Pilot Projects for the Direct Purchase of Electricity from Power Generation Enterprises by Electricity Users Tentative Procedures

电力用户向发电企业直接购电试点暂行办法

The Procedures detail the pilot projects for the direct purchase of electricity from power generation enterprises by electricity users and specify the guiding ideology, objectives and principles; scope and conditions; main substance; and organization and implementation.

Clp Reference: 4310/04.03.29 Promulgated: 2004-03-29

The launch of pilot projects for the direct purchase of electricity from power generation enterprises by electricity users that use electricity of a higher voltage class or consume a larger amount of electricity (hereafter, Major Users) in regions with the appropriate conditions is the main substance in deepening the reform of the power system. These Tentative Procedures have been formulated pursuant to the requirements of the State Council, Issue of the Power System Reform Plan Circular (Guo Fa [2002] No.5) and the spirit of the sixth meeting of the State Council Power System Reform Working Group in order to ensure the standardized and orderly conduct of the pilot project work.

(电力监管委员会、国家发展和改革委员会于二零零四年三月二十九日印发。)

在具备条件的地区,开展较高电压等级或较大用电量的电力用户(以下简称大用户)向发电企业直接购电的试点,是深化电力体制改革的重要内容。为保证试点工作规范、有序进行,根据《国务院关于印发电力体制改革方案的通知》(国发[2002]5号)的要求和国务院电力体制改革工作小组第六次会议的精神,制定本暂行办法。

1. GUIDING IDEOLOGY, OBJECTIVES AND PRINCIPLES FOR THE PILOT PROJECTS

一、 试点的指导思想、目的和原则

(1) The guiding ideology in respect of launching pilot projects for the direct purchase of electricity from power generation enterprises by Major Users (hereafter, including power distributors that conduct business accounting independently) is: by starting with China's power industry as an actual basis, drawing on useful foreign experiences, adhering to the laws of power industry development and ensuring the safe and stable operation of power grids, to actively cultivate market entities; promote the formation of a scientific and rational power pricing mechanism; and gradually build a government-regulated power market system that has fair competition, is open and orderly, develops in a healthy way, and in which government and enterprises are separated; on the basis of fair, open power grids, with definite and rational transmission and distribution electricity prices at the core and a direct link between supply and demand as the key characteristic.

(1) 开展大用户(含独立核算的配电企业,下同)向发电企业直接购电试点的指导思想是:从我国电力工业实际出发,借鉴国外有益经验,遵循电力工业发展规律,保障电网安全稳定运行,以公平开放电网为基础,以确定合理的输配电价为核心,以供需直接见面为主要特征,积极培育市场主体,促进科学合理电价机制的形成,逐步构建政府监管下的政企分开、公平竞争、开放有序、健康发展的电力市场体系。

The direct purchase of electricity from power generation enterprises by Major Users is a complicated systematic project for which experience must be accumulated and conditions created through the pilot projects in order to actively make progress in a stable way.

    大用户向发电企业直接购电,是一项复杂的系统工程,必须通过试点积累经验,创造条件,积极稳妥地推进。

(2) The work for the launch of the pilot projects for the direct purchase of electricity from power generation enterprises by Major Users must achieve the following objectives:

(2) 开展大用户向发电企业直接购电试点工作,要达到下列目的:

- optimize the allocation of power resources to boost efficiency in resource utilization and promote the development of electricity;

    -   优化电力资源配置,提高资源利用效率,促进电力发展;

- introduce a competition mechanism for the power generation and power sales sides to promote cost reduction for enterprises, and boost efficiency and the overall competitiveness of the national economy;

    -   在发电和售电侧引入竞争机制,促进企业降低成本,提高效率,提高国民经济整体竞争力;

- seek effective channels and methods to separate transmission and distribution, and open up power grids in a fair way so as to change the structure of exclusive power purchasing by power grid enterprises, promote competitive bidding for access to the grids, further break up monopolies, and accelerate the establishment of a competitive and open power market; and

    -   探索输配分开、电网公平开放的有效途径和办法,改变电网企业独家购买电力的格局,促进竞价上网,进一步打破垄断,加快建立竞争、开放的电力市场;

- seek the establishment of a rational power transmission and distribution pricing mechanism to promote the reform of electricity prices and promote the sustainable development of power grids.

