Thông tư 21/2020/TT-BCT trình tự thủ tục cấp giấy phép hoạt động điện lực

CIRCULAR

PROCEDURES FOR ISSUANCE OF ELECTRICITY LICENSES

Pursuant to the Government’s Decree No. 98/2017/ND-CP dated August 18, 2017 defining the Functions, Tasks, Powers and Organizational Structure of the Ministry of Industry and Trade; 

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

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

Pursuant to the Government’s Decree No. 08/2018/ND-CP dated January 15, 2018 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

Pursuant to the Government’s Decree No. 17/2020/ND-CP dated February 05, 2020 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

At the request of the General Director of the Electricity Regulatory Authority of Vietnam;

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Chapter I

GENERAL PROVISIONS

Article 1. Scope

This Circular provides for procedures for issuance of electricity licenses and validity of electricity licenses regarding the following activities: 

1. Electrical consulting services, including:

a) Consultancy on design of electricity works, including: hydroelectric power, wind power, solar power, thermal power (coal, gas, oil, biomass and solid waste), transmission lines and substations;

b) Consultancy on supervision of construction of electricity works, including: hydroelectric power, wind power, solar power, thermal power (coal, gas, oil, biomass and solid waste), transmission lines and substations.

2. Electricity generation.

3. Electricity transmission.

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5. Electricity wholesaling.

6. Electricity retailing.

Article 2. Regulated entities

This Circular applies to entities that engage in the following electricity fields, including: electrical consulting services, electricity generation, transmission, distribution, wholesaling and retailing.

Article 3. Electricity license exemptions

1. Generation of electricity for serving domestic consumption without selling electricity to any other entities.

2. Generation of electricity with an installed capacity of not exceeding 01 MW for selling to any other entities.

3. Electricity traders in rural, mountainous or island regions that purchase electricity with a capacity of not exceeding 50 kVA from the electrical distribution grid for selling directly to consumers in such rural, mountainous or island regions.

4. Dispatch of the national power system and management of transactions in the electricity market. 

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1. Before the operation of the competitive electricity retail market, an electricity license shall cover both electricity retailing and electricity distribution, except the case in Clause 2 of this Article.

2. If an electricity generator applies for a license to retail electricity by using its own electrical grid without purchasing electricity supplied from the national electrical grid, an electricity license shall be issued to cover both electricity retailing and electricity generation. 

3. An electricity generation license shall be valid for running a power plant only.

4. Maximum validity periods of electricity licenses are provided for as follows:

No.

Electricity fields

Validity

1

Electrical consulting services

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2

Electricity generation

a)

A power plant that is included in the list of large-scale power plants having special importance in socio-economic, national defense and security aspects approved by the Prime Minister

20 years

b)

A power plant that is not included in the list of large-scale power plants having special importance in socio-economic, national defense and security aspects approved by the Prime Minister

10 years

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Electricity transmission

20 years

4

Electricity distribution

10 years

5

Electricity wholesaling, electricity retailing

10 years

5. In case of renaming, relocation of headquarters, or transfer of assets, the validity period of the issued electricity license shall correspond to that of the former license.

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7. Based on actual conditions of each electricity work item, the licensing authority may consider granting an electricity license with a validity period shorter than the corresponding one prescribed in Clause 4 of this Article.

Article 5. Scope of an electricity license

1. A license for electrical consulting services is valid nationwide.

2. The scope of an electricity transmission or electricity distribution license corresponds to the management and operation scope of each specific electrical grid.

3. An electricity wholesaling or retailing license is valid within a prescribed region.

4. An electricity generation license is valid for each power plant.

Chapter II

APPLICATION AND PROCEDURES FOR ISSUANCE OF ELECTRICITY LICENSES

Article 6. Application for a license for electrical consulting services

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2. The copy of the applicant’s enterprise registration certificate, establishment decision or certificate of incorporation (in case of unavailability of the enterprise registration certificate).

3. The list of consultants holding leader and chief supervisor titles and other consultants made according to Form 3a in the Appendix enclosed herewith; copies of bachelor’s degrees or higher, construction practicing certificates, and definite- or indefinite-term employment contracts of consultants.

4. Documents proving experience of consultants (appointment decisions or certificates issued by managers of projects that they have participated in or other documents of equivalent validity).

Article 7. Application for an electricity generation license

An application for an electricity generation license includes:
1. The application form for electricity license made according to Form No. 01 in the Appendix enclosed herewith.

2. The copy of the applicant’s enterprise registration certificate, establishment decision or certificate of incorporation (in case of unavailability of the enterprise registration certificate).

3. The list of technical managers and shift leaders of the power plant made according to Form No. 3b in the Appendix enclosed herewith; copies of their academic qualifications and employment contracts signed with investor or operator of the power plant; certificates of completion of safety training courses and operation certificates issued to the listed shift leaders by competent power load dispatch units according to the National load dispatch procedures adopted by the Ministry of Industry and Trade.

4. The copy of the decision on approval for the power plant investment guidelines or the investment project issued by a competent authority.

5. The copy of the decision on approval for the environmental impact assessment report or the written certification of the environmental protection plan for the power plant investment project issued by a competent authority in accordance with the Law on Environment.

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7. The copy of the acceptance test report on the installed generating set or solar panel system; the copy of the document indicating main parameters of the power plant (including turbine, generator or solar panel, solar converter and main transformer).   

