July 22, 2019

Regulations on the Administration of Electricity Business Licenses (Order No. 9 of the Electricity Regulatory Commission)


---- Relevant units for the announcement of the "Regulations on the Administration of Power Business Licenses":

The Regulations on the Administration of Power Business Licenses was adopted at the Office of the Chairman of the State Electricity Regulatory Commission on September 28, 2005. It is hereby promulgated and will be implemented as of December 1, 2005. Regulations on the Administration of Power Business Licenses Chapter 1 General Provisions Article 1 In order to strengthen the management of power business licenses, regulate the licensing behavior of power business, maintain the order of the power market, and ensure the safety, quality and economic operation of the power system, according to the Administrative License of the People's Republic of China. These Regulations are formulated by the Law, the Regulations on Electricity Regulations, and the provisions of relevant laws and administrative regulations. Article 2 These Provisions apply to the application, acceptance, review, decision and management of power business licenses. Otherwise prescribed by the State shall prevail. Article 3 The State Electricity Regulatory Commission (hereinafter referred to as the Electricity Regulatory Commission) is responsible for the issuance and management of power business licenses. The SERC shall follow the principles of law, openness, impartiality, convenience and efficiency to establish a supervisory management system and organization management system for electric power business licenses. Article 4 In conducting electricity business within the territory of the People's Republic of China, a power business license shall be obtained in accordance with these Provisions. Except for the special circumstances stipulated by the SERC, no unit or individual may obtain electric power business licenses without obtaining a power business license. The term "electricity business" as used in these Regulations refers to power generation, transmission and power supply services. Among them, the power supply business includes distribution services and electricity sales. Article 5 The unit that has obtained the power business license (hereinafter referred to as the licensee) shall enjoy the rights and assume the obligations in accordance with these Provisions and accept the supervision and management of the SERC and its dispatched institutions (hereinafter referred to as the power regulatory agencies). The licensee carries out the power business according to law and is protected by law. Article 6 No unit or individual may falsify or alter the license for electric power business; the licensee may not alter, resell, lease, lend or license the power business license, or illegally transfer the power business license in other forms. Chapter II Categories and Conditions Article 7 Power business licenses are divided into three categories: power generation, transmission and power supply. Those engaged in power generation business shall obtain a power generation power business license. Those engaged in the transmission business shall obtain a license for the power transmission business. Those engaged in power supply business shall obtain a power supply business license. Those engaged in two or more types of power business shall obtain two or more types of power business licenses respectively. The licensing management measures for distribution or sales of electricity shall be separately prescribed by the SERC. Article 8 The following enterprises engaged in power generation business shall apply for power generation power business licenses: (1) public power plants; (2) self-supplied power plants operating in parallel; (3) other enterprises as stipulated by the SERC. Article 9 The following enterprises engaged in transmission business shall apply for power transmission business licenses: (1) Power grid enterprises operating across regions; (2) Power grid enterprises operating in autonomous regions and municipalities directly under the Central Government; (3) Power grid enterprises in Sheng Autonomous Region and municipalities directly under the Central Government (4) Other enterprises as stipulated by the SERC. Article 10 The following enterprises engaged in power supply business shall apply for power supply-type power business licenses: (1) Power-supply enterprises of provincial-level cities, autonomous prefectures, allies and regions; (2) Power supply enterprises of counties, autonomous counties and county-level cities; Other enterprises as stipulated by the supervisory committee. Article 11 The following basic conditions shall be met for applying for a power business license: (1) having legal person status; (2) having financial ability compatible with the applied power business; (3) responsible for production operation and technical responsibility The person in charge, the person in charge of safety and the person in charge of finance have more than 3 years of working experience in accordance with the power business applied for, and have the qualifications for professional technical qualifications or job training at the intermediate level or above; (4) Other conditions stipulated by laws and regulations. Article 12 In applying for the power generation power business license, in addition to the basic conditions listed in Article 11 of these Provisions, the following conditions shall also be met: (1) The construction of the power generation project shall be examined or approved by the relevant competent department; The power generation facility has the ability to generate electricity; (3) The power generation project complies with the relevant regulations and requirements for environmental protection. Article 13 In applying for the power transmission business license, in addition to the basic conditions listed in Article 11 of these Provisions, the following conditions shall also be met: (1) The construction of the transmission project shall be examined or approved by the relevant competent department; It has a transmission network that is compatible with the transmission business it is engaged in; (3) The transmission project has passed the completion acceptance according to relevant regulations; (4) The transmission project complies with the relevant provisions and requirements of environmental protection. Article 14 In applying for the power supply-type power business license, in addition to the basic conditions