澳大利亚电网监管信息保密与披露指南
编者按:在澳大利亚电力市场体系中,市场监管规则是保障市场机制发挥有效作用的重要组成部分。出于其完整性和严谨性需要,监管规则大都篇幅冗长、晦涩难懂。为了帮助更多的市场主体了解市场监管规则,澳大利亚能监会在其网站上通常刊登提纲挈领,阐述要义的总结性短文。我们认为这些短小精干文章可以起到帮助国内读者大致了解澳大利亚电力市场法规的作用。因而我们有意将世界各国电力市场监管机构和市场运营机构发表的这种风格文章收集起来,以中英对照的形式把原文和译文提供给读者,形成系列,希冀对电改有所帮助。我们也希望认同我们想法的专家积极踊跃投稿。
本文资料来自澳大利亚能源监管会网站,明确说明了电网企业如何上报保密信息,澳大利亚能监会如何评定保密信息,并处理好企业需要保密信息与信息公开披露要求之间的关系,从而形成一个公平、透明的电网监管程序。我们认为,澳大利亚能源监管会的做法对我国开展电力监管工作具有一定的借鉴意义。
The confidentiality guideline sets out how energy network businesses must make confidentiality claims over information they submit to us. This guideline balances protecting genuinely confidential information with ensuring that stakeholders can access sufficient information on issues affecting their interests.
本指南规定了能源网络企业如何对他们提供给澳大利亚能源监管会(以下简称能监会)的信息提出保密性要求。本指南的目的是协调平衡既要保护真正的保密信息,又要确保利益相关方能够获取足够有关影响其利益的信息。
什么是保密信息?
Energy network businesses may provide us with information voluntarily, or they may be obliged to. When a business provides information voluntarily it can claim that all or part of the information is confidential—meaning it does not want that information publically disclosed. We also have the power to oblige businesses to provide us with information in some circumstances. Information collected in this way is automatically classified as confidential. In both these cases, we have the power to assess the confidential information and can make the information public in some circumstances.
能源网络企业或者自愿或者可能有义务向能监会提供信息。当企业自愿提供信息时,它可以声明全部或部分信息是保密的,即它不希望公开披露这些信息。在某些情况下,能监会也有权力强制性地要求企业提供信息,以这种方式收集的信息自动地被归类为保密信息。能监会有权评定在这两种情况下归类为保密的信息,并可以在特定情况下公布这些信息。
For example, energy network businesses plan the expenditure they will need to supply consumers over the next five year period. Businesses must submit extensive amounts of information on their expenditure plans to support their proposals. Publishing this information promotes a transparent regulatory process.
例如,能源网络企业计划制定在未来五年向消费者供电所需的支出。企业必须提交大量有关其支出计划的信息来支撑他们的申报。公开发布这些信息会促进监管程序的透明。
However, in limited cases the benefit of publishing some of this information may be outweighed by the potential harm. For example, a business may provide an estimate of the cost of providing a service it plans to competitively tender for. If we published their cost expectations it could impact their ability to be competitive in the tender, and ultimately increase the costs to consumers.
但是,在有限的情况下,发布某些信息的益处可能会少于潜在的损害。例如,企业可能提供其计划开展的某项服务竞争性招标的成本估算,如果能监会公布他们的成本预期,就可能会影响他们在招标中的竞争能力,并最终增加消费者的成本。
We want to balance protecting confidential information with disclosing information to create an open and transparent regulatory decision making process. This balance involves all stakeholders having access to sufficient information to understand and assess the substance of issues affecting their interests. 能监会希望平衡保护保密信息和披露信息,以建立一个开放和透明的监管决策程序。这种平衡可确保所有利益相关方都能获得足够的信息,以便了解和评估影响其利益问题的实际质性内容。
保密程序适用于谁?
Electricity network businesses must make confidentiality claims in their regulatory proposals following our confidentiality guideline. We will also use our information gathering powers under the national gas law to require gas network businesses to use the confidentiality template in the guideline during gas determinations.
电网企业在收入申报中作出保密声明时必须遵照能监会的保密指南。能监会也会行使由国家天然气法所赋予的信息收集权,要求燃气网企业在气网定价时使用指南的保密信息模板。
All energy network businesses must use the template to respond to notices we issue using our information gathering powers under the national electricity and gas laws.
所有能源网络企业都必须使用能监会编制的模板回复能监会发出的信息收集通知函。能源监管会的信息获取权是由国家电力和天然气法规所赋予的。
We ask that all other stakeholders use the confidentiality template if they want to submit confidential material to us. There is no binding obligation for other stakeholders to do this. However, we consider the benefit of following our confidentiality process is a robust and transparent regulatory process for all our stakeholders.
