Decree No. 64/2013/ND-CP dated June 27, 2013 of the Government promulgating the penalties for administrative violations in the science and technology activities and technology transfers

THE GOVERNMENT

Decree No. 64/2013/ND-CP dated June 27,  2013 of the Government promulgating the penalties for administrative violations in the science and technology activities and technology transfers

Pursuant to the Law on Government Organization dated December 25, 2001;

Pursuant to the Law on Science and Technology dated June 09, 2000;

Pursuant to the Law on Technology Transfers dated November 29, 2006;

Pursuant to the Law on handling administrative violations dated June 20, 2012;

At the request of the Minister of Science and Technology;

The Government issues the Decree on penalties for administrative violations against science and technology activities and technology transfers,

Chapter 1.

GENERAL PROVISIONS

Article 1. Scope of regulation

1. This Decree deals with the violations, penalties, remedial measures, and authority to impose penalties for administrative violations against science and technology activities and technology transfers

2. Administrative violations against science and technology activities and technology transfers in this Decree are errors committed by organizations and individuals that violate the laws on state management of science activities and technology transfers, which do not constitute a criminal offence, which must incur administrative penalties.

Article 2. Measures for problem recovery

Apart from the remedial measures in Clause 1 Article 28 of the Law on handling administrative violations, violators are compelled to take one or multiple remedial measures below:

1. Returning the fund appropriated or improperly used;

2. Revoking false reports;

3. Registering or submitting result of science and technology tasks.

Article 3. Term of punishment

The term of punishment for penalties for administrative violations against science and technology activities and technology transfers is 01 year.

Article 4. Fine levels

1. The maximum fine for a violation against science and technology activities and technology transfers committed by an individual is 50,000,000 VND, and for a violation committed by an organization is 100,000,000 VND.

2. The fine for an administrative violation committed by an organization is twice as much as a fine for the same violation committed by an individual.

Chapter 2.

ADMINISTRATIVE VIOLATIONS PENALTIES AGAINST SCIENCE AND TECHNOLOGY ACTIVITIES AND TECHNOLOGY TRANSFERS

SECTION 1. ADMINISTRATIVE VIOLATIONS PENALTIES AGAINST SCIENCE AND TECHNOLOGY ACTIVITIES AND TECHNOLOGY TRANSFERS

Article 5. Violations against the Science and Technology Council

1. A fine of from 500,000 VND to 1,000,000 VND for individuals being members of a Science and Technology Council that reveal or provide information related to the assessment and consultancy result without the permission of the agency that decides the establishment of the Council.

2. A fine of from 1,000,000 VND to 2,000,000 for individuals being members of a Science and Technology Council that fail to follow the procedure when giving advice, selecting, assessing science and technology tasks, or grading at variance with the criteria set by the Ministry of Science and Technology.

Article 6. Violations against the regulations on registering or submitting results of science and technology tasks funded by the State budget

1. A fine of from 2,000,000 VND to 5,000,000 VND shall be given to any individual, or a fine of from 4,000,000 VND to 10,000,000 VND shall be given to any organization that fails to register or submit the result of science and technology tasks funded by the State budget as regulations by competent state authorities.

2. Remedial measures:

Registering or submitting the result of science and technology tasks, applicable to the violations in Clause 1 of this Article.

Article 7. Violations against the science activities

1. A fine of from 1,000,000 VND to 2,000,000 VND shall be given to any individual, or a fine of from 2,000,000 VND to 4,000,000 VND shall be given to any organization that provides false information about:

a) Result of science activities of the presiding organization;

b) The science records of the individual that presides the science and technology tasks;

c) The capacity of cooperating organizations and individuals.

2. A fine of from 2,000,000 VND to 4,000,000 VND shall be given to any individual, or a fine of from 4,000,000 VND to 8,000,000 VND shall be given to any organization that commits one of the following acts:

a) Making false reports on the progress, contents, and results of researches;

b) Fabricating figures, using invalid documents and invoices to make payments;

c) The documents serving the assessment of science and technology tasks are untruthful.

