Decree No. 50/2016/ND-CP on administrative sanctions for violations in the planning and investment sector

DECREE

Provisions on Administrative Sanctions for Administrative Violations in the Planning and Investment Sector

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Pursuant to the Law on Government Organization dated June 19, 2015;

Based on the Administrative Violation Handling Law dated June 20, 2012;

Pursuant to the Law on Public Investment dated June 18, 2014;

Based on the Enterprise Law dated November 26, 2014;

Pursuant to the Investment Law dated November 26, 2014;

Pursuant to the Law on Procurement dated November 26, 2013;

Pursuant to the Construction Law dated June 18, 2014;

Pursuant to the Law on Cooperatives dated November 20, 2012;

At the proposal of the Minister of Planning and Investment,

The Government issues this Decree to provide provisions on administrative sanctions for administrative violations in the planning and investment sector.

 

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Decree provides for acts of administrative violation, forms of administrative sanction, fines, measures to remedy consequences, authority to issue administrative violation notices, and authority to impose administrative sanctions in the planning and investment sector.

2. Acts of administrative violation in the planning and investment sector as stipulated in this Decree include the following acts:

a) Violating regulations in the management and use of public investment capital;

b) Violating regulations in investment activities within Vietnam and overseas investments;

c) Violating regulations in tender management;

d) Violating regulations in business registration for enterprises, individual households, cooperatives, and cooperative unions.

3. Other acts of administrative violation related to the planning and investment sector that are not provided for in this Decree shall be subject to provisions in other Decrees of the Government on administrative sanctions in sectors under state administration that are relevant.

Article 2. Subjects Subject to Sanction

The subjects to which this Decree applies include organizations and individuals, both domestic and foreign, who commit acts of administrative violation in the planning and investment sector.

Article 3. Forms of Administrative Sanction and Measures to Remedy Consequences

1. For each act of administrative violation, the violating organization or individual must bear one of the following main forms of administrative sanction:

a) To issue warnings;

b) Fine.

2. Depending on the nature and degree of the violation, the violating organization or individual may also be subject to one or more specific measures to remedy consequences as provided for in the Articles of Chapter II of this Decree.

Article 4. Fine Amounts in the Planning and Investment Sector

The fine amount for acts of administrative violation stipulated in Chapter II of this Decree is applicable to organizations, except for the acts stipulated in Article 41, Article 42, Article 43, and Article 44 of this Decree, which are applicable to individuals. For the same act of violation, the fine amount for individuals is half (one-half) of the fine amount for organizations.

 

Chapter II

ACTS OF ADMINISTRATIVE VIOLATION, FORMS OF ADMINISTRATIVE SANCTION AND

MEASURES TO REMEDY CONSEQUENCES

Section 1

ACTS OF ADMINISTRATIVE VIOLATION IN THE MANAGEMENT AND

USE OF PUBLIC INVESTMENT CAPITAL, FORMS OF ADMINISTRATIVE SANCTION AND

MEASURES TO REMEDY CONSEQUENCES

 

Article 5. Violation of Regulations on Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies

1. A fine of from VND 1,000,000 to VND 5,000,000 for one of the following acts:

a) Not complying with procedures and requirements for preparing and reviewing Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies;

b) Not complying with procedures, requirements, and conditions for adjusting programs and projects.

2. A fine of from VND 5,000,000 to VND 10,000,000 for one of the following acts:

a) Preparing budgets, settling accounts, and finalizing costs for preparing Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies not in accordance with unit prices and norms;

b) Preparing Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies not in compliance with national standards and technical regulations;

c) Preparing Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies lacking necessary contents.

3. A fine of from VND 10,000,000 to VND 15,000,000 for one of the following acts:

a) Preparing Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies not included in the plan or not supplemented in the plan by competent authorities;

b) Preparing Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies not in accordance with approved plans.

4. Measures to remedy consequences:

a) Compel the return of additional expenses incurred due to incorrect budget preparation, acceptance, settlement, and finalization of costs for preparing Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies as stipulated in Point a Clause 2 of this Article;

b) Compel adjustment of Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies to comply with national standards and technical regulations as stipulated in Point b Clause 2 of this Article;

c) Compel supplementation of missing contents as stipulated in Point c Clause 2 of this Article;

d) Compel adjustment of Proposing Investment Policy Statements, Preliminary Feasibility Studies, and Detailed Feasibility Studies to comply with approved plans as stipulated in Point b Clause 3 of this Article.

Article 6. Violations concerning reporting and providing information in public investment activities

1. A fine of VND 2,000,000 to VND 5,000,000 shall be imposed on the act of not reporting the implementation status of programs and projects.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on the act of providing incomplete or inaccurate information and documents related to the design of programs and projects.

3. A fine of from VND 10,000,000 to VND 15,000,000 for one of the following acts:

a) Intentionally reporting or providing untruthful and non-objective information affecting the establishment, review, and decision-making of plans, programs, and projects;

b) Intentionally reporting or providing untruthful and non-objective information affecting the monitoring, evaluation, inspection, audit, and handling of violations in the implementation of plans, programs, and projects.

4. A fine of VND 15,000,000 to VND 20,000,000 shall be imposed on the act of intentionally destroying, deceiving, concealing, or retaining insufficiently complete documents, vouchers, and files related to the investment policy decision, investment decision, and implementation of programs and projects.

Article 7. Violations concerning monitoring, evaluating, and inspecting public investment plans and projects

1. A fine of VND 2,000,000 to VND 5,000,000 shall be imposed on the act of establishing monitoring, inspection, and evaluation reports for plans and projects that are untruthful and non-objective.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on any of the following acts:

a) Not organizing the monitoring and inspection of plans and projects;

b) Not organizing initial, mid-term, and final evaluations of programs and projects.

Article 8. Violations regarding the use of public investment capital

1. A fine of VND 10,000,000 to VND 20,000,000 shall be imposed on the act of using public investment capital for purposes other than those approved, for ineligible recipients, or exceeding approved standards and norms.

2. Measures to remedy consequences: Compel the recovery of public investment capital to the State budget for violations stipulated in Clause 1 of this Article.

Article 9. Administrative violations in the field of investment using public investment capital with construction components

Acts of administrative violation in the field of investment using public investment capital with construction components concerning survey, design, construction supervision, construction works, quality management, acceptance, payment, and settlement of investment projects shall be subject to penalties according to the Government's regulations on administrative penalties in construction activities by the competent authority authorized to impose administrative penalties under this Decree.

Article 10. Violations concerning supervisory and evaluation reports on investment

1. A fine of VND 1,000,000 to VND 2,000,000 shall be imposed on any of the following acts:

a) Establishing supervisory and evaluation reports on investment beyond the deadline;

b) Establishing supervisory and evaluation reports on investment with incomplete contents.

