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| Notice of the National Development and Reform Commission and the National Energy Administration on Actively Promoting Market-oriented Electricity Trading and Further Improving the Trading Mechanism

Release Date: 2018-08-01

Development and Reform Operation [2018] No. 1027

Provinces, autonomous regions, municipalities directly under the Development and Reform Commission, economic and information commission (Industry and Information Commission, industry and information Office), energy bureau, Price bureau,The National Energy Administration sent energy regulatory agencies,State Grid Corporation Limited, China Southern Power Grid Limited liability Company,China Huaneng Group Co., LTD., China Datang Group Co., LTD., China Huadian Group Co., LTD., State Power Investment Group Co., LTD., China Three Gorges Group Co., LTD., China Energy Investment Group Co., LTD., China National Nuclear Corporation Co., LTD., China General Nuclear Power Corporation, China Resources Group Co., LTD. :

  The Central Economic Work Conference pointed out that in 2018, the construction of the electricity market should be accelerated and the proportion of market-oriented transactions should be significantly increased。In the government work report, we will accelerate the reform of market-oriented factor prices。To fully implement the spirit of the 19th CPC National Congress and the second and Third Plenary Sessions of the 19th CPC Central Committee,Guided by the Thought on Socialism with Chinese Characteristics for a New Era,We will earnestly implement the plans of the Central Economic Work Conference and the Government Work Report,We will continue to develop electricity plans in an orderly manner,We will accelerate market-based electricity trading,Improve the direct trading mechanism,We will deepen reform of the electric power system,The relevant matters are hereby notified as follows。

  First, increase the scale of market-based electricity transactions

  (1) All localities should sum up the work experience of market-oriented electricity trading,Combine with practice,Further accelerate the reform of the electric power system,Accelerate the development of electricity plans,We will accelerate the opening up of power users other than those without bargaining power to participate in trading,Expand the scope of market entities,Build a multi-party power market,We will significantly increase the scale of market-based electricity transactions,We will coordinate plans to expand the scale of market-based transactions and expand the use of electricity。In the pilot areas of spot power market, the reform path of power generation plan can be designed according to the actual situation。

  (2) All localities should be based on actual conditions,Coordinate power generation side release rhythm,We will balance total supply and demand,Further clarify the time for all types of power generation enterprises, power users and electricity sales enterprises to enter the market,Clear liberalization ratio,Formulate specific work plans,And further improve and standardize the market entities participating in market transactions such as power generation enterprises, power users and electricity sales enterprises access standards, access procedures and exit mechanisms,Make public。

  (3) All localities should remove restrictions on market players' participation in cross-provincial and cross-regional electricity market transactions,Power grid enterprises are encouraged to participate in cross-provincial and cross-regional power trading according to the supply and demand situation and the completion of clean energy quotas,First, encourage cross-provincial and cross-regional network-to-network and network-to-point direct transactions,For areas with conditions,Orderly support for point-to-network, point-to-point direct transactions,We will promote the optimal allocation of resources and the consumption of clean energy on a large scale。The two power trading centers in Beijing and Guangzhou should actively create conditions, improve rules, strengthen mechanism construction, build platforms, and organize and carry out cross-provincial and cross-regional market-oriented transactions。

  (4) In order to promote the consumption of clean energy, support power users to carry out market-oriented transactions with clean energy power generation enterprises such as hydropower, wind power, solar power, and nuclear power。Local governments bear the main responsibility for the implementation of the quota system, power grid enterprises bear the organizational responsibility for the implementation of the quota system, and power users participating in the market and other power users should bear the responsibility for the consumption of quotas as required, and fulfill the obligation of clean energy consumption。

  Second, promote all kinds of power generation enterprises to enter the market

  (1) Speed up the release of coal power units to participate in direct electricity trading,"Several Opinions of the Central Committee of the Communist Party of China and The State Council on Further Deepening the Reform of the Electric Power System" (Zhongfa [2015] No. 9) document approved after the implementation of coal power units,In principle, no more power generation plans will be arranged,All of them will be included in market transactions after production,Encourage and support environmentally friendly and efficient units, especially ultra-low emission units, through direct power trading and scientific scheduling of multiple power generation。

  (2) Under the premise of overall consideration and proper handling of cross-subsidies in electricity prices, orderly liberalization of hydropower to participate in electricity market trading。In areas where the consumption is not limited, according to the average power generation capacity of hydropower stations for many years or the actual power generation capacity of the previous year, the priority power generation plan is arranged according to the comprehensive consideration of the delivery and local consumption, and the hydropower is encouraged to actively participate in the electricity market trading on the basis of ensuring priority power generation and priority power purchase。In areas with a significant hydropower ratio or limited consumption, hydropower can be liberalized in an orderly manner according to the actual situation, and the proportion of hydropower participating in market-oriented transactions can be expanded。We will further improve the system of giving priority to power generation and power purchase, establish a mechanism for prioritizing the purchase of high-quality power sources such as hydropower, and improve the ability to guarantee the priority purchase of electricity for residents and agricultural users。

