Decree No. 93/2014/ND-CP Amending and supplementing some articles of Decree No. 64/2013/ND-CP dated June 27, 2013 of the Government on administrative penalties for violations in science and technology activities, technology transfer

DECREE

Amending and supplementing some articles of Decree No. 64/2013/ND-CP dated June 27, 2013 of the Government on administrative penalties for violations in scientific and technological activities, technology transfer

The Government promulgates this Decree amending and supplementing some articles of Decree No. 64/2013/ND-CP dated June 27, 2013 of the Government on administrative penalties for violations in scientific and technological activities, technology transfer.

in scientific and technological activities, technology transfer

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

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

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

At the proposal of the Minister of Science and Technology,

The Government issues a Decree amending and supplementing some Articles of Decree No. 64/2013/NĐ-CP dated June 27, 2013 of the Government stipulating administrative penalties for violations in scientific and technological activities, technology transfer.

Article 1. Amending and supplementing some articles of Decree No. 64/2013/ND-CP dated June 27, 2013 of the Government on administrative penalties for violations in scientific and technological activities, technology transfer:

1. Clause 2 shall be amended and supplemented as follows:

"Article 2. Measures to address consequences

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

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

2. Compel the cancellation of reports, documents containing false figures or content;

3. Compel public correction through mass media."

a) A customs declaration form for imported goods according to the information criteria specified in Model No. 01 - Declaration Form for Imported Goods attached as Appendix I to Circular No. 39/2018/TT-BTC dated April 20, 2018, issued by the Minister of Finance.

"Article 5. Violation of regulations on the operation of scientific and technological councils

1. Warning penalty for individual members of scientific and technological councils who fail to comply with procedures or evaluate and score incorrectly according to 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 individual members of scientific and technological councils who disclose information related to the evaluation process, comments, and advisory results without permission from the agency deciding to establish the council."

3. Article 6 shall be amended and supplemented as follows:

"Article 6. Violation of regulations on registering the results of implementing state-budget-funded scientific and technological tasks

Fine from VND 2,000,000 to VND 5,000,000 for individuals; fine from VND 4,000,000 to VND 10,000,000 for organizations that fail to register the results of implementing state-budget-funded scientific and technological tasks as required by competent state agencies."

4. Article 7 shall be amended and supplemented as follows:

"Article 7. Violation of regulations on scientific and technological activities

1. Warning penalty for individuals and organizations implementing state-budget-funded scientific and technological tasks beyond the committed time without approval from the state management agency assigning the task.

2. Fine from VND 1,000,000 to VND 2,000,000 for individuals; fine from VND 2,000,000 to VND 4,000,000 for organizations that falsely declare in application documents for selection and examination one 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.

3. Fine from VND 2,000,000 to VND 4,000,000 for individuals; fine from VND 4,000,000 to VND 8,000,000 for organizations committing one of the following acts:

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

b) Submitting documents for evaluation and acceptance of the implementation results of scientific and technological tasks containing false figures or content.

4. Measures to address consequences: Compel the cancellation of reports, documents containing false figures or content for acts stipulated at points a and b of Clause 3 of this Article."

5. Article 8 shall be amended and supplemented as follows:

"Article 8. Violation of regulations on reporting, registering, implementing activities, and dissolving scientific and technological organizations

1. Fine from VND 1,000,000 to VND 2,000,000 for scientific and technological organizations failing to report their operational status as required by competent state management agencies.

2. Fine from VND 1,000,000 to VND 2,000,000 for Vietnamese scientific and technological organizations failing to notify the Ministry of Science and Technology of the establishment of affiliated organizations abroad, representative offices, branches within thirty days from the date of permission to establish.

3. Fine from VND 2,000,000 to VND 3,000,000 for scientific and technological organizations committing one of the following acts:

a) Failing to register operations with competent state agencies within sixty days from the date of establishment;

b) Failing to register changes, supplements, or replacement of the Registration Certificate for Scientific and Technological Activities within twelve months from the date of change or loss of the Registration Certificate for Scientific and Technological Activities.

4. Fine from VND 2,000,000 to VND 4,000,000 for individuals; fine from VND 4,000,000 to VND 8,000,000 for organizations failing to dissolve scientific and technological organizations in accordance with the prescribed procedures.

