能源区块链技术发展现状以及应用分析

北极星太阳能光伏网讯:区块链成为近两年热点话题，因其通过分布式数据存储、点对点（P2P）传输、共识机制、加密算法等技术的集成，可有效解决传统交易模式下数据在系统内流转过程中的造假行为，从而构建可信交易环境，打造可信社会。区块链技术在金融、IOT、数据、电信等领域具有广泛的应用前景。在能源领域，虽然目前区块链技术应用案例较少且规模较小，并且实际运营经验不足，但是区块链在未来能源领域具有广泛的应用潜力，正成为当今能源领域的一个重要应用方向。总结国内外能源领域区块链技术的应用情况，将对我国能源领域应用区块链技术、使区块链技术成为能源转型和模式进化的催化剂，具有重要的借鉴意义和参考价值。本文首先概述区块链的定义和特点，总结国内外区块链技术总体发展情况，分析区块链在能源领域的发展现状；其次重点介绍区块链技术在能源领域的应用，对典型案例进行深入解剖和分析；最后探讨能源区块链发展中存在的问题和面临的挑战，供参考。

In the field of energy, although there are currently fewer and smaller applications of block-chain technology and insufficient operational experience, the integration of block-to-point (P2P) transfer, consensus mechanisms, encryption algorithms, among other technologies, is an important way of addressing today's energy applications. Taking stock of the application of grid-to-chain technologies in the energy sector, both domestic and international, will provide an important source of information and a reference value on the application of block-to-chain technologies in the energy sector, making them a catalyst for energy transformation and paradigm evolution.

（来源：微信公众号“能源研究俱乐部”ID：nyqbyj 作者：能源情报研究中心 邱丽静）

(Source: Weibo Public, “Energy Research Club”, ID nyqbyj, author: Energy Intelligence Research Centre, Chiu Li Jing)

一、区块链技术概述

i. Technical overview of block chain

“区块链”（Blockchain）技术起源于“比特币”。2008年一个笔名为中本聪的作者发表了一篇名为《比特币——一种点对点的电子现金系统》的文章，阐述了一种基于P2P网络技术、通过加盖时间戳、参与各方一同记账、一同公证、每十分钟确认一次交易的分布式记账系统，标志着比特币的诞生。随后，该理念很快步入实践。然而，目前尚未形成关于区块链的统一定义。如今比较通行的定义为：区块链是分布式数据存储、P2P传输、共识机制、加密算法等计算机技术的新型应用模式。区块链技术是比特币的底层核心技术，其本质是一个去中心化的数据库，任何一笔交易都会通过数据库发给全网的其他每个节点。与传统数据库技术相比，区块链技术具有去中心化、数据不可篡改、集体维护、信息公开透明、智能合约、可追溯性、开放性、无需信任系统等特点。作为一类新兴的分布式数据存储技术，区块链在金融、政务、能源、医疗、知识产权、司法、网络安全等行业领域的应用逐步展开，正成为驱动各行业技术创新和产业变革的重要力量。根据Lux Research发布的《2019年的19项关键技术》报告，区块链被视为即将改变世界经济、在未来10年改变人们生活方式的19项关键技术之一。

The Blockchain technology started in “bitcoin” in 2008. An article entitled “bitcoin – a point-to-point electronic cash system” was published in 2008 by an author called Bint. It describes a new application model for computer technology based on P2P network technology, accounting by stamping time, accounting by all parties involved together, a common notary, and a distributed accounting system for every ten minutes of transactions, which marks the birth of Bitcoin. However, the concept has not yet developed a uniform definition of the block chain. The more commonly used definition is: block chains are distributed data storage, P2P transmissions, consensus mechanisms, encryption algorithms, etc. The essence of the block chain technology is a decentralized database, through which any transaction is sent to every other part of the network. Compared with traditional database technology, the chain technology has been decentralized, data unmanageable, collective maintenance, key information transparency, traceability, openness, confidence-free system, etc.

“区块链+”产业图景

“Plus chain plus” industrial landscape

二、国内外区块链技术发展总体情况

II. Overall technological development of the internal and external block chains

（一）国内外区块链整体发展情况

(i) Overall development of internal and external block chains

区块链技术作为“比特币”的底层技术，自2009年以来，随“比特币”在全球范围内兴起，逐步走进人们的视野。iiMedia Research发布的数据显示，自2009年至2019年8月，全球区块链产业累计投融资规模为103.69亿美元。全球各国推动的区块链项目数量达154项，主要应用于金融业、政府档案、数字资产管理、投票等领域，其中政府项目数量较多的前三个国家分别是荷兰、韩国和美国。

The block chain technology, as the bottom of the “bitcoin” technology, has been gaining ground since 2009 with the rise of the “bitcoin” worldwide. ii Media Research has shown that the cumulative financing of the global block chain industry from 2009 to August 2019 was $10,369 million. The number of block chain projects promoted by countries around the globe reached 154, mainly in the areas of finance, government archives, digital asset management, and voting, with the top three countries with a larger number of government projects being the Netherlands, the Republic of Korea and the United States, respectively.

目前，世界各国政府、产业界和学术界都高度关注区块链的应用发展，相关的技术创新和模式创新不断涌现，已经有越来越多的国家和地区将区块链作为战略发展方向。其中，欧盟相对较为积极，于2018年2月成立欧洲区块链观察论坛，该论坛主要职责包括：政策确定、产学研联动、跨国境BaaS（Blockchain as a Service）服务构建、标准开源制定等，并且通过Horizon 2020创新项目投入500万欧元作为区块链研发基金，预计2018～2020年的3年间区块链方面投资将达到3.4亿欧元。

At present, governments, industry, and academia around the world are giving high priority to the application of block chains, and related technological and model innovations are emerging, with an increasing number of countries and regions using block chains as strategic development directions. Among these, the EU is relatively active in establishing the European Forum for the Observation of Block Chains in February 2018, whose main responsibilities include: policy identification, production research and research association, construction of services in the cross-border Baaçain as a service, standard open source development, etc., and investing Euro5 million in sector chains through the Horizon 2020 innovation project, which is expected to reach Euro340 million over a three-year period from 2018 to 2020.

澳大利亚联邦政府已在区块链技术上进行了大量投资，包括在2018～2019财年向数字创新机构投资70万美元，用于研究在政府支付方面使用区块链的益处。2019年3月，澳大利亚宣布了一项国家区块链路线图战略，该战略侧重于各种政策领域，包括监管、技术和能力建设，以及创新、投资、国际竞争力和合作。澳大利亚政府认为，诸如国家区块链路线图之类的政策可以帮助该国成为新兴区块链行业的全球领导者。

The Australian federal government has invested heavily in block-chain technology, including $700,000 in fiscal year 2018-2019 for digital innovation agencies to study the benefits of using block-chains in government payments. In March 2019, Australia announced a national block-chain road map strategy that focuses on a variety of policy areas, including regulation, technology and capacity-building, as well as innovation, investment, international competitiveness and cooperation.

英国政府在现阶段的区块链创新竞赛中处于突出的领先地位，其诸多创新举措为其他国家区块链领域的政策制定与研究提供了重要参考。2016年1月，英国政府发布《分布式账本技术：超越区块链》白皮书，第一次立足国家层面对区块链技术的发展进行全面分析并给出研究建议。英国金融行为监管局（FCA）早在2015年11月就发布了《监管沙盒》指引文件，首次提出监管沙盒的核心意义与具体实施要求，为区块链等金融科技企业在监管政策不确定的情况下提供了一个安全创新的环境。FCA至今已完成共三批测试招募，正式进入测试环境的企业中区块链方向的超过半数。德国、巴西等国也在尝试利用沙盒探索区块链行业监管和应用。

In January 2016, the British government released a White Paper on Distributive Account Technologies: Beyond Block Chains, the first comprehensive analysis and research recommendations on the development of block chain technologies at the national level. The UK Financial Practices Regulatory Authority (FCA) issued a Guidance Paper on Regulation of Sand Boxes as early as November 2015, setting out, for the first time, the core and specific implementation requirements for the regulation of sandboxes, providing a safe environment for scientific and technological enterprises, such as block chains, in the absence of regulatory certainty.

