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MINISTRY
OF FINANCE
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THE
SOCIALIST REPUBLIC OF VIETNAM
Independence– Freedom – Happiness
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No.:
78/2012/TT-BTC
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Hanoi,
May 18, 2012
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CIRCULAR
GUIDING A NUMBER OF ARTICLES OF THE DECREE NO.84/2011/ND-CP
DATED 20/9/2011 OF THE GOVERNMENT REGULATING THE HANDLING OF ADMINISTRATIVE
VIOLATION IN PRICE FIELD
Pursuant to the Ordinance on
Prices No.40/2002/PL-UBTVQH10 passed by the Xth session National
Assembly Standing Committee on 26/4/2002;
Pursuant to the Ordinance on Handling
of Administrative Violations No.44/2002/PL-UBTVQH10 passed by the Xth
session National Assembly on 02/7/2002;
Pursuant to the Ordinance
amending and supplementing some Articles of the Ordinance on Handling of
Administrative Violations No.04/2008/PL-UBTVQH12 passed by the XIIth
session National Assembly Standing Committee on 02/4/2008;
Pursuant to the Decree
No.170/2003/ND-CP dated 25/12/2003 of the Government detailing the
implementation of a number of Articles of the Ordinance on Prices;
Pursuant to the Decree
No.101/2005/ND-CP dated 03/08/2005 of the Government on valuation;
Pursuant to the Decree
No.75/2008/ND-CP dated 09/06/2008 of the Government amending and supplementing
some Articles of the Decree No.170/2003/ND-CP dated 25/12/2003 of the Government
detailing the implementation of some Articles of the Ordinance on Prices;
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Pursuant the Decree
No.128/2008/ND-CP dated 16/12/2008 of the Government detailing the
implementation of some Articles of the 2002 Ordinance on Handling of
Administrative Violations and the Ordinance Amending and Supplementing a number
of Articles of the 2008 Ordinance on Handling of Administrative Violations;
Pursuant to the Decree
No.84/2011/ND-CP dated 20/9/2011 of the Government on sanctioning
administrative violations in the price field;
At the proposal of the
Director of Price Management Department, the Minister of Finance issues a
Circular guiding some Articles of the Decree No.84/2011/ND-CP dated 20/09/2011
of the Government on sanctions administrative violations in the field of price,
SECTION 1.
GENERAL PROVISIONS
Article 1.
Scope of governing
This Circular guides some
Articles of the Decree No.84/2011/ND-CP dated 20/09/2011 of the Government on
sanctioning administrative violations in the field of prices (hereinafter
referred to as the Decree No.84/2011/ND-CP) guiding specifically some
administrative violations in the field of prices (including administrative
violations in price and valuation), the sanction levels, the sanctioning
competence, procedures of collection, payment and use of fines of
administrative violations in the field of prices.
Article 2.
Subjects of application
1. The competent State
management agencies, persons who are authorized by the competent state
management agencies to assign duty to sanction administrative violations in the
field of prices.
2. Organizations and individuals
that violate the provisions of law in the field of prices but not seriously to
be prosecuted for criminal liability.
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1. The State agencies that
promulgated legal documents in the field of prices not in compliance with
competence, written documents issued ultra vires shall be handled in accordance
with the provisions of law on promulgation of legal documents; persons who
signed documents ultra vires shall be handled in accordance with the provisions
of law on officials and public employees.
2. The expiry of prescription
for sanctioning administrative violations as stipulated in Article 5 of the
Decree No.84/2011/ND-CP.
3. Administrative violations in
the field of price having criminal signs; their records are transferred to the
competent authorities conducting criminal proceedings for consideration and
settlement under the provisions of criminal law.
4. The case of not handling
administrative violations in accordance with the provisions of law on handling
of administrative violations.
Article 4.
Application of the principles of handling of administrative violations
The application of the
principles of sanctioning administrative violations in the field of prices
shall comply with principles of sanctioning administrative violations provided
for in Article 3 of the Decree No.84/2011/ND-CP and guided in this Article as
follows:
1. The individuals and
organizations committing acts of administrative violations in the field of
prices shall be sanctioned under the provisions of the Decree No.84/2011/ND-CP.
In case the administrative violations in relation to prices are not regulated
in the Decree No.84/2011/ND-CP, it shall apply the provisions of the
Government’s other Decrees on sanctioning of administrative violations in the
field of concerned state management to handle.
2. When making the decisions to
sanction violations of individuals and organizations, persons who are competent
to sanction must be based on the nature and seriousness of the violations,
aggravating and extenuating circumstances prescribed in Article 4 of the Decree
No.84/2011/ND-CP.
3. A violation made by the same
individual, organization at the same time for various goods and services shall
be sanctioned only once. Organizations, individuals with many administrative
violations in the field of prices shall be sanctioned for each violation. Many
organizations and individuals commit together an administrative violation in
the field of prices, each violating individual, organization is sanctioned.
