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THE
MINISTRY OF FINANCE
THE GENERAL DEPARTMENT OF CUSTOMS
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THE
SOCIALIST REPUBLIC OF VIETNAM
Independence– Freedom – Happiness
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No.:
1700/QD-TCHQ
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Hanoi,
September 25, 2007
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DECISION
ON THE PROMULGATION OF THE REGULATION ON THE APPLICATION OF
RISK MANAGEMENT IN PILOTING ELECTRONIC CUSTOMS PROCEDURES
GENERAL DIRECTOR OF GENERAL DEPARTMENT OF CUSTOMS
Pursuant to the Law on Customs
of June 29, 2011 and Law on amending, supplementing a number of Articles of the
Law on Customs of June 14, 2005;
Pursuant to the Prime
Minister’s Decision No. 149/2005/QD-TTg of June 20, 2005 on the implementation
of pilot of electronic customs procedures;
Pursuant to the Minister of
Finance’s Decision No. 52/2007/QD-BTC of June 22, 2007 on the promulgation of
the Regulation on piloting electronic customs procedures;
At the proposal of the
Director of Anti-smuggling and Investigation Department and the Department of
Customs Renovation and Modernization,
DECIDES:
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Article 2.
This Decision takes effect from October 01, 2007.
Article 3.
Heads of units belonging to the General Department of Customs, Directors of
Customs Departments of provinces and cities applying the pilot of electronic
customs procedures and relevant units are responsible for the implementation of
this Decision.
FOR
GENERAL DIRECTOR OF GENERAL DEPARTMENT OF CUSTOMS
DEPUTY GENERAL DIRECTOR OF GENERAL DEPARTMENT
Dang Hanh Thu
REGULATION
ON APPLYING RISK MANAGEMENT IN PILOT OF ELECTRONIC CUSTOMS
PROCEDURES
(Promulgated together with the Decision No. 1700/QD-TCHQ of September 25,
2007)
Part I
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1.
Interpretation of terms
1.1 Risk-prone domains: means
the customs procedures and means of international transport in which risks
occur.
1.2. Risk identification: means
the process of identifying what the risk is, causes, conditions and objectives
of the risk occurance.
1.3. Risk rate: means the
possibility, probability of the risk occurrence.
1.4. Risk consequences: means
damages, effects when risks occur.
1.5. Risk level: means the
combination of the rate and the consequences when risks occur.
1.6. Risk control: means
activities of risk management, including the implementation of policies,
standards, procedures and adjustments to eradicate or diminish causes,
conditions for risk occurence.
1.7. Process of risk management:
means the systematic application of policies, procedures and field experiences
to the setting up of situational contexts, identification, assessment,
handling, monitoring of and feedbacks on results of risk handling.
1.8. Risk criteria: means one or
a group of indicators to permit identification, measurement, assessment,
classification regarding each kind of risks; including:
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1.8.2. Risk assessment criteria:
means criteria to measure, assess the risk extent; according to the 3 following
kinds:
a. Selection criteria: means
risk criteria set up according to a risk indicator or a compound of risk
indicators to create instruments for risk identification and extent assessment.
b. Scoring criteria: means risk
criteria assessed and demonstrated by risk scores.
c. Random criteria: means
criteria of sampling using statistic probability method to measure the extent
of observence regarding each of the identified subjects and activities.
2. Scope and
domains of risk management application
2.1 Process of customs
procedures regarding seaway transports entering, exiting country, in transit,
in port transit; including violations of provisions on:
2.1.1. Management policies
regarding goods banned from export, import;
2.1.2 Public health,
environment, security;
2.1.3. Goods being managed in
accordance with provisions of CITES treaty and BASEL treaty;
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2.2. Process of customs
procedures regarding exported, imported goods including violations of
provisions on:
2.2.1. Customs declaration
regarding exported, imported goods;
2.2.2. Dossiers, documents of
customs declaration;
2.2.3. Value of exported,
imported goods;
2.2.4. Categorization of
exported, imported goods;
2.2.5. Exported, imported goods
subject to management by permits, quota and lines;
2.2.6. Exported, imported goods
relating to intellectual property rights;
2.3. Post-customs clearance
inspection including the following risk-prone domains:
2.3.1. Specially-prioritized
traders;
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2.3.3. Customs value regarding
exported, imported goods:
2.3.4. Categorization of exported,
imported goods;
2.3.5. Permits and line
management;
2.3.6 Intellectual property
rights;
2.3.7. Processing for foreign
countries and processing in foreign countries;
2.3.8. Production of exported
goods;
2.3.9. Domestic and foreign
investment;
3. Risk
management criteria
3.1. Priority criteria (Annex
1);
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3.3. Risk assesment criteria
(Annex 3).