listed in Article 11 of these Provisions, the following conditions shall also be met: (1) The power supply business area with the approval of the relevant competent department; It has the power supply network and business outlets that are suitable for the power supply business; (3) Committed to fulfilling the general service obligations of the power society; (4) The power supply project complies with the relevant provisions and requirements of environmental protection. Chapter III Application and Acceptance Article 15 The application for a permit for electric power business shall be submitted to the SERC and submitted in accordance with the requirements. Article 16 If an enterprise listed in Articles 8, 9, and 10 of these Provisions has the status of a legal person, the enterprise shall file an application; if it does not have the legal person status, it shall apply by its legal entity in accordance with the affiliation. Article 17 The following materials shall be provided for applying for a power business license: (1) a permit application form signed by the legal representative; (2) a copy of the legal person business license and a copy thereof; (3) the company's last 2 years Financial report; if it is less than 2 years old, issue the annual financial report or capital verification report since the establishment of the enterprise; (4) The audit report of the financial status of the latest 2 years issued by a qualified accounting firm and a description of the working capital status; If it is less than two years old, it will issue an audit report on the financial status of the company since its establishment and a description of the working capital status; (5) Resume of the production and operation person in charge of the enterprise, the person in charge of the technology, the person in charge of safety, the person in charge of finance, and the qualification of professional technology. Certificates and other relevant certification materials. Article 18 In applying for the power generation business license, in addition to the materials listed in Article 17 of these Provisions, the following materials shall also be provided: (1) Proof of construction or approval of the power generation project by the relevant competent authority; (2) The verification materials for the power generation project passing the completion acceptance; if the completion acceptance has not been organized, the proof of the start-up acceptance of the generator set or the quality supervision and inspection agency approved by the relevant competent authority shall agree to the quality supervision and inspection report of the complete set-up; Proof of the relevant regulations and requirements for environmental protection. Article 19 In applying for the power transmission business license, in addition to the materials listed in Article 17 of these Provisions, the following materials shall also be provided: (1) Proof of construction or approval of the transmission project by the relevant competent authority; 2) Proof materials for the completion of the acceptance of the transmission project; (3) Proof materials for the transmission project in compliance with relevant environmental protection regulations and requirements; (4) Commitment for power quality and service quality. Article 20 In applying for the power supply-type power business license, in addition to the materials listed in Article 17 of these Provisions, the following materials shall also be provided: (1) Proof of the power supply business area and its geographical plan; (2) Power supply (3) Overview of the establishment of the power supply business branch and its corresponding power supply business area; (4) Commitment to fulfill the general service obligations of the power society; (5) Proof of the power supply project in compliance with relevant environmental protection regulations and requirements . Article 21 The SERC's application for permission submitted by the applicant shall be handled separately according to the following circumstances: (1) If the application is not within the scope of the power of the SERC, it shall immediately make a decision not to accept the application and issue the application to the applicant. "Notice of Disapproval" and inform the applicant to apply to the relevant administrative organ; (2) If the application materials have errors that can be corrected on the spot, the applicant shall be allowed to make corrections on the spot; (3) The application materials are incomplete or do not conform to the legal form. The applicant shall inform the applicant of all the contents that need to be corrected on the spot or within 5 days. If it is not notified within the time limit, it shall be accepted as of the date of receipt of the application materials; (4) If the application materials are complete and conform to the legal form, the applicant shall Issue a Notice of Acceptance. Chapter IV Examination and Decision Article 22 The SERC shall review the application materials submitted by the applicant. The SERC may verify the substance of the application materials as needed. Article 23 If the SERC makes a decision on the licensing of electric power business and needs to hold a hearing according to law, it shall hold a hearing in accordance with relevant regulations. Article 24 The SERC shall make a licensing decision within 20 days from the date of accepting the application. If a decision cannot be made within 20 days, it may be extended for 10 days with the approval of the person in charge of this organ, and the applicant shall be informed of the reasons for the extension. If a decision is made to grant permission, the applicant shall be issued and served a permit within 10 days from the date of the decision. If a decision is made not to grant a license, the applicant shall be notified in writing within 10 days from the date of the decision, stating the reasons for the disapproval, and the applicant shall be informed of the right to apply for administrative reconsideration or file an administrative lawsuit according to law. Article 25 The power business license consists of the text and attached pages. The text contains the license number, registration name, domicile, legal representative, permit type, expiration date, issuing authority, date of issuance, etc. The attached pages include the license use rules, the rights and obligations of the licensee, the registration of the generator set, the transmission network or the power supply business area, the inspection record, and