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GOVERNMENT
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 51/2019/ND-CP
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Hanoi, June 13,
2019
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DECREE
PRESCRIBING
ADMINISTRATIVE FINES FOR VIOLATIONS ARISING FROM SCIENTIFIC AND TECHNOLOGICAL
ACTIVITIES, AND TECHNOLOGY TRANSFER
Pursuant to the Law on Government Organization
dated June 19, 2015;
Pursuant to the Law on Government Organization
dated June 20, 2012;
Pursuant to the Law on Science and Technology
dated June 18, 2013;
Pursuant to the Law on Technology Transfer dated
June 19, 2017;
Upon the request of the Minister of Science and
Technology;
The Government hereby promulgates the Decree
prescribing administrative fines for violations arising from scientific and
technological activities, and technology transfer.
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GENERAL PROVISIONS
Article 1. Scope
1. This Decree addresses violations, penalty forms,
rates, correction and relief measures and authority to impose fines for
administrative violations arising from scientific and technological activities,
and technology transfer.
2. If administrative violations arising in the
state management sector related to scientific and technological activities and
technological transfers are not specified herein, regulations of the decrees on
penalties for administrative violations arising in that sector shall be applied
to govern imposition of appropriate penalties.
Article 2. Subjects of
application
1. This Decree shall apply to individuals and
organizations operating in the field of science, technology and technology
transfer; persons authorized to issue the penalty notice and persons authorized
to impose administrative fines for violations arising from scientific and
technological activities and technology transfer.
2. Organizations specified in clause 1 of this
Article shall comprise:
a) Scientific and technological organizations
defined in the Law on Science and Technology;
b) Economic organizations prescribed in the Law on
Enterprises;
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d) State regulatory authorities committing any
violation that is not within the assigned scope of the state management;
dd) Socio-political organizations, political and
socio-professional organizations, social organizations and socio-professional
organizations;
e) Other organizations established under law.
3. Business households or cooperative associations
violating regulations laid down herein shall be subject to the same fines as
those imposed on violating individuals.
Article 3. Penalty forms, rates
and imposition authority
1. Any individual or organization committing each
administrative violation arising from scientific and technological activities
or technology transfer shall be subject to one of administrative penalties,
such as warning or fine.
2. The maximum fine imposed on individuals and
organizations involved in scientific and technological activities or technology
transfer shall be 50,000,000 dong and 100,000,000 dong, respectively.
3. The fine rate specified in Chapter II herein
shall be applied to violating individuals. Organizations committing the same
violations shall have to pay 02 times as much as the fine rate applied to
individuals.
4. Depending on the nature and degree of violation,
the violating individual or organization may be subject to one or multiple
supplementary fines as follows:
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b) Confiscating exhibits and means used for
committing administrative violations
5. Authority to impose fines delegated to persons
holding professional titles specified in Chapter III herein shall be applied to
an administrative violation committed by an individual: In case of imposition
of a fine, authority to impose a fine on an organization shall be 02 times as
much as the authority to impose a fine on an individual.
Article 4. Mitigation and
relief measures
The organization or individual committing an
administrative violation may be bound by one or multiple mitigation or relief
measures:
1. Compulsory rectification of incorrect information.
2. Compulsory disgorgement of illegal gains from
commission of violations.
3. Compulsory elimination of dossiers or documents
containing false data and information.
4. Compulsory destruction of inauthentic reports on
scientific research progress, contents and discoveries.
5. Compulsory return of illegally appropriated
sums.
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7. Compulsory handover of overdue sums.
8. Compulsory movement across the borders of the
Socialist Republic of Vietnam or compulsory re-export of goods, objects,
equipment and means.
9. Compulsory destruction of award recognition
results.
10. Compulsory distribution at the predefined
ratios of profits from commercialization of scientific research discoveries and
technological developments.
Chapter II
ADMINISTRATIVE
VIOLATIONS ARISING FROM SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES, AND TECHNOLOGY
TRANSFER
Section 1. ADMINISTRATIVE
VIOLATIONS ARISING FROM SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES, PENALTY FORMS,
RATES AND MITIGATION OR RELIEF MEASURES
Article 5. Violations against
regulations on functions of the science and technology board
1. Giving a warning to any member of the science
and technology board that fails to comply with procedures, make assessments or
give scores in violation of criteria decided by competent regulatory
authorities when counseling, verifying, selecting, assessing and conducting the
acceptance testing on science and technology tasks.
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Article 6. Violations against
regulations on registration of information about science and technology tasks
using state budget allocations
1. Imposing the fine ranging from 1,000,000 dong to
2,000,000 dong for failure to register scientific research discoveries and
technological developments purchased by using state budget allocations assigned
to competent regulatory authorities.
2. Imposing the fine ranging from 2,000,000 dong to
4,000,000 dong for failure to register achievements in scientific and
technological tasks performed by using state budget allocations assigned to
competent regulatory authorities.
Article 7. Violations against
regulations on science and technology activities
1. Issuing a warning against the violation in which
science and technology tasks using state budget allocations are performed after
the defined duration without consent from competent regulatory authorities.
2. Imposing the fine ranging from 1,000,000 dong to
2,000,000 dong for submission of dossiers and documents necessary for
assessment and acceptance testing of scientific and technological achievements
that contain false data and information.
