Decree No. 150/2004/ND-CP prescribing the sanctioning of administrative violations in fields of minerals

Article 1.- Objects and scope of regulation such international agreements shall apply. 1. This Decree prescribes acts of

Article 3.- Principles and statute of limitations administrative violation in the field of minerals; for sanctioning of administrative violations sanctioning forms and levels; sanctioning competence; sanctioning procedures and 1. The principles for sanctioning of remedial measures. administrative violations in the field of minerals shall comply witr1 the provisions of Article 3 of 2. Administrative violations in tho field of the Ordinance on Handling of Administrative minerals arn acts of violating law provisions on Violations. basic geological surveys of mineral resources (including the makinq of r.JOolo~1ical rnaps, 2, The statute of lirnitations for sanctioning ot an administrative violation in ti 1e field of minerals of administrative violations in the field of is one year counting from the date such minerals, the violating organizations or administrative violation is committed; past the individuals may also be subject to one or more above-said time limit, no sanction shall be of the following additional sanctioning forms: imposed but the measures prescribed in Clause a) Deprivation of the licenses; 3, Article 6 of this Decree, rnust be applied to remedy the consequences caused by such b) Confiscation of material evidences and administrative violation. means used for commission of administrative violations.

Article 4.- The time limitfor being considered 3. Apart .from the sanctioning forms having not yet been sanctioned for prescribed in Clauses 1 and 2 of this Article, the administrative violations organizations and Individuals committing The tirne:,Jimit- for being considered having administrative violations in the field of minerals not yet bt38tf sanctioned for administrative may also be subjec(to the.application of one or violations in the fielo of minerals is one year more of the followingremeqicat measures: countlhg' J~Q'rti._the date the administratively a) Forcible restoration of the initial state sanc~ioned organfzations or individuals altered due to the actmihi'stfcitive violations; completery :serve the sanctioning decisions, b).Forcible destructjon of articles which cause during they oo iio\rEHapse into violations. harms to huma.ri health, clo/llestic animals and crops;

Article 5.~ Exten Uati n g ci rcu mstan ces, . . aggravating ci rcurri~ta~ces c} Forcible submission of reports on basic geological. surveys of -mineral resources and The exterrnati~g and aggravating mineral activities to competent State bodies; circumstances fo be applied upon the sanctloning of administrative violations in the d} Forcible fill-up and leveling of construction field of minerals shall compiywith the provisions works; full satisfaction: of the requirements on of Article 8 and Article 9 of the Ordinance on mineral· resources and envi ran m enta I protection Handling of Administrative Violations. according to regulations; e) Forcible registration with competent

Article 6.- Forms of sanctioning administrative agencies of plans on basic geological mineral violations and remedial measures resource surveys and mineral activities; 1. For each administrative-violation act, the f) Forcible payment for the use of the State's violating organizations or individuals shall be data and information on mineral survey and/or subject to one of the following sanctioning forms: prospection results; a) Caution; g) Forcible mine designing; appointment of mine executive directors according to regulatiom;. b) Finn. 2. D1c:pnncling on tt1e naturn and seriousness Articlo 7.-- Principles for drc:terrnining line levels geological sample~; as provided for. W~10n the sanctioning form of fine is appliud, 3. l~ernedial measures u·1e specific fine level tor an administrative-violation a) Forcible registration of basic geological act in the field of minerals shall be thQ average mineral resource survey plans as prescribncl, level of the fine bracket prescribed in this Decroe for violation acts specified in Clause 1 of tt1is for such act; if the violation involves extenuating Article; circumstance(s), the fine level may be reduced but must not be lower than the minimum level of b) Forcible submission of reports on results the fine bracket; for violations involving of basic geological mineral resource surveys, aggravating circumstances, the fine levels may geological samples as prescribed, for violation be increased but must not be higher than the acts stipulated at Pointe, Clause 2 of this Article. maximum level of the fine bracket.

Article 9.-Vlolating the regul~tions on min era! Ofiapterll prospection ACTS OF ADMINISTRATIVE VIOLATION IN 1. A fine of between VND 2;·000,000 and THE FIELD OF MINERALS, SANCTIONING 5,000,000 for one of the fOlloWing violaJi~n acts: FOAMS ANO· LEVELS .a) Conducting mineral prospe:ctiQn$ Without permits as prescribed or with•.expired: permits,

