Circular No. 09/2013/TT-BCT stipulates on the activities of inspection and administrative penalty enforcement by Market Management.

CIRCULAR

Regulations on inspection activities and administrative penalty enforcement by Market Management

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Pursuant to the Law on Handling Administrative Offenses dated June 20, 2012;

Pursuant to Decree No. 95/2012/NĐ-CP dated November 12, 2012, of the Government, detailing the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

Pursuant to Decree No. 10/CP dated January 23, 1995 of the Government on the organization, tasks, and powers of Market Management, and Decree No. 27/2008/NĐ-CP dated March 13, 2008 of the Government amending and supplementing Decree No. 10/CP dated January 23, 1995 of the Government on the organization, tasks, and powers of Market Management;

At the proposal of the Director of the Market Management Department,

The Minister of Industry and Trade issues this Circular stipulating the inspection activities and administrative penalty enforcement by Market Management.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Circular stipulates the inspection activities and administrative penalty enforcement by Market Management including:

a) Object and content of inspection; form and basis for inspection; authority to issue inspection decision; inspection team; responsibility of the head of the Market Management agency with inspection authority to issue inspection decisions and responsibility of Market Management officials of the inspection team and persons participating in assisting the inspection team;

b) Building, issuing, or approving plans and inspection schemes;

c) Receiving and processing information about violations of laws or signs of violation of laws;

d) Procedures and formalities for inspection and administrative penalty enforcement.

2. Inspection and administrative penalty enforcement activities of Market Management agencies in the field of intellectual property shall be carried out in accordance with the provisions of the law on intellectual property and the provisions of this Circular.

Article 2. Applicability

1. Agencies and Market Management officials.

2. Agencies, organizations, and individuals related to the inspection and administrative penalty enforcement activities of Market Management.

Article 3. Principles of inspection and administrative penalty enforcement

1. Inspection and administrative penalty enforcement activities must comply with the law on inspection and administrative penalty enforcement and the provisions of this Circular.

2. Inspection and administrative penalty enforcement activities of Market Management aim to ensure compliance with trade and industry laws by organizations and individuals engaged in business activities on the market; detect, prevent, and promptly handle administrative violations in business activities on the market; contribute to production development, market stabilization, and expansion of goods circulation; protect the legitimate rights and interests of business organizations and individuals and consumers.

3. Adhere to work regulations and properly use the prescribed inspection records and decisions (collectively referred to as seals) in inspection and administrative penalty enforcement activities.

4. Inspection and administrative penalty enforcement activities must have a basis, ensuring objectivity, fairness, and compliance with the functions, tasks, and powers of Market Management and the provisions of the law.

Chapter II

OBJECTS, CONTENT, FORMS, BASIS, AUTHORITY FOR INSPECTION AND INSPECTION TEAM

Article 4. Objects and Content of Inspection

1. Inspect compliance with trade and industry laws by organizations and individuals engaged in business activities on the market.

2. Inspect compliance with laws in areas under the administrative authority to impose administrative penalties as provided for in the law on handling administrative violations.

Article 5. Forms and Basis for Inspection

1. Regular inspections according to inspection plans built, approved, or issued in accordance with Chapter III of this Circular.

2. Spot inspections when there is information about violations of laws or signs of violation of laws or at the request of the superior administrative agency head with inspection authority as provided for in Chapter IV of this Circular.

Article 6. Authority to issue inspection decision

1. The persons authorized to issue inspection decisions include the Director of the Market Management Department, the Head of the Market Management Sub-department, and the Team Leader of the Market Management Team (hereinafter referred to as the Heads of the Market Management Units).

2. The persons specified in Clause 1 of this Article may delegate their authority to issue inspection decisions to their deputies as follows:

a) Delegation of authority to issue inspection decisions can be carried out on a regular basis or on a case-by-case basis;

b) Delegation of authority must be documented in writing, specifying the scope, content, and duration of the delegation;

c) The deputy who is delegated the authority to issue inspection decisions shall be responsible for their inspection decisions before the superior leader and the law;

d) The deputy who is delegated the authority shall not further delegate such authority to any other person.

Article 7. Inspection Team

1. Market management inspection activities are directly conducted by the Inspection Team.

2. The Inspection Team must have at least two market management officials, with one serving as the Team Leader.

3. Market management officials of the Inspection Team must:

a) Hold a certificate of specialized training in market management according to the regulations of the Ministry of Industry and Trade;

b) Not be within the period of disciplinary action, under review for disciplinary action, or have complaints or accusations against them that are being investigated by the head of the official management unit;

c) Proactively report to obtain permission not to participate in the Inspection Team if their spouse, children, parents, siblings, or relatives of their spouse are the subjects of inspection or hold leadership positions in organizations subject to inspection.

