Decree No. 51/2019/ND-CP penalties for administrative violations in technology transfer

DECREE
On sanctioning administrative violations 
in scientific and technological activities and technology transfer

Pursuant to the Law on Organization of the Government dated June 19, 2015;

Pursuant to the Law on Handling of Administrative Violations 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;

At the request of the Minister of Science and Technology;

The Government issued a Decree on sanctioning administrative
violations in scientific and technological activities and technology transfer.

Chapter I
GENERAL PROVISIONS

Article 1. Scope of regulation

1. This Decree stipulates acts of violation, their sanctions, sanctioning forms, remedial measures and sanctioning jurisdiction of administrative sanctions in scientific and technological activities as well as technology transfer.

2. Acts of administrative violation in the fields of state management related to scientific and technological activities and technology transfer, which are not prescribed in this Decree, shall comply with the provisions of other decrees on sanctioning of administrative violations in such fields.

Article 2. Subjects of application

1. This Decree shall be applied to individuals and organizations in the field of science - technology and technology transfer; competent persons to make records; competent persons to sanction administrative violations in scientific and technological activities and technology transfer.

2. Organizations prescribed in Clause 1 of this Article include:

a) Scientific and technological organizations under the provisions of the Law on Science and Technology;

b) Economic organizations under the provisions of the Law on Enterprises;

c) Economic organizations under the provisions of the Law on Cooperatives;

d) State agencies committing acts of violation apart from their assigned state management tasks;

d) Socio-political organizations, political socio-professional organizations, social organizations, socio-professional organizations;

e) Other legal organizations established in accordance with the laws.

3. Business households and cooperatives violating the provisions of this Decree shall be applied with sanctions as such for individuals.

Article 3. Sanctioning forms, fine levels and sanctioning jurisdiction

1. For each act of administrative violation in scientific and technological activities and transfer of technology, individuals and organizations shall be subject to warning or fine.

2. The maximum fine level in scientific and technological activities and technology transfer is VND 50,000,000 for individuals and VND 100,000,000 for organizations.

3. The fine levels prescribed in Chapter II of this Decree are the fine levels applicable to individuals. Organizations with the same acts of violation, the fine level shall be 2 times more than the fine for individuals.

4. Depending on the nature and seriousness of the violations, individuals and organizations with acts of violation shall also be subject to one or more additional sanctioning forms as following:

a) Deprivation of the right to use for a definite term from 1 to 3 months:Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content,certificate of eligibility for technology assessment services;

b) Confiscation of material evidences and means of administrative violations.

5. The sanctioning jurisdiction of the titles prescribed in Chapter III of this Decree is the jurisdiction applicable to individual administrative violations. In case of monetary sanctions, the sanctioning jurisdiction is 2 times greater than that for individuals.

Article 4. Remedial measures

Organizations and individuals committing administrative violations shall be subject to one or more of the following remedial measures:

1. Forced correction of untruthful information.

2. Forced reimbursement of illegal profits gained from the acts of violation.

3. Forced cancellation of records, documents with untruthful data and content.

4. Forced cancellation of untruthful reports on progress, content and research results.

5. Forced reimbursement of the illegally misappropriated money.

6. Forced reimbursement of the money that has been used for the wrong or duplicated purposes.

7. Forced payment of unpunctually reimbursed money.

8. Forced removal from the territory of the Socialist Republic of Vietnam or forced re-export of goods, materials, equipment and facilities.

9. Forced cancellation of award recognition results.

10. Forced distribution in accurate proportion of profits from the commercialization of the results of scientific research and technological development.

Chapter II
ACTS OF ADMINISTRATIVE VIOLATION 
IN SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES
AND TECHNOLOGY TRANSFER

Section 1
ACTS OF ADMINISTRATIVE VIOLATION
IN SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES
AND TECHNOLOGY TRANSFER, SANCTIONING FORMS, FINE LEVELS AND REMEDIAL MEASURES.

Article 5. Violation of regulations on activities of scientific and technological councils

1. Warning shall apply for members of the Councils of Science and Technology who fail to comply with the procedures or evaluate and score not in accordance with the criteria set by the competent state authorities when consulting, appraising, selecting, evaluating and conducting acceptance of scientific and technological tasks.

2. A fine of between VND 500,000 and 1,000,000 shall be imposed on members of the Councils of Science and Technology for publishing and providing information related to the process of evaluation and results of consultancy without the consent of decisive agencies on establishing the Councils.

Article 6. Violation of regulations on registration of information on scientific and technological tasks using the state budget

1. A fine of between VND 1,000,000 and 2,000,000 shall be imposed for acts of not registering information on results of scientific research and technological development purchased with the state budget according to regulations of competent state agencies.

2. A fine of between VND 2,000,000 and 4,000,000 shall be imposed for acts of not registering the results of performing scientific and technological tasks using the state budget according to regulations of competent state agencies.

Article 7. Violation of regulations on scientific and technological activities

1. Warning shall apply for acts of performing scientific and technological tasks using the state budget in excess of the committed time without the consent of competent state agencies.

2. A fine of between VND 1,000,000 and 2,000,000 shall be imposed for acts of submitting dossiers and documents in service of evaluation and pre-acceptance of the results of scientific and technological tasks with untruthful data and contents.

