THE GOVERNMENT | SOCIALIST REPUBLIC OF VIETNAM |
No. 155/2013/ND-CP | Hanoi, November 11, 2013 |
DECREE
STIPULATING THE SANCTION OF ADMINISTRATIVE VIOLATIONS IN PLANNING AND INVESTMENT
Pursuant to the December 25, 2001 Law on Organization of the Government;
Pursuant to the June 20, 2012 Law on handling of administrative violations;
Pursuant to the November 29, 2005 Law on enterprises;
Pursuant to the November 29, 2005 Law on investment;
Pursuant to the November 29, 2005 Law on tendering;
Pursuant to the November 26, 2003 Law on Construction;
Pursuant to the June 19, 2009 Law on amending and supplementing a number of articles of the Laws concerning capital construction investment;
Pursuant to the November 20, 2012 Law on cooperatives;
At the proposal of the Minister of Planning and Investment;
The Government promulgates Decree stipulating the sanction of administrative violations in planning and investment,
Chapter 1
GENERAL PROVISIONS
Article 1. Scope of regulation
1. This Decree prescribes administrative violations, sanctioning forms and levels, remedial measures, the authority to make minutes of administrative violations and authority to sanction administrative violations in planning and investment.
2. Acts of administrative violation in planning and investment specified in this Decree include the following acts:
a) Violations of regulations in domain of investment with state capital;
b) Violations of regulations in domain of domestic investment, foreign investment and Vietnam’s investment abroad;
c) Violations of regulations in domain of bidding management;
d) Violations of regulations in domain of business registration in respect to enterprises, business households, cooperatives, and cooperatives’ unions;
3. Other administrative violations in planning and investment not specified in this Decree shall comply with provisions in other Government’s Decrees on sanctioning administrative violations in the relevant state management domains.
Article 2. Objects sanctioned on administrative violations
The objects of application of this Decree include Vietnamese and foreign organizations and individuals committing acts of administrative violation in planning and investment.
Article 3. Forms of sanction and remedies
1. For each administrative violation, the infringing organizations and individuals must suffer one of following main sanctions:
a) Caution;
b) Fine.
2) Depending on the nature and seriousness of violation, the infringing organizations or individuals may also be subject to one or many remedies specified in Articles of Chapter 2 of this Decree.
Article 4. Fine levels in planning and investment
The fine levels specified in Chapter 2 of this Decree are fine levels applied to organizations.
For a same administrative violation, the fine level imposed on individuals and households shall be equal to ½ (a half) of the fine level imposed on organizations
Chapter 2.
ADMINISTRATIVE VIOLATIONS, SANCTIONING FORMS AND REMEDIAL MEASURES
SECTION I: ADMINISTRATIVE VIOLATIONS IN DOMAIN OF INVESTMENT WITH STATE CAPITAL, SANCTIONING FORMS AND REMEDIAL MEASURES
Article 5. Violation of regulations on feasibility study reports (investment projects, eco-technical reports for projects with works construction)
1. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Failing to observe the orders of, procedures for preparing and evaluating the feasibility study reports;
b) Failing to observe the orders of, procedures for and conditions of adjusting the investment projects.
2. A fine of between VND 10,000,000 and VND 15,000,000 for any of the following acts:
a) Preparing the estimates, paying and finalizing the expenses to make the feasibility study reports in contravention with the set price unit and norm;
b) Preparing the feasibility study reports inconsistent with the scale of project group as prescribed;
c) Preparing the feasibility study reports inconsistent with national standards, national technical regulations;
d) Preparing the feasibility study reports with insufficient contents as prescribed;
3. A fine of between VND 15,000,000 and VND 20,000,000 for any of the following acts:
a) Making the feasibility study reports not included in planning or without approval for supplementation of planning by competent authorities;
b) Making the feasibility study reports in contravention of the approved planning;
4. Remedial measures:
a) Forcible refund of the additionally-increased costs due to the preparation of cost estimates, pre-acceptance test, payment and finalization of costs for making the feasibility study reports in contravention with the regulations for violations specified at Point a Clause 2 of this Article;
b) Forcible adjustment of the feasibility study reports to be appropriate with the national standards, national technical regulations for violations specified at Point c Clause 2 of this Article;
c) Forcible supplement of lacked contents for violations specified at Point d Clause 2 of this Article;
d) Forcible adjustment of the feasibility study reports to be appropriate with the approved planning for violations specified at Point b Clause 3 of this Article.
Article 6. Administrative violations in investment with works construction
Administrative violations in investment with works construction on survey, design, supervision, construction of works, quality management, pre-acceptance test, payment and finalization of the investment project shall be sanctioned according to the Government’s regulations on sanctioning administrative violations in construction operation.