3. Remedial measures:

a) Returning the fund appropriated or improperly used, applicable to the violations in Point b Clause 2 of this Article;

b) Revoking false reports that contain fabricated figures, applicable to the violations in Point a and Point b Clause 2 of this Article.

Article 8. Violations against registration and commencement of science activities

1. A fine of from 1,000,000 VND to 2,000,000 VND an organization that commits one of the acts below:

a) Failing to register the change in the fields of science activities;

b) Failing to register the change of the head office;

c) Failing to register the representative offices or branches that are operating.

2. A fine of from 2,000,000 VND to 5,000,000 VND an organization that commits one of the acts below:

a) Carrying out science activities without the Certificate of Registration of Science activities;

b) Carrying out science activities using an expired Certificate of Registration of Science activities.

3. A fine of from 5,000,000 VND to 15,000,000 VND shall be given to any organization that lends or rents out the Certificate of Registration of Science activities.

4. A fine of from 5,000,000 VND to 10,000,000 VND shall be given to any individual, or a fine of from 10,000,000 VND to 20,000,000 VND shall be given to any organization that forges documents to be issued with the Certificate of Registration of Science activities.

5. Additional penalties:

Revoking the Certificate of Registration of Science activities for 01 – 03 months, applicable to the organizations that commit the violation in Clause 3 of this Article.

Article 9. Violations against the ownership of science activities’ results

1. A fine of from 10,000,000 VND to 20,000,000 VND shall be given to any individual, or a fine of from 20,000,000 VND to 40,000,000 VND shall be given to any organization that commits one of the following acts:

a) Using or reveling figures, technological processes, or information related to the results of science activities under the ownership of another organization or individual without their permission;

b) Registering or announcing scientific works of another organization or individual without their permission;

c) Using research findings, figures, and information of another organizations and individuals in scientific reports or documents without citing their origins;

d) Using ideas, technological improvements of other organizations and individuals to participate in science and technology exhibitions, competitions, or awards.

2. Remedial measures:

Rectify the information on the media, applicable to the violations in Clause 1 of this Article.

Article 10. Violations against the laws on the use and dissemination science activities’ results

1. A fine of from 2,000,000 VND to 4,000,000 VND shall be given to any individual, or a fine of from 4,000,000 VND to 8,000,000 VND shall be given to any organization that disseminates results of analysis or assessment without the permission of the state authority that placed the order.

2. A fine of from 5,000,000 VND to 10,000,000 VND shall be given to any individual, or a fine of from 10,000,000 VND to 20,000,000 VND shall be given to any organization that disseminates or applies new products or technological processes without the permission of competent authorities.

Article 11. Violations against the transfer and provision of information on science activities’ results

1. A fine of from 5,000,000 VND to 15,000,000 VND shall be given to any individual, or a fine of from 10,000,000 VND to 30,000,000 VND shall be given to any organization that commits one of the following acts:

a) Transferring the results of science activities without the agreement of the owner of such results;

b) Self-seeking provision of information and documents obtained from analysis, inspection, consultancy, or assessment without the agreement of the owner of such information or documents;

c) Fabricating false information or taking advantage of the provision of information about results of science activities to affect the lawful rights and interests of other organizations and individuals

2. Remedial measures:

Returning the benefits earned from the violations in Clause 1 of this Article.

Article 12. Violations against the registration, management, and use of science and technology funds

1. A fine of from 5,000,000 VND to 10,000,000 VND shall be given to any organization that manages and uses the science and technology fund inconsistently with the registration.

2. A fine of from 10,000,000 VND to 15,000,000 VND shall be given to any organization that establishes a science and technology fund without registration.

3. A fine of from 15,000,000 VND to 20,000,000 VND shall be given to any organization that uses the science and technology fund inconsistently with the registration for self-seeking benefits.

4. A fine of from 20,000,000 VND to 30,000,000 VND shall be given to any organization that appropriates or fails to punctually return the aid from the science and technology fund without legitimate reasons.

