Joint Circular No. 02/2014/TTLT-BTP-BTC-BLDTBXH-NHNNVN guiding the provision of information on accounts and income of persons subject to enforcement and the implementation of freezing and deduction for civil enforcement proceedings.

JOINT CIRCULAR

Guidelines on providing information about accounts and income of persons subject to enforcement proceedings and implementing freezing and deduction for civil enforcement proceedings

shall enforce the judgment and implement freezing and deduction measures to enforce civil judgments

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Pursuant to the Civil Enforcement Law on November 14, 2008;

Pursuant to the Social Insurance Law dated June 29, 2006;

Pursuant to the Law on Credit Organizations dated June 16, 2010;

Pursuant to Decree No. 22/2013/ND-CP dated March 13, 2013 of the Government detailing the functions, tasks, powers, and organizational structure of the Ministry of Justice;

Pursuant to Decree No. 215/2013/NĐ-CP dated December 23, 2013, promulgated by the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Finance;

Pursuant to Decree No. 106/2012/NĐ-CP dated December 20, 2012, of the Government, stipulating the functions, tasks, powers, and organizational structure of the Ministry of Labor, Invalids, and Social Affairs;

Pursuant to Decree No. 156/2013/NĐ-CP dated November 11, 2013, of the Government stipulating the functions, tasks, powers, and organizational structure of the State Bank of Vietnam;

Pursuant to Decree No. 58/2009/ND-CP dated July 13, 2009 of the Government detailing and guiding the implementation of certain provisions of the Civil Enforcement Law regarding civil enforcement procedures;

Pursuant to Decree No. 125/2013/ND-CP dated October 14, 2013 of the Government amending and supplementing certain articles of Decree No. 58/2009/ND-CP dated July 13, 2009 of the Government detailing and guiding the implementation of certain provisions of the Civil Enforcement Law regarding civil enforcement procedures;

Pursuant to Decree No. 110/2013/ND-CP dated September 24, 2013 of the Government stipulating administrative penalties for violations in the field of judicial assistance, administrative justice, marriage and family, civil enforcement, bankruptcy of enterprises and cooperatives;

The Minister of Justice, the Minister of Finance, the Minister of Labor, Invalids and Social Affairs, and the Governor of the State Bank of Vietnam issue this Joint Circular guiding the provision of information about accounts and income of persons subject to enforcement proceedings and the implementation of account freezing and deduction for civil enforcement proceedings:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Joint Circular guides the provision of information about accounts and income of persons subject to enforcement proceedings and the implementation of account freezing and deduction from funds in accounts and deductions from income of persons subject to enforcement proceedings for civil enforcement proceedings.

Article 2. Applicability

1. Civil enforcement agencies.

2. Banks and other credit organizations.

3. State Treasury.

4. Social insurance agencies.

5. Agencies, organizations, and individuals paying income to persons subject to civil enforcement proceedings.

Article 3. Principles of exchange, provision, management, and use of information

The exchange, provision, management, and use of information about accounts, income, and the implementation of account freezing and deduction for civil enforcement must comply with the following principles:

1. Compliance with legal provisions on information confidentiality and limitations on information provided.

2. Completeness, accuracy, timeliness, and compliance with legal regulations.

3. Proper use of information for the purpose of serving civil enforcement proceedings.

Chapter II

SPECIFIC PROVISIONS

Section 1

PROVISION OF INFORMATION ABOUT ACCOUNTS AND INCOME OF PERSONS SUBJECT TO ENFORCEMENT PROCEEDINGS

Article 4. Authority to request provision of information

The head of the civil enforcement agency, the enforcement officer has the authority to request agencies and organizations managing the accounts of persons subject to enforcement proceedings; agencies, organizations, employers, and social insurance agencies where persons subject to enforcement proceedings receive salaries, wages, pensions, allowances, and other lawful incomes to provide information about accounts and income of persons subject to enforcement proceedings for the purpose of carrying out civil enforcement proceedings.

Article 5. Authority to provide information

The General Director, Director, legal representative, or authorized person of agencies and organizations managing the accounts of persons subject to enforcement proceedings; agencies, organizations, employers, and social insurance agencies where persons subject to enforcement proceedings receive salaries, wages, pensions, allowances, and other lawful incomes shall be responsible for examining and deciding on the provision of information in accordance with legal regulations.

Article 6. Time limit for providing information

1. The time limit for providing information shall not exceed three working days from the date of receipt of the request from the authorized person as stipulated in Article 4 of this Joint Circular.

2. In cases of implementing the decision to apply provisional emergency measures by the Court, the provision of information shall be carried out immediately upon receipt of the request.

Article 7. Content and procedures for providing information

1. For the party requesting the provision of information:

The procedure for requesting the provision of information shall be implemented in accordance with the provisions of Clause 3, Article 1 of Decree No. 125/2013/NĐ-CP dated October 2, 2013 of the Government amending and supplementing certain articles of Decree No. 58/2009/NĐ-CP dated July 13, 2009 of the Government detailing and guiding the implementation of some articles of the Civil Execution Law on civil execution procedures.