Article 7. Violations of regulations on reporting investment supervision and evaluation
1. A fine of between VND 1,000,000 and VND 2,000,000 for any of the following acts:
a) Making report on investment supervision and evaluation improperly with the set time limit;
b) Making report on investment supervision or evaluation with insufficient contents as prescribed;
2. A fine of between VND 2,000,000 and VND 5,000,000 for any of the following acts:
a) Failing to make report on investment supervision and evaluation to send to the competent agencies as prescribed.
b) Making untruthful report on investment supervision or evaluation.
3. Remedial measures:
a) Forcible supplementation of lacked contents to report on investment supervision or evaluation for violation specified at Point b Clause 1 of this Article;
b) Forcibly sending report on investment supervision and evaluation to the competent state agencies for violation specified at Point a Clause 2 of this Article.
Article 8. Violations on management of implementation of programs and projects using the official development assistance capital resource (ODA)
1. A fine of between VND 5,000,000 and 10,000,000 VND for any of the following acts:
a) Failing to organize supervision and evaluation of implementation of ODA programs and projects as prescribed;
b) Implementing projects behind the prescribed schedule unless there is objective reason ormajeure event.
2. A fine of between VND 20,000,000 and 30,000,000 VND for act of carrying out projects in contravention with the contents stated in the investment decision, approval decision of documents of programs, projects on technical support;
3. Remedial measures: forcible organization of project supervision and evaluation as prescribed for violations specified at Point a Clause 1 of this Article.
Article 9. Violations on the reporting regime and information provision for ODA programs and projects
1. A fine of between VND 1,000,000 and VND 2,000,000 for act of failing to observe the reporting regime on result of implementation of ODA programs and projects in order to send it to the competent agencies as prescribed.
2. A fine of between VND 5,000,000 and VND 10,000,000 for act of providing the falsified information or documents for the contractual parties, consultants of making and performing the ODA programs and projects.
3. Remedial measures:
a) Forcibly making reports to send to the competent state management agencies as prescribed by law for violation specified at Clause 1 of this Article;
b) Forcible provision of exact information and documents for contractual parties, consultants of making and performing programs and projects for violation specified at Clause 2 of this Article.
SECTION 2. ADMINISTRATIVE VIOLATIONS IN DOMESTIC INVESTMENT, FOREIGN INVESTMENT AND VIETNAM’S INVESTMENT ABROAD, SANCTIONING FORMS AND REMEDIAL MEASURES
Article 10. Violations of regulations on investment in Vietnam
1. A fine of between VND 5,000,000 and VND 10,000,000 for act of failing to report on investment activities, supervision and evaluation of investment projects as prescribed.
2. A fine of between VND 10,000,000 and VND 15,000,000 for act of reporting untruthfully investment activities;
3. A fine of between VND 15,000,000 and VND 20,000,000 for any of the following acts:
a) Making dossiers of investment project untruthfully and inaccurately to be granted the investment certificate.
b) Conducting the project later than the schedule stated in the investment certificate without the approval of the competent state agency.
4. A fine of between VND 20,000,000 and VND 30,000,000 for any of the following acts:
a) Failing to do procedures for adjusting the investment project as prescribed by law;
b) Suspending or rescheduling the execution of investment project without notifying in writing the state management agency in charge of investment thereof;
c) Failing to do procedures for terminating operation of investment project, procedures for liquidation of investment project;
5. A fine of between VND 30,000,000 and VND 50,000,000 for any of the following acts:
a) Failing to perform investment operation in accordance with contents stated in investment certificates;
b) Investing in the form of contributing capital, buying shares, merging, acquiring enterprises in contravention of regulations;
c) Transforming the investment form or transferring investment capital in contravention of regulations;
d) Transferring projects in contravention of regulations.
6. A fine of between VND 50,000,000 and VND 70,000,000 for any of the following acts:
a) Failing to do the investment procedures as prescribed by law;
b) Continuing carrying out project after the investment certificate has been revoked;
c) Continuing carrying out project after the validity duration stated in the investment certificate expires;
d) Failing to carry out project within12 months without the approval of the competent state agency.
7. A fine of between VND 70,000,000 and VND 80,000,000 for act of carrying out project before being granted the investment certificate;
8. Remedial measures:
a) Forcible implementation of reports on investment operation, report on supervision and evaluation of investment project as prescribed for violation specified at Clause 1 of this Article;
b) Forcible adjustment of investment project for violation specified at Point a, Clause 4 of this Article;
c) Forcibly sending notification to the state management agency in charge of investment for violation specified at Point b Clause 4 of this Article;
d) Forcible termination of operations of investment project, liquidation as prescribed for violations specified at Point c Clause 4 of this Article;
e) Forcibly doing procedures for extension of the investment certificate for violation specified at Point c Clause 6 of this Article.