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Article 5.
Application of provisions of law on administrative sanctions
The principles for sanctioning,
handling of minors who commit acts of administrative violations; method of
calculating time limits, prescription in handling of administrative violation in
the field of prices; the making of a record of administrative violation,
issuance of decision on sanctioning administrative violation; procedures for
imposing fines, collection and payment of fines; procedures for confiscation
and handling of material evidences and means of administrative violations; the
execution of decisions to sanction administrative violations; postponing of the
execution of fining decisions and enforcement of decisions on sanctioning of
administrative violations and transfer of decisions of administrative sanctions
in the field of prices shall be undertaken in accordance with the law on
handling of administrative violations and the Decree No.37/2005/ND-CP dated
18/03/2005 of the Government defining the procedures to apply coercive measures
to implement the decision on handling of administrative violations.
Minutes of the sanctioning of
administrative violations, inspection records, the decision on handling of
administrative violation on price, decision on temporary seizure of material
evidence and means of administrative violations, records of temporary seizure
of material evidences and means of administrative violations, decision on
enforcing the decision to handle administrative violation on price shall comply
with the Form 01, Form 02, Form 03, Form 04, Form 05 and Form 06 issued
together with this Circular.
SECTION 2.
SPECIFIC PROVISIONS
Article 6.
Acts of violating regulations on price stabilization
1. The act of failing to report
or reporting not in compliance with provisions as required by competent State
management agencies in clause 1 of Article 9 of the Decree No.84/2011/ND-CP is
the act of failing to report or reporting not in compliance with time limit; or
reporting incomplete, inaccurate business results, the elements constituting
prices, sale prices of goods and services on the list of goods and services
stabilized prices, registration of prices, price declaration and list of
assets, goods and services valued by the State in accordance with current law
or the written request of the competent State management agencies.
2. The price stabilization
measures specified in clause 2 of Article 9 of the Decree No.84/2011/ND-CP are
specified in:
a) Clause 3 of Article 1 of the
Decree No.75/2008/ND-CP dated 09/06/2008 of the Government amending and
supplementing some Articles of the Decree No.170/2003/ND-CP dated 25/12/2003 of
the Government detailing the implementation of some Articles of the Ordinance
on Prices.
b) Clause 3 of Article 2 of the
Circular No.122/2010/TT-BTC dated 12/08/2010 of the Ministry of Finance
amending and supplementing the Circular No.104/2008/TT-BTC dated 13/11/2008 of
the Ministry of Finance guiding the implementation of the Decree
No.170/2003/ND-CP dated 25/12/2003 of the Government detailing the implementation
of some Articles of the Ordinance on Prices and the Decree No.75/2008/ND-CP
dated 09/6/2008 of the Government amending and supplementing some Articles of
the Decree No.170/2003/ND-CP dated 25/12/2003 of the Government detailing the
implementation of some Articles of the Ordinance on Prices.
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Article 7.
Application of remedial measures for the act of failing to comply with prices
decided by the competent agency
1. The amount of price
difference that organizations and individuals obtained due to not strictly
abide by the price prescribed by the competent authorities required to be paid
into the state budget as defined at Point a, Clause 5, Article 12 of the Decree
No.84/2011/ND-CP is calculated by:
- The difference in price that
organizations and individuals have sold higher than the specific prices, the
maximum rate of price bracket, standard price, limited price decided by the
competent agency multiplied (x ) with the number of goods or services sold or:
- The difference in price that
organizations and individuals have purchased less than the minimum price,
minimum rate of the price bracket decided by the competent agency multiplied (x
) with the number of goods or services purchased.
2. The amount lost that the
organizations and individuals sold goods and services higher than the price
prescribed at Point b, Clause 5, Article 12 of the Decree No.84/2011/ND-CP is
calculated by product between the difference in price of the specific price or
maximum price of standard price bracket, limited price decided by the competent
agency multiplied (x ) with the number of goods or services sold higher than
the corresponding rates above decided by the competent agency.
3. In case of applied the
remedial measures specified at Point b, Clause 5, Article 12 of the Decree
No.84/2011/ND-CP, it shall not apply the remedial measures specified at Point
a, Clause 5, Article 12 of the Decree No.84/2011/ND-CP.
4. The related costs for refund
of the amount violated by organizations and individuals mentioned in point c
clause 5 of Article 12 of the Decree No.84/2011/ND-CP are the costs having
reasonable and valid documents as prescribed by law.
Article 8.
Acts of violating regulations on pricing plans for goods and services
The act of planning for pricing
goods and services under the list that the State decides price, stabilizes
price not in compliance with the instructions on the pricing Regulation decided
by the competent agency specified in clause 1 of Article 13 of the Decree
No.84/2011/ND-CP include: the act of failing to apply the bases of pricing,
determining the price incorrectly due to fail to comply with the instructions
in the pricing Regulation.