special matters. The electricity business license is valid for 20 years. Chapter V Changes and Continuation Article 26 In any of the following circumstances, the licensee shall submit an application for change to the SERC within the prescribed time limit; if the examination meets the statutory conditions, the SERC shall go through the formalities for change according to law: a) newly built or rebuilt generator sets put into operation, obtain or transfer the operated generator sets, and decommission the generator sets; (2) start or operate new or modified transmission lines or substation facilities, and terminate the operation of transmission lines or substation facilities; Power supply business area changes. Article 27: If a newly built or rebuilt generator set is put into operation and applies for a change permit, the following materials shall be provided: (1) a change application form; (2) a power business license; (3) a power generation project constructed by the relevant competent department (4) The quality supervision agency approved by the competent authority agrees to the quality supervision and inspection report of the whole set of start-up; (5) The certification materials for the power generation project comply with the relevant provisions and requirements of environmental protection. In case of obtaining or transferring a operated unit and applying for a change of license, in addition to the materials listed in items (1) and (2) of the preceding paragraph, proof of legal transfer of ownership of the unit shall also be provided. If the unit is retired and applies for a change permit, in addition to the materials listed in items (1) and (2) of the first paragraph of this Article, it shall also provide the certification materials for the unit's decommissioning in accordance with the relevant provisions of the State. Article 28 If a new or modified transmission line or substation is put into operation and the application for change of license is applied, the following materials shall be provided: (1) the application form for change; (2) the license for electric power business; (3) the construction of the transmission project (4) Proof materials for the completion and acceptance of the transmission project; (5) Proof materials for the transmission project in compliance with relevant environmental protection regulations and requirements. In order to terminate the operation of transmission lines or substation facilities, if the application for change of license is requested, in addition to the materials listed in items (1) and (2) of the preceding paragraph, the relevant competent department shall be required to terminate the operation of the transmission line or substation. Proof of the facility. Article 29 If the application for change of license is changed due to the change of the power supply business area, the following materials shall be provided: (1) the application form for change; (2) the power business license; (3) the certification materials for the change of the power supply business area; ) Legend of the scope of the power supply business district change. Article 30 If the validity period of the power business license expires, the licensee shall apply to the SERC before the expiration of 30 days. The SERC shall make a decision on whether to grant a continuation before the expiration of the validity period of the power business license. If the decision is not made within the time limit, it shall be deemed to agree to continue and complete the corresponding procedures. Chapter VI Supervision and Administration Article 31 The electric power regulatory agency shall establish and improve the supervision and inspection system and system for the licensing of electric power business, and supervise and inspect the conditions in which the licensee engages in the electric power business in accordance with the conditions, scope and obligations determined by the electric power business license. The power regulatory agency shall carry out supervision and inspection work according to law, and the licensee shall cooperate. Article 32 The licensee shall, in accordance with the stipulated time, provide the power regulatory agency with materials reflecting its ability and behavior in engaging in licensing activities. The power regulatory agency shall verify the materials submitted by the licensee and record the results of the verification; the problems found in the verification shall be ordered to be corrected within a time limit. Article 33 The power regulatory agency shall conduct on-site inspections of the licensee according to law. During the inspection, the licensee is found to have violated these regulations and does not perform the obligations stipulated in the power business license, and shall be ordered to make corrections. Article 34 The personnel conducting supervision and inspection work by the electric power supervision institution shall truthfully record the supervision and inspection and the processing results. The power regulatory agency may publicize the supervision and inspection and the results of the treatment to the public. Article 35 Any organization or individual that discovers violations of these regulations has the right to report to the power regulatory agency, and the power regulatory agency shall verify it and deal with it in accordance with relevant regulations. Article 36 Without the approval of the Electricity Regulatory Commission, enterprises that have obtained permission for power transmission or power supply business shall not suspend business or close their business. Article 37 If the name, residence or legal representative of the licensee changes, it shall go through the relevant formalities to the SERC within 30 days from the date of the change. Article 38 In any of the following circumstances, the SERC shall go through the formalities for cancellation of the power business license in accordance with the regulations: (1) The license is no longer valid with the expiration of the validity period; (3) The licensee applies for suspension of business or is closed for business approval; (4) The licensee terminates according to law due to dissolution, bankruptcy, bankruptcy, etc. (5) The power business license is legally The revocation or withdrawal of the power business license shall be revoked or withdrawn; (6) Upon verification, the licensee has lost the ability to engage in the licensing activities; (7) Other circumstances as stipulated by laws and regulations. Chapter VII Penalty

