KYB CHINA(2005年2月2日国务院第80次常务会议通过 2005年2月15日中华人民共和国国务院令第432号公布 自2005年5月1日起施行)
(Adopted at the 80th Executive Meeting of the State Council on February 2, 2005, promulgated by Decree No. 432 of the State Council of the People's Republic of China on February 15, 2005, and effective as of May 1, 2005)
总则
General Provisions
为了加强电力监管，规范电力监管行为，完善电力监管制度，制定本条例。
This Ordinance is formulated to strengthen electricity regulation, standardize electricity regulatory conduct, and improve the electricity regulatory system.
电力监管的任务是维护电力市场秩序，依法保护电力投资者、经营者、使用者的合法权益和社会公共利益，保障电力系统安全稳定运行，促进电力事业健康发展。
The tasks of electricity regulation are to maintain order in the electricity market, protect the legitimate rights and interests of electricity investors, operators, and users as well as the public interest in accordance with the law, ensure the safe and stable operation of the power system, and promote the healthy development of the electricity industry.
电力监管应当依法进行，并遵循公开、公正和效率的原则。
Electricity regulation shall be conducted in accordance with the law and shall follow the principles of openness, fairness, and efficiency.
国务院电力监管机构依照本条例和国务院有关规定，履行电力监管和行政执法职能；国务院有关部门依照有关法律、行政法规和国务院有关规定，履行相关的监管职能和行政执法职能。
The electricity regulatory institution of the State Council shall perform electricity regulatory and administrative law enforcement functions in accordance with this Ordinance and relevant provisions of the State Council; relevant departments of the State Council shall perform relevant regulatory and administrative law enforcement functions in accordance with relevant laws, administrative regulations, and relevant provisions of the State Council.
任何单位和个人对违反本条例和国家有关电力监管规定的行为有权向电力监管机构和政府有关部门举报，电力监管机构和政府有关部门应当及时处理，并依照有关规定对举报有功人员给予奖励。
Any unit or individual has the right to report to the electricity regulatory institution and relevant government departments any conduct that violates this Ordinance and relevant state provisions on electricity regulation. The electricity regulatory institution and relevant government departments shall handle such reports promptly and, in accordance with relevant provisions, reward those who have rendered meritorious service in reporting.
监管机构
Regulatory Bodies
国务院电力监管机构根据履行职责的需要，经国务院批准，设立派出机构。国务院电力监管机构对派出机构实行统一领导和管理。
The electricity regulatory institution of the State Council may, with the approval of the State Council, establish dispatched agencies based on the needs of performing its duties. The electricity regulatory institution of the State Council shall exercise unified leadership and management over its dispatched agencies.
国务院电力监管机构的派出机构在国务院电力监管机构的授权范围内，履行电力监管职责。
The dispatched agencies of the electricity regulatory institution of the State Council shall perform electricity regulatory duties within the scope authorized by the electricity regulatory institution of the State Council.
电力监管机构从事监管工作的人员，应当具备与电力监管工作相适应的专业知识和业务工作经验。
Personnel engaged in regulatory work in the electricity regulatory institution shall possess professional knowledge and work experience commensurate with the requirements of electricity regulatory work.
电力监管机构从事监管工作的人员，应当忠于职守，依法办事，公正廉洁，不得利用职务便利谋取不正当利益，不得在电力企业、电力调度交易机构兼任职务。
Personnel engaged in regulatory work in the electricity regulatory institution shall be devoted to their duties, act in accordance with the law, be impartial and incorruptible, and shall not take advantage of their positions to seek improper benefits, nor hold concurrent positions in electricity enterprises or electricity dispatch and trading institutions.
电力监管机构应当建立监管责任制度和监管信息公开制度。
The electricity regulatory institution shall establish a regulatory responsibility system and a regulatory information disclosure system.
电力监管机构及其从事监管工作的人员依法履行电力监管职责，有关单位和人员应当予以配合和协助。
When the electricity regulatory institution and its personnel engaged in regulatory work perform their electricity regulatory duties in accordance with the law, relevant units and individuals shall cooperate and provide assistance.
电力监管机构应当接受国务院财政、监察、审计等部门依法实施的监督。
The electricity regulatory institution shall accept supervision exercised by the finance, supervision, and audit departments of the State Council in accordance with the law.
监管职责
Regulatory Duties
国务院电力监管机构依照有关法律、行政法规和本条例的规定，在其职责范围内制定并发布电力监管规章、规则。
The electricity regulatory institution of the State Council shall, in accordance with relevant laws, administrative regulations, and the provisions of this Ordinance, formulate and issue electricity regulatory rules and regulations within its scope of duties.