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1. The specific business
operations with conditions as prescribed by the Government stipulated in
Article 14 of the Decree No.84/2011/ND-CP are the operations trading items that
the government regulates on the business conditions.
2. Application of the additional
sanctioning forms:
a) Organizations and individuals
that violate the provisions of Clause 1 or Clause 2 of Article 14 of the Decree
No.84/2011/ND-CP for two times or more and with three additional aggravating
circumstances or more, except for aggravating circumstances specified at Point
b, Clause 2, Article 4 of the Decree No.84/2011/ND-CP, in addition to fines
according to regulations, it is also stripped a period of 12 (twelve) months
the right to use certificates of eligibility for the business, supply of goods
and services; the business licenses of organizations and individuals producing,
trading and supplying goods and services as prescribed by law.
b) Organizations and individuals
having both violations specified in clause 1 and clause 2 of Article 14 of the
Decree No.84/2011/ND-CP and having two aggravating circumstances or more, apart
from being fined, it is also indefinitely stripped the right to use the
certificates of of eligibility for the business or supply of goods or services;
the business licenses of organizations and individuals producing, trading and
supply of goods, services as prescribed by law.
Article 10.
Acts of violation of price registration and declaration of goods and services
1. The act of failing to
publicize the prices registered and declared by the organizations and
individuals producing, trading specified in clause 1 of Article 15 of the
Decree No.84/2011/ND-CP is the act failing to conduct any form of publication
for the declared, registered prices after they are valid. The forms of
publication include: press conferences, published in the mass media, price
listing in accordance with provisions or other publication forms as prescribed
by law in the field of price.
2. The act of setting forms,
rate for price declaration specified in clause 2 of Article 15 of the Decree
No.84/2011/ND-CP not in compliance with instructions on pricing Regulations
decided by the competent State agency includes the following acts:
a) Failing to declare a full
range of prices of goods and services such as import prices, the wholesale price,
retail price, recommended retail price in accordance with the law provisions in
the field of price.
b) Failing to state clearly the
specifications, quality and origin of the product.
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3. Acts of setting up prices for
price registration not in compliance with instructions on pricing Regulations
defined by the competent State agency at clause 3 of Article 15 of the Decree No.84/2011/ND-CP
include the following acts:
a) Failing to perform in
accordance with the principles and methods of calculating assets, goods,
services at the Circular No.154/2010/TT-BTC dated 01/10/2010 of the Ministry of
Finance issuing Regulation on pricing assets, goods, services; using bases of
price calculation; price adjustment, cost allocation not following the guidance
at the pricing Regulation.
b) Using false and inaccurate
information, without checking on the accuracy of the information put into use.
4. The act of failing to declare
prices in accordance with the law on prices of goods and services to the
competent state management agency under the provisions of clause 4 of Article
15 of the Decree No.84/2011/ND-CP is the act failing to send price declaration
form to the state agency for the first declaration or price re-declaration
before the price adjustment of increase or decrease is made compared with the
declared price of the preceding times, or when requested in writing the price
re-declaration of the competent State management agency.
5. The act of failing to
register prices in accordance with the law on prices of goods and services to
the competent state management agency under the provisions of clause 5 of
Article 15 of the Decree No.84/2011/ND-CP is the act failing to send price
registration form to the state agency for the first registration or price re-
registration before the price adjustment of increase or decrease is made
compared with the registered price of the preceding times, or when requested in
writing the price re- registration of the competent State management agency.
6. Application of the additional
sanctioning forms:
The organizations and
individuals committing acts of administrative violations in Article 15 of the
Decree No.84/2011/ND-CP, in addition to the fine in cash under the provisions
it is also applied the following additional sanctioning forms:
a) Deciding on suspension of the
implementation of the prices of selling goods and services defined by the
organizations and individuals when registering and declaring price
unreasonably, not in compliance with the guidance on the pricing Regulations
issued by the competent agency.
b) Stripping for a term of 12
(twelve) months the right to use certificates of eligibility for doing
business, business licenses granted in cases of:
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- 3 times of committing acts of
violations prescribed in Clause 4 or Clause 5 of Article 15 of the Decree
No.84/2011/ND-CP and with two more aggravating circumstances unless those
specified in point b, Clause 2, Article 4 of the Decree No.84/2011/ND-CP.
c) Stripping the right to use
indefinitely certificates of eligibility for doing business, the business
licenses granted in cases of:
- 4 times of committing acts of
violations prescribed in Clause 2 or Clause 3 of Article 15 of the Decree
No.84/2011/ND-CP and with two more aggravating circumstances or more unless
those specified in point b, Clause 2, Article 4 of the Decree No.84/2011/ND-CP.
