Circular No. 27/2018/TT-BNNPTNT on the management and traceability of forest products

CIRCULAR

Provisions on management and traceability of forest products

          Pursuant to Decree No. 15/2017/NĐ-CP dated February 17, 2017 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Agriculture and Rural Development;

Pursuant to the Forestry Law dated November 15, 2017;

          At the proposal of the Director General of the Forest Management General Department;

          The Minister of Agriculture and Rural Development issues this Circular to provide for the management and traceability of forest products.

PART I

GENERAL PROVISIONS

          Article 1. Scope of Regulation

          This Circular provides for:

          1. Procedures and formalities for harvesting ordinary forest plants and ordinary forest animals.

          2. Legal forest product files and inspection of forest product traceability.

          3. Marking specimens of species listed in the Catalogue of Endangered, Precious, and Rare Forest Plants and Animals; wild forest plants and animals listed in Appendices of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES); and finished wood products when sold (hereinafter referred to collectively as specimens).

          Article 2. Applicability

          This Circular applies to domestic organizations, foreign organizations, domestic individual businesses (hereinafter referred to collectively as organizations); households, community residents, domestic individuals, and foreign individuals (hereinafter referred to collectively as individuals) engaged in activities related to the contents prescribed in Article 1 of this Circular.

          Article 3. Explanation of Terms

          1. Local Forest Protection Authority includes: County-level Forest Protection Stations; Provincial-level Forest Protection Branches in areas without County-level Forest Protection Stations.

           2. Roundwood is timber that retains its original shape after harvesting, with a small end diameter from 10 cm to less than 20 cm and a length of at least 1 meter, or a small end diameter of 20 cm or more and a length of at least 30 cm. For plantation timber, mangrove forests, and saltwater forests, the small end diameter must be 6 cm or more and the length must be at least 1 meter. For timber listed in the Catalogue of Endangered, Precious, and Rare Forest Plants and Animals and Appendices of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), regardless of size.

          3. Sawn timber is timber that has been sawn, cut, or carved into boxes, planks, or boards.

          4. Non-timber forest plants include firewood, bamboo, rattan, reed, nipa palm, herbaceous forest plants, and their parts and derivatives.

          5. Ordinary forest plants are those not listed in the Catalogue of Endangered, Precious, and Rare Forest Plants and Animals and not included in the Appendices of CITES.

          6. Harvesting ordinary forest animals from nature involves taking individual animals, eggs, and larvae out of their natural habitats.

          7. Utilization harvesting refers to the harvesting of trees, non-timber forest plants, and derivatives of forest plants during the implementation of forestry measures and scientific research; harvesting of forest products on areas converted from forest land to other uses.

          8. Salvage harvesting involves collecting timber and non-timber forest plants from trees and forest plants that have fallen, died naturally, or died due to natural disasters and remain within the forest.

          9. Unprocessed forest products are forest products that have not been affected by tools or equipment and retain their original shape and size after harvesting, importation, or confiscation processing.

          10. Processed forest products are forest products that have been affected by tools or equipment, changing their original shape and size, including peeled timber, wood shavings, wood chips, pit coal, charcoal, and their products.

          11. Internal transportation refers to transportation between dependent accounting units within a business entity with legal personality or independent accounting, or transportation from a business entity with legal personality or independent accounting to dependent accounting units and vice versa.

          12. Forest product owner is an organization or individual who owns forest products or represents the forest product owner in managing and transporting such forest products.

          13. Finished wood products are products made from timber that are assembled completely according to the function of the product or disassembled parts of the product, which can be used immediately upon assembly according to the function of the product.

