Thông tư 04/1999/TT-TCTK

CIRCULAR No CIRCULAR No. 04/1999/TT-TCTK OF OCTOBER 19, 1999 GUIDING THE IMPLEMENTATION OF THE GOVERNMENT’S DECREE No. 93/1999/ND-CP OF SEPTEMBER 7, 1999 ON SANCTIONING ADMINISTRATIVE VIOLATIONS IN THE FIELD OF STATISTICS In execution of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 on sanctioning administrative violations in the field of statistics, the General Department of Statistics hereby guides the implementation as follows: I. GENERAL PROVISIONS 1. Administrative violations in the field of statistics Administrative violations in the field of statistics are acts committed by individuals or organizations, in contravention of the State’s statistical principles and regime, which are not serious enough for being examined for penal liability but must be administratively sanctioned according to the provisions of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999. 2. Objects of administrative sanctions in the field of statistics a/ Officials who lead, direct and/or conduct the statistical work; Vietnamese citizens aged 18 or more (hereafter referred collectively to as individuals), who commit administrative violations in the field of statistics shall be sanctioned according to the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 and the provisions of this Circular. b/ State agencies, economic organizations (including enterprises of all economic sectors), political organizations, socio-political organizations, social organizations and non-business units (hereafter referred collectively to as organizations) that commit administrative violations in the field of statistics shall be sanctioned according to the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 and the provisions of this Circular. c/ Foreign individuals and organizations that have to follow the statistical regime prescribed by Vietnamese law, if committing administrative violations in the field of statistics, shall be sanctioned like Vietnamese individuals and organizations according to the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 and the provisions of this Circular, except otherwise provided for by international agreements which Vietnam has signed or acceded to. 3. Principles of sanctioning administrative violations in the field of statistics The principles of sanctioning administrative violations in the field of statistics shall comply with Article 3 of the Ordinance on Handling of Administrative Violations of July 6, 1995 and Article 2 of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 on sanctioning administrative violations in the field of statistics. More concretely: a/ The sanctioning of administrative violations in the field of statistics must be effected by the competent persons defined in Articles 12, 13, 14 and 15 of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 on sanctioning administrative violations in the field of statistics. They are the statistical specialized inspectors, the statistical specialized chief inspectors of provincial- and central levels, the presidents of the district- and provincial-level People’s Committees. b/ All administrative violations in the field of statistics, when detected, must be stopped immediately and handled in a quick and fair manner. Together with the sanctioning, the violations must be immediately redressed by re-starting the proper statistical regimes as prescribed. c/ An administrative violation in the field of statistics shall be sanctioned only once. An individual or organization that commits more than one administrative violation shall be sanctioned for each of such violations. If more than one individual and/or organization commit an administrative violation, each of such individuals and/or organizations shall be sanctioned. d/ The sanctioning of an administrative violation in the field of statistics must be based on the nature and seriousness of such violation, the violator’s personal background as well as the extenuating and aggravating circumstances stipulated in Articles 7 and 8 of the Ordinance on Handling of Administrative Violations as well as the provisions of this Circular so as to decide the appropriate form and level of sanction. d.1. Cases where levels of sanction against administrative violations in the field of statistics may be reduced: - The violating individuals or organizations consciously redress the violations and overcome the consequences thereof. - The violations have been committed under the circumstances of natural calamities or fires. - The violations have been committed due to the violators’ professional limitations or failure to get the statistical training, fostering or guidance, which is certified by the statistical agencies of different levels. d.2. Cases where levels of sanction against administrative violations in the field of statistics may be increased: - The violations have been committed in an organized manner. - A violator commits more than one violation or a violation has