Circular No. 27/2020/TT-BCT stipulates the contents, procedures, and processes for conducting administrative inspections, handling administrative violations, and implementing business measures by Market Management Forces.

 CIRCULAR

Regulations on the contents, procedures, and formalities for inspection activities, administrative violation handling, and implementation of professional measures

in accordance with Decree No. 98/2017/ND-CP dated August 18, 2017 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

of Market Management Forces       

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

Pursuant to the Market Management Law dated March 8, 2016;

Decree No. Pursuant to Decree No. 148/2016/ND-CP dated November 4, 2016 of the Government detailing the implementation of certain provisions of the Market Management Ordinance; Decree No. 78/2019/ND-CP dated October 14, 2019 of the Government amending and supplementing certain articles of Decree No. 148/2016/ND-CP dated November 4, 2016 of the Government detailing the implementation of certain provisions of the Market Management Ordinance;

Pursuant to Decision No. 34/2018/QD-TTg dated August 10, 2018 of the Prime Minister stipulating the functions, tasks, powers, and organizational structure of the General Department of Market Surveillance;

The Minister of Industry and Trade issues this Circular regulating the contents, procedures, and formalities for inspection activities, administrative violation handling, and implementation of professional measures by the Market Surveillance force.

At the proposal of the Director of the Market Management General Department;

Article 1. This Circular regulates the contents, procedures, and formalities for inspection activities, administrative violation handling, and implementation of professional measures by the Market Surveillance force, including:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

a) Building, approving, and issuing Inspection Program Guidelines and Inspection Plans;

b) Receiving and processing information about law violations or signs of law violations and issuing ad hoc inspection plans;

c) Contents, procedures, and formalities for inspections and administrative violation case handling;

d) Applying preventive measures and ensuring administrative violation handling;

đ) Authorities and procedures for implementing professional measures.

Article 2. Inspection and administrative violation handling activities of the Market Surveillance force in the field of industrial property shall be carried out in accordance with laws on industrial property and the provisions of this Circular.

1. Agencies, units, and market surveillance officials.

Article 2. Applicability

2. Agencies, organizations, and individuals related to inspection activities, administrative violation handling, and implementation of professional measures by the Market Surveillance force.

Article 3. Principles for inspection activities, administrative violation handling, and implementation of professional measures

1. Compliance with laws on administrative violation handling, the Market Management Ordinance, and the provisions of this Circular.

2. Based on grounds, within the scope of functions, tasks, and powers of the Market Surveillance force; ensuring accuracy, objectivity, transparency, timeliness, non-discrimination, and not hindering legitimate business operations of organizations and individuals.

3. Activities of the Market Surveillance force stipulated in Chapter IV and Chapter V of this Circular shall be conducted in the form of Inspection Teams as prescribed in Article 23 of the Market Management Ordinance, except for cases implementing professional measures as stipulated in Chapter VI of this Circular.

BUILDING, APPROVING, ISSUING GUIDELINES

Chapter II

CONSTRUCTION, APPROVAL, ISSUANCE OF GUIDELINES

CHAPTER PROGRAM AND PLAN OF INSPECTION

1. The orientation of the inspection program is a document determining the general direction regarding the purpose, requirements, group of inspected subjects or areas, regions that need to be focused on for planned inspections by the Market Management Force under the Ministry of Industry and Trade for one (1) year, approved by the Minister of Industry and Trade upon the proposal of the General Department of Market Management.

2. Based on market conditions, requirements for market management work, or according to written directives from the Government,

3. After approval, the orientation of the inspection program of the General Department shall be sent to the Inspectorate of the Ministry of Industry and Trade, the Legal Affairs Department, specialized inspection agencies under the Ministry of Industry and Trade, and relevant agencies for their information and coordination; it shall also be sent to the Market Management Business Unit (hereinafter referred to as the Business Unit) and the Provincial Market Management Bureau (hereinafter referred to as the Provincial Bureau) for implementation; it shall be publicly posted at the headquarters of the General Department; and published on the electronic portal of the General Department and the Ministry of Industry and Trade.

4. In case of necessity to adjust the content of the approved inspection program orientation, the General Department shall report and submit to the Minister of Industry and Trade for consideration and decision. The decision adjusting the content of the inspection program orientation shall be sent to the agencies specified in Clause 3 of this Article.

Article 5. Inspection Plan

a) Regular inspection plan is a plan developed and issued for implementation in the following year. The implementation period of the regular inspection plan starts from January 1 and ends before November 15 of the inspection year;

b) Special topic inspection plan is a plan developed and issued when there are bases stipulated in point a, Clause 2, Article 6 of this Circular and organized for implementation within a specific time frame during the year.

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 inspection;

c) Group of inspected subjects, goods or fields, regions to be inspected; detailed list of names and addresses of organizations, individuals or business locations expected to be inspected and the anticipated inspection date;

d) Contents of inspection;

đ) Assignment of tasks to units implementing the inspection plan;

e) Anticipated composition of inspection forces, including cooperating agencies, organizations, and individuals (if any);

g) Implementation period of the plan;

h) Anticipated budget, means, and other conditions serving inspection;

i) Reporting system.

3. In cases where market developments in the assigned area or field require concentrated inspections within the authority of Market Management but are not covered by the scope and content of inspection plans already approved or issued by competent authorities, the Market Management Team Leader shall proactively develop a special topic inspection plan, submit it to the Provincial Market Management Bureau Director for approval and organize its implementation.

The special topic inspection plan of the Market Management Team must include the contents stipulated in points a, b, c, d, e, g, h, i of Clause 2 of this Article.