The document requesting the provision of information must be signed by the authorized person as stipulated in Article 4 of this Joint Circular and must include all of the following contents:

a) Reason for requiring the provision of information (specifying clearly the name, number, and date of the judgment, decision, or enforcement decision);

b) Information required to be provided (specifying specifically the type of information, the name and address of the account holder or income source);

c) Time limit for providing information (in accordance with the provisions of Article 6 of this Joint Circular);

d) Location for providing information;

đ) Purpose of using the information;

e) Other related information.

2. For the party receiving the request for provision of information:

The provision of information must be carried out in writing by the authorized person as stipulated in Article 5 of this Joint Circular. The document providing information must include all of the following contents:

a) Time of providing information;

b) Location for providing information;

c) Detailed content of the information provided;

d) Purpose of using the provided information;

đ) Representative of the provider and recipient of the information;

e) Persons involved in the provision and receipt of information;

g) Witness (if any).

Article 8. Responsibilities of the parties

1. Responsibilities of the party receiving the request for provision of information:

a) The provided information must ensure truthfulness, accuracy, and relevance to the subject. If it is unable to meet the requirement for providing information, the party receiving the request must issue a written notification specifying the reasons to the requesting party within three working days from the date of receipt of the request;

b) Maintain confidentiality of the provision of information and its content to prevent acts of asset dissipation and evasion of enforcement by the person subject to enforcement and related organizations and individuals;

c) Archive relevant files related to the provision of information, including: the document requesting the provision of information, the document providing information, and other related documents.

2. Responsibilities of the party requesting the provision of information:

a) Maintain confidentiality of the received information and only use the information and documents for their intended purpose;

b) Archive relevant documents related to the provision of information in the enforcement file in accordance with the provisions of the law, including: the document requesting the provision of information, the document providing information, and other related documents.

Section 2

FREEZING ACCOUNTS, DEDUCTING FUNDS FROM ACCOUNTS OR DEDUCTING INCOME OF THE PERSON SUBJECT TO ENFORCEMENT FOR ENFORCEMENT PURPOSES

Article 9. Issuing a decision to freeze an account, a decision to deduct money from an account, or a decision to deduct from income

Based on the information-providing document, the Enforcement Officer issues a decision to freeze an account, a decision to deduct money from an account, or a decision to deduct from the income of the person subject to enforcement in accordance with Articles 67, 76, and 78 of the Civil Execution Law.

Article 10. Content, handover procedures, and implementation of decisions to freeze an account, decisions to deduct money from an account

1. The decision to freeze an account must clearly specify the amount to be frozen corresponding to the amount to be deducted. The handover and implementation of the decision to freeze an account shall be carried out in accordance with Clause 2 and Clause 3 of Article 67 of the Civil Execution Law and Article 11 of Decree No. 58/2009/NĐ-CP dated July 13, 2009, of the Government detailing and guiding the implementation of certain provisions of the Civil Execution Law regarding civil execution procedures.

2. The decision to deduct money from an account must clearly record the contents as stipulated in Clause 1 of Article 12 of Decree No. 58/2009/NĐ-CP.

The Enforcement Officer directly hands over the decision to deduct money from the account of the person subject to enforcement to the legal representative of the State Treasury, Bank, or other credit institution managing the account of the person subject to enforcement, or to the person responsible for receiving documents from such agencies or organizations, and prepares a record of the handover of the decision.

The record must have the signatures of the Enforcement Officer and the person receiving the decision to deduct money from the account of the person subject to enforcement. If the person receiving the decision to deduct money from the account of the person subject to enforcement does not sign, there must be the signature of a witness.

The deduction of money from the account of the person subject to enforcement shall be carried out in accordance with Article 76 of the Civil Execution Law.

2. For accounts opened by the person subject to enforcement at the State Treasury under conditions where the budget and treasury management information system (referred to as TABMIS) is applied, deductions shall only be made from deposit accounts opened for budget-using units, public service units, and organizations or individuals such as proceeds from public services, dedicated fund deposits; deductions shall not be made from budgetary accounts opened for beneficiary units of state budget funds, budgetary organizations in the form of budget estimates including: regular expenditure budget estimates, construction investment budget estimates, other development investment budget estimates, budget estimates for entrusted expenses, transfer budget estimates, and accounts with deposit nature opened for revenue collection agencies to reflect amounts payable in accordance with the law, fees, and charges.

Article 11. Content, handover procedures, and implementation of decisions to deduct from the income of the person subject to civil enforcement

1. The decision to deduct from the income of the person subject to enforcement must clearly record the following contents:

a) Date of issuance of the decision;

b) Basis for issuing the decision;

c) Name of the Enforcement Officer;

d) Name of the person subject to enforcement;

đ) Amount to be deducted from income;

e) Account number of the civil enforcement agency receiving the deducted money;

g) Deadline for implementing the deduction.

