Circular No. 14/2014/TT-BCT stipulates the procedures for verification and administrative penalty in the electricity sector within the authority of the head of the Electricity Regulatory Authority.

CIRCULAR

Article 24Article 1. Defines the procedures for verifying and imposing administrative penalties in the electricity sector within the authority of the head of the electricity regulatory agency.

Within the authority of the head of the electricity regulatory agency.specialized agency under the People's Committee of the province/city.

___________________

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

Pursuant to the Electricity Law dated December 3, 2004; and the Law Amending and Supplementing Certain Provisions of the Electricity Law dated November 20, 2012;

Based on Decree No. 134/2013/NĐ-CP dated October 17, 2013 of the Government stipulating administrative penalties in the electricity sector, dam safety, and efficient energy use.

At the proposal of the Director of the Electricity Regulatory Authority,

The Minister of Industry and Trade issues this Circular to define the procedures for verifying and imposing administrative penalties in the electricity sector within the authority of the Head of the Electricity Regulatory Agency.

CChapter I

GENERAL PROVISIONS

3. Amend Clause 3 Article 2 as follows:iArticle 1. Scope of Regulation

This Circular defines the procedures for verifying and imposing administrative penalties in the electricity sector within the authority of the Head of the Electricity Regulatory Agency as prescribed in Point b Clause 1 Article 47 of Decree No. 134/2013/NĐ-CP dated October 17, 2013 of the Government stipulating administrative penalties in the electricity sector, dam safety, and efficient energy use (hereinafter referred to as Decree No. 134/2013/NĐ-CP).

In cases where the position with the authority to impose administrative penalties as prescribed in this Circular changes its name, that position retains the authority to impose penalties.

3. Amend Clause 3 Article 2 as follows:iArticle 2. Scope of Application

This Circular applies to the following entities:

1. The Electricity Regulatory Agency (currently the Electricity Regulation Department).

2. Organizations and individuals subject to verification and administrative penalty imposition.

3. Organizations and individuals related to the verification and administrative penalty imposition process.

3. Amend Clause 3 Article 2 as follows:iArticle 3. Responsibility for Providing Information

1. Organizations and individuals related to the verification and administrative penalty imposition process have the responsibility to cooperate, provide necessary and relevant information and documents regarding the case with signs of administrative violation upon request from the Head of the Electricity Regulatory Agency.

2. In cases where information cannot be provided, organizations and individuals related to the process must notify in writing and specify the reasons.

3. In cases of refusal to provide information without justifiable reasons, organizations and individuals will be handled according to the provisions of the law.

3. Amend Clause 3 Article 2 as follows:ionArticle 4. Delegation of Penalty Imposition Authority

The Head of the Electricity Regulatory Agency may delegate to deputy officials the authority to impose administrative penalties and enforce decisions on administrative penalties within their own authority.

Chapter II

ACCEPTANCE AND HANDLING OF CASES WITH SIGNS OF ADMINISTRATIVE VIOLATIONS

3. Amend Clause 3 Article 2 as follows:iArticle 5. Sources of Information on Cases

1. From reports or written information from organizations and individuals.

2. Transferred by the Power Inspector Management Agencies or those authorized under Articles 33, 34, and 36 of Decree No. 134/2013/NĐ-CP.

3. During the inspection of power activities as prescribed.

4. Transferred by state management agencies or criminal proceedings agencies.

Article 6. Case Acceptance

1. When accepting information about cases from sources specified in Article 5 of this Circular, the Electricity Regulation Department has the responsibility to record in the Case Acceptance Register for management and tracking.

2. The content of reports and information as specified in Clause 1 Article 5 of this Circular includes:

a) Date of report;

b) Name and address of the organization or individual making the report;

c) Name and address of the organization or individual committing the act with signs of administrative violation;

d) Description of the act with signs of administrative violation;

đ) Time and place where the act with signs of administrative violation occurred;

e) Reason for knowing the act with signs of administrative violation (if applicable).

The format of the report and written information is specified in Appendix 1 attached to this Circular.

3. For cases accepted through direct reporting, staff receiving the report must guide the reporter to write the report according to the format specified in Appendix 1 attached to this Circular.

