【中英文对照版】电力业务许可证管理规定(2024修订).docx

电力业务许可证管理规定（2005年10月13日电监会令第9号公布自2005年12月1日起施行根据2015年5月30日国家发展改革委令第26号第一次修订根据2024年1月4日国家发展改革委令第11号第二次修订）第一章总则第一条为了加强电力业务许可证的管理，规范电力业务许可行为，维护电力市场秩序，保障电力系统安全、优质、经济电力业务许可证管理规定(2024修订)ProvisionsontheAdministrationofElectricPowerBusiness1.icenses(2024Revision)制定机关：国家发展和改革委员会(含原国家发展计划委员会、原国家计划委员会)发文字号：中华人民共和国国家发展和改革委员会令第11号公布日期：2024.01.04施行日期：2024.03.01效力位阶：部门规章法规类别：电力工业管理Issuingauthority：InstrumentalitiesoftheStateCounciItAIICommissionsjStateDevelopment&ReformCommission(incl.formerStateDevelopmentPlanningCommission)DocumentNumber：OrderNo.11oftheNationalDevelopmentandReformCommissionofthePeople'sRepublicofChinaDateissued：01-04-2024Effectivedate：03-01-20241.evelofAuthority：DepartmentalRulesAreaof1.aw：IndustrialManagementProvisionsontheAdministrationofElectricPowerBusiness1.icenses(IssuedinaccordancewiththeOrderNo.9oftheStateElectricityRegulatoryCommissiononOctober13j2005;amendedforthefirsttimeinaccordancewiththeOrderNo.26oftheNationalDevelopmentandReformCommissionofthePeople'sRepublicofChinaRulesandRegulatoryDocumentsasDecidedtobeRevisedonMay30,2015;andamendedforthesecondtimeinaccordancewiththeOrderNo.11oftheNationalDevelopmentandReformCommissionofthePeople,sRepublicofChinaonJanuary4,2024)Chapter I GeneralProvisionsArticle1ThepresentProvisionsareformulatedaccordingtothe1.awofthePeople'sRepublicofChinaonAdministrative1.icensing,theRegulationonElectricPowerSupervisionandotherrelevantlawsandadminictratiommQtinncfnrthnrnncoCfintensifyingtheadministrationofElectricPowerBusiness1.icenses,regulatingthelicensingforbusinessoperationofelectricpower,preservingtheorderoftheelectricpowermarketandguaranteeingthesound,high-qualityandeconomicaloperationoftheelectricpowersystem.Article2ThepresentProvisionsshallapplytotheapplication,acceptance,examination,decisionandadministrationofElectricPowerBusiness1.icenses.Wherethereisanyotherdifferentprovisionofthestate,suchprovisionshallprevail.Article3TheNationalEnergyAdministrationshallberesponsiblefortheguidance,supervisionandadministrationofpowerbusinesspermits,andthelocalofficesoftheNationalEnergyAdministrationshallberesponsiblefortheissuanceandroutinesupervisionandadministrationofpowerbusinesspermitsintheirjurisdictions.TheNationalEnergyAdministrationanditslocalofficesshall,undertheprinciplesoflegitimacy,openness,fairness,convenienceandhigh-efficiency,establishasupervisionandadministrationsystemandanorganizationalmanagementsystemforpowerbusinesspermits.Article4TocarryoutpowerbusinessintheterritoryofthePeople'sRepublicofChina,anenterpriseshallobtainthepowerbusinesspermitinaccordancewiththeseProvisions.UnlessunderanyspecialcircumstanceasprescribedbytheNationalEnergyAdministration,noenterpriseorindividualmaycarryoutpowerbusinesswithoutobtainingapowerbusinesspermit.运行，根据中华人民共和国行政许可法、电力监管条例和有关法律、行政法规的规定，制定本规定。第二条本规定适用于电力业务许可证的申请、受理、审查、决定和管理。国家另有规定的，从其规定。第三条国家能源局负责对电力业务许可进行指导、监督和管理，国家能源局派出机构负责辖区内电力业务许可证的颁发和日常监督管理。