Decision No. 1/3 of the Board of the Public Utilities Commission of 2019 on Regulations Regarding General Authorisation and Registration in the Energy Sector

1. General Provision

1. This Regulation prescribes: 1.1. the requirements for registration of electricity producers, thermal energy producers, electricity traders, aggregators, thermal energy traders, and natural gas traders (hereinafter – the merchant); 1.2. the procedures by which the merchant shall send to the Public Utilities Commission (hereinafter – the Regulator) registration notification or notification on termination of activities, as well as information regarding the putting into service of a new manufacturing facility; 1.3. information to be included in the registration notification and the notification on termination of activities, as well as information regarding the putting into service of a new manufacturing facility; 1.4. the information to be included in the registers of merchants; 1.5. the procedures by which the merchant shall be registered in and excluded from the Register of Merchants, and re-registered therein; 1.6. regulations for general authorisation – specific requirements for the production and trade of energy which are binding on all merchants, the operation of which is required to be regulated in accordance with the law On Regulators of Public Utilities. [18 December 2019]

2. Registration Notification and Notification on the Termination of Activities

2. The merchant shall send a registration notification to the regulator, which is drawn up in accordance with the following annexes: 2.1. for the registration of the merchant in the Register of Electricity Producers – in accordance with Annex 1; 2.2. for the registration of the merchant in the Register of Electricity Traders – in accordance with Annex 2; 2.3. for the registration of the merchant in the Register of Thermal Energy Producers – in accordance with Annex 3; Translation © 2020 Valsts valodas centrs (State Language Centre) 2.4. for the registration of the merchant in the Register of Thermal Energy Traders – in accordance with Annex 4; 2.5. the merchant who produces electricity in co-generation shall draw up the registration notification: 2.5.1. in accordance with Annex 1, if the total installed electric capacity of co- generation installations in the co-generation plant exceeds one megawatt; 2.5.2. in accordance with Annex 3, if the total installed electric capacity of co- generation installations in the co-generation plant does not exceed one megawatt, the total installed thermal capacity of thermal energy production installations exceeds one megawatt and the amount of thermal energy transferred to users exceeds 5 000 megawatt hours per year; 2.6. for the registration of the merchant in the Register of Natural Gas Traders – in accordance with Annex 5; 2.7. for the registration of the merchant in the Register of Aggregators – in accordance with Annex 9. [18 December 2019]

3. The merchant shall append a document certifying that the electric power plant or thermal energy production object has been put into service, to the notification on registration in the register of electricity or thermal energy producers.

4. If the merchant ceases the production of electricity or thermal energy, or the trade of electricity, thermal energy or natural gas, or the provision of the demand response service, it shall send a notification to the Regulator on the termination of activities in accordance with Annex 6. [18 December 2019]

5. The merchant shall be liable for the veracity of the provided information.

6. The Regulator has the right to request the merchant to clarify the information included in the registration notification and the notification on the termination of activities. The registration notification and the notification on the termination of activities shall be regarded as having been submitted on the day when the Regulator has received all the information provided in this Regulation.

7. If the notification is submitted electronically, electronic copies of the documents supporting the notification shall be appended and attested with a safe electronic signature and time stamp in accordance with the laws and regulations regarding drawing up of electronic documents.

8. After registration of a thermal energy producer or a thermal energy trader in the relevant register, the thermal energy producer (if the thermal energy producer is not covered by an exemption specified in laws and regulations) or the thermal energy trader shall submit to the Regulator within a period of six months from the date of registration a draft tariff calculated in accordance with the methodology specified by the Regulator together with the justification for the costs referred to in the draft tariff calculation. If due to objective reasons the merchant cannot submit a calculated draft tariff together with the justification of the costs forming the tariffs referred to in the calculation of the draft tariff within six months, the merchant shall, not later than 30 days before the expiry of the six-month period, request the Regulator to determine another time period for the submission of the draft tariff and justification of the costs forming the tariffs referred to in the calculation of the draft tariff by indicating the objective reasons. Until the Regulator approves the draft tariff, the thermal energy producer or thermal energy Translation © 2020 Valsts valodas centrs (State Language Centre) 2 trader shall apply the payment or tariff previously determined for public utility services to the settlements with users of public utilities services.

