CIRCULAR

Amending and supplementing certain Articles of Circular No. 21/2020/TT-BCT dated September 9, 2020 issued by the Minister of Industry and Trade on

procedures and formalities for issuing power business licenses

Pursuant to the Electricity Law promulgated on December 3, 2004; the Law amending and supplementing certain provisions of the Electricity Law promulgated on November 20, 2012; the Law amending and supplementing certain provisions of the Public Investment Law, the Law on Investment under the Public-Private Partnership Model, the Investment Law, the Bidding Law, the Electricity Law, the Enterprise Law, the Special Consumption Tax Law, and the Civil Execution Law promulgated on January 11, 2022;
                                  

Pursuant to Decree No. 08/2018/NĐ-CP dated January 15, 2018 of the Government amending certain Decrees related to investment and business conditions within the scope of management of the Ministry of Industry and Trade;

Based on Decree No. 96/2022/NĐ-CP dated November 29, 2022 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

Based on Decree No. 137/2013/NĐ-CP dated October 21, 2013, issued by the Government, detailing the implementation of certain provisions of the Electricity Law and the Law Amending and Supplementing Certain Provisions of the Electricity Law;

Pursuant to Decree No. 17/2020/NĐ-CP dated February 5, 2020 of the Government amending and supplementing certain provisions of Decrees related to investment and business conditions within the scope of management of the Ministry of Industry and Trade;

The Minister of Industry and Trade issues this Circular amending and supplementing certain Articles of Circular No. 21/2020/TT-BCT dated September 9, 2020 of the Minister of Industry and Trade on procedures and formalities for issuing power business licenses.

At the proposal of the Director of the Electricity Regulatory Authority;

Article 1. Amending and supplementing certain Articles of Circular No. 21/2020/TT-BCT dated September 9, 2020 of the Minister of Industry and Trade on procedures and formalities for issuing power business licenses

1. Amending Clause 5 of Article 4 as follows:

"5. The term of the power business license shall be granted according to the term of the previous license in cases where the license is amended or supplemented due to changes in one of the contents recorded on the License, including name, address of headquarters, and scope of operation already licensed."

2. Amending Clause 3 and Clause 4 of Article 6 as follows:

"3. A list of key consultants responsible for the position of chief consultant, supervising consultant, and other consultants according to Model 3a stipulated in the Appendix attached hereto; copies of university diplomas or higher, certificates of practice in construction activities (for professions requiring such certificates under construction laws), documents proving work experience in consulting services (Work history statements with confirmation from employers or equivalent documents), employment contracts of definite or indefinite duration for consultants.

4. Documents proving the experience of consultants (Decisions assigning tasks or certificates of project sponsors confirming the completion of projects or equivalent documents)."

3. Amending Clause 3, Clause 4, and Clause 9 of Article 7 as follows:

"3. A list of key technical managers and shift leaders of power plants according to Model 3b stipulated in the Appendix attached hereto; copies of diplomas and employment contracts with investors or operating units for technical managers and shift leaders of power plants; documents proving work experience in power generation for technical managers (Work history statements with confirmation from employers or equivalent documents); documents on training results meeting safety requirements and certificates of dispatch control authority issued according to the National Power System Dispatching Procedures issued by the Ministry of Industry and Trade for shift leaders of power plants.

4. Copies of approval documents or investment decision-making approvals or investment certificates issued by competent authorities if required by investment laws or investment decisions made by investors; copies of planning approval documents for projects issued by competent authorities.

9. For hydropower plants: Copies of acceptance reports for hydropower dams, protection plans for dams and reservoirs, disaster response plans, emergency response plans, and safety inspection reports for dams (if the dam has reached its inspection deadline as prescribed)."

4. Amending Clause 3 and Clause 4 of Article 8 as follows:

"3. A list of key technical managers and shift leaders of transmission or distribution operations according to Model 3b stipulated in the Appendix attached hereto; copies of employment contracts and diplomas for technical managers and shift leaders; documents proving work experience in transmission or distribution operations for technical managers (Work history statements with confirmation from employers or equivalent documents); documents on training results meeting safety requirements or electrical safety cards as stipulated in Article 64 of the Electricity Law, and certificates of dispatch control authority issued according to the National Power System Dispatching Procedures issued by the Ministry of Industry and Trade for shift leaders of operations.

4. A list of power grid facilities (technological equipment, lines, substations) and their operational scope managed by the organization. Copies of acceptance reports for completed installation of power grid facilities (technological equipment, lines, substations). In cases of asset transfers, mergers, or handovers, acceptance reports or asset transfer documents must be provided. If power grid assets belong to multiple investors, agreements or authorizations from all owners for a single operating unit must be provided."

5. Amending Clause 3 of Article 9 as follows:

"3. A list of key business managers according to Model 3b stipulated in the Appendix attached hereto; copies of employment contracts and diplomas for individuals listed in the list; documents proving work experience in wholesale or retail electricity sales for business managers (Work history statements with confirmation from employers or equivalent documents)."

Article 10. Documents for requesting amendments and supplements to power business licenses

"6. Amend Article 10 as follows:"

"Article 10. Documents for requesting amendments and supplements to the power business operation permit"

1. In case of changing the name or address of the headquarters of the unit as provided for in Clause 2, Article 14 of this Circular, the application file shall include the following contents:

a) A request for issuance of an electricity business license according to Model 01 prescribed in the Appendix attached hereto;

b) A copy of the Enterprise Registration Certificate or Decision on Establishment, or Certificate of Establishment (for organizations without an Enterprise Registration Certificate) of the organization requesting the license.