在美国，由于各州政策不一，虽然区块链在美国初创企业中仍是热潮，但产业政策推动一直较慢。

In the United States, industrial policy has been moving slowly, owing to divergent state policies and although block chains are still hot in start-ups in the United States.

日本政府在区块链技术的研究和控制方面持更加积极且审慎的态度。日本正在国家层面积极制定法律，并进一步规范大型金融、物流和商业部门，以实现区块链技术和数字货币的早日应用。

The Japanese government is taking a more active and cautious approach to research and control of block chain technology. Japan is actively developing legislation at the national level and further regulating the large financial, logistics and commercial sectors to achieve the early application of block chain technology and digital currency.

区块链技术日益受到我国政府的重视，政府陆续出台许多政策推进区块链技术的发展及应用，但整体看，国内区块链的应用探索尚处于早期研究阶段。国务院印发《“十三五”国家信息化规划》，区块链与大数据、人工智能、机器深度学习等新技术，成为国家布局重点。中国人民银行印发《中国金融业信息技术“十三五”发展规划》，明确提出积极推进区块链、人工智能等新技术应用研究，并组织进行国家数字货币的试点。2016年10月，工信部发布《中国区块链技术和应用发展白皮书》，这是我国政府首个落地的区块链官方指导文件。

In October 2016, the Ministry of Trade and Communications issued the White Paper on Technology and Applied Development of China's Block Chain, which is the first official guidance document on the territorial chain.

在区块链技术写入“十三五”规划之后，我国各地政府积极推动区块链产业发展，纷纷成立区块链实验地、研究院。目前，深圳、杭州、广州、贵阳等地都在积极建立区块链发展专区，给予特别扶持政策。其中，广州在2017年12月正式发布广州区块链10条策略，在黄浦区和开发区打造区块链企业技术创新区。深圳在2018年3月由深圳市经济贸易和信息化委员会发布《市经贸信息委关于组织实施深圳市战略性新兴产业新一代信息技术信息安全转型2018年第二批扶持计划的通知》，区块链在扶持方向之列，这是继广州、贵阳、青岛、杭州之后，国内第5个地方政府出台关于区块链的扶持政策。

In December 2017, Guangzhou officially published 10 strategies for the development of a sector-based enterprise innovation zone in the District of Huangpu and the Development Area. In March 2018, Shenzhen, by the Committee on Economic Trade and Informationization of Shenzhen City, issued the Circular of the Municipal Economic and Trade Information Council on the Organization of the Second Support Plan for the New Generation of the Information Technology Security Transformation of Shenzhen City in 2018, which is part of the Support Directions of the District Chain, which was launched by the Fifth Local Government of the country after Guangzhou, Guiyang, Qingjia and Hangzhou.

（二）国内外能源区块链发展情况

(ii) Development of domestic and external energy sector chains

区块链技术作为一种新的分布式数据库技术，其去中心化、公开、透明的特点让每个个体均可参与数据库记录。虽然区块链在能源领域的应用案例较少且规模较小，并且实际运营经验不足，但是区块链在未来能源领域具有广泛的应用潜力，正成为当今能源领域的一个重要应用方向。

Block chain technology, as a new distributed database technology, is centralized, open, and transparent, allowing each individual to participate in the database’s records. Although the block chain has fewer applications and small applications in the field of energy and has limited operational experience, the block chain has a wide range of applications in the energy field in the future, and is becoming an important application in today’s energy sector.

1. 全球能源区块链仍处于探索起步阶段

1. Global energy grids are still in the initial stages of exploration

近年来，能源区块链技术应用已出现众多案例，国内外多家能源企业展开探索，主要应用于分布式能源交易、绿证资产数字化、供应链金融、碳市场交易、电动汽车充电及结算等场景，降低了交易成本，提高了效率。西班牙可再生能源巨头伊维尔德罗拉（Iberdrola）正在利用区块链技术追踪可再生能源，目前已启动试点且取得成功。西班牙能源巨头雷普索尔（Repsol）宣布，已成功完成一项区块链试点，可以改进石化产品的认证过程，提高产品的安全认证质量，此举每年可节省高达40万欧元的成本。值得一提的是，美国能源部2019年1月初也宣布，将为包括区块链在内的大学技术研究提供480万美元的资金。

In recent years, there have been numerous cases of energy chain technology applications, which have been explored by a number of domestic and international energy enterprises, mainly in the context of distributed energy trading, greening asset digitization, supply chain finance, carbon market trading, electric car charging and clearing, reducing transaction costs and increasing efficiency. The Spanish renewable energy giant Iberdrola is using block chain technology to track renewable energy, which has now been piloted and successful. The Spanish energy giant Repsol has announced that it has successfully completed a block chain pilot that could improve the certification process for petrochemical products and improve their quality of certification, which could save up to €400,000 per year. It is worth noting that early January 2019, the United States Department of Energy announced that US$ 4.8 million will be funded for university technology research, including the sector chain.

区块链在能源领域的技术优势在于，以通证为基础的流通和激励机制实现分布式能源P2P交易过程。2016年4月，在美国纽约布鲁克林微网项目中，屋顶光伏发电供应者与电力用户基于以太坊区块链智能合约，实现P2P直接交易，被认为是开启了区块链技术在能源领域应用的先河。

The technical advantage of block chains in the area of energy lies in the fact that the distributional P2P trading process is achieved through a pass-based flow and incentive mechanism. In April 2016, in the United States, in the Brooklyn MicroNet project in New York, roof photovoltaic power providers and power users were able to trade P2P directly on the basis of an intelligence contract based on the Taiku block chain, which is considered to be a precursor to the energy applications of block chain technologies.

虽然全球各地相继出现了多个示范项目，但能源区块链应用仍处于小范围试点阶段，且以实验性质居多，技术、经济与政策的限制使得短时间内区块链技术无法对能源行业产生实质影响。美国、德国、荷兰、澳大利亚、新西兰、南非都有早期区块链能源公司，基于以太坊智能合约开发电力交易平台，用智能仪表采集数据，P2P的发电、用电、交易技术趋于成熟。

Although there have been several demonstration projects around the globe, energy block chain applications are still at a small pilot stage and are mostly experimental in nature, and technological, economic, and policy constraints prevent short-term block chain technologies from having a substantial impact on the energy sector. There are early block chain energy companies in the United States, Germany, the Netherlands, Australia, New Zealand, and South Africa, which develop power trading platforms based on an Etherm smart contract, collect data using smart instruments, and mature P2P power generation, electricity use, trade technology.

相比国外能源区块链投资与应用的活跃程度，我国能源区块链发展基本上还是刚刚起步的状态。2016年之前，“能源互联网的规划、运行与交易基础理论”已经被相关文件界定为“智能电网基础支撑技术”项目下的基础研究类题目，该项目的实施周期为5年（2016～2020）。2016年首个区块链能源实验室成立，并推出能源区块链主链Demo，这些都体现出我国探索者在该领域的努力。

The development of energy grids in our country is still largely in the early stages of development, as compared to the level of activity in investing in and applying energy grids abroad. Until 2016, the “Basic theory of energy Internet planning, operation and trade” was defined in the relevant documents as a basic research category under the project “Intelligent grid infrastructure technology” with a five-year implementation cycle (2016-2020). The establishment of the first sector energy chain laboratory in 2016 and the launch of the Demo chain of energy grids reflect the efforts of our explorers in this area.

2. 区块链技术助力全球能源转型

2. Block chain technology for global energy transformation

2019年2月，国际可再生能源署（IRENA）发布的题为《可再生能源未来的创新》报告指出，为了加速电力行业的低成本可再生能源发电，各国需要创新的技术工具，使其能够从可再生能源规模扩大中受益。报告中提到的创新包括时间使用税、聚合器和区块链等支持技术。该报告指出，有189家公司正在使用能源区块链，71个项目使用能源区块链，其中约50%的项目建立在以太坊区块链上。IRENA报告称，总体来看，截至2018年9月，电力行业的区块链投资额已经达到4.66亿美元。

In February 2019, the International Renewable Energy Agency (IRENA) published a report entitled Innovations in the Future of Renewable Energy, which states that, in order to accelerate low-cost renewable energy generation in the electricity sector, countries need innovative technological tools to enable them to benefit from the expansion of renewable energy. The innovations mentioned in the report include time-use taxes, polymers and block chains, among others. The report states that 189 companies are using energy grids, and 71 projects use energy grids, with about 50 per cent of the projects based on the Tetsu grid. IRENA reported that, overall, investment in the grid in the electricity sector had reached $466 million as of September 2018.