2. A fine of VND 2,000,000 to VND 5,000,000 shall be imposed on any of the following acts:

a) Not establishing supervisory and evaluation reports on investment to submit to the competent state agency;

b) Establishing untruthful supervisory and evaluation reports on investment.

3. Measures to remedy consequences:

a) Compel the supplementation of missing contents in the supervisory and evaluation reports on investment for violations stipulated in Point b Clause 1 of this Article;

b) Compel the submission of supervisory and evaluation reports on investment to the competent state agency for violations stipulated in Point a Clause 2 of this Article.

Article 11. Violations concerning the management and implementation of programs and projects using Official Development Assistance (ODA) funds

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Failure to organize supervision and evaluation of the program or project implementation process;

b) Implementation of the program or project behind schedule without objective reasons or force majeure events.

2. A fine of from twenty million to thirty million Vietnamese dong shall be imposed for the act of implementing the program or project not in accordance with the contents specified in the investment decision or the approval decision on the program or project technical assistance documentation.

3. Remedial measures: Compel the organization of supervision and evaluation of the program or project for violations stipulated in Point a Clause 1 of this Article.

Article 12. Violations concerning reporting and information provision systems for ODA programs and projects

1. A fine of from one million to two million Vietnamese dong shall be imposed for the act of failing to comply with the reporting system on the results of the implementation of ODA programs and projects to the competent authority.

2. A fine of from five million to ten million Vietnamese dong shall be imposed for the act of providing inaccurate information and documents to contractual parties, consultants, and implementers of ODA programs and projects.

3. Measures to remedy consequences:

a) Compel the submission of a report to the competent state management agency in accordance with the provisions of the law for violations stipulated in Clause 1 of this Article;

b) Compel the provision of accurate information and documents to contractual parties, consultants, and implementers of the program or project for violations stipulated in Clause 2 of this Article.

Section 2

ADMINISTRATIVE VIOLATIONS IN INVESTMENT ACTIVITIES IN VIETNAM AND FOREIGN INVESTMENT

FORMS OF PENALTIES AND REMEDIAL MEASURES FOR CONSEQUENCES

FORMS OF FINES AND MEASURES TO MITIGATE CONSEQUENCES

Article 13. Violations concerning investment activities in Vietnam

1. A fine of from one million to five million Vietnamese dong shall be imposed for the act of failing to report to the investment registration agency before commencing the implementation of the investment project for projects not requiring an Investment Registration Certificate.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on any of the following acts:

a) Failure to report on investment activities, monitoring, and evaluating the investment project;

b) Providing false reports on investment activities;

c) Engaging in business operations in industries or professions subject to conditions but not meeting the prescribed conditions under the Law on Investment;

d) Establishing an office of a foreign investor in a joint venture contract (BCC contract) without registering with the investment registration agency where the office is located;

đ) Ceasing operations of a foreign investor's office in a BCC contract without notifying the investment registration agency where the office is located.

3. A fine of from ten million to twenty million Vietnamese dong shall be imposed for the act of preparing false and inaccurate project investment files to obtain an Investment Certificate, Investment Registration Certificate, or Investment Decision.

4. A fine of from twenty million to thirty million Vietnamese dong shall be imposed for any of the following acts:

a) Failure to complete the procedures for capital contribution, share purchase, or equity participation in an economic organization;

b) Failure to complete the procedures for adjusting the investment project;

c) Delaying the progress of the project implementation or investment without submitting a written proposal to the investment registration agency or having submitted a notification but not receiving written approval from the investment registration agency;

d) Temporarily suspending the operation of the investment project without submitting a written notice to the investment registration agency or having submitted a notification but not receiving written approval from the investment registration agency;

đ) Failure to complete the procedures for terminating the operation of the investment project or liquidating the project.

5. A fine of from thirty million to forty million Vietnamese dong shall be imposed for any of the following acts:

a) Failure to conduct investment activities in accordance with the contents specified in the investment registration file (for cases not requiring an Investment Registration Certificate) or the Investment Certificate, Investment Registration Certificate, or Investment Decision;

b) Failure to meet the conditions for investment through capital contribution, share purchase, or equity participation by foreign investors;

c) Failure to fully meet the conditions when transferring the investment project;

d) Engaging in business operations in industries or professions prohibited from investment according to the Law on Investment.

6. A fine of from forty million to sixty million Vietnamese dong shall be imposed for any of the following acts:

a) Failure to complete the required investment procedures and formalities;

b) Continuing to implement the project after being decided by the investment registration agency to suspend operations;

c) Continuing to implement the project after ceasing operations without approval from the investment registration agency;

d) Not commencing the investment project within twelve months without approval from the investment registration agency.

7. A fine of from sixty million to eighty million Vietnamese dong shall be imposed for the act of implementing the project before obtaining an Investment Certificate, Investment Registration Certificate, or Investment Decision.

8. Measures to remedy consequences:

a) Compel the registration of establishing a foreign investor's office in a BCC contract for violations stipulated in Point d Clause 2 of this Article;

b) Compel notification to the investment registration agency for violations stipulated in Point đ Clause 2 of this Article.

Article 14. Violations concerning the use of state capital for investment and business activities

1. A fine of VND 30,000,000 to VND 50,000,000 shall be imposed on any of the following acts:

a) Using state capital for investment, contribution, or purchase of shares without approval from the competent authority;

b) Changing an investment project using state capital without approval from the competent state authority.

2. A fine of VND 50,000,000 to VND 70,000,000 shall be imposed on the act of investing or conducting business using state capital for purposes other than those intended.

Article 15. Violations concerning overseas investment activities

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Failure to implement the reporting system for overseas investment activities;

b) Failure to notify or provide incomplete notification regarding the implementation of an overseas investment project.

2. A fine of VND 20,000,000 to VND 30,000,000 shall be imposed on any of the following acts:

a) Failure to comply with the contents recorded in the Certificate of Registration for Overseas Investment;

b) Failure to transfer profits and income derived from overseas investments back to Vietnam;

c) Failure to repatriate legitimate capital and assets when the project ends.

3. A fine of VND 30,000,000 to VND 40,000,000 shall be imposed on any of the following acts:

a) Preparing inaccurate or dishonest documents to obtain a Certificate of Registration for Overseas Investment;

b) Failure to complete the procedures to amend the Certificate of Registration for Overseas Investment when there is a change in the content of the overseas investment project;

c) Failure to complete the procedures to amend the Certificate of Registration for Investment when using profits obtained from overseas investments to increase capital or expand overseas investment activities;

d) Using profits from overseas investment projects to fund other overseas investment projects without completing the procedures to obtain a Certificate of Registration for Overseas Investment for such projects.

4. A fine of VND 50,000,000 to VND 60,000,000 shall be imposed on any of the following acts:

a) Investing overseas without approval from the competent authority;

b) Transferring investment capital overseas without meeting the prescribed conditions;

c) Using state capital for overseas investment contrary to regulations.