3. Imposing the fine ranging from 2,000,000 dong to
4,000,000 dong for one of the following violations:
a) Declaration of false information included in the
application package for direct selection and assignment of science and
technology tasks;
b) Inauthentic report on scientific and
technological research progress, contents and scientific research discoveries.
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a) Compulsory revocation of dossiers and documents
containing false data and information shall be deemed as relief for violations
prescribed in clause 2 and point a of clause 3 of this Article;
b) Compulsory revocation of incorrect reports on
research progress, contents and scientific research discoveries shall be deemed
as relief for the violation stated in point b of clause 3 of this Article.
Article 8. Violations against
regulations on reporting, registration, commencement of operations and
dissolution of science and technology organizations
1. Imposing the fine ranging from 1,000,000 dong to
2,000,000 dong for failure to make performance review reports as required by
competent regulatory authorities.
2. Imposing the fine ranging from 2,000,000 dong to
4,000,000 dong for failure to report to the Ministry of Science and Technology
on establishment of its directly-controlled overseas science and technology
organization, representative office or branch within the stipulated period of
30 days of receipt of the establishment license.
3. Imposing the fine ranging from 4,000,000 dong to
6,000,000 dong for one of the following violations:
a) Failure to register operations at competent
regulatory authorities within 60 days from the establishment date;
b) Failure to register change or supplementation of
certificate of registration of scientific and technological operations within
12 month from the date of change or supplementation of information inscribed on
the certificate of registration of scientific and technological operations.
4. Imposing the fine ranging from 6,000,000 dong to
8,000,000 dong for failure to conform to procedures and processes for
dissolution of an science and technology organization under the provisions of
clause 3 of Article 16 in the Government’s Decree No. 08/2014/ND-CP dated
January 27, 2014, elaborating on and providing instructions about
implementation of several articles of the Law on Science and Technology.
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a) Performing scientific and technological
operations without obtaining the certificate of registration of operations of
the representative office or branch, and the certificate of establishment of
the representative office or branch of the foreign science and technology
organization;
b) Performing scientific and technological
operations inconsistent with the scope of operations specified in the
certificate of registration of scientific and technological operations and the
certificate of operation of the representative office or branch, or the
certificate of establishment of the representative office or branch of the
foreign science and technology organization;
c) Failure to sustain operational conditions that
are the same as those informed upon the registration of scientific and
technological operations.
6. Imposing the fine ranging from 10,000,000 dong
to 14,000,000 dong for one of the following violations:
a) Performing scientific and technological
operations when the certificate of operation of representative office or branch
or the certificate of establishment of the representative office or branch of
the foreign science and technology organization is suspended or revoked by
competent regulatory authorities;
b) Leasing or lending the certificate of
registration of scientific and technological operations, the certificate of
operation of the representative office or branch, or the certificate of
establishment of the representative office or branch of the foreign science and
technology organization.
7. Imposing the fine ranging from 14,000,000 dong
to 18,000,000 dong for use of documents containing incorrect information
included in the application package for grant of the certificate of
registration of scientific and technological operations, the certificate of
operation of the representative office or branch, or the certificate of
establishment of the representative office or branch of the foreign science and
technology organization.
8. Imposing the fine ranging from 18,000,000 dong
to 30,000,000 dong for establishment of overseas science and technology
organization directly controlled by the Ministry of Science and Technology, the
representative office or branch without the Ministry’s consent;
9. Supplementary penalties:
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10. Mitigation and relief measures:
Forced destruction of documents containing false
information shall be deemed as relief for the violation specified in clause 7
of this Article.
Article 9. Violations against
regulations on assessment and rating of public science and technology
organizations
1. Imposing the fine ranging from 8,000,000 dong to
12,000,000 dong for failure to conform to the requirement for assessment serving
state management demands of competent regulatory authorities.
2. Imposing the fine ranging from 12,000,000 dong
to 20,000,000 dong for one of the following violations:
a) Carrying out the assessment and rating by
wrongfully applying the assessment method or criteria;
b) Failing in public disclosure of assessment or
rating results as required by law.
Article 10. Violations against
regulations on possession and use of scientific discoveries and technological
developments
1. Giving warnings for use of scientific research
discoveries, data and information of other persons or entities in scientific
reports or documentation without clearly citing sources of these discoveries.
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a) Failure to report to the state owner’s
representative on outcomes of exploitation, transfer or assignment of the right
to own or use scientific research discoveries and technological developments;
b) Failure to inform the state owner’s
representative when having no longer had the capability of exploiting the right
to use scientific research discoveries and technological developments;
c) Failure to comply with authorization decisions
issued by competent regulatory authorities.
3. Imposing the fine ranging from 10,000,000 dong
to 14,000,000 dong for one of the following violations:
a) Using and publicizing data, technological
process and information relating to a scientific and technological achievement
under the ownership of another person or entity to complete and develop the one
of their own for sale or for intellectual property registration purposes
without obtaining consent from that person or entity;
b) Registering and publicizing scientific research
discoveries of another person or entity without having yet to obtain permission
from that person or entity;
c) Using technical inventions or advances,
rationalizing the technological process or scientific research discoveries of
another person or entity for use in applying for participation in scientific
and technological exhibitions, contests or awards without their permission.