3. Registers of Energy Producers and Traders

9. The Regulator shall maintain and update the Register of Merchants on its website www.sprk.gov.lv, indicating the last date of updating the Register.

10. The following information shall be included in the Register of Merchants: 10.1. regarding an electricity producer: 10.1.1. name; 10.1.2. unified registration number; 10.1.3. the total capacity installed for production of electricity; 10.1.4. date of registration; 10.1.5. if the electricity producer has been excluded from the register of electricity producers, the date when the electricity producer was excluded from the respective register; 10.2. regarding an electricity trader: 10.2.1. name; 10.2.2. unified registration number; 10.2.3. date of registration; 10.2.4. if the electricity trader has been excluded from the register of electricity traders, the date when the electricity trader was excluded from the respective register; 10.3. regarding a thermal energy producer: 10.3.1. name; 10.3.2. unified registration number; 10.3.3. the total capacity installed for production of thermal energy; 10.3.4. date of registration; 10.3.5. if the thermal energy producer has been excluded from the register of thermal energy producers, the date when the thermal energy producer was excluded from the respective register; 10.4. regarding a thermal energy trader: 10.4.1. name; 10.4.2. unified registration number; 10.4.3. territory for the provision of services; 10.4.4. date of registration; 10.4.5. if the thermal energy trader has been excluded from the register of thermal energy traders, the date when the thermal energy trader was excluded from the respective register; 10.5. regarding a natural gas trader: 10.5.1. name; 10.5.2. unified registration number; 10.5.3. date of registration; 10.5.4. if the natural gas trader has been excluded from the register of natural gas traders, the date when the natural gas trader was excluded from the respective register; 10.6. regarding an aggregator: 10.6.1. name; 10.6.2. unified registration number; 10.6.3. date of registration; 10.6.4. if the aggregator has been excluded from the Register of Aggregators, the date when the aggregator was excluded from the respective register. Translation © 2020 Valsts valodas centrs (State Language Centre) 3 [18 December 2019]

4. Procedures for Excluding the Merchant and Suspending Its Activities

11. The merchant shall notify the Regulator of suspending activities of the merchant no later than 30 days in advance.

12. The merchant shall notify the Regulator of the termination of the production of electricity or thermal energy, or the trade of electricity, thermal energy or natural gas, or the provision of the demand response service no later than 90 days in advance. [18 December 2019]

13. The Regulator may exclude the merchant from the respective register: 13.1. after receipt of a written notification from the merchant, if the merchant has paid the State fee for the regulation of public utility services and submitted to the Regulator the information related to the calculation of the State fee; 13.2. if the merchant has been excluded from the Commercial Register; 13.3. if the economic activity of the merchant has been suspended; 13.4. if circumstances indicating that the activities of the merchant need not be regulated in accordance with the law On Regulators of Public Utilities have been found; 13.5. if the merchant has repeatedly violated the general authorisation regulations in the energy sector; 13.6. if it has been found that the electricity trader has not entered into a contract for the use of the system with the system operator (shall not apply to the electricity trader, who at the same time is a distribution system operator to whose distribution networks less than a hundred thousand users are connected) and has not commenced the trade of electricity within one year from the registration thereof in the Register of Electricity Traders; 13.7. if it has been found that a natural gas trader has not entered into a distribution system service contract with the distribution system operator and has not commenced the trade of natural gas within one year from the registration thereof in the Register of Natural Gas Traders; 13.8. if it has been found that the merchant has not commenced the production of energy, trade of thermal energy or provision of the demand response service within one year from its registration in the respective register. [18 December 2019]

14. If at the time of submitting the notification on the termination of activities the merchant has not paid the State fee in accordance with the procedures laid out in laws and regulations, the Regulator shall take a decision imposing an obligation to pay the debt of the State fee on the merchant. If the merchant does not comply with the decision of the Regulator on the payment of the debt of the State fee, the Regulator shall ensure the enforcement of the decision of the Regulator in accordance with laws and regulations.