5. Remedial measures:

a) Returning the illegal benefits earned from the violations in Clause 3 of this Article;

b) Returning the fund appropriated, applicable to the violations in Clause 4 of this Article.

Article 13. Violations against the science and technology awards

1. A fine of from 10,000,000 VND to 15,000,000 VND shall be given to any individual, or a fine of from 20,000,000 VND to 30,000,000 VND shall be given to any organization that commits one of the following acts:

a) Ordering or giving science and technology awards for self-seeking purposes;

b) Ordering science and technology awards that encourage scientific researches against the law.

2. Remedial measures:

Returning the illegal benefits earned from the violations in Point a Clause 1 of this Article.

Article 14. Violations against the cooperation and receipt of  science activities sponsorships

A fine of from 10,000,000 VND to 20,000,000 VND shall be given to any individual belonging to a science and technology organization that receives the sponsorship directly without the approval of the organization of which he or she is a member, an individual not belonging to a science and technology organization that receives sponsorship from a foreign organization or individual to perform science and technology tasks without registering the sponsorship with the Service of Science and Technology.

Article 15. Violations against the management and use of the State budget for science activities

1. A fine of from 5,000,000 VND to 10,000,000 VND shall be given to any individual, or a fine of from 10,000,000 VND to 20,000,000 VND shall be given to any organization that commits one of the following acts:

a) Using the budget for scientific research improperly;

b) Use the multiple sources of the State budget for the same scientific research.

2. A fine of from 20,000,000 VND to 30,000,000 VND shall be given to any organization that appropriates or fails to punctually return the aid from the State budget without legitimate reasons.

3. Remedial measures:

a) Returning the budget that is used improperly or inconsistently with the permission

b) Returning the fund appropriated, applicable to the violations in Clause 2 of this Article.

SECTION 2. ADMINISTRATIVE VIOLATIONS AGAINST TECHNOLOGY TRANSFERS, PENALTIES AND REMEDIAL MEASURES 

Article 16. Violations against the reporting technology transfers

1. A fine of from 1,000,000 VND to 2,000,000 VND an organization that commits one of the acts below:

a) Failing to send report on the performance of technology transfer contracts, the record on contract performance assessment, applicable to the technologies in the List of technologies restricted from transfer made by a competent authority

b) Failing to send report on the performance of technology transfer contracts, applicable to the technology transfer contracts that are issued with the Certificate of Registration of technology transfer contract, have been performed for more than a year, and the proportion of state capital is 51% or higher;

c) Failing to report the location of technology transfers to the state management authorities in charge of science and technology when disseminating and transferring the technologies for planting, preserving, processing agriculture, forestry, and aquaculture products in rural areas, highlands, localities facing socio-economic difficulties, and localities facing extreme socio-economic difficulties.

2. A fine of from 1,000,000 VND to 2,000,000 VND shall be given to any organization that is issued with the Certificate of Registration of technology transfer contract without sending a written report to the issuer when terminating the technology transfer contract.

Article 17. Violations against the laws on the use and transfer of the result of technological research and development funded by the State budget

1. A fine of from 2,000,000 VND to 5,000,000 VND shall be given to any organization that fails to announce the mechanism and ration of benefit distribution according to the laws on technology transfers.

2. A fine of from 5,000,000 VND to 10,000,000 VND shall be given to any organization that uses or makes transfers in contravention of the regulations on technology ownership, or other research findings funded by the State budget.

Article 18. Violations of policies on encouragement of technology application, transfer, and innovation

1. A fine of from 10,000,000 VND to 20,000,000 VND an organization that commits one of the acts below:

a) Improperly using the budget provided by National technological innovation fund;

a) Breaking the commitments that were made when receiving sponsorship from National technological innovation fund;

2. A fine of from 20,000,000 VND to 30,000,000 VND shall be given to any organization that uses deception to receive benefits and incentives of the policies on technology transfer encouragement.

