Decision No. 424/2003/QĐ-BTM On issuing sample seals and regulations on management and use of seals for market management forces

Pursuant to …;

OF THE MINISTER OF TRADE

Regarding the issuance of sample seals

 and regulations on the management and use of market control seals

 

THE MINISTER OF TRADE

Pursuant to the Trade Law dated May 10, 1997;

Pursuant to the Administrative Violation Handling Ordinance dated July 2, 2002;

Pursuant to Decree No. 95/CP dated December 4, 1993 of the Government on the functions, tasks, powers, and organizational structure of the Ministry of Trade,

Pursuant to Decree No. 10/CP dated January 23, 1995 and Document No. 696/CP-KTTH dated August 2, 2000 of the Government on the organization, tasks, and powers of Market Management,

To unify the management and use of seals in inspection, supervision, and administrative penalty activities within the national Market Management force;

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

 

DECIDES:

Article 1. Now hereby promulgated together with this Decision:

I. Sample seals to be uniformly used in inspection, supervision, and administrative penalty activities within the national Market Management force.

II. Regulations on the management and use of Market Management seals.

Article 2. This Decision takes effect from July 1, 2003. The seals issued pursuant to Decision No. 05/TM-QLTT dated June 5, 1996 of the Minister of Trade and those seals issued by localities contrary to this Decision are hereby abolished.

Article 3. The Head of the Ministry's Office; Heads of Legal Departments, Financial Accounting Departments; the Inspector General of the Ministry; the Director of the Market Management Department and Directors of Provincial Commerce Departments (Commerce and Tourism Departments); and Chiefs of Market Management Branches in centrally governed cities and provinces are responsible for organizing the implementation of this Decision.

 

I. SAMPLE SEALS

USED IN INSPECTION, SUPERVISION AND ADMINISTRATIVE PENALTY ACTIVITIES
OF THE MARKET MANAGEMENT FORCE

(issued together with Decision No. 424/2003/QĐ-BTM
dated April 11, 2003 of the Minister of Trade)

1. Decision on Inspection of Compliance with Trade Law (Model No. 01/QLTT);

2. Inspection Record of Compliance with Trade Law (Model No. 02/QLTT);

3. Decision on Application of Measures to Prevent Administrative Violations (Model No. 03/QLTT);

4. Record of Implementation of Measures to Prevent Administrative Violations (Model No. 04/QLTT);

5. Sampling and Testing Record (Model No. 05/QLTT);

6. Administrative Violation Record in Trade Activities (Model No. 06/QLTT);

7. Decision on Administrative Penalty (Model No. 07/QLTT);

8. Decision on Revocation of Administrative Penalty Decision (Model No. 08/QLTT);

9. Record of Handover of Evidence and Means (Model No. 09/QLTT);

10. Decision on Forced Execution of Administrative Penalty Decision (Model No. 10/QLTT);

11. Record of Forced Execution of Administrative Penalty Decision (Model No. 11/QLTT);

12. Decision on Seizure of Evidence and Means of Administrative Violations (Model No. 12/QLTT);

13. Record of Seizure of Evidence and Means of Administrative Violations (Model No. 13/QLTT);

14. Record of Destruction of Evidence and Means of Administrative Violations (Model No. 14/QLTT);

15. Appendix to the Record (Model No. 15/QLTT);

16. Working Record (Model No. 16/QLTT);

17. List of Evidence and Means (Model No. 17/QLTT);

The above seals have specific models attached.

II. REGULATIONS

ON MANAGEMENT AND USE OF MARKET MANAGEMENT SEALS

(issued together with Decision No. 424/2003/QĐ-BTM
dated April 11, 2003 of the Minister of Trade)

 

I. GENERAL PROVISIONS

Article 1. Market Management seals are documents used to record and reflect the activities of inspection and supervision of compliance with trade laws by the Market Management force when exercising their authority in applying measures to prevent and impose administrative penalties as prescribed by law.

Article 2. Market Management seals must meet the following requirements:

1. Fully reflect the authority of the Market Management force; ensure the procedural and administrative requirements stipulated by law for handling administrative violations.

2. The system of seals must be complete; meet the requirements for administrative reform; and strictly manage market inspection and supervision activities.

3. Strictly manage evidence and means of violations; prevent violations of law and negative behaviors of Market Inspectors.

4. Meet the requirements for building a regular and well-organized Market Management force.

Article 3. Market Management seals may only be used when performing inspection, supervision, and administrative penalty tasks of the Market Management force.

In cases where the Market Management force collaborates with other forces in inspection and supervision activities or in violation cases arising at joint inspection stations primarily managed by the Market Management force, they may also use Market Management seals to handle violations in the trade sector.

Article 4. It is strictly prohibited to misuse Market Management seals for purposes such as buying, selling, exchanging, lending, damaging, losing; using position, duties, and powers to threaten inspected entities; hindering legitimate trade activities; or recording seals in violation of regulations.

Those who violate will, depending on the nature and degree of violation, besides having to compensate for material losses, be subject to administrative disciplinary action. In serious cases, criminal responsibility may be pursued according to the law.

In cases of loss, damage, or improper recording and management of seals, organizations and individuals entrusted with managing and using seals must submit a report to the head of the issuing agency (Branch or Market Management Team) detailing the reasons for loss, damage, or improper seal management so that the Branch can determine the extent of the violation and take appropriate action; simultaneously reporting to the Market Management Department and informing relevant agencies to promptly prevent the misuse of lost seals.

II. REGULATIONS ON THE USE OF SEALS

Article 5. Before distributing seals to Market Management Teams or Market Inspectors for use, the Department or Branch of Market Management in provinces and cities must affix the issuance stamp. Specifically, as follows:

1. Use the "header stamp" to stamp the top left corner of the seal with two lines of text: the name of the supervising unit and the name of the unit using the seal. For example: Market Management Department or Market Management Branch of the province/city (Hanoi) - Market Management Team number (I)...