4. Mitigation and relief measures:
a) Compulsory ratification of false information
with respect to violations specified in clause 3 of this Article;
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Article 11. Violations against
regulations on application and dissemination of scientific and technological
achievements
1. Imposing the fine ranging from 1,000,000 dong to
2,000,000 dong for one of the following violations:
a) Failure to send a report on use of expenditures
on scientific and technological activities upon the request of competent
regulatory authorities;
b) Failure to conduct researches in forming
scientific bases before and during the process of making investment and
responding to scientific and technological issues arising in such process;
c) Failure to correctly and fully conform to
assessment conclusions pertaining to legal bases upon the request of competent
regulatory authorities.
2. Imposing the fine ranging from 2,000,000 dong to
4,000,000 dong for dissemination of analysis, testing and assessment results
without consent from the procuring state agencies.
3. Imposing the fine ranging from 4,000,000 dong to
8,000,000 dong for failure to directly apply or get involved in applying
scientific research discoveries to production and daily life activities with
respect to those discoveries coming from performing scientific and
technological tasks using state budget allocations, bound by commitments and
oriented towards production and daily life activities.
4. Imposing the fine ranging from 8,000,000 dong to
12,000,000 dong for application of achievements in implementation of scientific
and technological tasks not using state budget allocations to production and
daily life activities and subject to legally prescribed assessments which,
however, have not yet been carried out by competent regulatory authorities.
5. Mitigation and relief measures:
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Article 12. Violations against
regulations on transfer, disposition and provision of information about
scientific and technological achievements
1. Imposing the fine ranging from 8,000,000 dong to
12,000,000 dong for one of the following violations:
a) Transferring scientific and technological
achievements without having yet to obtain permission from the owner;
b) Providing data and information obtained from
rendering analysis, testing, consulting or assessment services for personal
financial gain without receiving permission from the owners of such data and
information;
c) Fabricating false information or abusing provision
of information about scientific and technological achievements of one’s own to
cause impacts on legitimate rights and benefits of other organizations and
individuals.
2. Mitigation and relief measures:
Compulsory disgorgement of illegal gains from commission
of the violation defined in clause 1 of this Article.
Article 13. Violations against
regulations on registration, management and use of the science and technology
development fund
1. Imposing the fine ranging from 4,000,000 dong to
8,000,000 dong for one of the following violations:
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b) Failure to report on setting up and using the
science and technology development fund upon the request of competent
regulatory authorities.
2. Imposing the fine ranging from 8,000,000 dong to
12,000,000 dong for management and use of the science and technology development
fund in contrast to registration contents.
3. Imposing the fine ranging from 12.000.000 dong
to 20,000,000 dong for management and use of the science and technology
development fund in contrast to registration contents.
4. Imposing the fine ranging from 20,000,000 dong
to 30,000,000 dong for failure to repay loans from the science and technology
development fund that is derived from state budget allocations by due dates
without consent from competent regulatory authorities.
5. Imposing the fine ranging from 30,000,000 dong
to 40,000,000 dong for failure of state enterprises to retain at least 3% of
their assessable income to set up the science and technology development fund.
6. Imposing the fine ranging from 40,000,000 dong
to 50,000,000 dong for failure of state enterprises to retain their assessable
income to set up the science and technology development fund.
7. Mitigation and relief measures:
a) Compulsory reimbursement of overdue sums owing
to commission of the violation prescribed in clause 4 of this Article;
b) Compulsory disgorgement of illegal gains from
commission of the violation defined in clause 5 and 6 of this Article.
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1. Imposing the fine ranging from 20,000,000 dong
to 30,000,000 dong for one of the following violations:
a) Creating and awarding scientific and
technological prizes for illegal financial gain;
b) Creating scientific and technological prizes for
research projects including components prohibited by law.
2. Mitigation and relief measures:
a) Compulsory disgorgement of illegal gains from
commission of the violation defined in point a of clause 1 of this Article;
b) Compulsory elimination of results of recognition
of prizes and compulsory rectification of false information existing due to
commission of the violation specified in point b of clause 1 of this Article.
Article 15. Violations against
regulations on management and use of state budget expenditures on scientific
and technological activities
1. Imposing the fine ranging from 10,000,000 dong
to 20,000,000 dong for one of the following violations:
a) Using scientific and technological research
expenditures for wrongful purposes;
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2. Imposing the fine ranging from 20,000,000 dong
to 30,000,000 dong for failure to repay finances derived from state budget by
due dates without consent from competent regulatory authorities.
3. Mitigation and relief measures:
a) Compulsory reimbursement of sums used for
wrongful purposes or identical to others owing to commission of the violation
defined in clause 1 of this Article;
a) Compulsory reimbursement of overdue sums owing
to commission of the violation prescribed in clause 2 of this Article;
c) Compulsory disgorgement of illegal gains from
commission of the violation defined in clause 2 of this Article.