3. Remedial measures:

Returning the budget provided, applicable to the violations in Clause 1 and Clause 2 of this Article.

Article 19. Violations against the regulations on provision of technology transfer services

1. A fine of from 10,000,000 VND to 20,000,000 VND shall be given to any organization provides technology transfer services inconsistently with the Certificate of Registration of provision of technology transfer services.

2. A fine of from 20,000,000 VND to 30,000,000 VND shall be given to any organization provides technology transfer services without the Certificate of Registration of provision of technology transfer services.

Article 20. Violations while making and performing technology transfer contracts and technology transfer service contracts

1. A fine of from 15,000,000 VND to 25,000,000 VND shall be given to any individual, or a fine of from 30,000,000 VND to 50,000,000 VND shall be given to any organization that use deception when making or performing technology transfer service contract.

2. A fine of from 20,000,000 VND to 30,000,000 VND shall be given to any individual, or a fine of from 40,000,000 VND to 60,000,000 VND shall be given to any organization that commits one of the following acts:

a) Using deception when making the technology transfer contract to be issued with the Certificate of Registration of technology transfer contract or the License for technology transfer;

b) Keep performing a technology transfer contract when a decision to suspend or terminate it is issued by a competent authority;

c) Performing the contract inconsistently with the License for technology transfer that was issued.

3. Additional penalties:

Revoking the Certificate for technology transfers for 01 – 03 months, applicable to the organizations that commit the violation in Point c Clause 2 of this Article.

Article 21. Violations during the transfer of technologies in the List of technologies restricted from transfer and the List of technologies banned from transfer

1. A fine of from 20,000,000 VND to 30,000,000 VND shall be given to any individual, or a fine of from 40,000,000 VND to 60,000,000 VND shall be given to any organization that transfers technologies in the List of technologies restricted from transfer without the License for technology transfer.

2. A fine of from 40,000,000 VND to 50,000,000 VND shall be given to any individual, or a fine of from 80,000,000 VND to 100,000,000 VND shall be given to any organization that transfers technologies in the List of technologies banned from transfer.

3. Additional penalties:

a) Confiscating related exhibits and vehicles that are used for committing the violations in Clause 1 and Clause 2 of this Article;

b) Expelling foreigners that commit the violations in Clause 2 of this Article.

4. Remedial measures:

Destructing the products created by the transferred technologies, removing from Vietnam’s territory or re-exporting the products related to the technologies transferred into Vietnam (if any), applicable to the violations in Clause 2 of this Article.

Chapter 3.

AUTHORITY TO IMPOSE PENALTIES FOR ADMINISTRATIVE VIOLATIONS AGAINST SCIENCE AND TECHNOLOGY ACTIVITIES AND TECHNOLOGY TRANSFERS 

Article 22. Authority to impose administrative penalties of science and technology inspectors

1. Inspectors are entitled to:

a) Issue warnings;

b) Impose fines of up to 500,000 VND;

c) Confiscate the exhibits and vehicles related to the administrative violations that are valued at up to 500,000 VND;

d) Take the remedial measures stipulated in Points a, c, and dd Clause 1 Article 28 of the Law on Handling administrative violations.

2. The Chief Inspector of the Service of Science and Technology is entitled to:

a) Issue warnings;

b) Impose fines of up to 25,000,000 VND;

c) Revoke Certificates of Registration of Science activities, Licenses for technology transfers, and Certificates of Registration of technology transfer contract;

d) Confiscate the exhibits and vehicles related to the administrative violations that are valued at up to 25,000,000 VND;

dd) Take the remedial measures stipulated in Clause 1 Article 28 of the Law on Handling administrative violations and Article 2 of this Decree.

3. The authority to impose penalties of Chief inspectors of inspectorates of Services is specified in Clause 2 of this Article.