    -   探索建立合理的输配电价形成机制,促进电价改革,促进电网的可持续发展。

(3) The pilot project work shall adhere to the following principles:

(3) 试点工作应当遵循下列原则:

- uniform deployment, stable progress, planned and step-by-step proper organization of the pilot projects, and prevention of ad hoc actions;

    -   统一部署,稳妥推进,有计划、有步骤地搞好试点,防止一哄而上;

- a standardized launch with rules at the fore, conscientious safeguarding of the lawful rights and interests of the Major Users, power generation enterprises and power grid operators, and prevention of irrational and disordered actions;

    -   规范起步,规则先行,切实保障大用户、发电企业和电网经营企业的合法权益,防止盲目无序;

- creating more profit after previous earnings, and give full play to the roles of Major Users, power generation enterprises and power grid operators;

    -   立足多赢,创造多赢,充分发挥大用户、发电企业和电网经营企业的作用;

- with pilot projects at the fore, proceeding gradually in an orderly way and maintaining a balanced amount of electricity supply on the power grids and maintaining stability in the overall level of electricity prices;

    -   试点先行,循序渐进,维持电网电力电量供应平衡,保持电价总体水平稳定;

- active promotion of pilot projects and steady progress, upholding of the overall interests of the state, promotion of the related auxiliary reforms, and creation of the necessary external conditions for the pilot project work; and

    -   积极试点,稳步推进,维护国家整体利益,推进相关配套改革,为试点工作创造必要的外部条件;

- maintaining order in power dispatch and ensuring the safe and stable operation of power grids. Power generation enterprises and Major Users that participate in the pilot projects shall, in line with the requirements for uniform dispatch of power, participate in dispatching, alternating or avoiding peaks of electricity use in power grid emergencies.

    -   维护电力调度秩序,保障电网安全稳定运行。参加试点的发电企业和大用户,按电力统一调度的要求,在电网紧急情况下,参与调峰和错峰、避峰用电。

2. SCOPE AND CONDITIONS FOR THE PILOT PROJECTS

二、试点的范围和条件

(4) In principle, entities that participate in the pilot projects shall be located in regions that have relatively relaxed supply and demand and meet the following conditions:

(4) 参加试点的单位原则上应处于电力供需相对宽松的地区,且具备以下条件:

Major Users, power generation enterprises (including power plants with internal accounting systems) and power grid operators participating in the pilot projects shall be economic entities with legal person status, independent accounts and be capable of independently undertaking civil liability.

    参加试点的大用户、发电企业(含内部核算电厂)、电网经营企业,应当是具有法人资格、财务独立核算、能够独立承担民事责任的经济实体。

Major Users who comply with state industrial policies, use relatively stable power loads, and have low energy consumption per unit of output and low pollution emissions may apply to participate in the pilot projects.

    符合国家产业政策、用电负荷相对稳定、单位产值能耗低、污染排放小的大用户,可申请参加试点。

Power generation enterprises that comply with state industrial policies and are connected to a grid and, in the case of thermal power generation enterprises (including nuclear power) with an installed capacity of 600MW or more or with single-unit capacity of 300MW or more, or in the case of hydroelectric power generation enterprises with installed capacity of 200MW or more or with single-unit capacity of 100MW or more, may in principle apply to participate in the pilot projects.

    符合国家产业政策、并网运行的发电企业,原则上,装机容量60万千瓦及以上且单机容量30万千瓦及以上的火力发电企业(含核电),装机容量20万千瓦及以上或单机容量10万千瓦及以上的水力发电企业,可申请参加试点。

(5) The direct purchase of electricity from power generation enterprises by Major Users shall generally be achieved through the existing public power grid circuits. Where new circuits actually need to be built or circuits actually need to be expanded or altered, they shall conform with the power grid development plan, be reported for approval, and be built and operated by power grid operators in line with the limits of authority for investment administration. Where Major Users have their own power lines that comply with the relevant state provisions, such lines may be used for transmission of directly purchased electricity following safety checks by a power grid operator organized by the relevant provincial government department and after having entrusted a power grid operator to dispatch and operate the power lines.

