TABLE OF CONTENTS I. Introduc on II. Documents to Obtain from Diff erent Government Agencies III. Basic Company Registra on - PDF

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TABLE OF CONTENTS I. Introduc on 1 II. Documents to Obtain from Different Government Agencies 4 III. Basic Company Registra on SEC : General Registra on for Corpora ons/partnership 8 DTI : Business Name

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TABLE OF CONTENTS I. Introduc on 1 II. Documents to Obtain from Different Government Agencies 4 III. Basic Company Registra on SEC : General Registra on for Corpora ons/partnership 8 DTI : Business Name Registra on 17 Local Government Unit 18 IV. Renewable Energy Projects DOE : Service/Opera ng Contract Applica on 19 DOE : Accredita on of Manufacturers, Fabricators and Suppliers 22 DOE : Applica on for Accredita on to Manufacture Biofuels 22 NWRB : Applica on for Water Permit 23 V. Coal, Oil and Gas Projects DOE : Coal Opera ng Contract Applica on 26 DOE : Petroleum Service Contract Applica on 29 PCG : Mari me Environmental Protec on Concern 34 VI. Downstream Oil Projects DOE : Applica on for DOE Endorsement for BOI Registra on 37 DOE : Issuance of DOE 2 nd Endorsement for SEC 37 DOE : Cer ficate of Availing of Export Incen ves 38 DOE : Endorsement to Marina for Chartering/Importa on 38 DOE : Cer ficate of Compliance/Exporta on of Crude Oil, etc. 38 DOE : Acknowledgment of No ces 39 DOE : Cer fica on of Oil Company Par cipants to the Bioethanol Program 39 DOE : Acknowledgment for No ce Prior to Engagement 40 DOE : Cer ficate of Compliance 40 DOE : Standards Compliance Cer ficate & Cer ficate of Non-Coverage for Auto-LPG 41 DOE : Documentary & Reportorial Requirements for Auto-LPG Business 41 DOE : Checklist of Documentary Requirements for Refiller, Dealer and Retailer 42 DOE : Registra on of Fuel Addi ves 43 VII. Natural Gas Projects DOE : Applica on for Permit in the Downstream Natural Gas Sector 44 House of Representa ves : Applica on for Legisla ve Franchise 51 VIII. Power Projects DOE : Issuance of Cer ficate of Endorsement for COC 52 DOE : Requirements for the ER 1-94 Trust Account 52 DOE : Issuance of Cer ficate of Endorsement for NGCP 52 ERC : Cer ficate of Compliance for Genera ng Companies 53 ERC : Registra on of Wholesale Aggregators 54 ERC : Cer ficate of Authority for WESM Metering Service Providers 55 ERC : Retail Electricity Suppliers License Applica on 57 NGCP : Transmission Service Applica on 59 IX. DOE: Natural Gas Vehicles 60 X. DOE : Energy Service Company Accredita on 60 XI. Financing Facili es for Energy Projects Land Bank of the Philippines 61 Development Bank of the Philippines 67 Allied Banking Corpora on 68 Philippine Export-Import Credit Agency 69 XII. Common Requirement for Energy Projects DOE : Cer ficate of Endorsement to BOI 70 BOI : Project Registra on for Availing Incen ves Under EO DENR : Applica on for Environmental Compliance Cer ficate 74 DENR : Permit to Operate Air Pollu on Source and Control Installa on 75 NCIP : Cer fica on Precondi on 79 DAR : Guidelines for the Processing of Land Use Conversion 81 DOJ : Applica on for Non-Immigrant Visa 87 DOLE : Applica on for Alien Employment Permit 88 CAAP : Aerodrome Ra ng Cer ficate/temporary Permit to Operate A Helideck 89 CAB : Applica on for Issuance of Foreign Air Carriers Permit 90 CAB : Requirements for Renewal of Applica on 91 BOC : Cer ficate of Accredita on as Importer 92 PNP : License to Possess Explosives 93 PNP : Permit to Unload Explosives from Vessel and Transfer to Des na on 93 PNP : Permit to Transport and Move Explosives 94 PNP: Permit to Import Explosives / Explosives Ingredients 94 PNP: Permit to Export Explosives / Explosives Ingredients 94 PNRI : Radioac ve Material License 95 PNRI : Authority to Transport 95 PEZA : Registra on for Export Enterprises/IT Enterprises 96 PEZA : Registra on for Ecozone Developers 96 XIII. Directory 98 I N T R O D U C T I O N The contains basic informa on on the requirements and procedures of agencies involved in the development process of energy projects and the