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THE RESOLUTION OF THE NATIONAL COMMISSION PERFORMING STATE REGULATION IN THE FIELD OF POWER AND UTILITIES OF UKRAINE

of March 14, 2018 No. 307

About approval of Rules of the market

(as amended on 11-03-2020)

According to the laws of Ukraine "About the market of electrical energy", "About the National commission performing state regulation in the field of power and utilities" the National commission performing state regulation in spheres of power and utilities decides:

1. Approve Rules of the market which are attached.

2. This resolution becomes effective since July 1, 2019, but not earlier than the day following behind day of its publication in the official printing publication - the Pravitelstvenny Kuryer newspaper, except Chapters 1.3 - 1.16 Section I, the Section II, Chapters 3.2 - 3.6, 3.9 - 3.17 Section III and Chapters 4.2 - 4.14 Sections IV of Rules of the market which become effective since June 25, 2019.

Chairman of NKREKP

D. Vovk

Approved by the Resolution of the National commission performing state regulation in the field of power and utilities of Ukraine of March 14, 2018 No. 307

Rules of the market

I. General provisions

1.1. Determinations of terms

1.1.1. These Rules determine order of registration of participants of the market, procedure and requirements to ensuring obligation fulfillment by agreements on settlement of not balances of electrical energy, the rule of balancing, the rule of functioning of the market of support services, procedure for carrying out calculations in the balancing market and the market of support services, procedure for drawing of accounts, procedure for modification of these rules, provisions on functioning of the market in case of emergency situation in the integrated power system of Ukraine.

1.1.2. In these Rules terms are used in such values:

audit of management system the market - audit which establishes whether are observed and in what measure provisions of Rules concerning calculations and drawing of accounts within the period to which audit belongs are observed;

the auditor of management system the market (auditor) - auditing firm which is included in the register of auditors and subjects of auditor activities as the subject of auditor activities also performs audit of management system the market according to the procedure, established by these rules and the current legislation;

auction platform on additional services (auction platform) - electronic subsystem of management system the market which is used by the operator of system of transfer for the organization and holding auctions on additional services;

the balancing electrical energy - electrical energy which is used by the operator of system of transfer for balancing in real time of production volumes and import of electrical energy and consumption and export of electrical energy, settlement of system restrictions;

selection - the electrical energy which arrived from system of transfer or distribution in point of commercial accounting of the participant of the market and/or the participant of the retail market, amount of the nominated capacity for the corresponding settlement period for the purpose of export and amount of electrical energy for the corresponding settlement period for the purpose of receipt of the emergency help in power supply system of Ukraine approved with OSP of the adjacent country;

leave - the electrical energy which arrived in system of transfer or to system of distribution through point of commercial accounting of the participant of the market and/or the participant of the retail market, and/or amount of the nominated capacity for the corresponding settlement period for the purpose of import and amount of electrical energy for the corresponding settlement period for the purpose of receipt of the emergency help in power supply system of Ukraine approved with OSP of the adjacent country;

the declaration on unavailability - information provided by the participant of the market to the operator of system of transfer in case of failure of issue unit for technical reasons connected with functioning or safety who fully or partially excludes production of electrical energy and/or provision of support services by such issue unit;

dispatching team - team in real time of the operator of system of transfer of balancing to the service provider on each unit of delivery of services in balancing to increase or reduce electric loading;

the agreement on settlement of not balances of electrical energy - the agreement according to which the subject of managing acquires participant status of the market and is performed settlement of not balances of electrical energy;

closing of gate of the balancing market - temporary borders when giving or updating of the offer on the balancing energy by the service provider of balancing in management system is not allowed by the market any more;

closing of gate on auction platform - temporary borders after which suppliers of support services, wishing to win capacity of reserve by results of auctions on additional services, cannot report the corresponding sizes for all settlement periods of each trading day on each unit of provision of support services;

the registered capacity - the maximum capacity intended for restriction which corresponds to maximum demand which the issue unit can bear long time as it is declared by the corresponding participant of the market according to the registered operational characteristics;

the registered operational characteristics - characteristics of unit of delivery of support services which are confirmed during testing of electroinstallations of the supplier of support services for their compliance to requirements of the Code of system of transfer approved by the resolution of the National commission performing state regulation in spheres of power and utilities of March 14, 2018 No. 309 (further - the Code of systems of transfer);

the declared (declared) characteristics - technical and economic characteristics of issue unit (generation unit) declared by the relevant producer within market work as it is determined by these Rules;

identification number of the participant of the market - unique identification number of the participant of the market which is used for identification of the market data connected with this participant of the market in management system by the market;

