Thông tư 12/2017/TT-BCT quy định về trình tự thủ tục cấp thu hồi giấy phép hoạt động điện lực

CIRCULAR

ON PROCEDURES FOR ISSUANCE AND REVOCATION OF ELECTRICITY OPERATING LICENSES

Pursuant to the Government's Decree No. 95/2012/ND-CP dated November 12, 2012, defining the functions, tasks, powers and organizational structure of the Ministry of Industry and Trade;

Pursuant to Law on Electricity dated December 3, 2004; Law on amendments to Law on Electricity dated November 20, 2012;

Pursuant to the Government's Decree No. 137/2013/ND-CP dated October 21, 2013 on guidelines for Law on Electricity and Law on amendments to Law on Electricity;

At the request of Director of Electricity Regulatory Authority,

The Minister of Industry and Trade promulgates a Circular on procedures for issuance and revocation of electricity operating licenses.

Chapter I

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Article 1. Scope

This Circular deals with procedures for issuance and revocation of electricity operating licenses and validity periods thereof in the following lines of business:

1. Electricity consulting services

a) Consulting services in terms of national power development planning, power development planning of provinces and central-affiliated cities (hereinafter referred to as provinces); and hydropower plant planning;

b) Consulting services in terms of power plant construction, including: Thermopower (inclusive of biomass power), hydropower, and other renewable energies; consulting services in construction of transmission lines and electrical substations;

c) Consulting services in terms of supervisions of execution of power plants including: Thermopower (inclusive of biomass power), hydropower, and other renewable energies; supervision consulting services in construction of transmission lines and electrical substations.

2. Electricity generation.

3. Electricity transmission.

4. Electricity distribution.

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6. Electricity retailing.

7. Export or import of electricity.

Article 2. Regulated entities

This Circular applies to entities engaging in electricity consulting services, electricity generation, electricity distribution, electricity wholesaling, electricity retailing, and export or import of electricity.

Article 3. Exemption from electricity operating licenses

1. Electricity generation for self-consumption without selling electricity to other organizations and individuals.

2. Electricity generation with installed capacity of less than 1 MW to sell electricity to other entities.

3. Purchase of electricity with capacity of under 50kVA from distributing electricity grids to sell electricity directly to electricity-using customers living in rural, mountainous, and islands areas.

4. Dispatch of national electric system and electricity market transaction administration.

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1. Prior to the competitive electricity retailing stage, electricity operating licenses shall be granted for both electricity retailing and electricity distribution.

2. Electricity generation licenses shall be granted to organizations that generate electricity for individual power plants.

3. Maximum validity periods of electricity operating licenses to be issued to electricity-operating units are specified as follows:

No.

Electricity-related business

Maximum validity period

1

Electricity consulting services

5 years

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Electricity generation

a)

Power plants included in the list of power plants that have key importance for society and economy and national defense and security as approved by the Prime Minister

20 years

b)

Power plants not included in the list of power plants that have key importance for society and economy and national defense and security as included in the list approved by the Prime Minister

10 years

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20 years

4

Electricity distribution

10 years

5

Electricity wholesaling, electricity retailing

10 years

6

Export or import of electricity

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4. An electricity operating license with shorter validity period may be granted upon request of the applicant.

5. According to actual conditions of the section in the electricity work, license issuing authority (hereinafter referred to as issuing authority) may grant an electricity operating license with shorter validity period that those prescribed in Clause 3 of this Article.

Article 5. Lines of business stated in electricity operating licenses

1. The license for electricity consulting services is valid nationwide.

2. The license for electricity generation is only valid for individual power plants.

3. The license for electricity transmission, electricity distribution is only valid for management and operation of a specific electrical grid.

4. The license for electricity wholesaling or electricity retailing is only valid within a specific administrative division.

5. The license for export or import of electricity is only valid within a particular electricity delivery station.

Chapter II

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Article 6. Applications for licenses for electricity consulting services

1. An application form for electricity operating license using form No. 1 prescribed in Appendix issued herewith.

2. A copy of enterprise registration certificate, establishment decision, or establishment certification obtained by the applicant.

3. A summary of resumes of administrative officers, main consulting experts using form No. 3a prescribed in Appendix issued herewith; copies of graduate degrees, practice certificates and labor contracts bearing signatures of main consulting experts that are named in the list along with the consulting organization.

4. A list of projects with similar scale that the consulting organization or main consulting experts have executed.

5. A list of equipment, technical equipment, and applications serving the consultancy and the consulting organization's undertakings to ensure the consultancy.

Article 7. Applications for licenses for electricity generation

1. An application form for electricity operating license using form No. 1 prescribed in Appendix issued herewith.

2. A copy of enterprise registration certificate obtained by the applicant.

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4. A copy of the decision on approval for power plant project or policy of issued by the competent authority.

5. A copy of the decision on approval for environmental impact assessment report or a document certifying the plan for protection of power plant project’s environment issued by the competent authority as prescribed in law on environment.

6. A copy of the power purchase agreement.

7. A list of equipment and devices with strict requirements for labor safety and the investor’s undertakings to use them in accordance with regulations of law.

