Decree No. 64/2013/ND-CP on administrative sanctions for violations in scientific and technological activities, technology transfer

 

DECREE

Regulations on Administrative Sanctions for Violations in Scientific and Technological Activities and Technology Transfer

Based on the Law on the Organization of the Government dated December 25, 2001;

Pursuant to the Law on Science and Technology dated June 9, 2000;

Pursuant to the Law on Technology Transfer dated November 29, 2006;

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

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

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

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Decree stipulates acts of violation, forms of administrative sanction, fines, measures to remedy consequences, and the authority to impose administrative sanctions for violations in scientific and technological activities and technology transfer.

2. Administrative violations in scientific and technological activities and technology transfer as prescribed in this Decree are acts committed by individuals or organizations with fault, violating state management regulations in scientific and technological activities and technology transfer, which are not criminal offenses and must be subject to administrative sanctions according to the law.

In addition to the measures to remedy consequences specified in Clause 1, Article 28 of the Law on Handling Administrative Violations, individuals and organizations that violate may be subject to one or more of the following measures to remedy consequences:

1. Compel the return of funds misappropriated or used for purposes other than intended;

2. Compel the cancellation of false reports or reports containing fabricated data;

3. Compel registration and submission of results from implementing scientific and technological tasks.

Article 3. Time Limit for Imposing Administrative Sanctions

The time limit for imposing administrative sanctions for violations in scientific and technological activities and technology transfer is one year.

Article 4. Amount of Fine

1. The maximum fine for violations in scientific and technological activities and technology transfer for individual violators is 50,000,000 VND, and for organizational violators is 100,000,000 VND.

2. For the same act of administrative violation, the fine for organizational violators shall be twice the amount of the fine for individual violators.

Chapter II
ADMINISTRATIVE SANCTIONS FOR VIOLATIONS IN SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES AND TECHNOLOGY TRANSFER

 SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES AND TECHNOLOGY TRANSFER

Section 1

VIOLATIONS OF ADMINISTRATIVE LAW ON SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES,

 FORMS OF ADMINISTRATIVE SANCTIONS AND MEASURES TO REMEDY CONSEQUENCES

1. A fine of between 500,000 VND and 1,000,000 VND shall be imposed on individual members of scientific and technological councils who disclose or provide information related to the evaluation, review, and advisory results without permission from the competent authority deciding to establish the council.

2. A fine of between 1,000,000 VND and 2,000,000 VND shall be imposed on individual members of scientific and technological councils who advise on determining, selecting, or accepting scientific and technological tasks without complying with procedures or evaluating and scoring inconsistently with criteria set by the Ministry of Science and Technology.

1. A fine of between 2,000,000 VND and 5,000,000 VND shall be imposed on individuals; and a fine of between 4,000,000 VND and 10,000,000 VND shall be imposed on organizations for failing to register and submit the results of implementing state budget-funded scientific and technological tasks as required by the competent authority.

2. Measures to remedy consequences:

Compel registration and submission of results of implementing scientific and technological tasks for the act stipulated in Clause 1 of this Article.

1. A fine of VND 1,000,000 to VND 2,000,000 shall be imposed on individuals; a fine of VND 2,000,000 to VND 4,000,000 shall be imposed on organizations for failing to truthfully declare any of the following contents:

a) Scientific and technological activity results of the organization applying as the main organizer;

b) Academic history of the individual applying as the main task leader;

c) Capacity of organizations and individuals participating in collaboration.

2. A fine of VND 2,000,000 to VND 4,000,000 shall be imposed on individuals; a fine of VND 4,000,000 to VND 8,000,000 shall be imposed on organizations for any of the following acts:

a) Reporting falsely about progress, content, and results of research;

b) Fabricating data, using invalid files and certificates for reimbursement;

c) Submitting files and documents for evaluation and acceptance of scientific and technological task implementation results with false content.

3. Measures to remedy consequences:

a) Order to return misappropriated or improperly used funds for the act stipulated in Point b Clause 2 of this Article;

b) Order to revoke false reports, reports with fabricated data for the acts stipulated in Points a and b Clause 2 of this Article.

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

a) Failing to register supplementary when changing or adding scientific and technological activity fields;

b) Failing to register supplementary when changing the main office location;

c) Not registering a representative office or branch but still displaying signs or operating.

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

a) Conducting scientific and technological activities without a Scientific and Technological Activity Registration Certificate;

b) Conducting scientific and technological activities when the Scientific and Technological Activity Registration Certificate has expired.

3. A fine of VND 5,000,000 to VND 15,000,000 shall be imposed on organizations for renting or lending out the Scientific and Technological Activity Registration Certificate.

4. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on individuals; a fine of VND 10,000,000 to VND 20,000,000 shall be imposed on organizations for falsifying documents to obtain a Scientific and Technological Activity Registration Certificate.

5. Additional forms of punishment:

Revocation of the right to use the Scientific and Technological Activity Registration Certificate for a period of one to three months for organizations committing the act stipulated in Clause 3 of this Article.

1. A fine of VND 10,000,000 to VND 20,000,000 shall be imposed on individuals; a fine of VND 20,000,000 to VND 40,000,000 shall be imposed on organizations for any of the following acts:

a) Using, publishing data, technology processes, information related to scientific and technological activity results owned by other individuals or organizations without their permission;

b) Registering, publishing scientific research works of other individuals or organizations without their permission;

c) Using research results, data, and information from other individuals or organizations in scientific reports and documents without clearly indicating the source of the research results;

d) Using inventions, technical improvements, and process rationalization of other individuals or organizations to register for participation in science and technology exhibitions, contests, and awards.

2. Measures to remedy consequences:

Order to correct information on mass media for the act stipulated in Clause 1 of this Article.

1. A fine of VND 2,000,000 to VND 4,000,000 shall be imposed on individuals; a fine of VND 4,000,000 to VND 8,000,000 shall be imposed on organizations for disseminating the results of analysis, evaluation, and inspection without the consent of the state agency that has commissioned such work.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on individuals; a fine of VND 10,000,000 to VND 20,000,000 shall be imposed on organizations for disseminating, promoting, and applying new technological processes and products without permission from the competent authority.

Article 11. Violation of regulations on the transfer, assignment, and provision of information about scientific and technological outcomes

1. A fine of VND 5,000,000 to VND 15,000,000 shall be imposed on individuals; a fine of VND 10,000,000 to VND 30,000,000 shall be imposed on organizations for any of the following acts:

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

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

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

2. Measures to remedy consequences:

Order to return the unlawful profits obtained from implementing the act stipulated in Clause 1 of this Article.

1. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on organizations for managing and using the Science and Technology Development Fund contrary to the registered content.

2. A fine of VND 10,000,000 to VND 15,000,000 shall be imposed on organizations for establishing the Science and Technology Development Fund without registering its activities.

3. A fine of VND 15,000,000 to VND 20,000,000 shall be imposed on organizations for using the Science and Technology Development Fund contrary to the registered content to gain improper benefits.

4. A fine of VND 20,000,000 to VND 30,000,000 shall be imposed on organizations for misappropriating and failing to repay the sponsored funds from the Science and Technology Development Fund within the prescribed period without justifiable reasons.

5. Measures to remedy consequences:

a) Order to return the unlawful profits obtained from implementing the act stipulated in Clause 3 of this Article;

b) Order to repay the misappropriated funds for the act stipulated in Clause 4 of this Article.

Article 13. Violation of regulations on setting up and awarding prizes for science and technology

1. A fine of VND 10,000,000 to VND 15,000,000 shall be imposed on individuals; a fine of VND 20,000,000 to VND 30,000,000 shall be imposed on organizations for any of the following acts:

a) Setting up and awarding prizes for science and technology for profit;

b) Setting up science and technology prizes with contents encouraging research that violates the law.

2. Measures to remedy consequences:

Order to return the unlawful profits obtained from implementing the act stipulated at Point a Clause 1 of this Article.

Article 14. Violation of regulations on joint ventures, cooperation, and receiving sponsorship for scientific and technological activities

A fine of VND 10,000,000 to VND 20,000,000 shall be imposed on individuals belonging to scientific and technological organizations receiving direct sponsorship, not through organizations they are members of; individuals not belonging to any scientific and technological organization receiving direct sponsorship from foreign organizations and individuals to carry out scientific and technological tasks without registering the receipt of sponsorship with the Department of Science and Technology.

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

1. A fine of from VND 5,000,000 to VND 10,000,000 shall be imposed on individuals; a fine of from VND 10,000,000 to VND 20,000,000 shall be imposed on organizations committing any of the following acts:

a) Using research and development funds for purposes other than those intended;

b) Using research and development funds that overlap with other sources of state budget funds.

2. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed on organizations for the act of misappropriating and failing to return state budget-funded sponsorship funds within the prescribed time without legitimate reasons.