在数字化浪潮下，绿色能源资产数字化转型必将形成多方生态智联、产业链价值自由流通、多场景智能化绿色应用的生态网络。能源企业的传统业务模式和盈利模式不再适应数字化、低碳化的新经济格局需求，以能源用户为主导的能源变革对企业既有系统提出新的挑战。能源行业正面临传统一次能源向基于光风电等二次能源的转型期，数字化被视作实现传统能源行业转型升级并重新焕发生机的重要驱动力，而区块链基于其去中心化、智能合约等技术特征正在被应用至能源价值链的多个环节。

In a digital wave, the digital transformation of green energy assets is bound to form an ecological network of multi-eco-intellectual associations, free flow of value from industrial chains, and intelligent green applications from multiple scenes. The traditional business and profit models of energy enterprises are no longer adapted to the demands of digital, low-carbonized new economic patterns, and energy-user-led energy transformations pose new challenges to firms’ systems.

以电力为例，通过区块链技术，我们可以安全便捷地将分布式能源资源纳入电网平衡过程。利用大量的分布式资源可以创建“虚拟发电厂”。它们能够提供与集中式发电厂相同的服务，但在很大程度上由个人和企业，而不是电力公司拥有。用户可以从自有资产，而不是电力公司拥有的资产中获益，这大大降低了系统的运营成本。区块链技术使我们能够协调这些资产的充电或放电，拥有这些资产的用户可以购买这些服务自用，或通过提供这些服务而获得回报。其结果是大幅提升电网利用率，并显著提高可再生能源、能效和清洁能源资产等纳入电网运营的能力。

In the case of electricity, through block-chain technology, we can safely and easily integrate distributed energy resources into the grid balance process. A large number of distributed resources can be used to create “virtual power plants”. They can provide the same services as centralized power plants, but they are owned to a large extent by individuals and businesses. Users can benefit from assets owned by their own assets, rather than by electricity companies, which significantly reduce the operating costs of the system. Block-chain technology allows us to coordinate the charging or discharge of these assets, and users who own them can buy these services for their own use or receive returns through the provision of those services. The result is a significant increase in grid utilization and a significant increase in the ability to integrate renewable energy, energy efficiency and clean energy assets into grid operations.

3. 能源区块链初创型公司集中在发达国家

3. Innovative energy sector chains are concentrated in developed countries

根据行业调研机构GTM Research发布的《2018能源领域区块链发展》报告，在其统计调查范围内，已经有122家区块链初创公司活跃在能源领域，其中有54家公司是2017年成立的。能源区块链技术的逐渐成熟推动了资本涌入相应的初创型公司，目前来看这类公司主要还是集中在欧美日等发达国家。欧洲尤其是德国也有不少能源区块链项目，德国对区块链技术整体持较为支持的态度，加上德国较为发达的分布式可再生能源，使得区块链在能源领域的应用十分有前景。此外，专注于能源的区块链创业公司Power Ledger已经在澳大利亚和新西兰试运行了几个区块链平台项目。奥地利的Grid Singularity是将区块链技术应用到能源领域的主要欧洲开发商。2017年5月，落基山研究所（RMI）与Grid Singularity合作建立了能源互联网基金会（EWF），该基金会旨在促进区块链项目在能源领域的商业部署。

According to a report published by the industry research agency GTM Research on the development of block chains in the field of energy in 2018, 122 block-chain start-ups have been active in the field of energy in the context of their statistical surveys, of which 54 were established in 2017. The technological maturity of the energy block chain has prompted capital inflows to start-up companies, which are still mainly concentrated in developed countries, such as Europe and America. There are also a number of energy block-chain projects in Europe, in particular Germany. Germany’s overall support for block-chain technologies, coupled with Germany’s more developed distributed renewable energy sources, has made the use of block-chains in the energy sector very promising.

另据Fortune Business Insights发布的报告，由于加大力度推动绿色能源，预计到2026年底，全球能源公用事业的区块链市场规模将达到15.664亿美元，2018～2026年间的年复合增长率将达到37.6%。能源公用事业市场研究报告中区块链涉及的主要公司包括IBM、Greeneum、Oracle、微软、EnergiMine、埃森哲PLC、Infosys Limited等。

It is also reported by Fortune Business Forums that, as a result of increased efforts to promote green energy, the global energy utility sector chain market is expected to reach $1,566.4 million by the end of 2026 and the annual compound growth rate between 2018 and 2026 will reach 37.6 per cent. Major companies involved in the sector chain in the energy utility market study include IBM, Greenerum, Oracle, Microsoft, EnergiMine, PLC, Infosys Limited, etc.

4. 全球传统油气企业加快进入区块链领域

4. Accelerating access to block chains by traditional global hydrocarbon enterprises

在全球经济增速放缓、环保标准日渐严苛的背景下，大批传统油气企业进入发展瓶颈期，油气企业期待利用区块链、大数据、人工智能等数字化技术，完善旗下产业链流程、提高运营效率和安全性，同时实现环保等可持续目标。根据德勤调查，72%的石油和天然气行业高管期待采用区块链技术。德勤表示，在能源和资源领域中采用区块链，可以提高可视性、运营效率并简化监管流程。区块链可以为执行和记录能源交易提供可靠而有效的平台，存储大量干净、防篡改的数据，同时还可供监管机构访问和跟踪。

In the context of a slowdown in global economic growth and increasingly stringent environmental standards, a large number of traditional oil and gas enterprises are entering development bottlenecks, and oil and gas companies expect to use digital technologies such as block chains, big data, and artificial intelligence to refine industrial chain processes, improve operating efficiency and safety while achieving sustainable goals such as environmental protection. According to Deloitte Survey, 72% of oil and gas industry executives expect to adopt block chain technologies. Deloitte suggests that the use of block chains in the energy and resource sectors can increase visibility, operational efficiency and simplify regulatory processes.

国外大型油气企业已经开始投入资源打造区块链+油气交易的平台。国内最先尝试做油气+区块链试点的企业是中化能源科技有限公司。中化能源科技以实货贸易为切入口，引用区块链技术。2017年12月，中化集团针对从中东到中国的原油进口业务，成功完成我国第一单区块链原油进口交易试点，原油交易执行效率提高50%以上。2018年4月，中化集团下属中化能源科技有限公司针对一船从中国泉州到新加坡的汽油出口业务，完成区块链应用的出口交易试点，这是全球首单有政府部门参与的能源贸易区块链应用项目，通过引入银行资金，降低贸易融资成本30%以上。

In December 2017, the Centralized Group successfully completed a pilot crude oil import transaction for the country’s first block chain from the Middle East to China, with efficiency gains of more than 50 per cent. In April 2018, China Centralized Energy Technology Ltd., a subsidiary of the Centralized Group, completed a pilot export transaction for the sector chain application for gasoline export operations from Spring State to Singapore, the world’s first single-sector energy trade chain application involving government departments, reduced the cost of trade finance by more than 30 per cent through the introduction of bank funds.

5. 国内能源企业积极探索区块链技术应用

5. Active exploration of block chain technology applications by domestic energy enterprises

相比国外区块链能源投资与应用的活跃程度，我国能源区块链领域近几年也开始出现探索者，比如北京能链众合科技有限责任公司2016年完成由上海古莲资本和北京金科君创领投的千万元级别首轮融资。此外，各地方政府正在加紧准备推出区块链产业扶持政策。区块链和新能源本身就是两大支持发展方向。早在2017年，国家发展改革委就出台政策，支持用户间分布式能源的直接交易，并且开展了相关试点。2019年，江苏出台了隔墙售电的相关细则。在法律法规上，为区块链技术参与分布式电力交易提供了比较好的支持。

Local governments are also stepping up their preparations to launch a block-chain industrial support policy. As early as 2017, the National Development Reform Commission introduced policies to support direct inter-user-distributive energy transactions and implemented pilot projects. In 2019, Jiangsu introduced regulations on the sale of electricity on the wall.