8. The copy of the acceptance test report on the installed IT infrastructure system and telecom infrastructure system serving the operation of the electricity market; the copy of the acceptance test report on the installed SCADA system serving the operation of electricity network and electricity market (if the power plant participates in the electricity market).

9. The copy of the acceptance test report on hydroelectric dam; the hydroelectric dam and reservoir protection plan, disaster response plan, and emergency response plan (regarding a hydroelectric power plant).

10. If a power plant or generating set is not grid-tied and generates electricity for selling to customers in case of the national grid’s failure, the application shall not include the document in Clause 8 of this Article.  

Article 8. Application for an electricity transmission or distribution license

An application for an electricity transmission or distribution license includes:
1. The application form for electricity license made according to Form No. 01 in the Appendix enclosed herewith.

2. The copy of the applicant’s enterprise registration certificate, establishment decision or certificate of incorporation (in case of unavailability of the enterprise registration certificate).

3. The list of technical managers and shift leaders made according to Form No. 3b in the Appendix enclosed herewith; copies of their academic qualifications; certificates of completion of safety training courses or electrical safety cards as prescribed in Article 64 of the Law on Electricity, and operation certificates issued to the listed shift leaders by competent power load dispatch units according to the National load dispatch procedures adopted by the Ministry of Industry and Trade.

4. The list of key electrical grid works managed by the applicant and scopes thereof. In case of purchase, acquisition or transfer of the electrical grid without capital recovery, the acceptance test report on the grid works or the asset transfer record is required.

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Article 9. Application for an electricity wholesaling or retailing license

An application for an electricity wholesaling or retailing license includes:
1. The application form for electricity license made according to Form No. 01 in the Appendix enclosed herewith.

2. The copy of the applicant’s enterprise registration certificate, establishment decision or certificate of incorporation (in case of unavailability of the enterprise registration certificate).

3. The list of executive managers made according to Form No. 3b in the Appendix enclosed herewith; copies of their academic qualifications.

Article 10. Application for modification of an electricity license

1. In case of renaming or relocation of its headquarters, the license holder must submit an application which includes:

a) The application form for electricity license made using the Form No. 01 provided in the Appendix enclosed herewith;

b) The copy of the applicant’s enterprise registration certificate, establishment decision or certificate of incorporation (in case of unavailability of the enterprise registration certificate).

2. In case of transfer of an electricity work by an electricity license holder, the transferee shall submit an application for electricity license which includes:

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b) The copy of the applicant’s enterprise registration certificate, establishment decision or certificate of incorporation (in case of unavailability of the enterprise registration certificate);

c) Documents proving the transfer of electricity work; documents proving personnel transfer or about technical managers, operation managers and consultants as prescribed in Clause 3 Article 6, Clause 3 Article 7, Clause 3 Article 8, Clause 3 Article 9 hereof, if there are any changes in personnel.

Article 11. Procedures for issuance and modification of electricity licenses

1. At least 15 working days before its planned date of official commercial operation, the entity engaging in electricity distribution must submit an application for electricity license which must have adequate documents as required.

2. An applicant for issuance or modification of an electricity license shall submit an application which includes adequate documents as required in Chapter II hereof to the competent licensing authority and assume responsibility for the accuracy and truthfulness of the submitted application.

3. Forms of application submission:

a) Applications under the licensing authority of the Ministry of Industry and Trade or the Electricity Regulatory Authority of Vietnam shall be submitted through the online public service portal by accessing https://dichvucong.moit.gov.vn. Documents of large-size files or documents which cannot be sent electronically as prescribed by law may be submitted directly or by post. b) Applications under the licensing authority of provincial people’s committees shall be submitted directly or by post or through the websites of the licensing authorities (if available). 4. Procedures for issuance and modification of an electricity license online:

a) The online application shall be prepared according to guidelines available on the online public service portal of the Ministry of Industry and Trade. To be specific:

- The applicant shall register for a user account on the online public service portal of the Ministry of Industry and Trade, and use the registered account to make required declarations and submit the application online;

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- Within a maximum period of 15 working days from the receipt of the satisfactory application through the online public service portal of the Ministry of Industry and Trade, the licensing authority shall examine and verify the received application and issue the electricity license to the qualified applicant;

- In case of modification of an electricity license, within 07 working days from the receipt of the satisfactory application, as prescribed in Article 10 hereof, through the online public service portal of the Ministry of Industry and Trade, the licensing authority shall examine and verify the received application and issue the electricity license to the qualified applicant.

b) Provincial people’s committees shall give guidelines for online issuance of electricity licenses within their competent (if applicable) in conformity with regulations herein.

5. Procedures for issuance and modification of an electricity license not through the online public service portal:

a) Within 03 working days from the receipt of the application for issuance or modification of electricity license, the licensing authority shall inform the applicant in writing if the application is inadequate or unsatisfactory. Such written notification should indicate reasons and documents to be modified or additionally provided, and other necessary information; 

b) Within 60 working days from the receipt of the request for modification of the application from the licensing authority, the applicant shall give a written response and provide additional documents as requested. Over the said time limit, if the applicant fails to modify the application as requested, the licensing authority is entitled to return the received application;

c) Within 15 working days from the receipt of the satisfactory application, the licensing authority shall examine and verify the received application and issue the electricity license to the qualified applicant, except the case in Point d of this Clause;

d) In case of modification of an electricity license, within 07 working days from the receipt of the satisfactory application as prescribed in Article 10 hereof, the licensing authority shall examine and verify the received application and issue the electricity license to the qualified applicant.