Article 11. Violations of regulations on using state capital for investment or business
1. A fine of between VND 30,000,000 and VND 50,000,000 for any of the following acts:
a) Using state capital for investment, capital contribution, share purchase without the approval of competent agencies.
b) Changing the investment project with the state capital without approval of competent state agencies;
2. A fine of between VND 50,000,000 and VND 70,000,000 for act of investment, or business with state capital in contravention of purpose.
Article 12. Violations of regulations on investment abroad
1. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Failing to execute the reporting regime on investment abroad as prescribed;
b) Failing to notify or notifying inadequately the execution of investment project as prescribed.
2. A fine of between VND 20,000,000 and VND 30,000,000 for any of the following acts:
a) Failing to comply with the contents stated in the investment certificate;
b) Transferring profits and income from investment in other countries back to Vietnam in contravention of regulations;
c) Failing to transfer all lawful capital and assets back to Vietnam upon termination of projects as prescribed;
3. A fine of between VND 30,000,000 and VND 40,000,000 for any of the following acts:
a) Making an inaccurate or untruthful dossier for grant of certificate of investment abroad;
b) Using profits earned from an offshore investment project for reinvestment in that project when the investment certificate has not yet been adjusted as prescribed;
c) Using profits earned from an offshore investment project for reinvestment in another project abroad before being granted an investment certificate as prescribed;
4. A fine of between VND 50,000,000 and VND 60,000,000 for any of the following acts:
a) Making offshore investment without an approval of state agencies competent to grant of investment certificate;
b) Transferring investment capital abroad without an investment certificate or approval of a competent state agency of the host country;
c) Using the state capital to make offshore investment in contravention of regulations;
5. Remedial measures:
a) Forcibly make investment reports as prescribed, for violations specified at Point a Clause 1 of this Article;
b) Forcibly comply with contents of the investment certificate, for violation specified at Point a, Clause 2 of this Article;
c) Forcible registration for adjusting the investment certificate for violation specified at Point b Clause 3 of this Article;
d) Forcible implementation of investment procedures for violation specified at Point c Clause 3 of this Article.
Article 13. Violations of regulations on investment incentives
1. A fine of between VND 10,000,000 and VND 15,000,000 for act of failing to re-notify a competent state agency of their failure to satisfy the committed conditions for enjoying investment incentives. If making declaration to enjoy investment incentives that violates the law on tax, measures to sanction against administrative violations in tax shall be applied.
2. A fine of between VND 15,000,000 and VND 20,000,000 for act of making inaccurate or untruthful declaration on necessary information for being enjoyed investment incentives.
3. Remedial measures: Forcible refund of investment incentives already being enjoyed in contravention of regulations for violations specified at Clause 1 and Clause 2 of this Article.
Article 14. Violations of regulations on investment in forms of build-operate-transfer (BOT), build-transfer-operate (BTO), build-transfer (BT) and Public Private Partnerships (PPP) contracts
1. A fine of between VND 20,000,000 and VND 30,000,000 for any of the following acts:
a) Failing to implement the guarantee measure for executing the project contract as prescribed.
b) Making finalization dossier of the finished works value in contravention of regulations;
2. A fine of between VND 30,000,000 and VND 40,000,000 for acts of works transfer in contravention with the regulation.
3. A fine of between VND 40,000,000 and VND 50,000,000 for act of making, verifying contents of the feasible study report in contravention with regulations.
4. Remedial measures: Forcible implementation of measures to ensure implementation of project contract for violation specified at Point a Clause 1 of this Article.
Article 15. Violations of regulations on investment in infrastructure system of industrial zones, export processing zone, hi-tech parks and economic zones
Organizations, individuals that violate regulations on investment in the technical infrastructure system in industrial zones, export processing zones, hi-tech parks, and economic zones shall be sanctioned as prescribed in Article 5, Article 6, Article 10, Article 11 and Article 13 of this Decree.
SECTION 3. ADMINISTRATIVE VIOLATIONS IN BIDDING, SANCTIONING FORMS AND REMEDIAL MEASURES
Article 16. Violations of regulations on bidding plan
1. A fine of between VND 10,000,000 and VND 15,000,000 for any of the following acts:
a) Making, appraising, approving the bidding plans in contravention of the orders, procedures and authority as prescribed;
b) Approving bidding plans with insufficient contents as prescribed.
2. A fine of between VND 15,000,000 and VND 20,000,000 for any of the following acts:
a) Approving forms of contract, mode of bidding, duration for implementation of contract in contravention with the size and nature of the bidding package;
b) Approving forms of contractor selection in contravention with regulations.
3. A fine of between VND 20,000,000 and VND 30,000,000 for act of dividing the size of bidding package unreasonably, failing to meet requirements on technical nature, process of implementing project, and the synchronism of project that lead to decrease of competitiveness in bid.
4. Apart from the sanctioning forms specified at Clause 1, Clause 2 and Clause 3 of this Article, the infringing organizations and individuals may also have the violation published in the bidding newspaper and bidding website.
