Circular No. 9/LN-KL guiding the implementation of Government Decree No. 14-CP on administrative penalties for violations in forest management and protection.

CIRCULAR

OF THE MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT

Guidelines for Implementing Decree No. 14/CP of the Government on Administrative Sanctions for Violations in Forest Management and Protection

The Government has issued Decree No. 14/CP dated December 5, 1992, stipulating administrative sanctions for violations in forest management and protection.

The Ministry of Forestry hereby provides guidance as follows:

I. VIOLATIONS AND APPLICATION OF SANCTION LEVELS

 

A. IDENTIFYING VIOLATIONS

 1- Unauthorized deforestation (Article 1, Decree No. 14-CP)

It is the act of cutting down or destroying forests without permission from competent authorities, violating Article 13 of the Law on Forest Protection and Development.

Such acts include: Deforestation to obtain land for cultivation, animal husbandry, construction of power lines, or digging embankments in mangrove forests to raise shrimp.

Acts such as: Clearing forests to obtain land for cultivation, animal husbandry, construction of power transmission lines, and excavating and building embankments in mangrove forests for shrimp farming.

2- Unauthorized forest exploitation (Article 2)

It is the act of exploiting or cutting trees in forests to obtain timber for use or sale contrary to the provisions of Articles 19, 37, 38, and 39 of the Law on Forest Protection and Development. Such acts include:

2. 1- Exploiting forests or cutting trees without a permit or with an invalid permit.

2. 2- Forest owners violating forest management regulations and procedures such as: Exploitation without design, without a decision to open the forest, at incorrect locations, trees without hammer marks indicating they are to be cut, trees not yet old enough to be harvested, exceeding production quotas...

2. 3- Exploiting wood from Group IIA without permission from the Ministry of Forestry, violating the provisions of Council of Ministers' Decree No. 18-HĐBT dated January 17, 1992, which lists rare flora and fauna and their management and protection regimes.

For Group IA, the State strictly prohibits exploitation, use, and does not fall within the scope of administrative sanctions but must establish files according to the authority's regulations to pursue criminal responsibility.

2.4- In cases where unauthorized exploitation leads to the depletion, reduced quality, or grade of the forest, it shall be considered as deforestation and handled according to Article 1 of Decree No. 14-CP.

3- Unauthorized burning of forests to clear land for cultivation (Article 3).

It is the act of cutting, destroying, and burning forests to obtain land for cultivation outside the areas designated by the People's Committee of the district, violating Article 21 of the Law on Forest Protection and Development.

To limit deforestation for shifting cultivation, forestry inspection units must advise the People's Committee of the district to delineate regions and guide ethnic minorities in highland areas to engage in stable shifting cultivation.

4. Violation of fire prevention and firefighting regulations in forests (Article 4).

It is the act of violating fire prevention and firefighting regulations in forests or causing forest fires, violating Article 22 of the Law on Forest Protection and Development. Such acts include:

4. 1. Individuals or organizations causing forest fires resulting in damage to forest resources.

4. 2. Violating prohibitions on using fire in easily flammable forests such as cooking food, warming up, burning fields, or hunting wildlife with fire, or violating prohibitions on carrying explosives or flammable materials into forests...

4. 3. Forest owners violating fire prevention and firefighting regulations such as: Planting forests without designing firebreaks, canals, or other fire barriers, failing to implement guidelines from state forestry management agencies regarding fire prevention and firefighting in forests...

4. 4. When forest owners discover forest fires, they fail to immediately mobilize firefighting forces or report promptly to higher authorities to take rescue measures...

5. Violation of pest and disease control regulations in forests (Article 5).

It is the act of violating pest and disease control regulations in forests, violating Article 23 of the Law on Forest Protection and Development. Such acts include: Forest owners failing to implement pest and disease control measures as prescribed, neglecting to investigate and detect pests and diseases, or failing to organize eradication when there is an outbreak; using prohibited pesticides or incorrect dosages...