3. A fine of between VND 2,000,000 and 4,000,000 shall be imposed for one of the following behaviors:

a) Untruthfully declaring in participation dossiers in selection and direct assignment of scientific and technological tasks;

b) Untruthfully reporting on research progress, content and results.

4. Remedial measures:

a) Forced cancellation of dossiers and documents with untruthful data and contents, shall be imposed for acts of violation prescribed in Clause 2 and at Point a, Clause 3 of this Article;

b) Forced cancellation of untruthful reports on research progress, contents and results, shall be imposed for acts of violation prescribed at Point b, Clause 3 of this Article.

Article 8. Violation of regulations on reporting, registration and deployment of activities and dissolution of the scientific and technological organizations

1. A fine of between VND 1,000,000 and 2,000,000 shall be imposed for acts of failing to report on the operation situation according to regulations of competent state agencies.

2. A fine of between VND 2,000,000 and 4,000,000 shall be imposed for not notifying the Ministry of Science and Technology of the establishment of a scientific and technological organizations directly under foreign authority, representative offices or branches in foreign countries within 30 days from the date of being allowed to establish.

3. A fine of between VND 4,000,000 and 6,000,000 shall be imposed for one of the following acts:

a) Not registering for operation at a competent state agency within 60 days from the date of establishment;

b) Not registering for amendment and supplementation of certificates of scientific and technological activity registration within 12 months from the date of changing or supplementing the contents stated in the Certificate of scientific and technological activity registration.

4. A fine of between VND 6,000,000 and 8,000,000 shall be imposed for acts of failing to comply with the order and procedures for dissolution of scientific and technological organizations according to the provisions of Clause 3, Article 16 of Decree No.08/2014/ND-CP dated January 27, 2014 of the Government detailing and guiding the implementation of a number of articles of the Law on Science and Technology.

5. A fine of between VND 8,000,000 and 10,000,000 shall be imposed for one of the following acts:

a) Conducting scientific and technological activities without Certificate of operation of representative offices and branches or establishment license off representative offices and branches of foreign scientific and technological institutions;

b) Conducting scientific and technological activities in the fields not stated in the certificate of scientific and technological activity registration, certificate of operation of representative offices and branches, establishment licenses of representative offices and branches of foreign scientific and technological organizations;

c) Not maintaining operating conditions in accordance with the registration of scientific and technological activities.

6. A fine of between VND 10,000,000 and 14,000,000 shall be imposed for one of the following acts:

a) Conducting scientific and technological activities when the certificate of operation of representative offices and branches, establishment license of representative offices and branches of a foreign scientific and technological organizations has been suspended or annulled by the competent state agencies;

b) Leasing or lending certificates of scientific and technological operation registration, certificates of operation of representative offices and branches, establishment licenses of representative offices and branches of foreign scientific and technological organizations.

7. A fine of between VND 14,000,000 and 18,000,000 shall be imposed for acts of using untruthful papers or documents in application dossiers for certificates of scientific and technological operation registration, certificates of operation of representative offices and branches, establishment license of representative offices and branches of foreign scientific and technological organizations.

8. A fine of between VND 18,000,000 and 30,000,000 shall be imposed for setting up scientific and technological sub-organizations or representative offices in foreign countries without consent of the Ministry of Science.

9. Additional sanction:

Deprivation of the right to use certificates of scientific and technological operation registration, certificates of operation of representative offices and branches for a definite term from 1 to 3 months of organizations committing acts of violation prescribed at Point b, Clause 5 and Point b, Clause 6 of this Article.

10. Remedial measures:

Forced cancellation of dossiers and documents with untruthful contents, for acts of violation prescribed in Clause 7 of this Article.

Article 9. Violation of regulations on assessment and classification of public scientific and technological organizations

1.  A fine of between VND 8,000,000 and 12,000,000 shall be imposed for acts of not fulfilling the evaluation requirements in service of state management by competent state agencies.

2. A fine of between VND 12,000,000 and 20,000,000 shall be imposed for one of the following acts:

a) Conducting assessment and ranking not in accordance with evaluation methods and criteria;

b) Not publicizing the results of assessment and ranking according to the law provisions.

Article 10. Violation of regulations on ownership and use of scientific and technological results

1. Warning shall apply for acts of using scientific research results, data and information of other individuals and organizations in scientific reports and documents without clearly indicating the source and origin of such research results.

2. A fine of between VND 6,000,000 and 10,000,000 shall be imposed for one of the following acts:

a) Not reporting to the representative of the state owner on the results of exploitation or transfer of ownership and the right to use the results of scientific research and technological development;

b) Not notifying the representative of the state owner when it is no longer capable of exploiting the right to use the results of scientific research and technological development;

c)  Failing to comply with the decision of right assignment of the competent state agencies.

3. A fine of between VND 10,000,000 and 14,000,000 shall be imposed for one of the following acts:

a) Using and publishing technological data, processes and information related to the results of scientific and technological activities under the ownership of other individuals and organizations to improve and develop technologies for commercialization, registering intellectual property protection rights without consent of such individuals or organizations;

b) Registering and publicizing scientific research projects of other individuals and organizations without the consent of such individuals or organizations;

c) Using technical innovations, improvements, rationalization of technical process or research results of other individuals and organizations to register for exhibitions and competitions, apply for awards of science and technology without consent of such individuals or organizations.