4. The Team Leader of the Inspection Team, in addition to the conditions stipulated in Clause 3 of this Article, must also hold a Market Inspection Card issued according to the regulations.

Article 8. Responsibilities of the Heads of Market Management Units Authorized to Issue Inspection Decisions

1. Appoint market management officials or directly direct the Inspection Team to carry out inspections. In addition to market management officials, other personnel under their jurisdiction may be appointed to assist the Inspection Team when necessary.

2. Record the full name, position, and unit of the officials dispatched for inspection or assistance to the Inspection Team, as well as the inspection contents, in the Inspection Logbook of the Market Management Team as prescribed.

3. Direct and manage the Inspection Team's activities in accordance with the law and ensure effectiveness; promptly direct and handle situations arising during and after the inspection based on reports and recommendations from the Inspection Team.

4. Be responsible to the immediate superior unit and the law for all inspection activities carried out pursuant to the issued inspection decision.

Article 9. Responsibilities of Market Management Officials of the Inspection Team and Personnel Assisting the Inspection Team

1. The Team Leader of the Inspection Team is responsible for:

a) Organizing the implementation of inspections in accordance with the content of the inspection decision and the inspection plan as prescribed in this Circular;

b) Being accountable to the Head of the Market Management Unit that issued the inspection decision and the law for all activities of the Inspection Team;

c) Assigning specific tasks to market management officials of the Inspection Team and personnel assisting the Inspection Team to carry out inspections;

d) Exercising the powers of market inspectors at various levels while performing official duties according to the law;

đ) Seeking guidance and instructions from the Head of the Market Management Unit that issued the inspection decision for issues and contents arising beyond their authority while carrying out inspection tasks;

e) Reporting and proposing measures to handle the results of the inspection to the Head of the Market Management Unit that issued the inspection decision along with the inspection case file as prescribed in this Circular upon completion of the inspection.

2. Market management officials of the Inspection Team are responsible for:

a) Carrying out assigned inspection tasks according to the direction and management of the Team Leader of the Inspection Team;

b) Proposing necessary measures to the Team Leader of the Inspection Team to ensure effective and lawful inspection activities;

c) Reporting the results of their assigned tasks to the Team Leader of the Inspection Team and being responsible for the accuracy and truthfulness of the reported content or proposals.

3. Personnel appointed to assist the Inspection Team are responsible for performing tasks assigned by the Team Leader of the Inspection Team and shall not directly participate in inspection activities related to their professional and administrative duties.

Chapter III

DEVELOPMENT, APPROVAL, AND ISSUANCE OF INSPECTION PLANS

Article 10. Inspection Plan

1. The inspection plan of the Market Management Authority includes:

a) Annual regular inspection plan;

b) Specialized inspection plan by product category, sector, area, or target requiring inspection (hereinafter referred to as specialized inspection plan).

2. The inspection plan prescribed in Clause 1 of this Article must include the following main contents:

a) Basis for issuing the inspection plan;

b) Purpose and requirements of the inspection;

c) Types, groups of targets, product categories or sectors, and areas to be inspected;

d) Contents of the inspection;

đ) Time to conduct the inspection;

e) Budget, means, and conditions to serve the inspection;

g) Organization of inspection forces, including coordination with other state agencies for inspection if necessary;

h) Assignment of responsibilities for organizing and implementing the inspection plan;

i) Reporting system.

Article 11. Construction, Approval, or Issuance of the Inspection Plan of the Market Management Department

1. The construction and approval of the annual regular inspection plan prescribed in point a, Clause 1, Article 10 of this Circular shall be carried out as follows:

a) In the second week of November each year, based on market conditions, market management work requirements, or according to the directives of the head of the competent state management agency at a higher level, the Market Management Department shall be responsible for constructing the inspection plan for the next year, submitting it to the Minister of Industry and Trade for approval before November 30 of each year, and organizing its implementation;

b) The approved inspection plan must be sent to the Ministry of Industry and Trade's Inspectorate, Provincial Departments of Industry and Trade, and Provincial Market Management Branches (hereinafter referred to as Market Management Branches) for information and cooperation in work.

2. The construction and issuance of the specialized inspection plan prescribed in point b, Clause 1, Article 10 of this Circular shall be carried out as follows:

a) Based on market developments that give rise to issues, sectors, contents, or areas requiring focused inspections to prevent or according to the directives of the head of the competent state management agency at a higher level, the Market Management Department shall proactively construct and issue the specialized inspection plan and organize its implementation;

b) The issued specialized inspection plan must be sent to the Minister of Industry and Trade for reporting and to the Market Management Branches for information and cooperation in work.

3. The inspection plan of the Market Management Department constructed, approved, and issued in accordance with the provisions of this Article focuses on inspecting large-scale business entities or businesses operating across multiple areas or in key, contiguous, or regional areas.