1. The construction and approval of regular inspection plans of the Business Management Bureau and Provincial-level Bureaus shall be carried out as follows:

a) Based on market conditions, requirements for market management within their jurisdiction, and the approved inspection program orientation of the General Department, the Business Management Bureau and Provincial-level Bureaus shall request subordinate units to review, compile, and propose the contents of the planned inspection as stipulated in Points c, d, e, and g of Clause 2, Article 5 of this Circular before December 1st each year;

b) Based on the content specified in Point a of this Clause, the Director of the Business Management Bureau and Provincial-level Bureaus (hereinafter referred to as the Director) shall construct and submit to the Director of the Market Management General Department (hereinafter referred to as the General Director) for consideration and approval of the regular inspection plan for the next year of the Business Management Bureau and Provincial-level Bureaus before December 10th each year. The submission file includes: a report requesting approval of the regular inspection plan and a draft of the regular inspection plan of the Business Management Bureau or Provincial-level Bureaus;

c) Based on the approval document of the regular inspection plan issued by the General Director, the Director shall decide to issue the regular inspection plan for the next year of their unit no later than December 31st each year;

d) Immediately upon issuance, the decision to issue the regular inspection plan of the Business Management Bureau and Provincial-level Bureaus must be sent to the People's Committee of the province, relevant agencies and units for information, guidance, and coordination of work; submitted to the General Director for reporting and monitoring implementation; sent to subordinate market management agencies and units for organization and implementation; sent to organizations and individuals subject to inspection as prescribed and publicly posted at the agency headquarters, and published on the agency’s website (if available);

2. The construction and issuance of special inspection plans of the Business Management Bureau and Provincial-level Bureaus shall be carried out as follows:

a) Based on market developments that require focused inspections in specific areas, fields, contents, and regions within the local area at different times, which are not covered by the already issued regular inspection plan or according to written directives from the Government;

b) Based on the content specified in Point a of this Clause, the Director shall proactively construct and decide to issue special inspection plans;

c) Immediately upon issuance, the decision to issue the special inspection plan of the Business Management Bureau and Provincial-level Bureaus must be sent to the People's Committee of the province, relevant agencies and units for information, guidance, and coordination of work; submitted to subordinate market management agencies and units for organization and implementation; submitted to the General Director for reporting, monitoring, and supervision of implementation; sent to organizations and individuals subject to inspection as prescribed and publicly posted at the agency headquarters, and published on the agency’s website (if available); sent to related Provincial-level Bureaus for information and coordination of work regarding the special inspection plan of the Business Management Bureau;

3. The process of building and approving specialized inspection plans of Market Management Teams is carried out as follows:

a) Based on the provisions of Clause 3, Article 5 of this Circular, the Team Leader of the Market Management Team shall proactively construct the special inspection plan of the Market Management Team and submit it to the immediate superior Director for approval. The submission file includes: a report requesting approval of the special inspection plan, a draft decision approving the special inspection plan accompanied by a draft of the special inspection plan of the Market Management Team;

b) Within five working days from the date of receipt of the file specified in Point a of this Clause, the immediate superior Director shall examine and decide to approve the special inspection plan of the Market Management Team;

c) Immediately upon issuance, the decision to approve the special inspection plan of the Market Management Team must be sent to the People's Committee of the district, relevant agencies and units for information, guidance, and coordination of work; sent to organizations and individuals subject to inspection as prescribed and publicly posted at the agency headquarters, and published on the agency’s website (if available);

4. In case overlapping or duplication is discovered in the inspection targets, contents, and timeframes with previously approved or issued inspection plans, the market management agency must immediately report to the head of the market management agency authorized to approve or issue the inspection plan and relevant agencies and units for handling overlapping or duplication;

5. If necessary, amendments or supplements to the content of an approved or issued inspection plan, the market management agency implementing the inspection plan shall report and propose to the authorized person to approve or issue the inspection plan for examination and decision;

The decision to amend or supplement the decision approving the inspection plan or the decision to amend or supplement the inspection plan of the authorized person shall be sent to relevant agencies, organizations, and individuals; publicly posted at the agency headquarters and published on the agency’s website as stipulated in Point d of Clause 1, Point c of Clause 2, or Point c of Clause 3 of this Article;

6. The General Director and Directors shall be responsible for monitoring, inspecting, and supervising the implementation of inspection plans by subordinate market management agencies and units, promptly identifying and directing the resolution of overlapping or duplication in scope, targets, contents, and timeframes of inspections; examining and handling responsibility of agencies, units, and individuals causing overlapping or duplication in the construction, issuance, and implementation of inspection plans.

Article 7. Implementation of inspection plans

1. Based on the tasks assigned in the approved or issued inspection plan, the Head of the Department, the Team Leader of the Market Management Team shall be responsible for:

a) Issuing or proposing to the competent authority to issue the Inspection Decision regarding compliance with laws in production, business of goods and services (hereinafter referred to as the inspection decision) for organizations and individuals subject to inspection according to the plan;

b) Organizing, directing, and managing the inspection according to the inspection plan;

c) Summarizing and reporting in writing to the immediate superior Director General about the results of the planned inspection immediately after the completion of the implementation period of the inspection plan or upon urgent request.

Chapter III

RECEIVING AND HANDLING INFORMATION ON VIOLATIONS OF LAWS OR

INDICATIONS OF VIOLATIONS OF LAWS AND ISSUING URGENT INSPECTION PLANS

URGENT INSPECTIONS

Article 8. Information on violations of laws or indications of violations of laws for urgent inspections

1. Information on violations of laws or indications of violations of laws includes:

b) Information from reports of market management officials performing the measures stipulated in Articles 34, 35, and 36 of this Circular or from reports of market management officials performing inspection and administrative violation handling tasks;

c) Information from documents of market management agencies at all levels transferring information on violations of laws or indications of violations of laws;

d) Information from documents requesting or suggesting inspections and handling of violations of laws from other state agencies not falling under the provisions of point a of this clause;

đ) Information from mass media about violations of laws or indications of violations of laws;

e) Information from complaints, suggestions, reflections, appeals, denunciations of consumers or other organizations and individuals about violations of laws or indications of violations of laws.

2. Documents requesting from agencies or persons with authority as stipulated in point a of Clause 1 of this Article and suggestions for inspections by market management officials performing their duties concerning the information stipulated in point b of Clause 1 of this Article are grounds for persons with authority to consider and issue urgent inspection decisions.

3. Information on violations of laws or indications of violations of laws not falling under the provisions of Clause 2 of this Article must be collected, reviewed, verified, and monitored in accordance with regulations before being used as grounds for persons with authority to consider and issue urgent inspection decisions.