8. A copy of the acceptance report on fire safety system that is made in accordance with law on fire safety.

9. A copy of the decision on approval for reservoir operation procedures issued by the competent authority (in case of hydroelectric plant).

10. A copy of the process of cooperation between power plant and electric system regulation units.

11. A copy of the acceptance report on information technology infrastructure, communication infrastructure serving electricity market operation as prescribed; a copy of the acceptance report on SCADA system serving the electricity system and electricity market operation as prescribed.

12. A copy of the acceptance report on hydroelectric dams; a registration for dam safety that has been sent to the competent authority; a plan for safety of dams and dam lowlands as prescribed; a report on dam testing (if it is the due date for testing of the hydroelectric dam).

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1. An application form for electricity operating license using form No. 1 prescribed in Appendix issued herewith.

2. A copy of enterprise registration certificate, establishment decision, or establishment certification obtained by the applicant.

3. A summary of resumes of direct technical manager, team leader of the power plant using form No. 3b prescribed in Appendix issued herewith; copies of graduate degrees, electrical safety cards and operation certificates that are issued by controlling regulator to the team leader under the National Electricity System Regulation issued by the Ministry of Industry and Trade.

4. A list of key electrical grid sections under its management. In case of purchase, acquisition or acceptance of the electrical grid property without refund, an acceptance report or a transfer report is required.

5. Copies of documents on conditions for fire safety as prescribed.

6. An arrangement or contract’s copy of connection to the national electricity system; a map of grid boundaries and scope of operation.

Article 9. Applications for licenses for electricity wholesaling or electricity retailing

1. An application form for electricity operating license using form No. 1 prescribed in Appendix issued herewith.

2. A copy of enterprise registration certificate, establishment decision, or establishment certification obtained by the applicant.

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Article 10. Applications for licenses for electricity export or import

1. An application form for electricity operating license using form No. 1 prescribed in Appendix issued herewith.

2. A copy of enterprise registration certificate, establishment decision, or establishment certification obtained by the applicant.

3. A summary of resumes of business managers and technical managers using form No. 3b prescribed in Appendix issued herewith; copies of graduate degrees or certificates, electricity safety cards of persons in the list.

4. A copy of the decision on approval for international power trade policy and plan for electrical grid connection that has been approved for the international power trade; a copy of the electricity import/export agreement, or a copy of the electricity purchase offer or acceptance of purchase offer of the foreign party.

5. A diagram of electrical grid principles relating to electricity purchase and sale stations and procedures for coordinating operation and handling of power grid incidents between electricity buyer and electricity seller (if any).

6. Copies of documents on fire safety at electrical substations as prescribed.

Article 11. Applications for permission to modify electricity operating licenses

1. The application for permission to modify name or headquarters' address of the license holder shall include:

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b) A copy of enterprise registration certificate, establishment decision, or establishment certification obtained by the applicant.

2. If an applicant for electricity operating license acquires property assignment from a holder of electricity operating license, the application shall include:

a) An application form for electricity operating license using form No. 1 prescribed in Appendix issued herewith.

b) A copy of enterprise registration certificate, establishment decision, or establishment certification obtained by the applicant;

c) Supporting documents on property assignment, staff in charge of technical and operating aspects.

Chapter III

PROCEDURES FOR ISSUANCE AND REVOCATION OF ELECTRICITY OPERATING LICENSES

Article 12. Procedures for issuance and modification of electricity operating licenses

1. At least 30 days before the date on which the business is officially put into operation, the electricity-generating organization shall submit an adequate application for electricity operating license.

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3. Sending methods:

a) In case of applications within the licensing authority of the Ministry of Industry and Trade and Electricity Regulatory Authority: to be processed on the online public service website.

If an electronic application has large capacity or any document thereof is not allowed to be sent online as prescribed by law, it can be submitted in person or by post.

b) In case of applications within the licensing authority of the People’s Committees of provinces and central-affiliated cities (hereinafter referred to as provinces): to be submitted in person, by post, or on the website of the issuing authority (if any).

4. Procedures for issuance and modification of electricity operating licenses online:

a) An e-application shall be submitted in conformity with instructions on the online public service website of the Ministry of Industry and Trade, in particular:

- The applicant creates new account on the online public service website at the address: http://online.moit.gov.vn; use the registered account for declaration and send the application online;

- Within 15 working days from the date on which the satisfactory application is received on the online public service website, the issuing authority shall conduct a verification visit to the applicant’s premises (if necessary) and issue an electricity operating license.

b) People’s Committees of provinces shall provide guidelines for online licensing within their competence (if any) in accordance with this Circular.

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a) Within 3 working days from the date on which the application for electricity operating license is received, in case of inadequate application, the issuing authority shall notify the applicant of providing additional documents in writing. In the written notice, it must clarify reasons and requirements for additional documents or amendments to figures, documents for completing the application;

b) Within 5 working days from the date on which the written notice is received, the applicant shall provide additional documents, amend figures, documents as required and respond in writing.

Within 60 days from the date on which the written notice is received, if the applicant fails to provide additional documents or make appropriate amendments and respond in writing, the issuing authority may return the application;

c) Within 15 working days from the date on which the satisfactory application is received on the online public service website, the issuing authority shall conduct a verification visit to the applicant’s premises (if necessary) and issue an electricity operating license.