Article 12. Construction, Approval, or Issuance of the Inspection Plan of the Market Management Branch

1. The construction and approval of the annual regular inspection plan prescribed in point a, Clause 1, Article 10 of this Circular shall be carried out as follows:

a) In the first week of December each year, based on market conditions, market management work requirements in the locality, or according to the directives of the head of the competent state management agency at a higher level, the Market Management Branch shall be responsible for constructing the inspection plan for the next year, submitting it to the Director of the Provincial Department of Industry and Trade for approval before December 15 of each year, and organizing its implementation;

b) The approved inspection plan must be sent to subordinate Market Management Teams for implementation and to the Market Management Department for reporting and monitoring the implementation.

2. The construction and issuance of the specialized inspection plan prescribed in point b, Clause 1, Article 10 of this Circular shall be carried out as follows:

a) Based on market developments that give rise to issues, sectors, contents, or areas requiring focused inspections to prevent in the local area or according to the directives of the head of the competent state management agency at a higher level, the Market Management Branch shall proactively construct and issue the specialized inspection plan and organize its implementation;

b) The issued specialized inspection plan must be sent to subordinate Market Management Teams for implementation, the Director of the Provincial Department of Industry and Trade, and the Market Management Department for reporting and monitoring the implementation.

Article 13. Construction and Approval of Inspection Plans by Market Management Teams

1. Within the latest period of 10 days from the date of receipt of the inspection plan approved or issued by the direct superior market management agency in accordance with Articles 11 and 12 of this Circular, subordinate market management teams shall be responsible for:

a) Constructing inspection plans within their jurisdiction or according to the assigned fields;

b) Submitting the inspection plan for approval by the head of the direct superior market management agency and organizing its implementation.

2. The inspection plan specified in Clause 1 of this Article must include the following main contents:

a) Basis for constructing the inspection plan;

b) Content of inspection;

c) Anticipated name and address of organizations, individuals, or business locations to be inspected;

d) Anticipated time for conducting inspections;

đ) Assignment of civil servants to carry out inspections;

e) Anticipated coordinating agencies for inspections if applicable.

3. Based on the inspection plan constructed and approved in accordance with Clauses 1 and 2 of this Article, the head of the market management team shall be responsible for:

a) Notifying the inspected organization or individual about the inspection at least three working days before the inspection takes place;

b) Issuing an inspection decision for the inspected organization or individual;

c) Organizing, directing, and managing the inspection according to the inspection decision;

d) Reporting the inspection results to the head of the direct superior market management agency upon completion of the inspection as stipulated in this Article.

Chapter IV

RECEIVING AND PROCESSING INFORMATION AND CONSTRUCTING SPOT CHECK PLANS

Article 14. Information on Violations of Laws or Indications of Violations for Spot Checks

1. Information from mass media.

2. Information from complaints, reports, or tips from organizations or individuals.

3. Information from requests for administrative violation handling from organizations or individuals.

4. Information from discoveries by area management civil servants or those tasked with surveillance, monitoring, detecting administrative violations, or performing inspection and violation handling duties.

5. Information from directives of the head of the competent state management agency.

Article 15. Receiving and Processing Information

1. Civil servants collecting and receiving information on violations of laws or indications of violations as stipulated in Article 14 of this Circular must immediately report in writing to the head of the direct market management agency for information processing.

2. Immediately after receiving the information as stipulated in Article 14 of this Circular, the head of the market management agency receiving the information shall process it as follows:

a) In cases where there is sufficient basis for immediate inspection to prevent violations, issue an inspection decision within their authority or immediately report in writing to the head of the direct superior market management agency with authority to organize and direct the inspection as stipulated in Article 16 of this Circular;

b) In cases where there is insufficient basis for inspection, immediately organize verification and investigation of the information as stipulated in Article 17 of this Circular.

Article 16. Immediate inspection cases

1. Except where otherwise provided by laws on intellectual property rights, immediate inspections as stipulated in Point a, Clause 2, Article 15 of this Circular shall be carried out in the following cases:

a) The subject is committing an administrative violation act or has just committed it and is discovered, is fleeing, or is disposing of evidence or means of violation that many people have witnessed (hereinafter referred to as immediate discovery of law violation acts);

b) If immediate inspection is not conducted, the violator will flee, evidence or means of administrative violation may be disposed of, destroyed, or measures must be taken promptly to prevent or mitigate consequences caused by the violation (hereinafter referred to as urgent cases);

c) The proposal document from the market management officer regarding the law violation act or signs of violation contains sufficient grounds for inspection;

d) In accordance with the inspection directive issued by the head of the competent state management agency with authority;

2. The head of the Market Management Agency issuing the decision for immediate inspection or organizing the inspection shall be responsible for the immediate inspection as prescribed in this Article.