Article 9. Receiving and handling information

1. Except for the cases stipulated in Clauses 2 and 3 of this Article, market management officials collecting and receiving information on violations of laws or indications of violations of laws as stipulated in Article 8 of this Circular must immediately report to the head of their direct market management agency for handling the received information. Reporting is conducted in writing for the cases stipulated in points đ and e of Clause 1 of this Circular.

2. Immediately after receiving the information stipulated in Article 8 of this Circular, the head of the market management agency with authority to issue inspection decisions handles the information as follows:

a) Directly or delegate to a deputy or issue a document requesting the competent authority to issue inspection decisions of subordinate agencies within their jurisdiction, territory, or field of responsibility and organize implementation in accordance with the regulations for the information stipulated in Clause 2 of Article 8 of this Circular, except when it is determined that the inspection proposal of the official performing their duties does not have sufficient grounds to issue an inspection decision;

3. In cases where the head of the market management agency receives information on violations of laws or indications of violations of laws stipulated in Article 8 of this Circular is not the person with authority to issue inspection decisions or does not fall within their jurisdiction, territory, or field of responsibility, they handle the information as follows:

a) If the information on violations of laws or indications of violations of laws does not fall within the functions, tasks, and authority to handle administrative violations of the market management force, then transfer the information themselves or guide the agency, organization, or individual providing the information to transfer the information to the competent agency or organization for resolution in accordance with the law;

b) If the information on violations of laws or indications of violations of laws falls within the functions, tasks, and authority to handle administrative violations of the market management force, immediately transfer the received information to the head of the market management agency with authority to issue inspection decisions within their jurisdiction, territory, or field of responsibility for handling in accordance with Clause 2 of this Article. The document transferring the information must be sent to the head of the direct superior market management agency of both parties transferring and receiving the information for supervision and direction of implementation.

In cases where investigative measures for collecting, examining, verifying information, or monitoring as prescribed in point b, Clause 2, Article 9 of this Circular are implemented, the head of the Market Management agency with authority to issue inspection decisions must immediately consider and handle the matter upon receiving the report on the results of implementing investigative measures from market management officials according to the following provisions:

1. If the results of collecting, examining, verifying information, or monitoring do not detect any violations of laws or signs of violation of laws, a written notification must be issued to the agencies, organizations, or individuals who provided the information as prescribed in points c, d, and e, Clause 1, Article 8 of this Circular, except when such agencies, organizations, or individuals have other requirements.

2. If the results of collecting, examining, verifying information, or monitoring detect any violations of laws or signs of violation of laws, a decision to inspect as prescribed in point a, Clause 2, Article 9 of this Circular shall be made, or the information shall be transferred to the person with authority to issue inspection decisions as prescribed in point b, Clause 3, Article 9 of this Circular if it does not fall within their jurisdiction, territory, or field of responsibility.

Article 11. Proposing Inspections

2. The proposal for inspection as prescribed in Clause 1 of this Article must be reflected in the report on the results of implementing investigative measures or inspection tasks and handling administrative violations by market management officials or in the written proposal for inspection and must include the following main contents:

a) Name, position, unit of the person proposing the inspection;

b) Basis for proposing the inspection;

c) Name and address of the organization, individual, or location proposed for inspection;

d) Content of the proposed inspection;

đ) Inspection deadline and time proposed to conduct the inspection;

e) Expected administrative violation and applicable legal regulations;

g) Name and signature of the person proposing the inspection.

3. Market management officials proposing inspections bear responsibility before those with authority to issue inspection decisions and before the law regarding the content of the inspection proposals.

1. Before issuing a surprise inspection decision, the person with authority to issue inspection decisions or the person delegated the right to issue inspection decisions must issue a surprise inspection plan for compliance with laws in production, business of goods and services (hereinafter referred to as the inspection plan) to ensure that the inspection is conducted in accordance with the law and effectively, except in cases of planned inspections and urgent surprise inspections as prescribed in Clause 2 of this Article.

2. In cases where information about violations of laws or signs of violation of laws is received and there is evidence that if the inspection is not carried out immediately, the violator organization or individual may flee, the evidence or means of violation may be dispersed, destroyed, or to promptly prevent and limit the consequences caused by the violation of laws (hereinafter referred to as urgent cases), the person with authority must promptly issue a surprise inspection decision and bear responsibility for issuing the inspection decision.

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

a) Basis for developing the inspection plan;

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

c) Content of the inspection;

d) Expected start and end times of the inspection;

đ) Expected administrative violation and applicable legal regulations;

e) Expected situations arising and measures to handle them including preventive measures and ensuring administrative violation handling (if any);

g) Composition of the Inspection Team, including cooperating agencies, organizations, or individuals (if any);

h) Expected equipment and conditions serving the inspection;

i) Name, position, signature of the person issuing the inspection plan and stamp.

3. The person issuing the inspection plan bears responsibility for directing and supervising the implementation of the inspection plan by the Inspection Team.

Chapter IV

CONTENTS, PROCEDURES, AND PROCEDURES FOR INSPECTION AND

HANDLING ADMINISTRATIVE VIOLATION CASES

Article 13. Issuing inspection decision

1. Inspection must be carried out based on a written decision issued by the competent authority to issue inspection decisions in accordance with the law.

2. The competent authority issuing the inspection decision may only issue the inspection decision when there is a basis as prescribed in Article 20 of the Market Management Ordinance.

3. The inspection decision must clearly record the main contents prescribed in Clause 2, Article 19 of the Market Management Ordinance. The inspection content of the inspection decision must meet the following requirements:

a) Within the scope of inspection as prescribed in Article 17 of the Market Management Ordinance;

b) Within the jurisdiction, territory, or field assigned for inspection;

4. In cases where inspection activities for the same inspected object must be conducted at multiple locations, the competent authority issuing the inspection decision may issue one or more inspection decisions or issue a directive for the subordinate competent authority issuing the inspection decision to issue an inspection decision for the inspected object at each inspection location within the assigned territory or field.

5. The establishment of the Inspection Team as prescribed in Clause 1, Article 23 of the Market Management Ordinance must be reflected in the content of the inspection decision.