5. Measures to remedy consequences:

a) Order to submit investment reports as required for violations under Point a Clause 1 of this Article;

b) Order to comply with the contents of the Certificate of Registration for Investment for violations under Point a Clause 2 of this Article;

c) Order to complete the procedures to amend the Certificate of Registration for Investment for violations under Points b and c Clause 3 of this Article;

d) Order to complete investment procedures for violations under Point d Clause 3 of this Article.

Article 16. Violations concerning investment incentives

1. A fine of VND 10,000,000 to VND 15,000,000 shall be imposed on the act of failing to report to the competent state authority when not meeting the conditions committed to in order to enjoy investment incentives. In cases where false declarations are made to enjoy investment incentives and violate tax laws, administrative penalties in the field of taxation shall be applied.

2. A fine of VND 15,000,000 to VND 20,000,000 shall be imposed on the act of making inaccurate or dishonest declarations of necessary information to enjoy investment incentives.

3. Measures to remedy consequences: Order to return improperly enjoyed investment incentives for violations under Clause 1 and Clause 2 of this Article.

Article 17. Violations concerning investment under the public-private partnership (PPP) model

1. A fine of from VND 10,000,000 to VND 15,000,000 shall be imposed for the act of not adjusting feasibility study reports in the following cases:

a) The project is affected by natural disasters or other force majeure events;

b) New factors emerge that bring higher efficiency to the project;

c) Changes in planning that directly affect the project's objectives, location, and scale.

d) The project fails to attract investors' interest after market research, preliminary selection, or bidding to select investors has been conducted;

đ) Other cases as decided by the Prime Minister.

2. A fine of VND 15,000,000 to VND 20,000,000 shall be imposed for one of the following acts:

a) Not deciding on the policy to use state capital to participate in implementing the project before approving the project proposal;

b) Not determining the value of state capital participating in the implementation of the project before approving the feasibility study report or the project proposal of projects using state capital (for group C projects);

3. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed for any of the following acts:

a) Not implementing measures to ensure the performance of the contract;

b) Not issuing regulations on selecting contractors to apply uniformly during the project implementation process;

c) Not meeting all conditions to implement the project;

d) Not finalizing the settlement of construction investment funds.

4. A fine of from VND 30,000,000 to VND 40,000,000 shall be imposed for any of the following acts:

a) Not complying with the conditions and procedures for transferring the project works;

b) Not meeting the conditions to implement the project.

5. Measures to remedy consequences: Compel the implementation of measures to ensure the performance of the project contract for violations stipulated at Point a Clause 3 of this Article.

Section 3

ADMINISTRATIVE VIOLATIONS

IN THE FIELD OF BIDDING MANAGEMENT,

FORMS OF FINES AND MEASURES TO MITIGATE CONSEQUENCES

Article 18. Violations of provisions on the plan for selecting contractors and investors

1. A fine of from VND 10,000,000 to VND 15,000,000 shall be imposed for any of the following acts:

a) Not conducting preliminary selection before preparing the plan for selecting investors;

b) Not following the correct procedures, formalities, and authority during the process of preparing, reviewing, and approving the plan for selecting contractors and investors;

c) Not reviewing the plan for selecting contractors and investors before approval.

2. A fine of from VND 15,000,000 to VND 20,000,000 shall be imposed for the act of organizing the review and approval of the results of selecting contractors and investors when the plan for selecting contractors and investors has not yet been approved.

3. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed for the act of dividing the scale of tender packages that do not meet the requirements of technical nature, implementation sequence, and project integration, leading to reduced competition in bidding.

Article 19. Violations of provisions on tender invitation documents, prequalification documents, tender documents, and request for proposal documents

1. A fine of from VND 5,000,000 to VND 10,000,000 shall be imposed for the act of not preparing request for proposal documents for urgent and emergency works.

2. A fine of from VND 10,000,000 to VND 15,000,000 shall be imposed for any of the following acts:

a) Not organizing the review of tender invitation documents, prequalification documents, tender documents, and request for proposal documents before approval;

b) Preparing, reviewing, and approving tender invitation documents, prequalification documents, tender documents, and request for proposal documents beyond the authorized scope.

3. A fine of from VND 15,000,000 to VND 20,000,000 shall be imposed for any of the following acts:

a) Preparing, reviewing, and approving tender invitation documents, prequalification documents, tender documents, and request for proposal documents in contractor selection that are inconsistent with the eligibility criteria of contractors, bidding preferences, domestic labor usage, domestic goods usage, and evaluation criteria for proposals;

b) Preparing, reviewing, and approving tender invitation documents, prequalification documents, tender documents, and request for proposal documents in investor selection that are inconsistent with the eligibility criteria of investors and investor selection preferences;

c) Stating conditions that limit the participation of contractors or create advantages for one or several contractors, causing unfair competition;

d) Stating evaluation criteria for tender invitation documents, prequalification documents, tender documents, and request for proposal documents that are inconsistent with the scale and technical nature of the tender package.

4. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed for the act of approving tender documents and request for proposal documents that are inconsistent with the approved plan for selecting contractors and investors.

Article 20. Violations of provisions on organizing the selection of contractors, investors, and evaluating expressions of interest, application forms, tender documents, and proposal documents.

1. A fine of from VND 1,000,000 to VND 5,000,000 for one of the following acts:

a) Not stating, stating incompletely, or inaccurately the address for issuing the notice of invitation to express interest, prequalification notice, tender notice, request for proposal in the announcement of invitation to express interest, prequalification announcement, invitation to bid announcement, tender announcement, or tender invitation letter;

b) Amending or clarifying tender documents or request for proposal documents without being requested;

c) Not accepting expressions of interest, application forms, tender documents, or proposal documents from contractors or investors.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed for the act of not issuing notices of invitation to express interest, invitations to tender, requests for proposal, or prequalification invitations to contractors or investors according to the time and place stated in the announcement of invitation to express interest, tender announcement, or invitation to bid announcement.

3. A fine of from VND 10,000,000 to VND 15,000,000 for one of the following acts:

a) Not opening tenders at the time specified in the tender documents, tender announcement, or invitation to bid announcement;

b) Not sending the minutes of the tender opening to the contractor;

c) Not evaluating expressions of interest, application forms, tender documents, or proposal documents from contractors or investors;

d) Not announcing the results of the selection of contractors or investors.

4. A fine of VND 15,000,000 to VND 20,000,000 shall be imposed for any of the following acts:

a) Submitting, reviewing, approving, and publicly disclosing shortlists, selection results of contractors or investors with incomplete content, inaccuracies, or beyond authority;

b) Not organizing reviews of shortlists, lists of contractors, or lists of investors meeting technical requirements in cases where the two-envelope system is applied;

c) Not organizing reviews of the selection results of contractors or investors before approval;

d) Submitting, reviewing, and approving selection results of contractors or investors that do not comply with the procurement plan for contractors or investors;

đ) Evaluating tender documents or proposal documents of contractors or investors based on evaluation criteria approved in the tender documents or request for proposal but not changing the selection results of contractors or investors.