4. Remedial measures:

a) Forced correction of untruthful information, for acts of violation prescribed in Clause 3 of this Article;

b) Forced reimbursement of illegal profits earned from acts of violation prescribed in Clause 3 of this Article.

Article 11. Violation of regulations on application and dissemination of scientific and technological results

1. A fine of between VND 1,000,000 and 2,000,000 shall be imposed for one of the following acts:

a) Not submitting reports on the use of funding for scientific and technological activities at the request of competent state agencies;

b) Not organizing research to build scientific bases in the stage of preparing, implementing investment, solving scientific and technological problems arising in the implementation process;

c) Not properly and sufficiently implementing the evaluation conclusions on the scientific basis as required by competent state agencies.

2. A fine of between VND 2,000,000 and 4,000,000 shall be imposed for acts of disseminating analysis, appraisal and expertise results without the consent of purchasing state agencies.

3. A fine of between VND 4,000,000 and 8,000,000 shall be imposed for acts of performing scientific and technological tasks using the state budget, having commitments and having application addresses into production and living but indirectly or not participating in applying research results into production and life.

4. A fine of between VND 8,000,000 and 12,000,000 shall be imposed for acts of applying results of performing scientific and technological tasks without using the state budget into production and life, subject to appraisal according to regulations. but not yet appraised by competent state agencies.

5. Remedial measures:

Forced reimbursement of the illegal benefits gained by performing acts of violation prescribed in Clause 2 of this Article.

Article 12. Violation of regulations on transfer, transmission and provision of information on results of scientific and technological activities

1. A fine of between VND 8,000,000 to 12,000,000 shall be imposed for one of the following acts:

a) Transferring results of scientific and technological activities without the consent of the owners of such results;

b) Providing, for the purpose of profits, information and data obtained from analysis, examination, consultancy and inspection services without the consent of the owners of such information and materials;

c) Creating untruthful information or taking advantage of opportunities to provide information about the results of one’s scientific and technological activities affecting the legal rights and interests of other organizations and individuals.

2. Remedial measures:

Forced reimbursement of illicit profits earned from performing acts of violation prescribed in Clause 1 of this Article.

Article 13. Violation of regulations on registration, management and use of Science and Technology Development Fund

1. A fine of between VND 4,000,000 and 8,000,000 shall be imposed for one of the following acts:

a) Not announcing the establishment of Science and Technology Development Fund with state agencies in charge of science and technology according to regulations;

b) Not reporting the deduction and use of the Science and Technology Development Fund at the request of competent state agencies.

2. A fine of between VND 8,000,000 and 12,000,000 shall be imposed for acts of managing and using the Science and Technology Development Fund in contravention of the registered contents.

3. A fine of between VND 12,000,000 and 20,000,000 shall be imposed for the establishment of Science and Technology Development Fund without operation registration.

4. A fine of between VND 20,000,000 and 30,000,000 shall be imposed for not repaying on time loans fromthe Science and Technology Development Fundfunded by the state budget capital without consent of competent state agencies.

5. A fine of between VND 30,000,000 and 40,000,000 shall be imposed for insufficiently withdrawing the minimum rate of 3% from the taxable business income to fund the Science and Technology Development Fund of State-owned enterprises.

6. A fine of between VND 40,000,000 and 50,000,000 shall be imposed for not withdrawing income from taxable business income to form the Science and Technology Development Fund of State-owned enterprises.

7. Remedial measures:

a) Forced payment of unpunctual reimbursed money due to performing acts of violation prescribed in Clause 4 of this Article;

b)  Forced reimbursement of illegal benefits gained by performing acts of violation prescribed in Clauses 5 and 6 of this Article.

Article 14. Violation of regulations on setting and presenting awards in science and technology

1. A fine of between VND 20,000,000 and 30,000,000 shall be imposed for one of the following acts:

a) Setting and presenting awards in science and technology for the purpose of illegal profits;

b) Setting awards in science and technology for researches of contents prohibited by laws.

2. Remedial measures:

a) Forced reimbursement of the illegal benefits gained by performing acts of violation prescribed at Point a, Clause 1 of this Article;

b) Forced cancellation of results and recognition of awards and forced rectification of untruthful information from performing acts of violation prescribed at Point b, Clause 1 of this Article.

Article 15. Violation of regulations on management and use of state budget funding for scientific and technological activities

1. A fine of between VND 10,000,000 and 20,000,000 shall be imposed for one of the following acts:

a) Using funding for scientific and technological research for wrong purposes;

b) Using scientific and technological research funding overlapping with other funding sources.

2. A fine of between VND 20,000,000 and 30,000,000 shall be imposed for acts of not reimbursing on time the funding from the state budget without the consent of competent state agencies.

3. Remedial measures:

a) Forced reimbursement of money used for wrong or duplicated purposes due to the acts of violation prescribed in Clause 1 of this Article;

b) Forced repayment of unpunctual reimbursed money due to acts of violation prescribed in Clause 2 of this Article;

c) Forced reimbursement of illicit profits earned from acts of violation prescribed in Clause 2 of this Article.