国家能源局及其派出机构遵循依法、公开、公正、便民、高效的原则，建立电力业务许可证监督管理制度和组织管理体系。第四条在中华人民共和国境内从事电力业务，应当按照本规定取得电力业务许可证。除国家能源局规定的特殊情况外，任何单位或者个人未取得电力业务许可证，不得从事电力业务。太柳宗斫林由力W名.ThfttArmunwftrbu*ins”asmnticndintheseProvisionsreferstopowergeneration,powertransmission,andpowersupply.Inparticular,thepowersupplybusinessshallincludepowerdistributionandpowersale.Article5Anenterprisethathasobtainedapowerbusinesspermit(hereinafterreferredtoasa“licensee")shallenjoyrights,assumeobligationsandacceptthesupervisionandadministrationoftheNationalEnergyAdministrationanditslocalofficesinaccordancewiththeseProvisions.Alicenseeshallcarryoutpowerbusinessinaccordancewiththelaw,andbeprotectedbylaw.Article6AnenterpriseorindividualshallnotforgeoralteranyElectricPowerBusiness1.icense.Alicenseeshallnotalter,resell,leaseorlenditsElectricPowerBusiness1.icenseorunlawfullytransferitsElectricPowerBusiness1.icensebyanyothermeans.Chapter II CategoriesandRequirementsArticle 7 Thepowerbusinesspermitsshallbedividedintothreecategories,namely,powergeneration,powertransmissionandpowersupply.Anenterprisethatcarriesoutpowergenerationbusinessshallobtainapowerbusinesspermitforpowergeneration.Anenterprisethatcarriesoutpowertransmissionbusinessshallobtainapowerbusinesspermitforpowertransmission.指发电、输电、供电业务。其中，供电业务包括配电业务和售电业务。第五条取得电力业务许可证的单位（以下简称被许可人）按照本规定享有权利、承担义务，接受国家能源局及其派出机构的监督管理。被许可人依法开展电力业务，受法律保护。第六条任何单位和个人不得伪造、变造电力业务许可证；被许可人不得涂改、倒卖、出租、出借电力业务许可证，或者以其他形式非法转让电力业务许可。第二章类别和条件第七条电力业务许可证分为发电、输电、供电三个类别。从事发电业务的，应当取得发电类电力业务许可证。从事输电业务的，应当取得输电类电力业务许可证。从事供电业务的，应当取得供电类电力业务许可证。Anenterprisethatcarriesoutpowersupplybusinessshallobtainapowerbusinesspermitforpowersupply.Anenterprisethatcarriesouttwoormorecategoriesofpowerbusinessshallrespectivelyobtainthecorrespondingtwoormorepowerbusinesspermits.ThemeasuresfortheadministrationofbusinesspermitsforpowerdistributionorpowersaleshallbeseparatelyprovidedforbytheNationalEnergyAdministration.Article 8 Anenterprisecarryingoutthefollowingpowergenerationbusinessshallapplyforapowerbusinesspermitforpowergeneration:(1) Apublicpowerplant(2) Aself-preparedgrid-connectedpowerplant.(3) AnyotherenterpriseasprescribedbytheNationalEnergyAdministration.Article 9 Anenterprisecarryingoutpowertransmissionbusinessshallapplyforapowerbusinesspermitforpowertransmission:(1) Apowergridenterprisecarryingoutbusinessacrossregions.(2) Apowergridenterprisethatcarriesoutbusinessacrosstwoormoreprovinces,autonomousregionsormunicipalitiesdirectlyundertheCentralGovernment.(3) Apowergridenterpriseofaprovince,autonomousregionormunicipalitydirectlyundertheCentralGovernment.(4) AnyotherenterpriseasprescribedbytheNationalEnergyAdministration.从事两类以上电力业务的，应当分别取得两类以上电力业务许可证。从事配电或者售电业务的许可管理办法，由国家能源局另行规定。第八条下列从事发电业务的企业应当申请发电类电力业务许可证：（一）公用电厂；（二）并网运行的自备电厂；（三）国家能源局规定的其他企业。第九条下列从事输电业务的企业应当申请输电类电力业务许可证：（一）跨区域经营的电网企业；（二）跨省、自治区、直辖市经营的电网企业；（三）省、自治区、直辖市电网企业；（四）国家能源局规定的其他企业。第+冬下矶从事住Article 10 AnAntArnrisAcarrvinnutnwprsupplybusinessshallapplyforapowerbusinesspermitforpowersupply:(1) Apowersupplyenterpriseinamunicipalitydirectlyundertheprovincialgovernment,autonomousprefecture,leagueordistrict.