15. If the Regulator finds evidence of an administrative violation in the activities of the thermal energy producer or thermal energy trader, the Regulator shall initiate proceedings in an administrative violation case in accordance with the laws and regulations in the field of administrative liability.

16. If within a year the thermal energy producer or thermal energy trader repeatedly commits a similar violation, the Regulator shall initiate proceedings in an administrative violation case in accordance with the laws and regulations in the field of administrative liability and may decide Translation © 2020 Valsts valodas centrs (State Language Centre) 4 on the exclusion of the thermal energy producer or thermal energy trader from the respective register.

17. If the Regulator establishes a violation of the general authorisation regulations in the energy sector in activities of an electricity producer, electricity trader, natural gas trader or aggregator, the Regulator shall initiate an administrative case in the institution regarding the established violation in accordance with the Administrative Procedure Law. [18 December 2019]

18. If the electricity producer, electricity trader, natural gas trader or aggregator repeatedly commits a similar violation, the Regulator shall initiate an administrative case in the institution regarding the established violation in accordance with the Administrative Procedure Law and may decide on the exclusion of the electricity producer, electricity trader, natural gas trader or aggregator from the relevant register. [18 December 2019]

19. For re-registration the merchant shall send a notification to the Regulator in accordance with Paragraphs 2 and 3 of this Regulation.

20. The Regulator shall make a note in the respective register regarding: 20.1. the exclusion from the respective register; 20.2. the suspension of economic activities on the basis of a mandatory request of the State Revenue Service, which has been sent to the Regulator in accordance with the law On Taxes and Duties; 20.3. the suspension of activities on the basis of an entry in the Commercial Register on suspension of the activities of the merchant.

5. Regulations Regarding the General Authorisation 5.1. Common Requirements

21. The merchant has the right and an obligation to perform commercial activities in the regulated field in accordance with the law On Regulators of Public Utilities, special laws and regulations of the regulated field and the decisions of the Regulator.

22. The merchant must ensure continuous provision of the public utility service, conformity with the safety requirements of public utility services laid down in the regulated field, as well as the quality of public utility services in accordance with the law On Regulators of Public Utilities, and laws and regulations, technical regulations, standards and contractual provisions in the regulated field.

23. Upon a reasoned request of customers or other persons, the merchant shall ensure the provision of the public utility service in accordance with the procedures provided for in the laws and regulations, if the financial capacity of the merchant or the technical capacity of the objects or infrastructure allows it.

24. The merchant shall arrange separate accounting for each type of the public utility service in accordance with the special laws and regulations of the regulated field.

25. The merchant shall inform the Regulator on a regular basis of its activities and changes therein in accordance with laws and regulations and decisions of the Regulator. The operator Translation © 2020 Valsts valodas centrs (State Language Centre) 5 shall provide information in accordance with the regulations regarding the information to be submitted to the Regulator. 25.1 The merchant shall submit to the regulator information regarding changes in the name, and also in the rest of the information included in the Register of Merchants within 30 days after making the respective changes. [18 December 2019]

26. The merchant shall provide the Regulator an opportunity to monitor the quality of the provision of the public utility service and conformity with the provisions of general authorisation. The merchant shall provide the Regulator with information regarding the results of economic and financial activities of the merchant, as well as provide the Regulator access to perform inspections.

27. The merchant shall pay the State fee for the regulation of public utility services in the amount and in accordance with the procedures laid down in laws and regulations.

28. The merchant has the right to suspend, cease or terminate the provision of the public utility service in accordance with the procedures laid down in laws and regulations.

29. In case of force majeure circumstances, the merchant has an obligation to implement all measures necessary to continue to conform to and fulfil the provisions of general authorisation. 5.2. Requirements for the Production of Electricity and Thermal Energy

30. The electricity producer and thermal energy producer shall ensure and maintain the objects necessary for the production of electricity and thermal energy.