Section 2
ACTS OF ADMINISTRATION VIOLATION
ON TECHNOLOGY TRANSFER, SANCTIONING FORMS, FINE LEVELS AND REMEDIAL MEASURES

Article 16. Violation of regulations on reporting of technology transfer, evaluation and assessment

1. A fine of between VND 1,000,000 and 2,000,000 shall be imposed for one of the following acts:

a) Not reporting on implementation of technology transfer contracts of the previous year to competent state agencies, for technology transfer contracts granted with technology transfer licenses;

b) Not reporting to competent state agencies in charge of science and technology where technology transfer is carried out when disseminating and transferring technologies for cultivating, preserving and processing agricultural, forestry, aquatic and salt products in rural, mountainous, island and remote areas with particularly difficult socio-economic conditions.

2. A fine of between VND 2,000,000 and 4,000,000 shall be imposed for acts of not sending annual and periodical reports on results of technological evaluation and appraisal to competent state agencies in charge of receiving reports according to law provisions on technology transfer.

3. A fine of between VND 4,000,000 and 8,000,000 shall be imposed for acts of not reporting to competent state agencies for appraising or commenting on the technologies when adjusting or changing technology contents.

Article 17. Violation of request for technology transfer approval, registration of extension, amendment and supplementation of technology transfer contents and technology transfer licenses

1. A fine of between VND 2,000,000 and 4,000,000 shall be imposed for acts of making untruthful declarations in dossiers of application for technology transfer approval.

2. A fine of between VND 4,000,000 and 8,000,000 shall be imposed for acts of not conducting registration procedures ofextension, amendment or supplementation of technology transfer contents when there is an agreement on extension, amendment or supplementation of technology transfer contents in the cases of must-registration for technology transfer.

3. A fine of between VND 8,000,000 and 12,000,000 shall be imposed for acts of not conducting procedures for granting new licenses when changing the contents of transfer-limited technologies which already had technology transfer licenses.

4. Remedial measures:

Forced cancellation of dossiers and documents with untruthful data and contents due to acts of violation prescribed in Clause 1 of this Article.

Article 18. Violation of the obligation to distribute profits from commercialization of scientific research and technological development results funded by state budget

1.   A fine of between VND 8,000,000 and 12,000,000 shall be imposed for acts of improperly distributing in inaccurate proportion of profits earned from commercialization of scientific research and technological development results.

2. A fine of between VND 12,000,000 and 20,000,000 shall be imposed for acts of not distributing profits from commercialization of scientific research and technological development results.

3. Remedial measures:

a) Forced distribution in accurate proportion of profits earned from the commercialization of scientific research and technology development results by performing acts of violation prescribed in paragraphs 1 and 2 of this Article;

b) Forced reimbursement of the illegal benefits gained by performing acts of violation prescribed in Clauses 1 and 2 of this Article.

Article 19. Violations in technology transfer for rural, mountainous, island areas and areas with particularly difficult socio-economic conditions

A fine of between VND 12,000,000 and 20,000,000 shall be imposed for acts of implementing programs and projects of popularizing plant varieties and animal breeds or technologies for raising, preserving and processing agricultural, forestry, fishery and salt products for rural, mountainous, island areas and areas with particularly difficult socio-economic conditions without technology transfer contents.

Article 20. Violation of policies to support technology transfer, technology application and renovation, support and promotion of science and technology market development

1. A fine of between VND 4,000,000 and 10,000,000 shall be imposed for acts of cheating or deceiving in compiling dossiers of request for recognition of scientific research and technological development results not using the state budget.

2. A fine of between VND 10,000,000 and 20,000,000 shall be imposed for acts of not reimbursing on time the money supported by the State according to regulations when the certificates of technology transfer registration are invalidated.

3. A fine of between VND 20,000,000 and 30,000,000 shall be imposed for acts of wrongly using the State s support sources prescribed in Clause 4 of this Article.

4. A fine of between VND 30,000,000 and 40,000,000 shall be imposed for acts of cheating or deceiving to receive the State s supports and incentives according to law provisions on technology transfer in one of the following cases:

a) Supporting enterprises with projects in the preferential investment fields and preferential investment areas, which receive technology transfer from scientific and technological organizations;

b) Offering incentives for enterprises to cooperate with agencies, organizations and individuals to implement investment projects in technology renovation, creative start-up, development of infrastructure in service of scientific and technological development and research;

c) Supporting and offering incentives for enterprises to invest in material and technical facilities for technology decoding activities; organizations and individuals implementing technology decoding;

d) Supporting scientific and technological organizations with activities associated with the application and transfer of local technology to improve the results of scientific research and technological development in accordance with local characteristics;

e) Providing financial support or purchasing results of scientific research and technological development self-invested by organizations and individuals;

f)  Purchasing inventions and innovations and transferring them to enterprises for application and dissemination to the public;

g) Providing financial support or purchasing results of scientific research and technological development created by domestic organizations and individuals to produce national and key products;

h) Supporting organizations and individuals to perform scientific and technological tasks to develop technology and improve national and key products;

i) Providing training support and encouraging organizations and individuals to participate in commercializing results of scientific research and technological development, thus developing the science and technology market;

k) Supporting the development of intermediary organizations of the science and technology market.