2. The Enforcement Officer directly hands over the decision to deduct from the income of the person subject to enforcement to the legal representative or authorized person of the agency, organization, employer, or Social Insurance entity managing the salary, wages, pension, allowances, and other lawful incomes of the person subject to enforcement, or to the person responsible for receiving documents from such agencies or organizations, and prepares a record of the handover of the deduction decision.

The record must have the signatures of the Enforcement Officer and the person receiving the decision to deduct from the income of the person subject to enforcement. If the person receiving the decision to deduct from the income of the person subject to enforcement does not sign, there must be the signature of a witness.

3. Upon receipt of the decision to deduct from the income of the person subject to enforcement, the agency, organization, employer, or Social Insurance entity managing the salary, wages, pension, allowances, and other lawful incomes of the person subject to enforcement must deduct the money and transfer it to the account of the civil enforcement agency or deliver it to the person entitled to enforcement according to the decision to deduct from income.

4. In cases where deductions from the income of the person subject to civil enforcement are made through Social Insurance, the person subject to civil enforcement is responsible for signing the payment list for pensions or disability allowances monthly. If the person subject to civil enforcement intentionally refuses to sign the prescribed form, a record must be prepared, and the Enforcement Officer must sign on behalf of the party for the deducted amount to receive that amount and issue a receipt for the enforcement payment to the agency making the deduction for settlement purposes.

Article 12. Documents for Deduction from Income of the Person Subject to Enforcement of Civil Judgments through Social Insurance

The documents serving as the basis for implementing deductions from monthly pension or disability allowance income of the person subject to enforcement of civil judgments are those sent by the civil enforcement agency to the Social Insurance where the person subject to enforcement receives their monthly pension or disability allowance and other lawful incomes, including:

1. Decision on deduction from the income of the person subject to enforcement of civil judgments.

2. Copy of the judgment or decision (with confirmation by the civil enforcement agency).

3. Decision on enforcement of civil judgments.

4. Official letter from the civil enforcement agency requesting the deduction of monthly pension, disability allowance, or other lawful incomes of the person subject to enforcement.

Section 3

COSTS OF IMPLEMENTATION AND HANDLING OF VIOLATIONS

Article 13. Costs for Providing Information and Deducting Money from Accounts and Income

Costs for providing information, deducting money from accounts, and deducting from income shall be implemented in accordance with Circular No. 184/2011/TTLT-BTC-BTP dated December 19, 2011, issued by the Ministry of Justice and the Ministry of Finance guiding the financial management mechanism for organizing compulsory enforcement of civil judgments and related legal documents.

Article 14. Handling Violations in Cooperation in Providing Information about Accounts and Income of the Person Subject to Enforcement of Civil Judgments and Implementing Account Freezing and Deductions for Enforcement

Handling violations in providing information about accounts and income of the person subject to enforcement and implementing account freezing and deductions for enforcement shall be carried out in accordance with the provisions of the Law on Enforcement of Civil Judgments, Decree No. 110/2013/NĐ-CP dated September 24, 2013, of the Government on administrative penalties in the field of judicial assistance, administrative justice, marriage and family, enforcement of civil judgments, bankruptcy of enterprises, cooperatives, and other relevant legal documents, specifically as follows:

1. If an organization, entity, or individual does not provide information without a legitimate reason or provides incorrect or incomplete information about the account or income of the person subject to enforcement, or discloses information causing the person subject to enforcement to transfer or withdraw money from the account affecting the enforcement process, or fails to implement the decision to freeze or deduct from the account for enforcement, they will be administratively penalized, disciplined, or criminally prosecuted depending on the circumstances; if damage is caused, compensation must be provided according to the law.

2. If a person abuses their position or authority to disclose information or misuses provided information for other purposes, they will be administratively penalized, disciplined, or criminally prosecuted depending on the circumstances; if damage is caused, compensation must be provided according to the law.

3. If a person abuses their position or authority to obstruct the provision of information about the account or income of the person subject to enforcement and the implementation of account freezing and deductions for enforcement, they will be administratively penalized, disciplined, or criminally prosecuted depending on the circumstances; if damage is caused, compensation must be provided according to the law.

4. Depending on the level of violation, the head of the civil enforcement agency or the enforcement officer handling the case has the authority to impose administrative penalties on the violations stipulated in Clause 1, Clause 2, and Clause 3 of this Article. The penalty levels are applied according to Chapter V of Decree No. 110/2013/NĐ-CP dated September 24, 2013, of the Government on administrative penalties in the field of judicial assistance, administrative justice, marriage and family, enforcement of civil judgments, bankruptcy of enterprises, cooperatives.

In necessary cases, the head of the civil enforcement agency or the enforcement officer handling the case may request the competent authority to consider disciplinary action or criminal prosecution; if damage is caused, compensation must be provided according to the law.

Chapter III

IMPLEMENTATION

Article 15. Effective Date

This Circular takes effect from March 1, 2014.

During implementation, if any difficulties arise, please report them to the Ministry of Justice, the Ministry of Labor, Invalids and Social Affairs, the Ministry of Finance, and the State Bank for study and resolution within their respective authorities.

The Ministry of Justice is responsible for overseeing and compiling the implementation situation of this Joint Circular./.