5. During the application verification or verification visit, if the applicant has not satisfied all of conditions as prescribed, the issuing authority may request the applicant to provide additional license(s) or reject the application in writing (with clear explanation).

6. The issued electricity operating license shall consist of 3 originals: 1 copy held by the applicant, 2 copies kept by the issuing authority.

7. At least 60 days before the expiry date of the electricity operating license, if the holder of license wishes to keep its operation, it shall submit an application for electricity operating license as prescribed in Clause 1 of this Article and follow procedures as prescribed.

Article 13. Revocation of electricity operating licenses

1. An electricity operating license shall be revoked in any case below:

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b) The electricity unit wishes to shut down or transfer its operation to another unit;

c) The competent authority requests to have the electricity unit’s license revoked due to its violation;

d) The electricity fails to comply with Clause 7 Article 16 of this Circular;

dd) The electricity unit violates Point a Clause 9 Article 16 of this Circular.

2. The electricity operating license is revoked according to each line of business. The electricity unit whose license is revoked shall make a new application for electricity operating license in accordance with the decision on revocation of former license.

3. The issuing authority has competence to revoke electricity operating licenses within its licensing competence.

4. Procedures for making decision on revocation of electricity operating licenses

a) If an electricity unit violated Article 37 of Law on Electricity, Clause 4 Article 16 of this Circular and the issuing authority has made a decision on penalty, it shall also make a decision on revocation of the license.

b) If an electricity unit violated Article 37 of Law on Electricity, Clause 4 Article 16 of this Circular and the issuing authority is not the authority that makes a decision on penalty, it shall make a decision on revocation of the license according to the time limit specified in the decision on penalty. If the license is not revoked, the issuing authority shall provide explanation for the maker of decision on penalty;

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d) If the electricity unit wishes to The electricity unit wishes to shut down or transfer its operation to another unit; within 30 working days from the date on which the request of electricity unit or competent authority and relevant documents are received, the issuing authority shall make a decision on revocation of license.

5. Within 2 working days from the date on which a decision on revocation is made, the issuing authority shall send it to the electricity unit whose license is going to be revoked and relevant agencies; publish revocation information on the website of the issuing authority.

Chapter IV

THE POWER TO ISSUE AND MANAGE ELECTRICITY OPERATING LICENSES

Article 14. The power to issue electricity operating licenses

1. The Ministry of Industry and Trade shall issue electricity operating licenses in the following lines of business:

a) Electricity generation in power plants that are large and have key importance for society and economy and national defense and security as included in the list approved by the Prime Minister;

b) Electricity transmission;

c) Electricity export and import.

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a) Electricity generation in power plants that have capacity of at least 3 MW other than the case prescribed in Point a Clause 1 of this Article;

b) Electricity distribution;

c) Electricity wholesaling;

d) Electricity retailing;

dd) Electricity consulting services.

3. The People’s Committees of provinces and central-affiliated cities (hereinafter referred to as provinces) shall issue or authorize the Departments of Industry and Trade to issue electricity operating licenses in the following lines of business:

a) Electricity generation in power plants that have capacity of less than 3 MW located in the provinces;

b) Electricity distribution with voltage up to 35kV in the provinces;

c) Electricity retailing with voltage up to 0.4 kV in the provinces;

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- Consulting services in terms of construction of transmission lines and electrical substations with voltage up to 35 kV, enterprise registration at provinces;

- Consulting services in terms of construction of transmission lines and electrical substations with voltage up to 35 kV, enterprise registration at provinces;

4. If an application for multiple licenses in the sector of electricity consulting services, in which at least one sector of services is within the competence of Electricity Regulatory Authority, the electricity operating license for this field shall be issued by Electricity Regulatory Authority.

Article 15. Responsibilities of issuing authority

1. Receive, verify, inspect and manage applications for licensing. Instruct applicants to follow appropriate procedures for application for electricity operating licenses of this Circular.

2. Settle claims in terms of electricity operating licenses within its competence.

3. Inspect and observe the maintenance of conditions in the electricity operating licenses.

4. Revoke electricity operating licenses within its competence according to the procedures prescribed in Article 13 of this Circular.

5. Request the competent authority to take actions against violating electricity units as prescribed by law.

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1. Conduct electricity operation in accordance with the license.

2. Request the permission to modify name, headquarters’ address, line of business, managing unit, scope of operation, and validity period of the license.

3. Maintain conditions for electricity services that are registered and licensed during its operation.

4. Comply with relevant law provisions.

5. Pay sufficient fees for electricity operating license as per the law.

6. Do not lease, lend, or self-correct text of the electricity operating license.

7. Regarding electricity generation, within 12 months from the date on which the electricity operating license is issued, the holder of license shall provide additional documents approved by the competent authority as prescribed in Clause 8 Clause 11, Clause 12 Article 7 of this Circular.

8. Undergo inspection and abide by decision on use of license and conditions for registered operation made by the competent authority.

