// CWPP INTERNAL DRAFT TRANSLATION //

 

National Energy New Energy [2014] No. 412

 

国家能源局关于规范风电设备市场秩序有关要求的通知

Notice about Regulating Wind Power Equipment Market Issued by NEA

各派出机构、各省(区、市)发展改革委(能源局),国家电网公司、南方电网公司,华能集团公司、大唐集团公司、华电集团公司、国电集团公司、中电投集团公司、神华集团公司、中广核集团公司、水电水利规划设计总院、电力规划设计总院、国家可再生能源中心、中国风能协会:

All dispatched agencies, all Reform and Development Centers (Energy Administration Center) of provincial or municipal level, State Grid, China Southern Power Grid, China Huaneng Group, China Datang Corporation, China Huadian Corporation, China Guodian Corporation, China Power Investment Corporation, Shenhua Group Corporation Limited, China Guangdong Nuclear Power Holding, Co., Ltd, Hydropower and Irrigation Planning and Design Institute, Electric Power Planning & Engineering Institute, National Renewable Energy center, China Wind Energy Association,  

   近年来,我国风电设备制造产业快速发展,技术水平不断提高,但也出现了市场无序竞争、部分设备技术水平和质量有待提高、地方保护现象严重、市场监管仍需加强以及信息披露不及时等问题。为促进风电设备制造产业持续健康发展,现将规范风电设备市场秩序的有关要求通知如下:

In recent years, with rapid development and continuous technical advancement in wind power equipment manufacturing industry in China, some problems below needs our attentions, such as: disorderly competition in the market, serious local protectionism, untimely information disclosure, the technology and quality of some equipment needs to be improved, market monitoring and supervision needs to be strengthened and so on. To promote sustainable and sound development of wind power equipment manufacturing industry, following comes the notice about regulating wind power equipment market:

一、加强检测认证确保风电设备质量

1, Strengthen testing and certification to guarantee wind power equipment quality

风电设备质量是风电产业持续健康发展的重要基础。检测认证制度是保障设备质量的重要措施。目前,我国已经初步建立了风电设备检测认证制度,为促进风电技术进步和保障设备质量,必须更加重视风电设备的检测认证工作。

Wind power equipment quality is important foundation for the sustainable and sound development of wind power industry, while testing and certification system is an important measure to ensure the quality of the equipment. At present, China has initially established wind power equipment testing and certification system. For the promotion of wind power technology advancement and guarantee of equipment quality, we must pay more attention to the testing and certification of wind power equipment.

1、实施风电设备型式认证。接入公共电网(含分布式项目)的新建风力发电项目所采用的风力发电机组及其风轮叶片、齿轮箱、发电机、变流器、控制器和轴承 等关键零部件,须按照《GB/Z25458-2010 风力发电机组合格认证规则及程序》进行型式认证,认证工作由国家认证认可主管部门批准的认证机构进行。自发文之日起,各有关单位要认真做好型式认证的准备工作,2015年7月1日起实施。

1)        Implement wind power equipment type certification

All the wind turbines and main components, including rotor blades, gearboxes, generators, converters, controllers and bearings used in the newly built on-grid wind power project, distributed power projects included, should pass type testing in accordance with GB/Z25458-2010 Wind Turbine Certification Rules and Procedures and the certification should be done by certification body approved by CNCA. All related organization should be ready for type testing since the issuing of this document and the regulation will be implemented since July 1st, 2015.

2、强化型式认证结果的信用。风电开发企业进行设备采购招标时,应明确要求采用通过型式认证的产品。未获得型式认证的机组,不允许参加招标。国家组织的重大专项建设、新产品应用、在特殊地域应用或特殊用途应用的风电设备,可根据需要提出特定认证要求。通过认证的风电设备,任何企业应采用相应的结果,不得 要求重复检测。

2)        Strengthen the credit of type testing result

Wind power developers should clearly require equipments with type testing certificate when they do purchase tendering and the products without certificate can’t bid. Wind power equipment used for construction of major projects of national organizations, new product applications, in particular applications or for special purpose may make specific certification requirements as needed. For certified wind power equipment, all organizations should accept the result, and shall not require repeat testing.

