Decree No. 51/2019/ND-CP on administrative sanctions for violations in science and technology activities, and technology transfer

DECREE

Regulations on Administrative Sanctions for Violations

in scientific and technological activities and technology transfer

____________________

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

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

Pursuant to the Law on Science and Technology dated June 18, 2013;

Pursuant to the Law on Technology Transfer dated June 19, 2017;

Pursuant to the proposal of the Minister of Science and Technology;

The Government promulgates this Decree stipulating administrative penalties for violations in scientific and technological activities and technology transfer.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Decree specifies acts of violation, forms of penalty, levels of fines, measures to remedy consequences, and the authority to impose administrative penalties in scientific and technological activities and technology transfer.

2. Acts of administrative violation related to state management in scientific and technological activities and technology transfer that are not specified in this Decree shall be subject to the provisions of other decrees on administrative penalties in those fields.

Article 2. Applicability

1. This Decree applies to individuals and organizations engaged in scientific and technological activities and technology transfer; persons authorized to prepare records and persons authorized to impose administrative penalties in scientific and technological activities and technology transfer.

2. Organizations referred to in Clause 1 of this Article include:

a) Scientific and technological organizations as prescribed by the Law on Science and Technology;

b) Economic organizations as prescribed by the Law on Enterprises;

c) Economic organizations as prescribed by the Law on Cooperatives;

d) State agencies with acts of violation that are not within their assigned state management tasks;

đ) Political-social organizations, political-social-professional organizations, social organizations, and social-professional organizations;

e) Other organizations established in accordance with the law.

3. Households and cooperatives violating the provisions of this Decree shall be penalized as if they were individual violators.

Article 3. Forms of Penalty, Levels of Fine, and Authority to Impose Penalties

1. For each act of administrative violation in scientific and technological activities and technology transfer, individuals and organizations must bear one of the following main forms of penalty: warning or fine.

2. The maximum level of fine for individuals in scientific and technological activities and technology transfer is 50,000,000 VND, and for organizations it is 100,000,000 VND.

3. The levels of fine stipulated in Chapter II of this Decree apply to individuals. Organizations committing the same act of violation will face a fine twice the level imposed on individuals.

4. Depending on the nature and degree of violation, individuals and organizations committing acts of violation may also be subject to one or more supplementary forms of penalty as follows:

a) Suspension of the right to use certificates for a period of from one to three months: Certificate of Registration for Scientific and Technological Activities, Certificate of Representative Office Operation, Branch Operation Permit, Technology Transfer Permit, Certificate of Technology Transfer Registration, Certificate of Extension, Amendment, and Supplement of Technology Transfer Content, Certificate of Qualification for Technology Evaluation and Inspection Services;

b) Confiscation of contraband items and means of administrative violation.

5. The authority to impose penalties of the positions specified in Chapter III of this Decree applies to one act of administrative violation by an individual: In cases of fines, the authority to impose penalties on organizations is twice that on individuals.

Organizations and individuals violating administrative regulations may be subject to one or more of the following measures to remedy consequences:

1. Compel correction of false information.

2. Compel return of unlawful profits obtained from the implementation of the violation.

3. Compel cancellation of files and documents containing false data and content.

4. Compel cancellation of false reports on progress, content, and results of research.

5. Compel repayment of funds illegally appropriated.

6. Compel return of funds used for unauthorized purposes or duplicated usage.

7. Compel return of funds not repaid within the stipulated period.

8. Compel removal from the territory of the Socialist Republic of Vietnam or compel re-exportation of goods, items, equipment, and means of transport.

9. Compel cancellation of award recognition results.

10. Compel distribution according to the prescribed ratio of profits derived from commercializing research and technological development outcomes.

Chapter II

ADMINISTRATIVE VIOLATIONS CONCERNING ACTIVITIES

IN SCIENCE AND TECHNOLOGY, TECHNOLOGY TRANSFER

Section 1

ADMINISTRATIVE VIOLATIONS CONCERNING ACTIVITIES

IN SCIENCE AND TECHNOLOGY, FORMS, AMOUNTS OF FINES

AND MEASURES TO REMEDY CONSEQUENCES

Article 5. Violations concerning the activities of science and technology councils

1. Warning penalty for members of science and technology councils who fail to comply with procedures or evaluate and score incorrectly based on criteria set by competent state agencies when consulting, reviewing, selecting, evaluating, and accepting scientific and technological tasks.

2. Fine from VND 500,000 to VND 1,000,000 for members of science and technology councils who disclose or provide information related to the evaluation process, comments, and advisory results without permission from the agency deciding to establish the council.

Article 6. Violations concerning registration of information on scientific and technological tasks funded by the state budget

1. Fine from VND 1,000,000 to VND 2,000,000 for failing to register information on scientific and technological research and development results purchased using the state budget as required by competent state agencies.

Article 7. Violations concerning scientific and technological activities

1. Warning penalty for implementing scientific and technological tasks funded by the state budget beyond the committed timeframe without the consent of competent state agencies.

2. Fine from VND 1,000,000 to VND 2,000,000 for submitting false data and content in documents for evaluation and acceptance of scientific and technological task implementation results.

3. A fine from VND 2,000,000 to VND 4,000,000 shall be imposed for any of the following acts:

a) False declaration in application forms for direct assignment of scientific and technological tasks;

b) False reporting on progress, content, and research results.