been repeated. - The violators deliberately do not report or repeatedly make false reports for many periods. - The violators deliberately wrongly apply the method of calculating the statistical norms and/or wrongly implement the regulations of the statistical survey plans, which are repeated despite warning. - The violators abuse their positions and/or powers to commit violations or coerce other persons to commit violations. - The violators take advantage of objective circumstances like natural calamities, fires… to commit violations. - The violators commit violations while executing the previous sanctioning decisions on statistics. - The violators commit acts of avoiding and/or covering violations. e/ It is strictly forbidden to withhold cases of violation with signs of criminal offenses for administrative sanctions such as acts of intentionally making false reports on socio-economic situation, thus causing serious consequences. f/ Where a violations is committed by an organization, such organization shall be sanctioned. The sanctioned organization shall have to abide by the sanctioning decision and at the same time define faults of each person who has directly committed the administrative violation so that the latter may be disciplined and/or compensate for the fine the organization has paid. g/ The procedures for sanctioning administrative violations in the field of statistics shall comply with Article 16 of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 on sanctioning administrative violations in the field of statistics. h/ When deciding to sanction a person or an organization that has committed more than one administrative violation, the competent person shall decide the form of sanction for each of the violations; if fines are imposed, they must be added up into the total fine amount. Example: In enterprise X, when inspecting the observance of the statistical reporting regime in 1998, the following violations are detected: - The use of biannual report form other than that prescribed by the State statistical regime. However, since the violation was committed for the first time, the fine level shall be 300,000 VND (the fine bracket of from 100,000 VND to 500,000 VND as stipulated in Item 1.1, Part II of this Circular); - The annual report was submitted 30 days later than schedule, which is subject to a fine of 1,000,000 VND (the fine bracket of from 1,000,000 VND to 2,000,000 VND as stipulated at Point a, Item 4.2, Part II of this Circular); - The 1998 turnover report is 15% lower than the actual turnover, which is subject to a fine of 3,500,000 VND (the fine bracket of from 2,000,000 VND to 5,000,000 VND as stipulated in Item 3.1, Part II of this Circular). The total fine amount for the three above violations for enterprise X is: 300,000 + 1,000,000 + 3,500,000 = 4,800,000 VND. 4. Statute of limitations for sanctions a/ The statute of limitations for sanctioning an administrative violation in the field of statistics shall be one (1) year after such violation is committed. Where the statute of limitations for sanctioning an administrative violation in the field of statistics has expired, such violation shall not be sanctioned. Example: Enterprise Y fails to make statistical reports for the first quarter of 1998. The statute of limitations for sanction shall last from the first quarter of 1998 to the end of the first quarter of 1999. After the first quarter of 1999, even though it may be found that enterprise Y has failed to make report for the first quarter of 1998, such enterprise shall not be sanctioned. b/ In cases where an individual is prosecuted or is, by a decision, brought to trial according to the criminal procedures and there’s a decision to suspend the investigation or the case itself, if such individual’s act shows signs of an administrative violation in the field of statistics, he/she shall be administratively sanctioned according to the provisions of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 and guidances in this Circular; the statute of limitations for sanctioning the administrative violation in this case shall be three (3) months after the above-said suspension decision is issued. 5. Sanctioning forms a/ For each administrative violation in the field of statistics, the violating individual or organization shall be subject to either of the two main sanctioning forms of warning or fine. b/ Depending on the nature and seriousness of his/her/its violation, the individual or organization that commits administrative violation in the field of statistics may also be subject to one or a number of forms of additional sanctioning forms and other handling measures stipulated in Clauses 2 and 3, Article 11 of the Ordinance on Handling of Administrative Violations as well as Articles 5, 6, 7, 8, 9, 10 and 11 of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 on sanctioning administrative violations in the field of statistics. 