Regulations on the Emergency Response to and Investigation of Electrical Safety Accidents

Order of the State Council No. 599

July 7, 2011

The Regulations on the Emergency Response to and Investigation of Electrical Safety Accidents, which were adopted at the 159th executive meeting of the State Council, are hereby promulgated and shall come into effect as of September 1, 2011.

Premiere of the State Council: Wen Jiabao

Regulations on the Emergency Response to and Investigation of Electrical Safety Accidents

Chapter I General Provisions

Article 1 These Regulations are formulated for the purpose of enhancing the emergency response to electrical safety accidents, regulating the investigation of electrical safety accidents, and controlling, alleviating and eliminating the damages caused by electrical safety accidents.

Article 2 For the purpose of these Regulations, electrical safety accidents shall mean accidents that occur during electrical power generation or operation of electrical power grid and affect the safe and sound operation or normal electrical power supply (including accidents in thermal power plants that affect the normal supply of heat).

Article 3 According to their impact on the safe and sound operation of the electrical power system or the normal supply of electric power (heat), electrical safety accidents (hereinafter, "accidents") are classified into extraordinarily serious accidents, serious accidents, relatively serious accidents and ordinary accidents. The classification standards for the accidents are available in the table hereto. Where any item of the classification standards of the accidents needs adjustment, the electrical power regulatory authority under the State Council shall put forward proposed plan on such adjustment to the State Council for examination and approval.
For a city where a provincial-level people's government is located and whose power supply is based on an independent provincial power grid, or a provincial power grid that is connected to other provinces by a single power transmission line, or any other city that is divided into administrative districts or any county-level city whose power supply is based on a single power transmission line or a single transformer station, the classification standards for power grid load reductions and accidents resulting in power outages on the part of the users shall be formulated otherwise by the electrical power regulatory authority under the State Council and submitted to the State Council for examination and approval.

Article 4 The electrical power regulatory authority under the State Council shall enhance the supervision and administration of electrical power safety, and, in accordance with law, set up and improve the systems for the emergency response to and investigation of the accidents, and organize or participate in the investigation of the accidents.
The electrical power regulatory authority and energy regulatory authority and other departments concerned under the State Council, local people's governments and relevant departments shall, in accordance with the power and procedure as prescribed by the State, participate in the emergency response to the accidents.

Article 5 Electrical power enterprises and users, as well as other relevant entities and individuals shall comply with provisions on electrical power safety and implement preventive measures so as to prevent such accidents.
Key electrical power users as designated by relevant departments of people's governments above the county level shall, in accordance with the provisions of the electrical power regulatory authority under the State Council, have their own emergency backup power supply and enhance the management of safe use of electrical power.

Article 6 After an accident occurs, the electrical power enterprise and other entities concerned shall, in accordance with relevant provisions, submit timely and accurate reports on the accident, and launch emergency response to the accident so as to prevent the accident from spreading and alleviating the damages caused by the accident. The electrical power enterprise shall resume electrical power generation, operation of the power grid and the normal supply of electrical power (heat) as soon as possible.

Article 7 No entity or individual may hinder or interfere with the reporting and investigation of and emergency response to accidents.

Chapter II Reporting of accidents

Article 8 After an accident occurs, relevant personnel on the scene of the accident shall promptly report to the persons on duty at the power plant and transformer station, persons on duty at the load dispatching institution, or the on-site director of the electrical power enterprise. After the abovementioned persons receive the report, they shall promptly report to the load dispatching institution on the next higher level and the leadership of the electrical power enterprise. After the leadership of the electrical power enterprise in which the accident happens receives the report, it shall promptly report to local resident office of the electrical power regulatory authority under the State Council (hereinafter, "competent local electrical power regulatory authority") and the production safety department of the local people's government above the county level; in the case of an accident in a thermal power plant that affects the normal supply of heat, it shall also report to local heat supply regulatory department; where the accident involves the safety of the dam(s) of local hydropower factory (plant), the leadership of the electrical power enterprise shall also report to the local competent water resource regulatory authority or competent drainage area regulatory authority.
The electrical power enterprise and relevant persons may not delay or omit the reporting of such accident, nor may they cover up or submit false reports on the same.