6. Unauthorized grazing of livestock in forests (Article 6).

It is the act of grazing livestock in areas prohibited for grazing, violating Articles 20 and 21 of the Law on Forest Protection and Development. Such acts include: Grazing livestock in newly planted or replanted forests, special-use forests, or areas where grazing is prohibited.

7. Unauthorized hunting of wild animals (Article 7).

It is the act of hunting or capturing wild animals contrary to current regulations on hunting wild animals, violating Article 19 of the Law on Forest Protection and Development. Such acts include:

7. 1. Hunting or capturing wild animals without a valid permit from forestry inspection authorities at provincial level or above, or hunting or capturing beyond the permitted scope, or using prohibited methods or tools to hunt or capture wild animals.

7. 2. Hunting or capturing wild animals belonging to Group IIB without permission from the Ministry of Forestry, violating the provisions of Council of Ministers' Decree No. 18-HĐBT dated January 17, 1992.

For Group IB, the State strictly prohibits exploitation and use, which does not fall within the scope of administrative sanctions but must establish files according to the authority's regulations to pursue criminal responsibility.

8. Unauthorized occupation of forested land (Article 8) and land for afforestation (Article 9).

It is the act of擅自使用未经许可的森林土地或造林地用于任何目的，违反了《森林保护和发展法》第11条和第13条的规定。

如果未经授权占用森林土地并砍伐该土地上的树木，则按照第14-CP号决议第1条处理。

9. Causing damage to forest land (Article 10).

违反《森林保护和发展法》第24条关于保护森林土地的规定的行为。例如：未经许可挖掘、填埋、爆破、取土、采石或挖树根等行为。

10. Causing damage to forests (Article 11)

违反《森林保护和发展法》第24条关于保护森林生态环境的规定的行为。例如：

挖掘或填埋导致森林被淹没，将有害物质存放在森林中或将有害废物排放到森林中等行为。

11. Violation of regulations on the export and import of forest products (Article 12).

违反《森林保护和发展法》第25条关于出口和进口林产品、野生植物、种子和野生动物的规定的行为。例如：未经林业部许可出口或进口野生植物、种子和野生动物等。

Exporting timber products or types of timber products (as specified in Circular 09-TT/LB dated May 18, 1992) that the State has prohibited from export.

12. Illegally transporting timber products (Article 13).

This is a violation of the procedures for transporting timber products, violating Article 20 of the Law on Protection and Development of Forests. Specifically, it involves violations of the provisions set out in Circular No. 08-LN/KL dated April 25, 1992 guiding the inspection of logging and transportation of timber products, and Circular No. 13-LN/KL dated October 12, 1992 of the Ministry of Forestry guiding the implementation of Decree No. 18-HĐBT specifying the list of precious forest plants and animals and the management and protection regime.

13. Illegally buying, selling, storing, using, or trading in timber products (Article 14).

This is a violation of the regulations on managing and trading in timber products, violating Article 20 of the Law on Protection and Development of Forests. Such acts include: illegally buying, selling, storing, or using timber products with illegal sources of extraction; trading in timber products without a permit issued by the competent authority, or trading in timber products with illegal sources.

B. APPLICATION OF PENALTY LEVELS

1. Basis for determining the level of penalty

After the forestry inspection agency identifies the violation under Section A of this Circular, they base their decision on three factors to determine the level of penalty.

a) Nature and degree of the violation: Consider the object harmed; the direct means and tools used to commit the violation; the purpose, motive, attitude, and form of negligence (whether intentional or unintentional) of the violator; and the consequences caused by the violation.

b) The personal circumstances of the violator such as: Personal history (having prior convictions or offenses); health condition, age, educational level, occupation, living environment.

c) Mitigating or aggravating circumstances as provided in Articles 7 and 8 of the Administrative Offense Penalty Regulation.

2. Forms of penalties and other administrative measures.

a) Main forms of penalty.