6. Cases not subject to administrative sanctions in the field of statistics a/ The statute of limitations for sanctioning an administrative violation has expired: one year after the violation was committed or 3 months after the decision on suspension of investigation or criminal case was issued. b/ The violation shows signs of a criminal offense and the dossier has been transferred to the competent agency for examination of penal liability. c/ The violator is not old enough for being administratively sanctioned as prescribed by law. II. ACTS OF ADMINISTRATIVE VIOLATION IN THE FIELD OF STATISTICS AND SANCTIONING LEVELS Pursuant to the provisions from Article 5 to Article 11 of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999, administrative violations in the field of statistics and sanctioning levels are stipulated as follows: 1. Violation of regulations on the use of statistical forms 1.1. Warning or a fine of from 100,000 VND to 500,000 VND for acts of using statistical forms, which are not issued by the competent agencies or have expired in terms of their use duration according to regulations, including forms of statistical reports, survey cards, questionnaires, reports on survey results as well as other regulations of the statistical survey plans. 1.2. A fine of from over 500,000 VND to 1,000,000 VND for act of repeating the violations mentioned in Item 1.1 above. 1.3. Applying additional handling measures: Forcing the cancellation of the statistical form(s) being in use; re-making the statistical reports in strict compliance with the set forms and sending them to the competent agencies within the time-limit stated in the sanctioning decision. 2. Violations in the issue, supplementing and/or amendment of the statistical regime Organizations and/or individuals that are not competent to issue the statistical regime but issue, supplement and/or amend the State’s statistical regime without permission or force other persons to do so shall all be administratively sanctioned according to the provisions of Article 6 of the Government’s Decree No. 93/1999/ND-CP of September 7, 1999 on sanctioning administrative violations in the field of statistics. 2.1. A fine of from 1,000,000 VND to 4,000,000 VND for act of deliberately supplementing and/or amending forms of statistical reports, statistical classification tables, statistical survey plans and contents of legal documents guiding the statistical work; method of calculating economic and social statistical norms, which are contrary to the State’s current statistical regime. 2.2. A fine of from over 3,000,000 VND to 4,000,000 VND for act of compelling other persons to commit violations stipulated in Item 2.1 above. 2.3. A fine of from over 4,000,000 VND to 5,000,000 VND for act of issuing a system of statistical norms, statistical reporting regime or statistical survey plans according to competence but without the written approval of the General Department of Statistics. 2.4. A fine of from over 5,000,000 VND to 7,000,000 VND for act of issuing a system of statistical norms, statistical reporting regime or statistical survey plans ultra vires or in contravention of the State’s current statistical regime. 2.5. Applying additional handling measures: Abrogating and withdrawing the statistical forms and/or statistical survey plans, which have been issued, supplemented and/or amended ultra vires or in contravention of the State’s current statistical regime. 3. Falsely reporting and declaring statistical data Generally speaking, the State’s current statistical reporting and surveying regimes fail to prescribe the permitted rate of errors. Therefor, it is necessary to base on the difference between the reported data and the actual ones so as to apply the appropriate sanctioning forms and levels. Where the statistical reporting and surveying regimes defines the permitted rate of errors, the error of the reported data and the permitted errors shall serve as basis for the application of appropriate sanctioning forms and levels. The concrete levels of sanction are as follows: 3.1. A fine of from 2,000,000 VND to 5,000,000 VND for act of reporting data lower or higher than the actual ones or in excess of the permitted rate of statistical errors. 3.2. A fine of from over 5,000,000 VND to 7,000,000 VND for act of deliberately making false reports on the actual number and value of the arising socio-economic phenomena. 3.3. A fine of from over 7,000,000 VND to 20,000,000 VND for act of repeating the violations mentioned in Items 3.1. and 3.2. above or falsely declaring, compelling others to falsely declare and/or report statistical data. a/ A fine of from over 7,000,000 VND to 10,000,000 VND for act of repeating the violation mentioned in Item 3.1. above. b/ A fine of from over 10,000,000 VND to 15,000,000 VND for act of repeating the violation mentioned in Item 3.2 above. c/ A fine of from over 15,000,000 VND to 20,000,000 VND for act of falsely declaring or compelling others to falsely declare and report statistical data. 3.4. Applying additional handling measures: Re-making the statistical reports true to the arising socio-economic phenomena in strict compliance with the statistical method and sending them to competent bodies within the time-limit stated in the sanctioning decision. 