电力监管机构依照有关法律和国务院有关规定，颁发和管理电力业务许可证。
The electricity regulatory institution shall, in accordance with relevant laws and relevant provisions of the State Council, issue and manage electricity business licenses.
电力监管机构按照国家有关规定，对发电企业在各电力市场中所占份额的比例实施监管。
The electricity regulatory institution shall, in accordance with relevant state provisions, supervise the proportion of shares held by power generation enterprises in each electricity market.
电力监管机构对发电厂并网、电网互联以及发电厂与电网协调运行中执行有关规章、规则的情况实施监管。
The electricity regulatory institution shall supervise the implementation of relevant rules and regulations concerning the grid connection of power plants, interconnection of power grids, and coordinated operation of power plants and power grids.
电力监管机构对电力市场向从事电力交易的主体公平、无歧视开放的情况以及输电企业公平开放电网的情况依法实施监管。
The electricity regulatory institution shall, in accordance with the law, supervise the fair and non-discriminatory opening of the electricity market to entities engaged in electricity trading and the fair opening of the power grid by transmission enterprises.
电力监管机构对电力企业、电力调度交易机构执行电力市场运行规则的情况，以及电力调度交易机构执行电力调度规则的情况实施监管。
The electricity regulatory institution shall supervise the compliance of electricity enterprises and electricity dispatch and trading institutions with electricity market operation rules, and the compliance of electricity dispatch and trading institutions with electricity dispatch rules.
电力监管机构对供电企业按照国家规定的电能质量和供电服务质量标准向用户提供供电服务的情况实施监管。
The electricity regulatory institution shall supervise the provision of power supply services by power supply enterprises to users in accordance with the national standards for power quality and power supply service quality.
电力监管机构具体负责电力安全监督管理工作。
The electricity regulatory institution shall be specifically responsible for the supervision and management of electricity safety.
国务院电力监管机构经商国务院发展改革部门、国务院安全生产监督管理部门等有关部门后，制订重大电力生产安全事故处置预案，建立重大电力生产安全事故应急处置制度。
The electricity regulatory institution of the State Council shall, after consulting with the development and reform department of the State Council, the work safety supervision and management department of the State Council, and other relevant departments, formulate contingency plans for major electricity production safety accidents and establish an emergency response system for major electricity production safety accidents.
国务院价格主管部门、国务院电力监管机构依照法律、行政法规和国务院的规定，对电价实施监管。
The price authority of the State Council and the electricity regulatory institution of the State Council shall supervise electricity prices in accordance with laws, administrative regulations, and provisions of the State Council.
监管措施
Regulatory Measures
电力监管机构根据履行监管职责的需要，有权要求电力企业、电力调度交易机构报送与监管事项相关的文件、资料。
The electricity regulatory institution shall, as necessary for performing its regulatory duties, have the right to require electricity enterprises and electricity dispatch and trading institutions to submit documents and materials related to regulatory matters.
电力企业、电力调度交易机构应当如实提供有关文件、资料。
Electricity enterprises and electricity dispatch and trading institutions shall truthfully provide relevant documents and materials.
国务院电力监管机构应当建立电力监管信息系统。
The electricity regulatory institution of the State Council shall establish an electricity regulatory information system.
电力企业、电力调度交易机构应当按照国务院电力监管机构的规定将与监管相关的信息系统接入电力监管信息系统。
Electricity enterprises and electricity dispatch and trading institutions shall, in accordance with the provisions of the electricity regulatory institution of the State Council, connect their regulatory-related information systems to the electricity regulatory information system.
电力监管机构有权责令电力企业、电力调度交易机构按照国家有关电力监管规章、规则的规定如实披露有关信息。
The electricity regulatory institution shall have the right to order electricity enterprises and electricity dispatch and trading institutions to truthfully disclose relevant information in accordance with the provisions of relevant state electricity regulatory rules and regulations.