2. In case the organization requesting the license receives the transfer of assets or reduces its scope of operation from a unit that has already been granted an electricity business license, the application file for amending the electricity business license shall include:

a) A request for issuance of an electricity business license according to Model 01 prescribed in the Appendix attached hereto;

b) A copy of the Enterprise Registration Certificate or Decision on Establishment or Certificate of Establishment (for organizations without an Enterprise Registration Certificate) of the organization requesting the license;

c) Documents proving the asset transfer; documents proving the personnel transfer or information about the direct technical management, operation management, and consulting experts team in accordance with the relevant provisions of Clause 3, Article 6, Clause 3, Article 7, Clause 3, Article 8, and Clause 3, Article 9 of this Circular in case there is a change in personnel."

7. Supplement Clause 3 of Article 12 as follows:

"3. In the case where the electricity business license for the retail electricity sector is issued concurrently with the distribution electricity sector, including sectors under the licensing authority of the Electricity Regulatory Authority, the issuing authority shall be the Electricity Regulatory Authority."

8. Amend and supplement some clauses of Article 14 as follows:

a) Amending Clause 2 as follows:

"2. Within thirty days from the date of change in the name or address of the headquarters recorded on the Enterprise Registration Certificate or Decision on Establishment or Certificate of Establishment of the unit (for organizations without an Enterprise Registration Certificate) on the already issued electricity business license or if there is a change in any of the following contents: type of activity, scope of activity, validity period of the already issued electricity business license, the electricity enterprise must complete the procedures for requesting amendments and supplements to the license."

b) Supplement Clause 7a after Clause 7 as follows:

"7a. Power generation units, transmission units, and distribution units must comply with all legal regulations on planning, land, construction, fire prevention and fighting, environment, connection, and other related legal regulations before officially putting power facilities into operation. For power facilities that must have a written approval of the acceptance results from the competent state management agency in accordance with the Construction Law, power generation units, transmission units, and distribution units must have a written approval of the completion acceptance results of the project components or construction works from the competent state management agency in accordance with the Construction Law before the power facility goes into commercial operation or is officially put into operation."

c) Amend Point a of Clause 11 as follows:

"a) Annually, the electricity enterprise (or the directly managing unit authorized to manage the operation of power facilities) must prepare a report on the operational situation in the licensed sector of the previous year according to Models 4a, 4b, 4c, and 4d prescribed in the Appendix attached hereto and submit it to the issuing authority of the electricity business license, the Department of Industry and Trade at the local level through one of the following methods: direct submission, submission via postal service, or submission via online method.

For cases of submitting reports to the Ministry of Industry and Trade or the Electricity Regulatory Authority via the online method: submit through the email system (address: [email protected]) or submit via the Ministry of Industry and Trade's public service portal. For cases of submitting reports to the People's Committee of the province or centrally-administered city, the local Department of Industry and Trade via the online method (if applicable), follow the guidance of the People's Committee of the province or centrally-administered city, the local Department of Industry and Trade. The electricity enterprise will be considered as having submitted the report late if the issuing authority of the electricity business license does not receive the report on the operational situation in the licensed sector of the previous year by the end of March each year;"

Article 2. Supplementing, replacing, and abolishing certain words and phrases in Article 14 and the attached forms of Circular No. 21/2020/TT-BCT on the procedures and formalities for issuing power business licenses.

1. Replace the number "10" with the number "12" in Clause 10 following Clause 11 of Article 14.

2. Supplement the following paragraph after the phrase "Pursuant to Circular No. 21/2020/TT-BCT dated September 9, 2020, issued by the Minister of Industry and Trade, stipulating the procedures and formalities for issuing power business licenses" in the basis section of Forms 2a, 2b, 2c, and 2d:

"Pursuant to Circular No. .../2023/TT-BCT dated ..., ..., 2023, issued by the Minister of Industry and Trade amending and supplementing certain provisions of Circular No. 21/2020/TT-BCT dated September 9, 2020, issued by the Minister of Industry and Trade stipulating the procedures and formalities for issuing power business licenses;"

3. Replace the phrase "after six months" with the phrase "at the latest six months" in Clause 1 of Article 5 of Forms 2a, 2b, 2c, and 2d.

Article 3. Implementation Provisions

1. This Circular takes effect from June 9, 2023.

2. Power units that have been granted power business licenses before the date this Circular takes effect shall continue to implement according to the contents and deadlines specified in the already issued licenses and must fulfill the responsibilities and obligations of licensed entities amended and supplemented by this Circular.

3. Power units that have changed their name or headquarters address in the Enterprise Registration Certificate or Establishment Decision or Establishment Certificate recorded on the already issued power business license, or have changed one of the following contents: type of operation, scope of operation, term of the already issued power business license prior to the effective date of Circular No. 21/2020/TT-BCT dated September 9, 2020, issued by the Minister of Industry and Trade stipulating the procedures and formalities for issuing power business licenses, must complete the procedure to request amendment and supplementation of the license within sixty days from the date this Circular takes effect.

4. During implementation, if any difficulties arise, organizations and individuals concerned shall reflect them to the Electricity Regulatory Authority for consideration and resolution within its authority or report to the Ministry of Industry and Trade for resolution./.

DEPUTY MINISTER

DEPUTY HEAD

(Signed)

                                                                                                    Dang Hoang An