3、加强检测认证能力建设。支持依托相关科研院所和重点企业建设风力发电机组关键部件测试实验平台、风电机组传动链测试实验平台、试验风电场等公共技术研发试验平台,积极开展与风电技术先进性和可靠性相关的基础技术研发工作。

3)Strengthen Capacity building on testing and certification

Support related organizations to build testing platform for main components and the drive train of wind turbine as well as wind farms. Actively carry out basic research and development work about advanced and reliable wind power technology.

二、规范风电设备质量验收工作

2. Regulate quality acceptance to ensure wind power equipment quality

   质量保证期验收是风电设备质量管理的重要环节,由于缺乏统一的标准、明确的机制和通畅的信息公开渠道,风电机组不能进行正常质量保证期验收的现象较为突出,导致质保金无法顺利结算,加大了风电机组制造企业的生产经营压力,暴露出风电市场机制不健全的问题,为确保风电产业持续健康发展,必须建立规范的风电设备质量验收制度。

After-warranty-period acceptance is an important part for wind power equipment quality management, but several problems such as absence of related standards and non-smooth information disclosure mechanism result in difficulties for normal acceptance, so that the retention money can’t be successfully settled and increased the financial pressure for the manufacturers and showed the unsound wind power market mechanism. To promote sustained and sound development of wind power industry, regulated wind power equipment after-warranty-period acceptance must be established.

1、统一质量保证期验收的技术规范。质量保证期验收暂按国家认证认可监督管理委员会备案的《CNCA/CTS 0004-2014 风力发电机组质量保证期验收技术规范》要求进行,国家能源局加紧推进相关技术规范列入国家或行业标准。买卖双方应在合同约定的风力发电机组质量保证期结束 前,完成对风力发电机组的验收工作。

1)      Unify technical standards for after-warranty-period acceptance.

After-warranty-period acceptance is temporally done in accordance with CNCA/CTS 0004-2014 Technical standards for wind turbine after-warranty acceptance registered in CNCA, and NEA should speed up the process to upgrade the related technical standards to GB or industrial standards. Both the buyer and seller should finish the acceptance before the warranty period based on the contract.

2、建立质量保证期验收和争议解决机制。买卖双方可自行组织验收,也可委托具备技术能力的独立第三方机构参与或实施验收工作。验收完成后,如机组各项指标均满足验收大纲要求,则机组通过验收,买方应尽快向卖方支付质量保证金。验收未能全部通过的,可由买卖双方共同协商,视验收结论采取分批出质保的方式, 按通过验收的机组台数进行结算和支付质量保证金;对于未能通过验收的机组,双方应形成一致认可的、有限期限的、责任明确的处置方案。

2)      Set up conflict solving mechanism.

The buyer and seller can organize acceptance by themselves and can also entrust the third party to do so. When the acceptance work done, if all turbines meet the requirements listed in the acceptance outline, the turbines pass the acceptance and the buyer should pay the quality guarantee deposit as soon as possible. If not all the turbines pass the acceptance, then the turbines can go out of the warranty period in batch and the buyer should pay the batch that has passed the acceptance, and for the turbines failed the acceptance, the buyer and seller should find out an acceptable solution to both parties with limited period and clear responsibilities

买卖双方对于验收结论存在争议的,任何一方均可委托具备技术能力的独立第三方机构开展验收工作。买卖双方应依据第三方机构出具的验收结论形成验收意见。

If the two parties have disagreement about the acceptance result, any party can entrust the capable independent third party to do the acceptance and find out a solution according to the acceptance report given by the third party.

3、强化出质保验收信息公开。国家能源局委托行业协会或相关机构定期统计质量保证期验收启动时间、进展情况、完成时间,存在的问题及处理情况、未按时完成的原因等,统计结果经审核后向全社会公布。

3)      Strengthen quality acceptance information disclosure

NEA should entrust the industrial association or related organizations to collect the related quality acceptance information including the starting time, process, time for fully acceptance, and the problems occurred during the acceptance and settlement and reasons for the delay periodically and make the information public after double check.

