Joint Circular No. 14/2009/TTLT-BCT-BTC guides the issuance of certificates and procedures for importing and exporting rough diamonds to implement the provisions of the Kimberley Process Certification Scheme.

I. GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular applies to traders participating in the business activities of exporting and importing rough diamonds.

Article 2. Applicability

1. Conflict diamonds are rough diamonds obtained by rebel groups or their allies to finance conflicts against legitimate governments, as described in relevant resolutions of the United Nations Security Council (UNSC) issued up to now and still in effect, or in similar future UNSC resolutions, as well as in Resolution 55/56 of the United Nations General Assembly (UNGA) or in similar future UNGA resolutions;

Article 3. Explanation of Terms

2. Country of origin is the country where rough diamonds are mined or extracted;

3. Country of provenance is the last member country from which rough diamonds are exported, as recorded in import documents;

4. Diamond is a natural mineral mainly composed of pure crystalline carbon arranged in an isometric system, with a Mohs hardness scale (scratch) of 10, specific gravity approximately 3.52, and refractive index of 2.42;

5. Export management authority is the competent authority or organization authorized by the exporting country that has the right to certify the Kimberly Process Certificate;

6. Import management authority is the competent authority or organization authorized by the importing country that implements import procedures and checks the Kimberly Process Certificate accompanying the consignment;

7. Kimberly Process Certificate (hereinafter referred to as KP Certificate) is a counterfeit-resistant document with specific size and format, certifying a consignment of rough diamonds complies with the requirements of the Certification Regime KP;

8. Consignment is one or more diamonds packaged together without a specific format;

9. Mixed-origin consignment is a consignment consisting of diamonds from two or more different countries, mixed together;

10. Member country is a state or regional economic integration organization where the Certification Regime KP is in force;

11. Regional economic integration organization is an organization comprising sovereign states granted authority over issues regulated by the Certification Regime KP;

12. Rough diamond is a diamond that has not been processed or only cut, cleaved, or left unprocessed, belonging to subheadings 7102.10, 7102.21, and 7102.31 of the Harmonized System;

13. Consignment is one or more packages exported or imported.

13. A consignment is one or more packages that are exported or imported.

Article 4. Raw diamonds are prohibited from importation and exportation.

Strictly prohibit the importation and exportation of conflict diamonds.

Article 5. Conditions for importing and exporting raw diamonds

1. Merchants are only permitted to import and export raw diamonds with member countries of the Kimberley Process Certification Scheme (Annex I). In case the list of member countries of the Kimberley Process Certification Scheme changes, the Ministry of Industry and Trade shall be responsible for updating, amending, and supplementing.

2. Consignments of raw diamonds may only be exported to member countries when they have a valid Kimberley Process Certificate (Annex II) issued by the competent authority of Vietnam.

3. Consignments of raw diamonds may only be imported from member countries when they have a valid Kimberley Process Certificate issued by the competent authority of the exporting country which is a member.

4. Consignments of raw diamonds being imported and exported must be transported in theft-proof containers and sealed containers that are not broken.

Article 6. Transit of consignments of raw diamonds

Merchants are not required to present a Kimberley Process Certificate and are not required to perform any procedures stipulated in Section II or Section III of this Circular when consignments of raw diamonds transit through the territory of Vietnam but must comply with Vietnamese laws on transit goods.

Article 7. Authority confirming imports and issuing Kimberley Process Certificates

The authority confirming imports for consignments of raw diamonds imported and issuing Kimberley Process Certificates for consignments of raw diamonds exported is the Import-Export Management Office under the Ministry of Industry and Trade in Hanoi and Ho Chi Minh City (hereinafter referred to as the Import-Export Management Office). Detailed information about the Import-Export Management Offices is provided in Annex III.

Article 8. Responsibilities of raw diamond importers and exporters

Raw diamond importers and exporters are responsible for:

1. Preparing and submitting merchant files to the Import-Export Management Office;

2. Preparing and submitting complete files requesting confirmation of importation or requesting issuance of a Kimberley Process Certificate to the Import-Export Management Office;

3. Proving that raw diamonds imported were imported from member countries of the Kimberley Process Certification Scheme, raw diamonds exported were exported to member countries of the Kimberley Process Certification Scheme, and facilitating the Import-Export Management Offices in verifying the origin of goods;

4. Being liable under the law for the accuracy and honesty of the contents declared in the merchant files and the files requesting confirmation of importation or requesting issuance of a Kimberley Process Certificate, as well as the origin of imported and exported goods, including in cases of delegation;

5. Promptly reporting to the Import-Export Management Office where the merchant requested issuance of a Kimberley Process Certificate about consignments rejected by the importing country despite having been issued a Kimberley Process Certificate by Vietnam (if any);

6. Retaining purchase, sale, export, import documents, listing the names of buyers or sellers, buyer or seller license numbers, quantities and values of diamonds sold, exported or purchased, imported, and other documents for a period of five (05) years from the date of customs declaration registration.