电力监管机构依法履行职责，可以采取下列措施，进行现场检查：
When performing its duties in accordance with the law, the electricity regulatory institution may take the following measures for on-site inspection:
(一)进入电力企业、电力调度交易机构进行检查；
(1) Entering electricity enterprises and electricity dispatch and trading institutions for inspection;
(二)询问电力企业、电力调度交易机构的工作人员，要求其对有关检查事项作出说明；
(2) Questioning the staff of electricity enterprises and electricity dispatch and trading institutions and requiring them to explain matters related to the inspection;
(三)查阅、复制与检查事项有关的文件、资料，对可能被转移、隐匿、损毁的文件、资料予以封存；
(3) Consulting and copying documents and materials related to the inspection, and sealing up documents and materials that may be transferred, concealed, or damaged;
(四)对检查中发现的违法行为，有权当场予以纠正或者要求限期改正。
(4) Having the right to immediately correct or order corrections within a time limit for illegal acts discovered during the inspection.
依法从事电力监管工作的人员在进行现场检查时，应当出示有效执法证件；未出示有效执法证件的，电力企业、电力调度交易机构有权拒绝检查。
Personnel engaged in electricity regulatory work in accordance with the law shall present valid law enforcement credentials when conducting on-site inspections; if they fail to present valid law enforcement credentials, electricity enterprises and electricity dispatch and trading institutions have the right to refuse the inspection.
发电厂与电网并网、电网与电网互联，并网双方或者互联双方达不成协议，影响电力交易正常进行的，电力监管机构应当进行协调；经协调仍不能达成协议的，由电力监管机构作出裁决。
If the parties involved in grid connection of power plants and power grids or interconnection of power grids fail to reach an agreement, affecting the normal conduct of electricity trading, the electricity regulatory institution shall conduct mediation; if no agreement can be reached after mediation, the electricity regulatory institution shall make a ruling.
电力企业发生电力生产安全事故，应当及时采取措施，防止事故扩大，并向电力监管机构和其他有关部门报告。电力监管机构接到发生重大电力生产安全事故报告后，应当按照重大电力生产安全事故处置预案，及时采取处置措施。
When an electricity production safety accident occurs in an electricity enterprise, the enterprise shall promptly take measures to prevent the accident from escalating and report to the electricity regulatory institution and other relevant departments. After receiving a report of a major electricity production safety accident, the electricity regulatory institution shall promptly take emergency measures in accordance with the contingency plan for major electricity production safety accidents.
电力监管机构按照国家有关规定组织或者参加电力生产安全事故的调查处理。
The electricity regulatory institution shall organize or participate in the investigation and handling of electricity production safety accidents in accordance with relevant state provisions.
电力监管机构对电力企业、电力调度交易机构违反有关电力监管的法律、行政法规或者有关电力监管规章、规则，损害社会公共利益的行为及其处理情况，可以向社会公布。
The electricity regulatory institution may publicly disclose the conduct of electricity enterprises and electricity dispatch and trading institutions that violate relevant electricity regulatory laws, administrative regulations, or relevant electricity regulatory rules and regulations, and harm the public interest, as well as the handling of such conduct.
法律责任
Legal Liability
电力监管机构从事监管工作的人员有下列情形之一的，依法给予行政处分；构成犯罪的，依法追究刑事责任：
Personnel engaged in regulatory work in the electricity regulatory institution who fall under any of the following circumstances shall be given administrative sanctions in accordance with the law; if a crime is constituted, criminal liability shall be pursued in accordance with the law:
(一)违反有关法律和国务院有关规定颁发电力业务许可证的；
(1) Issuing electricity business licenses in violation of relevant laws and relevant provisions of the State Council;
(二)发现未经许可擅自经营电力业务的行为，不依法进行处理的；
(2) Failing to handle in accordance with the law any act of operating electricity business without a license upon discovery;
(三)发现违法行为或者接到对违法行为的举报后，不及时进行处理的；
(3) Failing to handle promptly upon discovering illegal acts or receiving reports of illegal acts;
(四)利用职务便利谋取不正当利益的。
(4) Taking advantage of their positions to seek improper benefits.
电力监管机构从事监管工作的人员在电力企业、电力调度交易机构兼任职务的，由电力监管机构责令改正，没收兼职所得；拒不改正的，予以辞退或者开除。
If personnel engaged in regulatory work in the electricity regulatory institution hold concurrent positions in electricity enterprises or electricity dispatch and trading institutions, the electricity regulatory institution shall order them to correct and confiscate the income from the concurrent positions; if they refuse to correct, they shall be dismissed or expelled.
违反规定未取得电力业务许可证擅自经营电力业务的，由电力监管机构责令改正，没收违法所得，可以并处违法所得5倍以下的罚款；构成犯罪的，依法追究刑事责任。
Anyone who, in violation of regulations, engages in electricity business without obtaining an electricity business license shall be ordered by the electricity regulatory institution to correct, have their illegal gains confiscated, and may be concurrently fined not more than five times the illegal gains; if a crime is constituted, criminal liability shall be pursued in accordance with the law.
