市场概况 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， 美国的整体电力市场主要是在管制市场（regulated market） 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 和放松管制市场（deregulated market）的共同协调下运行的.
在 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 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 所对应的配额目标及履约罚金也有所不同【见附录】.
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 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 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 ( pliance markets ） 二是白愿交易市场 ( voluntary markets ）.
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 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 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 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 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 消费者出于自身绿电消费意愿而采购可再生能源的市场.
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 美国绿色电力强制交易市场 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.
2.1可再生能源配额制 由于传统化石能源消耗带来的环境问题日益严酸，美国联邦 配额制是驱动强制市场的核心政策机制，美国实施得较早.
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 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 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 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 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 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 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 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 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 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 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 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 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.
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 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 金见表1.
图1|美国整体电力市场的分类 佛罗里达州、 (a4zw paqnbau ) 科罗拉多州等 美国整体电力市场 ( seni-regulaed market ) 加利福尼亚州等 放松管利市场 ( deregulated market ) 得克萨斯州等 工作论文|2019年1月15