4. Measures to remedy consequences:

a) Compel cancellation of documents containing false data and content for violations specified in Clause 2 and Point a, Clause 3 of this Article;

b) Compel cancellation of false reports on progress, content, and research results for violations specified in Point b, Clause 3 of this Article.

1. A fine of from VND to 2,000,000 for failing to report on the situation of activities as prescribed by the competent state agency. 1.000.000 from VND 1,000,000 to VND 2,000,000 for the act of failing to report operational circumstances as prescribed by authorized state agencies.

2. A fine of from VND 2,000,000 to 4,000,000 for failing to notify the Ministry of Science and Technology of the establishment of subordinate scientific and technological organizations abroad, representative offices, branches abroad within thirty days from the date of permission to establish.

3\. Impose a fine of VND 4,000,000 to VND 6,000,000 for any of the following acts:

a) Not registering activities with the competent state agency within sixty days from the date of establishment;

b) Not registering changes or supplements to the Certificate of Registration for Scientific and Technological Activities within twelve months from the date of changes or supplements to the contents recorded on the Certificate of Registration for Scientific and Technological Activities.

4. A fine of from VND 6,000,000 to 8,000,000 for not complying with the procedures and formalities for dissolving scientific and technological organizations as stipulated in Clause 3, Article 16 of Decree No. 08/2014/ND-CP dated January 27, 2014 of the Government detailing and guiding the implementation of certain provisions of the Law on Science and Technology.

5. A fine of from VND 8,000,000 to 10,000,000 for any of the following acts:

a) Conducting scientific and technological activities without a Certificate of Registration for Representative Office or Branch, or a Permit to Establish a Representative Office or Branch of foreign scientific and technological organizations;

b) Conducting scientific and technological activities outside the fields recorded in the Certificate of Registration for Scientific and Technological Activities, Certificate of Registration for Representative Office or Branch, Permit to Establish a Representative Office or Branch of foreign scientific and technological organizations;

c) Failing to maintain the conditions for conducting scientific and technological activities as registered.

6. A fine of from VND 10,000,000 to 14,000,000 for any of the following acts:

a) Conducting scientific and technological activities when the Certificate of Registration for Representative Office or Branch, Permit to Establish a Representative Office or Branch of foreign scientific and technological organizations has been suspended or revoked by the competent state agency;

b) Leasing or lending out the Certificate of Registration for Scientific and Technological Activities, Certificate of Registration for Representative Office or Branch, Permit to Establish a Representative Office or Branch of foreign scientific and technological organizations.

7. A fine of from VND 14,000,000 to 18,000,000 for using false documents in the application dossier for the Certificate of Registration for Scientific and Technological Activities, Certificate of Registration for Representative Office or Branch, Permit to Establish a Representative Office or Branch of foreign scientific and technological organizations.

8. A fine of from VND 18,000,000 to 30,000,000 for establishing subordinate scientific and technological organizations, representative offices, branches abroad without the approval of the Ministry of Science and Technology.

9. Additional forms of punishment:

Revocation of the right to use the Certificate of Registration for Scientific and Technological Activities, Certificate of Registration for Representative Office or Branch for a period of one to three months for organizations committing the act specified in point b, Clause 5 and point b, Clause 6 of this Article.

10. Measures to address consequences:

Compulsory cancellation of false content documents for the act specified in Clause 7 of this Article.

Article 9. Violation of regulations on evaluation and ranking of public scientific and technological organizations

1. A fine of VND 8,000,000 to VND 12,000,000 shall be imposed for failing to carry out the requirement of evaluation to serve state management by competent state agencies.

2. A fine of VND 12,000,000 to VND 20,000,000 shall be imposed for any of the following acts:

a) Conducting evaluation and ranking not in accordance with the prescribed methods and criteria.

b) Not publicly disclosing the results of evaluation and ranking as stipulated by law.

Article 10. Violation of regulations on ownership and use of scientific and technological activity outcomes

1. A warning shall be imposed for using the results of scientific research, data, and information of other individuals or organizations in scientific reports or documents without clearly indicating the source and origin of such research results.

a) Not reporting to the representative of the State owner about the exploitation, transfer, or assignment of ownership or usage rights of scientific research and technology development results.

b) Not notifying the representative of the State owner when it is no longer possible to exploit the usage rights of scientific research and technology development results.

c) Not implementing the decision on granting rights by the competent state agency.

3. A fine of VND 10,000,000 to VND 14,000,000 shall be imposed for any of the following acts:

a) Using, publishing data, technological processes, or information related to scientific and technological activity outcomes owned by other individuals or organizations to improve or develop technology for commercialization or intellectual property registration without their consent.

b) Registering, publishing scientific research works of other individuals or organizations without their consent.

c) Using inventions, technical improvements, process rationalizations, or research results of other individuals or organizations to participate in exhibitions, contests, or awards in science and technology without their consent.

4. Measures to remedy consequences:

a) Forced correction of false information for the act stipulated in Clause 3 of this Article.

b) Forced return of illegal profits obtained from the implementation of the violation stipulated in Clause 3 of this Article.