  (3) On the premise of ensuring the safety of power supply,Improve and innovate trading rules,Promote the planned renewable energy such as wind power and solar power generation to participate in direct trading, alternative thermal power generation rights trading and cross-provincial and cross-regional spot trading pilots in addition to ensuring the number of hours of use,By actively participating in market transactions,Increase grid power,Promote absorption。All localities should reasonably determine the number of hours of guaranteed use of renewable energy in light of the actual situation, and do a good job in the connection between priority power generation protection and market consumption。

  (4) Enterprises with self-owned coal-fired power plants shall, in accordance with the relevant provisions of the State, undertake government-managed funds, additional, policy-based cross-subsidies, universal services and social responsibilities,Obtain an electricity business license,Meet the requirements of energy efficiency and environmental protection,After becoming a qualified market entity,Orderly promote its self-generated non-self-use electricity to participate in trading according to trading rules。In order to promote and encourage the comprehensive utilization of resources, we will continue to implement relevant support policies such as reducing and reducing system backup costs and policy-based cross-subsidies for the comprehensive utilization of resources such as waste heat, pressure, and gas power generation units that are self-used by enterprises。

  (e) Under the condition of ensuring safety, steadily and orderly promote the entry of nuclear power units into the market, in addition to ensuring priority power generation plans, encourage nuclear power units to achieve multiple transactions through participation。

  (6) Carry out the pilot work of market-oriented trading of distributed generation in an orderly manner, and participants in the transaction should determine the distribution price scientifically and reasonably。

  (7) The power generation enterprises participating in the transaction shall meet the national and industrial standards for unit energy consumption, environmental protection emissions and grid-connected safety of their projects。Power generation enterprises that do not meet national industrial policies, fail to complete energy-saving and water-saving targets, fail to meet emission standards and total control requirements of pollutants, violate regulations in construction, and fail to obtain power business licenses (except those exempt from licenses according to law) shall not participate。

  Third, let qualified users enter the market

  (1) Under the premise of ensuring grid security, properly handling cross-subsidies and fair commitment to clean energy quotas, orderly release of user voltage levels and power consumption restrictions, and qualified users of 10 kV and above voltage levels can participate in the transaction。Support users with annual electricity consumption of more than 5 million KWH to carry out direct electricity transactions with power generation enterprises。In 2018, the power generation plan of power users in four industries, including coal, steel, nonferrous metals and building materials, will be lifted, and all power will participate in the transaction and bear the clean energy quota。

  (2) Support high-tech, Internet, big data, high-end manufacturing and other high value-added emerging industries, as well as local clear advantages and characteristics of the industry, high-tech enterprises to participate in the transaction, not subject to voltage levels and power consumption restrictions。

  (3) Support industrial parks, industrial parks and economic and technological development zones to participate in the transaction as a whole, on the basis of completing the collection of electric energy information in the park, the park can be the unit to set up a power sale company to participate in the market transaction as a whole。The deviation of the park's overall participation in the transaction can explore the mechanism of adjustment and balance of surplus and deficiency in the park enterprises。

  (4) Areas where conditions permit,Commercial enterprises other than large industrial users can also enter the market,Enterprises in the retail, accommodation and catering service industries (such as hotels, shopping malls, etc.) with large and stable power consumption can be first released.,And gradually open business services, foreign trade and processing, finance, real estate and other enterprises to participate in the transaction。

  (5) Under the condition of developing and improving safeguard measures, prudently allow enterprises in public service industries such as railway, airport, municipal lighting, water supply, gas supply and heat supply to participate in the transaction。

  (6) In light of the progress of the construction of the electricity market, encourage and allow users who have priority to purchase electricity to enter the market on a voluntary basis。

  (7) All localities can determine the user voltage level and power consumption limit on their own in light of the actual situation, expand the scope of deregulation, and new large industrial users can guarantee power supply through participation in transactions in principle。For power users participating in market transactions, their unit energy consumption and environmental protection emissions shall meet standards。