Article 14. Responsibilities of the person issuing the inspection decision

1. Directly or appoint a market management civil servant meeting the criteria to serve as the Head of the Inspection Team to implement the inspection decision.

3. Fulfill the responsibilities prescribed in Article 26 of the Market Management Ordinance.

Article 15. Composition of the Inspection Team

1. The composition of the Inspection Team includes:

a) The Head of the Inspection Team is a market management civil servant meeting the provisions of point b of this clause and must have a Market Inspection Card;

b) Market management civil servants meeting the provisions of Clause 2 and Clause 3 of Article 23 of the Market Management Ordinance;

c) Persons appointed by the coordinating agencies to participate in inspections involving the professional management functions of many sectors and fields as prescribed in Clause 2 of Article 36 of the Market Management Ordinance.

2. The person issuing the inspection decision decides in writing to replace the Head of the Inspection Team or members of the Inspection Team in cases where the Head of the Inspection Team or members of the Inspection Team are ill, injured, deceased, missing, incapacitated, suspended from duty, disciplined, or for other objective reasons and cannot continue to carry out inspection and administrative violation handling activities.

In cases where the head of the market management agency/unit issuing the inspection decision has their Market Inspection Card revoked, temporarily suspended from use, or replaced, the person appointed to replace them, the person delegated to head or manage the agency/unit, or the head of the higher-level market management agency directly decides on replacing the Head of the Inspection Team and members of the Inspection Team.

Article 16. Implementation of inspection decisions

1. Inspection decisions shall be implemented according to the provisions set forth in Clause 3, Article 19 of the Market Management Ordinance. In cases where the inspected organization or individual is not operating or has temporarily ceased business activities at the time of implementing the inspection decision, the Inspection Team shall prepare a record of non-compliance with the inspection decision in the presence of a representative of the People's Committee of the commune or a representative of the commune police station and report to the person who issued the inspection decision for consideration and decision.

2. When commencing the inspection, the Head of the Inspection Team must carry out the following procedures:

a) Present the Market Inspection Card; announce and hand over the inspection decision to the inspected individual or the representative of the inspected organization or individual;

b) Inform the inspected individual or the representative of the inspected organization or individual about the composition of the Inspection Team and the witness (if any);

c) Require the inspected individual or the representative of the inspected organization or individual to comply with the inspection decision of the competent authority and work with the Inspection Team;

d) In cases where the inspected individual or the representative of the inspected organization or individual is not present at the inspection location, the Inspection Team shall still announce the inspection decision and proceed with the inspection in the presence of a representative of the People's Committee of the commune or a representative of the commune police station and the witness.

3. The tasks and authorities of the Inspection Team, the responsibilities of the Head of the Inspection Team and members of the Inspection Team when conducting inspections shall be carried out according to the provisions of Articles 24 and 25 of the Market Management Ordinance.

4. The rights and responsibilities of the inspected organizations and individuals shall be carried out according to the provisions of Articles 30 and 31 of the Market Management Ordinance.

Article 17. Handling situations arising during the implementation of inspection decisions at the inspection site

1. Situations arising during the implementation of inspection decisions at the inspection site include:

a) Discovering that the inspected organization or individual has violated laws or there are signs of violation outside the scope of the inspection recorded in the inspection decision;

b) Complex inspection cases requiring an extension of the inspection period as stipulated in Point b, Clause 2, Article 22 of the Market Management Ordinance;

c) Changes in the Head of the Inspection Team or members of the Inspection Team;

d) Other situations affecting the inspection activities according to the inspection decision.

2. Handling of situations arising as provided in Point a, Clause 1 of this Article shall be carried out as follows:

a) In cases where the inspection discovers that the inspected organization or individual has violated laws outside the scope recorded in the inspection decision, the Inspection Team shall record the content of the law violations in the inspection record after completing the inspection;

b) In cases where the inspection discovers signs of law violations by the inspected organization or individual outside the scope recorded in the inspection decision, the Head of the Inspection Team must report and propose to the person issuing the inspection decision to amend and supplement the issued inspection decision. The Inspection Team may only conduct inspections on matters showing signs of law violations after receiving the decision to amend and supplement the inspection decision from the competent authority issuing the inspection decision.

3. In cases of situations arising as provided in Points b and d, Clause 1 of this Article, the Inspection Team shall report to the person issuing the inspection decision for consideration and decision.

4. Handling of situations arising as provided in Point c, Clause 1 of this Article shall be carried out according to the provisions of Clause 2, Article 15 of this Circular.

Article 18. Establishment of Inspection Records and Administrative Violation Records

1. Based on the inspection results, the Inspection Team shall establish and sign an inspection record to document the inspection results and conclusions regarding the inspection contents (if any) immediately after completing the inspection at the inspection location.

2. The establishment of inspection records and administrative violation records at the inspection location shall be carried out as follows:

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

c) In cases where the inspection results reveal signs of administrative violations that require verification and investigation to conclude, the Inspection Team shall establish an inspection record documenting the inspection results and simultaneously propose that the decision-making authority organize the collection, verification, and investigation to supplement evidence according to the provisions of Article 35 of this Circular, apply preventive measures, and ensure the handling of administrative violations according to the law.

3. Inspection records must be established in accordance with the prescribed format and implemented as follows:

a) When establishing an inspection record, the organization or individual being inspected or their representative must be present; in cases where the organization or individual being inspected or their representative is absent or deliberately evades presence, when establishing the inspection record, there must be a representative of the People's Committee of the commune or a representative of the commune police station and a witness present;

4. Content of the inspection record:

a) The inspection record must accurately and completely document the inspection results for each inspected content; opinions of the organization or individual being inspected or their representative, representatives of cooperating agencies, and witnesses (if any); evaluation, recommendations, and proposals of the Inspection Team regarding the inspection matter;

b) The inspection record must have signatures from representatives of all parties involved in the inspection and the establishment of the inspection record. In cases where the record has multiple pages or copies, signatures of these persons must be affixed to each page and copy of the record, including appendices and lists attached to the inspection record.