Article 11. Violation of regulations on application and dissemination of scientific and technological activity outcomes

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

a) Not submitting a report on the use of funds allocated for scientific and technological activities as required by the competent state agency.

b) Not organizing research to establish scientific bases during the preparation and implementation phases, and in addressing scientific and technological issues arising during the implementation process.

c) Not fully implementing the conclusions of the scientific basis assessment as required by the competent state agency.

2. A fine of VND 2,000,000 to VND 4,000,000 shall be imposed for disseminating the results of analysis, assessment, and inspection without the agreement of the state agency that commissioned the work.

3. A fine of VND 4,000,000 to VND 8,000,000 shall be imposed for performing scientific and technological tasks funded by the state budget, with commitments and application addresses in production and daily life but not directly or participating in the implementation of the application of research results in production and daily life.

4. A fine of VND 8,000,000 to VND 12,000,000 shall be imposed for applying the results of scientific and technological tasks not funded by the state budget in production and daily life, which require assessment according to regulations but have not been assessed by the competent state agency.

5. Measures to remedy consequences:

Forced return of illegal profits obtained from the implementation of the violation stipulated in Clause 2 of this Article.

Article 12. Violation of provisions on transfer, assignment, and provision of information about scientific and technological activities results

1. A fine of from VND 8,000,000 to VND 12,000,000 for any of the following acts:

a) Transferring the results of scientific and technological activities without the consent of the owner of such results;

b) Providing information and materials obtained from analytical, testing, consulting, and appraisal services for profit purposes without the consent of the owners of such information and materials;

c) Creating false information or taking advantage of providing information about the results of scientific and technological activities to affect the legitimate rights and interests of other organizations and individuals.

2. Measures to remedy consequences:

Compel the return of illegal profits gained from implementing the acts stipulated in Clause 1 of this Article.

Article 13. Violation of provisions on registration, management, and use of the Science and Technology Development Fund

1. A fine of from VND 4,000,000 to VND 8,000,000 for any of the following acts:

a) Not reporting the establishment of a Science and Technology Development Fund to the competent state agency on science and technology as prescribed;

b) Not reporting the allocation and use of the Science and Technology Development Fund as required by the competent state agency.

2. A fine of from VND 8,000,000 to VND 12,000,000 for managing and using the Science and Technology Development Fund contrary to the registered content.

3. A fine of from VND 12,000,000 to VND 20,000,000 for establishing a Science and Technology Development Fund without registering its operation.

4. A fine of from VND 20,000,000 to VND 30,000,000 for failing to repay borrowed funds from the Science and Technology Development Fund formed from state budget capital within the due date without the consent of the competent state agency.

5. A fine of from VND 30,000,000 to VND 40,000,000 for not allocating at least 3% of pre-tax income to establish a Science and Technology Development Fund of state-owned enterprises.

6. A fine of from VND 40,000,000 to VND 50,000,000 for not allocating from pre-tax income to establish a Science and Technology Development Fund of state-owned enterprises.

7. Measures to remedy consequences:

a) Compel the return of the amount not repaid within the due date as stipulated in Clause 4 of this Article;

b) Compel the return of illegal profits gained from implementing the acts stipulated in Clauses 5 and 6 of this Article.

Article 14. Violation of provisions on setting up and awarding prizes for scientific and technological achievements

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

a) Setting up and awarding prizes for scientific and technological achievements for illegal profit;

b) Setting up prizes for scientific and technological achievements for research works with contents prohibited by law.

2. Measures to remedy consequences:

a) Compel the return of illegal profits gained from implementing the act stipulated in point a of Clause 1 of this Article;

b) Compel the cancellation of prize recognition results and compel correction of false information as stipulated in point b of Clause 1 of this Article.

Article 15. Violation of provisions on management and use of state budget funds allocated for scientific and technological activities

1. A fine of VND 10,000,000 to VND 20,000,000 shall be imposed for any of the following acts:

a) Using scientific and technological research funds for purposes other than intended;

b) Using scientific and technological research funds overlapping with other sources of funding.

2. A fine of from VND 20,000,000 to VND 30,000,000 for failing to repay state-funded sponsorship funds within the due date without the consent of the competent state agency.

3. Measures to remedy consequences:

a) Compel the return of the amount used for unintended purposes and overlapping use as stipulated in Clause 1 of this Article;

b) Compel the return of the amount not repaid within the due date as stipulated in Clause 2 of this Article;

c) Compel the return of illegal profits gained from implementing the act stipulated in Clause 2 of this Article.

Section 2

ADMINISTRATIVE VIOLATIONS IN TECHNOLOGY TRANSFER ACTIVITIES, FORMS OF PENALTIES AND MEASURES TO REMEDY CONSEQUENCES

Article 16. Violation of reporting requirements in technology transfer, evaluation, and appraisal activities

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

a) Failure to submit annual reports on the implementation of technology transfer contracts to competent state authorities for technology transfer contracts that have been granted Technology Transfer Licenses;

b) Failure to report to competent state authorities on science and technology regarding the dissemination and transfer of agricultural, forestry, fishery, salt industry technologies in rural, mountainous, island areas, and regions with difficult socio-economic conditions when conducting such activities.

2. A fine of VND 2,000,000 to VND 4,000,000 shall be imposed for failure to submit periodic annual reports on the results of technology evaluation and appraisal activities to competent state authorities as required by laws on technology transfer.