Article 9 Upon receipt of an accident report, the competent local electrical power regulatory authority shall promptly verify relevant information and report to the electrical power regulatory authority under the State Council. Where users suffer power outage as a result of the accident, the competent local electrical power regulatory authority shall also notify the people's government above the county level that has jurisdiction over the scene of the accident.
In the case of an extraordinarily serious accident or serious accident, the electrical power regulatory authority under the State Council shall, upon receipt of the accident report, promptly report to the State Council and notify relevant departments under the State Council, including those in charge of production safety regulation and energy resources.

Article 10 An accident report shall include the following:
1. The time and place (region) of the accident as well as the entity (or entities) involved in the accident;
2. The information available on the damages to the electrical equipments and facilities, the number of power generation (heating) units out of service, the amount of reduced power grid load or reduced power plant output, and the scope of power (heat) outage;
3. Preliminary judgment of the cause of the accident;
4. The measures adopted after the accident occurs, the operation mode of the power grid, the operation state of the generator units and progress of the accident control; and
5. Other information that needs to be reported.
Timely follow-up reports shall be made on new situations that emerge after the accident report is made.

Article 11 After an accident occurs, the entities and persons concerned shall take measures to protect and preserve the accident scene as well as relevant materials such as the work logs, work tickets and operation ticket, timely keep such data as fault recorder charts, load dispatching data, and data in connection with the operation of the power generator units and power transmission and transformation equipments, and hand over such materials and data to the investigation team after the formation thereof.
Where for the purpose of rescue operation or such emergency measures as necessary for resuming power generation, operation of the power grid and regular power supply, it is necessary to make any change to the accident scene or remove any electrical equipment, proper marking and sketches of the scene shall be made, and important traces; physical evidence shall be properly preserved and written records be kept.
No entity or individual may intentionally damage the accident scene or fabricate, conceal or destroy evidence in connection with the accident.

Chapter III Emergency response to accidents

Article 12 The electrical power regulatory authority under the State Council shall, in accordance with The Emergency Responses Law of the People's Republic of China and National Overall Emergency response plan on Emergency Public Events, formulate the national emergency response plan for large-scale outage of power grids and submit the same to the State Council for examination and approval.
The relevant local people's governments shall, in accordance with applicable laws, administrative regulations and the national emergency response plan on large-scale power grid outages, organize the formulation of local emergency response plans for large-scale power grid outages applicable to the respective jurisdictions of such local people's governments.
Such emergency response plans shall include specific provisions on the emergency response direction system and duties, the emergency measures as well as the personnel, funding, material supplies and technology necessary for such emergency response.

Article 13 The electrical power enterprises shall, in accordance with relevant State provisions, formulate their respective accident emergency response plans.
The electrical power regulatory authorities shall guide the electrical power enterprises under their respective jurisdiction to enhance their electrical emergency rescue teams and improve their respective emergency supplies reserve system.

Article14 After an accident occurs, the electrical power enterprise(s) concerned shall promptly adopt appropriate emergency response measures to control the accident from spreading and prevent breakdown and collapse of the power grid(s) involved; where the accident threatens personal and equipment safety, the on-duty persons of the power plant(s) and transformer station(s) may, in accordance with applicable provisions, adopt such emergency measures as promptly shutting down the power generator unit(s) and power transmission and transformation equipment(s) involved.
Where the accident causes any damage to the power equipments and facilities, the electrical power enterprise(s) concerned shall promptly organize the repair thereof.