Individuals and organizations violating administrative regulations in the field of forest management and protection must bear one of the following main penalties:

a1) Warning: Only applicable to individuals who violate for the first time and have mitigating circumstances determined by the forestry inspection agency or forestry inspector with the authority to impose penalties, which shall be decided in writing or orally at the scene.

a2) Fine:

Imposing a fine of between 20,000 VND and 50,000 VND for individuals and organizations violating for the first time; where the nature of the violation is simple, clear, and has not caused significant damage to forests and timber products.

Imposing a fine of more than 50,000 VND up to 10,000,000 VND: In the Decree, specific fines for each act and each level of violation causing damage to forests and timber products are stipulated; in cases with aggravating circumstances, the maximum fine prescribed for that act may be applied.

For individuals and organizations violating administrative regulations in the economic sector, violating Articles 12, 13, and 14 of Decree 14-CP with aggravating circumstances, a fine of one to three times the value of the illegally traded timber products or one to three times the amount of unlawful gains may be imposed. The amount of the fine as an economic measure does not depend on the maximum fine within the jurisdiction of each level as prescribed in Article 15 of Decree 14-CP.

b) Additional penalties.

 In addition to the main penalties, individuals and organizations violating administrative regulations may also bear the following additional penalties:

b1) Revocation of permits in the following cases: Permits issued beyond the authorized jurisdiction; permits containing contents contrary to forest management regulations and timber product management; permits obtained through renting or purchasing from others; expired permits; or valid permits but due to the nature and severity of the violation, it is necessary to revoke the violator's permit to prevent recurrence.

b2) Confiscation of contraband items and means of violation including: Illegal timber products and tools directly used for committing the offense. Confiscation of contraband items and means of violation is an economic penalty against the violator; if deemed necessary, these items should be confiscated for the State and to prevent recurrence. This measure mainly applies to serious, intentional, repeated violations, and rare species of timber, birds, and animals.

c) Other administrative measures.

In addition to the main penalties and additional penalties, the forestry inspection agency may apply other administrative measures to individuals and organizations that violate regulations:

Forced demolition of unauthorized construction works;

Suspension of activities causing environmental pollution in forests, unauthorized logging, and deforestation...

3. Compensation for damage to forest resources.

Any person who violates regulations causing damage to state-owned, organizational, or individual forest resources must compensate for the damage according to Article 52 of the Law on Protection and Development of Forests, as follows:

Obligation to replant the forest, fill in the area that was excavated.

If the violator is unable to replant or fill in the land, compensation shall be made in cash to the State or the forest owner based on the actual cost of planting a forest in the locality or the cost of filling in the land.

4. Calculation of fines.

Divide the highest fine in each penalty range by the area of forest, volume, or quantity of timber products damaged at the highest level within that penalty range, then multiply by the area of forest, volume, or quantity of timber products damaged. Based on the provisional fine amount calculated, consider the three factors stipulated in point 1, section B of this Circular to decide on the form and level of penalty. For violations that cannot be calculated using the above method, consider the nature, act of violation, degree of damage, and combine the three factors to decide on the form and level of penalty.

II. AUTHORITY TO IMPOSE ADMINISTRATIVE PENALTIES.

According to Article 15 of Decree 14-CP, the authority to impose administrative penalties in the field of forest management and protection is as follows:

1. Forestry inspectors while performing their duties and having been delegated the authority to impose administrative penalties by the head of the forestry inspection agency may impose penalties.

Forestry rangers may be subject to a warning or fined up to 20,000 VND. Forest ranger station chiefs; forest product control station chiefs, and mobile inspection team leaders may be fined up to 50,000 VND. In cases exceeding their authority to impose penalties, they must prepare a record, temporarily detain evidence, and report to higher authorities for resolution.

2. Forest district chiefs, Forest Inspection Division chiefs, and Chief of the Forest Inspection Department may apply forms of administrative penalties, other administrative measures, and fines as follows: Forest district chiefs and Forest Product Control District chiefs may be fined up to 2,000,000 VND; Forest Inspection Division chiefs may be fined up to 5,000,000 VND; Chief of the Forest Inspection Department may be fined up to 10,000,000 VND.