(5) 大用户向发电企业直接购电,一般通过现有公用电网线路实现。确需新建、扩建或改建线路的,应符合电网发展规划,由电网经营企业按投资管理权限报批、建设和运营。大用户已有自备电力线路并符合国家有关规定的,经省政府有关部门组织电网经营企业进行安全校验,并委托电网经营企业调度、运行,可用于输送直购电力。

(6) The amount of electricity directly purchased by Major Users that are not power distributors is limited to self-use and must not be resold or covertly resold to another user. Sale of the amount of electricity directly purchased by a power distributor must be in strict compliance with the relevant state policies.

(6) 非配电企业的大用户直购的电力电量,限于自用,不得转售或者变相转售给其它用户。配电企业销售直购的电力电量,要严格遵守国家有关政策。

(7) For the time being, power plants under state centralized power distribution shall not participate in the pilot projects. Relationships in respect of the amount of electricity entering the grid, grid dispatch and settlement of accounts for accessing the grid originally approved with the power generation enterprises that participate in the pilot projects shall remain unchanged.

(7) 由国家统一分配电量的电厂暂不参加试点。参加试点发电企业原核定的上网电量、调度、结算等关系保持不变。

(8) The relevant taxes and fees, and funds specified by the state, shall be paid on the amount of electricity for the pilot projects in accordance with law.

(8) 试点电量依法交纳有关税费和国家规定的基金。

3. MAIN SUBSTANCE OF THE PILOT PROJECTS

三、试点的主要内容

(9) Fair openness of the power grids. If the power grid transmission capacity, means of operation and safety constraints allow, power grid operators shall provide cross-grid power transmission services.

(9) 电网公平开放。在电网输电能力、运行方式和安全约束允许的情况下,电网经营企业应当提供过网输电服务。

(10) Self-negotiated prices for directly purchased electricity. The prices and calculation methods for direct purchase of electricity from power generation enterprises by Major Users shall be determined through consultations between the buyer and the seller, and defined in the related contracts.

(10)    自主协商直购电价格。大用户向发电企业直接购电的价格、结算办法,由购售双方协商确定,并在相关合同中明确。

(11) Rational determination of power transmission and distribution prices. Pursuant to the requirements of the General Office of the State Council, Issue of the Electricity Price Reform Plan Circular (Guo Ban Fa [2003] No.62), power transmission and distribution prices shall be formulated by the government departments in charge of pricing pursuant to the principles of "reasonable cost, reasonable profit, tax calculated in accordance with the law and fair burdens". For the short term, measurements and calculations shall temporarily be made in accordance with the principle employed by the exchanges whereby the average power purchase price is deducted from electricity prices used by large industries with the corresponding power voltage class on the power grids, and shall be implemented following approval by the State Council department in charge of pricing. After the state has issued new policies on power transmission and distribution prices, such new policies shall prevail.

(11)    合理确定输配电价。按照《国务院办公厅关于印发电价改革方案的通知》(国办发[2003]62号)的要求,输配电价由政府价格主管部门按“合理成本、合理盈利、依法计税、公平负担”的原则制定。近期暂按交易所在电网对应电压等级的大工业用电价格扣除平均购电价格的原则测算,报国务院价格主管部门批准后执行。国家出台新的输配电价政策后,按新的政策执行。

(12) Standardized administration of direct electricity purchase contracts. Major Users, power generation enterprises and power grid operators that participate in the pilot projects shall enter into and strictly implement relevant contracts (agreements) with reference to the (Model) Contract for Direct Purchase and Sale of Electricity and the (Model) Contract for Entrustment of Power Transmission Services. The main contents of direct purchase and sale of electricity contracts (agreements) shall include loads, amount of electricity, means of supplying electricity, production plan arrangements, calculations, accounts settlement, electricity prices, dispatch management, liability for breach of contract, compensation and dispute resolution methods, etc.

(12)    规范直购电合同管理。参加试点的大用户、发电企业和电网经营企业应参考《电量直接购售合同(范本)》和《委托输电服务合同(范本)》,签订相关合同(协议),并严格执行。电量直接购售合同(协议)的主要内容应包括负荷、电量、供电方式、生产计划安排、计量、结算、电价、调度管理、违约责任、赔偿以及争议的解决方式等。

(13) Specialized and auxiliary services. Power grids shall be responsible for providing specialized and auxiliary services in accordance with standards for reliability and service quality. Power generation enterprises and Major Users shall provide auxiliary services to the power grid operators as stipulated in the contract. The price standards for specialized and auxiliary services shall be implemented pursuant to the relevant state provisions.