Article 19. Handling the Results of Inspection

1. In cases where necessary, during the inspection process or based on the results of the inspection, the Head of the Inspection Team decides to apply measures to prevent and ensure the handling of administrative violations within their authority or proposes that the competent authority decide to apply such measures. The application of preventive and assurance measures for handling administrative violations shall be carried out in accordance with the provisions of the Law on Handling Administrative Violations and Chapter V of this Circular.

3. Except for the cases specified in Clause 4 of this Article, immediately upon receiving the inspection case file from the Inspection Team, the person issuing the inspection decision shall examine and handle the results of the inspection as follows:

a) Where an administrative violation record has been established according to point b, Clause 2, Article 18 of this Circular, the person issuing the inspection decision shall examine and decide on the imposition of penalties for administrative violations within their authority or proceed with procedures to submit or transfer the administrative violation case file to the competent authority for imposing penalties in accordance with the Law on Handling Administrative Violations and the provisions of this Circular;

b) Where the inspection results indicate signs of legal violations but there is insufficient evidence to conclude an administrative violation, it is necessary to decide on applying investigative measures to collect, verify, and investigate information to supplement evidence as provided for in Article 35 of this Circular.

4. In cases where the inspection is conducted at the request of the competent authority as stipulated in Clause 4, Article 13 of this Circular, or where the inspected entity is simultaneously being inspected and penalized for administrative violations by another Market Management agency, the person issuing the inspection decision shall report and propose handling the inspection results in writing to the head of the superior Market Management agency with authority; transfer or accept the inspection case file and decisions on applying investigative measures according to the instructions of the competent authority.

The head of the superior Market Management agency with authority shall be responsible for directing or deciding on collecting, verifying, and investigating to supplement evidence; concluding the inspection case, instructing the establishment of an administrative violation record, and imposing administrative penalties within their authority or proceeding with procedures to submit or transfer the administrative violation case file to the competent authority for imposing penalties in accordance with the Law on Handling Administrative Violations and the provisions of this Circular.

Article 20. Handling the Results of Verification and Investigation of Inspection Cases

a) Where there is no legal violation, a written notification must be issued to the inspected organization or individual in accordance with point d, Clause 4, Article 27 of the Market Management Ordinance;

b) Where there is an administrative violation, instructions must be given to establish an administrative violation record and issue a decision on administrative penalty for administrative violations within their authority or proceed with procedures to submit or transfer the administrative violation case file to the competent authority for imposing penalties in accordance with the Law on Handling Administrative Violations and the provisions of this Circular;

c) Where the violation is suspected of being criminal, the administrative violation case file must be immediately transferred to the criminal proceedings agency for consideration of criminal responsibility in accordance with Clause 2, Article 22 of this Circular.

2. In cases where the inspection is conducted at the request of the competent authority as stipulated in Clause 4, Article 13 of this Circular, within two working days from the end of verification and investigation, the person issuing the inspection decision must report the results of verification and investigation to the competent authority to conclude the case and handle it in accordance with points a, b, and c of Clause 1 of this Article.

Article 21. Administrative Offense Sanctions

The authority to impose administrative offense sanctions, procedures for imposing administrative offense sanctions, enforcement of administrative sanction decisions, and compulsory enforcement of administrative sanction decisions shall be carried out in accordance with the provisions of the law on handling administrative offenses.

a) Immediately issue a document transferring the administrative violation case to the competent authority for administrative penalties;

b) Transfer all case files and seized items or means (if any) related to the violation when transferring the administrative violation case;

c) Prepare a handover record between the transferring party and the receiving party for the case files and seized items or means (if any).

2. In cases where administrative violations are discovered through inspections conducted by Market Management or primarily through such inspections but there are indications of criminal offenses, the Market Management agency that issued the inspection decision or is currently handling the case must immediately transfer the file of the violation case with indications of criminal offenses to the criminal proceedings agency for consideration and prosecution of criminal responsibility in accordance with the law. The procedure for transferring shall be similar to the provisions of Clause 1 of this Article.

Article 23. Procedures for Accepting and Handling Administrative Violation Cases Transferred from Other State Agencies to Market Management Agencies

1. Market Management agencies shall only accept and handle administrative violation cases transferred from other state agencies when they consider it appropriate to their functions, tasks, powers, and sanctioning authorities.

2. The acceptance and handling of administrative violation cases transferred from other state agencies to Market Management agencies shall be carried out as follows:

a) The transferring agency shall issue a document transferring the administrative violation case to the Market Management agency;

b) The head of the Market Management agency receiving the transfer shall examine and decide on accepting the transferred case and direct the preparation of a handover record for the files, evidence, and seized items (if any) between the transferring party and the receiving party.

3. Within the time limit prescribed by law on handling administrative offenses, the head of the Market Management agency receiving the transferred case shall be responsible for examining and deciding on imposing administrative offense sanctions within their authority or submitting the case to a competent authority for administrative offense sanctions in accordance with the law.

4. If necessary, the head of the Market Management agency receiving the transferred case may decide to collect, verify, and investigate information to supplement materials and evidence for issuing an administrative offense sanction decision.

1. Except for the cases stipulated in Clause 2, Article 20 and point a, Clause 1, Article 25 of this Circular, for cases exceeding the authority to impose administrative offense sanctions, the Head of the Market Management Team currently handling the administrative violation case shall be responsible for:

a) Immediately after recording the administrative violation, issuing a document to request the superior Market Management agency's head to impose administrative offense sanctions within their authority regarding the administrative violation case;

b) Fully transferring the case file of the administrative violation and preparing a handover record between the transferring party and the receiving party;

c) Continuing to store the seized items (if any) during the transfer of the administrative violation case, except when the superior Market Management agency has different requirements.

2. Immediately upon receipt of the case file of the administrative violation, the Director shall be responsible for:

a) Examining and deciding on imposing administrative offense sanctions within the time limit prescribed by law on handling administrative offenses for cases within their authority to impose administrative offense sanctions;

b) Submitting the case file of the administrative violation to the General Department Director for examination and decision on imposing administrative offense sanctions for cases within the General Department Director's authority, except in cases implemented according to the provisions of Clause 3 and Clause 4, Article 25 of this Circular. The procedure for submitting the case file of the administrative violation shall be similar to the provisions of points a, b, and c, Clause 1 of this Article;

c) Requesting the Market Management Office, Team to further verify circumstances to supplement the case file in cases where there is insufficient basis for handling administrative offenses. The request for supplementary case file shall be made in writing.