Article 8.- Violating tlie regulations on basic except for cases where dossiers oi application geological surveys of mineral resources for extension have been submitted according to regulations; 1. A fine of between VND 500,000 and 2,000,000 for ads of not registering basic b) Failing to submit reports on .Propection geological mineral resource survey plans with results as provided for or submitting them later e;ompetent State agencies according to than sct1rdul0 for thirty (30) days or rnore as reg u Iations. from the date the prospection permits terminate their validity; 2. A fine of between VND 2,000,000 and c) Moving out of prospection areas geological 10,000,000 for one of the following violation acts: or mineral samples with quantities and a) Conducting basic geological mineral categories being at variance with the propection resource surveys without approving decisions permits granted by competent State bodies. of competent State bodies; 2. For violation acts prescribed at Point b, b) Failing to comply with the basic geological Clause 1 of this Article, apart from fines, tt1e 1nineral resource surveys alrnady approved or vfolators must also submit reports on pormitted for adjustment liy competent State prospection results as provided for. bodies; c) Failing to subrnit reports on basic Article 10.- Violatinn the regulations on neulogical rnirierai rm;mIrco survny~; rnsult::;, r ninHral l'XfJloration \. A tine of between VNO 500,000 and provided for; 2,000,000 for acts of failing to notify the b) Forcible notification of the exploration plans exploration plans to. competent State bodies. as prescribed, for violation acts prescribed in Clause 1 of this Article; 2. A fine of between VND 2,000,000 and 10,000,000 for one of the following violation acts: c) Forcib!o submission of reports on exploration results, for violation acts prescribed a) Failing to observe the regime of periodical at Point b, Clause 2 of this Article; reporting to competent State bodies according to regulations; d) Forcible termination of exploration activities; forcible fill~up and leveling of b) Failing to submit reports on exploration exploration works and application of measures results according to regulatlons or submitting to protect the mineral resources and them later than schedule for thirty (30) days or environment, for violation acts prescribed at more as from the date the exploration permits Points a and b, Clause 3 of this Article. terminate their validity. 3. A fine of _between VND 10,000,000 and Article 11.- Violating ,the regulations on 20,000, ooo for one of the following violation acts: mineral exploitation . . . a) Conducting mineral prospection without 1. A fine of between VND 500,000 and permits as provided for cir with expired permits, 2,000,000 tor acts of tailing to notify the except for cases wh·ere the dossiers of exploitation plans, failing to register the dates application for extension thereof have been of commencing the capital construction of mines, already submitted; the dates of commencing production activities with the competent State bodies according to b) Failing to fill up-a'ndlevel exploration works regulations. or fillinq up and-·leveling them not according to tt1e requirements on ·protection of mineral 2. A fine of between VND 2,000,000 and resources, protection of the environment as 10,000,000 for one of the following violation acts: provlded tor when the exploration permits have expired. a) Exploiting minerals without mine designs; without executive directors o1 1he mines as c) Moving out of exploration areas geological provided for; and mineral samples with quantities and b) Failing to make deposit as security to categories being at variance with exploration ensure environrnontal and soil rehabilitation after permits granted by competent State bodies. exploitation and mine closure according to 4 Additional sanctioning forrrn, and romcdi.:11 l'Gyu la liom,; measures c) Failin~J to observe thfJ periodical report n) Deprivation of licenses, for violation r:tcts re~Jime, rnakin~J rc.-,ports with wrong data on pre~,cribnd at Point c, Claus1:-) 3 of tt1is Artie!(~ if mineral oxploitation activities to competent State t/-iGy involve aogravating circurrn,tances a:; t·iodi(-n, accordino to regulations: d) Exploiting minr'.!rals to the utmost while the Article; permits have expired, except for cases where c) Confiscation of material evidences and/or tt1e application for extension thereof has been violation means, for violation acts prescribed at submitted according to regulations. Point d of Clause 2, Point a of Clause 3, and 3. A fine of between VNO 20,000,000 and Clause 4 of this Article. 50,000,000 for one of the following violation acts of exploiting minerals other than gold, silver, _Article 12.- Violating the regulations on platium, germstones rare earth: mineral processing a) Exploiting minerals without the prescribed 1. A fine of between VND 500,000 and permits or with expired permits, except for cases 2,000,000 for failing to. ob~erve the periodical where the application fo'r extension thereof has report regime, reporting false da.ta·to competent been submitted according to regulations; State bodies according to regLJJations. b) Failing to apply or. improperly applying measures after exptoitatlon and mine closure : 2. A fine of between VND ~.O,OQ,_600 and according to reg.ulahohs';. 10;000,000, for acts of protessing;mfn~rals other than gold, .silver, platium,-germstqh~/ram earth c) Failing topay for the use of State's data, without the prescribed pe~n_,lts'_p·r\,\iith expired information. Oh '':tlijheral prospection or perm its, except .tor ca.ses.-wti~:·re :.~ppi.icati~n for exploration re?sults according to regulations 0 extension thereof has been submitted according when being notified in writing by competent State to regulations. bodies. 4. A fine of between . .... . VND 50,000,000 and 3. A fine Of betweeh 'VND . . .. . +o,qoo:;boo and . '" 100,000,000 for one -of the vfolation acts 20,000,000 for acts preSqribei:I: : . in:Qfause 2 of ·:.· prescribed in C!auso 3 of this Article for cases this 4rticle in case of_processlhgminerals belng of exploiting minerals being gold, silver, platlum, gold, silver, platium, germstohe, _rare earth. germstone, rare earth. 4. Additional sanctioning forms: Deprivation 5. Additional sanctioning forms and remedial of mineral processing licenses, for violation acts measures prescribed in Clause tofthis Article when they involve aggravating circumstances as provided a) Deprivation of permits, tor violation acts for. prescribed at Points a, b and c of Clause 2 of this Article when aggravating circumstances are

