Circular No. 25/2013/TT-BCT stipulates the procedures and formalities for issuing, extending, amending, supplementing, revoking, and the validity period of power operation licenses.

CIRCULAR

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

Pursuant to the Electricity Law dated December 3, 2004; and the Law Amending and Supplementing Certain Provisions of the Electricity Law dated November 20, 2012;

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;

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

Bộ trưởng Bộ Công Thương ban hành Thông tư quy định về trình tự, thủ tục cấp, gia hạn, sửa đổi, bổ sung, thu hồi và thời hạn của giấy phép hoạt động điện lực.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

1. Thông tư này quy định về trình tự, thủ tục cấp, gia hạn, sửa đổi, bổ sung, thu hồi, thời hạn và mẫu của giấy phép hoạt động điện lực.

2. Thông tư này áp dụng đối với tổ chức, cá nhân tham gia các lĩnh vực hoạt động điện lực sau:

a) Tư vấn chuyên ngành điện lực bao gồm:

- Tư vấn quy hoạch phát triển điện lực quốc gia; Tư vấn quy hoạch phát triển điện lực tỉnh, thành phố trực thuộc trung ương và Tư vấn quy hoạch thủy điện;

- Tư vấn đầu tư xây dựng công trình nhà máy điện; Tư vấn đầu tư xây dựng công trình đường dây và trạm biến áp;

- Tư vấn giám sát thi công công trình nhà máy điện; Tư vấn giám sát thi công công trình đường dây và trạm biến áp;

b) Phát điện;

c) Truyền tải điện;

d) Phân phối điện;

đ) Bán buôn điện;

e) Bán lẻ điện;

g) Xuất, nhập khẩu điện.

Điều 2. Trường hợp miễn trừ giấy phép hoạt động điện lực

1. Power generation for self-use without selling electricity to other organizations or individuals.

2. Generating electricity with installed capacity under 50 kW to sell electricity to other organizations and individuals.

3. Kinh doanh điện tại vùng nông thôn, miền núi, hải đảo mua điện với công suất nhỏ hơn 50 kVA từ lưới điện phân phối để bán điện trực tiếp tới khách hàng sử dụng điện tại vùng nông thôn, miền núi, hải đảo.

4. System dispatching of national electricity and market operation of electricity trading.

Điều 3. Nguyên tắc cấp giấy phép hoạt động điện lực

1. Giấy phép hoạt động điện lực chỉ cấp cho tổ chức, cá nhân đáp ứng đủ các điều kiện đối với từng lĩnh vực được quy định tại Nghị định số 137/2013/NĐ-CP ngày 21 tháng 10 năm 2013 của Chính phủ quy định chi tiết thi hành một số điều của Luật Điện lực và Luật sửa đổi, bổ sung một số điều của Luật Điện lực và tuân thủ quy định tại Thông tư này.

2. Giấy phép hoạt động điện lực được cấp cho tổ chức, cá nhân để thực hiện một hoặc nhiều lĩnh vực hoạt động điện lực sau: Tư vấn chuyên ngành điện lực, truyền tải điện, phân phối điện, bán buôn điện, bán lẻ điện và xuất, nhập khẩu điện.

3. Giấy phép phát điện được cấp cho tổ chức để thực hiện hoạt động phát điện đối với từng nhà máy điện.

Điều 4. Nguyên tắc thu hồi giấy phép hoạt động điện lực

1. Giấy phép hoạt động điện lực bị thu hồi trong trường hợp đơn vị điện lực vi phạm Điều 37 Luật Điện lực; có nhu cầu ngừng hoạt động hoặc chuyển giao hoạt động được cấp phép cho đơn vị khác.

2. An electricity business license shall be revoked according to the specific business area and scope of operation.

3. The licensing authority has the right to revoke the Power Generation Business License within its licensing jurisdiction.

Điều 5. Thời hạn của giấy phép hoạt động điện lực

Giấy phép hoạt động điện lực được cấp có thời hạn khác nhau cho các lĩnh vực hoạt động điện lực căn cứ vào phạm vi hoạt động, loại công trình điện, thời hạn đăng ký, năng lực, trình độ chuyên môn của đơn vị hoạt động điện lực nhưng không vượt quá thời hạn được quy định ở Bảng sau:

Điều 6. Phạm vi hoạt động của giấy phép hoạt động điện lực

1. A specialized power consulting license has a nationwide scope of operation.

2. A power generation license has a scope of operation for each power plant.

3. A power transmission and distribution license has a scope of operation within the specific power grid management and operation area.