6. An electricity license shall be issued in 03 originals of which 01 original is delivered to the license holder and 02 others are kept by the licensing authority.

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Chapter III

POWER TO ISSUE AND MANAGE ELECTRICITY LICENSES

Article 12. Power to issue electricity licenses

1. The power to issue electricity licenses of the Ministry of Industry and Trade and the Electricity Regulatory Authority of Vietnam is prescribed in Clause 19 Article 3 of the Government’s Decree No. 17/2020/ND-CP dated February 05, 2020.

2. Provincial People’s Committees shall directly issue or authorize Provincial Departments of Industry and Trade to issue electricity licenses in the following fields:

a) Electricity generation by a power plant that has a capacity of less than 03 MW and is located in the province;

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

c) Electricity retailing with a voltage up to 0,4 kV in the province;

d) Electrical consulting services, including:

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- Consultancy on supervision of construction of transmission lines and electrical substations with a voltage up to 35 kV provided by an enterprise that has been registered with the provincial authority.

Article 13. Responsibility of licensing authorities

1. Receive, verify, check and manage applications for electricity licenses. Instruct applicants to follow procedures for application for electricity licenses as prescribed herein.

2. Settle complaints about electricity licenses within their competence.

3. Modify the issued electricity licenses if they have mistakes.

4. Inspect the maintenance of fulfillment of licensing requirements by license holders.

5. Revoke electricity licenses which they have issued.

6. Send decision on revocation of electricity license to the electricity unit whose electricity license is revoked and relevant authorities; disclose information about such license revocation on the website of the licensing authority within 02 working days from the issue date of the revocation decision.

Article 14. Responsibility of an electricity license holder

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2. Apply for modification of the electricity license within 30 days from the occurrence of any changes in its name, headquarters, transaction office, business type, scope or validity of the electricity license.

3. Apply for modification of the electricity license in case a part of licensed operations or scope of the license is revoked.

4. Maintain the fulfillment of licensing requirements as prescribed by law during its operation, and comply with relevant laws. Comply with law regulations on firefighting and prevention in the fields of electricity generation, transmission and distribution.

5. Fully pay licensing fees as regulated by law.

6. Do not lease, lend or alter contents of the issued electricity license.

7. Before starting its commercial operation, the license holder that is an electricity generator must:

a) Enter into a power purchase agreement as prescribed (except for hydroelectric power plants included in the Prime Minister’s List of large-scale power plants which have special importance in socio-economic, national defense and security aspects and the Ministry of Industry and Trade’s List of power plants which operate in cooperation with large-scale power plants which have special importance in socio-economic, national defense and security aspects; hydroelectric power plants whose accounting is dependent to Power Corporations as defined in the written proposal of Vietnam Electricity);

b) Have SCADA system installed to serve the operation of electrical grids and electricity market as prescribed;

c) Have IT infrastructure system and telecom infrastructure system installed to serve the operation of electricity market (for power plants directly participating in the electricity market);

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8. Bear the inspection of competent authorities and comply with their decisions on penalties for violations concerning the license and fulfillment of licensing requirements as prescribed by law.

9. Keep the original of the issued electricity license at its headquarters and the copy thereof at its transaction office.

10. Within 30 days from the issue date of the electricity license, the license holder shall send the copy of the issued electricity license to the local electricity authority.

11. Fulfill reporting obligations. To be specific:

a) By March 01 each year, submit reports, whether directly or by post or by email, to the licensing authority and Provincial Department of Industry and Trade on performance of licensed operations in the previous year according to Form No. 4a, 4b, 4c and 4d in the Appendix enclosed herewith.

b) Submit a report, whether directly or by post, to the licensing authority at least 60 days before the planned date of suspension or transfer of licensed electricity operations;

c) Submit reports and provide adequate and accurate information at the request of the licensing authority or a competent authority.

10. At least 30 days before the expiry date of the electricity license, the license holder that wishes to continue its operations must apply for a new electricity license according to Clause 2 Article 11 hereof and carry out procedures for licensing as prescribed.

Article 15. Management and operation of a power plant which is leased to another entity, or by a hired or authorized unit

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2. The entity that leases the power plant or that is hired or assigned or authorized to manage and operate the power shall fulfill all obligations relating to the operation of the power plant under terms and conditions of the lease agreement or the written authorization granting power to manage and operate the power plant. 

Chapter IV

IMPLEMENTATION

Article 16. Inspection

1. The Electricity Regulatory Authority of Vietnam shall inspect the implementation of this Circular nationwide; respond to any queries concerning this Circular and propose amendments to this Circular to the Ministry of Industry and Trade.

2. Provincial people’s committees shall inspect the implementation of this Circular within their management scope; respond to any queries concerning this Circular and propose amendments to this Circular to the Ministry of Industry and Trade.

Article 17. Responsibility for implementation 

1. The Electricity Regulatory Authority of Vietnam shall receive and follow procedures for verifying applications for electricity license under the licensing authority of the Electricity Regulatory Authority of Vietnam and the Ministry of Industry and Trade.

