Decision No. 4455/2002/QD-BGTVT On the issuance of Regulations on responsibilities and handling violations related to management, quality inspection, and technical safety of transportation vehicles

Pursuant to …;

Regarding the issuance of Regulations on responsibilities and handling of violations in management, inspection of quality and technical safety of transportation vehicles

Quality and technical safety of transportation vehicles

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THE MINISTER OF TRANSPORTATION

Pursuant to Decree No. 22/CP dated March 22, 1994 of the Government on tasks, powers, responsibilities for state management and organizational structure of the Ministry of Transport;

Pursuant to Decree No. 86/2002/NĐ-CP dated November 15, 2002 of the Government on functions, tasks, powers, and organizational structure of ministries and ministerial-level agencies;

Pursuant to Decision No. 75/TTg dated February 3, 1997 of the Prime Minister on tasks, powers, organizational structure of the Vietnam Vehicle Inspection Agency;

At the proposal of the Heads of the Personnel and Labor Department, the Legal Affairs Department, the Vietnam Vehicle Inspection Agency,

Pursuant to …;

Article 1. Now hereby promulgates with this Decision "Regulations on responsibilities and handling of violations in management, inspection of quality and technical safety of transportation vehicles".

Article 2. This Decision takes effect fifteen days after the date of signature.

Article 3. The Chairmen of the People's Committees of provinces and centrally governed cities, the Director of the Office of the Ministry, the Heads of Departments under the Ministry, the Heads of the Vietnam Vehicle Inspection Agency, the Heads of specialized management agencies, the General Directors of the Vietnam Railway Corporation, the Directors of Provincial Departments of Transport (Transport Construction), and the Heads of related units shall be responsible for implementing this Decision.

REGULATIONS

Responsibilities and handling of violations in management, inspection of quality and technical safety of transportation vehicles

(Issued together with Decision No. 4455/2002/QĐ-BGTVT dated December 31, 2002)

These regulations determine responsibilities and administrative penalties for violations in management, inspection of quality and technical safety of transportation vehicles, including: road transport, railway, maritime, inland waterway, offshore drilling platforms, floating structures, and other equipment related to transportation safety.

of the Ministry of Transport)

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Chapter 1:

GENERAL PROVISIONS

Article 1. Scope of Regulation

Article 1. Scope of application: Organizations and individuals performing management, inspection of quality and technical safety of transportation vehicles, including:

Article 2. Scope of Application

a. Inspection Units: District Offices, Branches, Inspection Stations, departments, centers under the Vietnam Vehicle Inspection Agency; departments, stations under Provincial Departments of Transport (Transport Construction), Vietnam Railway Corporation.

b. Direct superior management agencies of inspection units: Vietnam Vehicle Inspection Agency, Provincial Departments of Transport (Transport Construction), Vietnam Railway Corporation.

c. Personnel performing management, inspection of quality and technical safety of transportation vehicles, collectively referred to as Inspection Officers, Leaders of inspection units, and superior management agencies of inspection units.

Article 2. Scope of application in the following areas:

a. Quality inspection during manufacturing, new construction, assembly, and importation of transportation vehicles and equipment, and offshore drilling platforms.

b. Technical safety inspection of motor vehicles, railway vehicles, and special-purpose motorcycles in operation on roads and railways.

c. Technical safety inspection of marine vessels, inland waterway vessels, floating structures, and offshore drilling platforms in operation.

Organizations and individuals mentioned in Clause 1 of Article 2 of these regulations, in addition to performing their assigned functions and duties, complying with current legal normative documents of the State, the Ministry of Transport, relevant ministries and sectors, and international treaties to which Vietnam is a party regarding management and ensuring the quality and technical safety of transportation vehicles, must also comply with the contents of these regulations.

Article 3. The organizations and individuals mentioned in Clause 1 of Article 2 of this Regulation, in addition to performing their assigned functions and responsibilities and complying with current national legal documents, the legal documents of the Ministry of Transport, the relevant ministries and sectors, and international treaties to which Vietnam has acceded concerning management, ensuring quality and technical safety of transportation vehicles, must also comply with the provisions of this Regulation.