directory of focal persons. It also includes some financing facili es available as provided by en es that responded to our request. This Guidebook intends to provide investors in the energy sector relevant informa on necessary to venture into the energy business. It is one of the approaches pursued by the Department of Energy to create an investment-friendly environment which will further boost energy investments in the country. This is a work in progress since further improvements and updates shall be undertaken accordingly to keep pace with the developments in the energy sector. Our deepest apprecia on and gra tude to our partners in the government and private sector for their valuable inputs and insights in the realiza on of this Guidebook. REQUIREMENTS FROM DIFFERENT GOVERNMENT AGENCIES REQUIREMENTS FROM DIFFERENT GOVERNMENT AGENCIES Government Agency/Office Registra on Requirements Securi es and Exchange Commission Department of Trade and Industry Coopera ve Development Authority Local Government Unit Bureau of Internal Revenue Document Registra on of Corpora ons and Partnerships Registra on of Foreign Corpora ons Registra on of Business Name for Single Proprietorship Registra on for Coopera ves Barangay Clearance for Business Permit Purposes Municipal / Sanitary Permit Municipal / City Business Permit Building Permits / Civil / Structural Permits Loca onal Clearance / Business Permit in the loca li es where the business will be established Tax Iden fica on Number Cer ficate of Registra on Applica on for Authority to Use Computerized Accoun ng System or Components Thereof/Loose- Leaf Books of Accounts Applica on for Registra on Informa on Update This is also where books of accounts and authority to print are registered Social Security Services Philippine Health Insurance Corpora on Employer Registra on Employer Data Record Department of Labor and Employment Alien Employment Permit Bureau of Fire Protec on Evalua on Clearance - Fire Safety Permit Home Development Mutual Fund Philippine Economic Zone Authority Bangko Sentral ng Pilipinas Member s Data Form Remi ance Form Note : Membership Registra on (for local employees) Permit to locate (if applicable) Registra on with other Investment Promo on Agencies for Availment of Incen ves (for Ecozone business locators only) Registra on of Foreign Investments for Purposes of Capital Repatria on and Profit Remi ances 4 Government Agency/Office Metro Manila Development Authority Authorized Agent Banks Regulatory Requirements Department of Environment and Natural Resources Department of Agrarian Reform Na onal Water Resources Board Bureau of Immigra on Energy Regulatory Commission Department of Energy Department of Energy (DOE) - Renewable Energy Management Bureau Department of Energy Oil Industry Management Bureau Department of Energy Energy Resource Development Bureau Requirement/Document Loca onal Clearance/Business Permit for Firms Opening of Le er of Credit Informa on Sheet for first- me exporters Environmental Compliance Cer ficate Cer fica on of Non-Coverage Wastewater Discharge Permit Permit to Operate - Air Pollu on Source and Control Installa on Hazardous Waste Generator ID Pollu on Control Officer Accredita on/appointment Permit to Construct/Operate Pollu on Control Land Use Conversion Permit Cer fica on of Water Availability Water Permit Applica on Philippine VISA Philippine Special Work Permit Special Investor s Resident Visa Alien Cer fica on of Registra on Cer ficate of Compliance for Genera ng Companies Registra on of Wholesale Aggregators Cer ficate of Authority for WESM Metering Service Providers Retail Electricity Suppliers License Cer ficate of Endorsement to SEC for Company Registra on with Energy Related Ac vi es Cer ficate of Endorsement to BOI for Project Registra on to Avail Incen ves under EO 226 Cer fica on of Accredita on for Natural Gas Vehicles Registra on of Renewable Energy Projects RE Service/Opera ng Contract for Developers Cer ficate of Accredita on for Suppliers/ Manufacturers Accredita on to Manufacture Biofuels Cer ficate of Compliance for