3. Within the time limit prescribed by law on handling administrative offenses, the General Department Director shall be responsible for:

a) Examining and deciding on imposing administrative offense sanctions within their authority;

b) Requesting the agency, unit to further verify circumstances to supplement the case file in cases where there is insufficient basis for handling administrative offenses. The request for supplementary case file shall be made in writing.

1. Market Management agencies shall submit to the Chairperson of the People's Committee with competent authority to impose administrative penalties for consideration and decision on imposing administrative penalties in the following cases:

a) Cases involving multiple administrative violations in various fields of state management, including administrative violations not within the scope of administrative penalty imposition of Market Management.

b) Administrative violation cases exceeding the administrative penalty imposition authority of the Provincial Market Management Bureau Director.

2. The Market Management team handling administrative violation cases shall be responsible for:

a) Submitting the case to the Chairman of the District People's Committee where the administrative violation occurred for consideration and decision on imposing administrative penalties within their authority as stipulated in point a, Clause 1, Article 25 herein;

3. The Provincial Market Management Bureau shall submit to the Chairman of the Provincial People's Committee where the administrative violation occurred for consideration and decision on imposing administrative penalties within their authority for cases specified in point b, Clause 1 or point b, Clause 2 of this Article.

Article 26. Establishment, preservation, and storage of inspection and administrative violation handling case files

1. Inspection and administrative violation handling case files include all relevant documents related to the inspection and administrative violation handling process established, managed, and stored according to the following principles:

a) The establishment of inspection and administrative violation handling case files must truthfully and fully reflect the documents and materials in accordance with assigned functions and tasks; creating accurate grounds for timely, lawful, and effective resolution of matters by the agency or unit;

b) Documents and materials stored in the case file must accurately and fully reflect the process of resolution and actual developments of the inspection and administrative violation handling activities; ensuring legal value in handling the case;

c) Documents and materials must be arranged and indexed before being transferred for storage by the agency or unit to organize usage and retrieval.

2. Upon completion of the inspection and administrative violation handling case, the head of the Market Management agency specified in Clause 4 of this Article shall be responsible for assigning civil servants to establish and store the inspection and administrative violation handling case file in accordance with Clause 3 of this Article.

3. The establishment of inspection and administrative violation handling case files shall be carried out according to the following regulations:

a) The case file must have a cover designed and printed according to National Standard TCVN 9251:2012 on archival file covers and stored as prescribed. The civil servant assigned the task shall fill in all details of the pre-printed items on the cover;

b) The documents within the case file must be arranged, indexed, and listed comprehensively on the cover or label. The civil servant assigned the task shall list, index, and arrange the documents in order starting from index number 01 to the final index number;

c) Index numbers must be assigned progressively increasing numerically and sequentially for each page of documents in the file. Each index number is assigned once. The index number is placed in the upper right corner of the front side of each document page. Each document page receives one index number. Indexing is done in chronological order of receipt. In the event of receiving multiple documents at the same time, indexing is done in the order of issuance of the documents.

a) The Market Management authority issuing the administrative violation penalty decision shall be responsible for storing the original case file of the inspection and administrative violation handling upon completion of the case;

b) In the case where the Chairman of the Provincial People's Committee issues a decision on imposing administrative penalties, the Provincial Market Management Bureau or the Specialized Market Management Bureau proposing the handling must retain a copy of the case file, except in cases where the Provincial People's Committee has other requirements;

c) In the case where the Chairman of the District People's Committee issues a decision on imposing administrative penalties, the Market Management Team proposing the handling must retain a copy of the case file, except in cases where the District People's Committee has other requirements.

5. Inspection and administrative violation handling case files must be handed over, preserved, stored, and destroyed when they have exceeded their useful life in accordance with legal provisions on archiving.

Article 27. Confidentiality of Information

1. Information, documents, and case files related to activities of inspection and handling administrative violations or cases with signs of administrative violations as stipulated in this Circular must be kept confidential in accordance with the provisions of the law.

2. Market Management officials who intentionally disclose or provide statements about inspection and handling of administrative violations or information related to the implementation of market management business measures without permission from competent authorities shall be subject to disciplinary action or criminal responsibility depending on the level of violation, as provided for by law.

Chapter V

APPLYING PREVENTIVE MEASURES

AND ENSURING HANDLING OF ADMINISTRATIVE VIOLATIONS

Article 28. General Provisions on Applying Preventive Measures and Ensuring Handling of Administrative Violations

1. Based on the results of inspections or the implementation of business measures, the authorized person of Market Management decides to apply preventive measures and ensure the handling of administrative violations.

2. The authorized person of Market Management deciding to apply preventive measures and ensure the handling of administrative violations shall be responsible for:

a) Ensuring that the application of preventive measures and ensuring the handling of administrative violations is based on the legal provisions on handling administrative violations;

b) Organizing, directing, and implementing the application of preventive measures and ensuring the handling of administrative violations in accordance with the legal provisions on handling administrative violations.

Article 29. Proposal for Inspection

1. When receiving and processing information as prescribed in Articles 8, 9, and 10 of this Circular or when implementing assigned business measures or in the case stipulated in Clause 1, Article 19 of this Circular, if there is evidence suggesting that in a person, means of transport, object, or place of concealment there is concealed evidence or means of administrative violation, the Market Management official performing their duties may apply the inspection of a person, means of transport, or object within their authority or propose to the authorized person of Market Management to issue a decision to inspect a person, means of transport, or object or inspect a place of concealment of evidence or means of administrative violation (hereinafter referred to as the inspection decision) in accordance with the legal provisions on handling administrative violations.

a) Name, position, and workplace of the person proposing the inspection;

b) Basis for the proposal for inspection;

c) Person to be inspected, means of transport or object to be inspected, or place to be inspected;

d) Scope of inspection;

đ) Expected time and location for conducting the inspection;

e) Expected administrative violation and related evidence or means of administrative violation;

g) Name and signature of the person proposing the inspection.