5. A fine of from thirty million to forty million Vietnamese dong shall be imposed for any of the following acts:

a) Evaluating tender documents or proposal documents of contractors or investors based on evaluation criteria approved in the tender documents or request for proposal leading to changes in the selection results of contractors or investors;

b) Allowing contractors to clarify tender documents leading to changes in the nature of the participating contractor.

Article 21. Violations of provisions on contract negotiation in the selection of contractors and preliminary contract negotiations in the selection of investors. 1. A fine of VND 10,000,000 to VND 15,000,000 shall be imposed for the act of not conducting contract negotiations in the selection of contractors or preliminary contract negotiations in the selection of investors.

2. A fine of VND 15,000,000 to VND 20,000,000 shall be imposed for the act of signing contracts before approving the selection results of contractors or investors.

Article 22. Violations of provisions on publishing information in bidding.

1. Warning or a fine of VND 500,000 to VND 1,000,000 shall be imposed for the act of publishing the procurement plan for contractors or investors later than prescribed but before the announcement of invitation to tender or sending the tender invitation letter for the first package or project under the procurement plan for contractors or investors.

2. A fine of VND 1,000,000 to VND 5,000,000 shall be imposed for any of the following acts:

a) Publishing the procurement plan for contractors or investors after the announcement of invitation to tender or sending the tender invitation letter for the first package or project under the procurement plan for contractors or investors;

b) Publishing bidding information with incomplete content or beyond authority.

3. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed for the act of not publishing bidding information.

3. A fine of from five million dong to ten million dong shall be imposed for the act of not publishing information on bidding.

Article 23. Other administrative violations in bidding

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Failure to return or release bid security for contractors or investors;

b) Establishing a Bid Evaluation Committee with members not meeting prescribed standards and conditions;

c) Failure to retain or retain inadequately bidding files and documents during the selection process for contractors or investors.

2. A fine of from VND 10,000,000 to VND 15,000,000 shall be imposed for any of the following acts:

a) Participating in bidding activities as an individual without meeting the required conditions;

b) Preparing false or inaccurate prequalification documents, expressions of interest, or bidding documents.

3. Measures to remedy consequences: Return or release bid security for contractors or investors as prescribed for violations under Point a Clause 1 of this Article.

Section 4

ADMINISTRATIVE VIOLATIONS IN THE FIELD OF

BUSINESS REGISTRATION FOR COMPANIES,

INDIVIDUAL BUSINESS HOUSES, COOPERATIVES, AND ASSOCIATIONS OF COOPERATIVES,

FORMS OF FINES AND MEASURES TO MITIGATE CONSEQUENCES

Article 24. Violations concerning the declaration of business registration documents

1. A fine of from VND 10,000,000 to VND 15,000,000 for declaring false or inaccurate contents in business registration documents.

2. Measures to remedy consequences: Compel to re-register changes and re-announce the inaccurate information declared in business registration documents.

Article 25. Violations concerning the deadline for registering changes to business registration certificates

1. A fine of from VND 1,000,000 to VND 5,000,000 for registering changes to business registration certificates, branch operation certificates, representative office registration certificates, or business location registration certificates beyond the prescribed period from one to thirty days.

2. A fine of from VND 5,000,000 to VND 10,000,000 for registering changes to business registration certificates, branch operation certificates, representative office registration certificates, or business location registration certificates beyond the prescribed period from thirty-one to ninety days.

3. A fine of from VND 10,000,000 to VND 15,000,000 for registering changes to business registration certificates, branch operation certificates, representative office registration certificates, or business location registration certificates beyond the prescribed period of ninety days or more.

4. Measures to remedy consequences: Compel to register changes to business registration certificates according to regulations for violations under Clause 1, Clause 2, and Clause 3 of this Article.

Article 26. Violations concerning the publication of business registration contents

1. A fine of from VND 1,000,000 to VND 2,000,000 for failing to publish or publishing out of the prescribed time the contents of business registration on the National Portal for Business Registration.

2. Measures to remedy consequences: Compel to publish the contents of business registration on the National Portal for Business Registration for violations under Clause 1 of this Article.

Article 27. Violations concerning the publication of state-owned enterprise information

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Publishing incomplete or inaccurate state-owned enterprise information;

b) Having more than one legal representative but failing to notify the state owner's representative agency and the Ministry of Planning and Investment or failing to disclose such information on the enterprise’s website or portal;

c) Publishing information through an authorized person but failing to send the authorization notice to the state owner's representative agency and the Ministry of Planning and Investment;

d) Failing to submit a report explaining changes to published information to the state owner's representative agency;

đ) Temporarily suspending the publication of information without reporting the reasons for the suspension or failing to notify the state owner's representative agency of the request to suspend publication;

2. A fine of from VND 10,000,000 to VND 15,000,000 shall be imposed for any of the following acts:

a) Failing to regularly publish information;

b) Failing to publish the enterprise development strategy on the enterprise’s electronic portal and send it to the Ministry of Planning and Investment for publication;

c) Failing to publish the annual production and business plan and investment development plan for five years that have been approved;

d) Failing to prepare a report on the implementation of public service tasks and social responsibility (if applicable);

đ) Failing to publish the annual restructuring and modernization situation of the enterprise, the current management structure and organizational structure report, the financial report of the enterprise, and the wage and bonus system of the enterprise.

3. Measures to remedy consequences:

a) Compel to supplement or amend the published information for violations under Point a Clause 1 of this Article;

b) Compel to report, announce, or disclose information as prescribed for violations under Points b, c, d, and đ Clause 1 of this Article;

c) Compel to publish information as prescribed for violations under Clause 2 of this Article.

Article 28. Violation of provisions on establishment of enterprises

1. A fine of VND 2,000,000 to VND 5,000,000 shall be imposed for the act of not converting the enterprise form when the company no longer has the minimum number of shareholders or shareholders as prescribed within a continuous period of six months.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed for the act of operating after the expiration of the term specified in the Articles of Association without extension.

3. A fine of VND 10,000,000 to VND 20,000,000 shall be imposed for the act of not registering changes with the business registration agency when the subscribed capital is not fully contributed as registered.

4. A fine of from twenty million to thirty million Vietnamese dong shall be imposed for any of the following acts:

a) Intentionally valuing contributed assets at a price that does not reflect their actual value;

b) Continuing to operate after the business registration certificate has been revoked;

c) Operating under the form of an enterprise without registering the establishment of an enterprise.