Article 17. Organization of verification and information investigation

1. The head of the Market Management Agency authorized to receive and process information shall be responsible for:

a) Organizing the verification and investigation of received information immediately in accordance with Point b, Clause 2, Article 15 of this Circular;

b) Issuing a directive on the contents that need to be verified and investigated and the name of the officer assigned to verify and investigate the information.

2. The market management officer assigned to verify and investigate information as stipulated in Point b, Clause 1 of this Article shall be responsible for:

a) Conducting the verification and investigation of information immediately in accordance with the directives of the superior Market Management Agency's head who assigns the task;

b) Reporting the results of verification and investigation in writing to the superior Market Management Agency's head who assigns the task for consideration and handling of the verification and investigation results in accordance with Article 18 of this Circular.

3. The report on the results of verification and investigation of the market management officer assigned to verify and investigate information as stipulated in Point b, Clause 2 of this Article must include the following main contents:

a) Basis for conducting verification and investigation;

b) Full name, position, and workplace of the person conducting verification and investigation;

c) Name and address of the individual, organization, or location being verified and investigated;

d) Time of verification and investigation;

đ) Content and results of verification and investigation;

e) Recommendations and suggestions of the person conducting verification and investigation;

g) Signature and full name of the reporter.

Article 18. Handling Results of Verification and Investigation

Immediately upon receiving the report on the results of verification and investigation from the market management officer, the head of the Market Management Agency receiving the report shall be responsible for reviewing, evaluating the results of verification and investigation, and handling them as follows:

1. In case the results of verification and investigation indicate a violation of the law or signs of violation, decide to conduct an inspection within their authority or immediately report to the head of the directly superior Market Management Agency with authority to organize and direct the inspection as stipulated in Point a, Clause 2, Article 15 of this Circular;

2. In case the results of verification and investigation do not indicate a violation of the law or signs of violation, notify in writing the individual or organization that submitted the complaint, accusation, or request for administrative violation handling.

Article 19. Inspection Plan

1. Except for cases provided for in point a, b Clause 1 Article 16 and inspection according to plan prescribed in Chapter III of this Circular, before issuing an on-site inspection decision, there must be an inspection plan to ensure that the inspection is conducted in accordance with the law and yields results.

2. The inspection plan as stipulated in Clause 1 of this Article must include the following main contents:

a) Basis for conducting the inspection;

b) Name and address of the organization, individual, or business location to be inspected;

c) Content and scope of the inspection;

d) Assignment of civil servants to carry out the inspection;

đ) Anticipated methods and ways to conduct the inspection;

e) Anticipated start and end times of the inspection;

g) Anticipated administrative violations and applicable regulatory legal documents;

h) Anticipated scenarios and measures to handle if they arise;

i) Anticipated means and conditions to serve the inspection if necessary;

k) Anticipated coordinating agencies if necessary;

l) Name, signature of the person issuing the plan and stamp.

3. The head of the Market Management agency with authority to issue inspection decisions shall be responsible for drafting, issuing, and supervising the implementation of the inspection plan as prescribed in this Article.

Article 20. Confidentiality of Information

All information, documents, and case files related to inspection and handling of administrative violations or suspected administrative violations as prescribed in this Chapter must be kept confidential as required and not disclosed to persons without direct authority related to the case.

Chapter V

PROCEDURE AND PROCEDURES FOR INSPECTION AND ADMINISTRATIVE PENALTY

Article 21. Issuance of Inspection Decisions

1. Except for cases of immediate violation of the law, all inspections must have a written decision issued by the head of the Market Management agency with authority.

2. The head of the Market Management agency with authority may only issue an inspection decision when:

a) There is basis as prescribed in Article 5 of this Circular;

b) Within the assigned jurisdiction, territory, or field of inspection.

3. The content of the inspection decision follows the prescribed model.

4. The content of the inspection decision must:

a) Be accurate regarding the object and content of the inspection as prescribed in Article 4 of this Circular;

b) Be accurate regarding the object, content, and deadline of the inspection recorded in the inspection plan established, approved, or issued as prescribed in Chapter III of this Circular, and within one year, it shall not be conducted more than once on the same content for the inspection object;

c) Be accurate regarding the administrative violation behavior or signs of administrative violation received or the result of verification and investigation in the case of sudden inspection as prescribed in Chapter IV of this Circular;

5. The inspection decision takes effect from the date of issuance.

Article 22. Implementation of Inspection Decisions

1. Inspection decisions according to the plan prescribed in Chapter III of this Circular must be implemented within the latest five working days from the date of issuance of the inspection decision.

2. Sudden inspection decisions as prescribed in Chapter IV of this Circular must be organized and implemented immediately after issuance.