4. Failing to submit statistical reports in time and adequately The submission of statistical reports mentioned in Article 8 of Decree No. 93/1999/ND-CP of September 7, 1999 includes the direct submission and submission by mail. 4.1. Warning or a fine of from 200,000 VND to 1,000,000 VND for one of the following acts: a/ Warning for act of delaying the submission for under 5 days for monthly reports, under 10 days for quarterly, 6-month and 9-month reports and under 15 days for annual reports. b/ A fine of from 200,000 VND to 1,000,000 VND for one of the following acts: b.1. Delaying the submission of statistical reports for from 5 to under 20 days for monthly reports, from 10 to under 20 days for quarterly, 6-month and 9-month reports and from 15 to under 30 days for annual reports. b.2. The reports fail to include adequate statistical forms and norms of the monthly or quarterly reporting period. 4.2. A fine of from over 1,000,000 VND to 3,000,000 VND for one of the following acts: a/ A fine of from over 1,000,000 VND to 2,000,000 VND for one of the following acts: a.1. Delaying the submission of statistical reports for from 20 to under 30 days for monthly, quarterly, 6-month and 9-month reports, and from 30 to under 45 days for annual reports; a.2. The reports fail to include adequate statistical forms and norms of the 6-month, 9-month or annual reporting period. b/ A fine of from over 2,000,000 VND to 3,000,000 VND for act of delaying the submission of statistical reports for from 30 to under 45 days of the quarterly, 6-month or 9-month reporting period and for from 45 days to under 60 days of the annual reporting period. The number of periods/forms/norms which are insufficiently and late reported as compared with the prescribed regime shall serve as basis for application of the appropriate sanctioning levels ranging from the minimum to the maximum of the fine brackets. 4.3. A fine of from over 3,000,000 VND to 10,000,000 VND for act of failing to make statistical reports; act of failing to submit monthly reports within 30 days, quarterly, 6-month and 9-month reports within 45 days and annual reports within 60 days as prescribed shall be considered act of failing to make statistical reports. The concrete sanctioning levels are as follows: a/ A fine of from over 3,000,000 VND to 4,000,000 VND for act of failing to make monthly statistical reports; b/ A fine of from over 4,000,000 VND to 6,000,000 VND for act of failing to make quarterly, 6-month and 9-month statistical reports; c/ A fine of from over 6,000,000 VND to 10,000,000 VND for act of failing to make annual statistical reports. 4.4. Applying additional handling measures: Re-making the statistical reports true to the arising socio-economic phenomena in strict compliance with the statistical methods and sending them to the competent bodies within the time-limit stated in the sanctioning decisions. 5. Violating the statistical method The administrative violations mentioned in Article 9 "Violating the statistical method" of the Government’s Decree No. 93/1999/ND-CP include violations of the principles of data recording, method for calculation of norms in the statistical reporting regime and violations of the regulations in the statistical survey plans. 5.1. Warning or a fine of from 200,000 VND to 1,000,000 VND for act of recording data unclearly, correcting or erasing statistical data and/or documents. 5.2. A fine of from over 1,000,000 VND to 5,000,000 VND for act of wrongly applying methods of calculating statistical norms as well as the statistical survey plans. 5.3. A fine of from over 5,000,000 to 15,000,000 VND for act of wrongly applying with intention or coercing others to wrongly apply the methods of calculating the statistical norms as well as the statistical survey plans. a/ A fine of from over 5,000,000 VND to 7,000,000 VND for act of wrongly applying with intention methods of calculating the statistical norms as well as the statistical survey plans; b/ A fine of from over 7,000,000 VND to 10,000,000 VND for acts of coercing others to wrongly apply methods of calculating the statistical norms as well as the statistical survey plans; c/ A fine of from over 10,000,000 VND to 15,000,000 VND for repeated act of coercing others to wrongly apply methods of calculating the statistical norms as well as the statistical survey plans. 5.4. Applying additional handling measures: Forcing the re- survey and re-calculation in strict compliance with the set statistical method; re-making the statistical reports and sending them to the competent bodies within the time-limits stated in the sanctioning decisions. 6. Violating the regimes of supplying