5. Measures to remedy consequences:

a) Order to register conversion to an appropriate enterprise form in accordance with the Enterprise Law for the violation stipulated in Clause 1 of this Article;

b) Order to amend and supplement the Articles of Association or register dissolution for the violation stipulated in Clause 2 of this Article;

c) Order to register adjustment of the charter capital, contribution ratio, and shares of members or shareholders according to the amount of capital contributed for the violation stipulated in Clause 3 of this Article;

d) Order to revalue contributed assets and register the charter capital in accordance with the actual value of the contributed assets for the violation stipulated in Point a, Clause 4 of this Article;

đ) Order to register the establishment of an enterprise for the violation stipulated in Point c, Clause 4 of this Article.

Article 29. Violation of provisions on registration of founders of enterprises

1. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed for any of the following acts:

a) Registering the establishment of an enterprise despite not having the right to establish an enterprise under the law;

b) Contributing capital, purchasing shares, or participating in capital contributions without the right to do so.

2. Measures to remedy consequences:

a) Order to register change of members or shareholders for a single-member limited liability company owned by an organization, joint-stock company, and partnership for the violation stipulated in Point a, Clause 1 of this Article.

b) Order to change members for organizations or individuals contributing capital, purchasing shares, or participating in capital contributions as prescribed for the violation stipulated in Point b, Clause 1 of this Article.

Article 30. Violation of provisions on reporting system and compliance with requirements of the business registration agency

1. A fine of from VND 1,000,000 to VND 5,000,000 for one of the following acts:

a) Failure to report or reporting beyond the deadline when requested by the business registration agency;

b) Failure to report or reporting beyond the deadline to the business registration agency where the enterprise's headquarters is located regarding changes in board of directors' members (for joint-stock companies), supervisory board members or supervisors, general managers or managing directors.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on any of the following acts:

a) Continuing to operate in conditional business sectors when temporarily suspended by the business registration agency;

b) Failure to register change of enterprise name as required by the business registration agency in cases where the enterprise name infringes upon industrial property rights.

3. Measures to remedy consequences:

a) Order to submit reports to the business registration agency as prescribed for the violation stipulated in Clause 1 of this Article;

b) Order to change the enterprise name or remove the infringing element from the enterprise name for the violation stipulated in Point b, Clause 2 of this Article.

Article 31. Violation of provisions on notification of changes to business registration content

1. Warning or a fine of VND 500,000 to VND 1,000,000 for the act of notifying changes to business registration content beyond the prescribed time limit from 01 to 30 days.

2. A fine of VND 1,000,000 to VND 2,000,000 for the act of notifying changes to business registration content beyond the prescribed time limit from 31 to 90 days.

3. A fine of VND 2,000,000 to VND 5,000,000 for the act of notifying changes to business registration content beyond the prescribed time limit of 91 days or more.

4. Measures to remedy consequences: Compel the notification to the provincial Business Registration Office of the contents as prescribed for violations under Clause 1, Clause 2, and Clause 3 of this Article.

Article 32. Violations of other notification obligations

1. A fine of VND 1,000,000 to VND 2,000,000 shall be imposed on any of the following acts:

a) Failure to notify or notifying out of the prescribed time limit to the business registration authority and tax authority regarding the leasing of the business for a sole proprietorship.

b) Failure to notify or notifying out of the prescribed time limit to the business registration authority regarding the offer of individual shares for a joint-stock company that is not a publicly traded company.

c) Failure to notify the business registration authority regarding changes in information about founding shareholders or foreign investors for a joint-stock company that has not been listed.

d) Failure to notify or notifying out of the prescribed time limit to the business registration authority regarding the date and period of suspension or resumption of business operations.

e) Failure to notify or notifying out of the prescribed time limit to the business registration authority at the main office location regarding the presence or change of information about the name, nationality, passport number, permanent address, number and type of shares of individual foreign shareholders; the name, business code, main office address, number and type of shares, and the name, nationality, passport number, and permanent address of the authorized representative of foreign organizational shareholders for a joint-stock company that is not listed.

2. A fine of VND 2,000,000 to VND 3,000,000 for any of the following acts:

a) Registering temporary cessation of business but failing to notify the suspension of branch, representative office, or business location activities.

b) Using, changing, canceling, or altering the quantity of seals of the enterprise, branch, or representative office without notifying the business registration authority to publish on the National Portal for Enterprise Registration.

3. Measures to remedy consequences:

a) Compel the notification to the business registration authority and tax authority of the contents as prescribed for the violation under Point a Clause 1 of this Article.

b) Compel the notification to the business registration authority of the contents as prescribed for the violations under Points b, c, d, e Clause 1 and Clause 2 of this Article.

Article 33. Violation of provisions on the legal representative of the enterprise

1. A fine of VND 10,000,000 to VND 15,000,000 for any of the following acts:

a) Not having a legal representative residing in Vietnam.

b) Not authorizing another person in writing to act as a representative when the sole legal representative of the enterprise leaves Vietnam.

c) Authorizing a person who does not meet the required qualifications and conditions to be a representative.

2. Measures to remedy consequences:

a) Compel the registration of a resident in Vietnam as the legal representative of the enterprise for the violation prescribed in Point a Clause 1 of this Article.

b) Compel the authorization of another person to act as a representative for the violation prescribed in Point b Clause 1 of this Article.

c) Compel the change of the representative to one who meets the required qualifications and conditions for the violation prescribed in Point c Clause 1 of this Article.

Article 34. Other violations related to organizing and managing enterprises

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Failing to convene the annual General Meeting of Shareholders within the prescribed time limit;

b) Appointing persons who are not entitled to manage the enterprise to hold management positions;

c) Appointing persons who do not meet the required qualifications and conditions as the Director (General Director);

2. A fine of from VND 10,000,000 to VND 15,000,000 shall be imposed for any of the following acts:

a) Failing to issue certificates of capital contribution to company members;

b) Failing to establish member registration books and shareholder registration books;

c) Failing to display the name of the enterprise at its main office, branches, and representative offices; failing to write or display the names of branches, representative offices, and business locations at their respective premises;

d) Failing to retain documents at the main office or other locations specified in the Company Charter;

3. Measures to remedy consequences:

a) Compel the convening of the annual General Meeting of Shareholders in accordance with the provisions set forth in Point a, Clause 1 of this Article for the violation of the provisions set forth in Point a, Clause 1 of this Article;

b) Compel the removal from management positions of persons who are not entitled to manage the enterprise for the violation of the provisions set forth in Point b, Clause 1 of this Article;

c) Compel the removal from the position of Director (General Director) of joint-stock companies for persons who do not meet the required qualifications and conditions for the violation of the provisions set forth in Point c, Clause 1 of this Article;

d) Compel the issuance of certificates of capital contribution to members in accordance with the provisions set forth in Point a, Clause 2 of this Article for the violation of the provisions set forth in Point a, Clause 2 of this Article;