Chapter 2:

Vietnam Road Administration Bureau.

Article 4. Responsibilities of the Inspector

1. The Inspector must satisfy all provisions of the Inspector professional standards: Marine Vessel Inspector Standards and Offshore Structures; Inland Waterway Vessel Inspector Standards; Road Motor Vehicle Inspector Standards issued by the Ministry of Transport.

2. Upon appointment, the Inspector must take an oath and commit to fully perform assigned duties, comply with industry regulations, rules, national and international standards relevant to their work.

3. Always be diligent and ensure honesty, objectivity, convenience, and accuracy in inspection and certification activities.

4. Shall not abuse position or authority to harass, lower technical standards, intentionally distort inspection results, technical status of equipment, violate regulations for personal gain.

5. Shall not conduct inspection activities when the Inspector or their family has economic interests related to the inspected entity.

6. Shall not accept remuneration, commissions, gifts, or money from the owner of the equipment during inspections under any form.

7. Shall have the responsibility to report negative behaviors occurring at their unit.

Article 5. Responsibilities of the Head of the Inspection Unit

1. Organize inspection activities in accordance with industry regulations and within granted authority.

2. Publicize inspection procedures and processes at the unit's headquarters so that customers can know and monitor implementation.

3. Assign inspection tasks suitable to Inspectors' capabilities based on their Inspector Certificates.

4. Supervise and handle violations by Inspectors who lower standards, distort inspection results, harass equipment owners, accept bribes or gifts from customers according to authority.

5. Review inspection results, issue quality and safety certificates according to authority, ensuring legal requirements, honesty, accuracy, convenience, and speed.

6. Ensure adequate inspection equipment as required, regularly organize maintenance to guarantee the accuracy of measurement and testing results.

7. Shall be responsible to higher-level management authorities for assigned tasks, bear responsibility or joint liability for violations occurring at their unit. Deputy heads of the Inspection Unit shall be responsible to the Head for assigned tasks.

Article 6. Responsibilities of the Head of the Professional Advisory Agency

1. Implement state management functions in the inspection sector nationwide within the assigned scope.

2. Develop technical legal documents, operational guidelines, and related legal documents, submit them to competent authorities for issuance, and direct Inspection Units to implement.

3. Examine and review technical files, quality and safety certificates for the Head to sign or sign according to authority.

4. Organize supervision to detect violations, report to the Head for handling and preventive measures.

5. Shall be responsible to the agency head for assigned inspection activities and jointly liable with Inspection Unit leaders for related violations. Deputy heads of the Professional Advisory Agency shall be responsible to the Head for assigned tasks.

Article 7. Responsibilities of the Director of the Department of Transport (Public Works), General Director of the Vietnam Railway Union.

1. Direct and organize all aspects of operations of inspection units, manage staff, and inspectors under their jurisdiction in accordance with regulations of the Ministry, Procedures, Rules, Technical Standards, and business guidance from the Vietnam Inspection Agency.

2. Regularly organize inspections and audits of subordinate inspection units. Lead and coordinate with the Vietnam Inspection Agency to strictly handle violations by staff and inspectors under their management according to this Regulation.

3. Be responsible for inspection activities that have been delegated and jointly liable for violations occurring at inspection units under their management.

Article 8. Responsibilities of the Director of the Vietnam Inspection Agency.

1. Perform specialized management functions regarding technical safety inspections and quality certification for various types of transportation equipment and facilities including maritime, road, railway, inland waterway, offshore drilling platforms, floating structures, and other equipment related to transportation safety.

2. Ensure the establishment of a complete system of regulatory legal documents, Rules, Technical Standards, and business guidance as the basis for quality certification and technical safety inspection activities. Be responsible for the content and feasibility of documents compiled by the Agency to be submitted to competent authorities for issuance or issued within their authority.

3. Organize and direct a unified nationwide network of inspection and testing activities, ensuring legality, quality, honesty, and reliability. Organize inspections and oversight of inspection unit activities.