- 4 times of committing acts of
violations prescribed in Clause 4 or Clause 5 of Article 15 of the Decree
No.84/2011/ND-CP and with two more aggravating circumstances or more unless
those specified in point b, Clause 2, Article 4 of the Decree No.84/2011/ND-CP.
Article 11.
Acts of violation on the listing of prices of goods and services
1. The acts of violation on the
listing of prices of goods and services applied to the subjects required to
list prices. Subjects required to list prices to be the organizations and
individuals engaged in production and business in the territory of Vietnam must
list wholesale price, retail price, recommended retail price in accordance with
standards, quality and quantity of each type of sold goods and service at the
following locations:
a) The facilities of production,
business (with the counters of transaction and selling products).
b) Supermarkets, shopping
centers, markets in accordance with provisions of law, stores, shops, kiosks,
stall selling goods or supplying services.
c) Fairs with sale of goods.
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a) Currency listed its prices is
Vietnam Dong.
b) Organizations or individuals
selling wholesale goods, services shall perform the listing of wholesale prices
included all taxes, fees and charges (if any) of each type of goods and service
by informing publicly the specific prices of goods and services on the boards
(including electronic board), on paper in the form of placing, putting, hanging
at the places of transactions convenient for observation and identification of
customers, through written notice or on the internet.
c) Organizations and individuals
retailing goods and services make the listing of prices included all taxes,
fees and charges (if any) by public announcement at the place of transactions
by boards (including the electronic board), on the card, on shelves, on product
packaging, or on products for each specific goods or on the Internet to
facilitate the observation and identification of the customers.
d) Organizations, individuals
providing content services on mobile network, Internet network make the listing
of service charges in the following forms:
- Television: it must provide
rates during the advertising, pricing information must be stood still, not
being drifted, run. Size, the height of rates is by at least one fifth the
height of the screen (or at least equal to half of the height of the command
syntax).
- Oral press: When syntax of
message is advertised completely to a certain phone number, it must provide
immediately information on rate required to be paid by users, for example after
the advertising on downloading ring tones to a certain phone number, it must
provide information on rate, after advertising lottery results from a phone
number, it must provide information on rate.
- Electronic press: it must
provide rates at any place where ad on the syntax of the message command to
phone number is existed.
- Writing press: It must provide
information on rate for each service, each phone number with the font size of
the minimum height, width of 1.5 mm.
- When users wish to download a
product, service through software installed on mobile phone, the software must
provide the specific charges that the users will have to pay if they do the
function of downloading information, service from a phone number.
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3. The sanction for violation of
listing prices of goods and services shall comply with the provisions of
Article 16 of the Decree No.84/2011/ND-CP.
4. Sanction levels are specified
as follows:
a) A warning shall be imposed to
the organizations and individuals committing first act of violation in case of
the violation of not listing or listing price not in compliance with
regulations, not clear causing confusion for customers. In particular, the
first violation means the violation firstly detected with violation record or
conclusion of the inspection and examination.
b) A fine of 1,250,000 VND shall
be imposed to the organizations and individuals that commit acts of recidivism
violations or violations from two times or more of not listing or listing price
not in compliance with regulations for commodities and services required to be
listed.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating circumstance
or more, the fine level is VND 500,000;
- If having one aggravating
circumstance or more, unless the aggravating circumstance specified at Point b,
Clause 2, Article 4 of the Decree No.84/2011/ND-CP, the fine level is VND
2,000,000.
c) A fine of VND 3,500,000 shall
be imposed to the organizations and individuals that sold goods and collected
services charge higher listed prices.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
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- If having one aggravating
circumstance or more, the fine level is VND 5,000,000.
d) A fine of VND 7,500,000 shall
be imposed to the organizations and individuals that violate the listing of price,
sold higher than the listed prices for goods and services on the list of price
stabilization, goods and services on the list of business restriction or
conditional business, or goods and services at locations where the competent
state agencies require the price listing.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 5,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 10,000,000.
Article 12.
Acts of increasing excessively price
1. The acts of increasing price
according to the price registered or declared with the competent state
management agency, but the competent state management agency sent written request
for explaining on the price registered or declared or written request for the
suspension of the application of new price and implementation of
re-registering, re-declaring the price stipulated in Point b clause 1 Article
17 of the Decree No.84/2011/ND-CP, including:
a) Continuing to implement the
price increase according to the one registered or declared with the competent
State management agency in the event of expiry of the explanation of price
registered or declared but still have no official dispatch to explain for
responding to the request for sending a written explanation by the competent
state agency.
The time limit for explanation
is prescribed in the Finance Ministry's decision on the issuance of the process
of price registration and declaration. The time limit for explanation is
calculated according to the coming postmark of the written explanations or by
date on the written request for explanation of the competent State management
agencies in the absence of the postmark.
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2. The total value of goods and
services sold from excessive price increase used as a basis for applying the
sanction level is calculated by the product of the actual selling price of the
unit with act of price increase by the price registered, declared but has not
been approved for application by the competent State management agency
multiplied (x) with total amount of goods and services sold by increased price
to date the sanction for administrative violation is made.