Article 17. Violations of regulations on bid invitation dossiers and requirement dossiers
1. A fine of between VND 10,000,000 and VND 15,000,000 for any of the following acts:
a) Failing to organize verification of the bid invitation dossiers, requirement dossiers before approval;
b) Approving the bid invitation dossiers, requirement dossier in contravention to the competence as prescribed.
2. A fine of between VND 15,000,000 and VND 20,000,000 for act of failing to regulate the use of domestic labors in the bid invitation dossier for the international bidding packages.
3. A fine of between VND 20,000,000 and VND 30,000,000 for any of the following acts:
a) Stating prerequisite conditions in order to remove the bid invitation dossiers or proposal dossiers in contravention with regulations, that limiting participation of contractors;
b) Stating criteria for assessing the bid invitation dossier, requirement dossiers in contravention with regulations or not conforming the size and nature of bidding packages;
4. A fine of between VND 30,000,000 and VND 40,000,000 for act of approving the bid invitation dossiers or requirement dossiers in contravention with the approved bidding plans about the forms to select contractors, modes of bidding, forms of contract, duration for implementation of contract.
5. Apart from the sanctioning forms specified at Clause 1, Clause 2, Clause 3 and Clause 4 of this Article, the infringing organizations and individuals shall also be published in the bidding newspaper and bidding website.
Article 18. Violations of regulations on organization of biddings
1. A fine of between VND 5,000,000 and VND 10,000,000 for acts of not issuing the bid invitation dossiers, requirement dossiers, dossiers of invitation for prequalification, concern records to the bidders in accordance with the time, place stated in the bidding notice, notice of invitation for prequalification, bid invitation letter, notice of invitation for offers.
2. A fine of between VND 10,000,000 and VND 15,000,000 for any of the following acts:
a) Receiving and managing the bidding dossiers, proposal dossiers in contravention with regulations.
b) Closing and opening the bids improperly with the time specified in the bid invitation dossier.
c) Failing to send the bid-opening minutes to bidders as prescribed.
d) Failing to notify the bidding results as prescribed.
3. A fine of between VND 15,000,000 and VND 20,000,000 for act of assessing the bid dossiers, appraising and approving the bidding results in excess of the prescribed time.
4. A fine of between VND 20,000,000 and VND 30,000,000 for any of the following acts:
a) Failing to appraise the bidding results before approving;
b) Approving the bidding results with insufficient content and not within the competence as prescribed;
c) Approving the bidding results that fail to be consistent to content of the approved bidding plan;
5. A fine or between VND 30,000,000 and VND 40,000,000 for any of the following acts:
a) Assessing the bidding dossier, proposal dossier in contravention with the approved assessment standards, thereby distorting bidder selection results;
b) Permitting the contractor to clarify the bidding dossier, thereby changing the basic content of the submitted bidding dossier or changing the price of bidding;
c) Negotiating and signing the contract that is inconsistent with the bid invitation dossier, requirement dossier and the bidding results approved;
d) Failing to require the bidder that wins the bid to pay guarantee for implementation of contract or accepting for the bidder to pay guarantee for implementation of contract in contravention with the regulation.
6. Apart from the sanctioning forms specified at Clause 1, Clause 2, Clause 3, Clause 4 and Clause 5 of this Article, the infringing organizations and individuals shall also be published in the bidding newspaper and bidding website.
Article 19. Other administrative violations on bidding
1. A fine of between VND 1,000,000 and VND 5,000,000 for any of the following acts:
a) Failing to publish information on bidding;
b) Publishing information on bidding with insufficient content, insufficient number of issues;
c) Publishing information on bidding without conformity with the competence as prescribed;
d) Organizing the publishing of information on bidding in contravention with regulations;
2. A fine of VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Setting up a team of bidding experts without sufficient capability as prescribed;
b) Failing to refund or release the bid guarantee for the bidder as prescribed;
c) Collecting expenses involving bidding in convention with the law;
3. A fine of between VND 10,000,000 and VND 15,000,000 for acts of failing to comply with or perform insufficiently regulations on cancelling, suspending or not recognizing the results of contractor selection;
4. A fine of VND 15,000,000 and VND 20,000,000 for act of failing to handle or handling the proposals during bidding in contravention with regulations.
5. Remedial measures:
a) Forcible refund or release of the bid guarantee for the bidder as prescribed for violations specified at Point b Clause 2 of this Article;
b) Forcible refund of the collected amounts in contravention with regulations for violation specified at Point c Clause 2 of this Article.