3. Amend Clause 3 Article 2 as follows:iArticle 7. Case Handling

1. A case is accepted when it meets the following conditions:

a) Within the authority to impose penalties;

b) Still within the statute of limitations for penalties, except in cases where the statute of limitations for penalties has expired but measures to mitigate consequences must be applied;

c) There are signs of an administrative violation;

d) For cases accepted from reports or written information as prescribed in Clause 1 Article 5 of this Circular, in addition to the conditions specified in Points a, b, and c of this Clause, it must also meet the condition: the report or written information must include the full name, contact address, and signature of the reporter, and the signature of the representative of the organization and the stamp of the organization providing the report or information.

2. Within five working days from the date of accepting the case, the Electricity Regulation Department has the responsibility to notify in writing about the acceptance of the case to the organization or individual making the report or providing information; if not accepted, the reason must be clearly stated.

3. Amend Clause 3 Article 2 as follows:iArticle 8. Responsibilities of Staff Handling and Verifying Cases

1. Accepting and establishing case files.

2. Verifying the case according to the content of the Decision to Verify Cases with Signs of Administrative Violations and reporting the verification results and supplementary verification reports as prescribed in this Circular.

3. Reporting to the Head of the Electricity Regulatory Agency on any issues arising during the verification process (if any).

4. Keeping the case confidential.

5. Safeguarding provided evidence and documents.

6. Refusing to handle or verify the case if they have rights, interests, or obligations related to the case or are the parent, spouse, child, sibling, or blood relative of the person whose actions are being verified.

7. Being responsible before the law for performing assigned tasks during the handling and verification process.

3. Amend Clause 3 Article 2 as follows:iArticle 9. Transfer of Cases

1. For cases not within the authority to impose penalties, the Head of the Electricity Regulatory Agency has the responsibility to transfer them to the competent authority.

2. For cases of administrative violations where a Decision on Administrative Penalties has been issued, but during the enforcement of the decision or after its completion, if the violation is found to have criminal indications and the statute of limitations for criminal prosecution has not expired, the Head of the Electricity Regulatory Agency has the responsibility to transfer the case file to the criminal investigation agency as prescribed in Article 62 of the Law on Handling Administrative Violations.

Chapter III

PROCEDURES FOR VERIFYING ADMINISTRATIVE VIOLATIONS

3. Amend Clause 3 Article 2 as follows:iArticle 10. Issuing a Decision to Verify Cases with Signs of Administrative Violations

1. In case the matter requires verification and evidence collection, the Head of the Electricity Regulatory Authority has the right to issue a Decision on verifying the administrative violation case within three working days from the date of accepting the case.

2. The contents of the Decision include:

a) Date of issuance of the decision;

b) Basis for verification;

c) Name and address of the organization, entity, or individual subject to verification;

d) Person responsible for verification;

đ) Content of verification;

e) Time limit for verification.

The model for the Decision on verifying the administrative violation case is specified in Appendix 2 attached hereto.

3. Amend Clause 3 Article 2 as follows:iArticle 11. Verification of Administrative Violation Cases

1. Verification of cases shall be carried out through one or more of the following measures:

a) Collecting evidence, objects, means, and documents related to the administrative violation behavior;

b) Requesting organizations or individuals who have committed the administrative violation behavior to explain;

c) Requesting relevant organizations or individuals to provide information and documents related to the case;

d) Seeking expert opinions;

đ) Requesting forensic examination.

2. The verification measures prescribed in Points b, c, and d of Clause 1 of this Article shall be implemented through sending written requests or direct exchanges. In the case of direct exchange, the officer handling and verifying the case shall be responsible for:

a) Presenting an introduction letter;

b) Recording the minutes of the meeting. The minutes must clearly and specifically record the content of the meeting, list the documents and evidence provided by the organization or individual (if any), and bear the signature of the person whose opinion was sought. If the minutes consist of multiple pages, the person whose opinion was sought must sign each page. In the event that the person refuses to sign the minutes, the officer handling and verifying the case must record the reason in the minutes.