9. Reporting:

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b) Report on the loss of license immediately to the issuing authority;

c) Before every March 1, report on the maintenance of conditions for licensed line of business and previous operation using forms No. 4a, 4b, 4c, and 4d prescribed in Appendices issued herewith to the issuing authority and Department of Industry and Trade;

d) Report on the termination of operation or transfer of electricity operation to the issuing authority at least 60 days before the date of termination or transfer;

dd) Send reports with sufficient information upon request of the issuing authority or competent authority;

e) Regarding to electricity generation, the holder of license shall send financial statement which has been audited to Electricity Regulatory Authority for the purpose of calculating electricity generation prices before every June 1.

Article 17. Management and operation of power plants in by hired or authorized organizations

1. Investors of power plants shall fulfill obligations relating to investment and inauguration of power plants as per the law.

2. The organization which is hired or authorized to manage and operate the power plant shall fulfill fully obligations relating to the plant operation according to the contract for hiring or authorization of management of power plant.

Chapter V

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Article 18. Inspection

1. Electricity Regulatory Authority shall inspect the implementation of this Circular nationwide; deal with difficulties and request Ministry of Industry and Trade to amend this Circular.

2. The People’s Committees of provinces shall inspect this Circular under its management; deal with difficulties and request The Ministry of Industry and Trade to amend this Circular.

Article 19. Implementation

1. Electricity Regulatory Authority shall receive and process applications for electricity operating licenses and revoke electricity operating licenses within its and Ministry of Industry and Trade’s issuing competence.

2. The Department of Industry and Trade shall receive and process applications for electricity operating licenses and revoke electricity operating licenses within issuing competence of the People’s Committee of province as authorized.

3. The license holder shall send the copy of license to the local electricity authority within 30 days from the date of licensing.

4. Before every January 15, the Department of Industry and Trade shall report on issuance and revocation of electricity operating licenses in province in the previous year to the Ministry of Industry and Trade and the People’s Committee of province.

Article 20. Entry in force

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2. Holders of licenses prescribed in Circular No. 10/2015/TT-BCT dated May 29, 2015 of the Minister of Industry and Trade on procedures for issuance, revocation and validity period of electricity operating licenses, Circular No. 25/2013/TT-BCT dated October 29, 2013 of the Minister of Industry and Trade on procedures for issuance, revocation and validity period of electricity operating licenses and Decision No. 32/2006/QD-BCN dated September 6, 2006 of Minister of Industry promulgating conditions, procedures for issuance, amendments, revocation, and management of electricity operating licenses, Decision No. 15/2008/QD-BCT dated July 1, 2008 of the Minister of Industry and Trade amendments to , procedures for issuance, amendments, revocation, and management of electricity operating licenses issued together with Decision No. 32/2006/QD-BCN dated September 6, 2006 of Minister of Industry on keep continual operation stated in licenses and responsibility for complying with this Circular and relevant law provisions which are promulgated after the date of licensing.

3. Difficulties that arise during the implementation of this Circular should be reported to Electricity Regulatory Authority, which shall then request the Ministry of Industry and Trade to make appropriate amendments./.

MINISTER




Tran Tuan Anh

APPENDIX

SPECIMENS OF LICENSES AND DOCUMENTS USED FOR LICENSING
(Promulgated together with the Circular No. 12/2017/TT-BCT dated July 31, 2017 of the Minister of Industry and Trade on procedures for issuance and revocation of electricity operating licenses)

No.

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Specimen 01

Application form for issuance and amendments to electricity operating license

Specimen 2a

License issued by the Ministry of Industry and Trade

Specimen 2b

License issued by the Electricity Regulatory Authority

Specimen 2c

License issued by the People’s Committee of the province or central-affiliated city

Specimen 2d

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Specimen 3a

List of managerial personnel and main consultants on electricity

Specimen 3b

List of managerial personnel and operating personnel

Specimen 4a

Report on maintenance of fulfillment of conditions for electricity generation specified in the electricity operating license

Specimen 4b

Report on maintenance of fulfillment of conditions for electricity transmission/electricity distribution specified in the electricity operating license

Specimen 4c

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Specimen 4d

Report on maintenance of fulfillment of conditions for provision of electricity consulting services specified in the electricity operating license

Specimen 01

(NAME OF THE APPLICANT)
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. …/….

(Place name), date (dd/mm/yyyy) ….

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To: ¹……………………………………………………….

Name of the applicant: ........................................................................................................

Supervisory authority (if any): ..................................................................................

Address of the head office: ………… Telephone: ………….. Fax:………….. Email:..........

Investment license/Establishment decision No. …….. dated (date) ... (month) ... (year) ...

Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

Electricity operating license No. ……… issued by …………. on ...................... (if any).

Current business lines: .....................................................................................

Applying for issuance of the electricity operating license for the following areas and scope of operation:

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Attached documents:

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- ........................................................................................................................................

Kindly requesting ²...  to issue the electricity operating license to ... (name of the applicant).

(name of the applicant) is hereby committed to operate within the registered areas and scope and comply with regulations specified in the electricity operating license./.

HEAD
(Signature and seal)

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¹ sent to the authority in charge of receiving and carrying out procedures for application verification or the licensing authority: the Department of Industry and Trade, the Electricity Regulatory Authority, the People’s Committee of the province or the Ministry of Industry and Trade.

² Sent to the licensing authority: the Department of Industry and Trade, the Electricity Regulatory Authority, the People’s Committee of the Province or the Ministry of Industry and Trade.