4. Risk
assessing, analyzing system
The risk assessing, analyzing
system shall support in channeling, selecting subjects of inspection on the
basis of risk file updating on the system regarding the following processes of
procedures:
4.1. Means of transport
entering, exiting country, in transit and in seaway port transit;
4.2. Exported, imported goods;
4.3. Post-customs clearance
inspection.
5. Applied
measures for handling risks
5.1. Prevention measures
5.1.1. Propagating in order to
improve enterprises awareness of observance of the customs law;
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5.1.3. Notifying enterprises to
proactively handle, terminate violations of the customs law;
5.1.4. Proposing for amending, supplementing
policies, provisions possible to cause risks;
5.1.5. Concentrating resources
for activities of customs inspection, control regarding domains of risks.
5.2 Measures of detection,
prevention
5.2.1. Dossier inspection;
5.2.2. Goods inspection;
5.2.3. Post-customs clearance
inspection;
a. Assessment of the extent of
observance;
b. Post-customs clearance
inspection regarding objects selected from the system;
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Part II
PROCESS OF RISK
MANAGEMENT
The process of risk management
is conducted in 4 steps: (1) identification of risks, (2) assessment and
analysis of risks, (3) handling of risks, (4) supervision, re-assessment and
measurment, assessment of the extent of observation.
1. Step 1.
Identification of risks
The Identification of risks is
carried out in the following order:
1.1 Collecting and analyzing
information and data; identifying potential risks in each of the risk-prone
domains
1.1.1. The risk file
a. Review risks being applied
management measures and monitor changes of these risks;
b. Review the happening of the
accepted risks and eliminated risks in the past or and its affects on the
customs management work in the present;
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1.1.2. Dossiers of violation
cases and database of customs law violations management
a. Statistic, analyze figures of
violation cases within branch and each sub-department in order to assess the
violation on the basis of previously indentified and registered risks; identify
signs of arising-newly risks;
b. Analyze modes and tricks of
violation to forecast the possibility of potential violations.
1.1.3. Synthesize, analyze
feedbacks from the steps in the Process of procedures to identify remaining
risks, arising-newly risks or forecast risks from the analysis of modes and
tricks of violation.
1.1.4 Analyze, assess
operational information or other information provided by units within and
outside the branch in order to identify hidden risks possible to be happening
or likely to happen.
1.1.5. Results of measurement
and assessment of observance
a. Synthesize, analyze, and
assess violations detected during the application of random selection criteria
to each observing domain;
b. Collect feedbacks; analyze
violations detected during the post-customs clearance inspection activities:
- Results of the assessment of
observance regarding specially-prioritized enterprises and commodity lines,
fields of importance;
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1.1.6. The risks synthesized and
indentifed from operational activities, customs intelligence activities or
provided by units within and ouside of the branch.
1.2. Outcomes of the risk
identification step
1.2.1. What the identified risk
is, of what risk-prone domains are;
1.2.2. Signs for risks detection;
1.2.3. Causes, conditions and
objectives that make risks occur;
1.2.4. Subjects causing or
relating to risk occurrence;
1.2.5. Units or Departments that
are handling;
1.2.6. Management measures being
applied by the Customs and relevant functional agencies.
1.3. Report, approval of the
registration in the risk file
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a. If the such risks have been
registered in the risk file (including eliminated cases), then compare relevant
signs and elements of identified risks with risks being managed to consider the
adjustment, supplement or restoration of the previously-registered dossiers
(for eliminated risks) and report to competent leaders for approval.
b. If identified risks are
newly-detected risks, then report for establishing the risk file in accordance
with form MQLRRDT- 4 (Annex 4) and submit to competent leaders for aprroval.
1.3.2. The competent person
(provided for in part IV of this Regulation), based on the proposal of
Officerss, consider the authenticity of information to decide the adjustment,
supplement, restoration of risk application dossiers or approve the
establishment of the new risk file.
2. Step 2.
Assessing and analyzing risks
2.1. Analyzing the risks
identified in step 1 to specify:
2.1.1. The possibility of risk
occurrence:
a. Regularly: high extent (3)
b. Occasionally: average extent
(2)
c. Rarely: low extent (1)
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Extent
Occurrence
High (3)
Very likely to occur
Average (2)
Possible to occur
Low (1)
Possible to occur but not
likely
2.1.2. Consequences of risks
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b. Serious: average level (2);
c. Rather serious: low level
(1);
Officerss analyzing risks may
use the below table to support the identification of the risk impact on the set
forth objectives:
Level
Results
High
Severe damage to revenue
sources, public health and security, environment.