3. Amend Clause 3 Article 2 as follows:iArticle 12. Forensic Examination Request

1. During the verification process, the Head of the Electricity Regulatory Authority has the right to request a forensic examination of evidence, objects, means, and documents related to the administrative violation behavior when deemed necessary or upon the request of the organization or individual subject to verification or those with rights and interests related to the case.

2. The Head of the Electricity Regulatory Authority issues a Decision on requesting a forensic examination and sends the Decision along with the object to be examined and related documents or items (if any) to the individual or organization conducting the examination.

3. The Decision on requesting a forensic examination must contain the following contents:

a) Name and title of the authorized person requesting the forensic examination;

b) Name of the organization; name and surname of the person requested to conduct the examination;

c) Name and characteristics of the object to be examined;

d) Name of the related document or sample sent along (if any);

đ) Content of the request for appraisal;

e) Date of requesting the forensic examination and the deadline for submitting the examination conclusion.

4. The Head of the Electricity Regulatory Authority has the right to request additional forensic examinations in cases where new issues arise related to previous examination conclusions, the content of the examination conclusion is unclear or incomplete, or upon the request of the organization or individual subject to verification or those with rights and interests related to the case.

5. The Head of the Electricity Regulatory Authority has the right to request a re-examination in cases where there are contradictions between examination conclusions on the same issue, doubts about the examination results, or upon the request of the organization or individual subject to verification or those with rights and interests related to the case.

6. Responsibility for paying advance costs for forensic examination and settlement of forensic examination costs

a) In cases where the Head of the Electricity Regulatory Authority requests a forensic examination, the Electricity Regulatory Agency must bear the costs related to the examination.

b) In cases where the Head of the Electricity Regulatory Authority requests a forensic examination at the request of the organization or individual subject to verification, the organization or individual subject to verification must bear the examination costs.

c) In cases where the Head of the Electricity Regulatory Authority requests a forensic examination at the request of the organization or individual with rights and interests, such organization or individual is responsible for paying the advance cost for the forensic examination. If the examination conclusion proves that the request of the organization or individual with rights and interests is justified or partially justified, the organization or individual subject to verification is responsible for reimbursing the organization or individual with rights and interests for the examination costs corresponding to the justified requests.

3. Amend Clause 3 Article 2 as follows:iArticle 13. Time Limit for Verifying Administrative Violation Cases

1. The maximum time limit for verifying a case is sixty working days, starting from the date of signing the Decision on verification.

2. For cases requiring additional time for verification and evidence collection, the Head of the Electricity Regulatory Authority may issue a Decision extending the verification period, which shall not exceed thirty working days from the end of the original verification period.

The model for the Decision on extending the verification period is specified in Appendix 3 attached hereto.

3. Amend Clause 3 Article 2 as follows:iArticle 14. Report on Verifying Administrative Violation Cases

1. The officer handling and verifying the case is responsible for submitting a report on the verification of the case and related documents to the Head of the Electricity Regulatory Authority within three working days from the end of the verification.

2. The contents of the report on verifying the case include:

a) Date, place, and time of verification;

b) Legal basis for verification;

c) Name and address of the organization or individual subject to verification;

d) Person conducting the verification;

đ) Contents of verification:

- Whether there is an administrative violation behavior or not;

- Individual or organization committing the administrative violation behavior; fault and personal circumstances of the violator (if any);

- Aggravating or mitigating circumstances (if any);

- Nature and extent of damage caused by the administrative violation (if any);

- Case where no administrative violation penalty decision is made according to Clause 1 of Article 65 of the Law on Handling Administrative Violations (if any);

- Other circumstances significant for considering and deciding on penalties.

e) Recommendations for form and degree of administrative violation penalty (if any).

3. The Head of the Electricity Regulatory Authority is responsible for studying and reviewing the verification report to conclude the verification of the case or issue a Decision on extending the verification period or issue a Decision on supplementary verification.

3. Amend Clause 3 Article 2 as follows:iArticle 15. Supplementary Verification

1. In case it is necessary to verify and clarify additional contents that have been verified or there is new evidence that may change the already verified contents, the Head of the Electricity Regulatory Authority has the right to issue a supplementary verification decision. The supplementary verification period shall not exceed thirty working days from the date of issuance of the supplementary verification decision.