2. When using seals, the unit using them must stamp the seal:

+ Decisions (Inspection Decisions, Penalty Decisions, Decisions on Application of Preventive Measures...) must be stamped in the section for the authorized person signing the Decision (after signing the Decision).

+ All remaining seals, including Appendices to the Minutes, Lists of Seized Goods and Means, must be affixed (previously) at the top left corner: If the Market Management Agency uses them, they shall affix their own seal; if a Branch of the Market Management Agency uses them, they shall affix their Branch's seal; if a Market Management Team uses them, they shall affix their Team's seal. For Joint Control Posts primarily managed by the Market Management Agency that handle violations of trade laws, they may use the seal of the Market Management Agency and affix the seal of the Post.

3. It is strictly prohibited to use seals that have not been officially stamped.

Article 6. When using seals, the following rules must be adhered to:

1. Seals of a certain type must be used for their designated purpose and within the scope of authority prescribed by law.

2. Seals must be carefully preserved to prevent tearing, damage, or soiling.

3. All seals must be numbered consecutively (including Appendices to the Minutes, Lists of Seized Goods and Means). When in use, they must be utilized from the smallest number to the largest; intermittent or skipped numbering is not allowed.

4. When recording on seals, only black or blue ink ballpoint pens should be used, and entries must be made by one person. Characters and numbers must be written legibly, completely, without abbreviations, missing strokes, or erasures, and must not be blurred.

5. Each seal number has multiple copies; if writing once does not transfer to all copies, it can be written multiple times, but each time must involve two to three consecutive copies, with the same person writing, the same style of characters-numbers, and matching content between the first copy and subsequent copies.

6. In cases where writing errors occur or ink blurs making it unreadable, corrections, erasures, or strikethroughs on the incorrectly written characters are not permitted; instead, the faulty copy must be crossed out diagonally and another copy (number) must be used. In each book, the next sequential number must be used. The faulty copy that has been crossed out must be retained for accounting purposes with the issuing agency.

7. For seals with multiple copies, those involved must sign each copy and page, and must fully write their full name and surname.

8. If there are Appendices to the Minutes or Lists attached to the Decision or Minutes, the number of Appendices and Lists and their respective consecutive numbers must be clearly stated, along with the total number of types of seized goods and means listed on the List. The characters and numbers written on the Appendices and Lists must be done by the same person and in the same type of ink as recorded on the Minutes or Decision. Those who signed the Minutes or Decision must also sign and fully write their full name and surname on the Appendices and Lists as they did on the Minutes or Decision.

9. The copy of the seal retained by the inspection agency and the case file (at the end of the year or upon completion of the case) must be stored according to regulations at the inspection agency.

Article 7. The content recording on the Market Management seals is specifically stipulated as follows:

1. Decision to inspect compliance with commercial law (Form No. 01/QLTT).

To be used by authorized representatives of the Market Management Agency (Director of the Bureau, Director of the Branch, Head of the Market Management Team, or Deputy Heads of these persons authorized in writing) to issue a Decision to inspect organizations or individuals engaged in business when there are signs of violation of commercial law or complaints (which have been investigated and verified); directives from the head of the superior agency; inspection programs, plans, or schemes approved; requests for cooperation from inspection forces. In cases of inspecting business registration according to programs or plans or discovering administrative violations in person, a Decision to inspect need not be issued, but the market inspection card should be presented for inspection.

When issuing a Decision:

Basis for recording: Besides Decree No. 10/CP (regulating functions, tasks, and authority of the Market Management Agency), other bases include implementing directives from the head of the superior agency (Minister of Commerce, Chairman of People's Committees at various levels, Director of the Market Management Bureau, Director of the Department of Commerce, Director of the Market Management Branch); implementing inspection programs or plans of the Branch or Market Management Team; basis on verified signs of violation or complaints (according to the Inspection Proposal Form of the Work Group Leader); requests for cooperative inspections from functional agencies.

Content of the Decision:

Article 1 records the name of the organization or individual being inspected; address (specify house number, street, ward, commune, district, county, province, city). The inspection content is recorded: Inspection of goods and evidence at the place of business; inspection of documents related to goods and evidence (Business Registration Certificate, Certificate of Business Conditions, Business License, Professional Certificate, purchase-sale contracts, transportation contracts, invoices, tax payment receipts, accounting books, and other relevant documents).

Article 2 records the name, position of the Head of the Inspection Team and the name of the Task Force assigned to carry out the inspection task.

2. Inspection Record for Compliance with Trade Law (Form No. 02/QLTT)

Used to record the results of implementing the Inspection Decision.

When conducting inspections, regardless of whether the inspected organization or individual violates or does not violate the law, those responsible for carrying out the inspection tasks must prepare an Inspection Record to document the inspection results (except in cases where administrative violations are discovered on the spot or there is sufficient evidence to conclude that the subject has committed an administrative violation, in which case an Inspection Record is not prepared but an Administrative Violation Record is immediately prepared).

When recording the Inspection Record:

Representative of the inspection agency: Record the name and position of the Inspector in charge of the Task Force and the Inspectors participating in the inspection.

Collaborating forces: If multiple forces participate in the inspection, each force only records the name and position of the highest-ranking representative. In the case of a single force, the full name and position of each participant should be clearly recorded.

Inspected subject: If it is an individual, record their full name, address, and occupation; if it is an organization, record the name and address of the organization (the business address of the organization or individual: If there is a Business Registration Certificate, record the address according to the Business Registration Certificate; in the absence of a Business Registration Certificate, record the permanent residence address) and the authorized representative of the organization.