Specimen 2a

MINISTRY OF INDUSTRY AND TRADE
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. …/GP-BCT

Hanoi, date (dd/mm/yyyy) ….

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THE MINISTER OF INDUSTRY AND TRADE

Pursuant to the Government’s Decree No. 95/2012/ND-CP dated November 12, 2012 defining functions, tasks, entitlements and organizational structure of the Ministry of Industry and Trade;

Pursuant to the Law on Electricity dated December 03, 2004; Law on amendments to some Articles of the Law on Electricity dated November 20, 2012;

Pursuant to the Government’s Decree No. 137/2013/ND-CP dated October 21, 2013 elaborating some Articles of the Law on Electricity and Law on amendments to some Articles of the Law on Electricity;

Pursuant to the Circular No. .../2017/TT-BCT dated … (date) … (month), 2017 of the Minister of Industry and Trade on procedures for issuance and revocation of electricity operating licenses;

In consideration of the application for issuance of electricity operating license submitted by ... (name of the applicant);

At the request of the Director of the Electricity Regulatory Authority,

HEREBY DECIDES:

Article 1. The electricity operating license is issued to:

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2. Supervisory authority (if any): ..................................................................................

3. Management and operation authority (regarding electricity generation, if any):

4. Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

5. Address of the head office: ……… Telephone: ……………; Fax:……….. Email:..........

Article 2. Electricity-related areas

1. ........................................................................................................................................

2. ........................................................................................................................................

Article 3. Scope and duration of operation

1. Area 1: ................................................................................................................... ³

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2. Area 2: ...................................................................................................................

Until (date) ... (month) ... (year) ...

Article 4. Responsibilities of electricity unit issued with the license

... ... (the electricity unit issued with the license) shall comply with regulations specified in the Law on Electricity, Law on amendments to some Articles of the Law on Electricity and documents providing guidelines for implementation thereof, and other relevant regulations of law.

Article 5. Effect

This electricity operating license comes into force from the day on which it is signed./.

MINISTER
(Signature and seal)

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³ Specify detailed information about scope of each area. Regarding electricity generation, specify main operating parameters of the power plant (total capacity, main specifications of generating units, main transformers, booster substations, information about plant connection).

Specimen 2b

MINISTRY OF INDUSTRY AND TRADE
ELECTRICITY REGULATORY AUTHORITY
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. …/GP-DTDL

Hanoi, date (dd/mm/yyyy) ….

ELECTRICITY OPERATING LICENSE

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Pursuant to the Prime Minister’s Decree No. 153/2008/QD-TTg dated November 28, 2008 defining functions, tasks, entitlements and organizational structure of the Electricity Regulatory Authority affiliated to the Ministry of Industry and Trade;

Pursuant to the Law on Electricity dated December 03, 2004; Law on amendments to some Articles of the Law on Electricity dated November 20, 2012;

Pursuant to the Government’s Decree No. 137/2013/ND-CP dated October 21, 2013 elaborating some Articles of the Law on Electricity and Law on amendments to some Articles of the Law on Electricity;

Pursuant to the Circular No. .../2017/TT-BCT dated … (date) … (month), 2017 of the Minister of Industry and Trade on procedures for issuance and revocation of electricity operating licenses;

In consideration of the application for issuance of electricity operating license submitted by ... (name of the applicant);

At the request of the Head of Public Relations and Licensing Division,

HEREBY DECIDES:

Article 1. The electricity operating license is issued to:

1. Name of the applicant: ..................................................................................................

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3. Management and operation authority (regarding electricity generation, if any):

4. Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

or Establishment decision No. …….. dated (date) ... (month) ... (year) ...

5. Address of the head office: ………… Telephone: ………; Fax:………….. Email:..........

Article 2. Electricity-related areas

1. ..........................................................................................................................................

2. ..........................................................................................................................................

Article 3. Scope and duration of operation

Area 1: ................................................................................................................... ⁴

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Area 2: ...................................................................................................................

Until (date) ... (month) ... (year) ...

Article 4. Responsibilities of electricity unit issued with the license

... ... (the electricity unit issued with the license) shall comply with regulations specified in the Law on Electricity, Law on amendments to some Articles of the Law on Electricity and documents providing guidelines for implementation thereof, and other relevant regulations of law.

Article 5. Effect

This electricity operating license comes into force from the day on which it is signed./.

DIRECTOR
(Signature and seal)

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4 Specify detailed information about scope of each area. Regarding electricity generation, specify main operating parameters of the power plant (total capacity, main specifications of generating units, main transformers, booster substations, information about plant connection).

Specimen 2c

PEOPLE’S COMMITTEE OF ….. CITY/PROVINCE
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. …/GP-UBND

(Place name), date (dd/mm/yyyy) ….

ELECTRICITY OPERATING LICENSE

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Pursuant to the Law on Local Government Organization dated June 19, 2015;

Pursuant to the Law on Electricity dated December 03, 2004; Law on amendments to some Articles of the Law on Electricity dated November 20, 2012;

Pursuant to the Government’s Decree No. 137/2013/ND-CP dated October 21, 2013 elaborating some Articles of the Law on Electricity and Law on amendments to some Articles of the Law on Electricity;

Pursuant to the Circular No. .../2017/TT-BCT dated … (date) … (month), 2017 of the Minister of Industry and Trade on procedures for issuance and revocation of electricity operating licenses;

In consideration of the application for issuance of electricity operating license submitted by ... (name of the applicant);

At the request of the Director of the Department of Industry and Trade,

HEREBY DECIDES:

Article 1. The electricity operating license is issued to:

1. Name of the applicant: ..................................................................................................