Average
Medium damage to public
health, security, environment.
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Acceptable few damage to
revenue source, public health, security, environment.
2.1.3. Risk levels
On the basis of the results of
risk possibility and consequences identification (in cases of actual
occurrence), Officerss analyzing risks may use the risk level identification
table to identify the overall risk level. The risk level is defined by the
junction of possibility and consequences belonging to one of the following
cases:
High level (3);
Average level (2);
Low level (1).
The results of risk analysis
shall be updated on the risk file in accordance with form MQLRRDT-5 (Annex 5)
issued under this Regulation.
Risk level analysis table
Possibility
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Very
serious
Serious
Rather
serious
Regularly
High
High
High
Occasionally
Average
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High
Rarely
Low
Average
High
2.2. Assessing the effectiveness
of control measures being applied to identified risks:
2.2.1. Being-applied measures;
2.2.2. Ratio of violation
detection relating to risks identified in the phases before and after the
application of measures
2.2.3. Impact of being-applied
measures on relevant branches.
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2.3.1. Foundation for
classification:
a. Conditions for, possibility
of application;
b. The risk levels
c. Compare with criteria and
handled risks to make a list and propose plans to monitor and assess acceptable
risks.
2.3.2. Make a list and set up
priority order for handling unacceptable risks.
2.4. Setting up compounds of
signs of risks
2.4.1. Collect, analyze all the
distinctive signs of the identified risks;
2.4.2. Find distinctive signs of
risks
2.4.3. Combine distinctive signs
with other signs to make instruments for detection and selection of the risks
of the same category.
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3.1. Proposing measures for
handling risk
3.1.1. Customs units and levels
provided for in part IV of this Regulation shall:
a. Timely provide risks detected
during the process of information synthesis and analysis in the allocated
domains;
b. Re-analyze; re-assess identified
risks periodically and provide results for risk management units at the same
level every month on the day of 20th; propose handling measures and provide
operational guidance.
3.1.2. The risk management
units, on the basis of their results of risk analysis and assessment and the
proposals of operational units and, shall re-assess:
a. The risk levels;
b. The risk handling prioritized
extent;
c. The compound of signs of
risks;
d. The effectiveness of the
handling measure application; examine the element of resources in comparison
with the achieved results;
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f. Select and propose
appropriate handling measures regarding risks prioritized to handle;
g. Select and propose handling
measures regarding other risks (provided for in part I of this Regulation).
3.2. Developing plans, preparing
conditions for risk handling
3.2.1. Plans of risk handling
shall be implemented at 02 levels, units:
a. Risk management units at General-department
level shall make handling plans regarding risks generally applying to the
entire branch;
b. Risk management units at
electronic customs Sub-department level shall make handling plans regarding
risks within the sub-department level on the basis of unifying and ensuring the
implementation of the contents in accordance with the plan of the General
Department.
3.2.2. Contents of risk handling
plans:
a. List of risks needs to be
handled;
b. Measures to handle expected
risks;
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d. Duration for the risk
handling including starting and ending time;
e. Implementing units or
Officerss;
f. Necessary conditions
regarding facilities, equipment, budget;
g. Plans on monitoring, assessing
the handling results and the report on information feedbacks.
3.2.3. Competent leaders
(provided for in part IV of this Regulation) at levels, units, based on risk
handling plans reported by officers, public servants, shall consider the
suitability, effectiveness and feasibility of the plans to approve the
implementation.
3.2.4. On the basis of the plans
approved by competent leaders, the risk management unit shall transfer the
requirements, handling plans to relevant units to implement.
3.3. Operating the risk
analyzing, assessing system
The risk analyzing, assessing
system is operated through activities of risk management criteria and
professional information update; the integrated system shall process data and
produce risk assessment, classification results; select and channel the objects
of inspection.
3.3.1. The update of risk
management criteria is implemented at 02 levels: The General Department and
Sub-departments of Electronic Customs.
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On the basis of the approved
risk file, officers operating the system shall update the risk management
criteria on the risk analyzing, assessing system in accordance with the extent
and level of application. Including 3 kinds of criteria:
- Selection criteria regarding
means of transport and goods on means of transport exiting, entering country,
in transit and in port transit;
- Risk criteria applying to
customs clearance, includes:
+ Selection criteria;
+ Risk scoring criteria;
+ Random criteria;
+ Priority criteria;
+ Observance criteria.