3. Sanction levels are specified
as follows:
a) A fine of VND 750,000 shall
be imposed for the act of increasing prices specified in clause 1, Article 17
of the Decree No.84/2011/ND-CP.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 500,000;
- If having one aggravating
circumstance or more, the fine level is VND 1,000,000.
b) A fine of VND 2,000,000 shall
be imposed for the act of increasing prices specified in clause 2, Article 17
of the Decree No.84/2011/ND-CP.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 1,000,000;
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c) A fine of VND 4,000,000 shall
be imposed for the act of increasing prices specified in clause 3, Article 17
of the Decree No.84/2011/ND-CP.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 3,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 5,000,000.
d) A fine of VND 6,000,000 shall
be imposed for the act of increasing prices specified in clause 4, Article 17
of the Decree No.84/2011/ND-CP.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 5,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 7,000,000.
đ) A fine of VND 8,500,000 shall
be imposed for the act of increasing prices specified in clause 5, Article 17
of the Decree No.84/2011/ND-CP.
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- If having one extenuating
circumstance or more, the fine level is VND 7,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 10,000,000.
e) A fine of VND 12,500,000
shall be imposed for the act of increasing prices specified in clause 6,
Article 17 of the Decree No.84/2011/ND-CP.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 10,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 15,000,000.
g) A fine of VND 17,500,000
shall be imposed for the act of increasing prices specified in clause 7,
Article 17 of the Decree No.84/2011/ND-CP.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 15,000,000;
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4. Application of the additional
sanctioning forms:
The organizations and
individuals that violate the provisions of Article 17 of the Decree
No.84/2011/ND-CP, in addition to fines under the provisions, they are also
subject to the following additional sanctioning forms:
a) Stripping for 12 (twelve)
months the right to use certificates of eligibility for business, business
licenses granted for the organizations and individuals that violate the
excessive price increases three times or recidivism, and with more aggravating
circumstances, unless those specified at Point b, Clause 2, Article 4 of the
Decree No.84/2011/ND-CP.
b) Stripping for an indefinite
period the right to use certificates of eligibility for business, business licenses
granted for the organizations and individuals that violate the excessive price
increases 4 times or more, and with more aggravating circumstances, unless
those specified at Point b, Clause 2, Article 4 of the Decree No.84/2011/ND-CP.
5. Remedial measures:
Organizations and individuals
that violate the provisions of Article 17 of the Decree No.84/2011/ND-CP, in
addition to fines under the provisions, it is also subject to the remedial
measures as confiscation for remitting into State budget the money earned by
the administrative violation. The collection of fines shall comply with the
provisions of Article 19 of this Circular.
The money earned from
administrative violations for the acts violating the provisions of Article 17
of the Decree No.84/2011/ND-CP is the difference between the total value of
goods and services sold due to excessive price increase and total value of
goods and services sold under the declared, registered price and has been
approved for application previously by the competent state agencies.
Article 13.
Acts of providing false information on markets, prices of goods and services
1. The acts of providing false
information on markets, prices of goods and services shall be sanctioned under the
provisions of Article 18 of the Decree No.84/2011/ND-CP. Specific sanction
levels are specified as follows:
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b) A fine of VND 750,000 shall
be imposed to organizations and individuals that fabricate or spread
information, provide false information on the market situation, prices of goods
and services causing confusion psychology in society and market instability.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 500,000;
- If having one aggravating
circumstance or more, the fine level is VND 1,000,000.
c) A fine of VND 3,000,000 shall
be imposed to business households that fabricate or spread information, provide
false information on the market situation, prices of goods and services causing
confusion psychology in society and market instability.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 1,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 5,000,000.
d) A fine of VND 7,500,000 shall
be imposed to the enterprises that fabricate or spread information, provide
false information on the market situation, prices of goods and services causing
confusion psychology in society and market instability.
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- If having one extenuating
circumstance or more, the fine level is VND 5,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 10,000,000.
đ) A fine of 15,000,000 shall be
imposed to the mass media agencies and concerned organizations that fabricate
or spread information, provide false information on the market situation,
prices of goods and services on the mass media such as printed press, oral
press, visual press, electronic press or other information publications causing
confusion psychology in society and market instability.
Where there are extenuating or
aggravating circumstances, the sanction levels are as follows:
- If having one extenuating
circumstance or more, the fine level is VND 10,000,000;
- If having one aggravating
circumstance or more, the fine level is VND 20,000,000.
2. Application of the additional
sanctioning forms.
Organizations and individuals
committing acts of violation specified in Clause 2, Clause 3 of Article 18 of
the Decree No.84/2011/ND-CP in addition to fines under the provisions they are
also subject to the following additional sanctioning forms:
a) Stripping for 12 (twelve)
months the right to use certificates of eligibility for business, business
licenses granted for the organizations and individuals that violate three times
or more, and with 2 aggravating circumstances or more, unless those specified
at Point b, Clause 2, Article 4 of the Decree No.84/2011/ND-CP.