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3. Management and operation authority (regarding electricity generation, if any):

4. Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

or Establishment decision No. …….. dated (date) ... (month) ... (year) ...

5. Address of the head office: ………… Telephone: ………; Fax:………….. Email:..........

Article 2. Electricity-related areas

1. .........................................................................................................................................

2. .........................................................................................................................................

Article 3. Scope and duration of operation

Area 1: ................................................................................................................... ⁵

...

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...

Area 2: ...................................................................................................................

Until (date) ... (month) ... (year) ...

Article 6. Responsibilities of electricity unit issued with the license

... ... (the electricity unit issued with the license) shall comply with regulations specified in the Law on Electricity, Law on amendments to some Articles of the Law on Electricity and documents providing guidelines for implementation thereof, and other relevant regulations of law.

Article 7. Effect

This electricity operating license comes into force from the day on which it is signed./.

ON BEHALF OF THE PEOPLE’S COMMITTEE OF ….. CITY/PROVINCE
PRESIDENT
(Signature and seal)

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⁵ Specify detailed information about scope of each area. Regarding electricity generation, specify main operating parameters of the power plant (total capacity, main specifications of generating units, main transformers, booster substations, information about plant connection).

Specimen 2d

PEOPLE’S COMMITTEE OF ….. CITY/PROVINCE
DEPARTMENT OF INDUSTRY AND TRADE OF ... CITY/PROVINCE
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. …/GP-SCT

(Place name), date (dd/mm/yyyy) ….

ELECTRICITY OPERATING LICENSE

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Pursuant to the Decision No. … dated (date) ... (month) ... (year) ... of the People’s Committee’s of … province/city defining functions and tasks of the Department of Industry and Trade of … province/city;

Pursuant to the Law on Electricity dated December 03, 2004; Law on amendments to some Articles of the Law on Electricity dated November 20, 2012;

Pursuant to the Government’s Decree No. 137/2013/ND-CP dated October 21, 2013 elaborating some Articles of the Law on Electricity and Law on amendments to some Articles of the Law on Electricity;

Pursuant to the Circular No. .../2017/TT-BCT dated … (date) … (month), 2017 of the Minister of Industry and Trade on procedures for issuance and revocation of electricity operating licenses;

Pursuant to the Decision No. ... dated … (date) … (month) … of the People’s Committee of … on authorizing issuance of electricity operating licenses;

In consideration of the application for issuance of electricity operating license submitted by ... (name of the applicant);

At the request of the Head of ...,

HEREBY DECIDES:

Article 1. The electricity operating license is issued to:

...

...

...

2. Supervisory authority (if any): ..................................................................................

3. Management and operation authority (regarding electricity generation, if any):

4. Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

or Establishment decision No. …….. dated (date) ... (month) ... (year) ...

5. Address of the head office: ………………… Telephone: ……………; Fax:………….. Email: .................

Article 2. Electricity-related areas

1. .........................................................................................................................................

2. .........................................................................................................................................

Article 3. Scope and duration of operation

...

...

...

Until (date) ... (month) ... (year) ...

Area 2: ...................................................................................................................

Until (date) ... (month) ... (year) ...

Article 4. Responsibilities of electricity unit issued with the license

... ... (the electricity unit issued with the license) shall comply with regulations specified in the Law on Electricity, Law on amendments to some Articles of the Law on Electricity and documents providing guidelines for implementation thereof, and other relevant regulations of law.

Article 5. Effect

This electricity operating license comes into force from the day on which it is signed./.

...

...

...

___________________

⁶ Specify detailed information about scope of each area. Regarding electricity generation, specify main operating parameters of the power plant (total capacity, main specifications of generating units, main transformers, booster substations, information about plant connection).

Specimen 3a

LIST OF MANAGERIAL PERSONNEL AND MAIN CONSULTANTS ON ELECTRICITY

 (For provision of planning consulting, electricity investment consulting and electrical work construction supervision)

No.

Full name

Date of birth

...

...

...

Position

Qualification

Seniority (expressed as years)

Number of projects and works

Practice certificate

I.

Managerial personnel

1

...

...

...

2

...

...

...

4

...

...

...

5

...

...

...

II

Main consultants and consultants in charge

II. 1

Main consultants acting as consultants in charge

...

...

...

1

...

...

...

2

...

...

...

II.2

Main consultants

...

...

...

5

...

...

...

6

...

...

...

8

...

...

...

Specimen 3b

...

...

...

(For electricity generation, transmission, distribution, wholesale, retail, import and export)

No.

Full name

Date of birth

Place of origin

Position

Qualification

Seniority (expressed as years)

Note

...

...

...

Technical and business personnel

1

...

...

...

4

...

...

...

II

Team leaders of the power plant (regarding electricity generation, distribution and transmission)

1

...

...

...

2

...

