Chapter VI

ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON ELECTRONIC TRANSACTIONS, PENALTIES AND REMEDIAL MEASURES

Article 107. Violations against regulations on operating conditions

1. A fine ranging from VND 5,000,000 to VND 10,000,000 shall be imposed for failing to carry out procedures for re-issuance of the license to provide public digital signature certification services, certificate of eligibility to ensure specialized digital signature security, or license to use foreign digital certificate in Vietnam in case such document is lost, torn, burnt or otherwise destroyed.

2. A fine ranging from VND 10,000,000 to VND 20,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to complete procedures for renewal of license to provide public digital signature certification services by the prescribed deadline;

b) Failing to meet personnel or technical conditions for obtaining a license by a public digital signature certification body or certificate of eligibility to ensure specialized digital signature security by a provider of certification services of specialized digital signatures for agencies/organizations;

c) Failing to comply with regulations on format of digital certificates;

d) Failing to carry out procedures for modification of the license to provide digital signature certification services in case of change of business name or legal representative.

3. A fine ranging from VND 20,000,000 to VND 30,000,000 shall be imposed for trading, transferring or leasing the license to provide digital signature certification services.

4. A fine ranging from VND 30,000,000 to VND 40,000,000 shall be imposed for retaining duplicates of private keys without requests of applicants for digital certificates.

5. A fine ranging from VND 40,000,000 to VND 60,000,000 shall be imposed for providing digital signature certification services without a valid license or digital certificate issued by Vietnam National Root Certification Authority.

6. A fine ranging from VND 60,000,000 to VND 80,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to maintain the satisfaction of financial condition for obtaining the license to provide digital signature certification services;

b) Failing to retain adequate and accurate information and update information on subscribers serving the grant of digital certificates during the validity of such digital certificates.

7. Additional penalties:

a) The provision of digital signature certification services/certificate of eligibility to ensure specialized digital signature security shall be suspended for a fixed period of 01 - 06 months in case of commission of the violation in Point b Clause 2 of this Article;

b) The license to provide digital signature certification services, certificate of eligibility to ensure specialized digital signature security, certificate of a foreign digital signature certification body or license to use foreign digital certificate in Vietnam shall be suspended for a fixed period of 01 – 03 months in case of commission of any of the violations in Clauses 3, 4 and 6 of this Article.

8. Remedial measures:

Enforced return of benefits illegally obtained from the commission of the violation in Clause 3 of this Article;

Article 108. Violations against regulations on compulsory technical regulations and standards

1. A fine ranging from VND 20,000,000 to VND 30,000,000 shall be imposed for failing to maintain the compliance with registered standards when providing specialized digital signature certification services.

2. A fine ranging from VND 40,000,000 to VND 60,000,000 shall be imposed for the commission of one of the following violations by a public digital signature certification body:

a) Developing a technical plan inconsistently with technical regulations in course of operations;

b) Failing to comply with mandatory technical regulations or standards when providing public digital signature certification services.

3. Additional penalties:

The license to provide digital signature certification services shall be suspended for a fixed period of 01 - 03 months in case of commission of the violation in Point b Clause 2 of this Article.

Article 109. Violations against regulations on provision of digital signature and digital certificate services

1. A fine ranging from VND 5,000,000 to VND 10,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to give written instructions or giving inadequate or inaccurate instructions to applicants for digital certificates before signing contracts for issuance of digital certificates;

b) Failing to extend digital certificates at the request of subscribers;

c) Failing to maintain the availability of 24/07 information channel to receive requests for revocation or suspension of digital certificates;

d) Creating key pairs for applicants for digital certificate without their written requests;

dd) The contract signed between the public digital signature certification body and a subscriber does not contain adequate contents as prescribed.

2. A fine ranging from VND 10,000,000 to VND 20,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to give notification to the subscriber in case that subscriber’s private key is found to be revealed, damaged or have any errors which might adversely affect rights and benefits of that subscriber;

b) Failing to notify subscribers of the revocation of the license to provide public digital signature certification services and information on the organization that will receive database of the license holder;

c) Failing to give notification to subscribers for a prescribed period before suspending the provision of digital signature certification services;

d) Failing to notify the subscriber of suspension of its/his/her digital certificate, dates of commencement and termination of such suspension if it is well-grounded;

dd) Failing to publish the suspension of issuance of new digital certificates on the website;

e) Refusing to issue digital certificates without legitimate reasons;

g) Failing to have published certification regulations that follow the template adopted by the Ministry of Information and Communications or contain adequate information prescribed by law;

h) Failing to publish certification regulations using the template adopted by the Ministry of Information and Communications;

i) Failing to notify the subscriber of revocation of its/his/her digital certificate;

k) Failure by a specialized digital signature certification body to carry out procedures for operation registration with the Ministry of Information and Communications;

l) Failing to formulate a standard-form contract to be used when issuing digital certificates;

m) Failing to comply with mandatory technical regulations and standards when providing time-stamp services;

n) Failing to report on suspension of issuance of new digital certificates to competent authorities.

3. A fine ranging from VND 20,000,000 to VND 30,000,000 shall be imposed for the commission of one of the following violations:

a) Publishing the digital certificate issued to a subscriber on database before obtaining that subscriber’s confirmation of information specified on the digital certificate;

b) Failing to recover the digital certificate upon the end of suspension period;

c) Failing to retain adequate information relating to the suspension or revocation of digital certificates for a period of no less than 05 years;

d) Failing to enter into an agreement on transfer of database on provision of public digital signature certification services when having a license to provide public digital signature certification services revoked;

dd) Failing to report the Ministry of Information and Communications in case of failure to reach an agreement on transfer of database on provision of public digital signature certification services when having the license to provide public digital signature certification services revoked;

e) Changing the key pair without request from the subscriber;

g) Failing to retain information on applicants for digital certificates.