3. When conducting inspections, the Team Leader of the Inspection Team must:

a) Present the Market Inspection Card and announce the inspection decision to the inspection object or relevant person of the inspected object;

b) Notify the inspection object or relevant person of the inspected object about the market management civil servants of the Inspection Team, those participating in assisting the Inspection Team, coordinating agencies, and witnesses if any;

c) Require the inspected object or relevant person of the inspected object to comply with the inspection decision of the authorized person and work with the Inspection Team.

4. The Team Leader of the Inspection Team organizes the inspection process strictly according to the content of the announced inspection decision. In case of issues arising during the inspection that exceed their authority, they must immediately report to the head of the Market Management agency that issued the inspection decision to promptly handle them.

5. When conducting inspections, the Team Leader of the Inspection Team has the right:

a) To require the inspected object or relevant person of the inspected object to provide papers, documents, ledgers, vouchers, and explain matters related to the inspection content;

b) To inspect goods, production tools, business tools; inspect the scene of production, sale, storage of goods related to the inspection content. If the inspected object or relevant person of the inspected object avoids or obstructs the inspection of the production, sale, storage scene of goods and there is evidence that such goods are hidden at that place, then propose to the authorized person issuing the inspection decision to apply for inspection of the hidden goods and equipment according to the law on handling administrative violations;

c) To collect documents, evidence, and explanations of the inspected object or relevant person of the inspected object at the inspection site;

d) To take samples of goods for testing and appraisal when necessary according to the law;

đ) To apply measures to prevent and ensure the handling of administrative violations within their authority or propose to the authorized person to apply such measures when necessary according to the law on handling administrative violations;

e) To draft a record as prescribed in Article 24 of this Circular upon completion of the inspection.

6. Duration of On-Site Inspection:

a) Each on-site inspection session shall not exceed five working days and is calculated from the time the inspection decision is announced until the end of the on-site inspection at the inspection site;

b) For complex cases, the duration of on-site inspection may be extended but not exceeding ten working days from the date of announcement of the inspection decision. Extension of the on-site inspection period shall be decided in writing by the person who issued the inspection decision;

c) Time spent by the inspected object or relevant person of the inspected object delaying or avoiding the inspection shall not be counted towards the on-site inspection period specified in this clause.

Article 23. Handling of Content Arising During Inspection

1. In cases where the inspection discovers violations of laws outside the contents recorded in the inspection decision, the Inspection Team may conduct the inspection immediately without having to request the Head of the Market Management Authority with jurisdiction to issue a supplementary inspection decision for the administrative violation already discovered.

2. In cases where the inspection discovers signs of violations of laws outside the inspection contents and it is deemed necessary to conduct an inspection to clarify the violations, the Inspection Team must submit a written request to the Head of the Market Management Authority with jurisdiction to issue a supplementary inspection decision for the administrative violation contents that need to be clarified. Only after receiving the supplementary inspection decision from the Head of the Market Management Authority with jurisdiction can the Inspection Team proceed with the inspection of the supplemented contents.

Article 24. Preparing Inspection Records and Administrative Violation Records

1. Based on the inspection results, the Inspection Team shall prepare the inspection record and administrative violation record immediately after completing the inspection at the inspected location on the day of work, as follows:

a) In cases where all inspection contents comply with the law, the Inspection Team shall prepare an inspection record noting the inspection results.

b) In cases where all inspection contents reveal administrative violations or in cases of immediate law violations, the Inspection Team shall prepare an administrative violation record according to the regulations on handling administrative violations.

c) In cases where some inspection contents comply with the law while others reveal administrative violations, the Inspection Team shall prepare an inspection record noting the inspection results, and simultaneously prepare an administrative violation record for the discovered administrative violations according to the regulations on handling administrative violations.

d) In cases where some inspection contents comply with the law, some reveal administrative violations, and some reveal signs of administrative violations requiring further investigation and verification, the Inspection Team shall prepare an inspection record noting the inspection results, and immediately report in writing to the Head of the Market Management Authority with jurisdiction to issue an inspection decision to organize further investigation and verification according to this Circular or apply measures to prevent and ensure the handling of administrative violations according to the regulations on handling administrative violations.

2. The inspection record must be prepared according to the prescribed form. When preparing the inspection record, the inspected entity or related persons must be present. If the inspected entity or related persons are absent or deliberately avoid presence, there must be witnesses present during the preparation of the record and the reason for absence or avoidance must be clearly noted in the record; if the inspected entity or related persons refuse to sign the inspection record, there must be witnesses present during the preparation of the record and the reason for refusal must be clearly noted in the record.

3. Contents of the Inspection Record:

a) The inspection record must fully, accurately, and truthfully reflect the results of the inspection contents, opinions of the inspected entity or related persons, cooperating inspection agencies, and witnesses if any, as stipulated in Clause 2 of this Article, and the comments, evaluations, recommendations, and proposals of the Inspection Team regarding the inspection case.

b) There must be signatures of representatives of all parties involved in the inspection and record preparation. In cases where the record has multiple pages or parts including appendices, lists of evidence, and means of violation, each page and part of the record, appendices, and accompanying lists must be signed by these individuals.