đ) Compel the establishment of member registration books and shareholder registration books in accordance with the provisions set forth in Point b, Clause 2 of this Article for the violation of the provisions set forth in Point b, Clause 2 of this Article;

e) Compel the display of the name of the enterprise at its main office, branches, and representative offices, and writing or displaying the names of branches, representative offices, and business locations for the violation of the provisions set forth in Point c, Clause 2 of this Article;

g) Compel the retention of documents in accordance with the provisions set forth in Point d, Clause 2 of this Article for the violation of the provisions set forth in Point d, Clause 2 of this Article;

Article 35. Violations concerning the Supervisory Board

1. Imposing a fine of VND 2,000,000 to VND 5,000,000 for the act of organizing the Supervisory Board incorrectly or incompletely in terms of composition as prescribed;

2. Imposing a fine of VND 5,000,000 to VND 10,000,000 for any of the following acts:

a) Failing to establish the Supervisory Board when it is required to be established;

b) Appointing persons who do not meet the required qualifications and conditions as Supervisors;

3. Measures to rectify consequences:

a) Compel the reorganization of the Supervisory Board in accordance with the provisions of the law for the violation of the provisions set forth in Clause 1 of this Article;

b) Compel the establishment of the Supervisory Board in accordance with the provisions of the law for the violation of the provisions set forth in Point a, Clause 2 of this Article;

c) Compel the removal of Supervisors who do not meet the required qualifications and conditions for the violation of the provisions set forth in Point b, Clause 2 of this Article;

Article 36. Violations concerning the dissolution of enterprises

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Failing to carry out the dissolution procedures for enterprises that are required to be dissolved;

b) Failing to send or sending beyond the prescribed time limit the decision on dissolution and minutes of the meeting to the business registration authority, tax authority, and employees;

2. Measures to remedy consequences:

a) Compel the carrying out of the dissolution procedures for enterprises in accordance with the provisions of the law for the violation of the provisions set forth in Point a, Clause 1 of this Article;

b) Compel the sending of the decision on dissolution and minutes of the meeting to the business registration authority, tax authority, and employees for the violation of the provisions set forth in Point b, Clause 1 of this Article.

Article 37. Violation of provisions on establishment and termination of branch offices, representative offices, and business locations of enterprises

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Conducting business at a location without notifying the Provincial Business Registration Office where the enterprise carries out its business activities;

b) Terminating the operation of a branch office, representative office, or business location without notifying the Provincial Business Registration Office.

2. Measures to remedy consequences: Compel notification of the business location to the Provincial Business Registration Office for violations stipulated in Point a Clause 1 of this Article.

Article 38. Violation of provisions on sole proprietorship enterprises

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Contributing capital to establish or purchase shares or equity interests in a general partnership, limited liability company, or joint-stock company;

b) Failing to record fully increases or decreases in investment capital; all capital and assets including borrowed capital and leased assets used in the enterprise's business operations in the accounting books and financial reports of the enterprise.

2. Compel recording of full information in the accounting books and financial reports for violations stipulated in Point b Clause 1 of this Article.

Article 39. Violation of provisions applicable to enterprises organized under the parent-subsidiary model

1. Fine from VND 15,000,000 to VND 20,000,000 for one of the following acts:

a) A subsidiary investing capital or purchasing shares of the parent company;

b) Subsidiaries of the same parent company jointly contributing capital or purchasing shares to cross-hold each other;

c) Subsidiaries with the same parent company, which is a state-owned enterprise holding at least 65% of state capital, jointly contributing capital to establish another enterprise.

2. Measures to remedy consequences:

a) Compel divestment of capital or withdrawal of shares from the parent company or another subsidiary for violations stipulated in Points a and b Clause 1 of this Article;

b) Compel divestment of capital from the established enterprise for violations stipulated in Point c Clause 1 of this Article.

Article 40. Violation of provisions applicable to social enterprises

1. Fine from VND 15,000,000 to VND 20,000,000 for one of the following acts:

a) Using less than 51% of annual total profits for reinvestment to achieve social and environmental goals as registered;

b) Misusing funds raised through donations.

2. Measures to remedy consequences:

a) Compel replenishment of sufficient capital for reinvestment to achieve social and environmental goals as registered for violations stipulated in Point a Clause 1 of this Article;

b) Compel repayment of funds misused for violations stipulated in Point b Clause 1 of this Article.

Article 41. Violation of business registration provisions for individual households

1. Fine from VND 3,000,000 to VND 5,000,000 for one of the following acts:

a) Registering more than one individual household;

b) Failing to report business conditions as required by the District Business Registration Office;

c) Regularly employing ten or more workers;

d) Individual households engaged in itinerant trade or mobile business operating outside the registered location with the District Business Registration Office but failing to notify the tax authority and market management agency where the headquarters and business operations are conducted;

đ) Establishing an individual household by persons not entitled to do so;

e) Failing to register establishment of an individual household in cases requiring registration according to regulations.

2. Fine from VND 5,000,000 to VND 7,000,000 for false or inaccurate declaration of individual household registration documents or changes to such documents.

3. Measures to remedy consequences:

a) Compel cessation of other individual households and only allow registration of one single individual household for violations stipulated in Point a Clause 1 of this Article;

b) Compel registration of establishment of an enterprise for violations stipulated in Point c Clause 1 of this Article;

c) Compel notification to the tax authority and market management agency as prescribed for violations stipulated in Point d Clause 1 of this Article;

d) Compel registration of establishment of an individual household for violations stipulated in Point e Clause 1 of this Article;

đ) Compel resubmission for violations stipulated in Clause 2 of this Article.

Article 42. Violations concerning the suspension of business operations by individual households

1. Warning or a fine from VND 500,000 to VND 1,000,000 for the act of suspending business operations without notifying or failing to notify in writing within the prescribed time limit the registration authority at the district level where the individual household has registered.

2. A fine from VND 1,000,000 to VND 2,000,000 for one of the following acts:

a) Not conducting business activities for a period of six months from the date of issuance of the Business Registration Certificate;

b) Ceasing business operations continuously for more than six months without notifying the registration authority at the district level.

3. Remedial measures: Compel the submission of a notification to the registration authority at the district level for violations stipulated in Clause 1 of this Article.

Article 43. Violations concerning the registration of changes to the business registration content of individual households and compliance with requirements of the registration authority at the district level

1. Warning or a fine from VND 500,000 to VND 1,000,000 for one of the following acts:

a) Changing the business registration content without notifying the registration authority at the district level;

b) Moving the place of business without notifying the registration authority at the district level;

c) Failing to suspend business operations in industries or trades subject to conditions as required by the registration authority at the district level.

2. Measures to remedy consequences:

a) Compel the notification of changes to the business registration content to the registration authority at the district level for violations under Point a Clause 1 of this Article; 

b) Compel the notification to the registration authority at the district level for violations under Point b Clause 1 of this Article.