31. The electricity producer and thermal energy producer shall be obliged to develop their activities in a planned manner and to participate in the planning, provision and development of a coordinated and efficient energy supply.

32. The producer of thermal energy and the merchant who produces thermal energy and electricity in co-generation shall inform the relevant local government before commencing the introduction of a new production capacity.

33. The electricity producer must commence the provision of a public utility service within the period of validity of the authorisation issued by the Ministry of Economics on the introduction of a new production equipment.

34. A merchant shall inform the Regulator within 30 days of putting into service of a new production facility, appending a document certifying the putting into service of a power plant or a thermal energy production object, and submitting information which has been drawn up in accordance with the following Annexes: 34.1. an electricity producer – in accordance with Annex 7; 34.2. a thermal energy producer – in accordance with Annex 8; 34.3. the merchant who produces electricity in co-generation shall submit information as follows: 34.3.1. in accordance with Annex 7, if the total installed electric capacity of cogeneration installations in the co-generation plant exceeds one megawatt; 34.3.2. in accordance with Annex 8, if the total installed electric capacity of co- generation installations in the co-generation plant does not exceed one megawatt; Translation © 2020 Valsts valodas centrs (State Language Centre) 6

35. The electricity producer shall ensure the measurement and accounting of the fuel consumed, electricity consumed, electricity produced and electricity transferred to the system.

36. The producer of thermal energy and the merchant who produces thermal energy and electricity in co-generation shall ensure that at least the following units shall be measured and accounted: 36.1. fuel consumed; 36.2. electricity produced; 36.3. the thermal energy produced in a co-generation installation; 36.4. the thermal energy produced in water-heating boilers; 36.5. the electricity and thermal energy transferred to the system; 36.6. the water consumed and water for the feeding of heating networks; 36.7. the electricity consumed and electricity consumed in water circulation pumps of heating networks.

6. Closing Provisions

37. If the thermal energy producer or thermal energy trader has been registered in the respective register until 15 April 2019 and the public utility service provided by the merchant does not have a tariff for the public utility service approved by the Regulator or local government regulator, the thermal energy producer (if the exception specified in the laws and regulations is not applicable to the thermal energy producer) shall, until 15 October 2019, submit to the Regulator a draft tariff calculated in accordance with the methodology specified by the Regulator together with the justification of the costs forming the tariffs referred to in the calculation of the draft tariff. If due to objective reasons the merchant cannot submit a calculated draft tariff together with the justification of the costs forming the tariffs referred to in the calculation of the draft tariff until 15 October 2019, the merchant shall, not later than by 16 September 2019, request the Regulator to determine another time period for the submission of the draft tariff and justification of the costs forming the tariffs referred to in the calculation of the draft tariff by indicating objective reasons.

38. Decision No. 1/30 of the Public Utilities Commission of 23 November 2011, Regulations Regarding General Authorisation in the Energy Sector (Latvijas Vēstnesis, 2011, No. 190), is repealed.

39. Decision No. 1/10 of the Public Utilities Commission of 11 June 2014, Regulations Regarding Registration of Energy Producers and Traders (Latvijas Vēstnesis, 2014, No. 117), is repealed.

