Circular No. 27/2001/TT-BCT stipulates the procedures and formalities for investigation and punishment of violations in the electricity sector.

CIRCULAR

Regulations on the Procedures and Formalities for Investigation and Imposition of Penalties for Violations in the Electricity Sector

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Pursuant to Decree No. 189/2007/ND-CP dated December 27, 2007, issued by the Government, detailing the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

Pursuant to the Electricity Law dated December 3, 2004;

Pursuant to Decree No. 68/2010/NĐ-CP dated June 15, 2010 of the Government on penalties for violations of laws in the electricity sector;

The Minister of Industry and Trade hereby stipulates the procedures and formalities for investigation and imposition of penalties for violations in the electricity sector as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

These Circulars stipulate the procedures and formalities for investigation and imposition of penalties for violations in the electricity sector within the jurisdiction of the Director of the Electricity Regulatory Authority and the Director of the Industrial Safety and Environmental Technology Agency (hereinafter referred to collectively as the authorized penalty authority) as provided for in Decree No. 68/2010/NĐ-CP dated June 15, 2010 of the Government on penalties for violations of laws in the electricity sector (hereinafter referred to as Decree No. 68/2010/NĐ-CP).

Article 2. Applicability

This Circular applies to the following entities:

1. The Electricity Regulatory Authority.

2. The Industrial Safety and Environmental Technology Agency.

3. Organizations and individuals subject to investigation and penalty for violations.

4. Organizations and individuals related to the investigation and penalty for violations.

Article 3. Obligation to Provide Information

1. Organizations and individuals related to the investigation and penalty for violations shall have the responsibility to cooperate and provide necessary information and documents related to the violation case upon request of the authorized penalty authority.

2. In cases where information cannot be provided, organizations and individuals related to the matter shall have the responsibility to notify in writing and specify the reasons. If they refuse to provide information without justifiable reasons, they will be dealt with according to the provisions of the law.

Chapter II

ACCEPTANCE AND HANDLING OF VIOLATION CASES

Article 4. Sources of Information on Violation Cases

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

2. From Power Inspectors or those authorized under Articles 18, 19, and 22 of Decree No. 68/2010/NĐ-CP.

3. During the inspection of power activities as prescribed.

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

Article 5. Acceptance of Violation Cases

1. Upon receiving information about violation cases from sources specified in Article 4 of this Circular, the Electricity Regulatory Authority and the Industrial Safety and Environmental Technology Agency shall have the responsibility to record such cases in the Register of Violation Case Acceptances for management and monitoring.

2. For cases accepted through direct reports, the receiving officer must guide the reporter to write out the report according to the contents prescribed in Clause 3 of this Article. If the reporter does not know how to write, the receiving officer shall invite a person with full civil capacity to witness, record the content of the report, then read it back to the reporter and require them to sign or affix their fingerprint on the report document.

3. The content of the report 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 suspected of being a violation;

d) Description of the act suspected of being a violation;

đ) Time and place where the act suspected of being a violation occurred;

e) Reason for knowing about the act suspected of being a violation. The format of the report is prescribed in Appendix 1 attached hereto.

Article 6. Handling of Violation Cases

1. A violation case shall be accepted for handling when the following conditions are met:

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) An act suspected of being a violation;

d) For cases received from reports or written information as stipulated in Clause 1 of Article 4 of this Circular, in addition to the conditions prescribed in Points a, b, and c of this Clause, there must also be the condition that the report or written information must bear the signature or fingerprint of the reporter or information provider; and the signature of the representative and stamp of the reporting or information-providing organization.

2. Within five (05) working days from the date of receipt of the violation case, the Electricity Regulatory Authority and the Industrial Safety and Environmental Technology Agency shall have the responsibility to notify in writing about the acceptance of the violation case for the organization or individual who reported or provided information, and if not accepted, the reason must be clearly stated.

Article 7. Responsibilities of officers handling and investigating violations

1. Handling and establishing case files for violation cases.

2. Investigating violation cases in accordance with the contents of the Decision on Investigation of Violation Cases.

3. Maintaining confidentiality regarding violation cases.

4. Safeguarding materials and evidence provided.

5. Refusing to conduct investigations of violation cases if they have rights, interests, or obligations related to the violation case or if they are the father, mother, wife, husband, child, brother, sister, or half-sibling of the person who has committed the act suspected of being a violation.