Section 2. ADMINISTRATIVE
VIOLATIONS ARISING FROM TECHNOLOGY TRANSFER, PENALTY FORMS, RATES AND
MITIGATION OR RELIEF MEASURES
Article 16. Violations against
regulations on reporting of technological transfer, assessment and testing
1. Imposing the fine ranging from 1,000,000 dong to
2,000,000 dong for one of the following violations:
a) Failure to send the previous year’s report on
implementation of the contract for transfer of the technology already obtaining
the technology transfer license to competent regulatory authorities;
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2. Imposing the fine ranging from 2,000,000 dong to
4,000,000 dong for failure to periodically send annual reports on results of
technological assessment and testing to the receiving competent regulatory
authority stipulated by law on technology transfer.
3. Imposing the fine ranging from 4,000,000 dong to
8,000,000 dong for failure to report to competent regulatory authority that has
assessed or commented on the transferred technology when making any change or
adjustment in contents of the transferred technology.
Article 17. Violations arising
from making the request for approval of technology transfer, registering
extension, revision and supplementation of contents of the transferred
technology, or granting technology transfer license
1. Imposing the fine ranging from 2,000,000 dong to
4,000,000 dong for declaration of false information included in request
documents for approval of technology transfer.
2. Imposing the fine ranging from 4,000,000 dong to
8,000,000 for failure to complete procedures for registration of extension,
revision and supplementation of technology transfer contents when there is an
agreement on extension, revision and supplementation of contents of technology
transfer required to be registered.
3. Imposing the fine ranging from 8,000,000 dong to
12,000,000 dong for failure to implement procedures for grant of new technology
transfer license when changing contents of the technology subject to transfer
restriction that has already obtained technology transfer license.
4. Mitigation and relief measures:
Forced destruction of documents containing false
data and information shall be deemed as relief for the violation specified in
clause 1 of this Article.
Article 18. Violations on
obligations to distribute profits earned from commercialization of scientific
research discoveries and technological developments funded by the state budget
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2. Imposing the fine ranging from 12,000,000 dong
to 20,000,000 dong for failure to distribute profits earned from
commercialization of scientific research discoveries and technological
developments.
3. Mitigation and relief measures:
a) Compulsory distribution of profits at the
defined ratio with respect to those profits earned from commercialization of
scientific research discoveries and technological developments shall be deemed
as relief for violations specified in clause 1 and 2 of this Article;
b) Compulsory disgorgement of illegal gains from
commission of any violation defined in clause 1 and 2 of this Article.
Article 19. Violations arising
from technology transfer at rural, mountainous, island areas or those areas
facing socio-economic disadvantages or special socio-economic disadvantages
Imposing the fine ranging from 12,000,000 dong to
20,000,000 dong for implementation of programs and projects for popularizing
plant varieties, animal breeds or technologies for crop and animal production,
storage and processing of agricultural, forestry, fishery and salt products at
rural, mountainous, island areas or those areas facing socio-economic
disadvantages or special socio-economic disadvantages without any content of
technology transfer.
Article 20. Violations against
incentive policies for technology transfer, application and innovation, support
for and promotion of development of the scientific and technological market
1. Imposing the fine ranging from 4,000,000 dong to
10,000,000 dong for any fraudulent or deceitful acts during the process of
preparation of application documents for recognition of scientific research
discoveries and technological developments that are not funded by the state
budget.
2. Imposing the fine ranging from 10,000,000 dong
to 20,000,000 dong for failure to repay subsidies from the State by due dates
in accordance with regulations when the certificate of registration of
technology transfer is revoked.
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4. Imposing the fine ranging from 30,000,000 dong
to 40,000,000 dong for any fraudulent or deceitful act performed to receive one
of the following support and preferential policies from the State in accordance
with law on technology transfer
a) Support for enterprises running the projects in
the sector or industry or areas given investment incentives that receive
technologies transferred from science and technology entities;
b) Preferential treatment given to enterprises
cooperating with other entities or persons in implementing investment projects
in technological innovation, innovative startup and development of
infrastructure intended for scientific and technological development as well as
joint research activities;
c) Support or advantages given to infrastructure –
engineering investment for technology deciphering activities; entities or
persons carrying out technology deciphering activities;
d) Support given to science and technology
organizations whose activities are linked to local technology application and
transfer organizations in order to complete scientific research discoveries and
technological developments to meet particular conditions of localities;
dd) Financial support and other support given to purchase
scientific research discoveries and technological developments at the expense
of entities or persons;
e) Purchase of inventions and innovations which are
then transferred to enterprises before being applied and publicly disclosed to
people;
g) Financial support or other support given to
purchase scientific research discoveries and technological developments created
by domestic entities or persons on their own to make national, key and mainline
products;
h) Support given to entities or persons performing
scientific and technological tasks to develop technologies and complete
national, key and mainline products;
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k) Support for development of intermediaries
operating in science and technology markets.
5. Mitigation and relief measures:
a) Compulsory reimbursement of overdue sums owing
to commission of any violation prescribed in clause 2 of this Article;
a) Compulsory reimbursement of misused sums owing
to commission of the violation defined in clause 3 of this Article;
c) Compulsory disgorgement of illegal gains from
commission of any violation defined in clause 2, 3 and 4 of this Article;
d) Forced destruction of documents containing false
data and information shall be deemed as relief for the violation specified in
clause 1 and 4 of this Article.
Article 21. Violations arising
from technology transfer service business
1. Imposing the fine ranging from 6,000,000 dong to
10,000,000 dong for business of technology assessment and testing services
without having related documents and means kept in custody or handed over to
service users after completion of such services under agreements.