3. Market Management officials proposing the inspection must be responsible before the authorized person issuing the inspection decision and before the law regarding the content of the proposal for inspection.

1. Before issuing the inspection decision, the authorized person issuing the inspection decision or the person entrusted with the right to issue the inspection decision must issue an inspection plan to ensure that the inspection is conducted in accordance with the law and effectively, except in cases where it is believed that if the inspection is not carried out immediately, the evidence or means of administrative violation will be dispersed or destroyed.

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

a) Basis for developing the inspection plan;

b) Person to be inspected, means of transport or object to be inspected, or place to be inspected;

c) Reason for inspection;

d) Location and scope of the inspection;

đ) Expected start and end times of the inspection;

e) Expected situations arising and measures to handle them (if any);

g) Expected administrative violation and applicable legal regulations;

i) Expected means and conditions to support the inspection (if any);

k) Name, position, signature of the person issuing the inspection plan and stamp;

Article 31. Issuing inspection decisions

1. All cases of inspecting persons, vehicles, objects, places where evidence of administrative violations are hidden, or inspecting administrative violations according to administrative procedures (hereinafter referred to as inspection cases) must be based on an inspection decision in writing by the competent authority, except for inspections conducted pursuant to paragraph 2 of Article 127 or paragraph 3 of Article 128 of the Law on Handling Administrative Violations.

2. The competent authority of Market Management shall issue inspection decisions only when the following requirements are met:

a) Within the scope of authority, area, or field assigned;

Article 32. Procedures and formalities for implementing inspection decisions and handling inspection results

1. The procedures and formalities for implementing inspection decisions, preparing inspection records of persons, vehicles, objects according to administrative procedures, inspection records of places where evidence of administrative violations are hidden, preparing administrative violation records and imposing administrative penalties shall be implemented in accordance with the provisions of the law on handling administrative violations.

Article 33. Applying temporary detention measures for evidence, means, licenses, certificates of practice according to administrative procedures, temporarily detaining persons according to administrative procedures, and escorting violators

2. The authority and procedures for applying temporary detention measures for evidence, means of administrative violations, licenses, certificates of practice, temporarily detaining persons according to administrative procedures, and escorting violators shall be implemented in accordance with the provisions of the law on handling administrative violations.

Chapter VI

AUTHORITY AND PROCEDURES FOR IMPLEMENTING BUSINESS MEASURES

Article 34. Territorial management of organizations and individuals engaged in trading goods and services

1. The subjects of territorial management include:

a) Organizations and individuals engaged in trading goods and services within the operational area of the Market Management force;

b) Production, trading, delivery, storage, reserve locations; cargo concentration sites, domestic airports, seaports, ports, inland waterway ports, railway stations, post offices; shopping centers, duty-free shops, supermarkets, markets within the operational area of the Market Management force;

c) Production, trading, delivery, storage, reserve locations; cargo concentration sites, airports, seaports, ports, inland waterway ports, railway stations, post offices; shopping centers, duty-free shops, supermarkets, markets... and organizations and individuals engaged in trading goods and services within the operational area of customs but not subject to management by Customs as provided by law.

2. The contents of territorial management are specified in Article 33 of the Market Management Ordinance.

3. The allocation of territorial management shall be decided in writing by the Head of the Market Management Team and assigned to one or more officials to implement. In cases where multiple officials are assigned to manage the same territory, the Head of the Market Management Team shall designate one official as the team leader responsible for regularly reporting or compiling data on territorial management.

4. The allocation decision must clearly specify the specific management territory, list of officials, management contents to be implemented, and reporting system. Officials conducting territorial management outside the Market Management Team office must keep a work diary to manage, monitor, and supervise.

5. The Head of the Market Management Team at the local level is responsible for compiling, building, managing, and using the database on territorial management within the allocated territory and implementing the reporting system as required by the Provincial Department Director.

6. The Provincial Department Director is responsible for managing and using the database on territorial management within the allocated territory and implementing the reporting system as required by the General Department Director.

7. The General Department Director is responsible before the Minister of Industry and Trade for building, managing, and developing the territorial management information database system; guiding exploitation, use, and ensuring maintenance, operation, security, and safety of the territorial management information database system nationwide.

Article 35. Collection, Examination, and Verification of Information

1. The collection, examination, and verification of information by market management forces as stipulated in point b, Clause 1, Article 32 of the Market Management Ordinance shall be carried out in the following cases:

a) Collecting information to serve advisory work and the development of periodic inspection plans or specialized inspection plans;

b) Examining and verifying information on violations of laws or signs of such violations to serve as grounds for issuing decisions on surprise inspections or applying measures to prevent and ensure administrative violation handling;

c) Collecting, examining, and verifying information to supplement materials and evidence proving administrative violations during the process of handling inspection results, application of search measures, or acceptance and handling of administrative violation cases transferred from other state agencies to market management agencies or units;

d) Collecting, examining, and verifying information to serve the enforcement of administrative penalty decisions and compulsory enforcement of administrative penalty decisions according to the law on administrative violation handling;

đ) Collecting, examining, and verifying information upon directives from higher-level market management agencies or requests from other market management agencies or units;

2. The objects of the activities of collecting, examining, and verifying information include:

a) Organizations and individuals being inspected under inspection decisions made by authorized persons of market management forces;

b) Organizations and individuals who have been administratively or criminally punished in business activities involving goods and services, with the potential for recidivism; organizations and individuals showing signs of administrative violations or related to administrative violations in business activities involving goods and services;

c) Other agencies, organizations, and individuals related to the inspection and administrative violation handling activities of market management forces;

3. The content of information to be collected, examined, and verified is defined in Clause 2, Article 33 of the Market Management Ordinance;

4. Depending on the specific requirements of each case, the organization of collecting, examining, and verifying information may be implemented in one or more of the following forms:

a) Inviting organizations and individuals subject to inspection; owners, managers, or users of seized items or vehicles; owners, managers, or users of confiscated items or vehicles; owners of searched premises or representatives of the aforementioned organizations and individuals to attend meetings;

b) Conducting work with organizations and individuals specified in point a of this clause when they request it;

c) Conducting work with other organizations and individuals related to inspection activities and the application of preventive measures and assurance of administrative violation handling;

d) Dispatching personnel to verify or requesting relevant state management agencies to support and cooperate in examination and verification;