- Selection criteria of
post-customs clearance inspection objects, includes:
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+ Risk criteria applied to
post-customs clearance inspection
b. Sub-department of Electronic
Customs level
On the basis of risk files
approved by leaders of the sub-departments, Officerss operating the system
shall update selection criteria on the risk analyzing, assessing system in
accordance with the extent and level of application, in particular:
- Selection criteria regarding
means of transport and goods on means of transport exiting, entering country,
in transit and in port transit;
- Risk criteria applied to
customs clearance, includes:
+ Selection criteria;
+ Risk scoring criteria;
+ Random criteria;
+ Priority criteria.
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+ Observance assessing criteria;
+ Selection criteria applied to
post-customs clearance inspection.
3.3.2. The risk assessing,
analyzing system integrates, processes data and produces risk assessment,
classification results; select and channel the objects of inspection:
a. Officers operating the
system, after updating data, shall carry out the approval function on the risk
analyzing, assessing system;
b. The system automatically
integrates, processes electronic data on the basis of information technology
application in order to process requirements, data and parameters updated on
the system;
c. The system automatically
receives and processes declared information, data to produce results of risk
assessment and classification and inspection channeling;
d. The system raises operational
requirements to orient inspection activities in customs clearance activities
(in case the risk file does manifest) and post-customs clearance inspection.
3.4. Applying risk handling
measures
3.4.1. Carrying out the
preventing measures:
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- Holding seminars, dialogues
with enterprises;
- Publishing fliers, books,
newspapers and making use of the means of mass media.
- Forms of discussion, problem
solving via hotlines, website, and electronic mail boxes;
- Holding training, retraining,
consulting programs for enterprises on customs law, processes of customs
procedures and customs provisions to improve the self-management ability of
enterprises.
b. Risk management units shall
notify enterprises of signs of risks, hazards to the observance of enterprises,
in cases of necessary, the risk management units could guide, support
enterprises to proactively handle the risk situations, or to proactively stop
the activities with potential signs of likely violations.
c. Through the risk management
process, the risk management unit needs to identify risks coming from the
system of policies, law and processes of procedures to propose, suggest
amendment, supplement or take appropriate and timely management measures.
Synchronously identify high risk-prone domains or domains of importance to
concentrate on inspection, control and supervision so as to prevent potential
risks.
3.4.2. Measures for detecting,
preventing risk
a. Measures for detecting,
handling risks during the process of conducting electronic customs procedures
regarding seaways means of transport exiting, entering country, in transit, in
port transit are provided in Annex 6 issued under this Regulation;
b. Measures for detecting,
handling risks during the process of electronic customs procedures regarding
exported, imported goods are provided in Annex 6 issued under this Regulation;
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d. Measures for using
controlling operations to monitor, detect objects of highly potential risks;
e. Officers working on risk
management shall utilize the analyzing, monitoring, assessing functions of the
risk management system to make the list of enterprises obliged to apply
operational measures to monitor, detect and stop violations, including:
- Enterprises of high risks but
not detected violations after many times of dossier inspection and actual goods
inspection (red channel);
- Enterprises with signs of
violations;
- Enterprises violating many
times;
f. Officers shall suggest
competent leaders to approve the list of enterprises obliged to apply
controlling operational measures in order to transfer to the controlling unit
at the same level;
g. Risk management units shall
bear responsibility to regularly collect feedbacks on the process of
monitoring, assessing regarding activities of enterprises on the list of
enterprises obliged to apply controlling operational measures.
4. Step 4.
Supervising, re-assessing and measuring, assessing observance
4.1. Supervision, re-assessment
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4.1.1. The General-department
level
a. Risk management units at the
General Department level shall supervise the implementation of the process of
risk management by the following measures:
- Controlling the risk
analyzing, assessing system to supervise the implementation of the process of risk
management at the units of Sub-departments of electronic customs, including:
+ The system channeling results;
+ The channeling, channel
transferring at the Sub-departments;
+ The updating, application of
risk management criteria at the Sub-departments.
- Supervising, assessing the
implementation of risk management of units belonging to the General Department;
- Collecting feedbacks and
reporting the assessment of the effectiveness of risk management application of
the Sub-department in accordance with form MQLRRDT-7 (Annex 7) of this
Regulation.
b. Assessing the effectiveness
of risk management application
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+ Assessing the achieved results
regarding the set forth objectives;
+ Effectiveness of the applied
risk handling measures;
+ Potential impacts, effects from
the risk handling; feedbacks from relevant objects.
- Making use of the system’s
functions to assess the application effectiveness of each of the risk
management criteria registered, applied in the system;
- Synthesizing, analyzing
operational reports, dossiers of violation cases and the system of violation
data of the branch to assess the extent of observance of law.