40. This Regulation shall come into force on 15 April 2019. Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 7

Annex 1 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 Notification on the Registration of the Electricity Producer General information regarding the merchant Name of the merchant: Unified registration number: Given name, surname of the person entitled to Telephone, fax: represent the merchant: Legal address: [X] Electronic mail address: [X] I agree that the Regulator shall send documents and notifications to the electronic mail address indicated in this registration notification, using the official electronic mail address of the Regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after sending thereof. The Regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication. Please register (name of the merchant) for the provision of a public utility service – production of electricity. Information regarding each power plant of the merchant 1. Actual address of the power plant 2. Date of issue of the permit of the Ministry of Economics 3. No. of the permit of the Ministry of Economics 4. Type of the power plant*: wind power plant hydroelectric power plant solar power plant co-generation plant condensation plant 5. Installed capacity of the Electric capacity Thermal capacity Thermal capacity power plant* (P, MW) of co-generation of water heaters installations (Qūd, MW)** (Qkoģ, MW)** 6. Type of fuel***: Translation © 2020 Valsts valodas centrs (State Language Centre) 8 natural gas biogas biomass peat coal diesel fuel fuel oil and other petroleum products waste (indicate the class****) other (indicate the respective type) 7. Production capacity: capacity per year: electricity, MW** thermal energy, MW** 8. Person to whom thermal energy is sold* 9. Date of putting in operation of the power plant I hereby acknowledge that I understand the obligations specified for an electricity producer in laws and regulations, the information provided is true. I hereby acknowledge that the respective local government(s) is (are) informed.***** Date****** ____ ______________ 20______ Person entitled to represent the merchant /signature****** and full name/ /given name, surname of the person who prepared the document/ telephone ____________________ e-mail address __________________________ Notes: * – mark one type with an X as appropriate. ** – complete only regarding co-generation plants. *** – mark one type with an X only regarding co-generation plants or condensation power plants. **** – Cabinet Regulation No. 302 of 19 April 2011, Regulations Regarding the Waste Classification and Characteristics that Make Waste Hazardous. ***** – applies only to co-generation plants. Translation © 2020 Valsts valodas centrs (State Language Centre) 9 ****** – the details of the document “date” and “signature” need not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 10

Annex 2 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 Notification on the Registration of the Electricity Trader Name of the merchant: Unified registration number: Given name, surname of the person entitled to Telephone, fax: represent the merchant: Legal address: [X] Electronic mail address: Planned amount of sale of electricity per year, Merchant’s website: MWh: [X] I agree that the Regulator shall send documents and notifications to the electronic mail address indicated in this registration notification, using the official electronic mail address of the Regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after sending thereof. The Regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication. Please register (name of the merchant) for the provision of a public utility service – trade of electricity. I hereby acknowledge that I understand the obligations specified for an electricity trader in laws and regulations, the information provided is true. Date* ____ ______________ 20______ Person entitled to represent the merchant /signature* and full name/ /given name, surname of the person who prepared the document/ telephone ____________________ e-mail address __________________________ Note: * – the details of the document “date” and “signature” shall not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 11 Translation © 2020 Valsts valodas centrs (State Language Centre) 12

Annex 3 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 Notification on the Registration of the Thermal Energy Producer General information regarding the merchant Name of the merchant: Unified registration number: Given name, surname of the person entitled to Telephone, fax: represent the merchant: Legal address: [X] Electronic mail address: [X] I agree that the Regulator shall send documents and notifications to the electronic mail address indicated in this registration notification, using the official electronic mail address of the Regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after sending thereof. The Regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication. Please register (name of the merchant) for the provision of a public utility service – production of thermal energy. Information regarding each thermal energy production object of the merchant 1. Actual address of the object 2. Installed thermal capacity of a thermal energy production installation (Q, MW) 3. Capacity of the installed co- Electric capacity Thermal capacity of co- generation installations* (P, MW) generation installations (Qkoģ, MW) 4. Type of fuel**: natural gas biogas biomass peat coal diesel fuel fuel oil and other petroleum products electricity waste (indicate the class***) Translation © 2020 Valsts valodas centrs (State Language Centre) 13 other (indicate the respective type) 5. Amount of thermal energy transferred from the object to users per year, MWh 6. Person to whom thermal energy is sold 7. Date of putting in operation of the object I hereby acknowledge that I understand the obligations specified for a thermal energy producer in laws and regulations, the information provided is true, the respective local government(s) is (are) informed. Date**** ____ ______________ 20______ Person entitled to represent the merchant /signature**** and full name/ /given name, surname of the person who prepared the document/ telephone ____________________ e-mail address __________________________ Notes: * – complete if such co-generation installations have been installed in the object, the total electric capacity of which does not exceed 1 MW. ** – mark one type of heating fuel with an X as appropriate. *** – Cabinet Regulation No. 302 of 19 April 2011, Regulations Regarding the Waste Classification and Characteristics that Make Waste Hazardous. **** – the details of the document “date” and “signature” shall not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 14