Article 9. Responsibilities of the Import-Export Management Department

The Import-Export Management Department shall be responsible for:

1. Guiding traders upon request;

2. Receiving and examining the trader's file and the application file for confirmation of importation or the application file for issuance of a KP Certificate;

3. Verifying the actual origin of products when necessary;

4. Confirming imports and issuing KP Certificates;

5. Storing files for confirmed imports or issued KP Certificates for a period of five (05) years;

6. Storing all detailed information about exported and imported rough diamonds in a computer database;

7. Sending samples of signatures of authorized persons signing KP Certificates and samples of the Import-Export Management Department's stamp to the Ministry of Industry and Trade (Department of Import-Export) in accordance with the regulations of the Ministry of Industry and Trade;

8. Resolving complaints regarding KP Certificates within its authority;

9. Keeping confidential files and documents related to KP Certificates;

10. Exchanging information related to the registration of trader files and other issues related to confirming imports or issuing KP Certificates;

11. Implementing reporting systems and other requirements as stipulated by the Ministry of Industry and Trade.

Article 10. Responsibilities of Customs Authorities

Customs authorities shall be responsible for:

1. Processing customs procedures for the export and import of rough diamonds in accordance with regulations;

2. Storing files of imported and exported rough diamond consignments for a period of five (05) years from the date of customs declaration filing;

3. Storing all detailed information about exported and imported rough diamond consignments in a computer database;

4. Cooperating with the Ministry of Industry and Trade to resolve incidents arising during the management of rough diamond imports and exports.

Article 11. Registration of Trader Files

1. A person requesting confirmation of importation for imported rough diamond consignments and requesting issuance of a KP Certificate for exported rough diamond consignments for the first time shall only have their procedures considered and resolved after completing the trader file registration process. The trader file includes:

a) Registration of the authorized person's signature on the application for confirmation of importation and the application for issuance of a KP Certificate and the trader's stamp (Annex IV);

b) Business registration certificate of the trader (certified true copy);

c) Tax code registration certificate (certified true copy);

d) List of production and processing facilities of the trader (Annex V);

đ) Address, nationality, and/or place of residence of the trader.

2. Any changes in the trader file must be reported to the Import-Export Management Departments where the file was registered before requesting confirmation of importation and requesting issuance of a KP Certificate. In cases where there are no changes, the trader file must still be updated every two (02) years.

3. In cases where confirmation of importation and issuance of a KP Certificate are requested at a location different from where the trader file was previously registered, the person requesting confirmation of importation and issuance of a KP Certificate must provide appropriate written reasons explaining why they did not request confirmation of importation and issuance of a KP Certificate at the previously registered location. After being accepted to register a trader file at a different Import-Export Management Department, the trader must re-register the trader file.

II. PROCEDURES FOR IMPORTING ROUGH DIAMONDS

Article 12. Customs Import Procedures for Rough Diamonds

1. For traders When handling import procedures for rough diamonds, traders must submit to customs authorities the following documents:

b) Other documents as prescribed by laws on customs.

2. For customs authorities

a) Inspect the consignment of rough diamonds to verify that the packaging is intact, sealed, and sealed;

b) Examine the detailed documentation and actual goods to ensure that the imported consignment of rough diamonds corresponds with the information in the Kimberley Process Certificate and the information provided by the competent authority of the exporting country (if available);

c) Retain one (01) copy of the Kimberley Process Certificate with signatures and stamps confirming true copies from the head or authorized representative of the trader in the import customs file;

d) Within three (03) working days from the date of completing customs procedures for the imported consignment of rough diamonds, the customs authority will issue a Confirmation of Imported Rough Diamonds certificate comprising three (03) copies according to the model specified in Appendix VI of this Circular. One (01) copy sent to the Export-Import Management Office, one (01) copy retained in the customs authority's import file, and one (01) copy sent to the trader. The customs authority will send an electronic notification to the email address of the Export-Import Management Office (as attached in Appendix III) and [email protected] regarding the Kimberley Process Certificate and the Confirmation of Imported Rough Diamonds. The email includes detailed information such as weight, value, country of origin, exporting country, exporter, importer, and the certificate number.

