Circular No. 28/2015/TT-BCT dated August 20, 3015 of the Ministry of Indusry and Trade on pilot implementation of self-certification of origin of goods provided in the ASEAN Trade in Goods Agreement

CIRCULAR

On pilot implementation of self-certification of origin of goods provided in the ASEAN Trade in Goods Agreement[1]

Pursuant to the Government’s Decree No. 95/2012/ND-CP of November 12, 2012, defining the functions, duties, powers and organizational structure of the Ministry of Industry and Trade;

Pursuant to the Government’s Decree No. 19/2006/ND-CP of February 20, 2006, detailing the Commercial Law regarding origin of goods;

In implementation of the ASEAN Trade in Goods Agreement, which was signed on February 26, 2009, at the 14^thSummit in Cha-am, the Kingdom of Thailand,  among the member states of the Association of Southeast Asian Nations (ASEAN), and the Memorandum of Understanding on the second pilot project for the implementation of a regional self-certification system, which was signed on August 29, 2012, in Siem Reap, the Kingdom of Cambodia, between the Lao People’s Democratic Republic, the Republic of the Philippines and the Republic of Indonesia;

In implementation of the Government’s Resolution No. 68/NQ-CP of September 10, 2014, on accession to the Memorandum of Understanding on the second pilot project for the implementation of a regional self-certification system within the ASEAN framework;

At the proposal of the Director of the Import-Export Department,

The Minister of Industry and Trade promulgates the Circular on pilot implementation of self-certification of origin of goods provided in the ASEAN Trade in Goods Agreement.

Chapter I
GENERAL PROVISIONS

Article 1.Scope of regulation

1. This Circular prescribes the pilot implementation of self-certification of origin of goods in accordance with the Memorandum of Understanding on the second pilot project for the implementation of a regional self-certification system, which was signed on August 29, 2012, in Siem Reap, the Kingdom of Cambodia, between the Lao People’s Democratic Republic, the Republic of the Philippines and the Republic of Indonesia (below referred to as the MoU).

2. In addition to the provisions on origin self-certification in this Circular, traders and related agencies, organizations and individuals shall comply with the Minister of Industry and Trade’s Circular No. 21/2010/TT-BCT of May 17, 2010, on implementation of the rules of origin provided in the ASEAN Trade in Goods Agreement, and Circular No. 42/2014/TT-BCT of November 18, 2014, amending and supplementing a number of articles of Circular No. 21/2010/TT-BCT.

Article 2.Subjects of application

1. This Circular applies to traders exporting/importing goods to/from traders of the member states of the MoU under the ASEAN Trade in Goods Agreement, and related agencies, organizations and individuals.

2. Traders selected by the Ministry of Industry and Trade to participate in the pilot implementation of self-certification of origin of goods under this Circular may retain the right to apply for certificates of origin, form D (below referred to as C/O form D) under Circular No. 21/2010/TT-BCT and Circular No. 42/2014/TT-BCT.

Article 3.Interpretation of terms

1. Self-certification of origin of goods means declaration by traders themselves of origin of their exports in commercial invoices instead of C/O form D.

2. Exporter means a trader selected to participate in the pilot implementation of origin self-certification of the member states of the MoU.

3. Commercial invoice containing declaration of origin means a commercial invoice on which the origin of goods is declared under Article 7 of this Circular, which shall be issued by a selected trader.

4. Competent agency of an exporting member state means a government body authorized by such state to:

a/ Issue C/O form D;

b/ Issue written approval of self-certification of origin of goods (below referred to as written approval).

5. Member states of the MoU include the Lao People’s Democratic Republic, the Republic of the Philippines, the Republic of Indonesia, the Kingdom of Thailand and the Socialist Republic of Vietnam. The Ministry of Industry and Trade shall notify new member states of the MoU on its e-portal atwww.moit.gov.vn, and notify such in writing to customs offices.

Chapter II

ISSUANCE OF WRITTEN APPROVAL

Article 4.Criteria for selection of traders to participate in the pilot implementation of self-certification of origin of goods

To be selected to participate in the pilot program of self-certification of origin of goods, a trader must fully satisfy the following criteria:

1. Being a producer and concurrently an exporter of goods it produces.

2. Having committed no violation against the regulations on origin of goods within 2 (two) years prior to the date of application of registration dossier.

3. Having a turnover of at least USD 10 (ten) million from exports to ASEAN under C/O form D in the preceding year.

4. Having official(s) who have been trained and possess certificates of training in origin of goods granted by a training unit designated by the Ministry of Industry and Trade.

Article 5.Issuance of written approval

1. The Ministry of Industry and Trade’s Import-Export Department shall issue written approval to traders participating in the pilot implementation of self-certification of origin of goods within ASEAN.

2. A trader that fully satisfies the criteria provided in Article 4 of this Circular and wishes to participate in the pilot program of self-certification of origin of goods shall send by post 1 (one) dossier set for registration to the Ministry of Industry and Trade’s Import-Export Department, at  the address: 54 Hai Ba Trung street, Hoan Kiem district, Hanoi, or register online atwww.ecosys.gov.vn.