5. Remedial measures:

a) Forced payment of unpunctual reimbursed money due to performing acts of violation prescribed in Clause 2 of this Article;

b) Forced reimbursement of money used for wrong purposes due to performing acts of violation prescribed in Clause 3 of this Article;

c) Forced reimbursement of illegal profits due to performing acts of violation prescribed in Clauses 2, 3 and 4 of this Article;

d) Forced cancellation of dossiers and documents with untruthful data and contents due to performing acts of violation prescribed in Clauses 1 and 4 of this Article.

Article 21. Violations in technology transfer service business

1. A fine of between VND 6,000,000 and 10,000,000 shall be imposed for acts of providing technology assessment and evaluation services without preserving and returning assigned documents and vehicles to service users after completion of services under agreements.

2. A fine of between VND 10,000,000 and 20,000,000 shall be imposed for one of the following acts:

a) Failing to maintain the conditions for technology assessment services in accordance with Article 33 of Decree No.76/2018/ND-CP dated May 15, 2018 of the Government detailing and guiding the implementation of a number of articles of the Law on Technology Transfer;

b) Failing to maintain the conditions for technology appraisal services in accordance with Article 36 of Decree No.76/2018/ND-CP dated May 15, 2018 of the Government detailing and guiding the implementation of a number of articles of the Law on Technology Transfer;

c) Supplementing, expanding and narrowing the field of technology assessment and inspection or changing technology appraisal and assessment experts but not conducting procedures for amendment and supplementation of certificates of eligibility for technology assessment services.

3. A fine of between VND 20,000,000 and 30,000,000 shall be imposed for acts of providing technology assessment services without certificates of eligibility for technology assessment services.

4. Additional sanction:

Deprivation of the right to use certificates of eligibility for technology assessment servicesfor a definite term from 1 to 3 months, for acts of violation prescribed in Clause 2 of this Article.

Article 22. Violations in the formulation and implementation of technology transfer contracts, technology transfer service contracts, contents of articles, clauses, appendices in technology transfer investment project contracts and dossiers

1. A fine of between VND 12,000,000 and 20,000,000 shall be imposed for acts of not making written contracts for independent technology transfer or technology capital contribution.

2. A fine of between VND 20,000,000 and 30,000,000 shall be imposed for one of the following acts:

a) Cheating and deceiving in making technology transfer contracts or contents of articles, clauses, appendices in technology transfer investment project contracts and dossiers to get certificates of technology transfer registration or technology transfer licenses;

b) Continuing implementing technology transfer contracts or contents of articles, clauses, appendices in technology transfer investment project contracts and dossiers with decisions to suspend or cancel contracts or decisions to invalidatetechnology transfer licenses, certificates of technology transfer registration, certificates of extension, amendment and supplement of technology transfer contentsor decisions to terminate the investment projects of competent state agencies;

c) Failing to comply with the contents of the granted technology transfer licenses, certificates of technology transfer registration, certificates of extension, amendment and supplement of technology transfer contents.

3. A fine of between VND 30,000,000 and 40,000,000 shall be imposed for one of the following acts:

a)  Not conducting valuation based on technology valuation consultancy when transferring technology between parties, in which one or more parties receive state capital;

b) Not conducting price audits through the evaluation of transfer technology when implementing technology transfer between related parties in the form of parent-subsidiary company at request of tax management agencies;

c) Not conducting price audits through the valuation of technology transfer when making technology transfer between parties having relations under the law provisions on taxation at request of tax management agencies.

4. Additional sanction:

Deprivation of the right to use technology transfer licenses, certificates of technology transfer registration, certificates of extension, amendment and supplement of technology transfer contents for a definite term from 1 to 3 months, for acts of violation prescribed at Point c, Clause 2 of this Article.

5. Remedial measures:

a) Forced cancellation of dossiers and documents with untruthful data and contents, for acts of violation prescribed at Point a, Clause 2 of this Article;

b) Forced reimbursement of illegal benefits gained by performing acts of violation prescribed at Points b and c, Clause 2 and Clause 3 of this Article.

Article 23. Violation inmaking decisions of construction investment projectsusing technologies

1. A fine of between VND 10,000,000 and 14,000,000 shall be imposed for acts of making decisions of construction investment projects using technologies which are likely to adversely affect the environment according to the law provisions on environmental protection without evaluation results or technological comments of competent state agencies.

2. A fine of between VND 14,000,000 and 18,000,000 shall be imposed for acts of making decisions of construction investment projects using transfer-limited technologies without evaluation results or technological comments of competent state agencies

Article 24. Violations in the use of technologies already approved or licensed by competent authorities

A fine of between VND 20,000,000 and 30,000,000 shall be imposed for acts of using technologies not approved or licensed by competent state agencies.

Article 25. Violation in technology transfer registration

1. A fine of between VND 30,000,000 and 40,000,000 shall be imposed for one of the following acts:

a) Transferring technologies from foreign countries into Vietnam without certificates of technology transfer registration;

b) Transferring technologies from Vietnam to other countries without certificates of technology transfer registration;

c) Transferring domestic technologies using state capital or state budget without certificates of technology transfer registration, except for having certificates of scientific and technological task performance result registration.