...

...

3

...

...

...

4

...

...

...

6

...

...

...

Specimen 4a

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS SPECIFIED IN ELECTRICITY OPERATING LICENSE

Supervisory authority
(if any)
(Name of the reporting unit)
-------

...

...

...

No. …/….

(Place name), date (dd/mm/yyyy) ….

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS FOR ELECTRICITY GENERATION SPECIFIED IN ELECTRICITY OPERATING LICENSE OF … (specify year)

To:

- Electricity Regulatory Authority;
- Department of Industry and Trade of ... city/province

Name of the unit issued with the license: ...........................................................................

Supervisory authority (if any): ..................................................................................

Address of registered head office: ……….. Telephone:………Fax:……….; Email:.........

...

...

...

Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

Electricity operating license No. ……… issued by …………. on ...................... for the following areas:

- ……………….., effective until (date) ... (month) ... (year) ...

- ……………….., effective until (date) ... (month) ... (year) ...

Name of the plant issued with the operating license:

Installed capacity:

Voltage connected to national electricity system:

I. REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS SPECIFIED IN THE ELECTRICITY OPERATING LICENSE

1. Equipment and vehicles serving electricity generation (in the case of any change)

...

...

...

1.2. Detailed report on equipment in case changes affect rated capacity and main parameters of the plant (if any)

2. Technical and operating personnel, and team leaders

2.1. Technical and operating personnel

No.

Full name

Qualification

Seniority (expressed as years)

Note

1

...

...

...

...

2.2. Team leaders

...

...

...

Full name

Qualification

Number and issuance date of the operation certificate

Number and issuance date of decision on recognition of team leader

Note

1

...

...

...

2

...

...

...

...

3. Information technology infrastructure, supervision and control system and data collection system in compliance with requirements for electricity system.

3.1. Communications system:

No.

Equipment

Not available

Disused

...

...

...

Note

1

Hotline

2

Telephone

...

...

...

3

Fax (or equivalent equipment)

...

...

...

Dispatch Information Management (DIM) system

...

...

...

...

3.2. SCADA system (applicable to the power plant that has a capacity of at least 10MW or is connected to at least 110 kV electrical grid or signs a connection agreement on SCADA installation)

- Connection to dispatching levels with control authority:

- Number of connected signals/total number of SCADA signals:

- Number of complete disconnections during the year:

- Total time of disconnection during the year (hour):

3.3. Electrical metering system:

No.

Equipment

...

...

...

Disused

Usable

Accuracy
(of meters, current transformers, voltage transformers)

Note

1

Main electrical metering system

...

...

...

2

Standby electrical metering system 1

3

...

...

...

4

Remote metering data collection system

...

...

...

Specify name of the units in charge of remote metering data collection

4. Information technology infrastructure serving electricity market (Regarding electricity market participants).

No.

System

Equipment (replacement and upgrade - if any)

Operation

Number of breakdowns

Total time of breakdowns

...

...

...

System connected to internal network of the electricity market

2

Price offering system

...

...

...

System for assisting in making payment in electricity market0}

…

...

...

...

List of equipment subject to strict requirements for occupational safety and its status

No.

Name of equipment

Operation status

Verification status

…

...

...

...

- Performance of duties by the units specified in the Decision on approval for environmental impact assessment report or written confirmation of environmental protection plan.

- Decision on approval for and adjustment to environmental impact assessment report or environmental protection plan.

7. Fire fighting and prevention system of the power plant:

- Maintenance of fulfillment of conditions for operation of equipment of the fire fighting and prevention system according to the fire fighting and prevention design and plan approved by a competent authority.

- Fire training and drill during the year according to the fire fighting and prevention plan approved by a competent authority.

8. Reservoir operation procedures (regarding the hydropower plant) approved by a competent authority:

Performance of duties by the units specified in the approved reservoir/inter-reservoir operation procedures (if any).

In the case of any amendments/adjustments, submit the application for amendments/adjustments together with a copy of the decision on approval for/adjustments to the reservoir operation procedures.

9. Safety management of hydroelectric dams, regarding hydropower plant.

...

...

...

- Report on testing of dam safety (if it is the due date for testing): consultancy shall carry out the testing and give testing results.

II. REPORT ON OPERATION

1. Power output and revenues of … (specify year)

2. Time of electricity generation halt (due to failure, implementation of repair or maintenance plan) during the year

Commitment to maintenance of conditions for electricity-related operations made by the unit: ...

(Name of the reporting unit) undertakes that the information contained in this report is completely truthful and takes legal responsibility for this report./.

HEAD
(Signature and seal)

...

...

...

Specimen 4b

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS FOR ELECTRICITY TRANSMISSION/ELECTRICITY DISTRIBUTION SPECIFIED IN ELECTRICITY OPERATING LICENSE

Supervisory authority
(if any)
(Name of the reporting unit)
-------

THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

No. …/….

(Place name), date (dd/mm/yyyy) ….

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS FOR ELECTRICITY TRANSMISSION/ELECTRICITY DISTRIBUTION SPECIFIED IN ELECTRICITY OPERATING LICENSE OF … (specify year)

To:

...

...

...

Name of the unit issued with the license: ................................................................................................