国内的能源企业也在大力推进能源区块链。2019年10月，国家电网公布，国网区块链科技（北京）有限公司正式成立。下一步，国网区块链科技公司将借助区块链最强大的行业泛在连接能力、最灵活的资源优化配置能力、最高效的价值共创共享能力，赋能枢纽型、平台型、共享型企业发展，全面助力“三型两网”世界一流能源互联网企业建设。2019年12月，国网区块链科技公司基于自主研发的区块链底层技术服务平台，全面强化区块链在能源电力领域的应用落地，在新能源云、电力交易、优质服务、综合能源、物资采购、智慧财务、智慧法律、数据共享、安全生产、金融科技等十大场景形成了具备典型性、高可行性的区块链技术解决方案。目前，十大典型场景已在适应能源变革、优化营商环境、提升服务水平、提高协同效率、强化安全保障等方面取得了良好效果。

In October 2019, the national grid was announced, and the national grid chain technology (Beijing) Ltd. was officially established. Next, the national grid chain technology company will build on the most powerful industries in the area of connectivity, optimal allocation of the most flexible resources, the most efficient value-sharing capabilities, the enabling hub, platform-type, and shared enterprise development, which will contribute to the development of the world's top-class energy Internet enterprises. In December 2019, the national grid grid chain technology company, based on autonomously developed technology service platforms at the bottom of the grid, was able to enhance the application of the grid chain in the field of energy and electricity. Ten sites, such as new energy clouds, electricity transactions, high-quality services, integrated energy, goods procurement, smart finance, smart law, data sharing, safe production, financial science and technology, and so on, produced typical, high-feasibility technology solutions.

三、区块链在能源领域的应用场景分析

III. Application landscape analysis of block chains in the field of energy

分布式被视为区块链技术在能源中最具前景的应用方向。现有的集中式多级管理能源系统不仅复杂，而且消耗资金。而区块链技术可以将能源生产商和能源消费者（首先是电力生产商和电力消费者）直接联系起来，从而简化各方的相互关系和相互影响。预计在这种新型的能源系统中，小型分布式电源（通常是指可再生能源的分布式电源）生产的电力将直接通过微电网供应给终端电力用户。利用区块链技术，发电量和用电量将通过智能电表计量，交易业务和支付业务将通过智能合同的控制以数字货币的形式实现。如此一来，电力公司或代理商将无需参与其中。能源大宗商品交易和分布式能源电力交易（P2P交易）是目前区块链在能源行业的主要应用场景，尤其是对于分布式光伏发电，由于其电压等级较低无法远距离传输，通过区块链可以实现用户和发电者之间的P2P交易。

In this new energy system, it is expected that power from small distributed sources (usually renewable energy) will be supplied directly to end-users through microgrids. Using block-chain technologies, power generation and consumption will be measured through smart meters, and trading and payment operations will be achieved through smart contract controls in the form of digital money. In this case, electricity companies or agents will not need to be involved.

（一）能源交易

(i) Energy trade

1.P2P能源交易

1. P2P energy trade

P2P能源交易使能源消费者主动参与能源交易，变为能源的产消者。一方面用户可以从电网或自己的分布式能源中用电；另一方面可以将多余的能源售卖给电网和其他消费者。从电力效用角度来看，能源使用效率的提高可以直接减少区域内的负载，缓解电网压力。这个场景中的产消者不局限于住宅用户，商业用户和工业用户同样可以扮演产消者的角色，物理流与信息流均可以在端与端之间进行交互。

P2P energy deals make energy consumers actively involved in the energy trade and become energy consumers. On the one hand, users can use electricity from grids or their own distributed energy sources; on the other hand, they can sell excess energy to grids and other consumers. From the point of view of power efficiency, improved energy efficiency can directly reduce the load in the region and ease the pressure on the grid.

• 典型案例

  Typical cases

LO3 Energy搭建居民P2P电力交易微网

LO3 Energy set up a P2P power trading micronet for residents.

2016年4月，美国能源公司LO3 Energy与西门子数字电网以及比特币开发公司Consensus Systems合作，建立了布鲁克林微电网——基于区块链系统的可交互电网平台TransActive Grid。该项目是全球第一个基于区块链技术的能源市场。这个微网项目实现了社区间居民的P2P电力交易，允许用户通过智能电表实时获得发电量、用电量等相关数据，并通过区块链向他人购买或销售电力能源。用户不需要公共的电力公司或中央电网就能完成电力能源交易。用户通过手机APP在自家智能电表区块链节点上发布相应智能合约，基于合约规则，通过西门子提供的电网设备控制相应的链路连接，实现能源交易和能源供给。为了提高整个系统的效率，该平台不仅要对生成的和存储的能量进行管理，而且还要处理消费者的灵活性选择。LO3 Energy之前与Green Mountain Power合作，为美国推出了第一个面向客户的商业化本地能源市场。但对于大多数美国人而言，跨P2P网络进行电子交易的能力似乎仍然遥遥无期。即使交易生成，也仅限于极小规模，现实中的管理困难以及回报率低的问题仍旧难以解决。

In April 2016, the U.S. energy company LO3 Energy, in collaboration with Siemensus Systems, and the Bitcoin Development Corporation, established the Brooklyn Microgrid - a grid-based, interactive platform for grid-based grids - TransActive Grid. The project is the first global energy market based on block-chain technologies. The microgrid project enabled inter-community P2P power trading, allowing users to access electricity generation, electricity use and other related data in real time through smart meters, and to purchase or sell electricity from others through block chains. Users did not need public power companies or central power grids to complete power trading.

2.能源大宗商品交易

2. Large-scale trade in energy commodities

能源产品交易可以作为信息打包成为区块，区块内的电力、油气交易基于共同市场机制完成。数字化贯穿整个能源价值链，越来越多大型能源公司和大宗商品交易商纷纷进军区块链领域。以石油交易为例，传统模式存在流程长、节点多、周期久、风险高、设计实体多、占用资金多等不足。石油交易长期以来主要通过生产商、供应商、承包商、分包商、炼油商和零售商进行，追踪原油的实时转移基本无法实现。引入区块链技术可以按照预先设置的触发条件自动执行买卖条款，推进电子文件、智能合同和认证转让，不仅能够帮助企业实现前所未有的效率，同时降低交易成本和风险。

Trade in energy products can become a block of information, where electricity, oil and gas transactions are done on the basis of a common market mechanism. Digitalization runs through the entire energy value chain, with a growing number of large energy companies and commodity traders moving into the military chain.

• 典型案例

  Typical cases

VAKT能源贸易

VAKT Energy Trade

2017年，BP、壳牌和挪威国家石油公司（Equinor）等大型石油公司与大型银行和贸易公司联合推出一个基于区块链的能源大宗商品交易平台VAKT。该平台打破了油气公司和大宗商品交易商长久以来的“纸质”交易模式，进而转向更透明、更便捷、更便宜的“电子”模式。美国第二大石油公司雪佛龙、法国石油巨头道达尔以及印度信实工业集团于2019年加入VAKT平台。这是VAKT自2018年11月底投入使用以来迎来的首批客户，也是引入的新一批战略投资股东。VAKT通过有效利用区块链技术优势，能够简化传统对账业务流程，消除纸质文件，继而提高整个贸易生命周期效率，并创造更多全新的贸易融资机会。据了解，VAKT一旦全面投入运营，可能会在贸易解决方案中削减高达40%的成本。

In 2017, large oil companies, such as BP, Shell, and the Norwegian National Petroleum Corporation (Equinor), joined with large banks and trading companies to launch VAKT, the first customer VAKT has come into operation since the end of November 2018, and the new strategic investment shareholder introduced. VAKT, by making effective use of the technical advantages of the chain, can simplify traditional business processes, eliminate paper documents, and then improve efficiency throughout the entire trade cycle and create new and innovative trade financing opportunities.