          Article 4. Determining the quantity and volume of forest products

1. Methods for measuring and recording the top end number of logs, boxes of wood:

a) Length of roundwood: measure the shortest distance between the cross-sections at both ends of the log. If the cross-section of the end of the wood is tilted or concave, measure at the position with the shortest length. The unit of measurement is meters (m), taking two decimal places after the unit.

b) Diameter of roundwood: measure at both ends of the log (excluding the bark); for each end of the log, measure at two positions with the largest and smallest diameters, then calculate the average value to determine the diameter; the unit of measurement is centimeters (cm).

c) Length of sawn timber: measure the shortest distance between the cross-sections at both ends of each piece, board, or box of wood. The unit of measurement is meters (m), taking two decimal places after the unit.

d) Width and thickness of sawn timber: measure the distance between the two opposite longitudinal sections of each piece, board, or box of wood. The unit of measurement is centimeters (cm). In cases where the surfaces of sawn timber or peeled wood are skewed or wavy, measure at the positions with the largest and smallest dimensions and calculate the average value.

đ) For hollow or decayed wood, when measuring, subtract the volume of the defect; when preparing the inventory of forest products, record the volume that has been deducted as the basis for rechecking the volume of wood.

e) For tree roots, stumps, various types of sawn timber with complex shapes and inconsistent sizes; tree-shaped wood including roots, trunk, branches, and leaves; peeled wood, flake wood, wood chips which cannot be measured for size to determine volume; planted forest wood not classified according to diameter grade, weigh the weight in units of kilograms (kg) and convert 1,000 kg to 01 m³ round wood or measured in units of ster, with 01 ster equivalent to 0.7 cubic meters.³ round wood;

g) For roundwood with dimensions specified in Clause 2, Article 3 of this Circular and above, and sawn timber with a length of 1 meter or more, width of 20 cm or more, and thickness of 5 cm or more, record the number of each log, piece, board, or box of wood on the cross-section of the wood.

2. The unit of measurement for the volume of wood is cubic meters (m³), take the three odd digits following the units digit. The unit for measuring firewood volume is ster or weight in kilograms.

3. Permissible error in calculating the volume of wood:

3. Allowable errors in calculating the volume of wood:

a) For roundwood, the error for each log for one measurement is ten percent (± 10%).

b) For sawn timber, the error for each piece, board, or box of wood for one measurement is five percent (± 5%).

4. Determining the quantity and volume of wild animals in forests is the number of individuals and weighing the weight in units of kilograms (kg). In cases where the number of individuals cannot be determined, weigh the weight in units of kilograms (kg).

5. Determining the volume of non-wood forest plants and parts of wild animals is by weighing the weight in units of kilograms (kg). For bamboo and rattan, measure by the number of stalks or weigh the weight in units of kilograms (kg).

          Article 5. Logging Product Inventory List

          1. Logging Product Inventory List:

          a) Is prepared by the logging product owner after harvesting; when buying, selling, transporting, or exporting logging products in the same transaction and on the same means of transport; when preparing the application for export permit for logging products as prescribed or by the competent authority when preparing the file to handle violations;

          b) The logging product owner shall be responsible under the law for the contents declared and the legal origin of the logging products in the logging product inventory list;

          c) The model of the logging product inventory list is Model No. 01, Model No. 02, Model No. 03, and Model No. 04 attached to this Circular.

          2. Preparing the logging product inventory list:

          a) The logging product owner must fully record the contents about logging products in the logging product inventory list according to Model No. 01, Model No. 02, Model No. 03, or Model No. 04 attached to this Circular;

          b) For wood that does not meet the size requirements specified in point g Clause 1 Article 4 of this Circular, the total quantity and volume or weight of such logging products must be recorded in the logging product inventory list;

          c) When preparing the logging product inventory list for roundwood or sawn timber with wood identification numbers as specified in point g Clause 1 Article 4 of this Circular, the logging product owner must record the wood identification numbers in the logging product inventory list;

          d) For non-wood forest plants or wild animals, the logging product owner must detail or record the total quantity and volume or weight for each type of logging product in the logging product inventory list;

          e) At the end of each page of the logging product inventory list, the total quantity and volume or weight, and capacity of each type of logging product on that page must be recorded, along with the signature of the logging product owner. On the last page of the logging product inventory list, the total quantity and volume or weight, and capacity of each type of logging product throughout the entire logging product inventory list must be recorded.