4. Giấy phép bán buôn, bán lẻ điện có phạm vi hoạt động theo phạm vi địa giới hành chính cụ thể.

5. An importing and exporting electricity license has a scope of operation within the specific area of electricity delivery and receipt points.

Điều 7. Lệ phí và phí thẩm định cấp giấy phép hoạt động điện lực

1. Tổ chức, cá nhân được cấp giấy phép hoạt động điện lực phải nộp lệ phí cấp giấy phép và phí thẩm định cấp giấy phép hoạt động điện lực theo quy định của pháp luật.

2. Cơ quan cấp giấy phép hoạt động điện lực được sử dụng lệ phí cấp giấy phép và phí thẩm định cấp giấy phép hoạt động điện lực để phục vụ cho công tác thẩm định, cấp giấy phép, kiểm tra và quản lý sử dụng giấy phép hoạt động điện lực. Việc thu, nộp và sử dụng lệ phí cấp giấy phép, phí thẩm định cấp giấy phép hoạt động điện lực thực hiện theo quy định của pháp luật.

Chapter II

HỒ SƠ ĐỀ NGHỊ CẤP, GIA HẠN, SỬA ĐỔI, BỔ SUNG GIẤY PHÉP HOẠT ĐỘNG ĐIỆN LỰC

Article 8. Documents for Application to Issue, Amend, or Supplement a Specialized Electricity Consulting Permit

1. A request document for issuing, amending, or supplementing an electricity business permit (in accordance with the form attached as Appendix 1 to this Circular).

2. Certified true copy of the Business Registration Certificate, Decision on Establishment, or Certificate of Establishment of the organization or individual applying for the permit.

3. List of key management staff and consulting experts (in accordance with the form attached as Appendix 7a to this Circular), accompanied by certified true copies of graduation certificates, professional certificates, and signed labor contracts with the consulting organization.

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

5. A list of equipment, technical means, and software applications serving consulting work.

Article 9. Documents for Application to Issue, Amend, or Supplement a Power Generation Permit

1. A request document for issuing, amending, or supplementing an electricity business permit (in accordance with the form attached as Appendix 1 to this Circular).

2. Certified true copy of the Business Registration Certificate, Decision on Establishment, or Certificate of Establishment of the organization applying for the permit.

3. List of key management staff (Board of Directors, technical managers, and power plant operators), accompanied by certified true copies of graduation certificates or graduation certificates. Documentation proving training for the direct operating workforce.

4. A certified copy of the Decision approving the investment project of the power plant by the competent authority.

5. List of main electrical works of the power plant.

6. Certified true copy of technical documents determining the installed capacity of each unit, agreement on connecting the power plant to the system, and agreement on the metering system according to regulations.

7. Fuel supply plan (for thermal power plants).

8. Certified true copy of the Environmental Impact Assessment Report or Environmental Protection Commitment of the power plant investment project approved or accepted by the competent authority.

9. Certified true copy of the power purchase contract already signed or the power purchase agreement document.

10. Certified true copy of the document confirming that technical inspection requirements have been met for equipment with strict safety requirements.

11. Certified true copy of the document confirming compliance with fire prevention and firefighting conditions as prescribed.

12. Certified true copy of the Reservoir Operation Procedures for hydropower plants approved by the competent authority (for hydropower plants).

13. Certified true copy of the Procedures for Coordinated Operation of Power Plants with System Dispatch Units, Operation and Fault Handling Procedures, and List of Operation Procedures for Equipment.

14. Acceptance Record of Information Technology Infrastructure Systems, Control and Monitoring Systems, and Data Collection Systems for Power System and Electricity Market Operations as prescribed.

15. Acceptance Record of Hydropower Dam and Energy Lines and Safety Dam Registration submitted to the competent authority; Inspection Report of the Dam (for dams due for inspection).