2. Imposing the fine ranging from 10,000,000 dong
to 20,000,000 dong for one of the following violations:
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b) Failure to uphold conditions necessary for provision
of technology testing services under Article 36 in the Government’s Decree No.
76/2018/ND-CP dated May 15, 2018, elaborating and providing instructions on
implementation of several articles of the Law on Technology Transfer;
c) Supplementation, expansion and narrowing of the
extent of assessment and testing technology or change of technology assessment
and testing experts without implementing procedures for revision and
supplementation of the certificate of fulfillment of requirements for provision
of technology assessment and testing services.
3. Imposing the fine ranging from 20,000,000 dong
to 30,000,000 dong for business of technology assessment and testing services
without obtaining the certificate of fulfillment of requirements for provision
of technology assessment and testing services.
4. Supplementary penalties:
Depriving of the right to use the certificate of
fulfillment of requirements for provision of technology assessment and testing
services for the duration of 1 - 3 months shall be deemed as relief for the
violation defined in clause 2 of this Article.
Article 22. Violations arising
from making and executing technology transfer contracts, technology transfer
service contracts, contents of technology transfer in terms, conditions and
appendices of investment project contracts and documentation
1. Imposing the fine ranging from 12,000,000 dong
to 20,000,000 dong for failure to make written contracts upon independent
technology transfer or capital contribution made by using technologies.
2. Imposing the fine ranging from 20,000,000 dong
to 30,000,000 dong for one of the following violations:
a) Performing any fraudulent or deceitful act
during the process of making technology transfer contracts or contents of
technology transfer in terms, conditions of and appendices to investment
project contracts and documentation for the purposes of being granted the
certificate of registration of technology transfer or the technology transfer
license;
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c) Failing to conform to requirements included in
the technology transfer license, the certificate of registration of technology
transfer or the certificate of registration of extension, revision and
supplementation of contents of technology transfer that has already been
issued.
3. Imposing the fine ranging from 30,000,000 dong
to 40,000,000 dong for one of the following violations:
a) Failing to carry out the valuation based on
technology valuation counsels when transferring technology between parties, one
or several of whom hold state capital;
b) Failing to audit prices in the form of appraisal
of the transferred technology when transferring it between parties whose
relationship exists in the model of parent company and subsidiary upon the
request of the tax authority;
c) Failing to audit prices in the form of appraisal
of the transferred technology when transferring it between parties engaged in transfer
pricing under law on taxes upon the tax authority’s request.
4. Supplementary penalties:
Depriving of the right to use the certificate of
registration of technology transfer, the certificate of registration of
extension, revision and supplementation of contents of technology transfer or
the technology transfer license for the period from 01 to 03 months shall be
deemed as supplementary penalty for the violation defined in point c of clause
2 of this Article.
5. Mitigation and relief measures:
a) Compulsory elimination of dossiers and documents
containing false data and information shall be deemed as relief for the
violation defined in point a of clause 2 of this Article;
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Article 23. Violations arising
from deciding to invest in construction projects using technologies
1. Imposing the fine ranging from 10,000,000 dong to
14,000,000 dong for the decision to invest in construction projects at risk of
causing adverse environmental impacts, as provided in law on environmental
protection, which use technologies without obtaining assessment results or
opinions on these technologies from competent regulatory authorities.
2. Imposing the fine ranging from 14,000,000 dong
to 18,000,000 dong for grant of the decision to invest in construction projects
using technologies subject to transfer restriction without obtaining assessment
results or opinions about these technologies from competent regulatory
authorities.
Article 24. Violations arising
from use of technologies obtaining approval or permits from competent entities
Imposing the fine ranging from 20,000,000 dong to
30,000,000 dong for use of technologies which are not the same as those
approved or licensed by competent regulatory authorities.
Article 25. Violations arising
from registration of technology transfer
1. Imposing the fine ranging from 30,000,000 dong
to 40,000,000 dong for one of the following violations:
a) Making the inbound transfer of technologies from
abroad to Vietnam without obtaining the certificate of registration of
technology transfer;
b) Making the outbound transfer of technologies
from Vietnam to foreign countries without obtaining the certificate of
registration of technology transfer;
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2. Supplementary penalties:
Confiscating exhibits or means used for commission
of administrative violations defined in clause 1 of this Article.
Article 26. Violations arising
from transfer of technologies in the list of technologies subject to transfer
restriction or those in the list of technologies subject to transfer
prohibition
1. Imposing the fine ranging from 30,000,000 dong
to 40,000,000 dong for transfer of technologies in the list of technologies
subject to transfer restriction without obtaining the technology transfer
license.
2. Imposing the fine ranging from 40,000,000 dong
to 50,000,000 dong for the transfer of technologies from Vietnam to foreign countries
or from abroad to Vietnam in the list of technologies subject to transfer
prohibition.
3. Supplementary penalties:
Confiscating exhibits or means used for commission
of administrative violations defined in clause 1 of this Article.
4. Mitigation and relief measures:
Compulsory movement across the borders of the
Socialist Republic of Vietnam or compulsory re-export of goods, objects,
equipment and means shall be deemed as relief for any violation defined in
clause 2 of this Article applied to the inbound transfer of technologies from
abroad to Vietnam.