Article 15 In light of the actual circumstances of specific accidents, the load dispatching institutions may issue such dispatching orders as starting or shutting down relevant power generator unit(s) concerned, adjusting the active and reactive loads of the power generator unit(s), adjusting the operation mode of the power grid and revising the power supply load dispatching plan, among others, and relevant power plants and users shall comply with such orders.
Where an accident may potentially undermine the stability of the electrical power system or cause large-scale power grid outage, the electrical power dispatching institution concerned shall have the right to decide to adopt such necessary measures as limiting load, grid decoupling and power generation unit decoupling, among others.

Article 16 Where an accident causes large-scale power grid outage, the electrical power regulatory authority under the State Council and other State Council departments concerned, and relevant local people's governments and electrical power enterprises shall, in accordance with relevant State provisions, launch the corresponding emergency response plans and set up emergency response directorates so as to resume power grid operation and electrical power supply, and prevent all possible secondary disasters.

Article 17 Where an accident causes large scale power grid outage, the local people's governments concerned and relevant authorities shall promptly organize the following emergency response efforts:
1. Enhancing the security of key entities that are related to the national economy, the people's livelihood and public safety so as to prevent disruptions of social order and maintain social stability.
2. Timely eliminating all risks caused by power outage;
3. Timely organizing the medical treatment, transfer and settlement efforts where the accident causes significant casualties or where emergency rescue, transfer and settlement of people trapped in the accident;
4. Strengthening the guidance of traffic in the regions affected by power outage and relieve traffic congestion if any, and ensuring the normal operation of the railway system and civil air aviation and communications security; and
5. Organizing the production and distribution of emergency response supplies and ensuring the supply of the materials necessary for resuming the operation of the affected power grid and the supply of daily necessities of residents in the areas affected by the accident.

Article 18 Where an accident disrupts the power supply to any key electrical power user, such user shall, in accordance with relevant technical specifications, promptly start its backup power supply system; where such backup power supply system fails to start, the electrical power enterprise(s) concerned shall provide necessary assistance to the user.
Where the accident causes power outage in such crowded places as subways, airports, high-rise buildings, shopping malls, theatres, cinemas and sports facilities, emergency lighting must be promptly provided and orderly evacuation of such places shall be organized and implemented.

Article 19 In resuming the operation of a power grid affected by an accident and power supply, priority shall be given to restoring the operation of the power supply system of key power plants, restoring the normal operation of key power transmission and transformation equipments and trunk electrical power networks, and resuming power supply to key electrical power users, key cities and regions.

Article 20 Accident emergency response directorate or the electrical power regulatory authority shall, in accordance with relevant provisions, release such information as that on the scope of impact of the accident, the progress of the handling of the accident and the expected time of power supply resumption in a unified, accurate and timely manner.

Chapter IV Accident investigation

Article 21 An extraordinarily serious accident shall be investigated by an investigation team formed by the State Council or an department authorized by the State Council.
A serious accident shall be investigated by an investigation team organized by the electrical power regulatory authority under the State Council.
A relatively serious accident or an ordinary accident shall be investigated by an investigation team formed by local electrical power regulatory authority. Where the electrical power regulatory authority deems it necessary, it may set up an investigation team to investigate a relatively serious accident.
For an ordinary accident that does not result in power outage on the part of the user(s), the local electrical power regulatory authority may authorize the entity in which the accident occurs to investigate and handle such accident.

Article 22 In view of the actual circumstances of an accident, the investigation team shall consist of members from competent electrical power regulatory authority, the local people's government(s) concerned, production safety regulatory authority, and other regulatory departments related to production safety supervision; where any person involved in the accident is suspected of dereliction of duty, malpractice or criminal offense, the investigation team shall also include members from competent supervision, public security bureau and people's procuratorate.
As may be necessary for the investigation, the investigation team may hire relevant experts to assist the investigation.
The head of the investigation team shall be appointed by the authority that sets up the team.