能监会恳请所有其他利益相关方在向能监会提交保密材料时也使用保密信息模板。虽然要求其他利益相关方这样做并不是具有约束性的义务,但是能监会认为,遵循其保密程序有益于为所有的利益相关者提供一个健全和透明的监管程序。
能监会的保密程序是什么样的?
The confidentiality guideline sets out a two stage process for managing businesses’confidentiality claims. The first stage occurs before we receive any proposal from a business. We'll encourage all stakeholders to discuss what information may be confidential. These discussions should focus on developing a shared practical understanding of the confidential information and the access necessary to strike the balance we seek.
本保密指南制定了处理企业保密声明的两个阶段流程。第一阶段发生在能监会收到企业任何收入申报之前。能监会鼓励所有的利益相关者参与讨论哪些信息可能是要保密的。讨论应集中在寻求监管公开透明与信息保密两方面平衡而进行必要的信息披露问题上达成可行的共识。
Our aim in the first stage is to reach agreement with the business on what information is confidential. Discussions in the first stage may result in any mix of the following positive outcomes:
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narrower confidentiality claims
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fewer redactions in public versions of documents
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detailed information disclosed but adjusted to protect sensitive elements
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limited release of confidential information, such as through confidentiality undertakings.
能监会在第一个阶段的目标是与电网企业就保密信息范围达成一致。与电网企业在第一个阶段的沟通讨论可能达到如下的积极结果:
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缩小保密信息的范围
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减少公布公开文件中涂黑删节的内容
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调整披露信息的细节以保护敏感部分
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在有限范围内披露保密信息,比如通过保密承诺书的方式。
The second stage is when a business submits a proposal. The business must complete the confidentiality template in the guideline. The template requires the business to outline what information is confidential, explain why, and categorise the types of information.
能监会处理保密信息的第二阶段是在电网企业提交收入申报时。企业必须填写申报指南中的保密信息模板。模板要求电网企业描述框定哪些信息是保密的,说明需要保密的理由,并将保密信息分类。
We will assess each confidentiality claim on its merits. Classification into a category does not guarantee protection. 能源监管会将根据每条声明为保密信息的实质进行研判。声明保密信息本身并不保证信息不被披露。
当能监会认可保密信息时会发生什么?
In all cases, the business must complete the confidentiality template. If we reached an understanding in the first stage of our process and agree with the claims, we can proceed to disclose all the information we possibly can for stakeholders, while protecting genuinely confidential information.
企业在任何情况下都必须完整地填写保密信息模板。如果能监会在第一阶段认可并同意这些信息保密的声明,则可以进入下一阶段,向利益相关方披露所有能监会能够公开的信息,同时保护真正的机密信息。
如果能监会不认可保密信息会发生什么?
We aim to resolve as many confidentiality issues as possible in the first stage of our process. Where agreement is not possible, we may decide to use our formal disclosure powers to publish the information.
能监会的目标是在流程的第一阶段尽可能多地解决有关保密的问题。在无法达成一致的情况下,能监会可能决定行使其信息披露的职权,发布信息。
For example, we can disclose information a business claims is confidential, if we consider the public benefit outweighs any harm or disclosure will afford natural justice to a person affected by our decision.
例如,能监会在认为从公共利益来看是利多弊少,或披露将赋予受能监会决定影响的人以公正的情况下,可以公布企业已声明为保密的信息。
保密信息的类别是哪些?
The confidentiality guideline sets out the following categories businesses must use to classify confidential information:
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information affecting the security of the network—information that may jeopardise security of the network or its ability to operate effectively;
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market sensitive cost inputs—such as supplier prices, internal labour costs, or information affecting the business’ ability to obtain competitive prices;
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market intelligence—information that may advantage the business’ competitors for non-regulated or contestable services;
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strategic information—such as the acquisition of land and easements, which might impact the business’ ability to negotiate a fair market price for these items;
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personal information—information about an individual or customer which raises privacy considerations;
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other—information the business claims is confidential but doesn't fit into any other category.
保密指南规定企业必须使用的以下类别对保密信息进行分类:
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影响电网安全的信息 — 可能损害电网安全及有效运行能力的信息;
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市场敏感的成本数据 — 例如供应商价格、企业自身人力成本、以及影响企业获得有竞争力价格的信息;
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市场情报 — 可能给企业竞争对手在非管制业务或竞争性业务上带来优势的信息;
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战略信息 — 如购地和租地意向,可能影响企业谈判市场公平价格能力的信息;
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隐私信息 — 涉及个人或客户隐私的信息;
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其它 — 企业声明的为保密信息的,但不属于上述任何一个类别的信息。
(译者感谢先见能源专家彭立斌、尹明在百忙中抽出宝贵时间阅读原文和译文,提出诸多修改意见。)
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