6. Being responsible under the law for performing assigned tasks during the handling and investigation of violation cases.

Article 8. Transfer of Violation Cases

1. For violation cases within the electricity sector that fall outside the authority's power to impose penalties, the authorized penalty-imposing authority shall be responsible for transferring such cases to the competent authority.

2. For violation cases where a Penalty Decision has been issued but subsequently it is discovered that the violation behavior has criminal law implications, the authorized penalty-imposing authority shall be responsible for revoking the Penalty Decision to transfer the case to the competent prosecution authority. The violation case file must be transferred to the competent prosecution authority within three (03) working days from the date of revoking the Penalty Decision.

Chapter III

PROCEDURE AND PROCEDURES FOR INVESTIGATING VIOLATIONS

Article 9. Issuing a Decision on Investigation of Violation Cases

1. In cases where verification and collection of evidence are deemed necessary, the authorized penalty-imposing authority may issue a Decision on Investigation of Violation Cases within three (03) working days from the date of accepting the violation case.

2. The content of the Decision on Investigation of Violation Cases includes:

a) Date of issuance of the decision;

b) Basis for investigation;

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

d) Person responsible for the investigation;

đ) Scope of investigation;

e) Investigation deadline. The model of the Decision on Investigation of Violation Cases is stipulated in Appendix 2 attached to this Circular.

Article 10. Investigation of Violation Cases

1. The investigation of violation cases shall be carried out through one or more of the following methods:

a) Collecting evidence, objects, means, and documents related to the act suspected of being a violation;

b) Requesting organizations or individuals who have committed acts suspected of being a violation to explain;

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

d) Seeking expert opinions.

2. The investigative measures specified 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 exchanges, the officer handling and investigating the violation case shall be responsible for:

a) Presenting an introduction letter;

b) Recording the minutes of the meeting. The minutes of the meeting must clearly and specifically record the content of the meeting, list the documents and evidence provided by the organization or individual (if any), and include signatures of the persons whose opinions were sought. If the minutes consist of multiple pages, the person whose opinion was sought must sign each page of the minutes. If the person whose opinion was sought refuses to sign the minutes, the officer handling and investigating the violation case must clearly record the reason in the minutes.

Article 11. Requesting Expert Appraisal

1. During the investigation of violation cases, the authorized penalty-imposing authority may request an expert appraisal of evidence, objects, means, and documents related to the act suspected of being a violation when deemed necessary or upon the request of the organization or individual subject to investigation.

2. The content of the decision to request an expert appraisal includes:

a) Date of issuance of the decision;

b) Name and surname of the person requesting the appraisal;

c) Name and address of the individual or organization conducting the appraisal;

d) Object to be appraised (a summary of the matter related to the object to be appraised, origin, and characteristics of the object to be appraised);

đ) Content of the request and need for an appraisal conclusion;

e) Deadline for the request to obtain the appraisal conclusion.

3. The authorized penalty-imposing authority may request a supplementary appraisal in cases where new issues arise related to previous appraisal conclusions, the content of the appraisal conclusion is unclear or incomplete, or upon the request of the organization or individual subject to investigation.

4. The authorized penalty-imposing authority may request a re-appraisal in cases where there are contradictions between different appraisal conclusions on the same issue, doubts about the results of the appraisal, or upon the request of the organization or individual subject to investigation.

5. Organizations or individuals requesting an expert appraisal must bear the appraisal fees.

Article 12. Investigation Period for Violation Cases

1. The maximum investigation period for violation cases is thirty (30) working days, starting from the date of issuance of the Decision to Investigate.

2. For cases requiring additional time for verification and evidence collection, the authorized authority has the right to extend the investigation period, which shall not exceed fifteen (15) working days, starting from the end date of the initial investigation period.

Article 13. Investigation Report on Violation Cases

1. The staff member handling and investigating the violation case is responsible for submitting the investigation report and related documents to the authorized authority within three (03) working days from the completion of the investigation.