Article 23 The accident investigation team shall conduct the investigation in accordance with relevant State provisions, and shall submit the accident investigation report to the authority that sets up the team before the following deadlines:
1. The investigation period of an extraordinarily serious or serious accident is 60 days, and may be extended appropriately (with a maximum extension of 60 days) under special circumstances subject to the approval by the authority that sets up the investigation team;
2. The investigation period of an extraordinarily serious or serious accident is 45 days, and may be extended appropriately (with a maximum extension of 45 days) under special circumstances subject to the approval by the authority that sets up the investigation team;
The investigation period shall be calculated from the date when the accident occurs.

Article 24 An accident report shall include the following:
1. The profile of the entity (or entities) in which the accident occurs and the course of the accident;
2. The direct economic loss caused by the accident as well as the impact of the accident on the operation of the power grid and the normal supply of electrical power (heat);
3. The cause and nature of the accident;
4. State of the emergency response to the accident and the progress of the resumption of power generation and power grid operation;
5. The identification of the liabilities for the accident as well as the proposed opinions on the punishment of the entity (or entities) and person(s) responsible for the accident; and
6. Preventive and corrective measures to be adopted.
The accident investigation report shall be affixed with relevant evidence and technical analytical report(s), and be signed by all members of the investigation team.

Article 25 The investigation work shall end when the accident investigation report is approved by the authority that sets up the investigation team; in the case of an ordinary accident whose investigation is entrusted to the entity (or entities) where the accident occurs, the accident investigation report shall be subject to approval by the competent local electrical power regulatory authority.
The entity (or entities) in which an accident occurs as well as person(s) responsible for the accident shall be punished by the competent authorities in accordance with law and State functionary or functionaries responsible for the accident shall be subject to penalty in accordance with law.
The entity or entities in which the accident occurs shall punish its/their employees that are responsible for the accident in accordance with law.

Article 26 The entity or entities in which an accident occurs as well as relevant persons shall draw lessons from the accident and effectively implement preventive and corrective measures so as to prevent similar accidents from happening again.
The competent electrical power regulatory authority, production safety regulatory authority and other regulatory departments related to production safety shall conduct supervision over and inspection into the implementation by the entity (entities) and persons of the preventive and corrective measures.

Chapter V Legal liabilities

Article 27 Where any of the chief leadership members of an electrical power enterprise in which an accident occurs commits any of the following violations, the competent electrical power regulatory authority shall impose on him/her a fine at the rate of 40% to 80% of the annual income of such member in the previous year; where such member is a State functionary, he or she shall be subject to a concurrent administrative punishment as such in accordance with law; where such violation constitutes a criminal offense, such member shall be prosecuted for criminal liabilities:
1. Failing to promptly organize rescue efforts after the accident occurs;
2. Delaying or omitting reporting the accident; or
3. Being absent from duty without leave during the investigation of the accident.

Article 28 Where an electrical power enterprise in which an accident occurs or any of the relevant persons commits any of the following violations, the competent electrical power regulatory authority shall impose on the enterprise a fine of over RMB1 million and below RMB5 million; the chief leadership members of the enterprises as well as officers directly responsible and other persons directly responsible for the accident shall each be subject to a fine at the rate of 60% to 100% of their respective annual income; where any of such persons is a State functionary, he or she shall also be subject to a concurrent administrative punishment; where such violation falls into the category of violations of public security and order, the competent public security authority shall impose corresponding punishments on such person; where such violation constitutes a criminal offense, such person shall be prosecuted for criminal liabilities:
1. Making any false report on or covering up the accident;
2. Faking or deliberately damaging the scene of the accident;
3. Removing or concealing funds and properties, or destroying relevant evidences and materials;
4. Refusing to cooperate with the investigation or refusing to provide the required information and materials;
5. Making any false testimony or ordering any other person to make false testimony during the accident investigation; or
6. Escaping and going into hiding after the accident.