Article 13. Confirmation of Import Procedures at the Export-Import Management Office

1. For traders Within three (03) working days from the date of receiving the Confirmation of Imported Rough Diamonds certificate from the customs authority, the importer of rough diamonds must confirm the import at the Export-Import Management Office and must submit the following documents:

a) A request for confirmation of importation of rough diamonds. The trader must declare in the application that the imported rough diamonds are not conflict diamonds (original with signature and stamp of the head or authorized representative of the trader);

b) The Kimberley Process Certificate comprising one (01) original and three (03) copies;

c) The Confirmation of Imported Rough Diamonds certificate issued by the customs authority;

d) The customs declaration for import with confirmation of completed customs procedures (a copy with signature and stamp confirming true copy from the head or authorized representative of the trader, or signed and stamped by a notary public accompanied by the original for comparison).

2. For the Export-Import Management Office

a) After receiving the documents stipulated in Clause 1 of Article 13 and the email from the customs authority, within three (03) working days from the date of receipt of these documents together with a complete and valid email from the customs authority, the Export-Import Management Offices are responsible for confirming the import on the right side of the Kimberley Process Certificate and its three (03) copies;

b) For the three (03) copies of the Kimberley Process Certificate, after confirmation, the Export-Import Management Office retains one (01) copy, sends one (01) copy back to the Department of Import-Export (Ministry of Industry and Trade), and sends one (01) copy to the trader. The original Kimberley Process Certificate is cut into two parts by the Export-Import Management Office, the part confirming the import is sent to the issuing authority of the exporting country, and the part confirming the export is stored at the Export-Import Management Office for reference when issuing the Kimberley Process Certificate for the trader's export consignments;

c) Within three (03) working days from the date of confirming the import on the original Kimberley Process Certificate, the Export-Import Management Office will notify by email the competent authority of the exporting country about the confirmed Kimberley Process Certificate and simultaneously send it to the Department of Import-Export, Ministry of Industry and Trade at the address: [email protected] for monitoring. The email includes information about weight, value, country of origin or exporting country, exporter, and the certificate number.

III. EXPORT PROCEDURES FOR ROUGH DIAMONDS

Article 14. Procedures for Issuing KP Certificates

a) An application form for issuing a KP Certificate. In the application, the trader commits that the exported rough diamonds are not conflict diamonds (original with signature and stamp of the head or authorized representative of the trader).

b) A completed KP Export Certificate according to the guidance in Appendix VII, including one (01) original and three (03) copies;

c) A KP Import Certificate confirmed by the Import-Export Management Department;

d) An export customs declaration completed with customs formalities (a copy with signature and stamp confirming true copy of the head or authorized representative of the trader, accompanied by the original for verification);

đ) A transport document (a copy with signature and stamp confirming true copy of the head or authorized representative of the trader, accompanied by the original for verification);

e) A commercial invoice (a copy with signature and stamp confirming true copy of the head or authorized representative of the trader, accompanied by the original for verification);

g) A packing list (a copy with signature and stamp confirming true copy of the head or authorized representative of the trader, accompanied by the original for verification);

h) A processing contract and processing quota registered with the Customs Authority (a copy with signature and stamp confirming true copy of the head or authorized representative of the trader, accompanied by the original for verification). In case of valid reasons, the trader may submit the completed export customs declaration and transport document within fifteen (15) working days from the date of issuance of the KP Certificate.

2. For the Export-Import Management Office

a) The Import-Export Management Department issues a KP Certificate to the trader within three (03) working days from the date of acceptance of a complete and valid application package for issuing a KP Certificate.

b) A set of KP Certificates includes one (01) original and three (03) copies. Each KP Certificate bears a unique reference number.

c) The original KP Certificate is sent by the trader to the Importer to submit to the competent authority of the importing member country. One (01) copy is retained by the Import-Export Management Department. Two (02) remaining copies are given to the trader to keep. In case of requirements from the importing member country, the trader may request the Import-Export Management Department to issue more than three (03) copies.

d) In necessary cases, the Import-Export Management Department may also conduct on-site inspections at the production location if it deems that reviewing the file alone is insufficient grounds for issuing a KP Certificate or if there are signs of violation of laws concerning previously issued KP Certificates. The inspection results must be recorded in a report. The report must be signed by the inspector and the applicant for the KP Certificate. If the applicant for the KP Certificate does not sign the report, the inspector will sign to confirm after stating the reason. The issuance period for this case shall not exceed five (05) working days from the date the applicant submits a complete file.

đ) Within three (03) working days from the date the trader submits the completed export customs declaration, the Import-Export Management Department sends an email notification to the competent authority of the importing country regarding the contents of the issued KP Certificate, while sending it to the Import-Export Department, Ministry of Industry and Trade at [email protected] for monitoring. The email includes information about weight, value, country of origin or exporting country, importer, KP Certificate number.

1. For traders, when handling export procedures for rough diamonds, they must submit to the Customs Authority the following documents:

a) The original and one (01) copy of the KP Certificate issued by the Import-Export Management Department.

b) Other documents as prescribed by laws on customs.