4. Modernize inspection, testing, and experimental equipment to minimize human impact on inspection results. Establish strict guidelines for recruitment and training of inspectors. Ensure that inspection units meet prescribed standards.

5. Coordinate with Provincial Departments of Transport (Public Works), Vietnam Railway Union to effectively carry out guidance and implementation of inspection activities under delegated management.

6. Be responsible for inspection activities directly managed by the Agency and jointly liable for violations occurring at inspection units under the Provincial Departments of Transport (Public Works), Vietnam Railway Union. The Deputy Director is responsible to the Director for assigned areas.

Chapter 3:

PROVISIONS ON VIOLATIONS AND FORMS OF VIOLATION HANDLING

SECTION A. PROVISIONS ON VIOLATIONS AND FORMS OF HANDLING FOR INSPECTORS

Article 9. Provisions on violations for Inspectors:

1. Failure to comply with work assignments by the head of the unit for tasks within the Inspector's scope of responsibility.

2. Conducting design review, technical supervision, inspection, testing, evaluation, and registration documentation without assignment from unit leadership.

3. Engaging in behavior that disrupts order and unity, affecting the reputation of the agency.

4. Lack of sense of responsibility, failing to fully meet job requirements, making professional and business errors in design reviews, inspections, tests, technical condition assessments, determining technical parameters, inspection cycles, but not reaching a level that endangers vehicle safety.

5. Conducting design reviews, inspections, tests, evaluations, and registration documentation beyond authority, leading to professional and business errors.

6. Incorrectly determining or altering key technical parameters in vehicle or inspection subject documentation for personal gain.

7. Misusing authority to violate Technical Standards, Rules, Laws, international agreements relevant to the industry, causing vehicle safety risks or facilitating vehicle owners' non-compliance with state laws.

8. Engaging in brokerage or sales services related to inspection subjects for personal gain while performing duties.

9. Issuing registration documentation without conducting inspections.

10. Accepting bribes from clients in the form of money or material benefits while performing duties.

Article 10. Forms of handling violations against Inspectors.

1. Reprimand: when violating any of the provisions in Clauses 1, 2, 3, and 4 of Article 9.

2. Warning: in the following cases:

a. Violating the provision in Clause 5 of Article 9.

b. Violating any of the provisions in Clauses 1, 2, 3, and 4 of Article 9 within twelve months from the date of the previous reprimand, or having committed a violation but not being honest and sincere in admitting fault.

3. Demotion, reduction in pay grade, transfer to other work when violating any of the provisions in Clauses 6, 7, 8, 9, and 10 of Article 9, depending on the nature and severity of the violation, leading to the decision to revoke the Inspector Certification.

4. Termination of employment in the following cases:

a. Being sentenced to imprisonment, corrective labor without detention, probation, or warning by a court for crimes related to inspection activities;

b. Violating the provision in Clause 10 of Article 9 together with any of the provisions in Clauses 2, 4, 5, 6, 7, and 9 of Article 9.

c. Violating the provision in Clause 10 of Article 9 with serious severity or recidivism.

PART B. PROVISIONS ON VIOLATIONS AND FORMS OF HANDLING VIOLATIONS AGAINST HEADS OF INSPECTION UNITS, HEADS OF ADVISORY AND OPERATIONAL AGENCIES

Article 11. Provisions on violations against Heads of Units.

1. Assigning Inspectors to perform inspection activities contrary to their responsibilities, duties, and powers, leading to Inspectors being disciplined with a reprimand or higher form of discipline.

2. Failing to demonstrate a sense of responsibility in managing and supervising the activities of Inspectors, resulting in Inspectors being disciplined with a warning or higher form of discipline.

3. Not organizing the full implementation of the functions and tasks assigned to an inspection unit within the area of management.

4. Directly resolving requests for exemptions or reductions in standards, regulations, international agreements, and industry regulations without adequate basis and beyond authority.

5. Organizing inspections, testing, evaluations, and quality safety certifications beyond the authority according to the functions and tasks of the unit.

6. Organizing the implementation of inspection activities outside the jurisdictional area without complying with current industry regulations.