5. Fine from VND 5,000,000 to VND 10,000,000 for scientific and technological organizations committing one of the following acts:

a) Conducting scientific and technological activities when the Registration Certificate for Scientific and Technological Activities, Representative Office Operation Certificate, Branch Operation Certificate, or Permission to Establish a Representative Office or Branch of foreign scientific and technological organizations has been suspended or revoked by competent state agencies;

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

c) Failing to maintain conditions for operation as registered at the time of establishment.

6. Fine from VND 10,000,000 to VND 15,000,000 for scientific and technological organizations committing one of the following acts:

a) Conducting scientific and technological activities without a Registration Certificate for Scientific and Technological Activities, Representative Office Operation Certificate, Branch Operation Certificate, or Permission to Establish a Representative Office or Branch of foreign scientific and technological organizations;

b) Leasing or lending the Certificate of Registration for Scientific and Technological Activities, the Certificate of Representative Office and Branch Activities, or the License to Establish Representative Offices and Branches of Foreign Scientific and Technological Organizations.

7. 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 in the application dossier for the Certificate of Registration for Scientific and Technological Activities, the Certificate of Representative Office and Branch Activities, or the License to Establish Representative Offices and Branches of Foreign Scientific and Technological Organizations.

8. A fine of VND 20,000,000 to VND 30,000,000 shall be imposed on Vietnamese scientific and technological organizations that establish subordinate organizations, representative offices, or branches abroad without prior approval from the Ministry of Science and Technology.

9. Additional form of administrative sanction: Revocation of the right to use the Certificate of Registration for Scientific and Technological Activities, the Certificate of Representative Office and Branch Activities, or the License to Establish Representative Offices and Branches of Foreign Scientific and Technological Organizations for a period of one to three months for organizations implementing the acts stipulated in Point b Clause 6 of this Article.

6. Supplement Article 8a following Article 8:

"Article 8a. Violation of regulations on the assessment and ranking of public scientific and technological organizations

1. A fine of VND 3,000,000 to VND 6,000,000 shall be imposed on public scientific and technological organizations that fail to implement the requirements for evaluation to serve state management by competent state management agencies.

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 independent assessment organizations for any of the following acts:

a) Conducting assessments and rankings not in accordance with the prescribed methods and criteria;

b) Conducting assessments and rankings not in good faith, impartially, or in accordance with the law;

c) Not publicly disclosing the results of assessments and rankings as required by law."

7. Article 9 is amended and supplemented as follows:

"Article 9. Violation of regulations on ownership and use of scientific and technological activity outcomes

1. A warning or a fine of VND 500,000 to VND 1,000,000 shall be imposed on individuals; a fine of VND 1,000,000 to VND 2,000,000 shall be imposed on organizations for using research results, data, or information from other individuals or organizations in scientific reports or documents without clearly indicating the source of such research results.

2. A fine of VND 5,000,000 to VND 10,000,000 shall be imposed on organizations entrusted with ownership or use rights over research and development outcomes funded by the state budget for any of the following acts:

a) Failing to report to the state owner's representative about the exploitation, transfer, or assignment of ownership or use rights over research and development outcomes;

b) Failing to notify the state owner's representative when they are no longer capable of exploiting the use rights over research and development outcomes;

c) Failing to implement or improperly implementing decisions on the transfer of rights by competent management authorities.

3. 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) Using, publishing data, technology processes, or information related to scientific and technological activity outcomes 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 inventions, technical improvements, process rationalizations, or research results of other individuals or organizations to register for participation in exhibitions, competitions, or awards on science and technology without their permission.

4. Measures to remedy consequences:

a) Compulsory public correction through mass media for the acts stipulated in Points a, b, and c Clause 3 of this Article;

b) Compulsory return of illegal profits derived from the violation for the acts stipulated in Points a, b, and c Clause 3 of this Article (if any)."

8. Article 10 is amended and supplemented as follows:

"Article 10. Violation of regulations on the application and dissemination of scientific and technological activity outcomes

1. A fine of VND 1,000,000 to VND 3,000,000 shall be imposed on organizations acting as project or program investors for economic and social development using the state budget for any of the following acts:

a) Failing to submit reports on the use of funds allocated for scientific and technological activities as prescribed;

b) Failing to organize research to establish scientific bases during the preparation, implementation, and resolution of scientific and technological issues arising during the implementation phase;

c) Failing to properly implement conclusions from scientific and technological reviews as prescribed.