2. The contents of the investigation report include:

a) Date, month, year, and location of the investigation;

b) Legal basis for the investigation;

c) Name and address of the organization or individual under investigation;

d) Investigator(s);

e) Investigation contents:

- Clearly identify the violation, its cause, nature, and severity;

- Specifically state the responsibility of the organization or individual committing the violation;

- Clearly state the legal provisions serving as the basis for identifying the violation.

f) Recommendations for the form and degree of penalty for the violation.

3. The authorized authority is responsible for reviewing and considering the contents of the investigation report and related documents to issue an investigation conclusion or a Decision to Supplement the Investigation.

Article 14. Supplementary Investigation

1. In cases where it is necessary to verify and clarify additional contents of the previous investigation or new evidence may alter the previously investigated contents, the authorized authority has the right to issue a Decision to Supplement the Investigation. The supplementary investigation period shall not exceed fifteen (15) working days, starting from the date of issuance of the Decision to Supplement the Investigation.

2. The staff member handling and investigating the violation case is responsible for submitting the supplementary investigation report to the authorized authority within three (03) working days from the end of the supplementary investigation period. The contents of the supplementary investigation report shall be carried out according to Clause 2 of Article 13 of this Circular.

Article 15. Draft of Investigation Conclusion for Violation Cases

1. After the authorized authority approves the investigation report and any supplementary investigation report (if applicable), the staff member handling and investigating the violation case is responsible for submitting the draft of the investigation conclusion within three (03) working days from the date of approval of the reports.

2. The contents of the draft of the investigation conclusion include:

a) Date, month, year, and location of issuing the investigation conclusion;

b) Legal basis for issuing the investigation conclusion;

c) Name and address of the organization or individual under investigation;

d) Conclusions on the investigated contents: violation behavior, cause, nature, and severity; responsibility of the organization or individual committing the violation; legal provisions serving as the basis for identifying the violation;

e) Form of violation handling.

Article 16. Investigation Conclusion for Violation Cases

1. The authorized authority is responsible for signing and issuing the investigation conclusion for violation cases within three (03) working days from the date the staff member handling and investigating the case submits the draft of the investigation conclusion.

2. The investigation conclusion for violation cases shall be sent to the organization or individual under investigation within three (03) working days from the date of signature.

Article 17. Suspension of Investigation of Violation Cases

1. The competent authority for punishment shall issue a Decision to temporarily suspend the investigation of violation cases in the following circumstances:

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

b) The person committing the act with signs of violation has lost their capacity for civil conduct.

2. The Decision to temporarily suspend the investigation must clearly state the reasons and the duration of the suspension.

3. In cases where an appraisal request has been made but there is no appraisal result as stipulated in point a, Clause 1 of this Article, the competent authority for punishment shall issue a Decision to temporarily suspend the investigation at least five (05) working days before the end of the investigation period.

4. When the grounds for temporarily suspending the investigation no longer exist or when the temporary suspension period has expired, the competent authority for punishment shall issue a Decision to revoke the Decision to temporarily suspend the investigation and resume the investigation of the violation case if the time limit for imposing penalties still applies.

5. The Decision to temporarily suspend the investigation, the Decision to revoke the Decision to temporarily suspend the investigation, and the Decision to resume the investigation of the violation case must be sent to the organization or individual under investigation within three (03) working days from the date of signing.

Article 18. Termination of Investigation of Violation Cases

1. The competent authority for punishment shall issue a Decision to terminate the investigation of violation cases in the following circumstances:

a) The investigation period has expired without identifying the violation act;

b) The individual committing the act with signs of violation has died or the organization committing the act with signs of violation has ceased operations according to the law;

c) The time limit for imposing penalties has expired.

2. The Decision to terminate the investigation of violation cases must clearly state the reasons for termination and be sent to the organization or individual under investigation within three (03) working days from the date of signing.

Chapter IV

PROCEDURE AND FORMALITIES FOR IMPOSING PENALTIES ON VIOLATIONS

Article 19. Ceasing Violation Acts and Preparing Violation Records

When sufficient grounds exist to conclude that a violation act has occurred, the competent authority for punishment must issue a Decision to cease the violation act if it is still ongoing and prepare a Violation Record according to Clause 2, Clause 3, Clause 4 of Article 23 and Appendix 1 of Decree No. 68/2010/NĐ-CP.