Article 44. Violations concerning the termination of business operations by individual households

1. Warning or a fine from VND 500,000 to VND 1,000,000 for the act of terminating business operations under the form of an individual household without notifying or returning the original Business Registration Certificate to the registration authority at the district level.

2. Remedial measures: Compel the notification or return of the original Business Registration Certificate to the registration authority at the district level for violations stipulated in Clause 1 of this Article.

Article 45. Violations concerning business registration requirements for cooperatives and cooperative federations

1. A fine of VND 1,000,000 to VND 2,000,000 shall be imposed on any of the following acts:

a) Not organizing the annual member assembly of cooperatives or cooperative federations;

b) Not establishing a membership register after receiving the Cooperative Registration Certificate or Cooperative Federation Registration Certificate.

2. A fine of VND 2,000,000 to VND 5,000,000 shall be imposed on any of the following acts:

a) Falsely or inaccurately declaring the establishment registration dossier of cooperatives or cooperative federations;

b) Operating under the name of a cooperative or cooperative federation without a Cooperative Registration Certificate or Cooperative Federation Registration Certificate.

3. Measures to remedy consequences:

a) Compel the organization of the annual member assembly for violations stipulated in Point a Clause 1 of this Article;

b) Compel the establishment of a membership register for violations stipulated in Point b Clause 1 of this Article;

c) Compel the resubmission of declarations for violations stipulated in Point a Clause 2 of this Article;

d) Compel the registration of cooperatives or cooperative federations for violations stipulated in Point b Clause 2 of this Article.

Article 46. Violations concerning capital contributions and registration of capital contributions for cooperatives and cooperative unions

1. A fine of from five million to ten million Vietnamese dong shall be imposed for any of the following acts:

a) Failure to raise and timely complete the registered amount of capital.

b) Failure to maintain the statutory capital level for cooperatives operating in industries or professions requiring statutory capital.

c) Failure to issue capital contribution certificates to cooperative members or member cooperatives.

d) Contributing capital, purchasing shares, or establishing enterprises without prior decision or approval from the General Assembly of Members.

đ) Using sources of funds belonging to undivided assets of cooperatives or cooperative unions to contribute capital, purchase shares, or establish enterprises.

e) Contributing capital, purchasing shares, or establishing enterprises with a total investment exceeding 50% of the charter capital of the cooperative or cooperative union as recorded in the most recent financial report before the contribution, share purchase, or establishment.

g) Failure to notify the authority that issued the Registration Certificate after contributing capital, purchasing shares, establishing enterprises, cooperatives, or cooperative unions.

2. A fine of VND 10,000,000 to VND 15,000,000 shall be imposed for the act of allowing a member's capital contribution to exceed 20% of the total capital contributions of the cooperative; or a member cooperative's capital contribution to exceed 30% of the total capital contributions of the cooperative union.

3. Measures to remedy consequences:

a) Order to make up the registered capital contribution as required for the violation stipulated in Point a Clause 1 of this Article.

b) Order to issue capital contribution certificates to cooperative members or member cooperatives for the violation stipulated in Point c Clause 1 of this Article.

c) Order to return the sources of funds belonging to undivided assets of cooperatives or cooperative unions for the violation stipulated in Point đ Clause 1 of this Article.

d) Order to adjust the total investment amount for capital contributions, share purchases, or enterprise establishments for the violation stipulated in Point e Clause 1 of this Article.

đ) Order to notify the authority issuing the Registration Certificate for the cooperative or cooperative union for the violation stipulated in Point g Clause 1 of this Article.

e) Order to adjust the capital contribution ratio in accordance with regulations for the violation stipulated in Clause 2 of this Article.

Article 47. Violations concerning changes to the registration content of cooperatives and cooperative unions

1. Warning or a fine of VND 500,000 to VND 1,000,000 for any of the following acts:

a) Failure to register or register not within the prescribed time limit, or failure to notify changes to the registration content of cooperatives or cooperative unions.

b) Failure to register a name change for the cooperative when changing its business industry or profession to form the cooperative or cooperative union name.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on any of the following acts:

a) Registering inaccurately or falsely the changes to the registration content of cooperatives or cooperative unions.

b) Continuing operations during the period the cooperative or cooperative union has announced a temporary suspension of activities.

3. Measures to remedy consequences: Order to re-register and issue a new Registration Certificate for cooperatives or cooperative unions for violations stipulated in Clause 1 and Point a Clause 2 of this Article.

Article 48. Violations concerning the provision of information by cooperatives and cooperative unions

1. A fine of VND 1,000,000 to VND 2,000,000 shall be imposed for failing to provide full, timely, and accurate information about production, business, finance, income distribution, and other contents as prescribed by the bylaws to members or member cooperatives.

2. Measures to remedy consequences: Order to provide full, timely, and accurate information to members or member cooperatives for violations stipulated in Clause 1 of this Article.

Article 49. Violation of provisions on restructuring cooperatives and cooperative federations, cooperative union

1. A fine of VND 2,000,000 to VND 5,000,000 shall be imposed for the act of dividing, splitting, merging, or consolidating cooperatives and cooperative federations not in accordance with regulations.

2. Measures to remedy consequences: Compel the restructuring of cooperatives and cooperative federations in accordance with the regulations for violations stipulated in Clause 1 of this Article.

Article 50. Violation of provisions on registering branch offices, representative offices, and business locations of cooperatives and cooperative federations

1. Warning or a fine of VND 500,000 to VND 1,000,000 for any of the following acts:

a) Registering addresses of branches, representative offices, and business locations that do not appear on administrative maps;

b) Registering addresses of branches, representative offices, and business locations that are not owned or legally used by the entity.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed for the act of registering changes in the content of registration of branches, representative offices, and business locations inaccurately or dishonestly.

3. Measures to remedy consequences: Compel re-registration of the Certificate of Registration for cooperatives and cooperative federations for violations stipulated in Clauses 1 and 2 of this Article.

Chapter III

AUTHORITY TO ISSUE ADMINISTRATIVE VIOLATION DECISIONS AND VIOLATION RECORDS

Article 51. Competence to impose penalties of the Inspectorate of Planning and Investment

1. The Inspector, and the person assigned to perform specialized inspection tasks while on duty have the authority to:

a) To issue warnings;

b) To impose fines up to VND 1,000,000.