3.批发能源市场交易

3. Wholesale energy market transactions

批发能源市场交易的流程中采用的一般是孤立的IT系统和低效的通信，几乎都依赖于手动操作，在交易所和经纪商、定价机构之间存在高昂的交易成本。针对批发能源交易市场，利用区块链及智能合约技术，可以保证资金安全，降低违约率。例如，通过贸易商之间部署的共享账本做出调整，直接在区块链上记录交易信息，使对方验证。这种模式使交易员无需各自存储数据，而是共享安全的媒介，保证储存的信息透明、精确、已验证。这个交易系统可以提高交易效率，减少人工错误。

The process of wholesale energy market transactions typically involves isolated IT systems and inefficient communications, which are almost always dependent on manual operations, with high transaction costs between exchanges and brokers and pricing agencies. For wholesale energy trading markets, using block chains and smart contract techniques can guarantee financial security and reduce default rates. For example, through shared book bookings deployed between traders, transaction information can be recorded directly on block chains for validation. This model allows traders to store data without having to do so, but rather to share secure media to ensure that stored information is transparent, accurate and validated. This trading system can improve transaction efficiency and reduce manual errors.

• 典型案例

  Typical cases

BTL：解决核心问题

BTL: Addressing core issues

2015年成立的BTL（Blockchain Technology Limited）起初活跃于金融服务业，与Visa合作完善跨境结算，之后进入能源行业。在批发能源交易中，BTL发现交易确认和核对是可以首先用区块链解决的问题。贸易商之间部署共享账本，大多数交易后的通信是手动进行的，即对方通过邮件和传真验证和核对数据的不符点。BTL则提议采用贸易商之间部署的共享账本来调整，在区块链上记录交易信息。这个系统让交易员不再各自存储数据，而是共享安全的媒介，其中存储的信息做到透明、精确化、验证过，可以加速工作流程，降低人为错误的可能性。各双边关系配备区块链。批发能源交易中还存在隐私性和扩容性的问题。为解决这个问题，BTL开发了私有区块链平台Interbit，而不是依赖如以太坊的其他已有区块链目录。其构思是为每个双边关系配备一个区块链，所有的区块链连接到一个通用的区块链目录上。BTL没有走传统的风投路线，而是于2015年11月在TSX Venture Exchange交易所上市（TSXV:BTL）。通过与Wien Energy、BP等领先的能源公司合作，BTL进行了12周的试点项目，重点是欧洲天然气市场的交易核对问题。通过这个创收的项目试点，BTL意在获得Interbit基础设施执照，扩展到下游应用，比如交易计划、发票、监管报告和现金结算，满足个人客户的需要。

In wholesale energy transactions, BTL finds that the identification and reconciliation of transactions can be addressed first by a block chain. The deployment of shared accounts between traders, most of which are communicated manually, is a discrepancy between the data verified and verified by mail and fax. BTL proposes that the share of accounts deployed between traders be adjusted to record transactional information on the block chain. The system allows traders to move away from storing data individually, in cooperation with Visa, but to share secure media in which the information stored is transparent, accurate and validated to speed up the process and reduce the likelihood of human error.

（二）电动汽车充卖电服务

(ii) Power sales services for electric cars

在绿色、低碳、节能交通的背景下，越来越多的购车消费者选择电动汽车。但目前在电动汽车的即时充电应用场景中，面临着多家充电公司支付协议复杂、支付方式不统一、充电桩相对稀缺、充电费用计量不精准等问题。区块链在解决这些问题上提供了技术方案。将其用于充电站运营平台，有利于改善电动汽车充电的不便之处，对充电基础设施进行有效管理，强化安保系统，促进共享电池和共享能量的共同作用。一方面，利用区块链的去中心化和不可篡改属性确保了电动汽车充卖电交易安全，保护交易双方的利益；另一方面，通过区块链对交易的记录为监管部门进行管理提供了便利，增加了数据的可信度。

In the context of green, low-carbon, and energy-efficient transport, a growing number of car-buying consumers are choosing electric cars. But in the current scenario of instant charging applications for electric cars, there are a number of charging companies that are faced with complex payment agreements, inconsistent payment patterns, relative scarcity of chargeposts, and inaccuracies in the measurement of charging costs.

• 典型案例

  Typical cases

德国Innogy共享充电桩

Innogy, Germany, shared chargeposts

德国能源巨头Innogy和物联网平台企业Slock.it合作推出基于区块链的电动汽车P2P充电项目。该区块链的组成节点包括多个运营商运营的充电桩、交易平台、运营商节点和充电车辆。用户无需与电力公司签订任何供电合同，只需在智能手机上安装Share&Charge APP，并完成用户验证，即可在Innogy广布欧洲的充电桩上进行充电，电价由后台程序自动根据当时与当地的电网负荷情况实时确定。由于采用了区块链技术，整个充电和电价优化过程是完全可追溯和可查询的，因此极大地降低了信任成本。需要充电时，从APP中找到附近可用的充电站，按照智能合约中的价格付款给充电站主人。不过，这种收费方式目前还没有得到普及，即使在德国，以太坊钱包只是一部分人的选择。

Users do not need to enter into any electricity contracts with electricity companies, but simply install Share&Charge APPs on smart phones and complete the user certification so that the charger can be charged on the European charger in Innogy, which is automatically determined by the back-office process in real time on the basis of the local grid load at that time. The entire charging and optimization process is fully traceable and searchable, thus significantly reducing the cost of trust, as a result of the application of block-chain technology. When you need to charge, you need to find a nearby recharge station in APP, paying the owner for the charger at the price of the smart contract.

（三）智能服务

(iii) Smart services

区块链开放且安全的特性以及智能合约的应用可以帮助能源企业提升现有业务的智能化程度，开发更多智能化增值服务。能源企业可以结合智能电表、智能燃气表等IOT设备管理用户能源使用和付费，或提供更安全的电池存储管理、电动车充电等增值服务，也可以将智能合约应用到能源批发领域以降低交易风险和管理成本。以区块链+智能电表为例，区块链与智能电表结合可以帮助电力公司将用户的能源使用与销售情况作为交易信息记录在区块中，从而保证用电与售电数据的真实性与准确性。利用区块链技术，发电量和用电量将通过智能电表计量，交易业务和支付业务将通过智能合同的控制以数字货币的形式实现。如此一来，电力公司或代理商将无需参与其中。

The open and secure characteristics of block chains and the application of smart contracts can help energy enterprises to upgrade the intelligence of existing operations and develop more intelligent value-added services. Energy companies can manage user energy use and payment by combining IOT equipment, such as smart electricity meters, smart gas meters, or provide value-added services such as safer battery storage management, electric vehicle charging, etc. They can also apply smart contracts to energy wholesale to reduce transaction risks and management costs. For example, block chains + smart meters can help power companies record user energy use and sales as trading information in blocks, thereby ensuring the authenticity and accuracy of electricity and sales data.

（四）能源资产记账与溯源

(iv) Accounting and traceability of energy assets

1.供应链管理

1. Supply chain management

区块链技术的溯源应用除了具有防伪查询和消费者反馈的基础功能，还可获取品牌、产地、卖点介绍等产品信息，企业资质、安全认证等企业信息，进口登记证、入境货物检验检疫证明、海关报关单等追溯信息。能源企业供应链相对复杂，传统模式下，不同企业各自保存涉及己方的物资流、资金流、信息流等数据，缺乏透明度，各方都无法实现对于整个供应链的有效管理。一旦出现冒领或错领货品、货品假冒或不合格等情况，进行查证和处理的难度较大。而区块链提供了更加安全和可信的交易解决方案，能够帮助能源企业降低贸易参与方的核验成本，降低交易复杂性和交易成本，促进多方的快速交易，提升供应链的效率。区块链平台在链接商品所有权和转移关系的同时，还有效链接间接发生关联的上下游企业，使能源企业供应链生态系统更加完善。

The retroactive application of block-chain technology, in addition to its basic function of anti-false queries and consumer feedback, can obtain information on products such as brands, place of origin, sale point presentations, business qualifications, security certification, import registration certificates, import inspection and quarantine certificates, customs declarations, and so on. The energy enterprise supply chain is relatively complex, with traditional models in which different enterprises each maintain data on their own flows of goods, capital flows, information flows, etc., without transparency. Each party cannot effectively manage the entire supply chain.