Annex 4 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 Notification on the Registration of the Thermal Energy Trader Name of the merchant: Unified registration number: Given name, surname of the person Telephone, fax: entitled to represent the merchant: Legal address: [X] Electronic mail address: Amount of sale of thermal energy per year, Administrative territory of provision of the MWh: service: Description of users of the public utility service (number, division – natural or legal persons): [X] I agree that the Regulator shall send documents and notifications to the electronic mail address indicated in this registration notification, using the official electronic mail address of the Regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after sending thereof. The Regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication. Please register (name of the merchant) for the provision of a public utility service – trade of thermal energy. I hereby acknowledge that I understand the obligations specified for a thermal energy trader in laws and regulations, the information provided is true, the respective local government(s) is (are) informed. Date* ____ ______________ 20______ Person entitled to represent the merchant /signature* and full name/ /given name, surname of the person who prepared the document/ telephone ____________________ e-mail address __________________________ Note: * – the details of the document “date” and “signature” shall not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Translation © 2020 Valsts valodas centrs (State Language Centre) 15 Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 16

Annex 5 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 Notification on the Registration of the Natural Gas Trader Name of the merchant: Unified registration number: Given name, surname of the person entitled to Telephone, fax: represent the merchant Legal address: [X] Electronic mail address: Planned amount of sale of natural gas per year, Merchant’s website: MWh: [X] I agree that the Regulator shall send documents and notifications to the electronic mail address indicated in this registration notification, using the official electronic mail address of the Regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after sending thereof. The Regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication. Please register (name of the merchant) for the provision of a public utility service – trade of natural gas. I hereby acknowledge that I understand the obligations specified for a natural gas trader in laws and regulations, the information provided is true. Date* ____ ______________ 20______ Person entitled to represent the merchant /signature* and full name/ /given name, surname of the person who prepared the document/ telephone ____________________ e-mail address __________________________ Note: * – the details of the document “date” and “signature” shall not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 17 Translation © 2020 Valsts valodas centrs (State Language Centre) 18

Annex 6 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 [18 December 2019] Notification on the Termination of Activities Name of the merchant: Unified registration number: Given name, surname of the person entitled to Telephone: represent the merchant: Legal address: [X] Electronic mail address: Please exclude (name of the merchant) starting from __ _____________ 20____:* from the following register: Register of Electricity Traders Register of Electricity Producers Register of Thermal Energy Traders Register of Thermal Energy Producers Register of Natural Gas Traders Register of Aggregators with a justification* State fee in the amount of EUR _______ for the regulation of public utilities in _____ [year] was paid on ____ ____________ 20____. I hereby acknowledge that the respective local government(s) is (are) informed.*** Date**** ____.____.__________________ Authorised representative of the merchant /signature**** and full name/ /given name, surname of the person who prepared the document/ telephone ___________________________ e-mail address __________________________ Notes: Translation © 2020 Valsts valodas centrs (State Language Centre) 19 * – if the merchant has indicated a date before which the Regulator may exclude the merchant from the respective register, the Regulator shall exclude the merchant from the respective register on the date indicated by the Regulator, indicating it in the respective register. ** – need not be indicated, if the merchant is excluded from the Commercial Register. *** – applies to the request to delete from the register of thermal energy traders or thermal energy producers. **** – the details of the document “date” and “signature” shall not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Translation © 2020 Valsts valodas centrs (State Language Centre) 20