(2) Apowersupplyenterpriseinacounty,autonomouscountyorcounty-levelmunicipality.(3) AnyotherenterpriseasprescribedbytheNationalEnergyAdministration.Article 11 AnyenterprisethatappliesforanElectricPowerBusiness1.icenseshallmeetthefollowingbasicrequirements:(1) Havingthequalificationofalegalperson;(2) Havingafinancialcapabilitythatmeetstherequirementsofelectricpoweroperationitundertakes;(3) Thepersons-in-chargeofproductionoperation,technologies,safetyandfinancehavingtherelevantworkexperienceof3yearsormoreconcerningtheelectricpoweroperationsthattheenterprisehasappliedforundertaking,andhavingthequalificationforassumingtheirprofessionalpostsattheintermediateleveloraboveorthecertificatesofpassingthepost-relatedtrainings;or(4) Meetinganyotherrequirementasprescribedbyanylaworregulation.电业务的企业应当申请供电类电力业务许可证：（一）省辖市、自治州、盟、地区供电企业；（二）县、自治县、县级市供电企业；（三）国家能源局规定的其他企业。第十一条申请电力业务许可证的，应当具备下列基本条件：（一）具有法人资格；（二）具有与申请从事的电力业务相适应的财务能力；（三）生产运行负责人、技术负责人、安全负责人和财务负责人具有3年以上与申请从事的电力业务相适应的工作经历，具有中级以上专业技术任职资格或者岗位培训合格证书；（四）法律、法规规定的其他条件。第十二条申请发电类电力业务许可证的，除具备本规定第十一条所列基本条件外，还应当具备下列条件：Article 12 AnenterprisethatappliesforapowerbusinesspermitforpowergenerationshallmeetthefollowingconditionsbesidesthebasicconditionsasprescribedbyArticle11oftheseProvisions:(1) Theconstructionofitspowergenerationprojecthasbeensubjecttotheexaminationandapprovalorverification(recordation)bytherelevantadministrativedepartment.(2) Itspowergenerationfacilitieshavethecapabilityofpowergeneration.(3) Itspowergenerationprojectcomplieswiththerelevantprovisionsonandrequirementsforenvironmentalprotection.Article13AnyenterprisethatappliesforanElectricPowerBusiness1.icenseforPowerDistributionshallnotonlymeetthebasicrequirementsasprescribedbyArticle11ofthepresentProvisionsbutalsomeetthefollowingrequirements:(1) Theconstructionofitspowerdistributionprojecthavingpassedtheexaminationandapprovalorverificationoftherelevantadministrativedepartment;(2) Havingapowertransmissionnetworkthatmeetstherequirementsofthepowerdistributionoperationithasappliedforundertaking;(3) Itspowerdistributionprojecthavingpassedthecompletion-basedinspectionandacceptanceconductedaccordingtotherelevantprovisions;and(4) Itspowerdistributionprojectmeetingtherelevantprovisionsonandrequirementsofenvironmentalprotection.（一）发电项目建设经有关主管部门审批或者核准（备案）；（二）发电设施具备发电运行的能力；（三）发电项目符合环境保护的有关规定和要求。第十三条申请输电类电力业务许可证的，除具备本规定第十一条所列基本条件外，还应当具备下列条件：（一）输电项目建设经有关主管部门审批或者核准；（二）具有与申请从事的输电业务相适应的输电网络；（三）输电项目按照有关规定通过竣工验收；（四）输电项目符合环境保护的有关规定和要求。