4.1.2. Sub-departments of
Electronic Customs
a. Risk management officers at
the Sub-departments shall control the system to supervise the process of risk
handling in accordance with the steps of the process of electronic customs
procedures, in particular:
- Inspecting the system’s
channeling results;
- Supervising the channeling,
channel transferring at the Sub-departments;
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- Monitoring, assessing the
update, feedbacks at the steps of the process.
b. Synthesizing, analyzing, and
assessing the effectiveness of risk management application at the
Sub-departments, in particular:
- Assessing the effectiveness of
the application of risk management criteria;
- Assessing the system’s
channeling quality;
- Assessing the risk handling
results;
- Re-assessing the remaining
risks
c. Reporting feedbacks at the
General Department level on the results of the implementation of risk
management at the Sub-departments in accordance with form MQLRRDT-7 (Annex 7)
of this Regulation.
4.2. Measurement, assessment of
observance
4.2.1. Assessment of observance
regarding specially-prioritized traders
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a. Organizing the collection of
data, information of enterprises in accordance with information norms in Annex
8 of this Regulation:
- Collect information from
existing information sources;
- Collect information from enterprises
on the basis of signing written regulations on the information exchange and
provision;
- The system automatically
integrates data from the information system of the entire branch;
- Synthesize information from
observance assessing, measuring activities.
Collected information of
specially-prioritized enterprises is updated on the system of enterprises
management database.
b. Officers managing observance
shall monitor, analyze, assess observance regarding specially-prioritized
enterprises; based on the assessing criteria to propose competent leaders
provided for in part IV of this Regulation for appropriate management measures.
c. Competent leaders shall
approve the extent of observance and management measures applied to
specially-prioritized enterprises.
4.2.2. Measurement, assessment
regarding observance domains
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- General-department level:
+ Collecting information, data
of domains need to be assessed observance in order to produce initial assessment
of the extent of observance in that domain;
+ Randomly sampling to measure
the extent of observance for the identified domains, objects;
+ Analyzing dossiers and
violation database to measure the extent of observance of each domain, object.
+ Synthesizing, analyzing the
post-customs clearance inspection results of the Sub-departments of electronic
customs and post-customs clearance inspection units in the entire branch in
order to assess the extent of observance of each domain, object.
- Sub-department of Customs
level
+ Conducting post-customs
clearance in accordance with the annual plan regarding each domain, object of
observance;
+ Assessing observance within
the Sub-department on the basis of post-customs clearance inspection results.
b. Synthesizing, assessing the
observance measurement, assessment results,
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- Re-assess the effectiveness of
customs inspection, control activities;
- Assess business results of key
economic branches;
- Assess the operational extent
of major exporters, importers;
- Assess the extent of the
improvement of customs law observance;
c. Processing observance
measurement, assessment results
Based on the observance
measurement, assessment results, officers allocated to manage observance shall
synthesize, analyze and handle as follows:
- For cases that the observance
ratio is found lower than 95%, then assess each major importer as follows
+ Notify the importer in order
to orient them towards voluntary observance;
+ Compile dossiers, identify
major points regarding each of the detected non-observing domains;
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+ Implement more assessments,
inspections.
+ Sanction for violations.
- Based on the above results,
officers allocated to monitor, measure, assess observance shall propose:
+ To identify risks need to be
updated, supplemented;
+ To orient resources for
efficient management;
+ To apply appropriate risk
handling measures;
+ To reduce the frequency of the
goods inspection regarding objects with high extent of observance and vice
versa.
Part III
RISK FILE BUIDLING,
MANAGEMENT, APPLICATION
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1. Compiling
the risk file
1.1. Establishing the file
1.1.1. Information, data of
risks
On the basis of risk
identification results, data, information of risks collected in step 1 of the
process of risk management, risk management officers shall update information,
data of risks, in which reflects in details contents of:
a. What the identified risk is,
where and how it occurs;
b. Clue of detection: in what
activity and measure it was detected;
c. Causes, conditions and
objectives of the risk occurrence;
d. Subjects causing risks or
relating to risks;
e. Signs of risks;
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1.1.2. Foundation for
establishing the risk file
a. Inspection, comparison for
identifying as a basis for establishing the risk file, including:
- Whether or not the risks are
detected and registered in the risk data file?