  Fourth, actively cultivate the main body of the electricity market

  (a) actively promote the sale of electricity enterprises to participate in the transaction, after the sale of electricity enterprises to fulfill the relevant procedures, can be regarded as a large user and power generation enterprises to carry out direct transactions, purchase electricity from power generation enterprises to sell to users, or through trading institutions to participate in various transactions according to the rules。Regulate the business behavior of electricity selling companies and encourage them to compete by reducing costs and providing value-added services。

  (2) Encourage water supply, gas supply, heat supply and other public service industries and energy-saving service companies to engage in the business of selling electricity。Encourage electric energy service providers, load integrators, and power demand side management service providers to expand their business scope and help users carry out electricity market transactions。

  (3) Actively support all kinds of electricity sales companies to participate in transactions on behalf of small and medium-sized users, help users understand the electricity consumption curve, explore the establishment of balance and deviation assessment mechanisms for electricity sales enterprises, improve market awareness, and reduce market risks。

  Fifth, improve the market entity registration, publicity, commitment, record system

  (A) power generation enterprises, power users and electricity sales enterprises and other market entities need to register with the power trading institutions to become qualified market entities;Trading institutions provide registration services for various market entities, prepare registration procedures, guidelines, and conduct registration training for market entities。

  (2) Power generation enterprises and power users sign letters of credit commitment in accordance with requirements and fixed formats,Submit registration materials to the trading institution,And responsible for the authenticity, accuracy, compliance and completeness of the submitted materials,After the trading institution receives the registration application and registration materials submitted by the enterprise,In principle, complete the material integrity verification within 7 working days,Automatic registration。Electricity selling enterprises shall be registered in accordance with the relevant provisions of the Administrative Measures for the Access and Exit of electricity selling Companies。

  (3) Market entities such as power generation enterprises, power users and power sales enterprises shall be included in the list of market entities after completing the registration procedure and obtain trading qualifications。Trading institutions will regularly register the registration of market players with energy regulators, relevant departments of provincial governments and national industry associations and credit service agencies introduced by the government, and implement dynamic management of the list of market players。

  6. Regulate the trading behavior of market entities

  (1) After registering as a qualified market entity, power generation enterprises, power users and power sales enterprises shall voluntarily participate in all kinds of transactions on the power trading platform in accordance with the approved and published trading rules, abide by relevant regulations, submit to unified scheduling management and market operation management, and accept the supervision of relevant government departments。Market entities choose to enter the market and cannot withdraw within three years to form prices through market competition。The relevant departments of all regions shall minimize the interference in micro-affairs, fully respect and give play to the market dominant position of enterprises, shall not interfere with the signing of contracts by enterprises, shall not force enterprises to determine electricity and electricity prices, shall not interfere with the performance of contracts, and shall not implement local protection。

  (2) Direct transactions between power generation enterprises and power users or power selling enterprises,To ensure fair competition,Electricity trading institutions shall conduct audits of market transactions,Market players should strictly implement the transmission and distribution prices, including government-managed funds and additional and policy-based cross-subsidies,We must earnestly undertake clean energy quotas,Implement the power purchase priority responsibility,The relevant situation will be reported to the relevant local government departments in a timely manner。

  (3) In principle, power users should participate in the power market with full power, and can independently choose to purchase electricity directly from power generation enterprises or power sales enterprises。

  (4) Direct transactions between power generation enterprises and power users or power selling enterprises,Tripartite power purchase and sale contracts should be signed with power grid enterprises according to market trading rules,Clarify the corresponding rights and obligations, trading power and prices, services and other matters,Long-term contracts of more than one year are encouraged,It can be centrally signed by local organizations,It can also be signed by negotiation,The signed contracts are summarized and confirmed by the power trading institutions,The safety check is carried out by the power dispatching authority。Local governments are encouraged to standardize direct trading contracts according to actual conditions, and it is recommended that both parties sign medium - and long-term trading contracts according to uniform contract samples。

  (5) Power trading institutions should strengthen their own capacity building, build an open and transparent power trading platform with complete functions and market-oriented operation, and give play to the decisive role of the market in the optimal allocation of energy resources。It is necessary to effectively give full play to the third-party supervision role of power trading institutions in the market transaction verification work, and ensure that the trading behavior of various main markets is orderly and standardized。

  Seventh, improve the market trading electricity price formation mechanism

  (a) to promote the sale of electricity other than transmission and distribution by the market price,Both parties are encouraged to sign medium - and long-term market-oriented trading contracts,On the basis of independent, voluntary and equal consultations,It is agreed to establish a fixed price, a "benchmark electricity price + floating mechanism", and a variety of forms of market price formation mechanisms such as power coal prices and comprehensive consideration of various market factors,Diversify and reduce market risk。The price of electricity for power users consists of the addition of three parts, including the price determined by the pricing mechanism through consultation with power generation enterprises and power selling enterprises, the transmission and distribution price (including loss) specified by the relevant government departments, and the government funds and surcharges。