          Article 6. Subjects Required to Confirm the Logging Product Inventory List

          1. Unprocessed natural forest timber harvested within the country.

          2. Non-wood forest plants listed in the Catalogue of Endangered, Precious, and Rare Forest Plants and Animals and Appendices of CITES, harvested from natural forests within the country and unprocessed.

          3. Wild animals and parts or derivatives of wild animals originating from natural sources or bred domestically; imported wild animals and products thereof listed in the Catalogue of Endangered, Precious, and Rare Forest Plants and Animals.

          4. In cases where logging products as stipulated in Clauses 1, 2, and 3 of this Article are transported internally within a province, the logging product inventory list does not require confirmation by the local Forest Protection Authority.

          Article 7. Confirmation of the Logging Product Inventory List

          1. The competent authority to confirm the logging product inventory list is the local Forest Protection Authority.

          2. Application documents for confirming the logging product inventory list:

          a) Original logging product inventory list according to Model No. 01, Model No. 02, Model No. 03, or Model No. 04 attached to this Circular;

          b) Origin documentation for logging products;

          c) Invoice as prescribed by the Ministry of Finance (if applicable).

          3. Method of submitting application documents: Organizations and individuals may submit directly, send via postal service, or through public postal services.

          4. Procedure:

a) Organizations and individuals submit one set of application documents as prescribed in Clause 2 of this Article to the local Forest Protection Authority. If the application documents are not valid, the competent authority must provide direct guidance or written instructions within one working day from the date of receipt of the documents to help organizations and individuals complete the documents;

b) Within three working days from the date of receiving valid application documents, the local Forest Protection Authority confirms the logging product inventory list or notifies in writing if it does not confirm and specifies the reasons;

c) If it is necessary to verify the origin of logging products, the local Forest Protection Authority will notify the logging product owner within one working day from the date of receiving the application documents;

Within one working day from the date of notification, the local Forest Protection Authority conducts verification and inspection of the origin of logging products; in complex cases, verification and inspection of the origin of logging products shall be completed within five working days.

Upon completion of verification and inspection of the origin of logging products, the local Forest Protection Authority prepares a logging product inspection report according to Model No. 05 attached to this Circular.

          Within one working day from the date of completing verification, the local Forest Protection Authority confirms the logging product inventory list and returns the result to organizations and individuals or notifies in writing if it does not confirm and specifies the reasons.

          5. The local Forest Protection Authority is responsible under the law for confirming the legal origin of logging products; maintains a logbook for confirming the logging product inventory list annually according to Model No. 06 attached to this Circular; retains copies of confirmed logging product inventory lists and copies of documents regarding the origin of logging products as prescribed by law.

Chapter II

PROCEDURE AND REQUIREMENTS FOR HARVESTING COMMON FOREST PLANTS AND WILD ANIMALS

          Article 8. Exploitation and Utilization of Timber from Common Plant Species in Natural Forests

          1. Documents for exploitation:

          a) A copy of the decision on changing the purpose of forest land use to another purpose or a copy of the approved forestry project or scientific research program;

          b) The original report on the name, area, and volume of forest products expected to be exploited according to Model No. 07 attached to this Circular.

          2. Procedure: Before exploitation, the forest owner or the organization or individual exploiting (in cases where the organization or individual exploiting is not the forest owner) shall submit directly or send via postal service one set of documents as stipulated in Clause 1 of this Article to the Provincial Forest Inspection Office for organizations or to the local Forest Inspection Office for individuals for consolidation and inspection during the exploitation process.

          3. After exploitation, the forest product owner shall prepare and present to the local Forest Inspection Office for confirmation the inventory of forest products.

          Article 9. Exploitation and Utilization of Timber from Common Plant Species in Natural Forests

          1. Documents for exploitation: The original plan for exploiting timber according to Model No. 08 attached to this Circular.

          2. Procedure: Before exploitation, the forest owner shall submit directly or send via postal service one set of documents as stipulated in Clause 1 of this Article to the Provincial Forest Inspection Office for organizations or to the local Forest Inspection Office for individuals for consolidation and inspection during the exploitation process.