16. Certified true copy of partial acceptance records of main electrical works of the power generation project, acceptance records of unloaded and loaded trial operation of each unit, and comprehensive acceptance records of loaded interlinked operation of each unit.

Article 10. Documents for Application to Issue, Amend, or Supplement a Power Transmission or Distribution Permit

1. A request document for issuing, amending, or supplementing an electricity business permit (in accordance with the form attached as Appendix 1 to this Circular).

2. Certified true copy of the Business Registration Certificate, Decision on Establishment, or Certificate of Establishment of the organization applying for the permit.

3. List of key management staff (Board of Directors, technical managers, and transmission/distribution grid operators), accompanied by certified true copies of graduation certificates or graduation certificates. Documentation proving training for the direct operating workforce.

4. A list of main power grid projects managed or about to be taken over by the organization in accordance with the decision of the competent authority.

5. Certified true copy of documentation proving compliance with fire prevention and firefighting conditions as prescribed.

6. Certified true copy of connection agreement or connection contract.

7. Map of the power grid boundary and operational scope.

Article 11. Documents for application for issuance, amendment, and supplementation of wholesale electricity sales permit and retail electricity sales permit.

1. A request document for issuing, amending, or supplementing an electricity business permit (in accordance with the form attached as Appendix 1 to this Circular).

2. Certified true copy of the Business Registration Certificate, Decision on Establishment, or Certificate of Establishment of the organization or individual applying for the permit.

3. List of management staff (Board of Directors, technical managers), accompanied by certified copies of graduation certificates or graduation certificates.

Article 12. Documents for issuance, amendment, and supplementation of electricity import and export permit.

1. A request document for issuing, amending, or supplementing an electricity business permit (in accordance with the form attached as Appendix 1 to this Circular).

2. Certified true copy of the Business Registration Certificate, Decision on Establishment, or Certificate of Establishment of the organization applying for the permit.

3. Certified copy of the approval document for the policy of electricity purchase and sale with foreign countries, and the approved interconnection plan to purchase and sell electricity with foreign countries.

4. Certified copy of the electricity import and export contract; certified copy of the request for electricity purchase or approval for electricity sale from the foreign side.

5. Schematic diagram of the power grid related to the purchase and sale points and the coordination operation and fault handling procedures between the electricity buyer and seller (if applicable).

6. Certified copy of the document confirming compliance with fire prevention and firefighting conditions at transformer stations as prescribed.

Article 13. Documents for application for extension of electricity business operation permit.

1. Request for extension of electricity business operation permit (in accordance with Form 1 attached to this Circular).

2. Copy of the Electricity Business Operation Permit and certified copy of the Business Registration Certificate, Establishment Decision, or latest Certificate of Establishment of the electricity business requesting the permit.

3. Documentation proving the maintenance of conditions for the licensed business activities.

Chapter III

PROCEDURES FOR ISSUANCE, EXTENSION, AMENDMENT, SUPPLEMENTATION AND REVOCATION OF ELECTRICITY BUSINESS OPERATION PERMIT

Article 14. Procedures and formalities for issuance, amendment, and supplementation of electricity business operation permit.

1. Organizations and individuals applying for issuance, amendment, and supplementation of electricity business operation permit shall submit one set of documents in accordance with Chapter II of this Circular to the issuing authority and bear responsibility for the accuracy and truthfulness of the application documents (documents may be submitted directly or via postal service).

2. Within five working days from the date of receipt of the application for issuance, amendment, and supplementation of electricity business operation permit, the issuing authority shall notify in writing the applicant if the documents are incomplete or invalid. The notification must clearly state the reasons and requirements for supplementing or amending data, documents, and relevant information to complete the application.

3. In case the issuing authority requires supplementation or amendment of data, documents, and relevant information, within fifteen working days from the date of receipt of the request, the applicant must amend and supplement and respond in writing.

4. Within thirty working days from the date of receipt of valid documents, the issuing authority shall be responsible for reviewing the documents, inspecting on-site (if necessary), and issuing, amending, or supplementing the permit.

5. During the document review and actual inspection process, if the conditions stipulated in the documents are not met, the issuing authority has the right to require the applicant to supplement the conditions or refuse the permit in writing, stating the reasons.