2. Provincial Departments of Industry and Trade shall receive and follow procedures for verifying applications for electricity license under the licensing authority of Provincial people’s committees when they are authorized.  

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Article 18. Effect

1. This Circular comes into force from October 26, 2020. The Circular No. 36/2018/TT-BCT dated October 16, 2018 of the Minister of Industry and Trade and the Circular No. 15/2019/TT-BCT dated August 26, 2019 of the Minister of Industry and Trade shall cease to have effect from the effective date of this Circular.

2. In case an electricity license needs to be modified because of changes in name or headquarters or transfer of assets of the license holder, it shall be still valid until the new license is issued.

3. Electricity licenses issued before the effective date of this Circular shall be still valid until their expiration dates and holders of these licenses must strictly comply with regulations hereof and relevant laws promulgated after the licensing date./.

PP. MINISTER
DEPUTY MINISTER




Hoang Quoc Vuong

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SAMPLES OF ELECTRICITY LICENSES AND DOCUMENTS USED IN LICENSING
(Enclosed with the Circular No. 21/2020/TT-BCT dated September 09, 2020 of the Minister of Industry and Trade prescribing procedures for issuance of electricity licenses)

 No.

NAME OF DOCUMENT

Form No. 01

Application form for issuance/modification of electricity license

Form No. 2a

Electricity license issued by Ministry of Industry and Trade

Form No. 2b

Electricity license issued by Electricity Regulatory Authority of Vietnam

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Electricity license issued by People’s Committee of province or central-affiliated city

Form No. 2d

Electricity license issued by Provincial Department of Industry and Trade

Form No. 3a

List of electrical consultants

Form No. 3b

List of technical and operation managers

Form No. 4a

Report on electricity generation

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Report on electricity transmission and distribution 

Form No. 4c

Report on electricity wholesaling, distribution and retailing  

Form No. 4d

Report on provision of electrical consulting services 

Form No. 5

Report on issuance of electricity licenses in the province in previous year

Form No. 01

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  SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
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No.: …/…

…[place & date]

APPLICATION FORM

  For issuance/modification/re-issuance of electricity license

To: ¹...............................................................

Name of applicant:…………………………………………….……………………….

Name of the governing body (if any): ................................................................

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Transaction office (if any):……………… Tel.:………………….. Fax:......; Email:..........

Established under the Investment License/Establishment Decision No.:………………… dated…………………

Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………

Electricity license No.:……………………….. Issuing authority:………………………….. Date of issue:…………………….. (if available).

Business lines: .....................................................................

I/We hereby apply for an electricity license for the following activities, scope of operation and validity period:

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

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

Enclosed documents:

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

²……is kindly requested to issue an electricity license to…….. (name of applicant).  

...(Name of applicant) hereby undertakes to perform electricity activities within the licensed scope and strictly comply with provisions of the issued electricity license./.

HEAD OF APPLICANT
(signature and seal)

___________________

¹ Specify the authority in charge of receiving and performing procedures for appraisal of the application or the authority competent to issue the electricity license, including:  Provincial Department of Industry and Trade, Electricity Regulatory Authority of Vietnam, Provincial People's Committee or Ministry of Industry and Trade.

² Specify the authority competent to issue the electricity license, including: Provincial Department of Industry and Trade, Electricity Regulatory Authority of Vietnam, Provincial People's Committee or Ministry of Industry and Trade.

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Form No. 2a

MINISTRY OF INDUSTRY AND TRADE
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SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
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No.: ……… /GP-BCT

Hanoi, ………….………..[date]

  MINISTER OF INDUSTRY AND TRADE

Pursuant to the Government’s Decree No. 98/2017/ND-CP dated August 18, 2017 defining the Functions, Tasks, Powers and Organizational Structure of the Ministry of Industry and Trade; 

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

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

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Pursuant to the Government’s Decree No. 17/2020/ND-CP dated February 05, 2020 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

Pursuant to the Circular No. 21/2020/TT-BCT dated September 09, 2020 of the Minister of Industry and Trade prescribing procedures for issuance of electricity licenses;

In consideration of the application for electricity license submitted by………… (name of the applicant);

At the request of the General Director of the Electricity Regulatory Authority of Vietnam, ¹

Article 1. An electricity license is issued to:

1. Name of organization:......................................................................................................

2. Name of governing body (if any): ................................................................

3. Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………, or Establishment Decision No.:……………………. dated…………………….

4. Headquarters:……………………; Tel.:……………………………; Fax:............. Email:…………………………

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Article 2. Licensed activities

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

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

Article 3. Scope and validity period of the license

1. Activity 1: …………………………………………………………………………………..²

Validity period: until…………………..[date]

2. Activity 2: …………………………………………………………………………………..

Validity period: until…………………..[date]

Article 4. Rights of license holder

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2…..( Name of the license holder) shall have the rights specified in Article³…… of the Law on Electricity and other rights as prescribed by law,

Article 5. Obligations of license holder

1…..(Name of the license holder) shall perform licensed electricity activities after 06 months from the date of issue of the electricity license.

3……(Name of the license holder) shall not lease, lend or deliberately alter the contents of the electricity license.