3. The dossier and procedures for issuance of written approval are as follows:

a/ One original application for participation in the pilot implementation of self-certification of origin of goods within ASEAN (made according to the form provided in Appendix I to this Circular), clearly stating the commodity items registered for self-certification of origin;

b/ Copies of registrations of names and signature specimens of no more than three at-law representatives or authorized persons of the trader who are granted certificates of training in origin of goods (which must be certified and sealed by the trader) and sign in commercial invoices containing origin declaration (made according to the form provided in Appendix V to this Circular);

c/ One original report on production capacity and establishment of each commodity item registered for self-certification of origin (made according to the form provided in Appendix II to this Circular);

d/ One copy of the business registration certificate or enterprise registration certificate or investment certificate, which must be certified and sealed by the trader;

dd/ One original report on turnover from exports to ASEAN under C/O form D in the preceding year, which must be certified by the C/O-issuing organization where the trader dossier is registered for issuance of C/O form D.

4. Processing time limit

a/ Within 7 working days after receiving a complete dossier as prescribed, the Ministry of Industry and Trade’s Import-Export Department, a Department of Industry and Trade or the management board of an industrial park, export processing zone or economic zone authorized by the Ministry of Industry and Trade to issue C/O form D in the locality where the trader locates its production establishment shall inspect the practical production capacity of the trader;

b/ In case the dossier is incomplete or invalid, within 5 working days after receiving the dossier, the Ministry of Industry and Trade’s Import-Export Department shall notify such in writing to the trader for supplementation or completion;

c/ Within 5 working days after receiving the inspection result stating that the trader’s production establishment is conformable with regulations, the Ministry of Industry and Trade’s Import-Export Department shall consider and issue a written approval to the trader. In case of refusal, it shall reply in writing, clearly stating the reason.

5. For a trader that produces and exports a new commodity item or changes its production and export commodity item registered for self-certification of origin:

a/ A dossier must comprise:

- One original written request for addition or change of commodity items registered for self-certification of origin of goods;

- One copy of the issued written approval, which must be certified and sealed by the trader;

- One original report on production capacity and establishment for each commodity item registered for self-certification of origin of goods (made according to the form provided in Appendix II to this Circular);

b/ The time limit for dossier processing and issuance of written approval of additional or changed contents is prescribed in Clause 4 of this Article.

6. For other changes prescribed in Clause 5 of this Article such as person authorized to sign commercial invoices containing origin declaration, address of the head office, telephone number, business registration certificate or enterprise registration certificate or investment certificate, the trader shall promptly notify such in writing to the Ministry of Industry and Trade’s Import-Export Department.

7. In case a written approval ceases to be effective, a trader shall make a dossier prescribed in Clause 3 of this Article.

In case commodity items, production process and production establishment of a trader, which are registered for grant of written approval, remain unchanged compared to the initial registration, the Ministry of Industry and Trade’s Import-Export Department may consider exemption from physical inspection of the trader’s production establishment when re-granting the written approval.

Article 6.Written approval

1. A written approval is valid for 1 year from the date of grant, unless it is revoked under Article 10 of this Circular.

2. Each written approval has its own code (below referred to as a certified exporter authorization code). A trader shall record this code in its commercial invoices containing origin declaration issued during the validity duration of the written approval.

Chapter III

COMMERCIAL INVOICES CONTAINING ORIGIN DECLARATION

Article 7.Commercial invoices containing origin declaration

1. A selected trader, when exporting goods having origin, shall declare the origin of goods by itself in commercial invoices with the following content:

“The exporter of the product(s) covered by this document (Certified Exporter Authorization Code.......) declares that, except where otherwise clearly indicated, the product(s) (HS Code/s:.........)  satisfy the Rules of Origin to be considered ASEAN Originating Products under ATIGA (ASEAN country of origin: ....................) with origin criteria: …………….”

……………………..………………..

(Signature over Printed Name of the Authorized Signatory)

In which:

“Certified Exporter Authorization Code” means a self-certification code.

“HS Code(s)” means 6-digit HS code(s) of exported goods.

“ASEAN country of origin” means the name of the country of origin.

“Signature over Printed Name of the Authorized Signatory” means the capitalized name and signature of the person authorized by the trader, which have been registered with the competent agency.

2. Information to identify the origin of the goods must be fully declared in commercial invoices.

3. Commercial invoices containing origin declaration must bear a hand signature; the content specified in Clause 1 of this Article must be in English and contain the name (in capital letters) of the authorized signatory registered with the Ministry of Industry and Trade.

4. Date stated in commercial invoices containing origin declaration shall be considered the issuance date of such commercial invoices.

5. In case commercial invoices containing origin declaration do not have enough space for declaring all commodity items, the trader may additionally insert sheets for declaration of HS codes, origin criteria, signature and capitalized name of its authorized signatory.