2. The contents of the supplementary verification decision include:

a) Date of issuance of the decision;

b) Basis for verification;

c) The name and address of the organization, entity, or individual subject to supplementary verification;

d) Person responsible for verification;

d) The content of the supplementary verification;

e) The period for supplementary verification.

The model of the supplementary verification decision is prescribed in Appendix 4 attached hereto.

3. The staff member handling and verifying the case is responsible for submitting a report on supplementary verification to the Head of the Electricity Regulatory Authority within three working days from the end of the supplementary verification period. The content of the supplementary verification report shall be carried out in accordance with Clause 2 of Article 14 of this Circular.

3. Amend Clause 3 Article 2 as follows:iArticle 16. Draft conclusion of the verification case

1. After the Head of the Electricity Regulatory Authority approves the verification report, the supplementary verification report (if any), the staff member handling and verifying the case is responsible for submitting the draft conclusion of the verification case within three working days from the date the report is approved.

2. The contents of the draft conclusion of the verification case include:

a) The date, month, year, and place of issuing the verification conclusion;

b) Legal basis for issuing the verification conclusion;

c) The name and address of the organization or individual subject to verification;

d) Conclusions on the verified contents:

- Whether there is an administrative violation behavior or not;

- Individual or organization committing the administrative violation behavior; fault and personal circumstances of the violator (if any);

- Aggravating or mitigating circumstances (if any);

- Nature and extent of damage caused by the administrative violation (if any);

- Case where no administrative violation penalty decision is made according to Clause 1 of Article 65 of the Law on Handling Administrative Violations (if any);

- Other circumstances significant for considering and deciding on penalties.

e) Form of administrative violation handling (if any).

3. Amend Clause 3 Article 2 as follows:iArticle 17. Verification case conclusion

1. The Head of the Electricity Regulatory Authority is responsible for signing and issuing the verification case conclusion within three working days from the date the draft verification conclusion is submitted.

2. The verification case conclusion must be sent to the organization or individual subject to verification within three working days from the date of signature.

3. Amend Clause 3 Article 2 as follows:iArticle 18. Suspension of verification case

1. During the verification process, the Head of the Electricity Regulatory Authority is responsible for issuing a Decision to temporarily suspend the verification case in the following situations:

a) A request for appraisal has been made but the results have not yet been obtained;

b) The person committing the act suspected of administrative violation has lost civil capacity.

2. The Decision to temporarily suspend the verification case must clearly state the reasons and the suspension period.

3. In cases where a request for appraisal has been made but the appraisal results have not yet been obtained as stipulated in Point a, Clause 1 of this Article, the Head of the Electricity Regulatory Authority is responsible for issuing a Decision to temporarily suspend the verification case at least five working days before the verification period expires.

4. When the grounds for suspending the verification no longer exist or the temporary suspension period has expired, the Head of the Electricity Regulatory Authority is responsible for issuing a Decision to revoke the Decision to temporarily suspend the verification and resume the verification if the administrative violation penalty statute of limitations still applies.

5. The Decision to temporarily suspend the verification case, the Decision to revoke the Decision to temporarily suspend the verification and resume the verification must be sent to the organization or individual subject to verification within three working days from the date of signature.

3. Amend Clause 3 Article 2 as follows:iArticle 19. Termination of verification case

1. The Head of the Electricity Regulatory Authority is responsible for issuing a Decision to terminate the verification case in the following situations:

a) The verification period has expired without identifying any administrative violation acts;

b) The individual committing the act suspected of administrative violation is a person without administrative responsibility capacity or missing or deceased; the organization committing the act suspected of administrative violation has been dissolved or declared bankrupt in accordance with the law;

c) The administrative violation penalty statute of limitations has expired;

d) Determining that the case does not fall within the authority's penalty jurisdiction.

2. The Decision to terminate the verification of administrative violation cases must clearly state the reason for termination. For the cases specified in Points a, c, and d of Clause 1 of this Article, the Decision to terminate the verification must be sent to the organization or individual subject to verification within three working days from the date of signature.