4……..(Name of the license holder) shall participate in the electricity market in accordance with regulations on operation of electricity market adopted by the Ministry of Industry and Trade.

5……..(Name of the license holder) shall submit reports as prescribed.

6……..(Name of the license holder) shall comply with regulations of Article⁴………….of the Law on Electricity, the Law on amendments to the Law on Electricity and their guiding documents.

Article 6. Effect

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

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MINISTER
(signature and seal)

___________________

¹ In case the legislative documents which are grounds for issuing the license are amended or superseded, the new ones shall be considered as grounds for issuing the license.

² Specify the scope of each licensed electricity activity; regarding the electricity generation, main parameters of the power plant (including total capacity, main technical parameters of generating set, main transformer, step-up substation and information about power plant connection).

³ Specify the heading of Article on rights of the license holder corresponding to the licensed electricity activity.

⁴Specify the heading of Article on obligations of the license holder corresponding to the licensed electricity activity.

Form No. 2b

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SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
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No.:    /GP-DTDL

Hanoi, ………….………..[date]

  GENERAL DIRECTOR OF ELECTRICITY REGULATORY AUTHORITY OF VIETNAM

Pursuant to the Decision No. 3771/QD-BCT dated October 02, 2017 of the Minister of Industry and Trade defining Functions, Tasks, Powers and Organizational Structure of Electricity Regulatory Authority of Vietnam;

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

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

Pursuant to the Government’s Decree No. 08/2018/ND-CP dated January 15, 2018 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

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Pursuant to the Circular No. 21/2020/TT-BCT dated September 09, 2020 of the Minister of Industry and Trade prescribing procedures for issuance of electricity licenses;

In consideration of the application for electricity license submitted by………… (name of the applicant);

At the request of the Head of Licensing and Public Relations Department,¹

Article 1. An electricity license is issued to:

1. Name of organization:......................................................................................................

2. Name of governing body (if any): ................................................................

3. Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………, or Establishment Decision No.:……………………. dated…………………….

4. Headquarters:……………………; Tel.:……………………………; Fax:............. Email:…………………………

Transaction office (if any):……………… Tel.:………………….. Fax:......; Email:..........

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

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

Article 3. Scope and validity period of the license

Activity 1: ..........................................................................................................²

Validity period: until…………………..[date]

Activity 2: …………………………………………………………………………………..

Validity period: until…………………..[date]

Article 4. Rights of license holder

1…..(Name of the license holder) is allowed to perform licensed electricity activities within the scopes specified in this license.

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Article 5. Obligations of license holder

1…..(Name of the license holder) shall perform licensed electricity activities after 06 months from the date of issue of the electricity license.

2 …..(Name of the license holder) shall maintain its fulfillment of licensing requirements as prescribed by law during its operation.

3……( Name of the license holder) shall not lease, lend or deliberately alter the contents of the electricity license.

4……..(Name of the license holder) shall participate in the electricity market in accordance with regulations on operation of electricity market adopted by the Ministry of Industry and Trade.

5……..(Name of the license holder) shall submit reports as prescribed.

6……..(Name of the license holder) shall comply with regulations of Article⁴………….of the Law on Electricity, the Law on amendments to the Law on Electricity and their guiding documents.

Article 6. Effect

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

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GENERAL DIRECTOR
(signature and seal)

____________________

¹ In case the legislative documents which are grounds for issuing the license are amended or superseded, the new ones shall be considered as grounds for issuing the license.

² Specify the scope of each licensed electricity activity; regarding the electricity generation, main parameters of the power plant (including total capacity, main technical parameters of generating set, main transformer, step-up substation and information about power plant connection).

³ Specify the heading of Article on rights of the license holder corresponding to the licensed electricity activity.

⁴ Specify the heading of Article on obligations of the license holder corresponding to the licensed electricity activity.

Form No. 2c

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SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------

No.: ……… /GP-UBND

...,  [place & date]

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

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

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

Pursuant to the Government’s Decree No. 08/2018/ND-CP dated January 15, 2018 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

Pursuant to the Government’s Decree No. 17/2020/ND-CP dated February 05, 2020 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

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In consideration of the application for electricity license submitted by………… (name of the applicant);

At the request of Director of the Provincial Department of Industry and Trade, ¹

Article 1. An electricity license is issued to:

1. Name of organization:......................................................................................................

2. Name of governing body (if any): ................................................................

3. Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………, or Establishment Decision No.:……………………. dated…………………….

4. Headquarters:……………………; Tel.:……………………………; Fax:............. Email:…………………………

Transaction office (if any):……………… Tel.:………………….. Fax:......; Email:..........

Article 2. Licensed activities

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

Article 3. Scope and validity period of the license

Activity 1: ..........................................................................................................²

Validity period: until…………………..[date]

Activity 2: ...........................................................................................................

Validity period: until…………………..[date]

Article 4. Rights of license holder

1…..(Name of the license holder) is allowed to perform licensed electricity activities within the scopes specified in this license.

2…..(Name of the license holder) shall have the rights specified in Article³…… of the Law on Electricity and other rights as prescribed by law.

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1…..(Name of the license holder) shall perform licensed electricity activities after 06 months from the date of issue of the electricity license.

2 …..(Name of the license holder) shall maintain its fulfillment of licensing requirements as prescribed by law during its operation.

