发改运行〔2018〕1027号

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，国家能源局各派出能源监管机构，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，以新时代中国特色社会主义思想为指导，We will earnestly implement the plans of the Central Economic Work Conference and the Government Work Report，继续有序放开发用电计划，加快推进电力市场化交易，完善直接交易机制，深化电力体制改革，现就有关事项通知如下。

　　一、提高市场化交易电量规模

　　(1) All localities should sum up the work experience of market-oriented electricity trading，结合实际，进一步加快推进电力体制改革，加快放开发用电计划，We will accelerate the opening up of power users other than those without bargaining power to participate in trading，扩大市场主体范围，构建多方参与的电力市场，大幅提高市场化交易电量规模，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。

　　（二）各地应结合实际，统筹发用电侧放开节奏，做好供需总量平衡，Further clarify the time for all types of power generation enterprises, power users and electricity sales enterprises to enter the market，明确放开比例，制定具体工作方案，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，向社会公布。

　　(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，对有条件的地区，有序支持点对网、点对点直接交易，促进资源大范围优化配置和清洁能源消纳。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。

　　二、推进各类发电企业进入市场

　　(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，原则上不再安排发电计划，投产后一律纳入市场化交易，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。

　　（三）在确保供电安全的前提下，完善和创新交易规则，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，通过积极参与市场化交易，增加上网电量，促进消纳。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，取得电力业务许可证，达到能效、环保要求，成为合格市场主体后，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。

　　三、放开符合条件的用户进入市场

　　(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。

　　（四）条件允许地区，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。

　　四、积极培育售电市场主体

　　(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，向交易机构提交注册材料，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，注册自动生效。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。

　　六、规范市场主体交易行为

　　(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，为保障公平竞争，电力交易机构应开展对市场交易的审核，Market players should strictly implement the transmission and distribution prices, including government-managed funds and additional and policy-based cross-subsidies，要切实承担清洁能源配额，落实优先购电责任，有关情况及时报告各地政府相关部门。

　　(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，鼓励签订1年以上中长期合同，可由各地组织集中签订，也可自行协商签订，签订的合同由电力交易机构汇总和确认，由电力调度机构进行安全校核。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。

　　七、完善市场化交易电量价格形成机制

　　(a) to promote the sale of electricity other than transmission and distribution by the market price，鼓励交易双方签订中长期市场化交易合同，在自主自愿、平等协商的基础上，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，分散和降低市场风险。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。生产成本中电费支出占比较高的行业，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，电价联动调整，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。

　　（五）探索建立高峰用电市场化机制。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。具体实施方案见附件。

　　八、加强事中事后监管

　　(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，营造公平公正的市场环境，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，避免市场主体受到不公平待遇。

　　九、加快推进电力市场主体信用建设

　　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，针对不同市场主体建立信用评价指标体系，Introduction of national trade associations, credit service agencies and electricity trading agencies，建立信用评价制度，开展电力直接交易数据采集工作，实行市场主体年度信息公示，实施守信联合激励和失信联合惩戒机制，强化信用意识，Restrict market entities with bad credit records to participate in electricity market transactions。建立完善红名单、黑名单制度，对于遵法守信，信用评价良好以上的市场主体，纳入红名单，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，纳入不良信用记录，情节特别严重或拒不整改的，经过公示等有关程序后，Be included in the blacklist of untrustworthy enterprises;Market entities forced to withdraw，直接纳入失信企业黑名单。

国家发展改革委

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