6. The Electricity Business Operation Permit shall be made in three original copies, one copy given to the licensed entity, and two copies retained by the issuing authority.

Article 15. Extension of Power Business Operation License

1. The Power Business Operation License may be extended for each field if it meets all conditions stipulated in Decree No. 137/2013/NĐ-CP dated October 21, 2013 of the Government detailing the implementation of certain provisions of the Electricity Law and the Law Amending and Supplementing Certain Provisions of the Electricity Law.

2. Three months before the Power Business Operation License expires, the power business unit must prepare a dossier in accordance with Article 13 of this Circular to request an extension of the Power Business Operation License and follow the procedures and formalities prescribed in Article 14 of this Circular. In cases where the Power Business Operation License has already expired or the entity granted the license does not comply with the procedures prescribed herein, the establishment of the dossier and the procedures and formalities for requesting the Power Business Operation License shall apply as in the case of the first issuance.

3. The extension period for the field of power business operation shall not exceed half the duration of the field's operation in the initially issued Power Business Operation License.

Article 16. Procedures for Revoking the Power Business Operation License

1. Procedure for Issuing Decisions to Revoke Power Business Operation Licenses

a) In cases where the power business unit violates Article 37 of the Electricity Law and the decision-making authority issuing the penalty is the authority issuing the Power Business Operation License, the authority issuing the Power Business Operation License shall issue a decision to revoke the Power Business Operation License simultaneously with the penalty decision.

b) In cases where the power business unit violates Article 37 of the Electricity Law and the decision-making authority issuing the penalty is not the authority issuing the Power Business Operation License, the authority issuing the Power Business Operation License shall issue a decision to revoke the Power Business Operation License within the time limit specified in the penalty decision. If the license is not revoked, the authority issuing the Power Business Operation License shall provide a written response explaining the reasons to the person signing the penalty decision.

c) In cases where the power business unit requests to cease operations or transfer the licensed activities to another organization or individual, within thirty working days from the date of receipt of the request letter from the power business unit or the authorized agency and related documents, the authority issuing the Power Business Operation License shall issue a decision to revoke the Power Business Operation License.

2. Within two working days from the date of issuing the decision to revoke the Power Business Operation License, the authority issuing the Power Business Operation License shall send the revocation decision to the revoked entity and relevant agencies; publish information on the revocation of the license on the electronic information website of the issuing authority.

3. In cases where the Power Business Operation License is revoked according to specific fields or scope of activities, the authority issuing the Power Business Operation License shall amend the issued license in accordance with the revocation time point as stated in the revocation decision.

4. In cases where the power business unit commits violations as stipulated in Clause 6, Article 19 of this Circular, the authority issuing the Power Business Operation License has the right to issue a decision to revoke the Power Business Operation License and publish information on the electronic information website of the issuing authority.

Chapter IV

AUTHORITY TO ISSUE AND MANAGE THE USE OF POWER BUSINESS LICENSES

Article 17. Competence to issue power business licenses

1. The Ministry of Industry and Trade issues Power Generation Business Licenses for the following sectors:

a) Power generation activities for large-scale power plants that are particularly important for economic and social development, national defense, and security, as approved by the Prime Minister;

b) Transmission of electricity;

c) Import and export of electricity.

2. The Electricity Regulatory Authority issues Power Generation Business Licenses for the following sectors:

a) Power generation activities for power plants with capacity of 3 MW or more and not falling under the cases stipulated in point a, Clause 1 of this Article;

b) Power distribution activities;

c) Wholesale electricity sales activities;

d) Retail electricity sales activities;

đ) Specialized electricity consulting services.

3. Provincial People's Committees, municipalities directly under the Central Government shall issue or authorize the Department of Industry and Trade to issue power business operation licenses for the following areas:

a) Power generation activities for power plants with capacity below 3 MW located in the locality;

b) Rural power distribution activities at local level;

c) Urban power distribution activities up to 35 kV voltage level and total installed capacity of substations below 3 MVA at local level;

d) Retail power supply activities up to 0.4 kV voltage level at local level;

e) Specialized power consulting services, including:

- Investment consulting for construction projects of transmission lines and substations up to 35 kV voltage level, registered for business at local level;

- Construction supervision consulting for transmission lines and substations up to 35 kV voltage level, registered for business at local level.