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AUTHORITY TO ISSUE
PENALTY NOTICES, IMPOSE ADMINISTRATIVE FINES AND APPLY MEASURES FOR MITIGATION
AND RELIEF OF CONSEQUENCES RELATED TO SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES
AND TECHNOLOGY TRANSFERS
Article 27. Authority to issue
penalty notices
1. Persons authorized to impose administrative
fines shall be regulated in Article 18 through Article 34 herein.
2. Public officers or servants working for entities
specified in Article 28 through Article 34 herein shall be tasked with
examining, inspecting and detecting administrative violations arising from
scientific and technological activities and technology transfers.
Article 28. Authority of the
inspectorate specialized in science and technology affairs
1. Inspectors or persons assigned to carry out
specialized inspections on duty shall be vested with the following rights:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 500,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 500,000 dong.
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a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 25,000,000 dong;
c) Deprive of the right to use the followings
within the definite term: Science and technology registration certificates,
certificates of operations of representative offices, branches, technology
transfer certificates, information technology registration certificates,
certificates of registration of extension, revision and supplementation of
contents of technology transfer, certificates of conformance to licensing
requirements for technology assessment and testing services;
d) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 25,000,000 dong;
dd) Apply mitigation and relief measures against
consequences as stipulated in Article 4 herein.
3. The leader of the inspection group at the
department level, the leader of the specialized inspection group affiliated to
the Directorate for Standards, Metrology, and Quality, the leader of the
specialized inspection group affiliated to the Department of Radiation and
Nuclear Safety and the Chief Inspector of the Department of Radiation and
Nuclear Safety shall be accorded authority to impose penalties as prescribed in
clause 2 of this Article.
4. The leader of the specialized inspection group
affiliated to the Ministry of Science and Technology shall be vested with the
following rights:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 35,000,000 dong;
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d) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 35,000,000 dong;
dd) Apply mitigation and relief measures against
consequences as stipulated in Article 4 herein.
5. The Chief Inspectors of Ministries and the
Director of the Directorate for Standards, Metrology, and Quality, the Director
of the Department of Radiation and Nuclear Safety affiliated to the Ministry of
Science and Technology shall be vested with the following rights:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 50,000,000 dong;
c) Deprive of the right to use the followings
within the definite term: Science and technology registration certificates,
certificates of operations of representative offices, branches, technology
transfer certificates, information technology registration certificates,
certificates of registration of extension, revision and supplementation of
contents of technology transfer, certificates of conformance to licensing
requirements for technology assessment and testing services;
d) Seize any exhibit or means used in commission of
administrative violation;
dd) Apply mitigation and relief measures against
consequences as stipulated in Article 4 herein.
Article 29. Authority
delegated to Chairman/Chairwoman of People's Committee
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a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 5,000,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 5,000,000 dong.
2. The Chairman/Chairwoman of the district-level
People’s Committee shall be accorded the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 25,000,000 dong;
c) Deprive of the right to use the followings
within the definite term: Science and technology registration certificates,
certificates of operations of representative offices, branches, technology
transfer certificates, information technology registration certificates,
certificates of registration of extension, revision and supplementation of
contents of technology transfer, certificates of conformance to licensing
requirements for technology assessment and testing services;
d) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 25,000,000 dong;
dd) Apply mitigation or relief measures against
consequences as stipulated in clauses 1, 2, 3, 4, 5, 6, 7, 9 and 10 of Article
4 herein.
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a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 50,000,000 dong;
c) Deprive of the right to use the followings
within the definite term: Science and technology registration certificates,
certificates of operations of representative offices, branches, technology
transfer certificates, information technology registration certificates,
certificates of registration of extension, revision and supplementation of
contents of technology transfer, certificates of conformance to licensing
requirements for technology assessment and testing services;
d) Seize any exhibit or means used in commission of
administrative violation;
dd) Apply mitigation and relief measures against
consequences as stipulated in Article 4 herein.
Article 30. Authority
delegated to the People’s Public Security
1. Soldiers of the People’s Public Security on duty
shall be vested with the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 500,000 dong.
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a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 1,500,000 dong.
3. Sheriffs of commune-level police units,
Commanders of police stations and Heads of police stations at border
checkpoints or export processing zones shall be vested with the following
powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 2,500,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 2,500,000 dong.
4. Sheriffs of the district-level Police and Heads
of provincial-level Police Divisions, including: Head of the Internal Political
Security Division, Head of the Economic Security Division, Head of the
Cybersecurity, Prevention and Control of Hi-Tech Crimes, Head of the Office
Division for Administrative Management of Public Order, Head of the Division
for Prevention and Control of Environmental Crimes, Head of the Police Division
for Investigation into Crimes related to Corruption, Economy and Smuggling; Heads
of Operations Divisions affiliated to: Internal Political Security Department,
Economic Security Department, Department of Cybersecurity, Prevention and
Control of Hi-Tech Crimes, Police Department for Administrative Management of
Public Order, Police Department for Prevention and Control of Environmental
Crimes, and Police Department for Investigation into Crimes related to
Corruption, Economy and Smuggling, shall be vested with the following rights:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 10,000,000 dong;
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d) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 10,000,000 dong.