2. A fine of VND 3,000,000 to VND 5,000,000 shall be imposed on individuals; a fine of VND 6,000,000 to VND 10,000,000 shall be imposed on organizations for disseminating analysis, review, or inspection results without the consent of the state agency that commissioned the work.

3. 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 undertaking scientific and technological tasks funded by the state budget, which have commitments and application addresses but fail to directly or participate in implementing the application of research results into production and daily life.

4. 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 applying the results of scientific and technological tasks not funded by the state budget into production and daily life, which require review according to regulations but have not undergone review by the competent state management authority on science and technology.

5. Measures to remedy consequences:

a) Compulsory return of illegal profits derived from the violation for the act stipulated in Clause 2 of this Article (if any);

b) Order the destruction of goods and items harmful to human health, livestock, crops, and the environment, and harmful cultural products related to the behavior specified in Clause 4 of this Article.

9. Article 12 shall be amended and supplemented as follows:

"Article 12. Violations concerning registration, management, and use of Science and Technology Development Funds

1. Imposes a fine of from VND 1,000,000 to VND 3,000,000 on individuals; imposes a fine of from VND 2,000,000 to VND 6,000,000 on organizations establishing Science and Technology Development Funds for any of the following acts:

a) Failing to report the establishment of a Science and Technology Development Fund to the competent state agency responsible for science and technology as prescribed;

b) Failing to report the allocation and use of a Science and Technology Development Fund as prescribed.

2. Imposes a fine of from VND 2,000,000 to VND 4,000,000 on individuals; imposes a fine of from VND 4,000,000 to VND 8,000,000 on organizations establishing Science and Technology Development Funds for any of the following acts:

a) Not having a regulation on proposal, determination of tasks, organization of implementation, and evaluation of acceptance of scientific and technological tasks of the organization;

b) Not having a regulation on expenditure and use of the Science and Technology Development Fund of the organization.

3. Imposes a fine of from VND 3,000,000 to VND 6,000,000 on individuals; imposes a fine of from VND 6,000,000 to VND 12,000,000 on organizations for managing and using a Science and Technology Development Fund not in accordance with the registered content.

4. Imposes a fine of from VND 4,000,000 to VND 8,000,000 on individuals; imposes a fine of from VND 8,000,000 to VND 16,000,000 on organizations for establishing a Science and Technology Development Fund without registering activities.

5. Imposes a fine of from VND 10,000,000 to VND 15,000,000 on individuals; imposes a fine of from VND 20,000,000 to VND 30,000,000 on organizations for failing to return the sponsored funds from a Science and Technology Development Fund formed from state budget funds within the stipulated time without the consent of the competent state authority.

6. Imposes a fine of from VND 30,000,000 to VND 40,000,000 on organizations required to establish a Science and Technology Development Fund for failing to allocate the minimum percentage prescribed for the Science and Technology Development Fund.

7. Imposes a fine of from VND 40,000,000 to VND 50,000,000 on organizations required to establish a Science and Technology Development Fund for failing to allocate from business income tax to establish a Science and Technology Development Fund.

8. Measures to remedy consequences:

a) Orders the repayment of the misappropriated funds, as stipulated in Clause 5 of this Article;

b) Orders the return of illegal gains derived from the violation as stipulated in Clause 5 of this Article (if any).

Article 2. Effective Date

This Decree takes effect from December 15, 2014.

Article 3. Transitional Provisions

For administrative violations in scientific and technological activities occurring before December 15, 2014, but discovered later or under consideration and resolution thereafter, the more favorable provisions shall apply to the violators.

The Head of the Ministry’s Office, Heads of Departments, Director of the Vietnam Registration Agency, Heads of agencies, units, and individuals related to this Circular shall be responsible for its enforcement.

1. The Minister of Science and Technology shall guide the implementation of this Decree.

2. Ministers, Heads of ministerial-level agencies, Heads of government-affiliated agencies, Chairpersons of provincial and centrally governed city People's Committees are responsible for implementing this Decree./.