4. In case an organization or individual requests issuance of multiple power business licenses in the field of specialized power consulting services, including at least one activity within the competence of the Electricity Regulatory Authority, the power business license for these activities shall be issued by the Electricity Regulatory Authority.

Article 18. Responsibilities of the authority issuing power business licenses

1. Receiving, examining, inspecting, and managing applications for issuance, extension, amendment, and supplementation of power business licenses. Guiding power units to comply with the contents, procedures, and formalities for requesting issuance, extension, amendment, and supplementation of power business licenses as prescribed in this Circular.

2. Resolving complaints about power business licenses within its jurisdiction.

3. Inspecting and supervising the maintenance of conditions specified in the power business license.

4. Revoking power business licenses within its competence according to the procedures stipulated in Article 16 of this Circular.

5. Recommending competent authorities to handle violations by power units according to the law.

Article 19. Responsibilities of entities granted power business licenses

1. Operate electricity in accordance with the contents specified in the license.

2. Requesting extension or expansion of power business activities when meeting the required conditions as prescribed.

3. Maintaining the operational conditions registered and licensed throughout the period of operation.

4. Paying all types of fees and charges related to power business licenses according to the law.

5. Reporting to the authority issuing power business licenses at least 60 days before ceasing power business operations or transferring such operations.

6. Reporting to the authority issuing power business licenses within 30 days when changing the address in the power business license.

7. Not leasing, lending, or self-amending the contents of the power business license.

8. Accepting inspection, audit, and complying with decisions on handling by state agencies with competent authority regarding the use of the license and registered operating conditions.

9. Reporting to the authority issuing power business licenses and the Department of Industry and Trade at local level about the annual operation and business situation in the licensed fields before March 1 of the following year.

Chapter VI

IMPLEMENTATION

Article 20. Inspection of power business licenses

1. The Electricity Regulatory Authority is responsible for inspecting the implementation of this Circular nationwide; resolving difficulties and proposing contents for reporting to the Ministry of Industry and Trade to amend and supplement this Circular.

2. The People's Committee of provinces and centrally governed cities shall inspect the implementation of this Circular within their jurisdiction; resolving difficulties and recommending the Ministry of Industry and Trade to amend and supplement this Circular.

Article 21. Responsibilities for Implementation

1. The Electricity Regulatory Authority is the agency receiving and processing procedures for examination of applications for issuance, extension, amendment, supplementation, and revocation of power business licenses for licenses within the competence of the Electricity Regulatory Authority and the Ministry of Industry and Trade.

2. The Department of Industry and Trade is the agency receiving and processing procedures for examination of applications for issuance, extension, amendment, supplementation, and revocation of power business licenses for licenses within the competence of the People's Committee of provinces and centrally-run cities.

3. Entities granted power business licenses are responsible for sending copies of issued power business licenses to the competent state management agencies in the field of power business at local level for reporting.

4. Before January 15 each year, the Department of Industry and Trade reports to the Ministry of Industry and Trade on the situation of issuance, extension, amendment, supplementation, and revocation of power business licenses at local level.

Article 22. Effectiveness

1. This Circular takes effect from December 15, 2013. Decision No. 32/2006/QD-BCN dated September 6, 2006, of the Minister of Industry promulgating regulations on conditions, procedures, and formalities for issuance, amendment, supplementation, revocation, and management of power business licenses and Decision No. 15/2008/QD-BCT dated July 1, 2008, of the Minister of Industry and Trade amending and supplementing certain provisions of the regulations promulgated together with Decision No. 32/2006/QD-BCN cease to be effective from the date this Circular takes effect.

2. Power business licenses issued according to Decision No. 32/2006/QD-BCN and Decision No. 15/2008/QD-BCT continue to be valid according to the contents and validity periods specified in the licenses.

3. The Director of the Electricity Regulatory Authority, the Head of the Ministry’s Office, the Inspector General of the Ministry, Heads of Departments, the Director of the Energy General Administration, Heads of relevant units under the Ministry of Industry and Trade, People's Committees of provinces and centrally-run cities, and entities engaged in power business are responsible for implementing this Circular./.