Downstream Oil Ac vi es Coal Opera ng Contract Petroleum Service Contract Clearance for Coal, Oil and Gas Explora on Ac vi es Cer ficate of Compliance for Coal Importa on REQUIREMENTS FROM DIFFERENT GOVERNMENT AGENCIES 5 REQUIREMENTS FROM DIFFERENT GOVERNMENT AGENCIES Government Agency/Office Department of Energy Electric Power Industry Management Bureau Department of Energy - Energy U liza on Management Bureau Na onal Commission on Indigenous Peoples Opera onal Requirements Document Cer ficate of Endorsement for Power Genera on Projects (requirement for ERC s COC) Memorandum of Agreement (Establishment of Trust Account for Financial Benefits Accruing from the Electricity Sales of the Power Plant) Le er of Endorsement to NGCP for the Conduct of the Grid Impact Study Cer ficate of Accredita on for Energy Service Companies Cer ficate Precondi on (Free, Prior and Informed Consent) Board of Investments Registra on for Availing of Incen ves under EO 226 or the Omnibus Investment Code Clearance to Develop Private Port Facility Philippine Ports Authority Permit to Construct Private Port Facility Payment of Wharfage Fees/Exemp on from Payment Civil Aeronau cs Board Philippine Na onal Police Firearms and Explosives Office Charter Opera ons Permit Permit to Operate Domes c and Interna onal Charter Flights (also called Foreign Air Carrier s Permit) License to Possess Explosives Permit to Upload Explosives from Vessel and Transfer to Des na on Permit to Transport and Move Explosives Permit to Import Explosives / Explosive Ingredients Permit to Export Explosives / Explosive Ingredients Bureau of Customs Philippine Nuclear Research Ins tute Department of Science and Technology Securi es and Exchange Commission Cer ficate of Accredita on as Importer Client Profile Registra on System/Electronic to Mobile Registra on for Opera on of Customs Bonded Manufacturing Warehouse Registra on of Customs Bonded Warehouse (on Expansion/Diversifica on) Export Declara on (Authority to Load/Cer ficate of Radioac ve Material License Authority to Transport (Import) Authority to Transport (Export) General Informa on Sheet Audited Financial Statement Amendment of Ar cles of Incorpora on / Partnership / By- Laws 6 Government Agency/Office Civil Avia on Authority of the Philippines Philippine Coast Guard - Marine Environmental Protec on Command Philippine Coast Guard Mari me Safety Services Mari me Industry Authority Social Security System Home Development Mutual Fund Bureau of Internal Revenue Lighterage Associa on of the Philippines Philippine Economic Zone Authority Document Height Clearance Permit (if applicable) Aerodrome Ra ng Cer ficate / Provisional Permit to Operate a Helideck Foreign Air Carrier Opera ons Specifica ons Flight Entry-Exit Blanket Clearance Garbage Management Plan and Garbage Record Book Shipboard Oil Pollu on Emergency Plan Oil Record Book Interna onal Oil Pollu on Preven on Cer ficate Oil Pollu on Preven on Cer ficate Oily Water Separator Oily Waste Collector Tank Cleaning Contractor Oil Spill Dispersant Oil Spill Boom/Oil Spill Materials Oil Sorbent Materials Marpol Surveyor Sewage Treatment Plant No ce to Mariners Special Permit to Dump/Discharge Waste and/or Other Ma ers (Vessels/Oil Rigs) Exemp on Permit Employment Report Contribu on Collec on List Contribu on Payment Return Membership Registra on / Remi ance Form Annual Registra on Fee Expanded Withholding Tax Return Withholding Tax Return on Compensa on Final Withholding Tax Return Fringe Benefits Tax Return Annual Informa on Return on Creditable Income Taxes Withheld (Expanded) /Income Payments Exempt from Withholding Tax Annual Corporate Income Tax Return Annual Informa on Return for WTC and FWT Quarterly Corporate Income Tax Return Cer ficate of No Objec on Audited Financial Statement, ITR, etc.; Registra on of Business/Expansion for Incen ves REQUIREMENTS FROM DIFFERENT GOVERNMENT AGENCIES 7 SECURITIES AND EXCHANGE COMMISSION BASIC COMPANY REGISTRATION Note : GENERAL REGISTRATION FOR CORPORATIONS/PARTNERSHIP All applica ons and suppor ng documents must be in four (4) copies and