Witness to the inspection (if any): Record their full name and address. If there is none, record "none."

Inspection results: For evidence, clearly record the name, brand, specifications, unit of measurement, quantity, origin, condition of the evidence, and the comparison result between the actual inspection data at the scene and the data recorded on documents, invoices, certificates, and accounting books accompanying the evidence. For documents, clearly record the name of each type of document, the document number (if applicable), and the date of issuance of these documents; original or copy; the legality and validity of the presented documents. If the inspected subject fails to present all relevant documents as required or cannot present any documents, this must also be clearly recorded in the Inspection Record.

Statement of the individual or representative of the inspected organization: Record the explanation or question-and-answer regarding details related to the case, documents, evidence, scene, violation behavior, and attitude of the inspected subject.

Opinion of the witness (if any), record the opinion witnessed at the scene regarding the violation behavior, attitude of the inspected subject, time, and location of the incident.

Opinion of the Inspection Team: Summarize observations and evaluations of the inspection results. If signs of administrative violations are detected, clearly state the handling direction. If unclear and further investigation or verification is needed, or preventive measures are to be applied, this must also be clearly stated. If the Inspection Record is too long, use the Appendix of the Inspection Record or the Inventory List to supplement.

At the end of the inspection, those involved in the Inspection Record must sign to confirm each copy of the Inspection Record. If the violator or the authorized representative of the violating organization, or the witness refuses to sign the Inspection Record, the reason for refusal must be clearly recorded in the section for the representative of the violating organization or the witness.

3. Decision to Apply Preventive Measures Against Administrative Violations (Form No. 03/QLTT)

Used by the authorized person of the Market Management (Team Leader of the Market Management Team or Market Inspector) when exercising their authority to issue a Decision to Apply Preventive Measures Against Administrative Violations such as: Searching transport vehicles and items; searching places where evidence of administrative violations is hidden; temporarily seizing evidence and means of transportation; searching persons; temporarily detaining persons under administrative procedures.

Basis for Decisions: In addition to the articles and clauses stipulated in the Ordinance on Handling Administrative Violations regarding the application of preventive measures against administrative violations and the authority of the Market Management to apply preventive measures, other bases include: Signs of violations or complaints that have been verified and investigated (demonstrated by the Proposal Form of the Task Force Leader); requests for collaborative inspections from functional agencies; statements of individuals involved in the case recorded in the Inspection Record.

Name and position of the authorized person of the Market Management issuing the Decision to Apply Preventive Measures.

Content of each Decision, stipulates the recording as follows:

3.1. Decision to Search Transport Vehicles and Items:

Use this stamp form as the Decision to Search Transport Vehicles and Items, the Team Leader of the Market Management Team or Market Inspector must comply with the provisions of Article 48 of the Ordinance on Handling Administrative Violations and can only proceed in cases where there is basis to determine that there are goods or items violating administrative regulations hidden on the vehicle.

Content of the Decision:

Article 1 states: Inspect transportation vehicles (cars, motorcycles, trains, boats) bearing license plates... and goods, items carried on such vehicles; name, occupation, or address of the driver of the transportation vehicle, owner or manager of goods, items violating administrative regulations carried on such vehicles.

Article 2 states: Name, position of Market Control Officer assigned to organize the implementation of the Decision.

3.2. Decision on temporary detention of evidence and means of transport violating administrative regulations:

Use this stamp form for the Decision on temporary detention of evidence and means of transport violating administrative regulations; the Team Leader of the Market Management Team shall only use it when further investigation and verification of circumstances are necessary as grounds for issuing a penalty decision or immediately stopping the violation.

In urgent cases, if evidence and means of transport are not temporarily detained immediately, they may be dispersed or destroyed; the Team Leader of the Task Force (the direct superior of the Market Control Officer) has the authority to sign the Decision on temporary detention of evidence and means of transport violating regulations. According to the law, within 24 hours (from the time of issuance of the Decision), the Team Leader of the Task Force must report to the Team Leader of the Market Management Team about the temporary detention. If there is no written consent from the Team Leader of the Market Management Team, the Decision on temporary detention must be immediately revoked and the detained items, money, goods, and means of transport returned.

Content of the Decision:

Article 1 states: Temporarily detain evidence and means of transport violating administrative regulations and the name and address of the individual or organization with detained evidence and means of transport; name, brand, specifications, unit of measurement, origin of the detained evidence. If it is a transportation vehicle, record the type of vehicle and its license plate number. Location and time of temporary detention of evidence and means of transport.

Article 2 states: Name, position of Market Control Officer assigned to organize the implementation of the Decision.

Article 3 states: Name, position of the person responsible for preserving the detained evidence and means of transport (owner or manager of the detained evidence and means of transport or name of the Market Control Officer responsible for preserving the detained evidence and means of transport). If the detained evidence and means of transport include various types, list them in detail in the attached Inventory.

3.3. Decision on inspecting places hiding evidence and means of transport violating administrative regulations:

When using this stamp form as the Decision on inspecting places hiding evidence and means of transport violating administrative regulations, the Team Leader of the Market Management Team must comply with the provisions of Article 49 of the Administrative Violation Handling Ordinance and can only proceed when there is evidence that such places hide evidence and means of transport violating administrative regulations.

Content of the Decision:

Article 1 states: Inspect places hiding evidence and means of transport at the location (clearly state the inspected place is a store, warehouse...); name, address of the individual or name, address of the organization being inspected for places hiding evidence and means of transport.

In cases where inspecting places hiding evidence and means of transport violating administrative regulations is a residence, a written agreement from the Chairman of the People's Committee of the district, county, town must be obtained before conducting the inspection.

Article 2 states: Name, position of the Market Control Officer assigned the responsibility to implement the Decision.