Deputies of the forestry agencies at the levels mentioned above, when authorized by the agency head to impose penalties, shall have the right to impose penalties as prescribed for the heads and shall be responsible before the agency head for their penalty decisions.

3. Chairpersons of People's Committees at the district level may apply forms of administrative penalties, other administrative measures, and may fine up to 5,000,000 VND for cases exceeding the authority of the forest district chief.

Chairpersons of People's Committees at the provincial level may apply forms of administrative penalties, other administrative measures, and may fine up to 10,000,000 VND for cases exceeding the authority of the district-level People's Committee Chairperson and the Forest Inspection Division chief.

4. Provisions for handling cases exceeding the authority to impose penalties.

Handling cases exceeding the authority to impose administrative penalties by various levels must ensure promptness, timeliness, and accuracy within the time limit specified in Article 28 of the Administrative Violation Penalty Decree.

Cases exceeding the authority of the forest district chief shall be referred to the district People's Committee for examination and resolution.

Cases exceeding the authority of the forest product control district chief and the mobile inspection team leader under the Forest Inspection Division shall transfer the case file to the Forest Inspection Division for examination and resolution.

Cases exceeding the authority of the district-level People's Committee Chairperson, the forest district shall advise the district People's Committee to refer the case to the provincial People's Committee Chairperson for examination and resolution. At the same time, the forest district shall report to the Forest Inspection Division so that the division can advise the provincial People's Committee for examination and resolution.

Cases exceeding the authority of the Forest Inspection Division chief shall be referred to the provincial People's Committee for examination and resolution.

5. Once administrative penalty decisions take effect, forestry agencies at all levels must immediately organize their implementation.

6. When forest owners discover individuals or organizations illegally cutting down or destroying forests within their management area, they must prepare a record, temporarily detain evidence and means of violation, and promptly transfer the file to the local forestry agency for examination and handling. After processing confiscated timber, forest products, and forest special products, the forestry agency shall handle the procedures to return them to the forest owner, who must reimburse the actual costs incurred in the processing.

7. For violations with many aggravating circumstances, causing serious consequences beyond the scope of administrative violation penalties, or where the violator assaults public officials, depending on specific circumstances, the forestry agency may initiate prosecution and investigation according to the jurisdiction prescribed by law, or prepare a file to transfer to the People's Procuracy or the investigation agency at the same level to request criminal responsibility.

III. PROCEDURES FOR ADMINISTRATIVE PENALTIES. 

A. SIMPLE PROCEDURE FOR ADMINISTRATIVE PENALTIES

This procedure involves making an on-the-spot penalty decision by oral warning or issuing a receipt for a fine not exceeding 50,000 VND within the authority to impose penalties of forestry rangers, forest ranger station chiefs, and forest product control station chiefs.

When deciding on a penalty, forestry rangers and staff with the authority to impose penalties must clearly record: The name, address of the violator, the violated clause, the amount of the fine; the name, position of the person imposing the penalty on the fine receipt and hand over a copy to the violator.

B. PROCEDURE WITH RECORDING OF VIOLATION

1- Discovery and recording: Forestry staff while performing duties patrolling forests, inspecting forest products, searching, discovering acts violating the Law on Forest Protection and Development, Decree 14-CP, shall record the violation according to Article 21 of the Administrative Violation Penalty Decree.

After initially recording the act of violation, if there is insufficient evidence to conclude, the forestry agency must immediately conduct an investigation, verification, and supplementary investigation record at the scene or place of purchase or sale of forest products to fully and objectively determine the act of violation, while preventing the violator from disposing of evidence or legalizing documents.

2- Applying preventive measures

2.1- Temporary detention of persons under administrative procedures.