3. Measures to remedy consequences:

a) Compel the return of funds used for purposes other than those intended, not in accordance with the approved content, or overlapping funds as stipulated in Clause 1 of this Article;

b) Compel the return of misappropriated funds for 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

 TRANSFER OF TECHNOLOGY, FORMS OF PENALTIES AND MEASURES TO REMEDY CONSEQUENCES

Article 16. Violation of reporting requirements in technology transfer activities

1. A fine of from VND 500,000 to VND 1,000,000 shall be imposed on organizations committing any of the following acts:

a) Failing to submit reports on the implementation of technology transfer contracts, minutes of evaluations of the results of technology transfer contracts for technologies listed in the restricted technology transfer directory to competent state authorities as prescribed;

b) Failing to submit reports on the implementation of technology transfer contracts for technology transfer contracts that have been registered with a Technology Transfer Contract Registration Certificate and have been implemented for over one year, using state capital accounting for 51% or more to implement technology transfer;

c) Failing to report to the competent state science and technology management agency at the location where the technology transfer takes place when disseminating and transferring agricultural, forestry, and aquatic product cultivation, preservation, and processing technologies in rural areas, mountainous regions, and areas with difficult socio-economic conditions, particularly difficult socio-economic conditions.

2. A fine of from VND 1,000,000 to VND 2,000,000 shall be imposed on organizations that have been issued a Technology Transfer Contract Registration Certificate but fail to notify in writing the issuing authority when canceling the technology transfer contract.

Article 17. Violation of obligations regarding the use and transfer of research and development outcomes created with state budget funds

1. A fine of from VND 2,000,000 to VND 5,000,000 shall be imposed on organizations that fail to implement or implement incorrectly the requirement to publicly disclose the mechanism and distribution ratio of benefits according to the law on technology transfer.

2. A fine of from VND 5,000,000 to VND 10,000,000 shall be imposed on organizations for the act of using or transferring ownership rights to technology or research outcomes created with state budget funds in violation of regulations.

Article 18. Violation of policies encouraging the application, transfer, and innovation of technology

1. A fine of from VND 10,000,000 to VND 20,000,000 shall be imposed on organizations committing any of the following acts:

a) Using funds from the National Technology Innovation Fund for purposes other than those intended;

b) Implementing incorrectly or incompletely the contents committed to in order to receive funding from the National Technology Innovation Fund.

2. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed on organizations for fraudulent acts to obtain support and incentives under policies encouraging and promoting technology transfer.

3. Measures to remedy consequences:

Compel the return of the portion of funds that received preferential treatment and support for the acts stipulated in Clauses 1 and 2 of this Article.

Article 19. Violations in the business of technology transfer services

1. A fine of from VND 10,000,000 to VND 20,000,000 shall be imposed on organizations conducting the business of technology transfer services not in accordance with the contents recorded in the Business Registration Certificate for Technology Transfer Services that has been issued.

2. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed on organizations conducting the business of technology transfer services without a Business Registration Certificate for Technology Transfer Services.

Article 20. Violations in the establishment and implementation of technology transfer contracts, technology transfer service contracts

1. A fine of from VND 15,000,000 to VND 25,000,000 shall be imposed on individuals; a fine of from VND 30,000,000 to VND 50,000,000 shall be imposed on organizations for fraudulent or deceptive acts in the establishment or implementation of technology transfer service contracts.

2. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed on individuals; a fine of from VND 40,000,000 to VND 60,000,000 shall be imposed on organizations for any of the following acts:

a) Fraudulent or deceptive acts in the establishment of technology transfer contracts to obtain a Registration Certificate for Technology Transfer Contracts or a Permit for Technology Transfer.

b) Continuing to implement technology transfer contracts that have been suspended or canceled by competent state authorities.

c) Implementing contents that are incorrect or beyond the scope of the Technology Transfer Permit that has been issued.

3. Additional forms of punishment:

Suspension of the right to use the Technology Transfer Permit for a period of from one month to three months for the act specified in Point c Clause 2 of this Article.

Article 21. Violations in the transfer of technologies listed in the Restricted Technology Transfer Directory, Prohibited Technology Transfer Directory

1. A fine of from VND 20,000,000 to VND 30,000,000 shall be imposed on individuals; a fine of from VND 40,000,000 to VND 60,000,000 shall be imposed on organizations for transferring technologies listed in the Restricted Technology Transfer Directory without a Technology Transfer Permit.

2. A fine of from VND 40,000,000 to VND 50,000,000 shall be imposed on individuals; a fine of from VND 80,000,000 to VND 100,000,000 shall be imposed on organizations for transferring technologies listed in the Prohibited Technology Transfer Directory.

3. Additional forms of punishment:

a) Seizure of objects and means related to the implementation of the acts specified in Clauses 1 and 2 of this Article;

b) Deportation of foreign nationals who commit the acts specified in Clause 2 of this Article.

4. Measures to remedy consequences:

Forced destruction of products created from transferred technology or forced removal from the territory of Vietnam or forced re-export of products related to transferred technology from abroad into Vietnam (if applicable) for the acts specified in Clause 2 of this Article.