三、构建公平、公正、开放的招标采购市场

3, Establish fair, justified and open market for purchasing and tendering

公平、公正、开放的市场环境是风电设备市场健康发展的重要保障。近年来,风电机组招标采购过程中出现了地方保护主义、排他性的关联交易以及盲目的风电设备制造企业与风电开发企业间的业务渗透和垂直整合,影响了公平、公正和开放的风电设备市场环境。

Open and fair market environment is important guarantee for the healthy development of wind power equipment market. But a lot of forms of protectionism and relationships seriously influenced a healthy wind power equipment market in recent years.

1、严禁地方政府干预招投标工作。各级地方政府有关部门不得在招标采购活动中以任何形式提出限制和排斥外地企业参与的规定,也不得通过配置风电项目开发资源的方式进行地区封锁和行业垄断。

1)   The local government is strictly forbidden to do any kind of restriction or rejection to the non-local enterprises in any form.

2、建立规范透明的风电设备市场。不鼓励风电开发企业新建、控股或参股风电设备制造企业;不鼓励风电设备制造企业新建、控股或参股风电开发企业。风电设备采购严格执行《招标投标法》和《招标投标法实施条例》相关规定。

2)    Establish regulated and transparent wind power equipment market.
Wind farm developers are not encouraged to invest wind power equipment manufacturing, and the vise verse. And the wind power equipment purchase should strictly follow the rules of Biding Law and The Implementation Regulation of Biding Law.

3、充分发挥行业协会自律作用。鼓励相关行业协会牵头起草风电设备采购标准合同,通过行业自律的方式规范采购行为,避免不公平的竞争方式。

3.)   Make full of industrial associations’ self-discipline.
Encourage the related industrial association to draft standard wind power equipment purchase contract template. Regulate purchase through industrial self-discipline to avoid unfair competition

 

四、加强风电设备市场的信息披露和监管

4, Strengthen information disclosure and monitoring of wind power equipment

风电设备市场的信息收集、分析和披露是促进风电设备市场健康发展的重要基础工作,对风电设备市场规则进行监管是促进风电设备市场健康发展的有效保障。

Data collection, analysis and disclosure are quite important basic tasks for the healthy development of wind power equipment market and monitoring and planning is the effective guarantee.

1、建立全国风电设备质量信息监测评价体系。国家能源局委托相关技术单位开展全国风电设备质量信息监测和评价,通过对风电场运行设备进行监测,开展风电设备运行质量评价工作,并定期发布风电设备市场的质量相关信息,引导产业健康发展。

1)      Establish national wind power equipment quality information monitoring and evaluation system

NEA entrust related technical organizations to carry out information monitoring and evaluation about the wind power equipment quality nationwide, and do quality evaluation based on the monitoring data and publish the information periodically to guide the healthy development of this industry.

2、加强风电设备质量问题分析。风电开发企业和风电设备制造企业应及时通过全国风电设备质量信息监测评价系统上报风电设备质量有关情况。由相关机构组织企业和专家,对行业共性质量问题进行分析,及时发布反事故措施和预警信息。

2)      Strengthen wind power equipment quality analysis.

Wind farm developers and wind turbine manufacturers should timely report the quality information through the national wind power equipment quality information monitoring and evaluation system. And the related organizations organize companies and experts to analyze the common quality problems and publish anti-accident measures and pre-warning timely.

3、加强风电市场信息披露和市场监管工作。国家能源局进一步加强对风电设备市场行为的监管和政策引导,对违反市场公平原则,扰乱正常市场秩序的行为及时予以纠正,并将相关信息及时向全社会披露。鼓励行业协会及时公布风电设备市场相关信息,引导产业健康发展。

3)      Strengthen wind power market information disclosure and market monitoring.

NEA should strengthen monitoring and policy guidance about wind power equipment market behavior and timely correct those behaviors that influence the fairness of market and or disrupt the normal market order and make the information to the public. Encourage industrial association to publish the related market information timely and guide the healthy development of this industry.

  请各有关方面和机构严格按照上述要求,加强协调衔接,推动建立统一开放、公平诚信、竞争有序的长效市场机制,促进风电产业健康持续发展。

 The related organizations should strictly follow the above requirements and strengthen coordination to establish an effective long term market mechanism with openness, fairness, honesty and orderly competition, so as to promote sound and sustained development of wind power industry.

国家能源局

NEA 

Sep 5th, 2014