Article 39 If a staff member engaged in the issuance and management of a power business license violates laws, administrative regulations and these regulations and issues a power business license without authorization, it shall be given disciplinary action according to law; if a crime is constituted, criminal responsibility shall be investigated according to law. Article 40 If a power business license has not been obtained in accordance with the law and is illegally engaged in electric power business, it shall be ordered to make corrections, and the illegal income shall be confiscated, and a fine of not more than 5 times the illegal income may be imposed concurrently; if a crime is constituted, criminal responsibility shall be investigated according to law. Article 41 If the licensee obtains a permit for power business by fraud or bribery or other improper means, he shall be given a warning and imposed a fine of not more than 10,000 yuan; if a crime is constituted, criminal responsibility shall be investigated according to law. Article 42 If the licensee exceeds the scope of the license or exceeds the license period and engages in the power business, he shall be given a warning, ordered to make corrections, and announced to the public; if the crime is constituted, criminal responsibility shall be investigated according to law. Article 43 If the licensee has any of the following circumstances, he shall be given a warning, ordered to make corrections, and may be notified to the public: (1) Unauthorized suspension or business closure without approval; (2) Failure to meet the prescribed time limit Apply for a change. Article 44 If the licensee has one of the following circumstances, he shall be ordered to make corrections; if he refuses to make corrections, he shall be imposed a fine of not less than 50,000 yuan but not more than 500,000 yuan, and shall be given to the directly responsible person in charge and other directly responsible personnel according to law. Disciplinary action; if it constitutes a crime, it shall be investigated for criminal responsibility according to law: (1) Refusing or obstructing the power supervisory staff to perform their supervisory duties according to law; (2) Providing documents or materials that false or conceal important facts. Article 45 Anyone who has altered, resold, leased, leased or leased a power business license or illegally transferred a license for a power business in other forms shall be given an administrative penalty according to law; if a crime is constituted, criminal responsibility shall be investigated according to law. Chapter VIII

Article 46 Any enterprise that has been engaged in electric power business before the promulgation of these Provisions shall apply for a permit for electric power business in accordance with the time limit prescribed by the SERC. Article 47 The power business license shall be uniformly printed and numbered by the SERC. Article 48 These Provisions shall come into force on December 1, 2005.

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From: Office of the Electricity Regulatory Commission

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