3.4. Decision on temporary detention of persons according to administrative procedures:

When using this stamp form as the Decision on temporary detention of persons according to administrative procedures, the Team Leader of the Market Management Team shall only use it when it is necessary to immediately stop violations such as: resisting public officials with weapons, causing injury to others, or in urgent cases involving complex incidents requiring collection and verification of important circumstances as grounds for issuing a decision on administrative violation penalties. When issuing the Decision on inspecting persons, compliance with Articles 44 and 45 of the Administrative Violation Handling Ordinance must be observed.

Content of the Decision:

Article 1 states: Temporary detention of Mr./Mrs.... (full name, gender, date of birth, ethnicity, ID card number, and permanent address of the person to be temporarily detained); the temporary detention period from hour... day... month... year to the end of hour... day... month... year...

Article 2 states: The full name and position of the Market Inspector assigned the responsibility to carry out the temporary detention of the person.

After implementing the Decision on Temporary Detention, upon request of the person to be temporarily detained, the person issuing the Decision on Temporary Detention must notify this Decision to the family, organization, workplace, or place of study of the person to be temporarily detained. If the person to be temporarily detained is a minor who violates administrative regulations at night or if the temporary detention lasts more than six hours, then the person issuing the Decision on Temporary Detention must notify the parents or guardians of the minor. The notification of temporary detention, prepared by the inspection agency, summarizes the violation behavior of the detainee, the location, and the duration of the temporary detention for the family or the organization of the person to be temporarily detained to know and contact.

3.5. Administrative procedure search decision:

When using this stamp model as a Search Decision, the Market Management Team Leader must comply with Article 47 of the Administrative Violation Handling Ordinance and can only proceed when there is evidence that the person is concealing administrative violation documents, items, or means in their possession.

In urgent cases where criminal acts are caught in the act, if not conducting a search immediately, the evidence, documents, or means of administrative violations may be destroyed or disposed of, then the Market Inspector executing official duties can present the Administrative Procedure Search Card and report immediately in writing to the Market Management Team Leader and must bear legal responsibility for the search of the person.

Content of the Decision:

Article 1 states: Search of Mr./Mrs.... (clearly state full name, gender, date of birth, ID card number, and permanent address of the person to be searched).

Article 2 states: The full name and position of the Market Inspector assigned the responsibility to carry out the search of the person (note that male inspectors search males and female inspectors search females).

4. Record of Implementation of Measures to Prevent Administrative Violations (Form No. 04/QLTT)

Used to record when organizing the implementation of Decisions applying measures to prevent administrative violations such as: Searching transportation vehicles and objects; searching places hiding evidence of administrative violations; temporarily detaining evidence and means; searching persons; temporarily detaining persons according to administrative procedures.

Basis for the Records: Implementing the Decision applying preventive measures number... and the date of issuance of the Decision.

Other headings (date; location; inspecting agency; cooperating forces; subject to whom preventive measures are applied; witness (if any); opinion of the witness; statement of the subject to whom preventive measures are applied) are recorded similarly to the Inspection Compliance Record.

The content of each Record is specified as follows:

4.1. Record of Searching Transportation Vehicles and Objects:

Used to record the results of searching transportation vehicles and objects.

Search Results: Record the comparison between the quantity, type, and identification marks of goods and objects actually carried on the transportation vehicle against the data on the invoice and supporting documents; the legality and validity of the goods and objects carried on the transportation vehicle and accompanying documents (invoices, supporting documents, related documents concerning purchase-sale, origin, transportation of goods, tax payment documents).

The conclusion of the Working Group must clearly state whether the goods and objects carried on the transportation vehicle are suspected of administrative violations or not.

In cases without violations, a Search Record should still be established to record the search results. If there is sufficient basis to conclude administrative violations, a Search Record should not be established but rather an Administrative Violation Record.

4.2. Record of Temporarily Detaining and Sealing Evidence and Means of Administrative Violations:

Used to record the results of temporarily detaining evidence and means.

Content of the Record: What types of evidence and means are temporarily detained and list in detail these pieces of evidence and means similar to the guidance for recording in the Inspection Record. If the evidence and means are too numerous, list each type of temporarily detained evidence and means in detail in the attached Inventory.

The conclusion of the Working Group must clearly state whether the temporarily detained evidence and means violate or not, and specify the time and place to resolve the temporarily detained evidence and means.

In cases where it is necessary to seal the temporarily detained evidence and means, sealing must be done immediately in front of the violator or representative of the organization or individual with the temporarily detained evidence and means, and the witness (if any).

The sealing paper is made of thin paper that tears when peeled off. On the sealing paper, the stamp of the inspecting agency must be affixed and signed by the person preparing the Record, the representative of the inspecting agency, cooperating forces, and the witness (if any), and the representative of the organization or individual with the temporarily detained evidence. If sealing is not required, "no sealing of evidence" should be noted in the Record.

Before transferring the temporarily detained evidence and means of violations to the owner or responsible person of the Market Management Agency for safekeeping, the Inspection Team Leader must carefully inventory and hand over the responsibility for the safekeeping of the temporarily detained evidence and means of violations.

4.3. Record of Searching Places Concealing Evidence and Means of Administrative Violations:

Used to record the results of searching places concealing evidence and means of administrative violations.

Search Results: Fully and truthfully list the evidence, means, and accompanying documents suspected of administrative violations discovered in the Record. Include the location of the concealed evidence and means; documents presented; clearly identify the owner or lawful manager/user of the evidence and means, documents. If the quantity of evidence and means is large, list them in the attached Inventory. If necessary to seal, complete the sealing procedures as stipulated in Section 4.2 above.

The conclusion of the Working Group must clearly state whether the discovered concealed evidence, means, and documents violate or do not violate administrative regulations.