4. The preparation of administrative violation records shall be carried out according to the regulations on handling administrative violations.

5. At the latest within one working day from the completion date of the inspection record or administrative violation record as stipulated in this Article, the Team Leader of the Inspection Team must transfer the case file to the Head of the Market Management Authority with jurisdiction to issue the inspection decision for the handling of the inspection results, except in cases stipulated in Clause 6 of this Article.

6. In cases where the administrative violations discovered according to points b and c of Clause 1 of this Article fall under situations where penalties are imposed without preparing an administrative violation record, the Team Leader of the Inspection Team shall immediately issue a penalty decision within their authority and report the results along with the inspection and administrative penalty case file to the Head of the Market Management Authority with jurisdiction to issue the inspection decision.

Article 25. Handling the Results of Inspection

Immediately upon receiving the case file of the inspection from the Inspection Team, the Head of the Market Management Authority who issued the inspection decision must examine and handle the results of the inspection as follows:

1. In cases where an administrative violation record has been established according to Article 24 of this Circular and within the time limit for imposing administrative penalties as prescribed, the Head of the Market Management Authority who issued the inspection decision must consider deciding on the imposition of penalties for administrative violations within their authority, or proceed with the necessary procedures to transfer or hand over the administrative violation case file to the competent authority for imposing penalties in accordance with the laws on handling administrative violations and the provisions of this Circular.

2. In cases where the inspection results reveal signs of violation of the law but there is not enough evidence to conclude an administrative violation, the organization shall conduct verification, investigation, collection, and supplementation of inspection-related documents and evidence to make conclusions in accordance with Article 26 of this Circular.

Article 26. Verification, Investigation, Collection, and Supplementation of Inspection-Related Documents and Evidence

1. Depending on the specific requirements of the inspection case, the organization of verification, investigation, collection, and supplementation of inspection-related documents and evidence may be carried out in one or more of the following forms:

a) Inviting the inspected entity to attend a meeting;

b) Meeting with the inspected entity when the inspected entity requests it;

c) Meeting with other organizations or individuals related to the inspection case;

d) Dispatching personnel to verify or requesting relevant state management agencies to conduct verification and investigation;

đ) Taking samples of goods for testing and appraisal;

e) Seeking expert opinions or opinions from specialized state management agencies;

g) Other forms as prescribed by law.

2. At the latest within two working days from the date of completion of verification, investigation, collection, and supplementation of inspection-related documents and evidence as stipulated in Clause 1 of this Article, the Head of the Market Management Authority who issued the inspection decision or is handling the inspection case must examine and handle as follows:

a) In cases where there is no violation of the law, they must notify the inspected individual or organization in writing within three working days from the date of conclusion;

b) In cases where there is an administrative violation, they must immediately establish an administrative violation record in accordance with the laws on handling administrative violations and consider deciding on the imposition of penalties for administrative violations within their authority, or proceed with the necessary procedures to transfer or hand over the administrative violation case file to the competent authority for imposing penalties in accordance with the laws on handling administrative violations and the provisions of this Circular.

Article 27. Imposition of Administrative Penalties

The authority, procedures, time limits for imposing administrative penalties, enforcement of penalty decisions, handling of contraband items and means of transportation involved in administrative violations, and compulsory enforcement of penalty decisions are implemented in accordance with the laws on handling administrative violations.

Article 28. Procedures for Transferring Administrative Violation Cases to Competent Authorities of Other Sectors

1. For administrative violation cases discovered through inspections conducted by the Market Management Authority or primarily conducted by the Market Management Authority but falling under the authority of other sectors to impose administrative penalties, the Head of the Market Management Authority who issued the inspection decision or is handling the case must:

a) Issue a document transferring the administrative violation case to the competent authority for imposing administrative penalties;

b) Transfer all case files and seized items or means of transportation if any, when transferring the administrative violation case;

c) Establish a receipt and delivery record for case files and seized items or means of transportation if any, between the transferring party and the receiving party;

d) Continue to store seized items or means of transportation if any, when transferring the administrative violation case at the request of the competent authority for imposing penalties.

2. For administrative violation cases discovered through inspections conducted by the Market Management Authority or primarily conducted by the Market Management Authority but showing signs of criminal offenses, the Head of the Market Management Authority who issued the inspection decision or is handling the case must immediately transfer the case to the competent criminal prosecution authority for consideration of criminal responsibility in accordance with the laws on handling administrative violations. The procedures for transferring case files, seized items, and the process of receipt and delivery shall be carried out in accordance with the provisions of Clause 1 of this Article.