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3. Remedial measures.
Organizations and individuals
committing acts of violation specified in Article 18 of the Decree
No.84/2011/ND-CP in addition to fines under the provisions, they are also
subject to the following remedial measures:
a) Forced to correct information
for the violations specified at Clause 2, Clause 3, Clause 4, Article 18 of the
Decree No.84/2011/ND-CP through mass media and the website of the Ministry of
Finance or Department of Finance where the administrative violations are
committed;
b) Forced to destroy or seized
to destroy publications with false information contents for the violations
prescribed in Clause 4 of Article 18 of the Decree No.84/2011/ND-CP. The entire
costs of destruction of these publications shall be paid by units, individuals
that violate.
Article 14.
Sanction of administrative violations on valuation for valuation enterprises
1. The acts of failing to
provide valuation certificates and failing to provide reports of valuation
results as required by competent state agencies specified in clause 6 of
Article 19 of the Decree No.84/2011/ND-CP are the acts failing to provide
valuation certificates, failing to provide reports on the evaluation results
which the competent State management agencies request within 5 days after expiration
of the request for providing valuation certificates and reports on the
evaluation results.
The provisions in clause 6 of
Article 19 of the Decree No.84/2011/ND-CP shall be applied when the competent state
agencies send written requests for providing valuation certificates, the
reports on the evaluation results that valuation enterprises performed and
these materials are still in the time required to store records, documentation
of valuation prescribed by law. Documents requested for providing are used for
the purposes such as re-evaluation of the results of valuation of the valuation
enterprises, collection of materials for the inspection, examination;
collection of evidence for adjudication of the disputes, collection of
materials for activities of building and completing legal documents; and other
purposes prescribed by law.
2. Competent State management
agency that makes the final evaluation results as prescribed in clause 7 of
Article 19 of the Decree No.84/2011/ND-CP is the Ministry of Finance. This
result is presented upon the settlement of disputes, complaints or
denunciations or inspection, unusual or regular examination for valuation
activities.
3. Provisions on the acts of
failing to appropriate a reserve fund for occupational risks in clause 9 of
Article 19 of the Decree No.84/2011/ND-CP shall be applied when the enterprises
do not purchase professional liability insurance and do not to set up reserve
fund for occupational risks in accordance with provisions of the valuation law.
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Valuation enterprises committing
acts of violation specified in Article 19 of the Decree No.84/2011/ND-CP in
addition to fines under the provisions they are also subject to the following
additional sanctioning forms:
a) Withdrawn the notice on
enterprise qualified for valuation activities of the year being fined announced
by the Ministry of Finance, for the cases:
- The acts of violation defined
in Clause 1, Clause 2, Clause 4, Clause 5, Clause 6, Clause 9 of Article 19 of
the Decree No.84/2011/ND-CP and with one aggravating circumstance.
- The acts of violation defined
in Clause 3 or Clause 8 of Article 19 of the Decree No.84/2011/ND-CP.
b) Withdrawn the notice on
enterprise qualified for valuation activities of the year being fined announced
by the Ministry of Finance, and not being notified enterprise qualified for
valuation activities for the preceding year for the cases:
- The acts of violation defined
in Clause 1, Clause 2, Clause 4, Clause 5, Clause 6, Clause 9 of Article 19 of
the Decree No.84/2011/ND-CP and with 2 aggravating circumstances or more.
- The acts of violation defined
in Clause 3, Clause 8 of Article 19 of the Decree No.84/2011/ND-CP and with 1 aggravating
circumstance or more.
- The acts of violation defined
in Clause 7 of Article 19 of the Decree No.84/2011/ND-CP.
5. Application of the additional
sanctioning forms.
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The different amount caused by
administrative violation is the cost hiring valuation service based on valuation
contract and the other losses for the customer that the competent State
management agency determines.
b) Valuation enterprises
committing acts of violation specified in Clause 9, Article 19 of the Decree
No.84/2011/ND-CP also are forced to appropriate a reserve fund for occupational
risk or forced to buy professional liability insurance in accordance with law
provisions.
Article 15.
Sanction of administrative violations on valuation for price appraisers.
1. A number of administrative
violations prescribed in Clause 1 of Article 20 of the Decree No.84/2011/ND-CP
is guided as follows:
a) The acts of failing to comply
with the valuation process provided for in Clause 1 of Article 20 of the Decree
No.84/2011/ND-CP are the acts failing to comply with the valuation procedures
specified in the evaluation standards of Vietnam and the specialized legal
documents in the field of price.
b) The acts of failing to comply
with valuation method under the guidance in valuation standards of Vietnam and
the specialized legal documents in the field of price, or international
valuation standards accredited by the Ministry of Finance provided for in
Clause 1 of Article 20 of the Decree No.84/2011/ND-CP are the acts failing to
comply with valuation method as prescribed leading to falsify valuation
results.