In cases without violations, a Search Record should still be established to record the search results. If there is sufficient basis to conclude administrative violations, a Search Record should not be established but rather an Administrative Violation Record.

4.4. Record of Searching Persons According to Administrative Procedures:

The results of the body search must fully and truthfully list the items concealed on the person being searched.

The conclusion opinion of the Inspection Team recorded in the Record must clearly state whether the person being searched has concealed administrative violation items.

If there is sufficient basis to conclude an administrative violation, then instead of creating a Search Record, create an Administrative Violation Record.

5. Sample Collection Record (Form No. 05/QLTT)

Used in cases where the Market Management Authority conducts checks and temporarily holds suspected counterfeit goods, substandard goods, intellectual property rights infringing goods, origin violating goods... requiring samples for testing.

Basis for the Record: Implementation of the conclusions in the Trade Law Compliance Inspection Record No... dated... month... year... of... with suspected administrative violation items temporarily held (counterfeit goods, substandard goods, intellectual property rights infringing goods, origin violating goods...) needing to be tested.

Sampling authority: Record the name of the inspection unit, the full name of the Team Leader of the working group, and the full name and position of the Inspectors participating in sampling.

Name and address of the sample delivery unit and the full name, position of the authorized representative of the sample delivery unit.

Full name and address of the witness (if any).

Content of the Record:

Sampling location: Clearly record the name and address (business premises or warehouse; if the items are transported on a vehicle, specify the type of vehicle and its license plate number); the full name and address of the vehicle operator; owner, manager, lawful user of the sampled items.

Name of the sampled item; brand (product name, place of production, information on packaging); specifications (size, packaging method of the item).

Condition of the sampled item: Record the actual condition of the item at the time of sampling.

Sampling method: If the item is registered for quality, sample according to regulations; for other products, take enough samples to ensure representativeness for testing requirements.

In cases where sealing of the test sample is necessary, it must be carried out in front of the violator or their representative organization, with the presence of a witness (if any), following the prescribed procedures.

On the sealing paper, there must be signatures of the record maker, representatives of the inspection agency, cooperating forces, witnesses (if any), representatives of the inspected organization or individual, and the inspection agency's stamp must be affixed on the sealing paper of the test sample.

Testing requirements for the sample must clearly state the basic contents needed to determine counterfeit goods, substandard goods, or intellectual property rights infringing goods, origin violating goods...

6. Administrative Violation Record (Form No. 06/QLTT)

Used when discovering violations on the spot or previously having established an inspection record, but only recently identifying signs of violation, and during the investigation and verification process, there is sufficient legal basis to conclude that an individual or organization has committed an administrative violation (except in cases of simple procedure penalties).

When establishing the Record:

Basis: Record the identified trade law violation behavior or the violation signs noted in the inspection records, work records, transport vehicle inspection records, object inspection records, hiding place inspection records, person inspection records... which have been verified and confirmed as violations.

Representatives of the Market Management Authority, cooperating forces, witnesses, violators: Record as in the Inspection Record.

Location of the violation: Clearly record at business premises, warehouse, or fake goods production site. If it occurs during transportation, specify the kilometer number and the route.

Regarding the administrative violation behavior: Clearly record the organization or individual who violated Article, Clause of the regulatory legal document; date and issuing authority of this document; the type of violation behavior.

Violation items and means: For items, fully record the name of each type of item; brand, origin (place or country of production), quantity; unit of measurement (piece, piece, bottle, meter...), specifications (size, series or if the item is packed in boxes, cases, bags, how many pieces, bottles, meters in each box, case, bag). For transport means, record the name of the means and its license plate number. Actual condition of the items and means (new or old, easily damaged...); comparison results between the actual inspection and the quantity recorded on documents, invoices, certificates, accounting books. For documents, invoices, certificates presented by the party, clearly record the types of documents including serial numbers (if any) and issuance date, original or copy; legality of accompanying documents with the items and means; if the party does not present, does not present sufficiently, or cannot present any document, also record this fact.

Aggravating or mitigating circumstances: Record first-time or repeated violations, organized; attitude of the violator during inspection and related issues when the violation occurred.

Party's statement: Record explanations or questioning and answering about relevant details concerning documents, items, scene, violation behavior, individuals or representatives of organizations committing administrative violations.

Opinion of the witness to the inspection (if any): Record their observations at the scene and the violator's attitude and behavior; time, location of the violation and other related issues to the violation behavior.

Opinion of the Inspection Team: Clearly propose measures and level of handling for the administrative violation behavior.

Finally, all relevant parties must sign to confirm each copy of the Administrative Violation Record.

7. Decision on Administrative Penalty (Form No. 07/QLTT)

For authorized officials of Market Management: Inspectors performing their duties, Team Leaders of Market Management Teams, Heads of Market Management Branches, Directors of Market Management Departments issue administrative penalty decisions against individuals or organizations that violate commercial laws (with fines from VND 200,000 upwards) according to the provisions of the Law on Handling Administrative Violations.

When recording the Decision:

Basis: In addition to Article 56 stipulating the imposition of administrative penalties and Clause...

The Ordinance on Handling Administrative Violations has defined the authority of Market Management, other bases are the Administrative Violation Records established by inspection units.

Name and position of the authorized official issuing the Administrative Penalty Decision.

Article 1 of the Decision records:

Object of the penalty: If it is an individual, record the name, age, occupation, and permanent address of the violator; for organizations, record the name and address of the organization.

Violating act, main form of punishment, supplementary form of punishment, measures to remedy consequences:

Violating act: Must clearly state which Article and Clause was violated and the name of the regulatory legal document applied (Circular, Decree, Ordinance, Law).

Main form of punishment must be clearly stated: Warning or fine. If it is a fine, list each violating act in detail in order 1, 2, 3.... And refer to the Article and Clause of the law that has been prescribed and the specific amount of fine for each violating act (according to the authority of the decision maker); the total amount of the fine is how much (record both in figures and in words)..