3. A fine of VND 4,000,000 to VND 8,000,000 shall be imposed for failure to report to competent state authorities that have reviewed or provided opinions on the technology when adjusting or changing the content of the technology.

Article 17. Violations in requesting approval for technology transfer, registering extensions, amendments, and supplements to the content of technology transfer, and issuing Technology Transfer Licenses

1. A fine of VND 2,000,000 to VND 4,000,000 shall be imposed for false declarations in the application dossier for approval of technology transfer.

2. A fine of VND 4,000,000 to VND 8,000,000 shall be imposed for failure to register extension, amendment, or supplementation of the content of technology transfer when there is an agreement to extend, amend, or supplement the content of technology transfer that requires registration.

3. A fine of VND 8,000,000 to VND 12,000,000 shall be imposed for failure to apply for a new License when changing the content of restricted technology transfer that has already been granted a Technology Transfer License.

4. Measures to remedy consequences:

Order the cancellation of dossiers and documents containing incorrect data and content due to the violation stipulated in Clause 1 of this Article.

Article 18. Violation of obligations regarding profit distribution from commercialization of research and development results funded by the State budget

1. A fine of VND 8,000,000 to VND 12,000,000 shall be imposed for non-compliance with the profit distribution ratio from the commercialization of research and development results.

2. A fine of VND 12,000,000 to VND 20,000,000 shall be imposed for failure to distribute profits from the commercialization of research and development results.

3. Measures to remedy consequences:

a) Order the correct distribution of profits from the commercialization of research and development results as stipulated in Clauses 1 and 2 of this Article;

b) Order the return of illegal gains obtained from the violations stipulated in Clauses 1 and 2 of this Article.

Article 19. Violations in transferring technology to rural, mountainous, island, and economically disadvantaged areas

A fine of VND 12,000,000 to VND 20,000,000 shall be imposed for implementing programs and projects to disseminate crop and livestock breeds or technologies for agricultural, forestry, fishery, and salt industry production, preservation, and processing in rural, mountainous, island, and economically disadvantaged areas without including technology transfer content.

1. A fine of VND 4,000,000 to VND 10,000,000 shall be imposed for fraudulent or deceptive acts in preparing documents to request recognition of research results and technological development not funded by the State budget.

2. A fine of VND 10,000,000 to VND 20,000,000 shall be imposed for failure to return State-provided support funds within the prescribed time when the validity of the Technology Transfer Registration Certificate is revoked.

3. A fine of VND 20,000,000 to VND 30,000,000 shall be imposed for misusing State-provided support funds as stipulated in Clause 4 of this Article.

4. A fine of VND 30,000,000 to VND 40,000,000 shall be imposed for fraudulent or deceptive acts to obtain State support and incentives under the Law on Technology Transfer corresponding to one of the following support and incentive cases:

a) Supporting enterprises with projects in investment priority industries and areas to receive technology transfers from scientific and technological organizations;

b) Incentives for enterprises cooperating with agencies, organizations, and individuals to implement investment projects for technological innovation, innovative startups, infrastructure development to serve the advancement of science and technology, and joint research activities;

c) Supporting and incentivizing enterprises to invest in material and technical facilities for technology decoding activities; organizations and individuals implementing technology decoding activities;

d) Supporting scientific and technological organizations engaged in collaborative activities with local technology application and transfer organizations to complete research and development results suitable for local characteristics;

đ) Funding for purchasing research and development results self-funded by organizations and individuals;

e) Purchasing patents and inventions to transfer to enterprises for application and dissemination to the public;

g) Funding or purchasing research and development results created by domestic organizations and individuals for the production of national, key, and main products;

h) Supporting organizations and individuals undertaking scientific and technological tasks to develop technology and improve national, key, and main products;

i) Supporting training, capacity building, and encouraging organizations and individuals to participate in commercializing research and development results and developing the science and technology market;

k) Supporting the development of intermediary organizations in the science and technology market.

5. Measures to remedy consequences:

a) Compel the return of funds that were not returned within the prescribed period as provided for in Clause 2 of this Article;

b) Compel the return of funds that were misused as provided for in Clause 3 of this Article;

c) Compel the return of illegal profits obtained through acts provided for in Clauses 2, 3, and 4 of this Article;

d) Compel the cancellation of documents containing false data and information as provided for in Clauses 1 and 4 of this Article.

Article 21. Violations in the business of technology transfer services

1. A fine of VND 6,000,000 to VND 10,000,000 shall be imposed for conducting technology evaluation and certification service businesses without preserving and returning to the service user the materials and means provided after completing the service as agreed.

2. A fine of between 10,000,000 VND and 20,000,000 VND shall be imposed for one of the following acts:

a) Failure to maintain the required conditions for technology evaluation service operations as stipulated in Article 33 of Decree No. 76/2018/ND-CP dated May 15, 2018, guiding the implementation of certain provisions of the Law on Technology Transfer;

b) Failure to maintain the required conditions for technology certification service operations as stipulated in Article 36 of Decree No. 76/2018/ND-CP dated May 15, 2018, guiding the implementation of certain provisions of the Law on Technology Transfer;

c) Expanding, reducing, or changing the scope of technology evaluation and certification or changing technology evaluators and certifiers without amending the Certificate of Eligibility for Technology Evaluation and Certification Service Operations.