Article 29. Procedures for transferring administrative violation cases within the Market Management Agency

1. The transfer of administrative violation cases exceeding the authority to impose administrative penalties within the Market Management Agency shall be carried out in accordance with the provisions of Clause 2 of this Article.

2. The person authorized to handle administrative violation cases must:

a) Immediately report in writing to the person authorized to impose penalties about the transfer of the administrative violation case;

b) Transfer all case files of the administrative violation case and prepare a record of handover between the transferring party and the receiving party;

c) Continue to store seized items or means if required when transferring the administrative violation case, upon request of the person authorized to impose penalties.

3. Within the latest three working days from the date of receiving the administrative violation case file, the Head of the higher-level Market Management Agency authorized to impose penalties who receives the file shall be responsible for examining and deciding on the imposition of administrative penalties according to their authority or submitting to the competent authority for the imposition of administrative penalties within the time limit prescribed by law on handling administrative violations.

Article 30. Procedures for reporting administrative violation cases

1. The Team Leader of the Market Management Team or the Director of the Market Management Branch must report to the Chairman of the People's Committee at the level authorized to impose administrative penalties in the following cases:

a) The case involves multiple types of administrative violations in different areas of state management, including administrative violations not within the authority to impose administrative penalties of the Market Management Agency;

b) The administrative violation case exceeds the authority to impose administrative penalties of the Director of the Market Management Branch;

c) The administrative violation case exceeds the authority to impose administrative penalties of the Team Leader of the Market Management Team.

2. It is not allowed to divide or separate an administrative violation case to impose administrative penalties multiple times to suit one’s own authority except in cases where administrative violations must be transferred to another competent agency.

Article 31. Procedures for accepting and handling administrative violation cases transferred from other state agencies to the Market Management Agency

1. The procedures for accepting and handling administrative violation cases transferred from other state agencies to the Market Management Agency are as follows:

a) There must be a written transfer of the administrative violation case from the authorized person of the transferring agency;

b) Only accept and handle transferred administrative violation cases if deemed appropriate to the functions, tasks, and powers of the Market Management Agency and the authority to impose penalties at their level;

c) Follow the procedures for accepting the transfer as stipulated in point b and c of Clause 1 of Article 28 of this Circular with the transferring party.

2. Within the time limit prescribed by law on handling administrative violations, the Head of the Market Management Agency receiving the transfer shall be responsible for examining and deciding on the imposition of administrative penalties according to their authority or submitting to the competent authority for the imposition of administrative penalties as prescribed in Articles 29 and 30 of this Circular.

Article 32. Management and storage of case files for administrative inspection and violation handling

1. Case files for administrative inspection and violation handling include all documents related to the inspection and handling of administrative violations.

2. Upon completion of an administrative inspection and violation handling case, the head of the Market Management agency responsible for the case shall organize the establishment of the case file for administrative inspection and violation handling.

3. The case file for administrative inspection and violation handling must have a list of documents contained in the file and be indexed according to the provisions of the law on handling administrative violations.

4. Case files for administrative inspection and violation handling shall be stored as follows:

a) The level that issues the administrative penalty decision shall store the case file at that level;

b) In cases where the People's Committee of the province issues the administrative penalty decision, the Market Management Office shall store the case file at the Market Management Office;

c) In cases where the People's Committee of the district issues the administrative penalty decision, the Market Management Team in that area shall store the case file.

5. Case files for administrative inspection and violation handling must be preserved, stored, and destroyed when they lose their value for use in accordance with the law on archives.

Chapter VI

APPLICATION OF MEASURES TO PREVENT AND ENSURE HANDLING OF ADMINISTRATIVE VIOLATIONS

Article 33. General provisions on the application of measures to prevent and ensure handling of administrative violations

1. During the process of administrative inspection and violation handling, officials of the Market Management agency authorized to apply preventive measures and ensure handling of administrative violations shall do so in accordance with the law on handling administrative violations.

2. The authority and procedures for applying preventive measures and ensuring handling of administrative violations shall be carried out in accordance with the law on handling administrative violations.

3. Officials of the Market Management agency who decide to apply preventive measures and ensure administrative penalties shall be responsible for:

a) Ensuring that the application of preventive measures and ensuring handling of administrative violations is based on legal grounds as stipulated by the law on handling administrative violations;

b) Organizing, directing, and implementing the application of preventive measures in compliance with the procedures prescribed by the law on handling administrative violations.

Article 34. Issuing decisions for administrative inspections of persons, means of transport, objects, and places concealing evidence of administrative violations

1. Except in cases where immediate inspections are required under the law on handling administrative violations, all administrative inspections of persons, means of transport, objects, and places concealing evidence of administrative violations (hereinafter referred to as inspections) must be conducted based on a written inspection decision issued by an authorized person.