SECTION 4. ADMINISTRATIVE VIOLATIONS IN BUSINESS REGISTRATION OF ENTERPRISES, BUSINESS HOUSEHOLDS, COOPERATIVES, COOPERATIVE UNIONS, SANCTIONING FORMS AND REMEDIAL MEASURES
Article 20. Violations of regulation on declaring dossier of business registration
1. A fine of VND 10,000,000 and VND 15,000,000 for act of declaring dishonestly or incorrectly in cases:
a) Business establishment registration;
b) Registration of changing content of enterprise registration;
c) Registration of operation of branches, representative offices, or business places;
d) Registration of changing contents of registration of operation of branches, representative offices, or business places;
dd) Registration of enterprise dissolution;
e) Notifying the termination of operation of branches, representative offices, and business places;
g) Notifying the suspension of business.
2. Remedial measures: forcible registration of changing and re-notifying the information which has been declared untruthfully and inaccurately by enterprise;
Article 21. Violations of regulations on time limit for registration of changes in enterprise registration content
1. A fine of between VND 1,000,000 and VND 2,000,000 for act of registering changes in enterprise registration content later than the set deadline.
2. A fine of between VND 2,000,000 and VND 5,000,000 for acts of failing to register changes in enterprise registration contents after 10 days since decision on change is issued.
3. Remedial measures: forcible registration of changes in enterprise registration content in accordance with regulations for violations specified at Clause 2 of this Article.
Article 22. Violations of regulations on disclosure of enterprise registration contents
1. A fine of between VND 1,000,000 and VND 2,000,000 for acts of failing to disclose as prescribed or disclosing contents of enterprise registration on the national business registration portal later than the prescribed deadline.
2. Remedial measures: forcible disclosure of enterprise registration contents on the national business registration portal as prescribed.
Article 23. Violations of regulations on enterprise establishment
1. A fine of VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Continuing to operate after the operational time stated in the Charter has ended and not allowed extension;
b) Failing to contribute the capital on schedule as registered;
2. A fine of between VND 10,000,000 and VND 20,000,000 for acts of failing to contribute enough capital as registered;
3. A fine of between VND 25,000,000 and VND 30,000,000 for one of the following acts:
a) Intentionally valuing assets to contribute capital improperly with the actual value;
b) Conducting business as enterprise after having the business registration certificate revoked or after dissolution;
c) Conducting business under form of an enterprise without the registration of enterprise establishment.
4. Remedial measures:
a) Forcible registration of operation extension, for violations specified at Point a Clause 1 of this Article;
b) Forcible registration of reducing the charter capital in accordance with regulations for the limited liability companies with two or more members or forcing to contribute full capital as registered for other forms of enterprises, for violations specified at Clause 2 of this Article;
c) Forcible revaluation of the assets contributed into capital for violations specified at Point a Clause 3 of this Article;
d) Forcible registration of enterprise establishment for violations specified at Point c Clause 3 of this Article.
Article 24. Violations of regulations on registering the persons for enterprise establishment
1. A fine of between VND 5,000,000 and VND 10,000,000 for acts of registering the owners of the one-member limited liability companies, owners of private enterprises, members of limited liability companies, capital-contributing members, partnership members, founding shareholders being individuals or organizations not having right to establish enterprises in accordance with regulations.
2. Remedial measures: Forcible registration of change for members, capital-contributing members, partnership members, or founding shareholders being individuals or organizations in accordance with regulations.
Article 25. Violations on trading in lines that not be stated in the enterprise registration certificate
A fine of between VND 15,000,000 and VND 20,000,000 for acts of trading in lines that not be stated in the enterprise registration certificate.
Article 26. Violations of regulations on hiring directors of private enterprises
1. A fine of between VND 10,000,000 and VND 15,000,000 for act of hiring another person to be the director of a private enterprise but fail to register.
2. Remedial measure: Forcible registration for addition of hiring the director.
Article 27. Violations of regulations on registration of member change
1. A fine of between VND 15,000,000 and VND 20,000,000 for act of failing to register the member change within the prescribed duration since the day of committing to contribute capital for the last time in accordance with regulations.
2. Remedial measures: forcible registration of the member change according to the actual result of capital contribution of company’s members.
Article 28. Violations of regulations on complying with requirements of business registration agencies
1. A fine of between VND 15,000,000 and VND 20,000,000 for any of the following acts:
a) Continuing to trade in conditional business lines when being requested for the suspension by the provincial Divisions of business registration;
b) Failing to register changes of enterprise name at the request of provincial Divisions of business registration if enterprise has the name breaching the protection right of industrial property as prescribed by law.
2. Remedial measures: Forcible registration of changing name in order to be appropriate with legislations for violation specified at Point b Clause 1 of this Article.
Article 29. Violations of regulations on reporting regime
1. A fine of between VND 1,000,000 and VND 5,000,000 for one of the following acts:
a) Leasing the private enterprise but failing to report in writing enclosed with the leasing contract notarized to the provincial Division of business registration and tax agency;
b) Failing to submit the financial statements on time as prescribed.