3……( Name of the license holder) shall not lease, lend or deliberately alter the contents of the electricity license.

4……..(Name of the license holder) shall participate in the electricity market in accordance with regulations on operation of electricity market adopted by the Ministry of Industry and Trade.

5……..(Name of the license holder) shall submit reports as prescribed.

6……..(Name of the license holder) shall comply with regulations of Article⁴………….of the Law on Electricity, the Law on amendments to the Law on Electricity and their guiding documents.

Article 6. Effect

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

...

...

...

ON BEHALF OF PEOPLE’S COMMITTEE OF PROVINCE/CITY……..
CHAIRPERSON
(signature and seal)

____________________

¹ In case the legislative documents which are grounds for issuing the license are amended or superseded, the new ones shall be considered as grounds for issuing the license.

² Specify the scope of each licensed electricity activity; regarding the electricity generation, main parameters of the power plant (including total capacity, main technical parameters of generating set, main transformer, step-up substation and information about power plant connection).

³ Specify the heading of Article on rights of the license holder corresponding to the licensed electricity activity.

⁴ Specify the heading of Article on obligations of the license holder corresponding to the licensed electricity activity.

Form No. 2d

PEOPLE’S COMMITTEE OF PROVINCE/CITY……..
DEPARTMENT OF INDUSTRY AND TRADE OF PROVINCE/CITY…..
--------

...

...

...

No.: ……… /GP-SCT

 ..., [place & date]

Pursuant to Decision No…………dated…………of the People’s Committee of province/city….. stipulating functions, tasks, ….. of the Department of Industry and Trade or province/city……;

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

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

Pursuant to the Government’s Decree No. 08/2018/ND-CP dated January 15, 2018 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

Pursuant to the Government’s Decree No. 17/2020/ND-CP dated February 05, 2020 providing amendments to Decrees on investment and business requirements under state management of the Ministry of Industry and Trade;

Pursuant to the Circular No. 21/2020/TT-BCT dated September 09, 2020 of the Minister of Industry and Trade prescribing procedures for issuance of electricity licenses;

Pursuant to Decision No………dated……..of the People’s Committee of……..giving authorization to issue electricity licenses;

...

...

...

At the request of the Head of…….¹

Article 1. An electricity license is issued to:

1. Name of organization:......................................................................................................

2. Name of governing body (if any): ................................................................

3. Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………, or Establishment Decision No.:……………………. dated…………………….

4. Headquarters:……………………; Tel.:……………………………; Fax:............. Email:…………………………

Transaction office (if any):……………… Tel.:………………….. Fax:......; Email:..........

Article 2. Licensed activities

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

...

...

...

Article 3. Scope and validity period of the license

Activity 1: ..........................................................................................................²

Validity period: until…………………..[date]

Activity 2: ...........................................................................................................

Validity period: until…………………..[date]

Article 4. Rights of license holder

1…..(Name of the license holder) is allowed to perform licensed electricity activities within the scopes specified in this license.

2…..(Name of the license holder) shall have the rights specified in Article³…… of the Law on Electricity and other rights as prescribed by law.

Article 5. Obligations of license holder

...

...

...

2 …..(Name of the license holder) shall maintain its fulfillment of licensing requirements as prescribed by law during its operation.

3……( Name of the license holder) shall not lease, lend or deliberately alter the contents of the electricity license.

4……..(Name of the license holder) shall participate in the electricity market in accordance with regulations on operation of electricity market adopted by the Ministry of Industry and Trade.

5……..(Name of the license holder) shall submit reports as prescribed.

6……..(Name of the license holder) shall comply with regulations of Article⁴………….of the Law on Electricity, the Law on amendments to the Law on Electricity and their guiding documents.

Article 6. Effect

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

...

...

...

___________________

¹ In case the legislative documents which are grounds for issuing the license are amended or superseded, the new ones shall be considered as grounds for issuing the license.

² Specify the scope of each licensed electricity activity; regarding the electricity generation, main parameters of the power plant (including total capacity, main technical parameters of generating set, main transformer, step-up substation and information about power plant connection).

³ Specify the heading of Article on rights of the license holder corresponding to the licensed electricity activity.

⁴ Specify the heading of Article on obligations of the license holder corresponding to the licensed electricity activity.

Form No. 3a

LIST OF ELECTRICAL CONSULTANTS

 No.

...

...

...

Date of birth

Plce of origin

Personal identification number (if any)

Position

Professional level

Working experience in consulting services (years)

 Position held/ Project participated in 

Practicing certificate

I. Consultants holding the position of project manager or chief supervisor

...

...

...

...

...

...

1

...

...

...

2

...

...

...

3

...

...

...

...

...

...

...

Form No. 3b

LIST OF TECHNICAL AND OPERATION MANAGERS

(For electricity generation, transmission, distribution, wholesaling and retailing)

 No.

Full name

Date of birth

Place of origin

Personal identification number (if any)

...

...

...

Professional level

Working experience in the electricity field for which the license is applied

(years)

Notes

I.

Technical managers, sales managers 

1

...

...

...

2

...

...

...

...

...

...

...

II

Shift leaders (for electricity generation, distribution and transmission)

1

...

...

...

2

...

...

...

3

...

...

...

...

...

...

...

...

...

...