3. A fine of VND 20,000,000 to VND 30,000,000 shall be imposed for conducting technology evaluation and certification service businesses without a Certificate of Eligibility for Technology Evaluation and Certification Service Operations.

4. Additional forms of administrative punishment:

Suspension of the right to use the Certificate of Eligibility for Technology Evaluation and Certification Service Operations for a period of one to three months for violations as provided for in Clause 2 of this Article.

Article 22. Violations in the establishment and implementation of technology transfer contracts, technology service transfer contracts, and technology transfer contents in clauses, articles, and appendices of contracts, investment project files.

1. A fine of VND 12,000,000 to VND 20,000,000 for the act of not establishing a written contract when transferring independent technology or contributing capital through technology.

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

a) Fraud or deception in the establishment of technology transfer contracts or technology transfer contents in clauses, articles, and appendices of contracts, investment project files to obtain a Technology Transfer Registration Certificate or a Technology Transfer Permit;

b) Continuing to implement technology transfer contracts or technology transfer contents in clauses, articles, and appendices of contracts, investment project files that have been suspended or canceled by a decision to terminate or cancel the contract or a decision to revoke the validity of a Technology Transfer Permit, Technology Transfer Registration Certificate, Technology Transfer Extension, Amendment, Supplement Registration Certificate, or a decision to cease operations of the investment project by the competent state agency;

c) Implementing contents contrary to the Technology Transfer Permit, Technology Transfer Registration Certificate, Technology Transfer Extension, Amendment, Supplement Registration Certificate already issued.

3. A fine of VND 30,000,000 to VND 40,000,000 for any of the following acts:

b) Not conducting audit through technology appraisal when transferring technology between related parties under the parent-subsidiary model upon request of the tax management authority;

c) Not conducting audit through technology appraisal when transferring technology between associated parties under the provisions of the tax law upon request of the tax management authority.

4. Additional forms of administrative punishment:

Revocation of the right to use the Technology Transfer Registration Certificate, Technology Transfer Extension, Amendment, Supplement Registration Certificate, Technology Transfer Permit for a period of one to three months for the act stipulated in point c, Clause 2 of this Article.

5. Measures to remedy consequences:

a) Compelling the cancellation of false records and documents for the act stipulated in point a, Clause 2 of this Article;

b) Compelling the return of unlawful gains obtained from implementing the acts stipulated in points b and c, Clause 2 and Clause 3 of this Article.

Article 23. Violations in deciding to invest in construction projects using technology.

1. A fine of VND 10,000,000 to VND 14,000,000 for the act of deciding to invest in construction projects with potential negative impacts on the environment according to environmental protection laws using technology without the results of an appraisal or opinion on technology from the competent state agency.

2. A fine of VND 14,000,000 to VND 18,000,000 for the act of deciding to invest in construction projects using restricted technology transfer without the results of an appraisal or opinion on technology from the competent state agency.

Article 24. Violations in the use of technology that has been approved and licensed by competent authorities

A fine of from 20,000,000 VND to 30,000,000 VND shall be imposed for the act of using technology not in accordance with the technology that has been approved and licensed by state competent authorities.

Article 25. Violations in registering the transfer of technology

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

a) Transferring technology from abroad into Vietnam without a Certificate of Registration for Technology Transfer;

b) Transferring technology from Vietnam to abroad without a Certificate of Registration for Technology Transfer;

c) Transferring technology within the country using state capital or state budget but without a Certificate of Registration for Technology Transfer, except where a Certificate of Registration for the Results of Scientific and Technological Tasks has already been issued.

2. Additional forms of punishment:

Seizure of contraband items and means of administrative violation for the act prescribed in Clause 1 of this Article.

Article 26. Violations in transferring technology listed in the Restricted Technology Transfer Catalogue and the Prohibited Technology Transfer Catalogue

1. A fine of from 30,000,000 VND to 40,000,000 VND shall be imposed for the act of transferring technology listed in the Restricted Technology Transfer Catalogue without a Technology Transfer License.

2. A fine of from 40,000,000 VND to 50,000,000 VND shall be imposed for the act of transferring technology from Vietnam to abroad or from abroad into Vietnam listed in the Prohibited Technology Transfer Catalogue.

3. Additional forms of punishment:

Seizure of contraband items and means of administrative violation for the act prescribed in Clause 1 of this Article.

4. Measures to remedy consequences:

Compel the removal from the territory of the Socialist Republic of Vietnam or compel re-export of goods, articles, equipment, and means for the act prescribed in Clause 2 of this Article for technology transferred from abroad into Vietnam.

Chapter III

AUTHORITY TO ISSUE ADMINISTRATIVE VIOLATION DECISIONS, IMPOSE FINES FOR ADMINISTRATIVE VIOLATIONS AND APPLY MEASURES TO MITIGATE THE CONSEQUENCES OF SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES AND TECHNOLOGY TRANSFERS

Article 27. Authority to issue administrative violation decisions

1. The person authorized to impose fines for administrative violations as stipulated in Articles 28 to 34 of this Decree.

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

a) To issue warnings;

b) Impose a fine up to 500,000 VND;

c) Confiscate objects and means of transportation involved in administrative violations up to a value of 500,000 VND.