2. For customs authorities

a) Conduct a detailed review of the file and actual goods to ensure that the exported rough diamond consignment matches the information in the KP Certificate;

b) After verification, the Customs Authority returns the original to the trader and retains a copy of the KP Certificate in the export customs file;

c) Within three (03) working days from the completion of customs procedures for the exported rough diamond consignment, the Customs Authority will send an email notification to the electronic transaction address of the Import-Export Management Department and the email address [email protected] containing details such as weight, value, country of origin, exporter, importer, and the certificate number of the KP Certificate.

Article 16. Validity of the KP Certificate

The KP Certificate is valid for two (02) months from the date of issuance. In cases where the rough diamond consignment has been issued a KP Certificate but not exported within this period, the trader must return the KP Certificate to the Import-Export Management Department that issued it.

IV. OTHER PROVISIONS

Article 17. Duties and Powers of the Ministry of Industry and Trade

As the main authority managing the export and import of rough diamonds, the Ministry of Industry and Trade has the following duties and powers:

1. Guide and inspect the confirmation of imports or issuance of KP Certificates to ensure that these activities comply with regulations;

2. Notify member countries, through the chairing country, the model and characteristics of the KP Certificate of Vietnam; the signature samples of authorized officers and the stamp of the Import-Export Management Department issuing KP Certificates;

3. Transfer the signature samples of authorized officers and the stamp of the competent authority issuing KP Certificates of member countries to the Ministry of Finance (General Customs Department);

4. Provide other member countries, through the chairing country, relevant information in English about Vietnamese legal documents related to the implementation of KP Certification Regulations, and update such information upon request;

5. Compile and be ready to provide other member countries, through the chairing country, statistical data consistent with the principles set out in the KP Certification Regulations;

6. Exchange experiences and related information, including information and experiences on self-assessment, to achieve optimal results in specific situations when implementing the KP Certification Regulations;

7. Prioritize consideration of requests from other member countries for support in strengthening the implementation of KP Certification Regulations within their territories;

8. Notify other member countries, through the chairing country, if it is found that the legal documents of that country do not ensure the exclusion of conflict diamonds in its export activities;

9. Cooperate with other member countries to resolve issues arising from unforeseen situations that may lead to non-compliance with minimum requirements for issuing or accepting KP Certificates, and notify all other member countries when encountering such issues and the measures taken to resolve them;

10. Closely cooperate with enforcement agencies and customs authorities of other member countries;

11. Notify the names of individuals or companies convicted of violating KP Certification Regulations to all other member countries through the chairing country;

12. Encourage the purchase and sale of rough diamonds using formal banking systems and verifiable documentation.

Article 18. Duties and Authorities of the Ministry of Finance

1. Guide customs procedures and customs inspections for raw diamond consignments imported and exported in accordance with regulations;

2. Guide and implement reporting systems on the situation of raw diamond imports and exports;

3. Resolve arising difficulties and address complaints related to the import and export of raw diamonds;

4. Cooperate with domestic and foreign competent authorities and international organizations in investigating and verifying raw diamond imports and exports;

5. Coordinate in implementing the duties and authorities of member states.

Article 19. Reporting System for Information Updates

1. The Import-Export Management Departments must implement a quarterly information update system according to the model prescribed by the Ministry of Industry and Trade regarding the confirmation of imports and issuance of KP Certificates, and send it to the Department of Import-Export, Ministry of Industry and Trade via email to the address: [email protected].

2. The Ministry of Finance must implement a quarterly information update system on the situation of raw diamond imports and exports according to the model prescribed by the Ministry of Industry and Trade, and send it to the Ministry of Industry and Trade via email to the address: [email protected].

3. Based on the data provided by the Import-Export Management Departments and the Ministry of Finance, the Ministry of Industry and Trade will compile the data and report to the Working Group on the data of the KP Certification Scheme.

V. IMPLEMENTATION PROVISIONS

This Circular takes effect forty-five days from the date of issuance.

This Circular replaces Circular No. 11/2002/TT-TM-XNK dated December 26, 2002, issued by the Ministry of Trade guiding the management of raw diamond imports and exports and decisions and guiding documents related to amendments and supplements to Circular No. 11/2002/TT-TM-XNK.

During implementation, if any difficulties arise, organizations and individuals should promptly reflect them to the Ministry of Industry and Trade or the Ministry of Finance at the following addresses for resolution:

Ministry of Industry and Trade (Department of Import-Export)

54 Hai Ba Trung, Hoan Kiem, Hanoi

Telephone: 04.2.2205444 Ministry of Finance (General Customs Department, Supervision and Management Department)

162 Nguyen Van Cu, Long Bien District, Hanoi

Telephone: 04.3.8720121