Valuation method prescribed in
valuation standards of Vietnam and the specialized legal documents in the field
of price; in case valuation standards of Vietnam has not been instructed yet,
then comply with the standards, Guidelines for valuation of the International
Valuation Standards Council (IVSC); in case the International Valuation
Standards Council has not instructed yet, then comply with the guidance
of the ASEAN Valuation Association (AVA) and other organizations or other
international valuation associations admitted by the Ministry of Finance.
2. The act of leasing, lending
the organizations and individuals the appraiser cards for these organizations
and individuals to establish the valuation enterprises as provided for in
Clause 2 of Article 20 of the Decree No.84/2011/ND-CP is the act that
appraisers lease or lend their cards for the organizations and individuals to
register certificates of business registration with a business line to be
valuation with the competent state management agency, but not practicing
valuation in the enterprise.
3. The act of leasing, lending
the valuation enterprises the price appraiser cards for the competent State
management agencies to notice that the enterprises are eligible for valuation
operation specified in clause 3 of Article 20 of the Decree No.84/2011/ND-CP is
the act that price appraiser registered to practice valuation in the valuation
enterprises for these enterprises to satisfy the condition on price appraiser
and to be noticed by the competent State management agencies that the
enterprises are qualified for valuation operation, but these price appraisers
do not actually practice in the valuation enterprises.
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Apart from the fines, the
appraisers who commit acts of administrative violations on valuation may be
subject to the following additional sanctioning forms:
a) Deleting name in the list of
price appraisers who are qualified to practice valuation as notified by the Ministry
of Finance for the following acts:
- The act failing to comply with
valuation procedures as prescribed in Clause 1 of Article 20 of the Decree
No.84/2011/ND-CP and has an aggravating circumstance;
- The act failing to comply
valuation method as prescribed in Clause 1 of Article 20 of the Decree
No.84/2011/ND-CP and has an aggravating circumstance.
b) Deleting name in the list of
price appraisers who are qualified to practice valuation as notified by the
Ministry of Finance during the year to be sanctioned and not being registered
to practice valuation in the following year for the following acts:
- The act failing to comply with
valuation procedures as prescribed in Clause 1 of Article 20 of the Decree No.84/2011/ND-CP
and has 2 aggravating circumstances or more;
- The act failing to comply
valuation method as prescribed in Clause 1 of Article 20 of the Decree
No.84/2011/ND-CP and has 2 aggravating circumstances or more.
- The act disclosing information
on valuation customers and valuation assets that the appraisers know in
practice, unless otherwise agreed by the valuation customer or permitted by
law.
- The act receiving any sum of
money or other benefits from organizations and individuals with demand of
valuation beyond the service rates agreed in the contract.
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- The act practicing valuation
in the same time for 2 valuation enterprises or more.
c) Stripping a term of twelve
(12) months the right to use price appraisers card, and deleting name in the
list of price appraisers who are qualified to practice valuation as notified by
the Ministry of Finance for the year to be detected administrative violation
for the following acts:
- The acts specified at Point b,
Clause 4, Article 15 of this Circular, if having one more aggravating
circumstance.
- The act colluding with
property owners, customers, stakeholders when making valuation to falsify the
results of evaluation by the different rate specified in Clause 7 of Article 19
of the Decree No.84/2011/ND-CP compared with the result of the final valuation
of the competent State management agency.
d) Stripping indefinitely the
right to use price appraiser card or revoking price appraiser card for the
following acts:
- The act of leasing, lending
the organizations and individuals the appraiser cards for these organizations
and individuals to have certificates of business registration with business
line to be valuation.
- The act colluding with
property owners, customers, stakeholders when making valuation to falsify the
results of evaluation compared with the result of the final valuation of the
competent State management agency and have one more aggravating circumstance.
- The act of leasing, lending
the valuation enterprises the price appraiser cards for the competent State
management agencies to notice that the enterprises are eligible for valuation
operation.
5. Application of remedial
measures:
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b) Forced to return the
customers the entire amount lost caused by acts of administrative violations
specified at point a, and point b, Clause 4, Article 15 of this Circular.
c) Confiscating to remit into
the state budget the entire amount that appraisers obtained due to
administrative violations specified in Article 20 of the Decree
No.84/2011/ND-CP, in the absence of application of point b, Clause 5 of Article
15 of this Circular.
Article 16.
Sanction of administrative violations on valuation for organizations and
individuals to use state budget to purchase assets required to valuate in
accordance with the law provisions.
1. The sanction of
administrative violations on valuation for organizations and individuals to use
the state budget purchase assets required to valuate in accordance with the law
provisions shall comply with the provisions of Article 21 of the Decree
No.84/2011/ND-CP.