Annex 7 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 Information Regarding the Electricity Production Object Put Into Service Name of electricity production merchant: Registration number in the Commercial Register: Registration number in the Register of Electricity Producers: 1. Actual address of the power plant 2. Date of issue of the permit of the Ministry of Economics 3. No. of the permit of the Ministry of Economics 4. Type of the power plant*: wind power plant hydroelectric power plant solar power plant co-generation plant condensation plant 5. Installed capacity of the power Electric Thermal capacity Thermal capacity of plant* capacity of co-generation water heaters (P, MW) installations (Qūd, MW)** (Qkoģ, MW)** 6. Type of fuel***: natural gas biogas biomass peat coal diesel fuel fuel oil and other petroleum products waste (indicate the class****) other (indicate the respective type) 7. Production capacity per year: electricity, MW** thermal energy, MW** Translation © 2020 Valsts valodas centrs (State Language Centre) 21 8. Person to whom thermal energy is sold* 9. Date of putting in operation of the power plant 10. The total installed thermal energy generation capacity of the merchant, including co- generation installations, MW Date***** ____.____.__________________ Person entitled to represent the merchant /signature***** and full name/ /given name, surname of the person who prepared the document/ telephone ____________________ e-mail address __________________________ Notes: * – mark one type with an X as appropriate. ** – complete only for co-generation plants. *** – mark one type with an X only for co-generation plants or condensation power plants. **** – Cabinet Regulation No. 302 of 19 April 2011, Regulations Regarding the Waste Classification and Characteristics that Make Waste Hazardous. *** – the details of the document “date” and “signature” shall not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 22

Annex 8 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 Information Regarding A Thermal Energy Production Object Put Into Service Name of the thermal energy production merchant: Registration number in the Commercial Register: Registration number in the Register of Thermal Energy Producers: 1. Actual address of the object 2. Installed thermal capacity of a thermal energy production installation, MW 3. Capacity of the installed co-generation Electric Thermal capacity of co- installations* capacity generation installations (P, MW) (Qkoģ, MW) 4. Type of fuel: natural gas** biogas** biomass** peat** coal** diesel fuel** fuel oil and other petroleum products** electricity** waste (indicate the class***) other (indicate the respective type) 5. Amount of thermal energy transferred from the object to users per year, MWh 6. Person to whom thermal energy is sold 7. Date of putting in operation of the object 8. The total installed thermal energy generation capacity of the merchant, including co-generation installations, MW Date**** ____.____.__________________ Translation © 2020 Valsts valodas centrs (State Language Centre) 23 Person entitled to represent the merchant /signature**** and full name/ /given name, surname of the person who prepared the document/ telephone ____________________ e-mail address __________________________ Notes: * – complete if such co-generation installations have been installed in the object, the total electric capacity of which does not exceed 1 MW. ** – mark with X. *** – Cabinet Regulation No. 302 of 19 April 2011, Regulations Regarding the Waste Classification and Characteristics that Make Waste Hazardous. **** – the details of the document “date” and “signature” need not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Acting Chair, Board Member of the Public Utilities Commission R. Šņuka Translation © 2020 Valsts valodas centrs (State Language Centre) 24

Annex 9 Decision No. 1/3 of the Public Utilities Commission 7 March 2019 [18 December 2019] Notification on the Registration of an Aggregator Name of the merchant: Unified registration number: Given name, surname of the person entitled to Telephone: represent the merchant: [X] Electronic mail address: Legal address: Merchant’s website: [X] I agree that the Regulator shall send documents and notifications to the electronic mail address indicated in this registration notification, using the official electronic mail address of the Regulator sprk@sprk.gov.lv, in accordance with Section 9, Paragraph two of the Law on Notification, and they shall be deemed as notified on the second working day after sending thereof. The Regulator and the merchant may also use other means of notification specified in the Law on Notification in their mutual communication. Please register (name of the merchant) for the provision of public utility service – demand response service. I hereby acknowledge that I understand the obligations specified for an aggregator in laws and regulations, and that the information provided is true. Date* ____.____.__________________ Person entitled to represent the merchant _________________________ /signature* and full name/ /given name, surname of the person who prepared the document/ telephone ___________________________ e-mail address __________________________ Note: * – the details of the document “date” and “signature” shall not be completed, if the electronic document has been drawn up in accordance with the laws and regulations regarding drawing up of electronic documents. Translation © 2020 Valsts valodas centrs (State Language Centre) 25