Form No. 4a

REPORT ON ELECTRICITY GENERATION 

(NAME OF GOVERNING BODY (if any))
(NAME OF REPORTING UNIT)
------

SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------

No.: ……./………..

..., [place & date]

...

...

...

 On electricity generation operations 

Year……¹

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

Name of licensed electricity unit: .................................................................................

Name of the governing body (if any): ................................................................

Headquarters: ……………. Tel.:………………….. Fax:………......; Email:..........

Representative office, transaction office (if any): Tel.:……….. Fax:......; Email:..........

Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………

Electricity license No.:……………………….. Issuing authority:………………………….. Date of issue:……………………..for performing the following electricity activities:

...

...

...

- .............................., valid until……………………..[date]

Name of licensed power plant:

Installed capacity of the power plant:

Voltage grade of the grid connected to the national electrical grids:

I. MAINTENANCE OF FULFILLMENT OF LICENSING REQUIREMENTS

1. Technological equipment and facilities serving electricity generation (if changed)

1.1 . Operational status of main equipment of the power plant:  Turbine, generator, main transformer, etc.

1.2 . Details about equipment if there are any changes that affect the rated generating capacity or main parameters of the power plant (if any)

2. Technical and operation managers, shift leaders

...

...

...

No.

Full name

Professional level

Working experience in electricity generation

Notes

1

...

...

...

...

2.2 . Shift leaders

No.

Full name

Professional level

...

...

...

Number and date of issue of decision on appointment of shift leader

Notes

1

2

...

...

...

...

...

...

...

3. IT infrastructure, control, supervision and data collection systems which meet requirements of electrical grids as prescribed by law.

3.1. Communication systems: 

No.

Equipment

Not available

Inactive

Active

Notes

1

...

...

...

2

Telephone

...

...

...

3

Fax machine (or similar equipment)

4

Dispatch instruction management (DIM) system

...

...

...

...

3.2 . SCADA system (for a power plant with a capacity of 10 MW or more or connected to the electrical grid with a voltage of 110 kV or more or in case the installation of SCADA system is included in the agreement on connection to electrical grids)

...

...

...

- Quantity of connection signals/total SCADA signals:

- Times of complete disconnection during the year:

- Total disconnection period (hours):

3.3 . Metering systems:

No.

Equipment

Not available

Inactive

Active

...

...

...

Notes

1

Primary metering system

2

...

...

...

3

Standby metering system 2

...

...

...

4

Remote metering data acquisition system

Names of remote metering data acquisition units 

...

...

...

No.

System

Status of equipment

(replaced, upgraded - if any)

Operational status

Times of failures

Total number of hours of failures

1

System serving connection to internal information system of the electricity market

...

...

...

2

Quotation system

3

Electricity market payment support system

...

...

...

...

5. Environmental impact assessment report and environmental protection plan of the electricity generation project approved or accepted by competent authorities

5.1. Performance of responsibilities specified in the Decision on approval for the environmental impact assessment report or written certification of the environmental protection plan.

...

...

...

6. The reservoir operation procedures of the hydroelectric power plant approved by a competent authority:

Performance of responsibilities specified in the approved reservoir operation procedures and inter-reservoir operation procedures (if any).

In case of revisions, copy of the decision on approval for revised reservoir operation procedures must be provided.

7. Management of hydroelectric dam safety of the hydroelectric power plant as prescribed by law.

7.1. Reporting on dam owner’s responsibilities for dam safety management, enclosed with: Decision on approval for dam protection plan; Disaster response plan and emergency response plan.

8. Implementation of regulations on replacement afforestation and payment for forest environmental services (for a hydroelectric power plant).

9. Implementation of other regulations of relevant laws as requested by competent authorities.

II. REPORTING ON OPERATIONS

1. Electrical production and revenue in the year……

...

...

...

Commitments on maintenance of electricity activities:  ...

(Name of reporting unit) hereby undertakes that all contents of this report are completely accurate and shall assume legal responsibility for such contents./.

HEAD OF REPORTING UNIT
(signature and seal)

___________________

¹ The report includes data collected from January 01 to December 31 of the reporting year.

Form No. 4b

...

...

...

(NAME OF GOVERNING BODY (if any))
(NAME OF REPORTING UNIT)
------

SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------

No.: ……./………..

..., [place & date]

REPORT

 On electricity transmission/distribution operations in the year…… ¹

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

Name of licensed electricity unit: .................................................................................

...

...

...

Headquarters: ……………. Tel.:………………….. Fax:………......; Email:..........

Representative office, transaction office (if any): Tel.:……….. Fax:......; Email:..........

Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………

Electricity license No.:……………………….. Issuing authority:………………………….. Date of issue:……………………..for performing the following electricity activities:

- .............................., valid until……………………..[date]

Reporting contents:

1. Technical and operation managers 

No.

Full name

...

...

...

Working experience in electricity transmission/ distribution

Notes

...

2. Fulfillment of requirements by operation officials.

3. Reporting on output and revenues earned from electricity transmission operations (of the electricity transmission unit).

...

...

...

Commitments on maintenance of electricity activities: ….

(Name of reporting unit) hereby undertakes that all contents of this report are completely accurate and shall assume legal responsibility for such contents./.

HEAD OF REPORTING UNIT
(signature and seal)

___________________

¹ The report includes data collected from January 01 to December 31 every year.

Form No. 4c

...