电力企业违反本条例规定，有下列情形之一的，由电力监管机构责令改正；拒不改正的，处10万元以上100万元以下的罚款；对直接负责的主管人员和其他直接责任人员，依法给予处分；情节严重的，可以吊销电力业务许可证：
If an electricity enterprise violates the provisions of this Ordinance and falls under any of the following circumstances, the electricity regulatory institution shall order it to correct; if it refuses to correct, a fine of not less than 100,000 yuan but not more than 1,000,000 yuan shall be imposed; the directly responsible supervisors and other directly responsible personnel shall be given sanctions in accordance with the law; if the circumstances are serious, the electricity business license may be revoked:
(一)不遵守电力市场运行规则的；
(1) Failing to comply with electricity market operation rules;
(二)发电厂并网、电网互联不遵守有关规章、规则的；
(2) Failing to comply with relevant rules and regulations for grid connection of power plants or interconnection of power grids;
(三)不向从事电力交易的主体公平、无歧视开放电力市场或者不按照规定公平开放电网的。
(3) Failing to open the electricity market fairly and non-discriminatorily to entities engaged in electricity trading, or failing to open the power grid fairly in accordance with regulations.
供电企业未按照国家规定的电能质量和供电服务质量标准向用户提供供电服务的，由电力监管机构责令改正，给予警告；情节严重的，对直接负责的主管人员和其他直接责任人员，依法给予处分。
If a power supply enterprise fails to provide power supply services to users in accordance with the national standards for power quality and power supply service quality, the electricity regulatory institution shall order it to correct and give a warning; if the circumstances are serious, the directly responsible supervisors and other directly responsible personnel shall be given sanctions in accordance with the law.
电力调度交易机构违反本条例规定，不按照电力市场运行规则组织交易的，由电力监管机构责令改正；拒不改正的，处10万元以上100万元以下的罚款；对直接负责的主管人员和其他直接责任人员，依法给予处分。
If an electricity dispatch and trading institution violates the provisions of this Ordinance and fails to organize trading in accordance with electricity market operation rules, the electricity regulatory institution shall order it to correct; if it refuses to correct, a fine of not less than 100,000 yuan but not more than 1,000,000 yuan shall be imposed; the directly responsible supervisors and other directly responsible personnel shall be given sanctions in accordance with the law.
电力调度交易机构工作人员泄露电力交易内幕信息的，由电力监管机构责令改正，并依法给予处分。
If staff of an electricity dispatch and trading institution disclose inside information of electricity trading, the electricity regulatory institution shall order them to correct and give sanctions in accordance with the law.
电力企业、电力调度交易机构有下列情形之一的，由电力监管机构责令改正；拒不改正的，处5万元以上50万元以下的罚款，对直接负责的主管人员和其他直接责任人员，依法给予处分；构成犯罪的，依法追究刑事责任：
If an electricity enterprise or electricity dispatch and trading institution falls under any of the following circumstances, the electricity regulatory institution shall order it to correct; if it refuses to correct, a fine of not less than 50,000 yuan but not more than 500,000 yuan shall be imposed, and the directly responsible supervisors and other directly responsible personnel shall be given sanctions in accordance with the law; if a crime is constituted, criminal liability shall be pursued in accordance with the law:
(一)拒绝或者阻碍电力监管机构及其从事监管工作的人员依法履行监管职责的；
(1) Refusing or obstructing the electricity regulatory institution and its personnel engaged in regulatory work from performing their regulatory duties in accordance with the law;
(二)提供虚假或者隐瞒重要事实的文件、资料的；
(2) Providing false documents or materials, or concealing important facts;
(三)未按照国家有关电力监管规章、规则的规定披露有关信息的。
(3) Failing to disclose relevant information in accordance with the provisions of relevant state electricity regulatory rules and regulations.
本条例规定的罚款和没收的违法所得，按照国家有关规定上缴国库。
Fines and confiscated illegal gains as provided for in this Ordinance shall be turned over to the state treasury in accordance with relevant state provisions.
附则
Supplementary Provisions
电力企业应当按照国务院价格主管部门、财政部门的有关规定缴纳电力监管费。
Electricity enterprises shall pay electricity regulatory fees in accordance with the relevant provisions of the price authority and the finance department of the State Council.
本条例自2005年5月1日起施行。
This Ordinance shall come into effect as of May 1, 2005.