2. Additional sanction:

Confiscation of material evidences and means of administrative violation, for acts of violation prescribed in Clause 1 of this Article.

Article 26. Violations in transferring technologies on the List of transfer-limited technologies and the List of transfer-prohibited technologies

1. A fine of between VND 30,000,000 and 40,000,000 shall be imposed for acts of transferring technologies on the List of transfer-limited technologies and the List of transfer-prohibited technologies without technology transfer licenses.

2. A fine of between VND 40,000,000 and 50,000,000 shall be imposed for acts of transferring technologies on the list of transfer-prohibited technologies from Vietnam to foreign countries or from foreign countries into Vietnam.

3. Additional sanction:

Confiscation of material evidences and means of administrative violation, for acts of violation prescribed in Clause 1 of this Article.

4. Remedial measures:

Forced removal from the territory of the Socialist Republic of Vietnam or forced re-export of goods, materials, equipment and facilities for technologies transferred from foreign countries into Vietnam, as acts of violation prescribed in Clause 2 of this Article.

Chapter III
JURISDICTION FOR MAKING RECORDS,
HANDLING OF ADMINISTRATIVE VIOLATIONS AND APPLYING REMEDIAL MEASURES ON SCIENITIFIC AND TECHNOLOGICAL ACTIVITIES, AND TECHNOLOGY TRANSFER

Article 27. Jurisdiction to make records on administrative violations

1. Persons having sanctioning jurisdiction of administrative violations prescribed in Articles 28 to 34 of this Decree.

2. Officials and civil servants of agencies prescribed in Articles 28 to 34 of this Decree, which are tasked to examine, inspect and detect administrative violations in scientific and technological activities and technology transfer.

Article 28. Jurisdiction of Specialized inspectors on science and technology

1. On-duty inspectors and persons assigned to perform specialized inspection tasks have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 500,000;

c) Confiscation of valuable material evidences and means of administrative violation, worth up to VND 500,000.

2. Chief Inspectors of Provincial Departments, Managers of the Standards, Metrology and Quality Branches under the Department of Science and Technology have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 25,000,000;

c) Deprivation of the right to use for a definite term:Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d) Confiscation of material evidences and means of administrative violation, worth up to VND 25,000,000;

e) Application of remedial measures prescribed in Article 4 of this Decree.

3. Heads of the specialized inspection teams at department level, heads of the specialized inspection teams of the Directorate of Standards, Metrology and Quality, Head of the specialized inspection teams of National Agency for Radiation and Nuclear Safety, Chief Inspectors of National Agency for Radiation and Nuclear Safety have the sanctioning jurisdiction prescribed in Clause 2 of this Article.

4. Heads of specialized inspection teams of Ministry of Science and Technology have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 35,000,000;

c) Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d) Confiscation of material evidences and means of administrative violation, worth up to VND 35,000,000;                 

e) Application of remedial measures prescribed in Article 4 of this Decree.

5. The Chief Inspector of the Ministry of Science and Technology, the Director General of Directorate for Standards, Metrology and Quality, the Director of the National Agency of Radiation and Nuclear Safety under the Ministry of Science and Technology have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 50,000,000;

c) Deprivation of the right to use for a definite term:Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d) Confiscation of material evidences and means of administrative violation;

e) Application of remedial measures prescribed in Article 4 of this Decree.

Article 29. Jurisdiction of Chairpersons of People s Committees

1. The Chairpersons of the commune-level People s Committees have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 5,000,000;

c) Confiscation of material evidences and means of administrative violation, worth up to VND 5,000,000.

2. Chairpersons of district-level People s committees have the rights to conduct sanction as follows:

a) Warning;

b) A fine of up to VND 25,000,000;

c) Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d) Confiscation of material evidences and means of administrative violation, worth up to VND 25,000,000;

e) Application of remedial measures prescribed in Clauses 1, 2, 3, 4, 5, 6, 7 and 9, Article 4 of this Decree.

3. Chairpersons of provincial People s Committees have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of VND 50,000,000;

c) Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d) Confiscation of material evidences and means of administrative violation;

e) Application of remedial measures prescribed in Article 4 of this Decree.

Article 30. Jurisdiction of the People s Public Security Forces

1. On-duty People s Public Security soldiers have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to 500,000 VND.

2. Heads of Police Stations and Leaders of Police Teams involving people prescribed in Clause 1 of this Article have the rights to conduct sanctions as as follows:

a) Warning;

b) A fine of up to VND 1,500,000.

3. Heads of commune police, Heads of police stations, Heads of police stations at border gates and export processing zones have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 2,500,000;

c) Confiscation of material evidences and means of administrative violation, worth VND 2,500,000.

4. Chiefs of District Police; Heads of the Provincial Police Divisions: Heads of Internal political security, Heads of Economic Security, Heads of cybersecurity and cybercrime prevention, Heads of Police Divisions for administrative management of social order, Heads of Police Divisions for Environment-related Crime Prevention and Fighting, Heads of Investigation Police Divisions for Corruption, Smuggling and Economic Crimes; Heads of Professional Divisions under the following Departments:Department of Internal political security, Department of Economic security, Department of Cybersecurity and Cybercrime prevention, Police Department of administrative management of social order, Police Department of Environment-related Crime Prevention and Fighting, Investigation Police Department of Corruption, Smuggling and Economic Crimeshave the rights to conduct sanctions as follows to:

a) Warning;

b) A fine of up to VND 10,000,000;

c) Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches;

d) Confiscation of material evidences and means of violation, worth up to VND 10,000,000.