Supplementary form of punishment, clearly state the supplementary form of punishment such as: Revocation of license or practice certificate; confiscation of evidence and means (including what types). If the Decision does not fully record, list in detail on the attached Schedule.

Measures to remedy consequences (if applicable): Depending on the nature, degree of violation, and the authority of the decision maker, apply measures to remedy consequences according to the provisions of Clause 3, Article 12 of the Ordinance on Handling Administrative Violations.

Article 2 records where the party must pay the fine.

Article 3 records the name of the inspection organization or the name and position of the Inspector assigned to organize the implementation of the Administrative Penalty Decision.

When delivering the Administrative Penalty Decision to the individual or organization being penalized, require them to sign the receipt on the Decision (kept at the inspection agency or recorded in the logbook or sent via express mail with the recipient's signature) as the basis for determining the deadline for implementing the Decision and the deadline for lodging complaints about the Administrative Penalty Decision.

8. Decision to revoke the Administrative Penalty Decision (Form No. 08/QLTT)

For cases where an Administrative Penalty Decision has already been issued, if subsequently it is discovered that the violation has criminal indications and the statute of limitations for criminal prosecution has not yet expired, the authorized official who issued the Administrative Penalty Decision must revoke the previously issued decision and transfer the case file to the competent authority for criminal prosecution or in cases where the Administrative Penalty Decision has exceeded its implementation period without being carried out.

When recording the Decision:

Basis: In addition to Clause 2, Article 62 of the Ordinance on Handling Administrative Violations stipulating the revocation of Administrative Penalty Decisions, other bases are: Criminal indications of the violator as required by law to be transferred to the competent authority for criminal prosecution; relevant records and documents related to the failure to implement the Administrative Penalty Decision (such as the party evading attendance or lacking conditions to implement the Decision despite having been granted a suspension of enforcement...).

Name and position of the authorized official issuing the Decision to revoke the Administrative Penalty Decision.

Content of the Decision:

Article 1: Record the cancellation of the Administrative Violation Penalty Decision already issued against the administrative violation...of organizations or individuals...subject to administrative penalty.

Article 2: Record the name of the organization receiving the evidence and means of violation for criminal prosecution or measures to handle the evidence and means currently under temporary detention.

Article 3: Record the surname, name, and position of the Market Inspector assigned to organize the implementation of the Decision to cancel the Administrative Violation Penalty Decision.

9. Evidence and Means Transfer Receipt Form (Form No. 09/QLTT)

Used to record when implementing the Decision to cancel the Administrative Violation Penalty Decision to transfer evidence and means, case files to other agencies for handling or to higher authorities for handling; transfer seized evidence and means to auctioning agencies; return evidence and means to the rightful owner, lawful manager, or user.

This receipt must clearly state:

Time (hour, day, month, year), location of handover; persons involved in handing over and receiving the evidence and means.

Handover of evidence and means: Fully record the name, brand, specifications, type, quantity, actual condition of the evidence and means; case files handed over. For accompanying documents with the evidence, they must be arranged in chronological order during the case handling process; number each page in the file and documents.

If there are many pieces of evidence and means, list them in detail in the attached Inventory List. For case files and accompanying documents with the evidence, they must be listed in detail in a separate Inventory List.

The party handing over and the party receiving must carefully count before signing the Handover Receipt. If the evidence has been sealed, hand over the sealing together.

10. Decision on Forced Execution of Administrative Violation Penalty Decision (Form No. 10/QLTT)

Used in cases where individuals or organizations subject to administrative penalties have exceeded the 10-day period (from the date of receipt of the Administrative Violation Penalty Decision) without voluntarily complying with the Administrative Violation Penalty Decision.

The Director of the Market Management Bureau, the Director of the District Market Management Bureau has the authority to issue the Decision on Forced Execution.

When recording the Decision:

Basis: In addition to Articles 66 and 67 of the Administrative Violation Handling Ordinance stipulating administrative forced execution, other bases include: The Administrative Violation Penalty Decision which sets the payment deadline but the party does not voluntarily comply.

Surname, name, and position of the person authorized to issue the Forced Execution Decision.

Content of the decision:

Article 1: Record the name and address of the individual or organization subject to forced execution: For individuals, clearly record the surname, name, occupation, and address of the individual subject to forced execution; for organizations, record the name and address of the organization subject to forced execution, and the form of forced execution applied (deduction from monthly salary; deduction from income or deduction from bank account; seizure of current assets...).

Article 2: Record the surname, name, and position of the Market Inspector assigned to organize the implementation of the Forced Execution Decision.

Before implementing forced execution, the person issuing the Forced Execution Decision must notify in writing the Chairman of the People's Committee of the commune, ward (where the party resides) to supervise and organize forces to cooperate.

11. Forced Execution Implementation Receipt Form (Form No. 11/QLTT)

Used to record the organization's implementation of the Forced Execution Decision to enforce the Administrative Violation Penalty Decision.

In the Receipt Form, it must record:

Time (hour, day, month, year), location, address, participants in the forced execution, witnesses (if any); name of the organization or individual, address of the subject of forced execution.

Forced execution measures implemented (such as deduction from monthly salary; deduction from income or deduction from bank account; seizure of current assets corresponding to the amount of money to be paid...).

Those related parties participating in the implementation of the Forced Execution Decision must sign the Forced Execution Receipt Form. If the violator or the authorized representative of the violating organization, or the witness (if any) refuse to sign the Receipt Form, the Inspector records the reason for refusal in the section for the representative of the violating organization or the witness.