7. Establishing a business management system that contravenes the regulations of the Vietnam Inspection Bureau.

8. Not conducting inspections as prescribed, but still directing the issuance of inspection files to customers.

9. Misusing positions and powers to violate financial management regulations causing loss, waste of public funds, and other negative phenomena.

10. Accepting or organizing the acceptance of bribes while performing duties.

Article 12. Forms of handling violations against Heads of Units.

1. Reprimand: when violating any of Clauses 1, 2, and 3 of Article 11.

2. Warning: when violating any of Clauses 4, 6, 7, 8, and 9 of Article 11 but with less serious severity.

3. Demotion, reduction in pay grade, or removal from position depending on the severity of the violation in the following cases:

a. Violating any of Clauses 4, 5, 6, 7, 8, and 9 of Article 11 with serious severity or recidivism.

b. Violating Clause 2 of Article 11 where two or more Inspectors are disciplined with termination of employment within the unit.

c. Violating Clause 10 of Article 11;

4. Termination of employment: when violating any of the clauses in Article 11 to the extent of being criminally prosecuted.

PART C: FORMS OF DISCIPLINARY ACTION FOR SUPERIOR LEADERS OF REGISTRATION AND INSPECTION UNITS DUE TO RESPONSIBILITY RELATED VIOLATIONS

Article 13. For the Vietnam Registration and Inspection Agency

The leaders of the Vietnam Registration and Inspection Agency and the leaders of advisory and technical units must jointly bear indirect responsibility for the violations of their subordinates related to the areas they are assigned to direct.

1. Director and Deputy Directors: shall be subject to criticism, reprimand up to warning, demotion in rank, or removal from office depending on the severity of the violation.

2. Leaders of advisory and technical units of the Vietnam Registration and Inspection Agency directly overseeing and directing: shall be subject to reprimand, warning, demotion in rank, or removal from office depending on the severity of the violation.

Article 14. For Departments of Transport (DTTC), Vietnam Railway Association

Directors and Deputy Directors of Departments of Transport (DTTC), General Directors and Deputy General Directors of the Vietnam Railway Association: shall be subject to criticism up to warning depending on the severity of the violation.

Article 15. Authority to Discipline Violations

1. The Minister of Transport decides on disciplinary action against registration and inspection units, the Director and Deputy Directors of the Vietnam Registration and Inspection Agency, the General Director and Deputy General Director of the Vietnam Railway Association.

2. The Chairpersons of People's Committees of provinces and centrally governed cities decide on disciplinary action against Directors and Deputy Directors of Departments of Transport (DTTC).

3. The Director of the Vietnam Registration and Inspection Agency has the authority:

a. To decide on disciplinary action against leaders of registration and inspection units, advisory and technical units, and inspectors under his/her management;

b. To recommend that Departments of Transport (DTTC) and the Vietnam Railway Association decide on disciplinary action against violations committed by cadres and inspectors under their management;

c. To revoke the Inspector Certification of inspectors who have committed violations.

4. The Director of Departments of Transport (DTTC) and the General Director of the Vietnam Railway Association have the authority to decide on disciplinary action against cadres and inspectors under their management within their jurisdiction.

Chapter 4:

IMPLEMENTATION

Article 16.

1. Relevant agencies and units falling within the scope of application as stipulated in Clause 1 of Article 2 shall be responsible for implementing this Regulation. Serious violations, depending on the nature and degree of the violation, will be handled according to the provisions of the law.

2. Previous regulations of the Ministry of Transport regarding disciplinary actions against inspectors that conflict with the disciplinary measures set forth in this Regulation are hereby abolished.

Article 17. The Chairpersons of People's Committees of provinces and centrally governed cities managing registration and inspection units, the Director of the Vietnam Registration and Inspection Agency, the Directors of Departments of Transport (DTTC), the General Director of the Vietnam Railway Association, and relevant agencies shall be responsible for disseminating this Regulation to subordinate units for implementation.

In the course of implementation, if encountering difficulties, relevant agencies and units shall report in writing to the Ministry of Transport for consideration and appropriate supplementation or amendment.