2. The Head of the Department of Inspection of the Provincial Department of Science and Technology, the Director of the Standardization, Measurement, and Quality Control Branch under the Provincial Department of Science and Technology have the authority:

a) To issue warnings;

b) To impose fines up to VND 25,000,000;

c) To suspend the right to use for a period of time: Certificates of Registration for Scientific and Technological Activities, Certificates of Representative Office Operations, Branch Operations, Technology Transfer Licenses, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplemental Content of Technology Transfer, Certificates of Qualification for Technology Evaluation and Appraisal Services;

d) To seize contraband items and means of administrative violation with a value up to 25,000,000 VND;

đ) To apply measures to mitigate consequences as prescribed in Article 4 of this Decree.

3. The Head of the provincial specialized inspection team, the Head of the specialized inspection team of the General Bureau of Standardization, Measurement, and Quality Control, the Head of the specialized inspection team of the Radiation Safety and Nuclear Safety Bureau, the Head of the Inspection Bureau of the Radiation Safety and Nuclear Safety Bureau have the authority to impose fines as prescribed in Clause 2 of this Article.

4. The Head of the specialized inspection team of the Ministry of Science and Technology has the authority:

a) To issue warnings;

b) To impose a fine up to 35,000,000 VND;

c) To suspend the right to use for a period of time: Certificates of Registration for Scientific and Technological Activities, Certificates of Representative Office Operations, Branch Operations, Technology Transfer Licenses, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplemental Content of Technology Transfer, Certificates of Qualification for Technology Evaluation and Appraisal Services;

d) To seize contraband items and means of administrative violation with a value up to 35,000,000 VND;

đ) To apply measures to mitigate consequences as prescribed in Article 4 of this Decree.

5. The Head of the Ministry's Inspectorate, the Director of the General Bureau of Standardization, Measurement, and Quality Control, the Director of the Radiation Safety and Nuclear Safety Bureau under the Ministry of Science and Technology have the authority:

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) To suspend the right to use for a period of time: Certificates of Registration for Scientific and Technological Activities, Certificates of Representative Office Operations, Branch Operations, Technology Transfer Licenses, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplemental Content of Technology Transfer, Certificates of Qualification for Technology Evaluation and Appraisal Services;

d) Confiscate contraband and means of administrative violation;

đ) To apply measures to mitigate consequences as prescribed in Article 4 of this Decree.

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

a) To issue warnings;

b) To impose fines up to VND 5,000,000;

c) Confiscate objects and means of administrative violation with a value 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 fines up to VND 25,000,000;

c) To suspend the right to use for a period of time: Certificates of Registration for Scientific and Technological Activities, Certificates of Representative Office Operations, Branch Operations, Technology Transfer Licenses, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplemental Content of Technology Transfer, Certificates of Qualification for Technology Evaluation and Appraisal Services;

d) To seize contraband items and means of administrative violation with a value up to 25,000,000 VND;

d) Apply measures to remedy consequences as prescribed in Clauses 1, 2, 3, 4, 5, 6, 7, 9, and 10 of Article 4 of this Decree.

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

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) To suspend the right to use for a period of time: Certificates of Registration for Scientific and Technological Activities, Certificates of Representative Office Operations, Branch Operations, Technology Transfer Licenses, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplemental Content of Technology Transfer, Certificates of Qualification for Technology Evaluation and Appraisal Services;

d) Confiscate contraband and means of administrative violation;

đ) To apply measures to mitigate consequences as prescribed in Article 4 of this Decree.

1. Public security officers performing their duties have the authority to:

a) To issue warnings;

b) Impose a fine up to 500,000 VND.

2. The station chief, team leader of those specified in Clause 1 of this Article have the right to:

a) To issue warnings;

b) Impose a fine up to 1,500,000 VND.

3. Chiefs of public security stations at commune level, chiefs of public security posts, and chiefs of public security checkpoints at border gates and export processing zones have the authority to:

a) To issue warnings;

b) Impose fines up to 2,500,000 VND;

c) Confiscate objects and means of administrative violation with a value up to 2,500,000 VND.

4. Heads of public security offices at the district level; Heads of departments under provincial public security offices including Heads of Internal Political Security Departments, Heads of Economic Security Departments, Heads of Cybersecurity and High-Tech Crime Prevention Departments, Heads of Administrative Management Police Departments for Social Order, Heads of Environmental Crime Prevention Police Departments, Heads of Corruption, Economy, and Smuggling Investigation Police Departments; Heads of business units under bureaus such as Internal Political Security, Economic Security, Cybersecurity and High-Tech Crime Prevention, Administrative Management Police for Social Order, Environmental Crime Prevention Police, Corruption, Economy, and Smuggling Investigation Police have the authority:

a) To issue warnings;

b) Impose fines up to 10,000,000 VND;

c) Suspend the use of certificates for a limited time: Certificate of Registration for Scientific and Technological Activities, Certificate of Representative Office Operation, Branch Operation;

d) Confiscate objects and means of administrative violation with a value up to 10,000,000 VND.

5. The Director of the Provincial Police Department has the authority to:

a) To issue warnings;

b) To impose fines up to VND 25,000,000;

c) Suspend the use of certificates for a limited time: Certificate of Registration for Scientific and Technological Activities, Certificate of Representative Office Operation, Branch Operation;

d) Confiscate objects and means of administrative violation with a value up to 25,000,000 VND.