12. Decision on Seizure of Administrative Violation Evidence and Means (Form No. 12/QLTT)

Used by the authorized person of the Market Management to issue the Decision on Seizure and Confiscation of Administrative Violation Evidence and Means for State Treasury in cases: Unclaimed evidence and means (as stipulated in Clause 4, Article 61 of the Administrative Violation Handling Ordinance) and prohibited goods (as stipulated in Clause 1, Article 56 of the Administrative Violation Handling Ordinance).

Specify the recording of the Decision for each specific case as follows:

12.1. Decision on Seizure of Administrative Violation Evidence and Means (Confiscation for State Treasury of unclaimed Administrative Violation Evidence and Means)

When recording the Decision:

Basis: In addition to Clause 4, Article 61 of the Administrative Violation Handling Ordinance stipulating the seizure of Administrative Violation Evidence and Means in cases where there is no claimant, other basis includes: Temporary Detention Decision and Notice to Claim Unclaimed Evidence and Means.

Surname, name, and position of the person authorized to issue the Decision on Seizure and Confiscation for State Treasury of unclaimed Administrative Violation Evidence and Means.

Content of the Decision:

Article 1 states: Confiscate objects and means of transportation with no claimant. Objects and means of transportation to be confiscated (specify name, quantity, type, unit of measurement, brand, specifications, origin of the object; if it is a means of transportation, specify the name of the means of transportation and its registration number for circulation).

In cases where there are many objects and means of transportation, they shall be detailed listed in the attached inventory.

Article 2 states: Name, position of the Market Control Officer assigned the responsibility to implement the Decision.

12.2. Decision on confiscation of administrative violation objects (these are prohibited items that cannot be included in an Administrative Violation Penalty Decision).

When recording the Decision:

Basis: Besides Clause 1, Article 56 of the Administrative Violation Handling Ordinance which stipulates the confiscation of administrative violation objects and means of transportation for prohibited items (in cases where the competent authority for administrative violation handling of Market Management has not issued an Administrative Violation Penalty Decision beyond the deadline for issuing such a decision), another basis is: Inspection Report, Administrative Violation Report or Temporary Seizure Report of Violation Objects and Means of Transportation established by the inspection unit.

Name, position of the person authorized to issue the Decision on confiscation of administrative violation objects and means of transportation.

Content of the Decision:

Article 1 states: Confiscate administrative violation objects of organizations or individuals who have committed administrative violations (specify name and address of the organization or individual who violated). The objects confiscated are prohibited items (specify name, quantity, type, unit of measurement, brand, specifications, origin of the object). In cases where there are many objects, they shall be detailed listed in the attached inventory.

Article 2 states: Name, position of the Market Control Officer assigned the responsibility to implement the Decision.

13. Seizure Record of Administrative Violation Objects and Means of Transportation (Model No. 13/QLTT)

This record is used in the following situations: Implementing an Administrative Violation Penalty Decision with supplementary punishment of confiscating administrative violation objects and means of transportation; implementing a Decision on confiscating administrative violation objects and means of transportation that are prohibited items or items without a claimant.

The content of the Record must clearly state:

Time (hour, day, month, year), place where the Record was made.

Name, type, brand, origin, specifications, quantity, condition, and actual quality of the objects and goods subject to confiscation. If it is a means of transport, the name, type of means of transport, and its registration number for circulation must be specified.

In cases where there are too many objects and means of transportation, and the Record does not contain enough information, they shall be detailed listed in the attached inventory.

If sealing is required, it must be carried out immediately in front of witnesses (if any), and the form of sealing must be clearly stated in the Record as prescribed in the Temporary Seizure and Sealing Record of Violation Objects and Means of Transportation.

If the person whose property is being confiscated or the representative of the organization whose property is being confiscated is absent, then two witnesses must sign the Record.

14. Destruction Record of Administrative Violation Objects and Means of Transportation (Model No. 14/QLTT)

Used to record when implementing an Administrative Violation Penalty Decision to handle administrative violation objects and means of transportation that are harmful cultural products, fake goods with no value for use, items harmful to human health, animals, plants that must be destroyed according to the law.

The content of this Record must clearly state:

Time (hour, day, month, year); location where destruction is organized.

Names of representatives from relevant agencies invited to participate in destruction (only one representative with the highest position from each agency).

Name, brand, type, quantity, origin of the objects and means of transportation to be destroyed.

If there are many objects and means of transportation to be destroyed, they shall be detailed listed in the attached inventory.

The method of destruction implemented and the results of destruction on site.

After completion of destruction, representatives from related agencies and the person recording the Record must sign the Destruction Record.

15. Appendix to the Record (Model No. 15/QLTT)

Used to supplement additional contents of inspections that are not fully recorded in the Inspection Report, Administrative Violation Report, and other Records.

When recording the Appendix to the Record, it must be done sequentially according to the pre-printed headings in the Records and provide further details about the circumstances and severity of the violation, without repeating the contents already recorded in the Records.

Those who signed the main Record must also sign and write their full names in the Appendix to the Record.

16. Working Record (Model No. 16/QLTT)

Used to record meetings with parties involved or with other related agencies for investigation, verification, and clarification of circumstances and evidence as the basis for concluding acts of violation in cases where the circumstances and evidence recorded in the Inspection Report, Temporary Seizure Report, Search Report... are insufficient to conclude an act of violation.

The content of the Working Record is recorded in the form of a narrative or question-and-answer format regarding issues that need further clarification based on questions posed by the person recording the Record.

The Working Record must be read aloud for everyone to hear and signed for confirmation.

17. Inventory of Objects and Means of Transportation (Model No. 17/QLTT)

Used to list objects and means of transportation in cases of temporary seizure, confiscation, or transfer of objects and means of transportation.