interstate overflow - overflow of electrical energy which occurs through interstate section;

the activation module - the management system module the market through which the operator of system of transfer issues dispatching teams to the service provider on balancing;

sampling unit (consumption unit) - the separate electroinstallation or their aggregative group intended for electric power consumption which has determined by the Code of commercial accounting of electrical energy approved by the resolution of the National commission performing state regulation in spheres of power and utilities of March 14, 2018 No. 311 (further - the Code of commercial accounting), points of commercial accounting for aggregative accounting of selection from the respective areas of accounting;

issue unit (generation unit) - the separate electroinstallation or their aggregative group registered behind the party responsible for balance, and intended for production of electricity and/or provision of services of balancing, and/or provision of support services which has points of commercial accounting for aggregative accounting of leave from the respective areas of accounting;

unit of provision of services on balancing - separate sampling unit or issue unit for which the point of commercial accounting which has opportunities to provide services of the balancing belonging to the participant of the market which received the status of the service provider on balancing is determined;

unit of provision of support services - separate sampling unit or issue unit for which the point of commercial accounting which has the technical capabilities determined by the Code of system of transfer is determined to provide the additional services belonging to the participant of the market which acquired the status of the supplier of support services;

unit of real time - period of the balancing market which equals to 15 minutes;

planning period for purchase of support services (planning period) - the period for which marginal calculation of price for purchase of support services in providing reserves of maintenance of frequency, reserves of recovery of frequency and reserves of substitution is perfromed;

payment for discrepancy - the payments established to participants of the market for provision of doubtful data within different processes in the market or behavior which can influence normal work of the market and/or the integrated power system of Ukraine;

the payment document - the account created by the administrator of calculations to the participant of the market concerning payment in it or the administrator of calculations of the financial liabilities which resulted from participation in the market of electrical energy of such participant of the market;

service in balancing - the service of purchase and sale of electrical energy provided to the operator of system of transfer by the service provider on balancing for the purpose of the providing sufficient amounts of electric power and electrical energy necessary for balancing in real time of production volumes and import of electrical energy and consumption and export of electrical energy, settlement of system restrictions in the integrated power system of Ukraine;

the representative of loading - the participant of the market in which points of commercial accounting selection of electrical energy from system of transfer and system of distribution is performed;

the forecast of consumption - the forecast of general power consumption for the fields of regulation (trade zones) which is performed by the operator of system of transfer;

the offer - the proposal which is submitted by the participant of the market for leave/selection of the balancing electrical energy or for provision of support services;

the protocol of data exchange - standards, systems of transfer installed by the operator for interaction of participants of the market with management system the market;

the register of participants of the market - the register which is kept by the administrator of calculations includes information on participants of the market and their status;

contingency procedure - process which takes root according to provisions of Chapter 3.14 of the Section III of these Rules if the software of auction platform does not work;

settlement period - the period 60 minutes concerning which the price and amounts of purchase and sale of electrical energy in the market of electrical energy are determined;

balanced line item - algebraic difference of the transactions on sale and purchase of electrical energy performed by the participant of the market in the market of bilateral agreements with other participants of the market in each trade zone for each settlement period of trading day;

the certified data of commercial accounting - the amount of electrical energy determined for points of commercial accounting according to requirements of the Code of commercial accounting;

management system the market - the program and information complex including number of the subsystems providing management of all necessary databases, registers and accomplishment of the calculations determined by these rules;

trade zone (zone) - the isolated zone determined by the operator of system of transfer in coordination with the Regulator in which synchronous work of electroinstallations is carried out;

trading day - the period in 24 (23 or 25 depending on transition to summer/winter time) consecutive settlement period which begins at 00:00 on the Kiev time (The East European time);

management of overloads - package of measures, performed by the operator of system of transfer, necessary for prevention or elimination of overloads (sale, scheduling, the return biddings, separation of the markets);

financial guarantee - money and/or the bank guarantee provided by the party responsible for balance, to the operator of system of transfer for ensuring accomplishment of financial liabilities by calculations for not balances of electrical energy.

1.1.3. Other terms and determinations are used in these rules in the values given in the Economic code of Ukraine, the laws of Ukraine "About the market of electrical energy" (further - the Law), "About electronic documents and electronic document management", "About electronic confidential services", "About payment systems and money transfer in Ukraine", the Rules of the market "for the days ahead" and intra daily market approved by the resolution of the National commission performing state regulation in spheres of power and utilities of March 14, 2018 No. 308, the Code of systems of transfer, the Code of commercial accounting and other regulatory legal acts.