6. Directors of the Internal Political Security Bureau, Directors of the Economic Security Bureau, Directors of the Cybersecurity and High-Tech Crime Prevention Bureau, Directors of the Administrative Management Police Bureau for Social Order, Directors of the Environmental Crime Prevention Police Bureau, Directors of the Corruption, Economy, and Smuggling Investigation Police Bureau have the authority:

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) Suspend the use of certificates for a limited time: Certificate of Registration for Scientific and Technological Activities, Certificate of Representative Office Operation, Branch Operation;

d) Confiscate objects and means of administrative violation.

1. Customs officials performing official duties have the right to:

a) To issue warnings;

b) Impose fines up to 500,000 VND.

2. Chiefs of customs teams under the Customs Sub-department, Chiefs of post-clearance audit teams under the Customs Sub-department have the authority:

a) To issue warnings;

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

3. Chiefs of customs sub-departments, Chiefs of post-clearance audit sub-departments, Chiefs of control teams under provincial, inter-provincial, and centrally-administered city customs offices, Chiefs of anti-smuggling control teams, Chiefs of customs procedure teams, Chiefs of maritime control teams, and Chiefs of intellectual property protection control teams under the General Department of Customs' Anti-Smuggling Investigation Bureau have the authority:

a) To issue warnings;

b) To impose fines up to VND 25,000,000;

c) Confiscate objects, means of administrative violations with a value up to 25,000,000 VND;

d) Apply measures to remedy consequences as prescribed in Clause 8 of Article 4 of this Decree.

4. Directors of the Anti-Smuggling Investigation Bureau, Directors of the Post-Clearance Audit Bureau under the General Department of Customs, Directors of provincial, inter-provincial, and centrally-administered city customs offices have the authority:

a) To issue warnings;

b) Impose fines up to 50,000,000 VND;

c) Confiscate objects and means of administrative violation with a value up to 50,000,000 VND;

d) Apply measures to remedy consequences as prescribed in Clause 8 of Article 4 of this Decree.

5. Chiefs of the General Department of Customs have the authority to:

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) To confiscate objects and means of administrative violations;

d) Apply measures to remedy consequences as prescribed in Clause 8 of Article 4 of this Decree.

1. Chiefs of market management teams have the authority:

a) To issue warnings;

b) To impose fines up to VND 25,000,000;

c) Confiscate objects and means of administrative violation with a value up to 25,000,000 VND.

2. Directors of market management business units under the General Department of Market Management, Directors of provincial market management departments directly under the General Department of Market Management have the authority:

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) Confiscate objects and means of administrative violation with a value up to 50,000,000 VND;

d) Suspend the use of certificates for a limited time: Certificate of Qualification for Technology Evaluation and Appraisal Services;

3. Director of the General Department of Market Management has the authority:

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) To confiscate objects and means of administrative violations;

d) Suspend the use of certificates for a limited time: Certificate of Qualification for Technology Evaluation and Appraisal Services;

Article 33. Authority of Tax Authorities

1. The Director of the Tax Department has the authority:

a) To issue warnings;

b) Impose a fine up to thirty-five million dong;

d) To apply measures to remedy consequences as prescribed in Clause 2, Article 4 of this Decree.

2. The Director General of the State Tax Department has the authority:

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) To confiscate objects and means of administrative violations;

d) To apply measures to remedy consequences as prescribed in Clause 2, Article 4 of this Decree.

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

a) To issue warnings;

b) Impose a fine up to 500,000 VND;

c) Confiscate objects and means of transportation involved in administrative violations up to a value of 500,000 VND.

2. The Inspector General of the Department of Inspection and the positions specified in Clause 2, Article 46 of the Law on Handling Administrative Violations, except for the positions of the Inspector General of the Securities Commission; the Director of the Food Safety and Hygiene Inspection Division; the Director of the Population and Family Planning Division under the Department of Health according to their functions, tasks, and authorities assigned have the authority:

a) To issue warnings;

b) To impose fines up to VND 25,000,000;

c) To suspend the right to use for a period of time: Certificates of Registration for Scientific and Technological Activities, Certificates of Representative Office Operations, Branch Operations, Technology Transfer Licenses, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplemental Content of Technology Transfer, Certificates of Qualification for Technology Evaluation and Appraisal Services;

d) To seize contraband items and means of administrative violation with a value up to 25,000,000 VND;

đ) To apply measures to mitigate consequences as prescribed in Article 4 of this Decree.

3. The Heads of specialized inspection teams of Departments, Heads of specialized inspection teams of General Departments, Bureaus, and equivalent organizations assigned by the Government to carry out specialized inspection functions according to their functions, tasks, and authorities assigned have the authority to impose penalties as provided for in Clause 2 of this Article.

4. The Heads of specialized inspection teams at the Ministry level, according to their functions, tasks, and authorities assigned have the authority:

a) To issue warnings;

b) Impose a fine up to thirty-five million dong;

c) To suspend the right to use for a limited time: Certificates of Registration for Scientific and Technological Activities, Certificates of Operation of Representative Offices and Branches, Licenses for Technology Transfer, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplement of Technology Transfer Contents, Certificates of Qualification for Service of Evaluation and Appraisal of Technology;

d) To seize contraband items and means of administrative violation with a value up to 35,000,000 VND;

đ) To apply measures to mitigate consequences as prescribed in Article 4 of this Decree.