have cover sheets. Documents signed abroad must be authen cated by the Philippine Embassy or Consulate in the country where it was signed. All audited Financial Statements (FS) and special audit reports must be cer fied by an independent Cer ficate Public Accountant (CPA), with Statement of Representa on filed with the SEC. Said Statement must indicate the CPA Cert. No., PRC/BOA No. and the PTR No. of the CPA. All applica ons must indicate the Tax Iden fica on Number (TIN) of the incorporators, stockholders/ members for corpora ons, and partners for partnership. Registra on Procedure: 1. Company representa ve submits necessary documents to Company Registra on and Monitoring Department (CRMD), which checks documents for completeness; 2. Representa ve pays SEC cashier a filing fee of 1/5 of 1% of authorized capital stock of proposed corpora on on (Basic Fee) plus Legal Research Fee of 1% of Basic Fee; 3. Documents are forwarded to Financial Analysis and Audit Division of the CRMD for review of financial and accoun ng aspects; 4. Documents are forwarded to the Corporate and Partnership Registra on Division of the CRMD which ensures compliance with Philippine laws; 5. Documents are forwarded to the Assistant Director of the CRMD for approval and to the Cer ficate of Registra on; and 6. Approved applica ons are brought to Central Records and Receiving Division for releasing. I. Registra on of Corpora ons A. Stock Corpora on: Basic Requirements: 1. Name Verifica on Slip (secure online or from SEC Name Verifica on Unit); 2. Ar cles of Incorpora on and By-Laws; 3. Treasurer s Affidavit; and 4. Joint affidavit of two incorporators undertaking to change corporate name in the event another person, en ty or firm has acquired a prior right to the use of the same name or one similar to it (not required if Ar cles of Incorpora on has provision on this commitment) 8 Addi onal Requirements: 5. Endorsement/clearance from other government agencies, if applicable i.e. Cer ficate of Endorsement from Department of Energy for energy related business ac vity. 6. For corpora ons with foreign equity: Proof of remi ance by non-resident aliens and foreign corporate subscribers who want to register their investment with the Bangko Sentral ng Plipinas (BSP) or an affidavit that they do not want to register their investment with the BSP. 7. For corpora ons with more than 40% foreign equity: applica on form (SEC Form No. F-100) is required by the Foreign Investments Act of 1991 (Rep. Act 7042, as amended). 8. For corpora ons with applica ons with the Philipine Economic Zone Authority (PEZA), Subic Bay Metropolitan Authority (SBMA) or other economic zones a ach the Cer cate of Authority or Endorsement from said government agencies. 9. Addi onal requirements based on kind of payment subscrip on indicated hereunder: a. Cash: 1. Bank Cerificate of deposit of paid-up capital notarized in place where it was signed; and 2. For corpora ons with foreign subscribers who want to register their investment with the BSP, submit BSP standard bank cer ficate of inward remi ance. b. Land and/ Building/ Condominium Unit: 1. Descrip on of the property showing the name of its registered owner, loca on, area, Transfer Cer ficate of Title (TCT) No., tax declara on number and the basis of the transfer value (market value/ assessed value/ zonal value or appraised value); 2. Copy of TCT/Condominium Cer ficate of Title (CCT) and tax declara on sheet, as cer fied by the Register of Deeds and the Assessor s Office, respec vely; 3. If transfer value : Latest zonal valua on cer fied by the Bureau of Internal Revenue; 4. If transfer value is based on appraised value: Appraisal reports by a licensed real estate appraiser (not more than six (6) months old); 5. Deed of assignment with primary entry by the Register of Deeds; 6. If property is mortgaged: Mortgagee/creditor s cer fica on of outstanding loan balance and his consent to the transfer of property; 7. For assignment of a building where the assignor is not the owner of the land: Lease contract on the land and consent of the land