4. A fine ranging from VND 30,000,000 to VND 40,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to suspend the digital certificate at the request of the subscriber or a competent authority;

b) Failing to revoke the digital certificate at the request of the subscriber or a competent authority;

c) Failing to publish accurate contents of digital certificates on database;

d) Issued digital certificates do not contain adequate information as prescribed;

dd) Issuing a digital certificate which does not correspond with the position of the subscriber working at a state agency as prescribed;

e) Failing to allow Internet users to access lists of valid digital certificates and expired ones;

g) Failing to comply with the license suspension or revocation as prescribed;

h) Failing to publish digital certificates issued to subscribers on database by prescribed deadlines;

i) Issuing time-stamps against regulations;

k) Failing to suspend the issuance of new digital certificates upon detection of any failures in the system used for providing digital signature certification services.

5. A fine ranging from VND 40,000,000 to VND 60,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to transfer documents and database as prescribed;

b) Failing to request the Ministry of Information and Communications to consider modifying, revoking or issuing license as prescribed when the public digital signature certification body engages in merger, joint-venture, association or other changes;

c) Developing or providing digital signature certification services against the license to provide public digital signature certification services;

d) Failing to suspend the issuance of new digital certificates at the request of a competent authority;

dd) Failing to maintain database on issued digital certificates during the suspension of issuance of new digital certificates.

6. A fine ranging from VND 60,000,000 to VND 80,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to publish and maintain the 24/07 availability of the following information on the website, including regulations on certification and digital certificates, lists of valid digital certificates, suspended and revoked ones;

b) Failing to sufficiently and accurately retain/failing to update the list of valid digital certificates or the list of expired ones for a period of no less than 05 years;

c) Failing to establish equipment/system used for providing digital signature certification services in Vietnam after obtaining a license to provide public digital signature certification services or certificate of eligibility to ensure specialized digital signature security from the Ministry of Information and Communications;

d) Failing to update the website within 24 hours from the occurrence of any changes in regulations on certification and digital certificates, lists of valid digital certificates, suspended and expired ones.

Article 110. Violations against regulations on use of digital signature and digital certificate services

1. A fine ranging from VND 30,000,000 to VND 40,000,000 shall be imposed for the commission of one of the following violations:

a) Failing to provide private keys or other necessary information for presiding agencies or security agencies as prescribed;

b) Carrying out transactions with state agencies using a foreign digital certificate which is not licensed to use in Vietnam.

2. A fine ranging from VND 40,000,000 to VND 60,000,000 shall be imposed for the commission of one of the following violations:

a) Providing false information when applying for a digital certificate;

b) Using a digital signature of a holder of digital certificate of an agency or organization for entering into transactions against the user’s position.

Article 111. Violations against regulations on license to use foreign digital certificates in Vietnam

1. A fine ranging from VND 10,000,000 to VND 20,000,000 shall be imposed for failing to present the license to use a foreign digital certificate in Vietnam.

2. A fine ranging from VND 20,000,000 to VND 30,000,000 shall be imposed for using a foreign digital certificate in Vietnam against the license.

3. A fine ranging from VND 30,000,000 to VND 40,000,000 shall be imposed for accepting a foreign digital certificate which is not yet licensed to be used in Vietnam in transactions made with state agencies.

4. A fine ranging from VND 40,000,000 to VND 60,000,000 shall be imposed for using a foreign digital certificate which can be used in Vietnam according to a valid license but it has been expired.

5. A fine ranging from VND 60,000,000 to VND 80,000,000 shall be imposed for the commission of one of the following violations:

a) Providing false information when applying for issuance, re-issuance or modification of the license to use foreign digital certificate in Vietnam;

b) Trading, renting or leasing the license to use foreign digital certificate in Vietnam.

6. Additional penalties:

The license to use foreign digital certificate shall be confiscated in case of commission of any of the violations in Clause 5 of this Article.

7. Remedial measures:

Enforced return of benefits illegally obtained from the commission of the violation in Point b Clause 5 of this Article;

Article 112. Violations against fees and charges

1. A fine ranging from VND 20,000,000 to VND 30,000,000 shall be imposed for failing to pay or delaying payment of fees for maintenance of the system used for checking digital certificate status (hereinafter referred to as “maintenance fee”) for more than 15 working days after the payment due date.

2. A fine ranging from VND 30,000,000 to VND 40,000,000 shall be imposed for failing to make full payment of maintenance fees in 06 months.

3. A fine ranging from VND 40,000,000 to VND 50,000,000 shall be imposed for failing to make full payment of maintenance fees in 12 months.

4. Additional penalties:

a) The provision of public digital signature certification services shall be suspended for a fixed period of 01 – 06 months in case of commission of the violation in Clause 2 of this Article;

b) The license to provide public digital signature certification services shall be suspended for a fixed period of 8 - 12 months in case of commission of the violation in Clause 3 of this Article.

5. Remedial measures:

Enforced return of maintenance fees due to late or insufficient payment in case of commission of any of the violations in Clauses 1, 2 and 3 of this Article.