2. Remedial measures: forcing to send the statements to the state management agency as prescribed.
Article 30. Violations of regulations on notifying the provincial Divisions of business registration
1. A fine of between VND 1,000,000 and VND 2,000,000 for any of the following acts:
a) Failing to notify in writing about the time point and duration of business suspension or continuing to do business, within the time limit as prescribed by legislation;
b) Failing to notify in writing, within the prescribed time limit, about changes of kinds of assets for capital contribution of members in the limited liability company;
c) Failing to notify about the equity capital contribution within the prescribed time limit since the day of being granted the enterprise registration certificate;
d) Failing to announce or failing to announce in the prescribed time limit about the sale of the private enterprise;
dd) Failing to send or failing to send in prescribed time limit about notification of designating or replacing the authorized representative for the limit liability companies;
e) Failing to notify about result of the capital contribution progress in writing within the prescribed time limit after every capital contribution period as committed;
2. Remedial measures: forcibly notifying the provincial Divisions of business registration about contents as prescribed.
Article 31. Violations of regulations on representatives at law of enterprises
1. A fine of between VND 10,000,000 and VND 15,000,000 for any of the following acts:
a) The representative at law of enterprise does not reside in Vietnam;
b) The representative at law of enterprise is absent in Vietnam for more than 30 days but fails to authorize in writing for another person to implement his/her rights and obligations.
2. Remedial measures:
a) Forcible registration with another person who resides in Vietnam to act as the representative at law of enterprise, for violation specified at Point a Clause 1 of this Article;
b) Forcible authorization in writing for another person or registration with another person who resides in Vietnam to act as the representative at law for violation specified at Point b Clause 1 of this Article.
Article 32. Other violations related to organization and management of enterprise
1. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Failing to convene an annual general shareholders meeting within the prescribed duration, after the end of the fiscal year, and not being allowed to extend by the provincial Divisions of business registration;
b) Assigning a person who is banned from management of enterprise to keep titles of manager
c) Appointing the director (general director) of the joint-stock company, who fails to meet standards and conditions as prescribed by law.
2. A fine of between VND 10,000,000 and VND 15,000,000 for any of the following acts:
a) Failing to grant certificates of contributed capital amounts to members in enterprise as prescribed;
b) Failing to make a member or shareholder registration book as prescribed;
c) Failing to display the name of enterprise at the head office, branch, and representative office of the enterprise;
d) Failing to store the documents and stamp at the head office as prescribed by law.
3. Remedial measures:
a) Forcible convention of the annual general shareholders meeting as prescribed for violation specified at Point a Clause 1 of this Article;
b) Forcible relieve from office for the management titles of persons who are not entitled to manage enterprise, for violation at Point b Clause 1 of this Article;
c) Forcible relieve from office for title of director (general director) of joint-stock company for persons who fail to meet standards and conditions, at the same time, assign other person that meets standards and conditions as prescribed for violation specified at Point c Clause 1 of this Article;
d) Forcible grant of certificates of contributed capital amounts to members as prescribed, for violation specified at Point a Clause 2 of this Article;
dd) Forcible to make the member or shareholder registration book as prescribed for violations specified at Point b Clause 2 of this Article;
e) Forcible display of signboards of enterprise name at the head office, branches, and representative offices of the enterprise for violation specified at Point c Clause 2 of this Article;
g) Forcible store of documents and stamp as prescribed for violation specified at Point d Clause 2 of this Article.
Article 33. Violations of regulations on controlling board
1. A fine of between VND 1,000,000 and VND 2,000,000 for act of organizing the controlling board which is not right or has insufficient members as prescribed by law.
2. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) The limited liability company with more than 11 members but fail to establish the controlling board;
b) The joint-stock company that has more than 11 shareholders being individuals or there is a shareholder being organization that owns over 50% of shares but fail to establish the controlling board;
3. Remedial measures:
a) Forcible reorganization of controlling board in accordance with legislation, for violation specified at Clause 1 of this Article;
b) Forcible establishment of controlling board in accordance with law, for violation specified at Clause 2 of this Article.
Article 34. Violations of regulations on enterprise dissolution
1. A fine of between VND 5,000,000 and VND 10,000,000 for act of not conducting the dissolution procedures for enterprises falling in cases of being dissolved as prescribed by law.
2. Remedial measures: forcible carry out procedures for enterprise dissolution as prescribed by law.
Article 35. Violations of regulations on establishment, termination of operation of branches and representative offices, business places of enterprises
1. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Doing business at a place without notifying the provincial Division of business registration where the enterprise is doing business;
b) Terminating the operation of branches, representative offices, or business places without notifying the provincial Divisions of business registration;
2. Remedial measures:
a) Forcibly notifying to the provincial Division of business registration about business place or termination of operation at that place, for violation specified at Point a Clause 1 of this Article;
b) Forcible notification about termination of operation of branches, representative offices, or business places as prescribed, for violation specified at Point b Clause 1 of this Article.