Supervisory authority (if any): ..................................................................................

Address of the head office: ………………… Telephone: ……………; Fax:………….. Email: .................

Address of representative office, transaction office (if any) : ……Telephone: …..Fax: ……; Email:....

Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

Electricity operating license No. ……… issued by …………. on ...................... for the following areas:

- ……………….., effective until (date) ... (month) ... (year) ...

Contents of the report:

1. Technical and operating personnel

...

...

...

Full name

Qualification

Seniority (expressed as years)

Note

...

...

...

...

3. Fire fighting and prevention:

- Maintenance of fulfillment of conditions for operation of equipment of the fire fighting and prevention system.

- Fire training, drill and fighting during the year.

4. Report on power output and revenues from electricity transmission (regarding the transmission network operator).

Commitment to maintenance of conditions for electricity-related operations made by the unit: ...

(Name of the reporting unit) undertakes that the information contained in this report is completely truthful and takes legal responsibility for this report./.

HEAD
(Signature and seal)

...

...

...

Specimen 4c

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS FOR ELECTRICITY WHOLESALE/ELECTRICITY DISTRIBUTION AND RETAIL/ELECTRICITY IMPORT AND EXPORT SPECIFIED IN ELECTRICITY OPERATING LICENSE

Supervisory authority
(if any)
(Name of the reporting unit)
-------

CỘNG HÒA XÃ HỘI CHỦ NGHĨA VIỆT NAM
Independence - Freedom - Happiness
---------------

No. …/….

(Place name), date (dd/mm/yyyy) ….

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS FOR ELECTRICITY WHOLESALE/ELECTRICITY DISTRIBUTION AND RETAIL/ELECTRICITY IMPORT AND EXPORT SPECIFIED IN ELECTRICITY OPERATING LICENSE AND ELECTRICITY-RELATED OPERATION OF … (specify year)

To:

...

...

...

Name of the unit issued with the license: ..........................................................................

Supervisory authority (if any): ..................................................................................

Address of the head office: ………… Telephone: …………; Fax:………. Email: ...............

Address of representative office, transaction office (if any) : ……Telephone: …..Fax: ……; Email:....

Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

Electricity operating license No. ……… issued by …………. on ...................... for the following areas:

- ……………….., effective until (date) ... (month) ... (year) ...

- ……………….., effective until (date) ... (month) ... (year) ...

Contents of the report:

...

...

...

No.

Full name

Qualification

Seniority (expressed as years)

Note

1

...

...

...

...

2. The maintenance by operating personnel.

3. Information technology infrastructure serving electricity market (if any).

4. Fire fighting and prevention:

- Maintenance of fulfillment of conditions for operation of equipment of the fire fighting and prevention system.

...

...

...

5. Electricity-related operation.

No.

Contents

Unit

Data

1

Operate in the areas of electricity wholesale/electricity distribution and retail/electricity import and export specified in electricity operating license

...

...

...

Power production

kWh

Power production sold

kWh

Revenue

...

...

...

Costs of electricity production and sale

VND

Profit/loss (before tax)

VND

...

...

...

Others

Revenue

VND

Costs

...

...

...

Profit/loss (before tax)

VND

Commitment to maintenance of conditions for electricity-related operations made by the unit: ...

(Name of the reporting unit) undertakes that the information contained in this report is completely truthful and takes legal responsibility for this report./.

...

...

...

Specimen 4d

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS FOR PROVISION OF ELECTRICITY CONSULTING SERVICES SPECIFIED IN ELECTRICITY OPERATING LICENSE

Supervisory authority
(if any)
(Name of the reporting unit)
-------

THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------

No. …/….

(Place name), date (dd/mm/yyyy) ….

REPORT ON MAINTENANCE OF FULFILLMENT OF CONDITIONS FOR PROVISION OF ELECTRICITY CONSULTING SERVICES SPECIFIED IN ELECTRICITY OPERATING LICENSE OF … (specify year)

...

...

...

- Electricity Regulatory Authority;
- Department of Industry and Trade of ... city/province

Name of the unit issued with the license: ...........................................................................

Supervisory authority (if any): ..................................................................................

Address of the head office: ………… Telephone: …………; Fax:……….. Email: .............

Address of representative office, transaction office (if any) : ……Telephone: …..Fax: ……; Email:....

Enterprise registration certificate issued by ..., enterprise ID number…………, registered for the … time on (date) ... (month) ... (year) ...

Electricity operating license No. ……… issued by …………. on ...................... for the following areas:

- ……………….., effective until (date) ... (month) ... (year) ...

- ……………….., effective until (date) ... (month) ... (year) ...

...

...

...

1. List of managerial personnel and main consultants:

No.

Full name

Year of birth

Qualification

Seniority (expressed as years)

Practice certificate
(specify areas and effective period)

Projects in charge

I

...

...

...

1

..

...

...

...

II

Main consultants

1

...

...

...

2

...

...

...

..

2. List of software used for provision of consulting services.

3. List of equipment used for provision of consulting services.

...

...

...

Commitment to maintenance of conditions for electricity-related operations made by the unit: ...

(Name of the reporting unit) undertakes that the information contained in this report is completely truthful and takes legal responsibility for this report./.

HEAD
(Signature and seal)