Chapter III
ADMINISTRATIVE SANCTIONING AUTHORITY FOR ACTIVITIES

SCIENCE AND TECHNOLOGY, TECHNOLOGY TRANSFER

Article 22. Administrative sanctioning authority of specialized inspectors for science and technology

1. Inspectors have the right:

a) To issue warnings;

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

c) Seize objects or means of administrative violations up to VND 500,000 in value;

d) To apply measures to remedy consequences as stipulated at Points a, c, đ Clause 1 of Article 28 of the Law on Handling Administrative Violations.

2. The Chief Inspector of the Department of Science and Technology has the right:

a) To issue warnings;

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

c) To suspend the right to use the Registration Certificate for Scientific and Technological Activities, the Technology Transfer Permit, the Registration Certificate for Technology Transfer Contracts;

d) To seize administrative violation objects and means up to VND 25,000,000 in value;

đ) To apply measures to remedy consequences as stipulated in Clause 1 of Article 28 of the Law on Handling Administrative Violations and Article 2 of this Decree.

3. The Head of the specialized inspection team at the provincial level has the authority to impose sanctions as provided for in Clause 2 of this Article.

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

a) To issue warnings;

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

c) To suspend the right to use the Registration Certificate for Scientific and Technological Activities, the Technology Transfer Permit, the Registration Certificate for Technology Transfer Contracts;

d) To seize administrative violation objects and means up to VND 35,000,000 in value;

đ) To apply measures to remedy consequences as stipulated in Clause 1 of Article 28 of the Law on Handling Administrative Violations and Article 2 of this Decree.

5. The Chief Inspector of the Ministry of Science and Technology has the right:

a) To issue warnings;

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

c) To suspend the right to use the Registration Certificate for Scientific and Technological Activities, the Technology Transfer Permit, the Registration Certificate for Technology Transfer Contracts;

d) Confiscate contraband and means of administrative violation;

đ) To apply measures to remedy consequences as stipulated in Clause 1 of Article 28 of the Law on Handling Administrative Violations and Article 2 of this Decree.

Article 23. Competence to impose administrative penalties of the Chairman of the People's Committee

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 property and means of transportation involved in administrative violations with a value up to 5,000,000 VND;

d) Apply measures to remedy consequences prescribed in points a, b, c, đ Clause 1 Article 28 of the Law on Handling Administrative Violations and Article 2 of this Decree.

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

d) Apply measures to remedy consequences prescribed in points a, b, c, đ, e, h, i Clause 1 Article 28 of the Law on Handling Administrative Violations and Article 2 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 the Registration Certificate for Scientific and Technological Activities, the Technology Transfer Permit, the Registration Certificate for Technology Transfer Contracts;

d) Confiscate objects and means used to commit administrative violations;

đ) To apply measures to remedy consequences as stipulated in Clause 1 of Article 28 of the Law on Handling Administrative Violations and Article 2 of this Decree.

Article 24. Competence to impose administrative penalties of other agencies

The forces: Police, Customs, Taxation, Other specialized inspection agencies have the competence to impose penalties according to the provisions of the Law on Handling Administrative Violations for acts prescribed in Chapter II of this Decree within their respective areas of management.

Article 25. Principles for determining and dividing competences to impose penalties

The competence to impose administrative penalties of those persons prescribed in Articles 22, 23, 24 of this Decree is the competence to apply to an individual's administrative violation; in cases of fines, the competence to impose penalties on organizations is twice the competence to impose penalties on individuals.

Article 26. Authority to issue administrative violation records

When discovering administrative violations, the person authorized to impose penalties, civil servants, officials performing their duties must promptly prepare a record and implement as prescribed in Article 58 of the Law on Handling Administrative Violations.

Chapter IV
IMPLEMENTING PROVISIONS

Article 27. Transitional Provisions

For administrative violations in scientific and technological activities, technology transfer occurring before July 1, 2013 but discovered later or under consideration and resolution, the provisions most favorable to the violating organizations and individuals shall be applied.

Article 28. Effective Date

1. This Decree takes effect from August 15, 2013.

2. Decree No. 127/2004/NĐ-CP dated May 31, 2004 of the Government stipulating administrative penalties for violations in scientific and technological activities, Decree No. 49/2009/NĐ-CP dated May 21, 2009 of the Government stipulating administrative penalties for violations in technology transfer activities, and Paragraphs 3, 4 Clause 28 of Decree No. 84/2006/NĐ-CP dated August 18, 2006 of the Government stipulating compensation for damages, disciplinary actions, and administrative penalties for thrift and waste prevention shall cease to be effective from the date this Decree takes effect.

Article 29. Responsibility for Implementation

The Ministers, Heads of ministerial-level agencies, Heads of government-attached agencies, Chairpersons of provincial People's Committees under the central city shall be responsible for implementing this Decree./.