This Inventory is attached to the Temporary Seizure Decision, Administrative Violation Penalty Decision, Confiscation to Public Treasury Decision, Temporary Seizure Record, Seizure Record of Objects and Means of Transportation, Transfer Record, Destruction Record... when the aforementioned Decisions or Records do not contain sufficient information.

When using the Inventory to list objects and means of transportation, the main Record (or Decision) should indicate the number of the attached Inventory and the serial number of each Inventory; the total number of types of objects and means of transportation temporarily seized, transferred, or confiscated and destroyed should be recorded on the Inventory.

Contents recorded on the Inventory:

Name, brand, specifications, origin of the objects and means of transportation: For objects, they must be listed in detail by type of object, brand, specifications, origin (place of production or country of production); for means of transportation, they must be listed by name, type of means of transportation, control number of the means of transportation, and if there is no control number, it must be clearly stated.

If the evidence is attached documents accompanying goods or means of transport (invoices, purchase-sale certificates, transportation documents, warehouse release orders...), or if it is case files, then each type of document must be listed in detail, including their serial numbers (if available) and the date of issuance; whether they are originals, copies, or photocopies. In cases where the case file contains various types of documents that cannot be detailed listed, each page of the file should be numbered sequentially, and a summary of the number of different types of documents should be recorded in the General Inventory Table.

Unit of measurement: If the evidence or means of transport are individual items, clearly specify the unit such as piece, unit, bottle, package, kilogram... If they are packed in boxes, crates, bags... then the quantity of each item, unit, bottle, package, kilogram in each box, crate, bag must be clearly specified.

Condition of evidence and means of transport: Record the actual condition of the evidence and means of transport (whether they are new or used, easily damaged goods, broken packaging, or other signs of the evidence that need to be noted).

In cases where the evidence is easily damaged, after detailing them in the Record or Inventory List, immediately report to the direct superior authority for further reporting to the competent authority for consideration and handling.

Those who have signed the original Record must sign and clearly write their names on the Inventory List as they did on the original Record.

III. REGULATIONS ON THE ISSUE AND MANAGEMENT OF MARKET SUPERVISION STAMPS

Article 8. The Director of the Market Supervision Management Department shall be responsible for organizing the issuance of Market Supervision stamps throughout the national Market Supervision force; monitoring and supervising the management and use of stamps; handling violations related to the management and use of stamps within the Market Supervision force. Specifically as follows:

1. The Market Supervision Management Department shall organize the printing and distribution of stamps according to the usage requirements of each Market Supervision Branch.

These stamps shall be printed on thin white paper with a pre-coated carbon black ink layer on the back for immediate transfer to subsequent pages when writing. The size is specified as 30 cm long and 20 cm wide. All stamps shall be bound into books, numbered consecutively, with the recipient copy printed in blue ink and the serial number printed in red ink; the remaining copies shall be printed in black ink and the serial number printed in red ink. The background of the stamp shall be printed with the Market Supervision emblem in light yellow ink.

2. The Market Supervision Management Department shall be responsible for regularly monitoring, inspecting, and supervising the management and use of stamps by Market Supervision Branches; promptly correcting deviations and preventing violations. If violations are discovered, they shall have the right to handle them or instruct Market Supervision Branches to handle violations related to the management and use of stamps according to current regulations.

3. The Market Supervision Management Department has the authority to reallocate stamps from units with excess to those with shortages to ensure the necessary use of stamps across the entire force when needed.

Article 9. Remaining stamps or administrative documents serving the process of inspection and violation handling such as: Authorization letter from the head to the deputy; Decision on resolving complaints about administrative penalties; Minutes of meetings to dispose of easily damaged goods and means of transport; Notice to receive temporarily detained goods and means of transport; Sealing document for goods and means of transport in violation; Proposal document... shall be issued by Market Supervision Branches based on legal provisions, inspection requirements, and specific violation handling at localities, ensuring compliance with current regulations.

Article 10. The management and use of Market Supervision stamps must comply with the following regulations:

1. When transferring and distributing stamps, all inventory and distribution procedures must be completed; ledgers must be maintained to track the issuance, receipt, use, and settlement of stamps; at the same time, personnel responsible (either full-time or part-time) must be assigned to keep the stamp accounts.

2. Each year, Market Supervision Branches must strictly implement the system of reporting the use of stamps to the Market Supervision Management Department. Monthly, quarterly, and annually, units and individuals receiving stamps must settle accounts with the Market Supervision Branch or with the Market Supervision Team. If all allocated stamps have been used up, the received stamps must be settled and the retention copy submitted (for verification) before new stamps can be received.

3. Market Supervision Branches must assign staff to regularly inspect, urge, and supervise the management and use of stamps. Violations in the use and management of stamps must be handled promptly according to regulations and reported to the Market Supervision Management Department.

IV. IMPLEMENTATION

Article 11. Before using stamps, the Market Supervision Department and Branches must organize the dissemination, implementation, and guidance on the management and use of Market Supervision stamps to every civil servant and Inspector in the unit.

Article 12. Each year (at the beginning of December), Market Supervision Branches must prepare a written forecast of the demand for stamps and submit it to the Market Supervision Management Department to register the demand for each type of stamp to be used the following year so that the Market Supervision Management Department can plan with the printer and organize the issuance.

In the first year, while waiting for the issuance of new stamps, Market Supervision Branches may continue to use old stamps until new ones are received.

Article 13. After receiving new stamps, Market Supervision Branches must organize the destruction of unused old stamps according to regulations. The destruction of old stamps must establish a Destruction Committee and record the results in a Destruction Report. After destruction, the results must be reported to the Market Supervision Management Department.

Article 14. The funds for purchasing Market Supervision stamps are sourced from the annual budget allocated to the unit for operations.

Article 15. During implementation, if there are any difficulties or obstacles, they should be reported to the Ministry of Commerce (Market Supervision Management Department) for review and resolution.