Article 29 Where the electrical power enterprise is responsible for the accident, the competent electrical power regulatory authority shall impose an fine on such enterprise in accordance with the following rates:
1. A fine to the sum of over RMB100,000 and below RMB200,000 for an ordinary accident;
2. A fine to the sum of over RMB200,000 and below RMB500,000 for a relatively serious accident;
3. A fine to the sum of over RMB500,000 and below RMB2,000,000 for a serious accident; and
4. A fine to the sum of over RMB2,000,000 and below RMB5,000,000 for an extraordinarily serious accident.

Article 30 Where an accident occurs due to the failure of the chief leader of an electrical power enterprise to perform his or her production safety regulatory duties, the competent electrical power regulatory authority shall impose an fine on such leader in accordance with the following rates; where such leader is a State functionary, he or she shall be subject to concurrent administrative punishment; where such failure constitutes a criminal offense, such leader shall be investigated for criminal liability:
1. A fine at the rate of 30% of such leader's annual income in the previous year for an ordinary accident;
2. A fine at the rate of 40% of such leader's annual income in the previous year for a relatively serious accident;
3. A fine at the rate of 60% of such leader's annual income in the previous year for a serious accident; and
4. A fine at the rate of 80% of such leader's annual income in the previous year for an extraordinarily serious accident.

Article 31 Where the chief leader of an electrical power enterprise is subject to the punishment of dismissal from office or criminal penalty in accordance with Article 27, Article 28 and/or Article 30 of these Regulations, such leader may not serve as the chief leader of any production or business entity within five years after the date when the punishment is meted out or such criminal penalty is served out.

Article 32 Where after an accident occurs, the electrical power regulatory authority, relevant local people's government or any other regulatory department related to production safety commits any of the following violations, the direct leader(s) thereof and other persons directly responsible for such accident shall be subject to administrative punishment in accordance with applicable laws and regulations; where any of such leaders and persons is suspected of a criminal offense in connection with the accident, he or she shall be investigated for criminal liability:
1. Failing to promptly organize rescue efforts after the accident occurs;
2. Delaying or omitting reporting the accident;
3. Hindering or interfering with the accident investigation; or
4. Making any false testimony or ordering any other person to make false testimony during the accident investigation.

Article 33 Any of the investigators of an accident that commits any of the following violations shall be punished in accordance with law; where such violation constitutes criminal offense, such investigator shall be prosecuted for criminal liability:
1. Committing breach of duty in the accident investigation, which results in any major omission in the investigation; or
2. Harboring or shielding any person responsible for the accident or abusing the investigation for the purpose of retaliating against any person.

Chapter VI Supplementary Provisions

Article 34 Where the grade of an accident under these Regulations that causes casualties or direct economic loss as determined in accordance with the classification standards herein is different from the grade determined in accordance with The Regulations on the Reporting and Investigation of Production Safety Accidents, the higher of the two grades shall be adopted and the accident shall be investigated on the basis of such grade in accordance with these Regulations; an accident that results in casualties and meets the classification standard for a serious accident or extraordinarily accident under The Regulations on the Reporting and Investigation of Production Safety Accidents, such accident shall be investigated in accordance with the aforementioned Regulations on the Reporting and Investigation of Production Safety Accidents.
Where an accident occurs during the power generation or power grid operation, which damages power generation equipment or power transmission and transformation equipment and causes direct economic loss without affecting the safe and sound operation of the power grid or the normal power supply, such accident shall be investigated and handled by the investigation team formed by competent electrical power regulatory authority in accordance with the Regulations on the Reporting and Investigation of Production Safety Accidents as an extraordinarily serious accident, serious accident or ordinary accident, as the case may be.

Article 35 Where these Regulations do not include any provision on the reporting and investigation of any specific accident, relevant provisions in the Regulations on the Reporting and Investigation of Production Safety Accidents shall apply.

Article 36 The emergency response to and investigation of nuclear power plant accidents shall be subject to The Regulations on the Emergency Response to Nuclear Power Plant Accidents.

Article 37 These Regulations shall come into effect as of September 1, 2011.

Appendix: Classification Standards for Electrical Power Safety Accidents