1.1.4. The reducings applied in these rules have the following values:

ARE - the administrator of calculations;

AKU - the administrator of commercial accounting;

aRVCh - automatic reserve of recovery of frequency;

the balancing market - the balancing market of electrical energy;

RES are the producers performing production of electrical energy with use of alternative energy sources;

VSR - the intra daily market;

DD - bilateral agreements;

DU - additional services;

the identifier - identification number of the participant of the market;

emergency situation - emergency situation in OES of Ukraine;

OES - the integrated power system of Ukraine;

ERV - unit of real time;

SHOUTING - the operator rinka;

SMALLPOX - the operator of system of transfer;

OSR - the operator of system of distribution;

PVU - the supplier of support services

PUB - the service provider on balancing;

the SK mode - the mode of the synchronous compensator;

RZ - reserve on substitution;

RDD - the market of bilateral agreements;

RSV - the market "for the days ahead";

RPCh - reserve of maintenance of frequency;

rRVCh - manual reserve of recovery of frequency;

SARChM - system of automatic control of frequency and capacity;

SOB - the party responsible for balance;

I WEAVE - point of commercial accounting;

EIC code - identification number of the participant of the market;

ENTSO-E - the European network of operators of system of transfer of electrical energy.

1.2. Participants of the market

1.2.1. Participants of the market of electrical energy are:

producers;

electrosuppliers;

traders;

SMALLPOX;

OCP;

SHOUTING;

the guaranteed buyer;

consumers who perform the activities in the market of electrical energy according to the procedure provided by these rules and the Law.

1.2.2. Participants of the market can carry out one or several of the following roles: SOB, AR, AKU, PVU, PUB.

1.3. Ensuring accomplishment of these Rules

1.3.1. SMALLPOX (also in quality of AR and AKU) shall carry out provisions of these rules in accordance with the terms of the license for the right of implementation of economic activity on transfer of electrical energy and take part in the market of electrical energy according to the Law.

1.3.2. For the subjects of managing determined in subitem 1.2.1 of Chapter 1.2 of this Section (except consumers who buy the electric power according to the electric power supply agreement to the consumer) the compulsory provision of participation in the market of electrical energy is the conclusion of the agreement on settlement of not balances of electrical energy with OSP which is the agreement of accession which standard form is given in appendix 1 to these rules. Participants of the market sign the agreement on settlement of not balances of electrical energy by accession to the agreement.

1.3.3. All payments according to provisions of these rules are made in national currency of Ukraine, including the value added tax.

1.3.4. Interpretation and accomplishment of these Rules and any disputes which can arise during their accomplishment by participants of the market are considered according to the procedure, established by the current legislation of Ukraine. Jurisdiction of courts extends to all legal relationship and any dispute which can arise in connection with accomplishment by participants of the market of these Rules.

1.3.5. The candidate for participants of the market who wishes to perform transactions in the market of electrical energy of Ukraine shall provide OSP (in quality of AR) properly the completed statement accession to the agreement on settlement of not balances of electrical energy which is appendix 2 to these rules.

The candidate for participants of the market shall have current agreements about rendering services in transfer of electrical energy, about rendering services of dispatching (operational and technology) management, the systems of transfer concluded according to the Code, and the current agreement about the rendering services in compensation of overflows of reactive electrical energy (for the consumers attached to OSP networks) concluded according to the procedure, established by the Rules of the retail market of electrical energy approved by the resolution of the National commission performing state regulation in spheres of power and utilities of March 14, 2018 No. 312 (further - Rules of the retail market).

1.3.6. The statement accession to the agreement on settlement of not balances of electrical energy shall contain the following data:

1) the full and abbreviated name of the candidate for participants of the market according to the Unified State Register of Legal Entities, physical persons - entrepreneurs and public forming;

2) type of activity of the candidate (producer, electrosupplier, trader, consumer, OSR);

3) data on the service provision agreement signed by the candidate for participants of the market on transfer of electrical energy and/or the service provision agreement on management dispatching (operational technology);

4) data on the agreement of the consumer on provision of services signed by the candidate for participants of the market on distribution of electrical energy (if the candidate is consumer);

5) data on the license(s) of the candidate for participants of the market (in cases when need of the license is established by the Law);

6) the E_S-code of the participant of the market (SOB) at which the candidate wishes to be registered as the member of its balancing group if the candidate for participants of the market wishes to delegate the financial responsibility for not balance to such participant of the market, together with written consent in any form of this participant of the market (SOB) to accept it in the balancing group for which it is SOB.

7) e-mail address.