2. An authorized official of the Market Management agency may issue an inspection decision only if:

a) Information about acts of law violation or signs of law violation has been received, processed, investigated, verified, and the results of such verification have been handled in accordance with the provisions of Articles 14, 15, 16, 17, 18, and 20 of this Circular, or in the circumstances specified in point b and d, Clause 5, Article 22 of this Circular;

b) Within the scope of authority, territory, or field of inspection assigned;

c) There is a plan for organizing the inspection in accordance with Article 35 of this Circular to ensure that the inspection is conducted in accordance with the law and achieves results.

Article 35. Plan for Organizing Inspection

1. Except in cases where immediate inspection is required under laws on administrative violation handling, authorized officials of the Market Management Agency shall be responsible for drafting, issuing, and directing the implementation of the plan for organizing inspection as prescribed in this Article.

2. The plan for organizing inspection must include the following main contents:

a) Basis for conducting the inspection;

b) Object or place to be inspected;

c) Reason for the inspection;

d) Scope of the inspection;

đ) Assignment of civil servants to carry out the inspection;

e) Anticipated methods and ways of conducting the inspection;

g) Anticipated start and end times of the inspection;

h) Anticipated situations that may arise and measures to address them;

i) Anticipated administrative violations and applicable regulatory documents;

k) Anticipated means and conditions to support the inspection if necessary;

l) Anticipated cooperating agencies if necessary.

m) Name, signature, and seal of the person issuing the plan.

Article 36. Procedure and Formalities for Implementing Inspection Decisions and Handling Inspection Results

The procedure and formalities for implementing inspection decisions; handling matters arising during the inspection process; preparing inspection records, administrative violation records; handling inspection results; verifying, supplementing evidence; imposing administrative penalties; transferring, receiving, submitting case files, and managing file storage shall be carried out similarly to the provisions from Article 22 to Article 32 of this Circular.

Chapter VII

IMPLEMENTING PROVISIONS

Article 37. Responsibilities for Implementation

1. The Director of the Market Management Department shall be responsible for:

a) Organizing the implementation of market inspection and administrative penalty activities of the Market Management Department in accordance with the law and this Circular;

b) Directing, monitoring, urging, guiding, and inspecting local market management forces in their inspection and administrative penalty activities in accordance with the law and this Circular;

c) Reporting to the Minister of Industry and Trade on the situation and results of market inspection and administrative penalty activities of the Market Management Department and local market management forces as prescribed;

d) Proposing to the Minister of Industry and Trade organizational measures for implementing or amending this Circular when necessary.

2. The Director of the Department of Industry and Trade shall be responsible for:

a) Approving the annual inspection plans of local market management agencies;

b) Monitoring, auditing, and inspecting the public service inspection and administrative violation handling activities of local market management agencies and civil servants in accordance with the law and this Circular.

3. The Head of the Market Management Branch shall be responsible for:

a) Organizing the implementation of market inspection and administrative penalty activities of local market management forces in accordance with the law and this Circular;

b) Organizing the implementation of directives and inspection decisions issued by the Market Management Department or coordinating with the Market Management Department and other local market management forces to conduct inspections and impose penalties when requested;

c) Directing, monitoring, urging, guiding, and inspecting subordinate market management teams in their inspection and administrative penalty activities in accordance with the law and this Circular;

d) Reporting to the Director of the Department of Industry and Trade and the Market Management Department on the situation and results of market inspection and administrative penalty activities of local market management forces as prescribed.

4. The Head of the Market Management Team shall be responsible for:

a) Organizing the implementation of market inspection and administrative penalty activities in accordance with the law and this Circular;

b) Reporting to the head of the superior market management agency on the situation and results of market inspection and administrative penalty activities of the market management team within its jurisdiction or assigned field.

5. Heads of central and local state agencies, organizations, and individuals related to this matter shall be responsible for:

a) Providing information, documents, and evidence for inspection requests made by market management agencies;

b) Cooperating in inspections and handling violations at the request of market management agencies;

c) Cooperating in the implementation of inspection decisions, inspection decisions, penalty decisions, and other decisions of authorized heads of market management agencies.

Article 38. Effective Date

1. This Circular takes effect from July 1, 2013.

2. Abolish Circulars of the Ministry of Industry and Trade No. 26/2009/TT-BCT dated August 26, 2009, which stipulates the procedural operations for market inspection, supervision, and administrative violation handling; and No. 12/2008/TT-BCT dated October 22, 2008, which provides guidance on procedures and formalities for accepting, processing, and resolving complaints regarding intellectual property administrative violations handled by market management agencies.

3. The Director of the Market Management Department, the Director of the Department of Industry and Trade, the Director of the Market Management Sub-department, the Head of the Market Management Team, the Heads of units under the Ministry of Industry and Trade, and relevant agencies, organizations, and individuals shall be responsible for organizing the implementation of this Circular./.