4. The Chief Inspector of the inspectorate of the Ministry of Science and Technology is entitled to:

a) Issue warnings;

b) Impose fines of up to 35,000,000 VND;

c) Revoking Certificates of Registration of Science activities, Licenses for technology transfers, and Certificates of Registration of technology transfer contract;

d) Confiscate the exhibits and vehicles related to the administrative violations that are valued at up to 35,000,000 VND;

dd) Take the remedial measures stipulated in Clause 1 Article 28 of the Law on Handling administrative violations and Article 2 of this Decree.

5. The Chief Inspector of the Ministry of Science and Technology is entitled to:

a) Issue warnings;

b) Impose fines of up to 50,000,000 VND;

c) Revoking Certificates of Registration of Science activities, Licenses for technology transfers, and Certificates of Registration of technology transfer contract;

d) Confiscate the exhibits and vehicles related to the administrative violations;

dd) Take the remedial measures stipulated in Clause 1 Article 28 of the Law on Handling administrative violations and Article 2 of this Decree.

Article 23. Authority to impose penalties for administrative violations of the President of the People’s Committee

1. Presidents of People’s Committees of communes are entitled to:

a) Issue warnings;

b) Impose fines of up to 5,000,000 VND;

c) Confiscate the exhibits and vehicles related to the administrative violations that are valued at up to 5,000,000 VND;

d) Take the remedial measures stipulated in Points a, b, c, and dd Clause 1 Article 28 of the Law on Handling administrative violations and Article 2 of this Decree.

2. Presidents of People’s Committees of districts are entitled to:

a) Issue warnings;

b) Impose fines of up to 25,000,000 VND;

c) Confiscate the exhibits and vehicles related to the administrative violations that are valued at up to 25,000,000 VND;

d) Take the remedial measures stipulated in Points a, b, c, dd, e, h, i Clause 1 Article 28 of the Law on Handling administrative violations and Article 2 of this Decree.

3. Presidents of provincial People’s Committees are entitled to:

a) Issue warnings;

b) Impose fines of up to 50,000,000 VND;

c) Revoking Certificates of Registration of Science activities, Licenses for technology transfers, and Certificates of Registration of technology transfer contract;

d) Confiscate the exhibits and vehicles related to the administrative violations;

dd) Taking the remedial measures stipulated in Clause 1 Article 28 of the Law on Handling administrative violations and Article 2 of this Decree.

Article 24. Authority to impose penalties to other agencies

The police, the customs, tax authorities, and inspecting agencies of other fields are entitled to impose penalties for the violations stipulated in Chapter II of this Decree in the fields under their management in accordance with the Law on Handling administrative violations.

Article 25. Determination of authority to impose penalties

The authority to impose penalties for administrative violations of the persons mentioned in Articles 22, 23, and 24 of this Decree is applicable to each administrative violation committed by a individual; a fine for the same violation that committed by an organization is twice as much as the fine incurred by an individual.

Article 26. Authority to make records on administrative violations

When an administrative violation is discovered, the persons authorized to impose penalties and officials on duty shall make records and follow the regulations in Article 58 of the Law on handling administrative violations.

Chapter 4.

IMPLEMENTATION

Article 27. Transitional regulations

Where the administrative violations against the law on science activities and technology transfers that are committed before July 01, 2013 are discovered and handled after this date, the regulations advantageous to the violators shall apply.

Article 28. Effect

1. This Decree takes effect on August 15, 2013.

2. The Government s Decree No. 127/2004/NĐ-CP dated May 31, 2004 on penalties for administrative violations against the science activities, the Government s Decree No. 49/2009/NĐ-CP dated May 21, 2009 on penalties for administrative violations committed in technology transfers, Clause 3 and Clause 4 of Article 28 of the Government s Decree No. 84/2006/NĐ-CP dated August 18, 2006 on compensation, disciplinary actions, and penalties for administrative violations in thrift practice against extravagance are annulled from the effective date of this Decree.

Article 29. Implementation responsibilities

Ministers, Heads of ministerial agencies, Heads of Governmental agencies, the Presidents of People’s Committees of central-affiliated cities and provinces are responsible for the implementation of this Decree./.

For the Government

The Prime Minister

Nguyen Tan Dung