1.3.7. After receipt of the corresponding statement accession of OSP checks completeness and correctness of its filling and in case of lack of the bases for its variation within 2 working days after obtaining enters the candidate in the register of participants of the market and appropriates it the corresponding identifier of the agreement of the participant of the market and date of acceptance of the statement accession what notifies the participant of the market on.

In case of variation of the statement of OSP within 2 working days from the date of receipt of the statement accession notifies the candidate on it with the corresponding reasons.

1.3.8. The variation of the statement accession of the candidate for participants of the market is performed only in cases:

1) submissions of incomplete data;

2) submissions of doubtful data.

In case of disagreement with the decision of OSP the candidate for participants of the market can address the Regulator concerning appeal of such decision.

1.3.9. SMALLPOX (in quality of AR) keeps the register of participants of the market which contains such information:

1) EIC code of the participant of the market;

2) EGRPOU or RNOKNP (if participant of the market is physical person entrepreneur);

3) the complete and reduced names of the participant of the market or full name (if participant of the market is the physical person or physical person entrepreneur);

4) location (legal address, postal address);

5) identifiers of the agreements signed by the participant of the market with OSP;

6) the roles assigned to this participant of the market;

7) the SOB EIC code of the participant of the market (in case of its entry into the balancing group);

8) registration condition (in registration condition, it is registered, Preddefoltny, "Default" and so forth);

9) e-mail (other means of communication).

1.3.10. In case of dispute on whether the candidate for participants of the market can join these Rules, the Regulator considers it according to the current legislation of Ukraine. If the Regulator makes the decision for benefit of the candidate for participants of the market, such candidate for participants of the market it is considered the Regulator which joined the agreement on settlement of not balances of electrical energy, and OSP from the date of adoption of the relevant decision shall perform actions, stipulated in Item 1.3.7 these Chapters.

 

1.4. Data management of participants of the market

1.4.1. The candidate for participants of the market bears responsibility for correctness and reliability of all data provided in the course of registration as the participant of the market according to Item 1.3.6 of Chapter 1.3 of this Section.

1.4.2. If the participant of the market wishes to change information specified in its statement accession to the agreement on settlement of not balances of electrical energy, or data of the participant of the market stop being urgent, exact and complete, such participant of the market reports to AR about such changes no later than in 3 working days after approach of such changes and provides the relevant documents in case of need.

1.4.3. The ARE has the right to establish lists of the data necessary for functioning of the market, activities of the participant of the market on all segments of the market and carrying out the corresponding calculations. These these participants of the market shall provide AR on demand of AR and periodically according to the formats and regulations established by AR. The relevant documents which establish the list of data, content, criteria of validation of data, forms and terms of their provision are developed by OSP and published on its official website.

In case of failure to provide such data by the participant of the market of OSP addresses the Regulator.

1.5. Procedure for creation, registration and termination of functioning of the balancing groups

1.5.1. All participants of the market, except consumers who buy electrical energy under agreements on delivery of electrical energy to the consumer bear responsibility for the not balances of electrical energy for what each participant of the market shall become SOB or transfer the financial responsibility for not balances of other SOB by entry into its balancing group based on conclusion/accession to the relevant agreement.

If the participant of the market gives the financial responsibility for not balances of other SOB by entry into its balancing group, the agreement on settlement of not balances signed between OSP and this participant of the market stops the action regarding the financial responsibility for not balances for the period of validity about participation in the balancing group.

1.5.2. Consolidation of participants of the market in the balancing groups is performed on voluntary contractual basis by the conclusion of the relevant agreements on condition of observance of the requirements to the balancing group determined by these Rules.

1.5.3. The agreement signed between SOB and the participant of the market which intends to be part of the balancing group of this SOB shall include, in particular:

1) procedure of payments of not balances of electrical energy within the balancing group;

2) the financial responsibility for not balances of electrical energy of the participant of the balancing group before SOB;

3) the notification procedure SOB and accomplishment of hourly schedules of each participant of the balancing group;

4) conditions of termination of the contract at the initiative of OSP by renewal of validity about settlement of not balances of electrical energy in case of failure to carry out of SOB of requirements of these Rules;

5) conditions of termination of the contract with the participant of the market which is part of the balancing SOB group, at the initiative of the participant of the market or SOB and renewal of validity about settlement of not balances of electrical energy of such participant of the market.

1.5.4. Participants of the balancing group bear the financial responsibility for not balance before the SOB within the not balances of electrical energy.

1.5.5. SOB bears the financial responsibility before OSP for not balances of electrical energy of all participants of the market which entered into the balancing group which it represents.

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