5. Director of the province-level Police Department
shall be vested with the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 25,000,000 dong;
c) Deprive of the right to use the followings
within the definite term: The Certificate of registration of scientific and
technological activities and the certificate of operation of representative
office or branch;
d) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 25,000,000 dong.
6. Directors of Internal Political Security
Department, Economic Security Department, Department of Cybersecurity,
Prevention and Control of Hi-Tech Crimes, Police Department for Administrative
Management of Public Order, Police Department for Prevention and Control of
Environmental Crimes, and Police Department for Investigation into Crimes
related to Corruption, Economy and Smuggling, shall be vested with the
following rights:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 50,000,000 dong;
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d) Seize any exhibit or means used in commission of
administrative violation.
Article 31. Authority
delegated to customs authorities
1. Customs officers on duty shall be vested with
the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 500,000 dong.
2. Team leaders of Customs Subdepartments and team
leaders of Post-clearance Inspection Subdepartments shall be vested with the
following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 5,000,000 dong.
3. Directors of Customs Subdepartments, Directors
of Post-clearance Inspection Subdepartments, Leaders of Control Teams of
provincial, inter-provincial or centrally-affiliated city Customs Departments,
Leaders of Smuggling Control Teams, Leaders of Customers Procedures Teams,
Leaders of Maritime Control Teams and Leaders of Intellectual Property Right
Control and Protection Teams subordinate to the Smuggling Investigation and
Prevention Department, a subsidiary of the General Department of Customs, shall
be vested with the following powers:
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b) Impose a fine of up to 25,000,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 25,000,000 dong;
d) Apply corrective measures to mitigate
consequences as stipulated in clause 8 of Article 4 herein.
4. Director of the Smuggling Investigation and
Prevention Department, Director of the Post-clearance Inspection Department, a
subsidiary of the General Department of Customs, and Directors of the
provincial, inter-provincial or centrally-affiliated city Customs Departments,
shall be vested with the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 50,000,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 50,000,000 dong;
d) Apply corrective measures to mitigate
consequences as stipulated in clause 8 of Article 4 herein.
5. Director of the General Department of Customs
shall be accorded the following powers:
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b) Impose a fine of up to 50,000,000 dong;
c) Seize any material object or equipment used in
commission of administrative violation;
d) Apply corrective measures to mitigate consequences
as stipulated in clause 8 of Article 4 herein.
Article 32. Authority
delegated to the Market Surveillance Authority
1. The Chief of the Market Surveillance Team shall
be accorded the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 25,000,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 25,000,000 dong.
2. Director of the Market Surveillance Operation
Department and Director of the Market Surveillance Department at the provincial
level affiliated to the Vietnam Directorate of Market Surveillance shall be
vested with the following powers:
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b) Impose a fine of up to 50,000,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 50,000,000 dong;
d) Deprive of the right to use the followings
within the definite term: Certificate of fulfillment of requirements for
provision of technology assessment and testing.
3. General Director of the Vietnam Directorate of
Market Surveillance shall be accorded the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 50,000,000 dong;
c) Seize any material object or equipment used in
commission of administrative violation;
d) Deprive of the right to use the followings
within the definite term: Certificate of fulfillment of requirements for
provision of technology assessment and testing.
Article 33. Authority
delegated to tax authorities
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a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 35,000,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 35,000,000 dong;
d) Apply corrective measures to mitigate
consequences as stipulated in clause 2 of Article 4 herein.
2. General Director of the General Department of
Taxation shall be accorded the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 50,000,000 dong;
c) Seize any material object or equipment used in
commission of administrative violation;
d) Apply corrective measures to mitigate
consequences as stipulated in clause 2 of Article 4 herein.
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1. Inspectors or persons assigned to carry out
other specialized inspections on duty shall be vested with the following
rights:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 500,000 dong;
c) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 500,000 dong.
2. The Chief Inspector of Department and persons
holding titles specified in clause 2 of Article 46 in the Law on Handling of
Administrative Violations, except those titles of the Chief Inspector of the
State Securities Commission; Director of the Subdepartment of Food Safety and
Hygiene; Director of the Subdepartment of Population – Family Planning
affiliated to the Department of Health shall, under their assigned functions,
duties and rights, have the following rights:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 25,000,000 dong;
c) Deprive of the right to use the followings
within the definite term: Science and technology registration certificates,
certificates of operations of representative offices, branches, technology
transfer certificates, information technology registration certificates,
certificates of registration of extension, revision and supplementation of
contents of technology transfer, certificates of conformance to licensing
requirements for technology assessment and testing services;
d) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 25,000,000 dong;
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3. Leader of the specialized inspection group of
Department and Leader of the specialized inspection group of General
Department, Department or equivalent who are authorized by the Government to
perform the functions of specialized inspection under their assigned functions,
duties and rights shall be accorded authority to impose penalties as provided
in clause 2 of this Article.