  (2) Establish a market-oriented pricing mechanism of "benchmark price + floating mechanism" through consultation. The benchmark price can refer to the current list price or the fuel cost of long-term contract of thermal coal and the average price of market transactions in the previous year, etc., which is formed by voluntary negotiation or market bidding between power generation enterprises and power users and power selling enterprises。

  On the basis of determining the benchmark electricity price, both sides of the transaction are encouraged to agree on a price floating adjustment mechanism in the contract。Encourage the establishment of a market trading price floating mechanism linked to the price of thermal coal, introduce a standardized, scientific and mutually recognized coal price index as a reference, the average price of coal and the price of electricity sold in the past year as the benchmark, according to a certain period of linkage adjustment of the transaction price, the floating part of thermal coal price in the transaction of the two sides in proportion。The specific floating adjustment method shall be fully negotiated by both parties and specified in the contract, and the floating adjustment period shall be linked to the term of the long-term contract of thermal coal。

  (3) Explore the establishment of a transaction price adjustment mechanism linked with product prices。Industries in which electricity expenditure accounts for a relatively high proportion of production costs,Both parties can refer to the average price of the product for many years or the price of the previous year,Through consultation, we shall determine the benchmark electricity price for trading, the corresponding product price of the benchmark electricity price, and the electricity price adjustment mechanism linked with the product price,When the price of a product rises or falls beyond a certain range or proportion,Electricity price linkage adjustment,Both parties to the transaction share the impact of product price fluctuations。

  (4) After the two parties sign the annual bilateral contract, they may explore the establishment of a price floating adjustment mechanism connected with the monthly centralized bidding, and adjust and confirm the bilateral contract price according to the monthly bidding result through independent negotiation by the two parties。

  (5) Explore the establishment of peak electricity market mechanism。Actively promote the construction of power spot market, through the market mechanism to form different time prices, compensation for peak power costs;Before the establishment of the spot market, the power users participating in the market transaction should implement the peak and valley price policy to reasonably reflect the cost and value difference of peak electricity consumption。

  (6) In 2018, China will liberalize the power generation plans of power users in four industries, including coal, steel, non-ferrous metals and building materials, and participate in all electricity transactions, meet electricity demand through market-oriented transactions, and establish a market-oriented price formation mechanism。The detailed implementation plan is attached。

  8. Strengthen in-process and post-event oversight

  (1) Relevant government departments should formulate and improve relevant regulations and policies in a targeted manner, strengthen institutional construction, and strive to ensure the healthy operation of the electricity market。Power generation enterprises, power users and electricity sales enterprises should firmly establish legal awareness, contract awareness and credit awareness, and the contract must be strictly performed once signed。Local economic operation departments, in conjunction with relevant departments and units, carry out monthly statistics on the implementation of electricity market trading contracts, give play to the role of big data platforms, and incorporate relevant information about direct electricity trading into the management of the platform。The energy regulatory bodies supervise the performance of contracts and the implementation of market operation rules by market players。

  (2) All relevant departments shall establish and improve the coordination and arbitration mechanism for trade contract disputes,Timely adjudication of disputes arising from the performance of contracts by market entities,Create a fair and just market environment,We will resolutely avoid affecting the reliable power supply of users due to contract disputes,Properly solve problems such as the difficulty in executing the contract due to force majeure factors,Avoid unfair treatment of market players。

  9. Accelerate the credit construction of power market entities

  The National Development and Reform Commission and the National Energy Administration will work with relevant parties to accelerate the construction of the credit system for the main players of the electricity market,Establish credit evaluation index system for different market entities,Introduction of national trade associations, credit service agencies and electricity trading agencies,Establish a credit evaluation system,Data collection for direct electricity transactions will be carried out,Implement annual information disclosure of market entities,We will implement joint incentive mechanisms for keeping faith and joint punishment mechanisms for breaking faith,Strengthen credit awareness,Restrict market entities with bad credit records to participate in electricity market transactions。Establish and improve the red list and black list system,For abiding by the law and keeping faith,Market entities with good credit ratings,Enter the red list,Study incentives such as giving priority to market transactions under the same conditions;For market entities that violate trading rules and commit acts of dishonesty,Include bad credit history,The circumstances are particularly serious or refuse to rectify,After publicity and other relevant procedures,Be included in the blacklist of untrustworthy enterprises;Market entities forced to withdraw,Directly included in the blacklist of dishonest enterprises。

National Development and Reform Commission

National Energy Administration