Forestry staff during patrols and inspections of forests, upon discovering persons committing illegal acts such as deforestation, logging, felling trees, hunting wild animals... shall apprehend the violators and bring them to the forestry agency's office or the nearest People's Committee office of the commune, ward for resolution. If it is deemed necessary to detain the person to verify the address, identity of the violator, and other circumstances as grounds for the penalty decision, the Head or Deputy Head of the forestry agency at the district and division levels shall issue a decision to temporarily detain the person under administrative procedures and hand over a copy to the detained person, while informing their family members or workplace.

The period of temporary detention of administrative violators shall not exceed twelve hours. In exceptional cases, the detention period may be extended but shall not exceed twenty-four hours from the time of detention. In special cases, where the violator commits administrative offenses in remote and isolated forest areas, the detention period may be extended but shall not exceed forty-eight hours. During the detention period, the detainee must arrange for their own basic living needs. If they cannot do so, the forestry agency shall decide to provide the minimum necessary assistance and the detainee shall be responsible for reimbursing the agency upon release.

2.2- Body search under administrative procedures.

The head and deputy head of forest rangers' agencies at district level and above have the authority to decide to search persons when there is evidence to determine that such persons are concealing objects, documents, or means of administrative violation within their bodies; forest ranger officers and staff may conduct administrative searches on persons if they have grounds to confirm that such persons are concealing objects, documents, or means of administrative violation within their bodies, and must report immediately to the agency's head afterwards.

All searches of persons must be recorded in a record and handed over to the person being searched.

2.3. Administrative search of transport vehicles and objects.

Forest ranger officers and staff, while performing their duties or upon receiving reports from citizens with grounds to suspect that objects of administrative violations are concealed in transport vehicles or objects, have the right to stop the vehicle for inspection.

When conducting a search of transport vehicles or objects, the owner of the vehicle must be present, along with one witness. In cases where the owner is absent, two witnesses must be present. After the search is completed, a record must be made and given to the owner of the vehicle.

2.4. Search of places concealing objects of administrative violations.

While patrolling forests, inspecting forest products, supervising business operations, or upon receiving reports from citizens indicating signs of concealment of objects of administrative violations in houses, ponds, lakes, gardens, or warehouses of agencies and units, the forest ranger agency will coordinate with the Police, Public Prosecution Service, and local People's Committee to conduct inspections. Searches of places concealing objects of administrative violations shall be carried out in accordance with Article 26 of the Ordinance.

2.5. Temporary detention of objects and means of administrative violations.

Upon determining the need to immediately prevent administrative violations or to verify necessary circumstances as the basis for deciding on administrative penalties, the head and deputy head of forest ranger agencies at district level and above have the authority to issue a decision to temporarily detain objects and means of administrative violations. Following issuance of this decision, a temporary detention record must be created and assigned to someone to strictly manage the detained items to prevent loss, damage, or substitution. The detention record must clearly state the quantity, type, specifications, quality of forest products; characteristics and conditions of detained means and tools. The record must be signed by the forest ranger officer who created it, the owner of the detained objects and means.

For perishable objects such as wild animal meat, fresh bamboo shoots, which are intended for confiscation, the forest ranger agency issues a decision to temporarily detain these objects for sale at agreed prices. Proceeds from sales are deposited into the unit's account at the State Treasury pending further processing.

3. Examination and Decision on Administrative Penalties.

Based on the violation behavior, the forest ranger agency examines and issues a penalty decision according to its authorized jurisdiction or transfers the case to a higher-level agency for punishment. Within fifteen days from the date of recording the administrative violation, the forest ranger agency or the competent People's Committees at various levels must issue a penalty decision against the violator.

When issuing a penalty decision, the forest ranger agency must send the penalty decision to the violator or organization no later than three days from the date of issuance.

4. Execution of Penalty Decisions and Forced Execution of Penalty Decisions.

Individuals or organizations subject to administrative penalties must execute the penalty decision immediately from the date they receive the decision. The forest ranger agency issuing the penalty decision is responsible for completing the remaining penalty procedures for the violator, such as collecting fines, handling confiscated objects and means, compensating damages...