4. Leaders of the specialized inspection groups at
the ministerial level shall, under their assigned functions, duties and rights,
have the following powers:
a) Impose penalties represented in the form of
warning;
b) Impose a fine of up to 35,000,000 dong;
c) Deprive of the right to use the followings
within the definite term: Science and technology registration certificates,
certificates of operations of representative offices, branches, technology
transfer certificates, information technology registration certificates,
certificates of registration of extension, revision and supplementation of
contents of technology transfer, certificates of conformance to licensing
requirements for technology assessment and testing services;
d) Confiscate any exhibit or means used for
commission of administrative violation which is worth up to 35,000,000 dong;
dd) Apply mitigation and relief measures against
consequences as stipulated in Article 4 herein.
5. The Chief Inspectors of Ministries or
Ministerial-level agencies and persons holding titles stipulated in clause 4 of
Article 46 in the Law on Handling of Administrative Violation shall, within their
assigned functions, duties and powers, have the following delegated authority:
a) Impose penalties represented in the form of
warning;
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c) Deprive of the right to use the followings
within the definite term: Science and technology registration certificates,
certificates of operations of representative offices, branches, technology
transfer certificates, information technology registration certificates,
certificates of registration of extension, revision and supplementation of
contents of technology transfer, certificates of conformance to licensing
requirements for technology assessment and testing services;
d) Seize any exhibit or means used in commission of
administrative violation;
dd) Apply mitigation and relief measures against
consequences as stipulated in Article 4 herein.
Article 35. Apportionment of
authority of Inspectors, persons assigned to perform specialized inspection
duties in the science and technology sector, Chairmen/Chairwomen of People’s
Committees, People’s Public Security, Customs, Market Surveillance, Tax agencies
and Inspectors thereof, and persons assigned to perform other specialized
inspection duties
1. Persons authorized to impose penalties under the
control of the inspection authorities, persons assigned to perform specialized
inspection duties in the science and technology sector shall be vested with
authority to issue notices of administrative violations, fines and apply
mitigation or relief measures to administrative violations prescribed in
Chapter II herein under the jurisdiction provided in Article 28 herein and
within their assigned functions, duties and rights.
2. Chairmen/Chairwomen of People’s Committees at
all levels shall be vested with authority to issue notices of administrative
violations, fines and apply mitigation or relief measures to administrative
violations prescribed in Chapter II herein under the jurisdiction provided in
Article 29 herein and within their assigned functions, duties and rights.
3. Persons authorized to impose penalties under the
control of Police authorities shall be vested with authority to issue notices
of administrative violations, fines and apply mitigation or relief measures to
administrative violations prescribed in Article 8, 23 and 26 herein under the
jurisdiction provided in Article 29 herein and within their assigned functions,
duties and rights.
4. Persons authorized to impose penalties under the
control of Customs authorities shall be vested with authority to issue notices of
administrative violations, fines and apply mitigation or relief measures to
administrative violations prescribed in Article 25, 26 herein under the
jurisdiction provided in Article 31 herein and within their assigned functions,
duties and rights.
5. Persons authorized to impose penalties under the
control of Market Surveillance authorities shall be vested with authority to
issue notices of administrative violations, fines and apply mitigation or
relief measures to administrative violations prescribed in Article 21 herein
under the jurisdiction provided in Article 31 herein and within their assigned
functions, duties and rights.
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7. Persons authorized to impose penalties under the
control of the Inspection authorities and persons assigned to perform
specialized inspection duties shall be vested with authority to issue notices
of administrative violations, fines and apply mitigation or relief measures to
administrative violations prescribed in Article 7, 8, 11, 15, 16, 19, 21, 23,
24, 25 and 26 herein under the jurisdiction provided in Article 34 herein and
within their assigned functions, duties and rights.
Chapter IV
IMPLEMENTATION
PROVISIONS
Article 36. Entry into force
1. This Decree shall take effect from August 01,
2019.
2. This Decree shall supersede the Government’s
Decree No. 64/2013/ND-CP dated July 26, 2013 on fines for administrative
violations arising from scientific and technological activities and technology
transfer and the Government’s Decree No. 93/2014/ND-CP dated October 17, 2014
on amendments and supplements to certain Articles in the Decree No.
64/2013/ND-CP dated July 26, 2013, prescribing fines for administrative
violations arising from scientific and technological activities and technology
transfer.
3. If any administrative violation arising from
scientific and technological activities and technology transfer occurs prior to
the entry into force of this Decree, is detected after the effective date of
this Decree or action against such violation is considered, regulations
beneficial to the violating person or entity must be applied.
4. If the decision on fine for administrative
violation arising in the scientific and technological activities and technology
transfer has been completely issued or executed prior to the entry into force
of this Decree, and the entity or person enforced to comply with such decision
file an appeal, regulations enshrined in the Government’s Decree No.
64/2013/ND-CP dated July 26, 2013 on fines for administrative violations
arising from scientific and technological activities and technology transfer,
and the Government’s Decree No. 93/2014/ND-CP dated October 17, 2014 on
amendments and supplements to certain Articles in the Decree No. 64/2013/ND-CP
dated July 26, 2013, prescribing fines for administrative violations arising
from scientific and technological activities and technology transfer, shall be
applied to take necessary actions.
Article 37. Implementary
responsibilities
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2. Ministers, Heads of Ministry-level agencies,
Heads of Governmental bodies, and Chairmen/Chairwomen of People’s Committees of
centrally-affiliated cities and provinces, shall be responsible for
implementing this Decree./
PRIME MINISTER
Nguyen Xuan Phuc