2. The Chief Inspector of the Department of Planning and Investment, the Head of the specialized inspection team at the provincial level have the right:

a) To issue warnings;

b) To impose a fine up to VND 25,000,000 for violations related to business registration; impose a fine up to VND 75,000,000 for violations related to investment and bidding;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

3. The Head of the specialized inspection team of the Ministry of Planning and Investment has the right:

a) To issue warnings;

b) To impose a fine up to VND 30,000,000 for violations related to business registration; impose a fine up to VND 80,000,000 for violations related to investment and bidding;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

4. The Chief Inspector of the Ministry of Planning and Investment has the right:

a) To issue warnings;

b) To impose a fine up to VND 30,000,000 for violations related to business registration; impose a fine up to VND 80,000,000 for violations related to investment and bidding;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

Article 52. Competence to impose penalties of People's Committees at various levels

1. The Chairperson of the People's Committee at the commune level has the right to:

a) To issue warnings;

b) Impose a fine up to 5,000,000 VND.

2. The Chairperson of the People's Committee at the district level has the right to:

a) To issue warnings;

b) To impose a fine up to VND 25,000,000 for violations related to business registration; impose a fine up to VND 75,000,000 for violations related to investment and bidding;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

3. The Chairman of the Provincial People's Committee has the authority to:

a) To issue warnings;

b) To impose a fine up to VND 30,000,000 for violations related to business registration; impose a fine up to VND 80,000,000 for violations related to investment and bidding;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

Article 53. Competence to impose penalties of Tax Authorities

1. Tax officials performing their duties have the right:

a) To issue warnings;

b) To impose fines up to VND 1,000,000.

2. The Head of the Tax Team has the right:

a) To issue warnings;

b) Impose a fine up to 5,000,000 VND.

3. The Director of the Tax Revenue Office has the right:

a) To issue warnings;

b) To impose a fine up to VND 25,000,000 for violations related to business registration;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

4. The Director of the Tax Department has the right:

a) To issue warnings;

b) To impose a fine up to VND 30,000,000 for violations related to business registration; impose a fine up to VND 30,000,000 for violations related to investment;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

5. The Director General of the State Tax Administration has the right:

a) To issue warnings;

b) To impose a fine up to VND 30,000,000 for violations related to business registration; impose a fine up to VND 30,000,000 for violations related to investment;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

Article 54. Competence to impose penalties of Market Management Authorities

1. Market inspectors performing their duties have the right to:

a) To issue warnings;

b) To impose fines up to VND 1,000,000.

2. The Head of the Market Management Team has the right to:

a) To issue warnings;

b) To impose a fine up to VND 25,000,000 for violations related to business registration;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

3. The Director of the Market Management Sub-Department under the Department of Industry and Trade, the Head of the Anti-Smuggling Division, the Head of the Anti-Counterfeit Goods Division, and the Head of the Quality Control Division under the Market Management Department have the right:

a) To issue warnings;

b) To impose a fine up to VND 30,000,000 for violations related to business registration; impose a fine up to VND 40,000,000 for violations related to investment;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

4. The Director of the Market Management Department has the right to:

a) To issue warnings;

b) To impose a fine up to VND 30,000,000 for violations related to business registration; impose a fine up to VND 40,000,000 for violations related to investment;

c) To apply measures to remedy consequences as prescribed in Chapter II of this Decree.

Article 55. Allocation of Competence to Impose Penalties of the Inspectorate of Planning and Investment, Tax Authorities, and Market Management Authorities

1. Those authorized persons of the Inspectorate of Planning and Investment have the authority to impose administrative penalties and apply measures to remedy consequences (if applicable) for administrative violations stipulated in this Decree according to the competence prescribed in Article 51 of this Decree and their assigned functions, tasks, and powers.

2. Those authorized persons of the Tax Authorities have the authority to impose administrative penalties and apply measures to remedy consequences (if applicable) for administrative violations stipulated in Points b and c of Clause 2 of Article 15, Article 25, Point a of Clause 1 of Article 30, Articles 31, Points a and d of Clause 1 and Point a of Clause 2 of Article 32, Point b of Clause 1 of Article 36, Articles 37, Point b of Clause 1 of Article 38, Point d of Clause 1 of Article 41, Articles 42, 43, 44, Point b of Clause 2 of Article 45, Clause 2 of Article 47, and Article 50 of this Decree according to the competence prescribed in Article 53 of this Decree and their assigned functions, tasks, and powers.

3. Those authorized persons of the Market Management Authorities have the authority to impose administrative penalties and apply measures to remedy consequences (if applicable) for administrative violations stipulated in Point c of Clause 2 and Point d of Clause 5 of Article 13, Points b and c of Clause 4 of Article 28, Point a of Clause 2 of Article 30, Point d of Clause 1 and Point a of Clause 2 of Article 32, Point c of Clause 2 of Article 34, Article 37, Points a, b, d, đ, and e of Clause 1 of Article 41, Articles 42, 43, 44, Point b of Clause 2 of Article 45, Article 47, Article 48, and Article 50 of this Decree according to the competence prescribed in Article 54 of this Decree and their assigned functions, tasks, and powers.

Article 56. Determination of Penalty Authority

The monetary penalty authority of the positions prescribed in Articles 51, 52, 53, and 54 of this Decree is the authority applicable to one administrative violation committed by an organization; in cases of monetary penalties, the penalty authority for individuals is half (one-half) the penalty authority for organizations.

Article 57. Authority to Issue Administrative Violation Records

1. Persons with penalty authority as prescribed in Articles 51, 52, 53, and 54 of this Decree.

2. Civil servants assigned tasks to inspect and detect administrative violations in the fields specified in this Decree at all levels of People's Committees.

3. Civil servants from the Inspection Agency under the Ministry of Planning and Investment assigned to perform independent specialized inspection and supervision tasks or as part of inspection teams.

4. Civil servants from other state management agencies tasked with inspection duties in areas of state management concerning: management and use of public investment capital; investment activities in Vietnam and overseas investments; bidding; business registration for enterprises, individual businesses, cooperatives, and cooperative unions.

5. Persons authorized to issue administrative violation records as stipulated in Clause 1, Clause 2, Clause 3, and Clause 4 of this Article shall only have the authority to issue records regarding violations within their scope of official duties and responsibilities and shall be accountable for issuing such records.

 

Chapter IV

IMPLEMENTING PROVISIONS

3. Amend Clause 3 Article 2 as follows:Article 58. Effectiveness of Implementation

This Decree takes effect from July 15, 2016, and replaces Government Decree No. 155/2013/NĐ-CP dated November 11, 2013, which stipulates administrative penalties in the planning and investment sector.

Article 59. Transitional Provisions

1. For violations occurring before the effective date of this Decree and for which decisions or results of administrative penalty proceedings have already been made by competent authorities, Decree No. 155/2013/NĐ-CP shall apply for handling.

2. For violations occurring before the effective date of this Decree but discovered or being considered and resolved thereafter, the provisions on penalties in this Decree shall apply if they are more favorable to the violators.

Article 60. Responsibility for Implementation

Ministers, Heads of ministerial-level agencies, Heads of government-affiliated agencies, Chairpersons of provincial People's Committees directly under the Central Government shall be responsible for implementing this Decree.