Article 13.- Other violations regarding involved as provided for; mineral mananement b) Forcible application of relavant measures prescribed in Clause 3, Article 6 of this Decree ·1. A fine of between VND 400,000 and to redress the consequences caused by the 2,000,000 for acts of obstructing lawful activities violation acts prescribed in Clause 1; Points a, of basic geological mineral resource survBy, b and c of Clause ~!; Clausos 3 and 4 of tbis rnine1al prospection ancl exploration. 2. A fine of between VND 10,000,000 and a) To sorvc caution; 20,000.000 for one of the followino violation acts: b) To impose finos of up to VND 500,000; a) Concealing, destroying, harming ttie c) To confiscate material evidences, means quality of, or \!legally buying, selling, transporting used for commission of administrative violations, particularly precious and rare geological wh~dl are valued at up to VND 500,000; samples or rninemls according to law provisions d) Forcible application of measures to redress on minerals; consequences caused by adminf strative b) Failing to report or untruthfully reporting vio~ations. on detected mineral spots to competent State bodies, causing difficult/es for management and 2, The districHevel People's Committee protection of mineral resources; presidents have the competence: c) Di~c\0sing information on minera.l a) To impose caution; resources classified as State secrets but not b) To impose fines of up to VND 20,000,000; seriously: enough to be examined for pena.l c) To con~iscate material €\l\tiences, m~ans liability; used for commission of administrative violations; d) Obstructing minerals examination or d) To confiscate iUe_gally exploited minerals; inspection activities of persons on duty and competent State bodies; e) To strip of the right to use permits falling under thelr respeot1ve competence; e) Obstructing lawful activities of mineral exploi1ation and processing. f) To force 1he application of measures to redress coi1sequences caused by administrative 3. Additional sanctioning forms: Con1iscation violations, o1 particularly precious and rare geological samples or minerals, which are illegally 3. The prov/nciaHevel People's Cotnmittee purchased, sold, transported. presidents have the competence; a) To serve caution; Chapter Ill b) To \mpose iines of up to the maximum level COMPETENCE, PROCEDURES FOR for -domains prescrll1ed at Points d al"ld e o1 SANCTIONING OF ADMINISTRATIVE Clause 2, Article 14 of the Ordinance on VIOLATIONS IN THE FIELD OF MINERALS Handling of Administrative Violations;

Article 14 ... Competence of People's c) To ship 01 the fight to use permits falling und-er their respectiv,-, j11risdic1ion; Committees of diHernnt levels to sanction administrative violations in the domain of d} To confiscate rnaterlal evidences, means minerals usnd for commission of administrative violations; 1,1) To confiscatfl illor;ally exploited minerals; 1. Th(', co1nmur1f>level People's Cornmitteo prf:sidents have lho competence: f) To force Hw application of rnea:,urns to redress consequences cuucod by administrative d) To confiscato illegally exploitc~d minerals_: violations. e) To strip of the right to usG permits falling under his/her jurisdiction;

Article 15.- Mineral insp<1ctors' compotm1ce to sanction administrative violations in tile field f) ·ro stop violation acts, to force the redr"E-:ss ot minerals of consequences caused by administrative violations. 1 . Mlneral inspectors on duty have the power:

Article 16.~ Authorization and principles for a) To serve caution; determination .of competence to handle b) To impose tines o1 up to VND 200,000; administrative violations in the field ot minerals c) To confiscate material evidences, violation 1. The authorization of handling of means valued at up to VND 2,000,000; administrative violations in the field of minerals d) To stop vfolatfon acts and force the redress shall comply with the provisions-of Article 4i ot of consequences caused by violation acts. the Ordinance on Handling of Administrative Violations. 2. The chief inspectors of the provincial/ municipal Natural Resources and Environment 2. The principles for determinatio_n of Services have the power: competence to handle administrative violations in the field of minerals _shall comply with the a) To serve caution; provisions of Article 42 of the Ordinance on b) To impose fines of up to VND 20,000,000; Handling of Administn'ltive Violations. c) To confiscate material evidences, means