Article 36. Violations of regulations on business registration of business households
1. A fine of between VND 3,000,000 and VND 5,000,000 for any of the following acts:
a) Doing business registration with more than one place;
b) Doing business registration with more than one business household;
c) Failing to report the business situation at the request of the district-level business registration agency;
2. A fine of between VND 5,000,000 and VND 7,000,000 for acts of declaring dishonestly, inaccurately dossiers of the household business registration or registration of changes in business registration content.
3. Remedial measures:
a) Forcible report on the business situation at the request of the district-level business registration agency, for violation specified at Point c Clause 1 of this Article;
b) Forcible re-declaration of the untruthful and inaccurate contents, for violation specified at Clause 2 of this Article.
Article 37. Violations on business suspension of business household
1. Imposing a caution or fine of between VND 500,000 and VND 1,000,000 for act of suspending business operation for more than 30 days without a notification send to the district business registration agency where made business registration and tax agency managing directly.
2. A fine of between VND 5,000,000 and VND 10,000,000 for act of failing to suspend the business operation of conditional trades at the request of the district business registration agency where business household make business registration.
3. Remedial measures: Forcibly notifying the district business registration agency and tax agency managing directly about the business suspension, for violation specified at Clause 1 of this Article.
Article 38. Violations of regulation on registration of changes in registration content of business households
1. Imposing a cautions or fine of between VND 500,000 and VND 1,000,000 for act of changing the business registration contents without notifying the district-level business registration agency as prescribed.
2. Remedial measures: forcibly notifying the district-level business registration agency about changes in registration of business household.
Article 39. Violations of regulations on termination of operation of business households
1. Imposing a cautions or fine of between VND 500,000 and VND 1,000,000 for act of terminating the business operation under form of business household without notification or return of the original household registration certificate for the district-level business registration agency.
2. Remedial measures: forcible notification or return of the original household registration certificate for the district-level business registration agency;
Article 40. Violations of regulations on business registration of cooperatives and cooperative unions
1. Imposing a caution or fine of between VND 500,000 and VND 1,000,000 for any of the following acts:
a) Failing to convene the annual member meeting of cooperatives and cooperative unions;
b) Failing to make member registration book after being granted certificate of registering the cooperative or cooperative unions;
2. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Declaring dishonestly, inaccurately dossiers of registering establishment of cooperatives, cooperative unions;
b) Operating as cooperatives and cooperative unions but having no certificate of establishment registration;
3. Remedial measures:
a) Forcible organization of the annual member meeting for violation specified at Point a Clause 1 of this Article;
b) Forcing to make member registration book for violation specified at Pont b Clause 1 of this Article;
c) Forcible registration of cooperatives and cooperative unions for violation specified at Point b Clause 2 of this Article;
Article 41. Violation of regulations on capital contribution registration of cooperatives or cooperative unions
1. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Failing to mobilize a sufficient capital amount and on time as registered;
b) Failing to maintain the legal capital level, for cooperatives operating in trades required to have legal capital;
c) Failing to grant the capital contribution certificate for members of cooperatives or member cooperatives;
2. A fine of between VND 10,000,000 and VND 15,000,000 for act of allowing a member to contribute a capital amount more than 20% of cooperative’s total contributed capital; a cooperative to contribute a capital amount more than 30% of cooperative unions’ total contributed capital.
3. Remedial measures:
a) Forcible addition of full capital as registered, for violation specified at Point a, Clause 1 of this Article;
b) Forcible grant of the capital contribution certificate to the cooperative’s members or member cooperatives, for violation specified at Point c Clause 1 of this Article;
c) Forcible re-adjustment of the contributed capital rate, for violation specified at Clause 2 of this Article.
Article 42. Violations of regulations on changing the registered contents of cooperatives and cooperative unions
1. Imposing a caution or fine of between VND 500,000 and VND 1,000,000 for any of the following acts:
a) Failing to register or registering late or failing to notify about changes in registration contents of cooperatives, cooperative unions;
b) Failing to register change of the cooperative name after changing business lines to constitute name of cooperatives, cooperative unions;
2. A fine of between VND 5,000,000 and VND 10,000,000 for any of the following acts:
a) Untruthfully or inaccurately registering changes in registration contents of cooperatives, cooperative unions;
b) Continuing business activities while cooperatives or cooperatives unions have notified about suspension of operation;
3. Remedial measures: Forcible registration for the re-grant of a registration certificate of cooperatives or cooperative unions, for violations specified at Clause 1 and Point a Clause 2 of this Article.
Article 43. Violations of regulations on disclosure of information of cooperatives and cooperative unions
1. Imposing a caution or a fine of between VND 500,000 and VND 1,000,000 for act of failing to disclose information as prescribed.