(13)    专项和辅助服务。电网根据可靠性和服务质量标准的要求,负责提供专项和辅助服务。发电企业和大用户根据合同约定对电网经营企业提供辅助服务。专项和辅助服务价格标准执行国家有关规定。

In the short term, when the power transmission and distribution price is determined pursuant to the principle employed by the exchanges whereby the average power purchase price is deducted from electricity prices used by large industries with the corresponding power voltage class on the power grids, power grid operators shall no longer separately accept fees for specialized and auxiliary services from power generation enterprises and Major Users.

    在近期按交易所在电网对应电压等级的大工业用电价格扣除平均购电价格的原则确定输配电价时,电网经营企业对发电企业和大用户不再另行收取专项和辅助服务费用。

When Major Users already have their own lines and entrust power grid operators to dispatch and operate such lines, the fees for the specialized and auxiliary services, etc. shall be measured, calculated and submitted for approval in accordance with the relevant regulations, and defined in the related contracts (agreements).

    大用户已有自备线路委托电网经营企业调度、运行时,专项和辅助服务等费用按有关规定测算、报批,并在相关合同(协议)中明确。

(14) Strengthening dispatch management and dispatch information disclosure. Power generation enterprises and Major Users shall adhere to unified power dispatch, and promptly submit the relevant information and forms for direct purchase of electricity and cross-grid power supply services to the power dispatch body. The power dispatch body shall carry out dispatch pursuant to the principles of "fairness, equity and openness" and the related contracts (agreements) and shall disclose power dispatch information to the power generation enterprises and Major Users in a timely manner.

(14)    加强调度管理和调度信息披露。发电企业、大用户应当服从电力统一调度,并及时向电力调度机构报送电力直购和过网供电服务相关信息、报表。电力调度机构应当按照“公平、公正、公开”的原则和有关合同(协议)进行调度,并及时向发电企业、大用户披露电力调度信息。

4. ORGANIZATION AND IMPLEMENTATION OF THE PILOT PROJECTS

四、试点的组织实施

(15) The State Council Power System Reform Working Group shall provide uniform leadership for the pilot project work, and the State Electricity Regulatory Commission and the National Development and Reform Commission shall formulate implementing rules and related contract model texts pursuant to these Tentative Procedures and shall be specifically responsible for the organization and the implementation of the pilot projects and ensure the pilot project work is conducted in a standardized way. Specific pilot project provinces shall be determined by the State Electricity Regulatory Commission in consultation with the National Development and Reform Commission after study of the provinces that request to launch pilot project work.

(15)    试点工作由国务院电力体制改革工作小组统一领导,国家电力监管委员会与国家发展和改革委员会根据本暂行办法制定实施细则和相关合同范本,具体负责试点的组织实施,确保试点工作规范进行。具体试点省份由电监会商发展改革委从要求开展试点工作的省份中研究确定。

(16) Work units that participate in the pilot projects shall formulate pilot project plans pursuant to these Tentative Procedures and the implementing rules. Such plans shall be implemented following preliminary examination by the relevant work units organized by the provincial government department with overall management of the economy designated by the provincial people's government, reporting to the State Electricity Regulatory Commission and the National Development and Reform Commission, and examination by the State Electricity Regulatory Commission in consultation with the National Development and Reform Commission.

(16)    参加试点的单位根据本暂行办法和实施细则制定试点方案,经省人民政府指定的省政府经济综合管理部门组织有关单位初审后,报国家电力监管委员会和国家发展和改革委员会,电监会商发展改革委审定后实施。

(17) Without the state's approval, no work unit may conduct an unauthorized pilot project. The State Electricity Regulatory Commission and the National Development and Reform Commission shall investigate and handle violations of provisions in accordance with their respective duties.

clp reference:4310/04.03.29promulgated:2004-03-29

(17)    未经国家批准,任何单位不得擅自进行试点,违反规定的,国家电力监管委员会和国家发展和改革委员会按照各自职责查处。

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