2.绿证核发与追踪

2. Green certificate issuance and tracking

“绿证”（Renewable Energy Credit，REC）是一种专门针对绿色、可再生能源提升环境水平的证明，用以衡量发电企业是否满足可再生能源组合标准（Renewable Portfolio Standard，RPS）。在西方，该信用由各个国家的标准委员会颁发。2017年1月，《关于试行可再生能源绿色电力证书核发及自愿认购交易制度的通知》发布，标志着我国绿色电力证书制度试行。绿证的购买方，实际上是获得了声明权，即宣称使用了绿色能源。绿证完成了项目信息的标准化，资格权属确认功能，但对资产的数据价值增值以及未来资产权属的分配和划拨过程中，提供风险增信未起到作用。要真正实现新能源资产数字化流通，就必须对数据的真实性、可靠性在不同节点上和依赖不同主体对其赋能。绿色证书可以通过基于区块链智能合约的绿色证书交易平台自动进行交易并进行记录。区块链技术可以验证该信用额的真实性，通过验证在能源生产源头提供的实时数据，区块链帮助能源效用公司创建一个真实的追踪链条，以显示可再生能源“从哪里来”“到哪里去”和“在哪里用”。该信用额还可以在不同发电主体之间交换，衍生出经济价值。

In the West, the credit was issued by national standard committees. In January 2017, the Circular on the piloting of a green power certificate and voluntary subscription trading system marked the piloting of our green power certification system. The green certificate purchasers were in fact given the right to declare that green energy was being used. The green certificate completed the standardization of project information, the recognition of qualifications, but the value added of the asset data and the distribution and transfer of future asset titles did not work. To achieve a real digital flow of new energy assets, it was necessary to track the trueness, reliability and dependence of the data on different subjects. Green certificates could be automatically traded and recorded on a green certificate trading platform based on a smart contract for the use of green energy.

• 典型案例

  Typical cases

Iberdrola利用区块链跟踪可再生能源

Iberdrola uses block chains to track renewable energy sources

西班牙可再生能源巨头Iberdrola正在利用区块链技术追踪可再生能源，第一次试验项目是与Kutxa银行合作完成的，测试很成功。在试点期间，Iberdrola的技术平台监控了可再生能源从两个风电厂和一家发电厂输送到位于巴斯克地区和南部城市科尔多瓦的银行办公室的过程。该公司使用了能源网络基金会的一个开源区块链平台，旨在在试点项目中满足能源部门的监管、运营和市场需求。Iberdrola认为区块链能对能源产地证书的签发流程作出贡献，该证书能够使客户了解所使用能源的来源。这一去中心化的解决方案无需中间商，可以帮助能源产业增加透明度，同时削减运营开支。上面提到的试点可以改进石化产品的认证过程，提高产品的安全认证质量，此举每年可节省高达40万欧元的成本。

During the pilot period, the Iberdrola technical platform monitored the transfer of renewable energy from two wind power plants and one power plant to the banking offices in the city of Córdoba in the Basque region and the southern city. The company used an open-source block chain platform of the Energy Network Foundation to meet the regulatory, operational and market needs of the energy sector in the pilot project. Iberdrola argued that the sector chain could contribute to the issuance process of the energy-producing land certificate, which would enable clients to understand the sources of the energy used. This decentralized solution, without the need for intermediaries, could help the energy industry to increase transparency while cutting operating costs. The pilot mentioned above could improve the certification process for petrochemical products and improve the quality of their safety certification, which could save up to 400,000 euros per year.

（五）能源金融产品创新

(v) Innovation in energy finance products

1.能源市场交易代币化

1. monetization of energy market transactions

区块链中代币的产生衍生出一种新的融资形式——数字货币的首次公开募集（Initial Coin Offering，ICO）。在能源行业，代币的产生通常与新能源有关，例如，通过可再生能源产生1千瓦时电，就可以在可再生能源区块链平台中获得一定数额的代币资产。平台通过ICO的形式吸收资金，从而用市场的手段鼓励更多可再生能源接入到该平台中。通过绿色ICO概念与金融产品相结合，为能源创新，特别是为可再生能源市场带来革命性的变化。

In the energy sector, the generation of coins is usually associated with new energy sources, such as the generation of 1 kWh of electricity through renewable energy sources, which can generate a certain amount of money in a grid platform for renewable energy. The platform absorbs funds in the form of ICO, thereby encouraging more renewable energy access to the platform by market-based means. By combining the green ICO concept with financial products, it can revolutionize energy innovation, especially for renewable energy markets.

Power ledger是一家区块链能源市场提供商，P2P能源交易平台。平台通过可交易和无成本的能量交易代币SparkZ，支持不断扩大的能源应用生态系统。这个系统在电能的生产者和使用者之间建立了直接的联系，他们可以直接进行交易，而不是通过一个充当中介的电力公司。该公司在初始代币发行期间募集了3400万美元，并获得了澳大利亚政府800万美元的资金支持。

Power ledger is a block-chain energy market provider, the P2P Energy Trading Platform. The platform supports the expanding energy application ecosystem through tradable and cost-free energy trade in token SparkZ. The system creates a direct link between producers and users of electricity, who can trade directly, rather than through an intermediary power company.

• 典型案例

  Typical cases

WePower：基于区块链的绿色能源交易平台

WePower: Green Energy Trading Platform based on block chains

Wepower是一个绿色能源拍卖平台，该平台允许可再生能源生产商发行自己的能源代币筹集资金，其中0.9%分配给WePower的代币持有者。在这个平台上代币持有者有好多好处，一方面代币持有者可以优先访问WePower平台上的新能源代币销售拍卖，另一方面拥有的WePower代币越多，获得的能源分配就越多。在生产商建成能源厂之后，代币持有者可以使用这些代币量的能源，也可以重新投入平台进行再投资。WePower解决了当前可再生能源开发商的资金获得问题，并直接为最终消费者、任何类型的投资者和能源市场创造者提供对有利可图项目的投资。这是通过区块链上的智能合约以快速透明的方式完成的。此外，WePower与能源基础设施和能源交易市场相连接，以便记录区块链数据，如果平台上没有足够的需求，可以将能源交易和能源销售直接推向市场。基于这种模式可以准确记录生产能源的类型，推进绿色能源在市场的流动并提升透明度，从而减少排放到大气中的二氧化碳造成的污染。在Wepower存在的国家中，可再生能源成本已经低于传统能源，Wepower为全球发展可再生能源提供了可持续发展的经济激励路径。

Webower is a green energy auction platform that allows renewable energy producers to raise funds by issuing their own energy tokens, of which 0.9 per cent is allocated to WePower’s money-holders. There are many benefits for currency holders on this platform, on the one hand, by giving priority to the new energy token sales auctions on WePower’s platform, and, on the other hand, by having more WePower in their possession in a fast and transparent way. After producers have built up their energy plants, we have been able to link up with energy infrastructure and markets for energy exchanges in order to record data on the grids and, if the platform does not have sufficient demand, to reinvest in the platform. WePower addresses the issue of access to capital for current renewable energy developers and directly invests in profitable projects for final consumers, investors and energy market creators. This is done through smart contracts in the regional chains.

2.供应链金融

2. Supply chain finance

供应链金融业务所有参与方（包括供货商、进货商、银行）都能使用一个去中心化的账本分享文件并在达到预定的时间和结果时自动进行支付，极大提高效率并减少人工交易可能造成的失误，从而在整个供应链条上形成一个完整且流畅的信息流，提升供应链管理的整体效率。根据麦肯锡的测算，在全球范围内区块链技术在供应链金融业务中的应用，能帮助银行和贸易融资企业大幅降低成本，其中银行一年能缩减运营成本约135亿～150亿美元、风险成本约11亿～16亿美元；买卖双方企业一年能降低资金成本约11亿～13亿美元、运营成本约16亿～21亿美元。随着能源大数据、云计算、区块链、人工智能、物联网、5G通讯等关键技术突破带来的多重驱动，传统能源供应链管理的效率将进一步提升，供应链金融也将实现高效能发展。业内表示，未来五年，供应链金融在能源产业融资占比将超过20%。

All participants in supply chain financial operations (including suppliers, importers, banks) can use a decentralized book-sharing document and make automatic payments when they reach their intended time and results, significantly increasing efficiency and reducing the potential for mistakes in manual transactions, thus creating a complete and fluid flow of information throughout the supply chain and increasing the overall efficiency of supply chain management. According to McKinsey, the global application of block-chain technology in supply chain financial operations can help banks and trade finance enterprises to reduce operating costs by about $13.5 billion to $15 billion a year, with risk costs of about $1.1 billion to $1.6 billion; buyers and sellers to reduce capital costs by about $1.1 billion to $1.3 billion a year, and operating costs of about $1.6 billion to $2.1 billion a year. With the multiple drivers of key technological breakthroughs such as energy data, cloud computing, block chains, artificial intelligence, physical networking, and 5G communications, efficiency in traditional energy supply chain management will be further enhanced, and supply chain finance will be able to develop efficiently in the next five years.