- Examining the risks in
comparison with equivalent risks in the risk data file in order to identify the
domains and sub-group of risks;
- Whether or not the information
describing the risk is complete and authenticated?
b. Basis for establishing the
risk file includes:
- Having information to identify
the authenticity of the risks;
- The identified risks must be
specific, not general;
- Risks causing obstruction for
the management objectives of Customs;
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1.1.3. Reporting, approving the
risk file establishment
a. Risk management officers
shall make reports on the establishment of the risk file. The report contents
must specify:
- Collected information, data
(as stated above);
- Risk-prone subgroup, domains
to which the identified risks belong;
- Foundation for establishing
the risk file;
- Proposals on risk analysis,
assessment plans; including:
+ Sources of information, data
needed to collect and supplement regarding risks;
+ Measures to collect
information;
+ Methods for risk analysis;
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+ Time of the implementation and
completion.
b. Approving and registering
risks
- After making reports, risk
management officers shall submit to competent leaders provided for in Part IV
for approving the report on the risk file establishment.
- Competent leaders shall
approve the report;
- Risk management officers shall
register the risks. The risk register is issued, monitored and managed by the
risk management unit.
1.2. Updating the risk analysis,
assessment results on the risk file
1.2.1. On the basis of the risk
analysis, assessment results, officers shall update analyzed, assessed
information on the risk file, including:
a. Subjects causing risk
occurrence or relating to risks;
b. Natures, causes, conditions
for risk occurrence;
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d. Identification of the extent
of consequences of the risks;
e. Identification of the risk
level;
f. Being-applied controlling
measures and their effectiveness;
g. Classification of the
acceptable/unacceptable risks;
h. Handling priority rating;
i. Collection of signs of risks;
k. Setting up a written risk
description on the basis of compounding signs of risks with characteristic
properties of risks;
1.2.2. Recording risk handling
plans;
1.2.3. Analyzing, assessing
impacts, effects of the selected measures;
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2. Managing,
applying the risk file
2.1. Managing the risk file
2.1.1. Risk files are uniformly
managed in the entire branch; risk management units at each level shall implement
the risk file management accordingly to their level;
2.1.2. Risk files are managed by
the registration numbers regarding each specific risk at each level;
2.1.3. Risk files are saved in
paper documents or data updated on computers;
2.1.4. Annually, risk management
units at the General-department level shall inspect, assess the implementation
of risk file utilization, management regime.
2.2. Applying risk files
2.2.1. Risk files are the
results of identifying and assessing actual state of risks in customs
management domains, including:
a. Identifying and describing
all the risks existing in customs management domains;
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c. Classifying, concentrating
resources for handling the high risks; synchronously using as a basis for the
acceptance of low risks and not serious risks.
2.2.2. Risk files provide
instruments for detecting, selecting risks through:
a. Signs of risks described in
the risk file;
b. Compounds of risk
registration established on the basis of distinctive signs of risks.
2.2.3. Risk files are the bases
for the application of risk handling measures
a. Based on the risk file, officers
working on risk management shall propose on applying the following measures:
- Developing programs of risk
managements by objectives, scope and extent of application;
- Developing and launching
programs of voluntary observance;
- Conducting observance
measurement and assessment;
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+ Inspecting dossiers,
inspecting goods during the customs clearance (via automatic systems or
documents directing, guiding risk management);
+ Inspecting post-customs clearance;
+ Applying customs control
measures to supervise, investigate or organize combat, prevention;
+ Developing and carrying out
plans; collaborating with units within and outside the branch to implement
plans on prevention, stopping;
+ Not applying incentive
mechanism to objects (enterprises, organizations, individuals) or domains of
high risks.
b. Based on the risk analysis,
assessment results recorded in the risk file, officers working on risk
management may offer operational requirements and orientation applying to
handling measures for specific risks.
3.
Monitoring, assessing, supplementing, adjusting, eliminating risk files
3.1. Monitoring, assessing
Regularly monitor, assess the
application effectiveness; identify remaining risks after processing, detect
new risks to timely adjust or supplement.
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3.2.1. Adjusting the risk
levels: increase, decrease;
3.2.2. Proposing on adjustment
of appropriate risk handling measures;
3.2.3. Supplementing/removing
new risks indicators in the risk compound;
3.2.4. Detecting, registering
newly-identified risks;
3.2.5. Eliminating files for
risks determined to be low or no longer exist;
3.2.6. Saving risk files in accordance
with the prescribed mode to serve research, analysis of similar risks or to
reuse.
4. Forms of
the risk file
The compilation and management
of risk files is implemented in accordance with the uniform forms in the entire
branch, including:
4.1. Report on the risk file
establishment: applied when establishing risk files to submit to competent
leaders for approval.
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4.3. Report on risk analysis,
assessment results: to report the contents of risk analysis, assessment
results.