第十四条申请供电类电力业务许可证的，除具备本规定第十一条所列基本条件外，还应当具备下列条件：Article14AnyenterprisethatappliesforanElectricPowerBusiness1.icenseforPowerSupplyshallnotonlymeetthebasicrequirementsasprescribedbyArticle11ofthepresentProvisionsbutalsomeetthefollowingrequirements:(1) Havingabusinessareaforpowersupplythathasbeenapprovedbytherelevantadministrativedepartment;(2) Havingapowersupplynetworkaswellasbusinessnetworksthatmeettherequirementsoftheoperationsofpowersupplyitappliesforundertaking;(3) Havingpromisedtoperformthegeneralsocialobligationsofelectricpowerservices;(4) Itspowersupplyprojectmeetingtherelevantprovisionsonandrequirementsofenvironmentalprotection.ChapterIIIApplicationandAcceptanceArticle 15 AnapplicationforapowerbusinesspermitshallbefiledwiththelocalofficeoftheNationalEnergyAdministrationandtherelevantapplicationmaterialsshallbesubmittedaccordingtotherequirementsoftherelevantprovisions.Article 16 ForanenterpriseasprescribedinArticles8through10ofthepresentprovisionswiththestatusofalegalperson,theveryenterprisemayfileanapplication.Astoanenterprisewithoutthestatusofalegalperson,thelegal-personenterprisethereofmayfileanapplicationaccordingtotheirrelationshipofsubjection.Article 17 Anenterprisethatappliesforapowerbusinesspermitshallsubmitthefollowingmaterials:(1) AnApplicationFormforaPermitsignedbyitslegalrepresentative.（一）具有经有关主管部门批准的供电营业区；（二）具有与申请从事供电业务相适应的供电网络和营业网点；（三）承诺履行电力社会普遍服务义务；（四）供电项目符合环境保护的有关规定和要求。第三章申请和受理第十五条申请电力业务许可证，应当向国家能源局派出机构提出，并按照规定的要求提交申请材料。第十六条本规定第八条、第九条、第十条所列企业，具有法人资格的,由本企业提出申请；不具有法人资格的，按照隶属关系由其法人企业提出申请。第十七条申请电力业务许可证的，应当提供下列材料：（一）法定代表人签署的许可证申请表；（二）法人营业执照副本及苴有印件.(2) AduplicateofitsBusiness1.icenseforanEnterprise1.eaalPersonandtheDhotocoDvthereof.(3) Itsannualfinancialstatementsforthemostrecenttwoyears;andwhereitislessthantwoyearssinceitsformation,theannualfinancialstatementssinceitsformationshallbeprovided.(4) Suchcertificationmaterialsastheresumesandprofessionalandtechnicalqualificationcertificatesofpersonsinchargeofproductionoperation,technologies,securityandfinance.Article 18 AnenterprisethatappliesforanElectricPowerBusiness1.icenseforPowerGenerationshallnotonlysubmitthematerialsasprescribedbyArticle17ofthepresentProvisionsbutalsoprovidethefollowingmaterials:(1) Thecertificationmaterialsthattheconstructionofitspowergenerationprojecthaspassedtheexaminationandapprovalorverificationoftherelevantadministrativedepartment;(2) Thecertificationmaterialsprovingthatitspowergenerationprojecthaspassedthecompletion-basedinspectionandacceptance;incaseaninspectionandacceptanceofcompletionfailstobeorganized,thecertificationmaterialsthatitspowergeneratingunitshavepassedaninspectionandacceptanceofinitiationoraqualitysupervisionandexaminationreportofthequalitysupervisoryorganasrecognizedbytherelevantadministrativedepartmentonapprovingawhole-setinitiation;and（三）企业最近2年的年度财务报告；成立不足2年的，出具企业成立以来的年度财务报告；（四）企业生产运行负责人、技术负责人、安全负责人、财务负责人的简历、专业技术任职资格证书等有关证明材料；第十八条申请发电类电力业务许可证的，除提供本规定第十七条所列材料外，还应当提供下列材料：（一）发电项目建设经有关主管部门审批或者核准的证明材料；（二）发电项目通过竣工验收的证明材料；尚未组织竣工验收的，提供发电机组通过启动验收的证明材料或者有关主管部门认可的质量监督机构同意整套启动的质量监督检查报告；（三）发电项目符合环境保护有关规定和要求的证明(3) ThecertificationmaterialsprovingthatitspowergenerationprojectmeetstherelevantnrnicinncnnnrlmmiromnntcCfenvironmentalprotection.Article19AnenterprisethatappliesforanElectricPowerBusiness1.icenseforPowerDistributionshallnotonlysubmitthematerialsasprescribedbyArticle17ofthepresentProvisionsbutalsoprovidethefollowingmaterials:(1) Thecertificationmaterialsthattheconstructionofitspowerdistributionprojecthaspassedtheexaminationandapprovalorverificationoftherelevantadministrativedepartment;(2) Thecertificationmaterialsthatitspowerdistributionprojecthaspassedthecompletion-basedinspectionandacceptance;(3) Thecertificationmaterialsthatitspowerdistributionprojectmeetstherelevantprovisionsonandrequirementsofenvironmentalprotection;and(4) Aletterofcommitmentonthequalityofelectricenergyaswellasthequalityofservices.Article20AnenterprisethatappliesforanElectricPowerBusiness1.icenseforPowerSupply,shallnotonlysubmitthematerialsasprescribedbyArticle17ofthepresentProvisionsbutalsoprovidethefollowingmaterials:(1) Thecertificationmaterialsofitsbusinessareaofpowersupplyaswellasthegeographicalichnographythereof;(2) Thelayoutofitspowersupplynetwork;材料。第十九条申请输电类电力业务许可证的，除提供本规定第十七条所列材料外，还应当提供下列材料：（一）输电项目建设经有关主管部门审批或者核准的证明材料；（二）输电项目通过竣工验收的证明材料；（三）输电项目符合环境保护有关规定和要求的证明材料；（四）电能质量和服务质量承诺书。第二十条申请供电类电力业务许可证的，除提供本规定第十七条所列材料外，还应当提供下列材料：（一）供电营业区域的证明材料及其地理平面图；（二）供电网络分布概况；（三）设立的供电营业分支机构及其相应的供电营业区域概况；(3) Abriefintroductiontoitsestablishedbusinessbranchesofpowersupplyaswellasitsbusinessareaofpowersupply;(4) Aletterofcommitmentonperformingthegeneralsocialobligationofelectricpowerservices;and(5) Thecertificationmaterialsthatitspowersupplyprojectmeetstherelevantprovisionsonandrequirementsofenvironmentalprotection.Article21ThelocalofficeoftheNationalEnergyAdministrationshallrespectivelyhandleanapplicationforapermitfiledbyanapplicantunderthefollowingcircumstances:(1) WheretheapplicationitemdoesnotfallunderthescopeofjurisdictionofthelocalofficeoftheNationalEnergyAdministration,itshallimmediatelymakeadecisiononrejection,issueaNoticeonRejectiontotheapplicantandnotifytheapplicantofapplyingtothecompetentadministrativeorgan.(2) Wherethereisamistakeintheapplicationmaterialthatmaybecorrectedonthespot,itshallallowtheapplicanttomakecorrectiononthespot.(3) Whereanyapplicationmaterialisincompleteorfailstocomplywiththestatutoryform,itshall,onthespotorwithin5days,informtheapplicantofallthecontentsallatonceasrequiredtobesupplementedandcorrected;whereitfailstoinformtherelevantapplicantwithinatimelimit,itshallbedeemedtohaveacceptedtheapplicationasofthedaywhentheapplicationmaterialsarereceived;and（四）履行电力社会普遍服务义务的承诺书；（五）供电项目符合环境保护有关规定和要求的证明材料。第二十一条国家能源局派出机构对申请人提出的许可申请，应当按照下列情况分别作出处理：（一）申请事项不属于国家能源局派出机构职权范围，应当即时作出不予受理的决定，向申请人发出不予受理通知书，并告知申请人向有关行政机关申请；（二）申请材料存在可以当场更正的错误的，应当允许申请人当场更正；（三）申请材料不齐全或者不符合法定形式的，应当当场或者在5日内一次告知申请人需要补正的全部内容，逾期不告知的，自收到申请材料之日起即为受理；（四）申请材料齐全、符合法定形式的，向申请人发出受理通知书。(4) Wheretheapplicationmaterialsarecompleteandmeetthestatutoryform,itshallsendaNoticeonAcceptancetotherelevantapplicant.ChapterIVExaminationandDecisionArticle 22 ThelocalofficeoftheNationalEnergyAdministrationshallexaminetheapplicationmaterialssubmittedbyanapplicant.ThelocalofficeoftheNationalE