owner to the transfer; 8. Affidavit of the transfer or that the building/condominium unit is exis ng and in good condi on; and 9. Affidavit of undertaking by any incorporator or director to submit the proof of transfer of the property within the prescribed period). BASIC COMPANY REGISTRATION c. Un tled Land: If the property/ies involved are un tled lands classified by the Bureau of Lands and the Department of Environment and Natural Resources (DENR) as alienable and disposable lands are not covered by the Comprehensive Agrarian Reform Law of 1988 (Republic Act 6657), the following documents should, in addi on, be submi ed: 1. Duplicate original or cer fied true copies, insofar as may be applicable, or: i. Proof of possession or that the subject land had been in the possessor s open, peaceful, con nuous and uninterrupted exclusive possession in the concept of an owner for at least thirty (30) years and that the possessor had introduced improvements thereon, if any, (submit a cer fica on of the authorized officer of the barangay where the property is located, and at least two (2) adjoining property or claimants of the property; and payment of corresponding local real estate taxes); ii. Duplicate original or cer fied true copies of the tax declara on, tax receipts and local real estate tax clearance; iii. Affidavit executed by the transferor a es ng that; a. His adverse, con nuous and open possession of the un tled property may ripen into ownership by virtue of acquisi ve prescrip on; b. The subject property is not tenanted (submit Affidavit of Non-Tenancy); iv. Duplicate original or cer fied true copies of any deed, conveyance, mortgage, lease, or other voluntary instrument affec ng the un tled property duly recorded in the offi ce of the Register of Deeds for the province or city where the land is situated, pursuant to Sec ons 3 and 113 of PD No. 1529; 9 BASIC COMPANY REGISTRATION v. Affidavit executed by the transferor a es ng to the: a. Existence (or non-existence) of easements over the un tled property; b. Kind of descrip on of the easement/s and its loca on; and c. Whether the transferor is the dominant estate or the servient estate by virtue of such easement/s vi. Undertaking (under oath) of the transferor/subsciber to answer for any liability that the corpora on might incur by virtue of the acceptance of said property as paid-up capital; 2. Clearance or cer fica on from the Department of Agrarian Reform a es ng to the following: i. There is no other applica on or claimant to the un tled land; ii. It has not issued any Cer ficate of Land Ownership Award (CLOA) over the property to any other part; or iii. The land is exempted from the coverage of the Comprehensive Agrarian Program of the government; 3. Blue Print Survey of the Plan, as approved by the Bureau of Lands, showing the inclusion of such lands. d. Inventories/Furniture/Personal Proper es: 1. Descrip on of the property and the basis of transfer value (market value or book value); 2. Special audit report by an independent Cer fied Public Accountant (CPA) on the verifica on and valua on of the Property, or appraisal report by an accredited appraisal company, which is not more than six (6) months old, on the valua on of the property; 3. Deed of assignment of the property to the corpora on; and 4. Affidavit of the transfer or that the inventories/furniture/personal proper es are existing and in good condi on. e. Heavy Equipment and Machinery: 1. Descrip on of the heavy equipment or property and basis of transfer value (market value or book value); 2. Appraisal report by the proper engineer (not more than six (6) months old). If property is imported, the valua on report of the BSP shall be submi ed; 3. Deed of assignment of the heavy equipment/machinery is exis ng and in good condi on. 10 f. Shares of Stock: 1. Descrip on of the shares of stock showing the name of stockholder, stock cer ficate number, number of shares and the basis of transfer value (market value or book value); 2. Audited financial statements of t
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