在能源领域，供应链金融可以为产业链上下游企业提供金融服务，同时有助于缓解上下游企业融资难的问题。目前，已经有一部分前沿金融机构和科技金融公司进入能源供应链进行产业布局，通过与物流公司、港口码头、地方交易中心等实体企业合作，尝试供应链金融新模式，为整个行业的发展注入了资金活水。能源供应链金融生态圈也逐步开始集聚。上海煤炭交易所作为智慧能源供应链的领军者，通过与各地方交易中心、港口物流枢纽、爱建信托、理业金服供应链等单位合作，共同构建了“煤贸金链”能源区块链联盟链。围绕能源供应链建立了完整的供应链金融产品和服务体系，为煤炭贸易上下游生产企业、贸易商提供了更多、更便捷的融资渠道。平台通过ICO的形式吸收资金，从而用市场的手段鼓励更多可再生能源接入到该平台中。通过绿色ICO概念与金融产品相结合，为能源创新，特别是为可再生能源市场带来革命性的变化。

In the area of energy, supply chain finance can provide financial services to upstream and downstream enterprises, while helping to alleviate the problem of upstream and downstream enterprise financing. At present, a number of front-line financial institutions and science and technology finance companies have entered the energy supply chain for industrial deployment, experimenting with new supply chain finance models, in cooperation with entities such as logistics companies, port terminals, and local trading centres, to inject capital into industry-wide development.

（六）能源系统运行安全

(vi) Security of operation of energy systems

区块链技术在网络与运营安全方面意义重大。随着物联网技术的发展，全球能源企业正在加大能源资产与信息技术的结合力度，越来越多的数据收集、处理和传输设备被安装，服务于企业的信息化管理和控制系统。中心化的数据管理方式应对外部攻击抵抗力较为脆弱，一旦系统被攻破，会对社会的用电、用能安全造成极大的威胁，对国家安全也会造成不可忽视的影响。而这些问题可以利用区块链不可篡改的特性，用于监控管网等基础设施调控、运行系统的完整性，在系统出现安全隐患时自动发布警告，避免人为失误，更好地保障基础设施的安全。

With the development of physical networking technology, global energy enterprises are increasing the integration of energy assets with information technology, with an increasing number of data collection, processing and transmission equipment installed to serve the enterprise’s information management and control systems. Centralized data management responses to external attacks are fragile, pose a significant threat to the use of electricity, energy security, and national security if the system is broken.

如国家电网区块链技术应用十大场景中的安全生产场景，该应用通过对安全监督、网络安全等设备信息、防御信息、告警机制的融合上链存证，链端检测可实现对作业网的全状态诊断，确保了安全事件可监测、可追溯。在网络安全防护领域，国网电商公司将网络安全设备、安全系统的数百万条日志数据上链存证，打造了系统告警机制。当日志数据被篡改时，系统立即告警，降低了潜在安全风险和隐患。

For example, in the case of the safe production scenes in the 10 national grid block chain technology application, the system alerts the system by validating the integration of equipment information, such as security surveillance, network security, defence information, and alert mechanisms. When the log data are tampered with, the system alerts immediately, reducing potential security risks and risks.

四、存在的问题与挑战

IV. Problems and challenges

虽然能源区块链的发展情景乐观，但要想实现规模化发展还需要克服一些监管和技术难题。由于该技术还有待完善，有关规模化和安全性问题需要各相关方做进一步讨论。

While the development of the energy block chain is promising, there are regulatory and technical challenges that need to be overcome in order to achieve scalability. As the technology is yet to be refined, issues related to scalability and security need to be further discussed by all concerned.

（一）技术挑战

(i) Technological challenges

区块链技术的出现和应用到目前为止经历了10年左右的时间，但从技术上讲，当前区块链在计算效率方面难以满足能源系统产销实时性的要求，并且区块链的计算和响应能力也存在相应的限制。以区块链成果的应用比特币来讲，其系统吞吐量小，延迟高，并且区块存储容量低。这对于处理数据量巨大的能源行业来说，存在着相应的技术瓶颈与实际应用限制。未来区块链系统需要在吞吐量方面进行优化，包括在减少区块生成时间和区块确认时间等方面开展相关研究。

The emergence and application of block chain technology has taken about 10 years so far, but the current block chain is technically difficult to meet the real-time requirements of energy system production in terms of computational efficiency, and there are corresponding limitations on the capacity to calculate and respond to block chains. The application of block chain results is small, delayed, and low block storage capacity in bitcoin. This is associated with technical bottlenecks and practical application constraints for the energy sector, which has a large volume of data. Future block chain systems need to be optimized in terms of throughput, including research to reduce block generation time and block identification time.

另一方面，与金融等区块链技术应用的热门领域相比，能源领域区块链技术的应用仍然相对较少、不够成熟。由于区块链技术新颖，能源领域应用规模小且分散，人们对区块链技术在能源行业应用的理解较为碎片化，缺乏整体认知。多数电网运营商对数字化技术的部署和应用的理解尚待提升，对涉及区块链和去中心化技术等更复杂系统的理解有限。

On the other hand, the application of block-chain technologies in the energy sector is still relatively small and underdeveloped compared to the popular use of block-chain technologies, such as finance. Because of the new technology of block-chains, small and dispersed applications in the energy sector, the understanding of block-chain technologies in the energy sector is more fragmented and lacking.

（二）信息安全问题

(ii) Information security issues

虽然区块链技术大大提升了数据篡改的难度，但依然存在遭受网络攻击等隐患。区块链技术中，允许节点在区块中加入自定义信息。若附加信息中包含恶意代码，将会对整个区块链网络产生影响。另外，区块链中的每个节点都会有一份完整的账本，对所有用户都公开透明，敏感信息容易被泄露。2017年多重签名的以太坊钱包Parity宣布了一个重大漏洞，这个漏洞会使多重签名的智能合约无法使用，该漏洞导致价值1.5亿美元的以太坊资金被冻结。无独有偶，2018年2月，新加坡国立大学、新加坡耶鲁大学学院和伦敦大学学院的一组研究人员发布一份报告声称，他们运用分析工具Maian分析了近100万个基于以太坊的智能合约，发现其中34200个合约含有安全漏洞，黑客有可能会利用这些漏洞窃取以太币或是冻结资产、删除合约。

While block chain technology has greatly increased the difficulty of data manipulation, it still suffers from cyberattacks, among others. Block chain technology allows nodes to add custom information to blocks. If the additional information contains malicious codes, it will have an impact on the entire block chain network. Moreover, each node in the block chain will have a complete account book that is transparent to all users and sensitive information vulnerable to disclosure. In 2017, the multi-signature multi-signing machine, Parity, announced a major gap that would make smart contracts with multiple signatures unusable and that would result in $150 million being frozen. Unsurprisingly, in February 2018, a team of researchers at the National University of Singapore, Yale University College of Singapore and the University College of London published a report claiming that they used analytical tools to analyse nearly 1 million smart contracts based on the Tails, and found that 34,200 of those contracts contained security loopholes that could be used by hackers to steal currency or freeze assets or to remove contracts.