đ) Taking samples of goods and sending them to relevant agencies or organizations for testing and appraisal;

e) Seeking professional opinions from experts or relevant state management agencies;

g) Other forms as prescribed by law;

6. The collection, examination, and verification of information as stipulated in points b and c of Clause 1 of this Article shall be carried out as follows:

b) The content of the assignment document must clearly specify the information to be collected, examined, and verified; the name of the civil servant assigned the task and the deadline for collecting, examining, and verifying information. In cases where information is examined and verified according to point c, Clause 2, Article 18 of this Circular, the examination and verification period shall be carried out according to the provisions of Clause 4, Article 27 of the Market Management Ordinance;

c) Civil servants assigned the task of collecting, examining, and verifying information must immediately carry out the task according to the content of the assignment document; report the results of collecting, examining, and verifying information and any proposals or recommendations (if any) in writing to handle according to Articles 10 or 20 of this Circular;

Article 36. Supervision of business activities involving goods and commercial services suspected of violating laws

1. The objects of supervision include:

a) Organizations and individuals suspected of engaging in business, transportation, storage of smuggled goods or production, sale of counterfeit, prohibited, origin-unknown goods, infringement of intellectual property rights, violation of laws on quality, measurement, pricing, food safety, protection of consumer rights, and commercial fraud;

b) Organizations and individuals currently implementing or preparing to implement violations of laws reported by information providers;

c) Transport means, business locations, places for gathering, storing, hiding goods, means, and items suspected of violating laws;

d) Other business activities involving goods and commercial services suspected of violating laws.

2. The contents of supervision are stipulated in Clause 3, Article 33 of the Market Management Ordinance.

3. Supervisory activities shall be carried out according to the following provisions:

b) The task assignment document under point a of this clause must clearly state the basis for conducting supervision, the list of civil servants assigned to supervise, the supervised object, and the time of supervision;

c) Civil servants assigned to supervise must fulfill the content of the task assignment document; report the results of supervision and any recommendations or suggestions (if any) in writing to the person assigning the task for handling in accordance with the law and this Circular.

4. The implementation of supervisory activities by Market Management civil servants must be recorded in the Work Diary for management, monitoring, and supervision.

Article 37. Building Information Providers

1. Market Management forces may use non-staff personnel who have the ability and conditions to serve as volunteers to perform the task of providing information and contact points to regularly provide information sources serving Market Management activities.

2. The head of the Business Department, Provincial-level Business Department, and Market Management Team shall decide and bear responsibility for building, classifying, managing, and using information providers according to the following principles:

a) Confidentiality, single-line;

b) Information about the identity of volunteers, records of information provision processes, and contact points shall be classified, managed, and used according to the confidentiality regime prescribed by law.

3. Information and documents provided by information providers must be collected, verified, and confirmed in accordance with Article 35 of this Circular before being used as a basis for inspection and administrative violation handling.

4. The level of expenditure and procedures for settling expenses for purchasing information and rewarding information providers for their achievements in participating in the seizure and confiscation of evidence and means of illegal activities in anti-smuggling, commercial fraud, and fake goods operations shall be implemented in accordance with the law.

Chapter VII

IMPLEMENTING PROVISIONS

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

a) Directing, monitoring, urging, guiding, and inspecting Market Management forces in performing inspection activities, administrative violation handling, and implementing business measures in accordance with the law and this Circular;

b) Organizing the application of information technology in inspection activities, administrative violation handling, and implementing business measures of Market Management forces in accordance with the law and this Circular;

c) Directing the training, professional development, and ensuring funding and working conditions for agencies and civil servants assigned to perform inspection tasks, administrative violation handling, and implementing business measures;

d) Reporting to the Minister of Industry and Trade on the results of implementing the Inspection Program Guidance and the results of inspection and administrative violation handling by the Market Management forces as prescribed;

đ) Proposing to the Minister of Industry and Trade organizational measures for implementation or amendments to this Circular when necessary.

2. The Director of the Business Department and the Provincial-level Business Department Director shall be responsible for:

a) Implementing inspection activities, administrative violation handling, and business measures as prescribed by law and this Circular;

b) Implementing directives for inspections issued by authorized bodies or coordinating with other provincial Business Departments to conduct inspections and handle administrative violations when requested;

c) Directing, monitoring, urging, guiding, and inspecting subordinate Market Management Teams in performing inspection activities, administrative violation handling, and implementing business measures in accordance with the law and this Circular;

d) Organizing training, professional development, and ensuring funding and working conditions for Market Management Teams and civil servants assigned to perform inspection tasks, implement business measures, and handle administrative violations;

đ) Implementing reporting requirements to the Director of the General Department of Market Management and the Chairman of the Provincial People's Committee on the situation and results of inspection and administrative violation handling activities of their units as prescribed.

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

a) Implementing inspection activities, administrative violation handling, and business measures as prescribed by law and this Circular;

b) Reporting the situation and results of inspection and administrative violation handling activities in the assigned area or field to the immediate superior Business Department Director and the Chairman of the District People's Committee;

4. Other state agencies, organizations, and individuals related to the inspection and administrative violation handling activities of Market Management shall be responsible for:

a) Providing information, documents, and evidence related to inspection and administrative violation handling cases as requested by Market Management agencies;

b) Cooperating in inspection and administrative violation handling as requested by Market Management agencies;

c) Coordinating to organize the implementation of inspection decisions, search decisions, penalty decisions, and other decisions of authorized Market Management agency heads.

Article 39. Effective date

1. This Circular takes effect from December 1, 2020.

2. This Circular replaces Circular No. 35/2018/TT-BCT dated October 12, 2018, of the Minister of Industry and Trade on the contents, procedures, and steps for conducting inspections, handling administrative violations, and implementing business measures by Market Management forces.

3. The Director of the General Department of Market Management, the Director of the Business Department of Market Management, the Director of the Provincial-level Market Management Department, the Head of the Market Management Team, the Heads of units under the Ministry of Industry and Trade, and related agencies, organizations, and individuals are responsible for implementing this Circular./.