2. The act colluding with
valuation enterprises, price appraisers to raise prices or lower prices,
causing damage to the State as specified in Clause 3 of Article 21 of the
Decree No.84/2011/ND-CP is the act agreeing with valuation enterprises, price
appraisers to raise the valuation service rates, causing damage to the State;
to raise or lower valuation of assets required to evaluate for the procurement
activity or sale of assets from state budget led to damage to the State.
Article 17.
Sanction of administrative violations on valuation for the organization
functioning training and retraining of valuation professional skill
1. A fine of VND 30,000,000
shall be imposed for one of the following acts:
a) Violation of regulations on
procedures for organizing the course of training and retraining as provided for
in the Regulation of training and retraining of valuation professional
skill issued by the competent State management agencies; failing to send report
on the results of organizing the course of training and retraining valuation
professional skill to the Finance Ministry (the Price Management
Department); failing to register with the Finance Ministry (the Price
Management Department) on the training and retraining of valuation professional
skill.
b) Issuing certificates of
training and retraining of valuation professional skill for those who are not
named in the school list, those who have attended school but did not qualify
under the provisions of the Regulation on training and valuation professional
skill.
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Organizations functioning
training, re-training short term professional skill of valuation commit
administrative violations prescribed in this Article, in addition to the fines,
they are also subject to the following measures:
a) Stripping the right to train
and retrain professional skill of valuation of these organizations within 12
(twelve) months, for the violations prescribed at Point a, Clause 1 of this
Article and has one aggravating circumstance or more.
b) Stripping indefinitely the
right to train and retrain professional skill of valuation of these
organizations for the violations prescribed at Point b, Clause 1 of this
Article with one aggravating circumstance or more; at the same time, revoking
certificates of training and retraining of professional skill of valuation
which have been granted for subjects not on the school list, or the students
who are not eligible for being granted certificates of training and retraining
professional skill of valuation in accordance with the Regulation on training
and retraining professional skill of valuation.
SECTION 3.
COMPETENCE, COLLECTION, PAYMENT, AND USE OF FINES IN ADMINISTRATIVE VIOLATION
SANCTIONS
Article 18.
Determination of competence to sanction administrative violations in the field
of price
Competence to sanction administrative
violations in the field of price as prescribed in Article 24, Article 25,
Article 26, Article 27, Article 28, and Article 29 of the Decree
No.84/2011/ND-CP is the competence applied for an administrative violation. In
the case of fines, the sanctioning competence shall be determined based on the
maximum level of the fine bracket prescribed for each administrative violation.
In the case of sanctioning a
person who commits many acts of administrative violations in the field of
prices, the sanctioning competence shall be determined as follows:
1. If the sanction forms, the
sanction level prescribed for every act are under the competence of the
sanctioning person provided for in Article 24, Article 25, Article 26, Article
27, Article 28 and Article 29 of the Decree No.84/2011/ND-CP, the sanctioning
shall be conducted.
2. Where a fine level or one of
the forms of additional sanctions or remedial measures are not under the
jurisdiction or beyond its jurisdiction, those who are processing the cases of
violation shall promptly transfer the matters to the people who are competent
to sanction.
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Proceeds from the sanctioning of
administrative violations in the field of price are paid into the state budget
through the accounts of temporary collection, temporary seizure of the
financial agency opened at the state treasury. The collection, remittance of
fines is made as prescribed in the Circular No.128/2008/TT-BTC dated 24/12/2008
of the Ministry of Finance guiding the collection and management of revenues of
the state budget through the Treasury State. The management and use of fines
for administrative violations shall comply with the provisions of the Circular
No.47/2006/TT-BTC dated 31/05/2006 of the Ministry of Finance guiding the
implementation of the Decree No.124/2005/ND-CP dated 6/10/2005 of the
Government defining on receipt of fines and management, use of fines for administrative
violations.
Article 20.
Complaints, denunciations and handling of violations
The complaints and
denunciations, settlement of complaints and denunciations and handling of
violations shall comply with the provisions of Article 35, Article 36 of the Decree
No.84/2011/ND-CP.
SECTION 4.
ORGANIZATION OF IMPLEMENTATION
Article 21.
Effect
1. This Circular takes effect as
from July 05, 2012.
2. To annul the Circular
No.110/2004/TT-BTC dated 18/11/2004 of the Ministry of Finance guiding the
Decree No.169/2004/ND-CP dated 22/9/2004 of the Government on sanctioning
administrative violations in the field of price.
Article 22.
Responsibility for implementation
1. Director of Price Management
Department, Chief Inspector of the Ministry of Finance are responsible for
organizing and implementing the handling of administrative violations in the
field of prices to ensure the compliance with provisions of law.
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FOR
MINISTER
DEPUTY MINISTER
Tran Van Hieu