Chapter IV

PROVISIONS ON IMPORTED GOODS ELIGIBLE FOR SELF-CERTIFICATION OF ORIGIN

Article 8.Imported goods eligible for preferential tariff treatment

1. Customs offices may consider offering preferential tariff treatment provided in the ASEAN Trade in Goods Agreement to goods imported from the member states of the MoU on the following conditions:

a/ Importers submit commercial invoices containing origin declaration issued by selected traders of the member states of the MoU;

b/ Selected traders of the member states of the MoU are on the list informed by the Ministry of Industry and Trade to customs offices;

c/ Commodity items eligible for preferential tariff treatment are on the list informed by the member states of the MoU to the Ministry of Industry and Trade.

2. Customs offices shall consider and approve only commercial invoices containing origin declaration issued by exporters with commodity items on the list informed by the Ministry of Industry and Trade under Clause 1 of this Article.

3. The procedures for import of goods must comply with the Ministry of Finance’s guidance.

Chapter V

EXAMINATION AND VERIFIATION OF ORIGIN OF GOODS AND HANDLING OF VIOLATIONS

Article 9.Examination and verification of origin of goods

The examination and verification of origin of goods must comply with Appendix III to this Circular.

Article 10.Revocation of written approval for participation in pilot implementation of self-certification of origin of goods

1. A written approval for participation in the pilot implementation of origin of goods shall be revoked in the following cases:

a/ The trader forges documents or commits a fraud in making declaration for applying for written approval;

b/ The trader forges dossiers and documents for self-certification of origin;

c/ The trader fails to perform its responsibilities prescribed in Article 11 of this Circular.

2. The Ministry of Industry and Trade’s Import-Export Department shall not consider granting written approval to traders within 1 year after such traders have their written approval revoked.

3. Information about traders who have their written approval revoked shall be posted up in the Ministry of Industry and Trade’s e-portal atwww.moit.gov.vn.

4. In addition to the revocation of written approval for participation in pilot implementation of self-certification of origin of goods, traders that commit violations specified at Point a, b or c, Clause 1 of this Article shall be subject to sanctions against administrative violations in the field of origin of goods under current regulations.

Chapter VI

RESPONSIBILITIES OF TRADERS AND RELATED AGENCIES AND ORGANIZATIONS

Article 11.Responsibilities of traders granted written approval

1. To maintain the conditions specified in this Circular unchanged throughout the course of self-certification of origin of goods, to report to the Ministry of Industry and Trade’s Import-Export Department on any change in such conditions.

2. At the request of the Ministry of Industry and Trade, to fully provide relevant reports and documents, and create conditions for the Ministry of Industry and Trade’s Import-Export Department or an agency authorized by the Ministry of Industry and Trade to inspect their production establishments.

3. To archive dossiers, reports and documents proving that goods eligible for self-certification of origin satisfy the origin criteria under current regulations, and other relevant documents, for at least 3 years from the date of self-certification of origin.

4. A trader may only declare the origin of goods it produces, and must possess all necessary documents proving that the goods satisfy all the origin criteria at the time of issuance of commercial invoices containing origin declaration.

5. To ensure that lawful representatives of traders or authorized signatories of commercial invoices containing origin declaration have been trained and granted certificates under Clause 4, Article 4 of this Circular.

6. To take responsibility before law for the accuracy and truthfulness of declarations related to the registration for grant of written approval and contents on self-certification of origin in commercial invoices containing origin declaration.

7. In the first week of every month, to report to the Ministry of Industry and Trade’s Import-Export Department on commercial invoices containing origin declaration issued for exported goods in the previous month under this Circular (made according to the from provided in Appendix IV to this Circular).

8. To promptly report to the Ministry of Industry and Trade’s Import-Export Department on commercial invoices containing origin declaration rejected by importing countries (if any).

Article 12.Responsibilities of related organizations and agencies

1. The Ministry of Industry and Trade’s Import-Export Department shall:

a/ Organize the grant, re-grant, modification and supplementation of written approval;

b/ Verify the origin of exported goods at the request of competent agencies of importing countries;

c/ Inspect and organize the implementation by selected traders after granting written approval, covering verification of the accuracy of commercial invoices containing origin declaration;

d/ After granting written approval, notify the ASEAN Secretariat of the following information about selected traders:

- Traders’ names;

- Traders’ head offices;

- List of authorized signatories of commercial invoices containing origin declaration and their signature specimens;

- Certified exporter authorization codes, including the grant date and the expiry date of written approval;

- List of goods eligible for self-certification of origin by traders;

dd/ Publicize the list of selected traders of the member states of the MoU on the e-portal of the Ministry of Industry and Trade atwww.moit.gov.vn.

2. Training units designated by the Ministry of Industry and Trade shall:

a/ Organize the training and grant training certificates to trainees;

b/ Comply with the general regulations on organization of training;

c/ Report to the Import and Export Department on certification information or certificates right after they are granted.

Chapter VII

IMPLEMENTATION PROVISION

Article 13.Effect

This Circular takes effect on October 5, 2015.

For the Minister of Industry and Trade
Deputy Minister
TRAN TUAN ANH

* All appendices to this Circular are not translated.-