Article 20. Issuing a Decision on Imposing Penalties for Violations

1. The competent authority for punishment shall issue a Decision on imposing penalties for violations according to Clause 3, Clause 4, and Clause 6 of Article 24 of Decree No. 68/2010/NĐ-CP.

2. The deadline for issuing the Decision on imposing penalties is as stipulated in Clause 1 of Article 24 of Decree No. 68/2010/NĐ-CP.

Article 21. Compliance with the Decision on Imposing Penalties

1. Organizations and individuals subject to penalties for violations must comply with the Decision on imposing penalties within ten (10) working days from the date of receipt of the Decision on imposing penalties.

2. If organizations and individuals subject to penalties for violations fail to voluntarily comply with the Decision on imposing penalties beyond the deadline specified in Clause 1 of this Article, they will be subject to compulsory enforcement.

Article 22. Compulsory Enforcement of the Decision on Imposing Penalties for Violations

1. Procedures for compulsory deduction of part of salary or income, deduction of money from bank accounts, seizure of assets with equivalent value to the fine amount for auction, and other compulsory enforcement procedures to confiscate contraband items, means of transportation used for violations, compel restoration to the original condition caused by the violation act, or compel demolition of illegal construction works shall be carried out according to Decree No. 37/2005/NĐ-CP dated March 18, 2005, of the Government on the procedures for applying compulsory enforcement measures to administrative penalty decisions.

2. Procedures for compulsory cessation of electricity supply to organizations and individuals using electricity shall be implemented as follows:

a) The contents of the Decision on compulsory cessation of electricity supply include:

- Date of issuance of the decision;

- Basis for issuance of the decision;

- Name, position, workplace of the issuer of the decision;

- Name, place of residence of the individual or name, headquarters of the organization whose electricity supply will be stopped;

- Time of cessation of electricity supply;

- Location and scope of cessation of electricity supply;

- Unit assigned to implement the cessation of electricity supply;

- Signature of the issuer of the decision, stamp of the issuing agency.

b) The Decision on compulsory cessation of electricity supply must be sent to the organization or individual whose electricity supply will be stopped and the unit assigned to implement the cessation of electricity supply at least three (03) working days before implementing the cessation of electricity supply;

c) The unit assigned to implement the cessation of electricity supply is responsible for stopping electricity supply to the organization or individual subject to compulsory enforcement according to the time stated in the Decision on compulsory cessation and is not liable for damages caused by the cessation of electricity supply, while also notifying the issuer of the Decision on compulsory cessation in writing;

d) In cases where the organization or individual subject to compulsory enforcement voluntarily complies with the Decision on imposing penalties before the implementation of compulsory cessation of electricity supply, the issuer of the Decision on compulsory cessation is responsible for preparing a record acknowledging voluntary compliance and issuing a decision to stop applying the compulsory measure, while also notifying the unit assigned to implement the cessation of electricity supply to stop the cessation of electricity supply;

đ) After the organization or individual subject to compulsory enforcement has fully complied with the Decision on imposing penalties or the compulsory period has expired, the issuer of the Decision on compulsory cessation is responsible for requesting in writing the unit assigned to implement the cessation of electricity supply to restore electricity supply to the organization or individual subject to compulsory enforcement. The unit assigned to implement the cessation of electricity supply is responsible for implementing the request, while also notifying the issuer of the Decision on compulsory cessation in writing.

Chapter V

IMPLEMENTATION

Article 23. Case files for violations

1. The case file for violations includes:

a) Reports, written information from organizations or individuals, or Decision to transfer the violation case;

b) Inspection records, Violation records, or Temporary detention records of objects and means used for violations (if any);

c) Explanatory documents from organizations or individuals under investigation (if any);

d) Investigation conclusions;

đ) Decisions of competent authorities imposing penalties during the investigation and penalty imposition process;

e) Related documents (if any).

2. The case file for violations must be established immediately upon receiving the case and completed after the conclusion of the investigation and penalty imposition process; it shall be stored in accordance with the laws on archiving.

Article 24. Appeals against decisions during the investigation and penalty imposition process

Appeals against decisions made during the investigation and penalty imposition process by competent authorities shall be carried out in accordance with the laws on appeals and complaints.

Article 25. Effective Date

1. This Circular takes effect from September 3, 2011.

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./.