4.4. Form of risk handling plan:
applied when compiling and reporting the plans of risk handling.
4.5. Direction of signs of
risks: applied to direct risks orienting risk analysis activities at operational
units.
4.6. Report on risk assessment,
monitoring results.
Part IV
ORGANIZATIONAL
STRUCTURE, TASKS, AUTHORITY AND RESPONSIBILITIES FOR THE APPLICATION OF RISK
MANAGEMENT IN ELECTRONIC CUSTOMS PROCEDURES
1. Risk
management apparatus organizational structure
Including 02 levels: General
Department and Sub-department of electronic customs:
1.1. At the General-department
level: Team of customs inspection, control methods renovation of the Board of
Renovation is the contact point directing the application of risk management in
electronic customs procedures of the entire branch.
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2. Tasks,
authority and responsibilities at the General-department level
2.1. Tasks
2.1.1. To develop and carry out
the master plan on the application of risk management;
2.1.2. To collect information,
develop, consolidate database serving the application of risk management;
2.1.3. To develop, operate,
improve the risk management system supporting the application of risk
management;
2.1.4. To compile, update risk
files at the General-department level;
2.1.5. To compile, manage,
update sets of criteria at the General-department level;
2.1.6. To guide Sub-departments
of Electronic Customs to compile risk files and update criteria at the
Sub-department level under decentralization;
2.1.7. To inspect the implementation
of the application of risk management at the Sub-departments of Electronic
Customs;
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2.1.9. To organize training,
retraining in the application of risk management in the entire branch.
2.2. Authority
2.2.1. General Director of the
General Department of Customs shall approve the master plan and decide the issues
relating to the application of risk management in electronic customs
procedures; approve sets of risk criteria at the General-department level.
2.2.2. Director of
Anti-smuggling and Investigation Department shall review, establish, and
approve risk files at the General-department level.
2.3. Responsibilities
2.3.1. The Department of Customs
Renovation and Modernization:
a. To develop, counsel the
General Director to approve programs, master plan applying risk management in
electronic customs procedures;
b. To guide the implementation
of the master plan on the application of risk management in electronic customs
procedures;
c. To instruct, inspect, urge
the application of risk management in electronic customs procedures;
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2.3.2. The Anti-smuggling and
Investigation Department:
a. To compile, manage, update
risk management files at the General-department level applying to electronic
customs procedures;
b. To coordinate with the Board
of Renovation and Modernization to select and apply risk management criteria in
electronic customs procedures;
c. To manage, operate, improve,
and develop the risk management system so as to satisfy requirements of the
operation of electronic customs procedures.
d. To coordinate with the
Department of Information Technology and Customs Statistics to implement
measures for ensuring the risk management system security and safety;
e. To completely implement the
tasks on collection, processing of information and risk management in
accordance with general provisions of Customs branch.
2.2.3. The Department of
Post-Customs Clearance Inspection:
a. To analyze risks, establish
criteria serving post-customs clearance inspection at the General-department
level;
b. To coordinate with the Board
of Renovation and Modernization to develop and implement programs, plans of
post-customs clearance inspection serving the assessment of observance.
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d. To coordinate with the Board of
Renovation and Modernization, the Anti-smuggling and Investigation Department
to exchange information on enterprises, ensuring to timely update information
of the operation of enterprises.
2.3.4. The Department of
Supervision and Management:
a. To analyze, assess risks in
Customs supervision and management;
b. To compile, update the list
of commodities by management groups and goods categories.
- List of goods banned from
export, import in present (10-digit code);
- List of goods banned from
export, import subject to line management (10-digit code)
- List of goods in accordance
with CITES treaty and BASEL treaty;
- List of goods subject to the
state quality inspection, food hygiene and safety inspection, animal and plant
quarantine;
- List of goods difficult to
categorize and likely to cause confusion when categorizing (10-digit code);
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The above goods lists must be
categorized by HS code (10-digit code) and be timely reviewed, adjusted and
supplemented when being changed.
2.3.5. The Department of
Inspection on Export-Import Duties Collection:
a. To analyze, assess risks in
the inspection and collection of export-import duties;
b. To regularly synthesize,
assess, make timely lists of goods with high risks of fraud acts on prices
(10-digit code), propose methods, extent of management for these kinds of
goods; to synthesize modes and tricks of tax frauds and send to the Board of Renovation
and Modernization and the Anti-smuggling and Investigation Department to
consider and apply risk management;
Centers of exported-imported
goods analysis and categorization in the North, the Central Region, the South
shall regularly synthesize, assess, make timely lists of goods likely to cause
confusion of categorization, usually commit violations of quality, and send to
the Board of Renovation and Modernization and the Anti-smuggling and
Investigation Department to consider and apply risk management.
2.3.7. The Department of
Information Technology and Customs Statistics:
a. To collaborate with the Board
of Renovation and Modernization and the Anti-smuggling and Investigation
Department to maintain and develop the risk management system so as to satisfy
the operational requirements of electronic customs procedures.
b. To ensure the smooth and
constant transmission/reception of online information; to ensure system
security and safety;
c. To instruct, inspect the
exploitation and utilization of the system; to sustain, maintain the computer
system, and implement the network security and safety measures.
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2.3.8. The Department of
Financial Planing in collaboration with the Board of Renovation and
Modernization and the Anti-smuggling and Investigation Department and the
Department of Information Technology and Customs Statistics to propose on
ensuring conditions of infrastructure, equipment and expenses serving the
operational information collection, processing and risk management.
3. Tasks,
authority and responsibilities at the Sub-department of Electronic Customs
level
3.1. Tasks:
3.1.1. To implement the guidance
relating to the application of risk management in electronic customs procedures
of the General Department;
3.1.2. To collect information,
to develop, consolidate database serving the application of risk management
under decentralization;
3.1.3. On the basis of the
master plan on the application of risk management, to develop programs, plans
on the implementation of the general plan under decentralization;
a. Propose on the development,
operation, improvement of the information system supporting the application of
risk management;
b. Compile, manage, and update
risk files at the Sub-department of Electronic Customs level;
c. Compile, manage and update
criteria at the Sub-department of Electronic Customs level;
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e. Organize training, retraining
in the application of risk management within the Sub-department of electronic
customs;
f. Implement other tasks
directly managed by the Directors of the Departments of Customs of provinces,
cities and allocated by the General Director of the General Department;
3.2. Authority:
Heads of the Sub-departments of
Electronic Customs shall compile, update and approve risk classification
criteria, risk assessment criteria, risk files at the Sub-department of
Electronic Customs level.
3.3. Responsibilities
3.3.1. To apply risk management
data of the General-department level to the selection of mediums for
inspection, channeling of exported-imported goods and subjects of post-customs
clearance inspection.
3.3.2. To compile, manage,
update the risk files applied by Sub-department of Electronic Customs level in
electronic customs procedures.
a. Compile the initial risk
files in risk management at Sub-department of Electronic Customs level;
b. Weekly, on the basis of
setting up situational contexts, identifying risks, analyzing risks, assessing
risks, consider the amendment, supplement and approval of risk files at
Sub-department of Electronic Customs level to ensure the suitability with the
actual state of customs management;
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3.3.3. To propose to create
newly, remove, change, lock user account groups (Name and password), users, or user
accounts belonging to the Sub-departments of Electronic Customs. To manage the
use of user accounts in compliance with the risk management Regulation.
3.3.4. To preside over the
management of criteria sets at Sub-department of Electronic Customs level:
a. Based law provisions,
operational information analysis results of units, of the General Department
and operational information provided by concerned units within and outside of
the branch, review, assess, update risk classification criteria, risk assessment
criteria at Sub-department of Electronic Customs level;
b. Implement the establishment,
approval of risk classification criteria, risk assessment criteria on the
system; synthesize, assess at Sub-department of Electronic Customs level.
3.3.5. To assess the
effectiveness, adjust the application of risk management:
a. Monthly, before the day of
23rd, report the operational information synthesis, analysis and assessment
results and feedbacks on the effectiveness of the application of risk
management; compare with the risk extent classification of each of the
criteria, the criteria selection methods, the amount of selected criteria;
b. Based on the actual
situation, proactively propose, amend, supplement or replace risk management
criteria, adjust selection methods, risk classification criteria, risk
assessment criteria.
Part V
ORGANIZATION OF
IMPLEMENTATION
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2. The Directors of the
Departments of Customs of provinces, cities shall bear responsibility for
leading, allocating units belonging to or directly under such Departments to
coordinate with the Sub-departments of Electronic Customs to implement the
application of risk management in electronic customs procedures.
3. The Directors of Departments,
heads of units belonging to the General Department agencies are responsible for
coordinating with the Board of Customs Renovation and Modernization to
implement their allocated tasks as prescribed in this Regulations.
4. Units, individuals violating
provisions of this Regulation shall be sanctioned in accordance with branch and
law provisions.
This Regulation takes effect
from the date of its promulgation. The units shall report difficulties and
obstructions arising during the implementation to the General Department for
guidance or timely amendment, supplement./.