...

...

(NAME OF GOVERNING BODY (if any))
(NAME OF REPORTING UNIT)
-----------

SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------

No.: ……./………..

..., [place & date]

REPORT

On electricity wholesaling/ distribution and retailing in the year…..¹  

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

Name of licensed electricity unit: .................................................................................

...

...

...

Headquarters: ……………. Tel.:………………….. Fax:………......; Email:..........

Representative office, transaction office (if any): Tel.:……………; Fax:………......; Email:..........

Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………

Electricity license No.:……………………….. Issuing authority:………………………….. Date of issue:……………………..for performing the following electricity activities:

- .............................., valid until……………………..[date]

- .............................., valid until……………………..[date]

Reporting contents:

1. Sales managers and technical managers

No.

...

...

...

Professional level

Working experience in the field in which he/she holds the executive position

Notes

1

...

...

...

...

2. Fulfillment of requirements by operation officials.

3. Operational status of IT infrastructure systems serving the electricity market (if any).

4. Electricity activities performed during the year:

No.

Contents

Unit  

...

...

...

1

Licensed electricity wholesaling/retailing

Electricity generation

kWh

...

...

...

kWh

Electricity revenues

VND

Costs of electricity production and business

VND

...

...

...

Profit/loss (before tax)

VND

2

Other production and business activities

...

...

...

VND

Expenses

VND

Profit/loss (before tax)

VND

...

...

...

Commitments on maintenance of electricity activities:  ...

(Name of reporting unit) hereby undertakes that all contents of this report are completely accurate and shall assume legal responsibility for such contents./.

HEAD OF REPORTING UNIT
(signature and seal)

___________________

¹ The report includes data collected from January 01 to December 31 of the reporting year.

Form No. 4d

...

...

...

(NAME OF GOVERNING BODY (if any))
(NAME OF REPORTING UNIT)
-----------

SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------

No.: ……./………..

..., [place & date]

REPORT

  On provision of electrical consulting services in the year…..¹ 

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

Name of licensed electricity unit: .................................................................................

...

...

...

Headquarters: ……………. Tel.:………………….. Fax:………......; Email:..........

Representative office, transaction office (if any): Tel.:……………; Fax:………......; Email:..........

Enterprise registration certificate issued by.........................................., enterprise ID number:……………………………., …………….registration (time of registration) dated………………

Electricity license No.:……………………….. Issuing authority:………………………….. Date of issue:……………………..for performing the following electricity activities:

- .............................., valid until……………………..[date]

- .............................., valid until……………………..[date]

Reporting contents

1. List of managers and consultants: 

No.

...

...

...

Year of birth

(Personal identification number, if any)

Professional level

Working experience 

Practicing certificate (specify practicing field, validity period)

Position held/Project participated in

I

Managers

 1

...

...

...

..

...

...

...

II

Activity 1:…

Consultants holding the position of project manager or chief supervisor

...

...

...

Other consultants

1

...

...

...

...

...

...

...

Activity 2:…

Consultants holding the position of project manager or chief supervisor

...

...

...

Other consultants

1

...

...

...

2. List of works to which the reporting unit provided electrical consulting services during the year….

Commitments on maintenance of electricity activities: ….

(Name of reporting unit) hereby undertakes that all contents of this report are completely accurate and shall assume legal responsibility for such contents./.

...

...

...

HEAD OF REPORTING UNIT
(signature and seal)

____________________

^[1] The report includes data collected from January 01 to December 31 of the reporting year.

Form No. 5

REPORT ON PROVISION OF ELECTRICAL CONSULTING SERVICES 

PEOPLE’S COMMITTEE OF PROVINCE/CITY……..
DEPARTMENT OF INDUSTRY AND TRADE OF PROVINCE/CITY…..
--------

SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------

...

...

...

..., [place & date]

REPORT

  On issuance of electricity licenses in the province in the year….. ¹³

                       To:
                                   - Electricity Regulatory Authority of Vietnam;
- People’s Committee of province/city......

1. Issuance of electricity licenses

1.1. Quantity of electricity licenses issued during the year for each electricity activity (sorted by new licenses and modified licenses):

 No.

ACTIVITY

...

...

...

MODIFIED LICENSE

...

...

...

1.2. Quantity of licenses revoked in the previous year of each electricity activity (excluding the electricity licenses revoked due to modification or expiration). Reasons for revocation.

2. Inspection to ensure the maintenance of satisfaction of licensing requirements and compliance with provisions of electricity licenses by license holders

2.1. Method of inspection: Inspection method/reporting requirements or other methods are specified.

2.1. Regarding inspection method: The following contents are specified:

a) Number of inspections: Sorted by inspection types (planned and ad hoc inspections); list of inspected electricity units;

b) Contents of inspection;

...

...

...

d) Actions against violations:

- Total violation cases:

+ Settled violation cases;

+ Unsettled violations (with reasons specified);

- Methods of handling violations;

- Total cases, fines and compliance with penalty imposition decisions.

dd) Implementation of recommendations of inspection teams.

2.2. Regarding reporting method and other methods: Assessment of compliance with regulations of law by electricity units during their operations./.

...

...

...

HEAD OF REPORTING UNIT
(signature and seal)

____________________

^[1] The report includes data collected from January 01 to December 31 of the reporting year.