5. Directors of provincial police departments have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to 25,000,000 VND;

c)  Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches;

d) Confiscation of valuable material evidences and means of administrative violation, worth up to VND 25,000,000.            

6. Directors of the following Departments: Department of Internal political security, Department of Economic security, Department of Cybersecurity and Cybercrime prevention, Police Department of administrative management of social order, Police Department of Environment-related Crime Prevention and Fighting, Investigation Police Department of Corruption, Smuggling and Economic Crimes have the rightstoconduct sanctions as follows:

a) Warning;

b) A fine of up to VND 50,000,000;

c) Deprivation of the right to use for a definite time: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches;

d) Confiscation of material evidences and means of administrative violation.

Article 31. Jurisdiction of Customs agencies

1. On-duty customs officers have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 500,000.

2. Team leaders of Customs Branches and Post-customs Clearance Inspection Branches have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 5,000,000.

3. Managers of Customs Branches, Managers of Post-customs Clearance Inspection Branches, Team Leaders of Control Team under Customs Department of provinces, inter-provinces and municipalities, Team Leaders of Anti-Smuggling Control Team, Team Leaders of Customs Procedures Team, Commanders of Sea Control Naval Groups and Heads of Intellectual Property Protection and Control Teams of theInvestigation and Anti-Smuggling Departmentunder the General Department of Customs have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 25,000,000;

c) Confiscation of material evidences and means of administrative violation, worth up to VND 25,000,000;

d) Application of remedial measures prescribed in Clause 8, Article 4 of this Decree.

4. Directors of the following departments: Investigation and Anti-Smuggling Department, Department of Post-customs Clearance Inspection under the General Department of Customs, the provincial, inter-provincial and municipal Departments of Customs have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 50,000,000;

c) Confiscation of material evidences and means of administrative violation, worth up to VND 50,000,000;

d) Application of remedial measures prescribed in Clause 8, Article 4 of this Decree.

5. The Director General of Customs have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 50,000,000;

c) Confiscation of material evidences and means of administrative violation;

d) Application of remedial measures prescribed in Clause 8, Article 4 of this Decree.

Article 32. Jurisdiction of Market Surveillance agencies

1. Leaders of the Market Surveillance Team have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 25,000,000;

c) Confiscation of valuable material evidences and means of administrative violation, worth up to VND 25,000,000.                 

2. Directors of the Department of Market Management, Directors of the provincial-level Market Surveillance Departments under the General Department of Market Surveillance have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 50,000,000;

c) Confiscation of valuable material evidences and means of administrative violation, worth up to VND 50,000,000;                 

d) Deprivation of the right to use for a definite term: Certificate of eligibility for technology assessment services.

3. The Director General of the Market Surveillance have the rights to conduct sanctions as follows to:

a) Warning;

b) A fine of up to VND 50,000,000;

c) Confiscation of material evidences and means of administrative violation;

d) Deprivation of the right to use for a definite term: Certificate of eligibility for technology assessment services.

Article 33. Jurisdiction of Tax agencies

1. Directors of the Tax Departments have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 35,000,000;

c) Confiscation of material evidences and means of administrative violation, worth up to VND 35,000,000;

d) Application of remedial measures prescribed in Clause 2, Article 4 of this Decree.

2. The Director General of Taxes have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 50,000,000;

c) Confiscation of material evidences and means of administrative violation;

d) Application of remedial measures prescribed in Clause 2, Article 4 of this Decree.

Article 34. Jurisdiction of Inspectors, persons assigned to perform other specialized inspection tasks

1. On-duty inspectors or persons assigned to perform specialized inspection tasks have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 500,000;

c) Confiscation of valuable material evidences and means of administrative violation, worth up to VND 500,000.

2. Chief Inspectors of Provincial Departments and other titles prescribed in Clause 2, Article 46 of the Law on Handling of administrative violations - except for Chief Inspector of State Securities Commission; Managers of Food Safety and Hygiene Branches; Managers of Population and Family Planning Branches under the Department of Health - with their assigned functions, tasks and authorities, have the rights to conduct sanctions as follows:

a) Warning;

b) A fine of up to VND 25,000,000;

c) Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d) Confiscation of valuable material evidences and means ofadministrative violation, worth up to VND 25,000,000;                 

e) Application of remedial measures prescribed in Article 4 of this Decree.

3. Leaders of the specialized inspection teams of the Provincial Departments, Leaders of the specialized inspection teams of the General Department, Department and other equivalent agencies assigned by the Government to perform specialized inspection functions, with their assigned functions, tasks and authorities have the sanctioning jurisdiction according to the provisions of Clause 2 of this Article.

4. Leaders of a specialized ministerial inspection teams, according to their assigned functions, tasks and authorities, have the rights to conduct as follows:

a) Warning;

b) A fine of up to VND 35,000,000;

c)  Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d) Confiscation of material evidences and means of administrative violation, worth up to VND 35,000,000;

e) Application of remedial measures prescribed in Article 4 of this Decree.