5. The Inspector General of Ministries, agencies at the ministerial level, and the positions specified in Clause 4, Article 46 of the Law on Handling Administrative Violations, according to their functions, tasks, and authorities assigned have the authority:

a) To issue warnings;

b) To impose fines up to VND 50,000,000;

c) To suspend the right to use for a period of time: Certificates of Registration for Scientific and Technological Activities, Certificates of Representative Office Operations, Branch Operations, Technology Transfer Licenses, Certificates of Registration for Technology Transfer, Certificates of Registration for Extension, Modification, and Supplemental Content of Technology Transfer, Certificates of Qualification for Technology Evaluation and Appraisal Services;

d) Confiscate contraband and means of administrative violation;

đ) To apply measures to mitigate consequences as prescribed in Article 4 of this Decree.

Article 35. Determination of Authority of Inspectors and Persons Assigned to Carry Out Specialized Inspection Tasks in the Field of Science and Technology, Chairpersons of People's Committees, Public Security Officers, Customs Officers, Market Management Officers, Tax Authorities, and Inspectors and Persons Assigned to Carry Out Specialized Inspection Tasks

1. The person authorized to impose penalties of the Inspectorate and persons assigned to carry out specialized inspection tasks in the field of science and technology have the authority to issue administrative violation records, impose administrative penalties, and apply measures to remedy consequences for administrative violations as stipulated in Chapter II of this Decree according to the authority prescribed in Article 28 of this Decree and their functions, tasks, and authorities assigned.

2. The Chairpersons of People's Committees at all levels have the authority to issue administrative violation records, impose administrative penalties, and apply measures to remedy consequences for administrative violations as stipulated in Chapter II of this Decree according to the authority prescribed in Article 29 of this Decree and their functions, tasks, and authorities assigned.

3. The person authorized to impose penalties of the Public Security agency has the authority to issue administrative violation records, impose administrative penalties, and apply measures to remedy consequences for administrative violations as stipulated in Articles 8, 23, and 26 of this Decree according to the authority prescribed in Article 30 of this Decree and their functions, tasks, and authorities assigned.

4. The person authorized to impose penalties of the Customs agency has the authority to issue administrative violation records, impose administrative penalties, and apply measures to remedy consequences for administrative violations as stipulated in Articles 25 and 26 of this Decree according to the authority prescribed in Article 31 of this Decree and their functions, tasks, and authorities assigned.

5. The person authorized to impose penalties of the Market Management agency has the authority to issue administrative violation records, impose administrative penalties, and apply measures to remedy consequences for administrative violations as stipulated in Article 21 of this Decree according to the authority prescribed in Article 32 of this Decree and their functions, tasks, and authorities assigned.

6. The person authorized to impose penalties of the Tax agency has the authority to issue administrative violation records, impose administrative penalties, and apply measures to remedy consequences for administrative violations as stipulated in Points b and c, Clause 3, Article 22 of this Decree according to the authority prescribed in Article 33 of this Decree and their functions, tasks, and authorities assigned.

7. The person authorized to impose penalties of the Inspectorate and persons assigned to carry out specialized inspection tasks have the authority to issue administrative violation records, impose administrative penalties, and apply measures to remedy consequences for administrative violations as stipulated in Articles 7, 8, 11, 15, 16, 19, 21, 23, 24, 25, and 26 of this Decree according to the authority prescribed in Article 34 of this Decree and their functions, tasks, and authorities assigned.

Chapter IV

IMPLEMENTING PROVISIONS

Article 36. Implementation Provisions

1. This Decree takes effect from August 1, 2019.

2. This Decree replaces Decree No. 64/2013/ND-CP dated July 26, 2013 of the Government on administrative penalties for violations in scientific and technological activities and technology transfer, and Decree No. 93/2014/ND-CP dated October 17, 2014 of the Government amending and supplementing certain articles of Decree No. 64/2013/ND-CP dated July 26, 2013 on administrative penalties for violations in scientific and technological activities and technology transfer.

3. For administrative violations in scientific and technological activities and technology transfer occurring before the effective date of this Decree but discovered or being examined and resolved thereafter, the provisions that are more favorable to the organizations and individuals who violated shall be applied.

4. For administrative penalty decisions in the field of science and technology, technology transfer that have been issued or fully executed before the effective date of this Decree, if individuals or organizations subject to administrative penalties still file complaints, the provisions of Decree No. 64/2013/NĐ-CP dated July 26, 2013 of the Government on administrative penalties in scientific and technological activities, technology transfer, and Decree No. 93/2014/NĐ-CP dated October 17, 2014 of the Government amending and supplementing certain articles of Decree No. 64/2013/NĐ-CP dated July 26, 2013 on administrative penalties in scientific and technological activities, technology transfer shall be applied for resolution.

Article 37. Responsibility for Implementation

1. The Minister of Science and Technology is responsible for guiding and organizing the implementation of this Decree.

2. Ministers, heads of ministerial-level agencies, heads of government agencies, and chairpersons of provincial people's committees directly under the central government are responsible for implementing this Decree./.