          3. After exploitation, the forest product owner shall prepare and present to the local Forest Inspection Office for confirmation the inventory of forest products.

          Article 10. Exploitation of Non-Timber Forest Products and Derivatives from Common Plant Species in Natural Forests

          1. Documents for exploitation: The original report on the name, area, and volume of forest products expected to be exploited according to Model No. 07 attached to this Circular.

          2. Procedure: Before exploitation, the forest owner shall submit directly or send via postal service one set of documents as stipulated in Clause 1 of this Article to the local Forest Inspection Office for consolidation, supervision, and inspection during the exploitation process.

          3. After exploitation, the forest product owner shall prepare an inventory of forest products.

          Article 11. Exploitation of Common Wild Animals, Parts, and Derivatives of Common Wild Animals from Nature

          1. Documents for exploitation: The plan for exploiting common wild animals from nature according to Model No. 09 attached to this Circular.

2. Method of submitting documents: Organizations and individuals shall submit directly or send via postal service or through public postal services.

          3. Procedure:

a) Before exploitation, the forest owner or the organization or individual exploiting (in cases where the organization or individual exploiting is not the forest owner) shall submit one set of documents as stipulated in Clause 1 of this Article to the Provincial Forest Inspection Office at the exploitation site. In case the documents are not valid, within one working day from the date of receipt of the documents, the Provincial Forest Inspection Office at the exploitation site shall be responsible for guiding directly or in writing to the organization or individual to complete the documents;

          b) Within three working days from the date of receiving valid documents, the Provincial Forest Inspection Office at the exploitation site shall organize the review of the documents.

          The review board includes representatives from: the Provincial Forest Inspection Office at the exploitation site, the Department of Natural Resources and Environment, and the People's Committee of the district where the exploitation takes place. If necessary, the Provincial Forest Inspection Office at the exploitation site may invite other organizations or individuals. The head of the Provincial Forest Inspection Office at the exploitation site shall be the Chairman of the Review Board;

          c) Within three working days, the Review Board shall be responsible for reviewing and evaluating the exploitation plan and preparing the review record of the exploitation plan according to Model No. 10 attached to this Circular;

          d) Within one working day from the date of receiving the review record, the Provincial Forest Inspection Office at the exploitation site shall approve the exploitation plan when at least two-thirds of the Review Board members agree, and send the result to the organization or individual or notify in writing for cases not approved and specify the reasons.

          4. After exploitation, the forest product owner shall prepare and present to the local Forest Inspection Office for confirmation the inventory of forest products.

          Article 12. Main Exploitation of Timber from State-owned Planted Forests

          1. Documents for exploitation: The exploitation plan according to Model No. 08 attached to this Circular.

          2. Procedure: Before exploitation, the forest owner or the organization or individual exploiting (in cases where the organization or individual exploiting is not the forest owner) shall submit directly or send via postal service one set of documents as stipulated in Clause 1 of this Article to the competent authority approving the forest planting capital and the local Forest Inspection Office for consolidation and inspection during the exploitation process.

          3. After exploitation, the forest product owner shall prepare an inventory of forest products.

          Article 13. Exploitation and utilization of planted forest wood owned by the State as the representative owner

          1. Documents for exploitation:

          a) A copy of the decision on changing the purpose of forest land use to another purpose; or a copy of the forestry project or scientific research program already approved;

          b) Report on place name, area, volume of forest products expected to be exploited according to Model No. 07 attached to this Circular.

          2. Procedure: Before exploitation, the forest owner or the organization or individual exploiting (in cases where the organization or individual exploiting is not the forest owner) shall submit directly or send via postal service one set of documents as stipulated in Clause 1 of this Article to the competent authority approving the forest planting capital and the local Forest Inspection Office for consolidation and inspection during the exploitation process.

          3. After exploitation, the forest product owner shall prepare an inventory of forest products.

          Article 14. Exploitation and recovery of planted forest wood owned by the State as the representative owner

          1. Exploitation dossier: Report on place name, area, volume of forest products expected to be exploited according to Model No. 07 attached to this Circular.