5. Chief inspectors of ministries, ministerial-level agencies and titles prescribed in Clause 4, Article 46 of the Law on Handling of Administrative Violations, according to their assigned functions, tasks and authorities, have the rights to conduct sanctions as follows to:

a) Warning;

b)  A fine of up to VND 50,000,000;

c) Deprivation of the right to use for a definite term: Certificate of scientific and technological activity registration, certificate of operation of representative offices or branches, technology transfer license, certificate of technology transfer registration, certificate of registration for extension, amendment and supplement of technology transfer content, certificate of eligibility for technology assessment services;

d)  Confiscation of material evidences and means of administrative violation;

e) Application of remedial measures prescribed in Article 4 of this Decree.

Article 35. Delineation of jurisdiction of Inspectors, persons assigned to perform specialized inspection tasks in the field of science and technology, Chairpersons of People s Committee, People’s Public Security Forces, Customs Agencies, Market Surveillance Agencies, Tax Agencies and Inspectors, persons assigned to perform other specialized inspection tasks

1. Persons with sanctioning jurisdiction of the Inspectorate, persons assigned to perform specialized inspection tasks in the field of science and technology have the jurisdiction to make written records of administrative violations, sanction administrative violations and apply remedial measures for acts of administrative violation prescribed in Chapter II of this Decree under the jurisdiction prescribed in Article 28 of this Decree and their assigned functions, duties and authorities.

2. Chairpersons of the People s Committees have the jurisdiction to make written records of administrative violations, sanction administrative violations and apply remedial measures for acts of administrative violation prescribed in Chapter II of Decree This is according to their jurisdiction prescribed in Article 29 of this Decree and their assigned functions, tasks and authorities.

3. Persons with sanctioning jurisdiction of the police agencies have the jurisdiction to make written records of administrative violations, sanction administrative violations and apply remedial measures for acts of administrative violation prescribed in Articles 8, 23 and 26 of this Decree according to their jurisdiction prescribed in Article 30 of this Decree and their assigned functions, duties and authorities.

4. Persons with sanctioning jurisdiction of the Customs agencies have the jurisdiction to make written records of administrative violations, sanction administrative violations and apply remedial measures for acts of administrative violation prescribed in Article 25 and 26 of this Decree shall according to their jurisdiction prescribed in Article 31 of this Decree and their assigned functions, tasks and authorities.

5. Persons with sanctioning jurisdiction of the Market Surveillance agencies have the jurisdiction to make written records of administrative violations, sanction administrative violations and apply remedial measures for acts of administrative violation prescribed in Article 21 of this Decree according to their jurisdiction prescribed in Article 32 of this Decree and their assigned functions, tasks and authorities.

6. Persons with sanctioning jurisdiction of the tax agencies have the jurisdiction to make written records of administrative violations, sanction administrative violations and apply remedial measures for acts of administrative violation prescribed in points b and c, Clause 3, Article 22 of this Decree according to their jurisdiction prescribed in Article 33 of this Decree and their assigned functions, tasks and authorities.

7.   Persons with sanctioning jurisdiction of inspection agencies and persons assigned to perform other specialized inspection tasks have the jurisdiction to make written records of administrative violations, sanction administrative violations and apply remedial measures for acts of administrative violation prescribed in articles 7, 8, 11, 15, 16, 19, 21, 23, 24, 25 and 26 of this Decree according to their jurisdiction prescribed in Article 34 of this Decree and their assigned functions, tasks and authorities.

Chapter IV
TERMS OF IMPLEMENTATION

Article 36. Terms ofImplementation

1. This Decree takes effect from August 1, 2019.

2. This Decree replaces Decree No. 64/2013/ND-CP dated July 26, 2013 of the Government on sanctioning administrative violations in scientific and technological activities and technology transfer and Decree No. 93/2014/ND-CP dated October 17, 2014 of the Government amending and supplementing a number of articles of Decree No. 64/2013/ND-CP dated July 26, 2013 on sanctioning administrative violations in scientific and technological activities and technology transfer.

3. For acts of administrative violation in scientific and technological activities and technology transfer that occur before the effective date of this Decree and later are discovered or being handled, beneficial provisions for violating organizations and individuals shall apply.

4. For decisions on sanctioning administrative violations in the field of science and technology and technology transfer that has been issued or has been implemented before the effective date of this Decree, individuals and organizations sanctioned for administrative violations with continuous complaints shall be handled in accordance with provisions ofDecree No.64/2013/ND-CP dated July 26, 2013 of the Government on sanctioning administrative violations in scientific and technological activities and technology transfer and Decree No.93/2014/ND-CP dated October 17, 2014 of the Government amending and supplementing a number of articles of Decree No.64/2013/ND-CP dated July 26, 2013 on sanctioning administrative violations in scientific and technological activities and technology transfer

Article 37. Responsibilities for implementation

1. The Minister of Science and Technology shall take responsibilities forguiding and organizing the implementation of this Decree.

2. Ministers, heads of the ministerial-level agencies, heads of Government-attached agencies and the Chairpersons of the People s Committees of the provinces and municipalities shall take responsibilities for implementing this Decree.