Article 17.-- Procedures ·.for sanctfonfng of used for commission or adrnin/strative violations; administrative violations in the field of minerals d) To strip of the right to use permits falling under their respective jurisdiction; 1 . The procedures and order of sanctioning administrative violations in the field of minerals e) To stop violation acts, to force the redress shall comply with the provisions of the Ordinance of consequences caused by violation acts. on Handling of Administrative Viof at ions and 3. The c~1ief inspector of the Ministry of Decree No, 134/2003/ND-CP of November 14, Natura! Resources and Environment has the 2003 detailing Uie implementation of a number power: of articles of the 2002 Ordinance on Handling of Administrative Violations. a) To serve caution; 2. Tho sanctioning ot administrative violations b) To impose fines of up to VND ·100,000,000; in the Held of mineral!, rnust be recorded in c) "Ji.) confiscate materictl nvickmcos, rrn~ans do~ders nnd fully archived at the fianctioning used for c:ornmission ot adrninistratiwi violations; uq1-:nci8s, 3. Organizations and individuals subject to Article 19.- Cornpli:1ints, denunciations fines rncmt pay fines according to tho provisions l. Organiwtions and individuals sanctioned of Articles 54 and SH of the Or-d1nance on for administrativo violations in the field of Handling of Acirninistrative Violations. minerals or their \awful representatives may 4. When applying Hie form of confiscating lodge complaints about sanctioning decisions minera\$, material evidences and/or violation of competent agencies or persons. means, the persons having the sanctioning Citizens have tt1e right to denounce to competence must strictly comply with the competent State bodies illegal decisions on provisions of Article 60 and Clause 1, Article 61 sanctioning of administrative violations in the of the Ordinance on Handling of Administrative field 01 minerals. Violations. 2. The procedures for complaints,

Article 1s:- Execution of decisions to denunciations and the settlement thereof shall sanction and coercive execution of decisions to comply wlth the provisions of Article 118 of the sanction. admini$trative violations in the field of Ordinance on Handling of Administrative minerals Violations. 1.· Orga_nlzatlons and individuals sanctioned Article 20..,. Handling of vfolatiohs committed for administrative violations under this Decree by persons competent to sanction administrative must strictly execute the sanctioning decisions violations ih the field of minerals of agencies or persons with the sancUoning competence Within the prescribed time limits. H Persons cDnipetent to sanction administrative they fail to do so or deliberately shirk the violations in the field of minerals, who commit execution of sanctioning decisions, they shall acts of harassing for bribes, tolerating or be forced to do so as provided for in Article 66 covering up violators; .failing to sanction or of the Ordinance on Handling of Administrative improperly handling or sanctioning ultra vires Violations. shall, depending on the nature and seriousness of their violations, be administrat\vety d\scipHned 2. When applying measures to force the or examined for penal liability; if causing damage executition of decisions on sanctioning of to the State, citizens and/or organizations, t/1ey administrative violations ln the field of minerals, must pay compensations therefor according to the competent agencies and persons must law provi9ions. comply with the laW··prescribcd order and procedures tor coercion. Article 21.- Hand\inq of violations Gommitted by persons sanctioned for administrative Chapter IV violations COMPLAINTS, DENUNCIATIONS, HANOUNG Persons who ,He sanctioned for OF VIOLATIONS administra.tivn violat\on!., in 11-1e held of rninorals, if committing acts of rosi~ting parsons on dut~/. delaying or shirking the execution or other acts, shall, depending on the nature and seriousness of their violations, be administratively handled or examined tor penal liability; if causing damage, they must pay compensations therefor accordfng to (aw provisions. Chapter V IMPLEMENTATION PROVISIONS

Article 22.- Implementation effect This Decree takes implementation effect 15 days after its publication. in the Official Gazette. It replaces th!:i Government's Decree No. 35/ GP of April . 23, 1997 prescribing . the actmrnistrative violations in the field of State management over· minerals.

Article 23.- Implementation organization The Ministry of Natural Resources and Environment shall assume the prime responsibility for, and coordinate with the concerned ministries and branches in, guiding and organizing the implementation of this Decree. The ministers, the heads of the ministerial- /eve/ agencies, the heads of the Government- attached agencies and the presidents of the People's Committees of ihf; provincf-JS and CE:lntrally-•run citfes shall havo to implHment thls Decree. On behalf of the Government Prime Minister PHAN VAN KMAI