（三）监管挑战

(iii) Regulatory challenges

如果基于区块链相关技术开展分布式交易的探索，势必为市场角色带来转变，这一变化在管控层面尤为明显。所有的能源消费者都必须自行管理支出平衡，而不是进行集中式管理。同时计量运营商也不需要自己去做数据收集，因为所有的交易数据将自动记录在区块链当中。区块链作为一个去中心化的记账系统，篡改数据难度大与高度的隐私保护是其重要特点。但由于基于区块链的应用需要在法律框架中运行，因此司法机关及其他职能机关需要有相应的监管机制。鉴于区块链的设计初衷是构建一个完全去中心化的网络，因此并没有设计这样的监管机制。此外区块链自身的匿名性在保护用户隐私的同时也使得监管更加困难。

If distributed transactions are explored on the basis of technology related to the block chain, this change will inevitably bring about a shift in market roles, particularly at the regulatory level. All energy consumers must manage their own expenditure balances rather than centralized management.

（四）专业人才缺乏

(iv) Lack of professional expertise

区块链技术是包含了数据库技术、密码学技术、P2P技术、数字认证等多学科融合的技术体系。在能源互联网中应用时，首先，区块链技术需要进一步结合能源互联网的相关业务模式。其次，还需要进一步结合金融交易相关知识。区块链是新兴的计算机技术，将区块链技术应用到实际中，需要大量对编程、计算机科学和区块链概念有深入了解的专业人员。同时，区块链技术还很新颖，人才市场上缺乏相应的专业人士开展对区块链技术的研究。因此，对于希望利用区块链技术的能源行业来说，专业的区块链团队应用开发人员十分缺乏。复合型人才的缺失是区块链技术在能源互联网中进一步推广的一大瓶颈。

Block chain technologies are multidisciplinaryly integrated technological systems that include database technology, cryptology technology, P2P technology, digital authentication, etc. When applied to the energy Internet, first of all, block chain technologies need to be further integrated into relevant business models of the energy Internet. Second, there is a need for further integration of knowledge related to financial transactions. Block chains are emerging computer technologies that apply block chain technologies in practice, requiring a large number of professionals with in-depth knowledge of the concepts of programming, computer science, and block chains.

五、思考与建议

V, reflections and suggestions

从实践进展来看，区块链技术在商业中的应用还处于布局、试点和测试早期发展阶段：一方面能源领域对于区块链技术本身的认识滞后于金融等其他领域，另一方面大部分应用项目规模较小，且多数属于实验性质，很多应用场景和技术问题仍处在摸索阶段。现阶段探索区块链技术在能源电力领域的发展途径，还需在能源区块链探索应用、标准建设、监管体系、盈利等方面进一步发展和完善。

In practical terms, the commercial application of block-chain technologies is still in the early stages of deployment, piloting and testing: while the understanding of block-chain technologies per se lags behind that of other areas, such as finance, most of the applications are small and mostly experimental in nature, and many of the application scenarios and technical problems are still being explored. At this stage, ways of developing block-chain technologies in the area of energy power need to be explored, and further developed and refined in the area of energy block-chain applications, standard-building, regulatory systems, and profitability.

（一）实现区块链和传统产业实体经济的深度融合

(i) Deep integration of block chains and the economy of traditional industrial entities

区块链技术最主要的作用应该回归实体经济，真正帮助实体经济缩减交易成本，提高效率的同时营造可信的商业环境。目前，IBM融资公司与4000多位合作伙伴每年结算现金440亿美元，处理发票290万笔，通过区块链技术每年可节省流动资金1亿美金。如果区块链能和实体经济结合，尤其是与油气这样重要的实体经济行业实现深度融合，将极大推动传统产业升级，提升社会运行效率。需要注意的是，推动区块链与实体经济深度融合的同时，要避免出现“一哄而上”的现象，注意防范因为区块链应用可能引发的对传统机构管理、商业运营等模式的冲击，以及操作陷阱、技术垄断等潜在风险。

The most important role of block-chain technology should be to return to the real economy, genuinely helping the real economy to reduce transaction costs and improve efficiency while creating a credible business environment. Currently, IBM Finance and more than 4,000 partners settle $44 billion in cash annually, process 2.9 million invoices, and save $100 million in liquidity annually through block-chain technology. If the block-chain is integrated with the real economy, especially with the real-economy sector, such as hydrocarbons, it will contribute significantly to the upgrading of traditional industries and to increasing the efficiency of social operations. Attention needs to be paid to the need to avoid “one-on-one” phenomena while promoting deeper integration of the block-chain with the real economy, and to guard against potential risks such as operating traps, technological monopolies, etc. due to the potential impact of block-chain applications on traditional institutional management, business operations, etc.

（二）找准应用场景，推动示范落地

(ii) Identification of applications and promotion of demonstration sites

区块链技术不仅是基于技术的创新，还是科学、技术、场景的三螺旋运算，这个行业分为搞技术的平台方和搞应用的场景方，平台方是加强底层基础设施在性能、灵活性和安全性等方面的能力建设，技术上没有太多创新的地方，百万级投资就可以搭建平台。而应用和场景的价值最大，能源电力行业在推动区块链技术发展的同时，要认真研究究竟哪些行业问题和痛点适合由区块链技术优先解决，攻克核心应用场景，做出总体排序。然后把区块链服务平台化，集中力量做实项目，从而加速定制化的区块链应用落地生根。

Block chain technology is based not only on technological innovation, but also on science, technology, and scenario three-vortex calculations. The industry is divided into technology-driven platforms and applications. The platform is designed to enhance capacity-building in bottom infrastructure in terms of performance, flexibility, and security, and where there are few technological innovations, millions of investments can build platforms.

（三）加强区块链技术的基础研究和应用基础研究

(iii) Strengthening basic research and applied basic research in block chain technology

与金融等区块链技术应用的热门领域相比，能源领域区块链技术的应用仍然相对较少。从已经报道的相关新闻内容来看，能源领域目前的100多个区块链使用案例中多数实践仍处于能源价值链的早期阶段，主要是在微电网、小规模多余能源管理、P2P能源交易领域、电动汽车充电及支付等方面。而能源领域最具应用潜力的电网优化运行、能源交易代理、能源互动与转换、能源应用管理、能源安全等方面的应用还未看到实质性进展。国家层面应鼓励大型能源企业密切跟踪区块链技术的发展趋势，加强行业内外协作攻关，强化能源区块链基础研究，明确其作用方向和技术机理，解决现有技术应用存在的问题，为区块链应用发展提供安全可控的技术支撑。

The application of block-chain technologies in the energy sector is still relatively low compared to the popular areas of technology applications in block chains, such as finance. From the relevant news that has been reported, most of the practices in the current 100 or so block-chain use in the energy sector are still in the early stages of the energy value chain, mainly in the areas of microgrids, small-scale excess energy management, P2P energy trade, electric car charging, and payment.

（四）发挥大企业资源优势，鼓励开展先行先试

(iv) Leveraging the resource advantages of large enterprises to encourage first-hand testing

能源领域区块链技术的发展离不开企业创新主体发挥作用，特别是能源行业中的大企业。由于能源领域的中心化特征比较明显，且业务流程复杂繁琐，所以行业内处于重要地位的大企业会对可能具有颠覆性的前沿技术小心翼翼。从国际经验来看，区块链技术在能源领域的应用离不开大企业的先行先试，能源大企业应积极与区块链技术的初创企业合作，比如成立实验室为业内小企业搭建平台，通过行业区块链联盟、行业基金会等形式共同推进相关项目的实验和落地。此外，大型能源企业应积极开展能源区块链技术的技术创新，及早推进相关技术应用项目的落地实施，以区块链技术在能源领域中的一个业务环节应用为切入点，从小做起，以小博大，形成更多的成功用例，构建和谐稳定的企业应用生态。■

The development of block-chain technologies in the field of energy does not depend on the role of innovative players, especially large enterprises in the energy sector. Because of the centralization of the energy sector and the complexity of business processes, large firms in a position of importance in the industry are cautious about potentially destabilizing front-line technologies. International experience shows that block-chain technologies cannot be used in the energy field without first testing large enterprises, and that large-scale energy enterprises should actively cooperate with start-ups in block-chain technologies, such as setting up laboratories to build platforms for small and medium-sized enterprises in the industry, and jointly promoting experiments and landings in the form of sectoral clusters alliances, industry foundations, and so on.

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原文首发于《能源情报研究》2020年2月

It was originally published in Energy Intelligence Research, February 2020.

原标题:能源区块链技术发展现状及应用分析

Original title: Status of technological developments in the energy block chain and applied analysis

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