2. Remedial measures: forcibly complying with the provisions of law on information disclosure.
Article 44. Violations of regulations on reorganization of cooperatives and cooperative unions
1. Imposing a caution or fine of between VND 500,000 and VND 1,000,000 for acts of dividing, splitting, consolidating or merging in contravention of regulations;
2. Remedial measures: forcible reorganization of cooperatives, cooperative unions as prescribed.
Article 45. Violations of regulations on registration of operation of branches, representative offices and business places of cooperatives and cooperative unions
1. Imposing a caution or fine of between VND 500,000 and VND 1,000,000 for any of the following violations:
a) Registering addresses of branches, representative offices, business places non-existent on the administrative map;
b) Registering addresses of branches, representative offices or business places, which are not under their lawful ownership or use right;
2. A fine of between VND 5,000,000 and VND 10,000,000 for act of untruthfully or inaccurately registering changes of registered content of branches, representative offices or business places.
3. Remedial measures: forcible registration for the re-grant of a cooperative registration certificate, for violations specified at Clause 1 and Clause 2 of this Article.
Chapter 3
COMPETENCE TO SANCTION ADMINISTRATIVE VIOLATIONS
Article 46. The sanctioning competence of the inspectorates of planning and investment
1. Inspectors and persons assigned the specialized inspection on duty have rights:
a) Imposing a caution;
b) A fine of up to VND 500,000.
2. Chief inspectors of the provincial Departments of Planning and Investment; the leaders of the provincial-level specialized inspectorate team have rights:
a) To impose a caution;
b) To impose a fine of up to VND 25,000,000 for violations of business registration; fine up to VND 75,000,000 for violations on investment, bidding;
c) To apply remedial measures specified at chapter 2 of this Decree.
3. The leader of the specialized inspectorate team of the Ministry of Planning and Investment has rights:
a) To impose a caution;
b) To impose a fine of up to VND 30,000,000 for violations on business registration; fine up to VND 80,000,000 for violations on investment, bidding;
c) To apply remedial measures specified in Chapter 2 of this Decree.
4. The chief inspector of the Ministry of Planning and Investment has rights:
a) To impose a caution;
b) To impose a fine of up to VND 30,000,000 for violations on business registration; fine up to VND 80,000,000 for violations on investment, bidding;
c) To apply remedial measures as prescribed in Chapter 2 of this Decree.
Article 47. The sanctioning competence of People’s Committees at all levels
1. Presidents of the communal People’s Committees have rights:
a) To impose a caution;
b) To impose a fine of up to VND 5,000,000.
2. Presidents of the district-level People’s Committees have rights:
a) To impose a caution;
b) To impose a fine of up to VND 25,000,000 for violations on business registration; fine up to VND 75,000,000 for violation on investment, bidding;
c) To apply remedial measures specified in Chapter 2 of this Decree.
3. Presidents of the provincial People’s Committees have rights:
a) To impose a caution;
b) To impose a fine of up to VND 30,000,000 for violations on business registration; fine up to VND 80,000,000 for violations on investment, bidding;
c) To apply remedial measures specified in Chapter 2 of this Decree.
Article 48. Sanctioning competence of other agencies
Police, customs, tax, specialized inspectorate agencies and other agencies within their assigned functions, tasks and powers, if detecting acts of administrative violation in planning and investment may sanction administrative violations as prescribed in Article 39, Article 42, Article 44 and Article 46 of the Law on Handling of Administrative Violations and provisions in this Decree.
Article 49. Determination of the sanctioning competence
The fining competence of titles specified in Article 46, Article 47 and Article 48 of this Decree is applied to one administrative violation of organization. In case of fine, the authority to sanction against individual is equal to ½ (a half) of authority to sanction against organization.
Article 50. Competence to make records on administrative violation
1. Titles specified in Article 46, Article 47 and Article 48 of this Decree and competent persons on duty, when detecting administrative violations in planning and investment, have the right to make records on sanctioning administrative violations as prescribed.
2. The leaders of specialized inspectorate teams in planning and investment, when detecting administrative violations, have the right to make records on sanctioning administrative violations, cases of falling beyond their competence, they shall sent records to competent persons to conduct the sanction as prescribed by law.
Chapter 4
IMPLEMENTATION PROVISIONS
Article 51. Effect
This Decree takes effect on January 01, 2014 and replaces the Government’s Decree No.53/2007/ND-CP dated April 04, 2007 on sanctioning administrative violations in planning and investment and the Government’s Decree No. 62/2010/ND-CP dated June 04, 2010 amending and supplementing a number of articles of the Government’s Decree No. 53/2007/ND-CP dated April 04, 2007 on sanctioning administrative violations in the field of planning and investment.
Article 52. Implementation responsibilities
Ministers, heads of ministerial-level agencies, heads of government-attached agencies, presidents of provincial-level People’s Committees and relevant agencies, organizations and individuals shall implement this Decree.
ON BEHALF OF THE GOVERNMENT |