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THE RESOLUTION OF THE NATIONAL COMMISSION PERFORMING STATE REGULATION IN THE FIELD OF POWER AND UTILITIES OF UKRAINE

of June 14, 2018 No. 428

About approval of the Procedure for control of observance by the licensees performing activities in spheres of power and utilities, legislations in the respective spheres and licensed conditions

(as amended on 11-03-2020)

According to the laws of Ukraine "About the National commission performing state regulation in spheres of power and utilities" "About the basic principles of the state supervision (control) in the field of economic activity", "About licensing of types of economic activity" the National commission performing state regulation in spheres of power and utilities DECIDES:

1. Approve the Procedure for control of observance by the licensees performing activities in spheres of power and utilities, legislations in the respective spheres and licensed conditions which is applied.

2. Recognize invalid resolutions:

1) National commission of regulation of power industry of Ukraine:

of May 19, 2011 No. 880 "About approval of the Procedure for control of observance of licensed conditions of implementation of economic activity on oil transportation and oil products on bulk distribution lines";

of May 19, 2011 No. 881 "About approval of the Procedure for control of observance of licensed conditions of implementation of economic activity in the natural gas market";

of May 19, 2011 No. 882 "About approval of the Procedure for control of observance by licensees of conditions and rules of implementation of the activities connected with the production, transfer and delivery of electrical energy combined by production of heat and electrical energy, production of heat energy on combined heat and power plants and installations with use nonconventional or renewable energy resources";

2) the National commission performing state regulation in the field of utilities:

of August 10, 2012 No. 283 "About approval of the Procedure for control of observance by licensees of Licensed conditions of implementation of economic activity on centralized water supply and water disposal";

of August 10, 2012 No. 284 "About approval of the Procedure for control of observance by licensees of licensed conditions of implementation of economic activity on production of heat energy (except activities for production of heat energy on combined heat and power plants, thermal power plants, nuclear power plants and cogeneration installations and installations with use nonconventional or renewable energy resources), transportation of heat energy by the high-level and local (distribution) thermal networks, deliveries of heat energy".

3. This resolution becomes effective from the date of, its publication following behind day in the official printing publication - the Pravitelstvenny Kuryer newspaper.

Chairman of NKREKP

A. Krivenko

Approved by the Resolution of the National commission performing state regulation in the field of power and utilities of Ukraine of June 14, 2018 No. 428

Procedure for control of observance by the licensees performing activities in spheres of power and utilities, legislations in the respective spheres and licensed conditions

1. General provisions

1.1. This Procedure is developed according to the Law of Ukraine "About the National commission performing state regulation in spheres of power and utilities" and others legislative and the regulatory legal acts regulating activities in spheres of power and utilities.

1.2. Action of this Procedure extends to subjects of managing in spheres of power and utilities who obtained licenses for implementation of economic activity (further - licensees) and regulation, monitoring and control for which activities is exercised by the National commission performing state regulation in spheres of power and utilities (further - NKREKP):

1) in the field of power:

activities for production, transfer, distribution, delivery of electrical energy to the consumer;

on the wholesale supply of electrical energy;

activities for implementation of functions of the guaranteed buyer;

activities for the organization of purchase and sale of electrical energy in the market "for the days ahead" and the intra daily market, to ensuring purchase of electrical energy on "green" rate, trading activities;

activities for implementation of functions of the operator of the market;

activities for transportation, distribution, storage (downloadings, selection), to LNG installation provision of services, supply of natural gas;

activities for oil transportation, oil products and other substances pipeline transport;

2) in the field of utilities:

activities for production of heat energy on the heatgenerating installations, including installations for the combined production of heat and electrical energy, transportation by its high-level and local (distribution) thermal networks, delivery of heat energy;

activities in the field of centralized water supply and water disposal.

1.3. This Procedure is applied by NKREKP in case of control of compliance with law and licensed conditions by licensees by carrying out scheduled and unscheduled inspections.

1.4. This Procedure establishes:

procedure of the organization and conducting checks;

procedure for registration of results of checks;

the rights and obligations of the chairman and members of the commission on check;

rights and obligations of the authorized person of the licensee;

control over the implementation of decisions of NKREKP;

procedure for application of sanctions against licensees for violation of the law and licensed conditions.

1.5. In this Procedure terms are used in such value:

refusal of the licensee in conducting check - not admission of members of the commission on checks to conducting check in the absence of the bases provided for this purpose by the law (in particular failure to provide documents, information concerning check subject upon the demand of members of the commission of check, refusal in access to the places of implementation of activities, objects used by the licensee when implementing the activities which are subject to licensing or absence of the authorized person of the licensee in the location of the licensee during the first day of check);

measures of the state control - the planned and unplanned actions performed by conducting planned and unplanned exit, checks not eligible to travel abroad and in other forms determined by the law;

further violation - making by the licensee within year from the date of decision making of NKREKP about elimination of violations of licensed conditions and legislations in spheres of power and utilities of new violation of requirements of licensed conditions and/or legislations by which such decision was made.

Other terms are applied in this Procedure in the values given in the laws of Ukraine "About the National commission performing state regulation in spheres of power and utilities", "About natural monopolies", "About the natural gas market", "About the market of electrical energy", "About state regulation in the field of utilities", "About heat supply", "About drinking water, drinking water supply and water disposal", the Procedure for licensing of types of economic activity which state regulation is performed by the National commission performing state regulation in spheres of power and utilities, No. 548 approved by the resolution of NKREKP of March 3, 2020.

2. General requirements to carrying out scheduled and unscheduled inspections

2.1. The organization of checks and their methodological maintenance is performed by structural division of NKREKP to which functions of the state control of activities of subjects of managing in spheres of power and utilities are assigned (further - JV NKREKP).

2.2. The decision on conducting check is made at the meeting of NKREKP held in the form of open hearing and drawn up by the resolution.

2.3. For conducting check the certificate in the form given in appendix 1 to this Procedure which is signed by the Chairman of NKREKP or the acting as the Chairman of NKREKP and is certified by seal is drawn up and joins together with the inspection statement after its termination of the license case.

The certificate on conducting check is registered in the book of registration of certificates for conducting check of observance by licensees of requirements and licensed conditions (appendix 2 to this Procedure) which pages shall be numbered, strung together and under seal.

2.4. For conducting check of the licensee of NKREKP creates the commission from number of persons employed of central office and/or territorial authority of NKREKP (further - THAT NKREKP) and appoints the commission chairman on check.

The commission on check consists at least of three representatives of central office of NKREKP and/or THAT NKREKP from among which the commission chairman on check, which is appointed:

is responsible for timely conducting check and its results;

distributes obligations on accomplishment of tasks when implementing check between members of the commission on check and exercises control of their accomplishment.

To conducting checks of NKREKP has the right to involve representatives of other state bodies, local government bodies with the consent of heads of these bodies.

In the cases and procedure provided by the law are performed, depending on check subject, in the location and/or the place of implementation by the licensee and its separate divisions of the economic activity which is subject to licensing or in NKREKP or its territorial authority.

Conducting check of the licensee, for the period, which shall be checked actually did not perform the licensed activities that is confirmed by data of its obligatory reporting, is more priority in NKREKP or its territorial authority, than in the location and/or the place of implementation by the licensee and its separate divisions of economic activity which is subject to licensing.

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