Within five days from the effective date of the penalty decision, if the party does not comply with the decision, the forest ranger agency will cooperate with relevant agencies to apply coercive measures as stipulated in Article 32 of the Ordinance on Administrative Penalties.

5. Handling Confiscated Objects and Means.

For illegal forest products that have been confiscated, the forest ranger agency sells them at agreed prices or through public auctions to businesses and state agencies with usage needs. Special forest products, plants, and rare and precious wild animals, when sold, require approval from the provincial People's Committee.

For confiscated means of violations, the forest ranger agency sells them through public auctions in accordance with current regulations.

Proceeds from selling confiscated forest products and means are submitted to the State Treasury after deducting investigation, verification, loading, transportation, storage, appraisal costs, and rewards as prescribed.

6. Rewards and Management and Use of Reward Money.

The head of the forest ranger agency authorized to impose administrative penalties has the authority to allocate rewards:

Depending on the complexity of each case, the percentage of rewards within the range of 1 to 15% of the fine amount and the value of confiscated objects and means, after deducting necessary expenses (if any), is decided.

Based on the contribution of the collective and individuals directly involved in discovering, apprehending, and handling violations, specific reward amounts for the collective and individuals are determined within 50% of the allocated rewards, with individual rewards not exceeding 2 million VND. After distributing rewards according to the above decisions, any surplus should be used to purchase equipment for work purposes.

Fifty percent of the remaining total allocated rewards are used to purchase equipment for work purposes. The forest ranger agency deposits this money into a bank account at the State Treasury and maintains records to track expenditures effectively. Arbitrary use of this money is strictly prohibited.

7. Handling Complaints.

Article 36 and 37 of the Ordinance on Administrative Sanctions stipulates the right to appeal against administrative sanctions imposed on individuals or organizations to state agencies. Within ten days from the date of receipt of the sanction decision, the agency receiving the appeal shall handle it as follows:

7.1. Appeals against the imposition of sanctions by forest rangers, forest guard station chiefs, forest product control station chiefs under the forest protection district or forest product control district shall be examined and resolved by the chief of the forest protection district or the chief of the forest product control district. If the appeal concerns officers, staff members, or team leaders of mobile inspection teams under the forest protection division, it shall be examined and resolved by the Chief of the Forest Protection Division.

7.2. Appeals against the imposition of sanctions by the chief of the forest protection district shall be examined and resolved by the Chairman of the People's Committee of the district.

7.3. Appeals against the imposition of sanctions by the Chairman of the People's Committee of the district or the Chief of the Forest Protection Division shall be examined and resolved by the Chairman of the People's Committee of the province.

7.4. Appeals against the imposition of sanctions by the Chairman of the People's Committee of the province or the Director of the Forest Protection Department shall be examined and resolved by the Minister of Forestry.

Within fifteen days from the date of receipt of the appeal, the responsible agency must provide a response regarding the resolution of the appeal to the appellant.

8. Archiving of files: To serve as a basis for considering and resolving appeals and complaints from citizens; to meet the requirements of inspections and audits by higher-level management agencies; and to summarize experiences in handling administrative violations, after the completion of the handling of each violation case, the forestry agency must organize the file and store it for preservation for a period of ten years.

Each file for archiving includes related documents concerning the imposition of sanctions, arranged chronologically and numbered continuously from 01 to the end of the set; the number is placed in the upper right corner of the paper; a sequential record of all numbered types of documents and the file index is compiled. Each file must be kept in a hard cover folder, with the outside cover noting: File, name, address of the individual or organization that violated. Files of each year should be stored in that year, with cabinets provided and assigned personnel to manage them to prevent loss or damage.

Attached to this Circular are the forms and files to be applied in the imposition of administrative sanctions in the field of forest management and protection. The Forest Protection Department is responsible for assisting the Minister in guiding and summarizing the implementation of this Circular.

This Circular takes effect from the date of signature and replaces previous documents of the Ministry of Forestry guiding administrative sanctions in the field of forest management and protection.