Circular No. 27/2011/TT-BCT stipulates the procedures and formalities for investigation and punishment of violations in the electricity sector.

CIRCULAR

Regulations on the procedures and processes for investigation and punishment of 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;

Based on 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 stipulates the procedures and processes for investigation and punishment of violations in the electricity sector as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates the procedures and processes for investigation and punishment of 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 Protection Agency (hereinafter referred to collectively as the authorized authority to impose penalties) as prescribed 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 Protection Agency.

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

4. Organizations and individuals related to the investigation and punishment of violations.

Article 3. Responsibility for Providing Information

1. Organizations and individuals related to the investigation and punishment of violations shall have the responsibility to cooperate and provide necessary and relevant information and documents regarding the violation case upon request of the authorized authority to impose penalties.

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 Inspection Officers or those authorized under Article 18, Article 19, and Article 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 Protection Agency shall have the responsibility to record the acceptance of violation cases in the Register for Management and Monitoring.

2. For cases accepted through reports made directly by the reporter, the reception staff must guide the reporter to write the report according to the contents specified in Clause 3 of this Article. If the reporter does not know how to write, the reception staff shall invite a person with full capacity to act as a 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 suspected violation;

d) Description of the suspected violation behavior;

đ) Time and place where the suspected violation behavior occurred;

e) Reason for knowing about the suspected violation behavior.

The format of the report is prescribed in Appendix 1 attached to this Circular.

Article 6. Handling of Violation Cases

1. A violation case is handled 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) Suspected violation behavior;

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 specified in points a, b, and c of this Clause, the additional condition must be met: the report or written information must bear the signature or fingerprint of the reporter or provider of information; and the signature of the representative and the seal of the reporting or 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 Protection Agency shall have the responsibility to notify in writing about the handling of the violation case to the organization or individual who reported or provided information; if not handled, 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 investigating violation cases.

3. Keeping confidential information about violation cases.

4. Safeguarding provided documents and evidence.

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. Bearing legal responsibility for the performance of 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 later it is discovered that the violation behavior has criminal law implications, the authorized penalty-imposing authority shall revoke the Penalty Decision and 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 PROCEDURAL REQUIREMENTS FOR INVESTIGATING VIOLATIONS

Article 9. Issuing a Decision to Investigate Violation Cases

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

2. The content of the Decision to Investigate Violation Cases includes:

a) Date of issuance of the decision;

b) Basis for investigation;

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

d) Person responsible for the investigation;

đ) Scope of investigation;

e) Investigation deadline.

The model for the Decision to Investigate Violation Cases is specified in Appendix 2 attached to this Circular.

Article 10. Investigation of Violation Cases

1. The investigation of violation cases shall be carried out using 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 violations to explain;

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

d) Seeking expert opinions.

2. The investigative measures stipulated 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 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 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. If the person refuses to sign the minutes, the officer handling and investigating the violation case must 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 investigated organization or individual.

2. The content of the request for expert appraisal includes:

a) Date of issuance of the decision;

b) Full name 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 providing 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 investigated organization or individual.

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 appraisal results, or upon the request of the investigated organization or individual.

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 Investigation Decision.

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

Article 13. Investigation Report on Violation Cases

1. The staff handling and investigating violation cases shall submit the investigation report and related documents to the authorized penalty 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, cause, nature, and degree of the violation;

- Specify 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 penalty authority shall be responsible for reviewing and considering the contents of the investigation report and related documents to issue an investigation conclusion or an Additional Investigation Decision.

Article 14. Additional Investigation

1. In cases where further verification or clarification of certain investigation contents is required, or new evidence or documents may alter the previously investigated contents, the authorized penalty authority may issue an Additional Investigation Decision. The additional investigation period shall not exceed fifteen (15) working days from the date of issuance of the Additional Investigation Decision.

2. The staff handling and investigating violation cases shall submit the additional investigation report to the authorized penalty authority within three (03) working days from the end of the additional investigation period. The contents of the additional investigation report shall comply with the provisions of Clause 2, Article 13 of this Circular.

Article 15. Draft Investigation Conclusion for Violation Cases

1. After the authorized penalty authority approves the investigation report and any additional investigation report (if applicable), the staff handling and investigating violation cases shall submit the draft investigation conclusion within three (03) working days from the date of approval of the reports.

2. The contents of the draft 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 degree of violation; 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 penalty authority shall sign and issue the investigation conclusion for violation cases within three (03) working days from the date the draft investigation conclusion is submitted by the staff handling and investigating the case.

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 signing.

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 examination has been requested but the examination results have not yet been obtained 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) At the end of the investigation period, the violation act cannot be identified;

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 there is sufficient basis to conclude that a violation act exists, the competent authority for punishment must issue a Decision to cease the violation act if it is still being committed 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 equivalent in value to the fine amount for auction, and other compulsory enforcement procedures to confiscate contraband items, means of transportation used for violations, force restoration of the original condition changed due to the violation, or force demolition of illegal construction works are 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 are implemented as follows:

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

- Date, month, year of issuance;

- Basis for issuance;

- Name, position, workplace of the issuer;

- 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, 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 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 notifying in writing the issuer of the Decision on compulsory cessation;

d) In cases where the organization or individual subject to compulsory enforcement voluntarily complies with the Decision on imposing penalties before the compulsory cessation of electricity supply is carried out, 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 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 cessation period has ended, 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 notifying in writing the issuer of the Decision on compulsory cessation.

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 violation cases;

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 completion of the investigation and penalty imposition process; it shall be stored according to the provisions of the law 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 imposing penalties shall be carried out in accordance with the provisions of the law on appeals and complaints.

Article 25. Effective Date

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

2. During implementation, if any difficulties arise, relevant organizations and individuals shall have the responsibility to report to the Ministry of Industry and Trade for supplementation and amendment to ensure appropriateness./.