Chapter IV

PROCEDURE FOR ADMINISTRATIVE VIOLATION PENALTIES AND ENFORCEMENT OF DECISIONS ON VIOLATION PENALTIES

3. Amend Clause 3 Article 2 as follows:iArticle 20. Compelling cessation of administrative violation acts and establishing an Administrative Violation Record

When there is sufficient basis to conclude that there is an administrative violation act, the Head of the Electricity Regulatory Authority or the Power Inspector under the Electricity Regulatory Administration who is performing official duties is responsible for compelling the cessation of the ongoing administrative violation act according to Article 55 of the Law on Handling Administrative Violations and establishing an Administrative Violation Record.

3. Amend Clause 3 Article 2 as follows:iArticle 21. Issuing an Administrative Violation Penalty Decision or Decision to Apply Remedial Measures

1. After having sufficient Administrative Violation Records and necessary evidence to determine the violation, the Head of the Electricity Regulatory Authority is responsible for issuing an Administrative Violation Penalty Decision in accordance with Articles 67 and 68 of the Law on Handling Administrative Violations or a Decision to Apply Remedial Measures in the cases specified in Points a, b, c, and d of Clause 1 of Article 65 of the Law on Handling Administrative Violations.

2. The time limit for issuing the Administrative Violation Penalty Decision is regulated in Article 66 of the Law on Handling Administrative Violations.

3. Amend Clause 3 Article 2 as follows:iArticle 22. Compliance with the Administrative Violation Penalty Decision

1. Organizations and individuals subject to administrative violation penalties must comply with the Administrative Violation Penalty Decision within ten working days from the date of receipt of the Administrative Violation Penalty Decision.

2. If organizations and individuals subject to administrative violation penalties do not voluntarily comply with the Administrative Violation Penalty Decision beyond the time limit specified in Clause 1 of this Article, they will be subject to compulsory enforcement.

3. Amend Clause 3 Article 2 as follows:iArticle 23. Compulsory Enforcement of Administrative Violation Penalty Decisions

1. Compulsory enforcement of the penalty decision is applied when the individual or organization subject to administrative violation penalties does not voluntarily comply with the penalty decision. The measures for compulsory enforcement are implemented in accordance with Clause 2 of Article 86 of the Law on Handling Administrative Violations.

2. The procedures for applying compulsory enforcement measures are carried out in accordance with Decree No. 166/2013/NĐ-CP dated November 12, 2013 of the Government on compulsory enforcement of administrative violation penalty decisions.

Chapter V

IMPLEMENTATION

3. Amend Clause 3 Article 2 as follows:iArticle 24. Case File of Administrative Violation

1. The case file of administrative violation includes:

a) Report, written information from organizations, individuals, or Decision to transfer administrative violation cases;

b) Inspection records, Administrative Violation Records, Temporary Seizure Records of evidence and means of administrative violations in the electricity sector (if any);

c) Explanation documents from organizations, individuals under investigation (if any);

d) Investigation case reports, supplementary investigation reports (if any);

e) Investigation conclusions;

f) Decisions made by the head of the Electricity Regulatory Authority during the investigation and administrative penalty process;

g) Related documents (if any).

2. The administrative violation case file must be established immediately upon receipt of the case and completed after the investigation and administrative penalty process ends; it shall be stored according to legal regulations on archiving.

3. Amend Clause 3 Article 2 as follows:iArticle 25. Complaints during the investigation and administrative penalty process

Complaints and complaint resolution during the investigation and administrative penalty process shall be carried out in accordance with the law on complaints.

3. Amend Clause 3 Article 2 as follows:iArticle 26. Effective Date

1. This Circular takes effect from July 15, 2014, and replaces Circular No. 27/2011/TT-BCT dated July 19, 2011, issued by the Minister of Industry and Trade, which stipulates procedures and formalities for investigations and administrative penalties in the electricity sector.

2. During implementation, if any issues arise, relevant organizations and individuals are responsible for reporting them to the Ministry of Industry and Trade for appropriate supplementation and amendment./.