          2. Implementation procedure: Before exploitation, the forest owner shall submit directly or send via postal service one set of dossier as prescribed in Clause 1 of this Article to the competent authority for approval of forest planting capital and the local Forest Protection agency for consolidation and inspection during the exploitation process.

          3. After exploitation, the forest product owner shall prepare an inventory of forest products.

          Article 15. Exploitation of planted forests owned by organizations and individuals

          1. Exploitation objects: Planted forest wood, garden wood, scattered trees owned by organizations and individuals, including wood planted under state support policies and projects; non-wood forest products and derivatives of forest products.

          2. Implementation procedure: The forest owner decides independently on exploitation. After exploitation, the forest product owner prepares a list of forest products.

Chapter III

LEGAL FOREST PRODUCT DOSSIER

Section 1

ORIGIN DOSSIER OF FOREST PRODUCTS

          Article 16. Dossier of forest products exploited domestically

          1. Dossier of forest products exploited from natural forests:

          a) Wood exploited for utilization from natural forests:

Original list of forest products with confirmation from the local Forest Protection agency.

Copy of the decision on changing the purpose of forest land use to another purpose or a copy of the forestry project or scientific research program already approved.

Original report on place name, area, volume of forest products expected to be exploited according to Model No. 07 attached to this Circular;

          b) Wood exploited for recovery from natural forests:

          For common plant species wood: original list of forest products with confirmation from the local Forest Protection agency and dossier as prescribed in Clause 1 of Article 9 of this Circular.

          For wood belonging to the List of Endangered, Precious, and Rare Forest Plants and Animals and Appendix CITES: original list of forest products with confirmation from the local Forest Protection agency and copy of the exploitation plan as prescribed by the Government's regulations on management of endangered, precious, and rare forest plants and animals and implementation of the Convention on International Trade in Endangered Species of Wild Fauna and Flora.

          c) Non-wood forest products and derivatives of forest products exploited from natural forests:

          For common non-wood forest products: original list of forest products prepared by the forest product owner and dossier as prescribed in Clause 1 of Article 10 of this Circular.

          For non-wood forest products and derivatives of forest products belonging to the List of Endangered, Precious, and Rare Forest Plants and Animals and Appendix CITES: original list of forest products with confirmation from the local Forest Protection agency and copy of the exploitation plan as prescribed by the Government's regulations on management of endangered, precious, and rare forest plants and animals and implementation of the Convention on International Trade in Endangered Species of Wild Fauna and Flora.

          d) Wildlife, parts, and derivatives thereof exploited from nature:

          For common wildlife and parts, derivatives thereof: original list of forest products with confirmation from the local Forest Protection agency, copy of the exploitation plan with approval as prescribed in Article 11 of this Circular.

          For wildlife, parts, derivatives of wildlife belonging to the List of Endangered, Precious, and Rare Forest Plants and Animals and Appendix CITES: original list of forest products with confirmation from the local Forest Protection agency and copy of the exploitation plan as prescribed by the Government's regulations on management of endangered, precious, and rare forest plants and animals and implementation of the Convention on International Trade in Endangered Species of Wild Fauna and Flora.

          2. Dossier of forest products exploited from planted forests:

          a) Mainly harvested wood from planted forests owned by the State as the representative owner: original list of forest products prepared by the forest product owner and dossier as prescribed in Clause 1 of Article 12 of this Circular;

          b) Utilized wood from planted forests owned by the State as the representative owner: original list of forest products prepared by the forest product owner and dossier as prescribed in Clause 1 of Article 13 of this Circular;

          c) Recovered wood from planted forests owned by the State as the representative owner: original list of forest products prepared by the forest product owner and dossier as prescribed in Clause 1 of Article 14 of this Circular;

          d) Wood harvested from planted forests owned by organizations and individuals: original list of forest products prepared by the forest product owner.

          Article 17. Documents for Imported Forest Products

          1. Customs declaration form in accordance with current regulations.

          2. Original packing list (Packing-list) established by the forest product owner or foreign organization or individual exporting the forest products.

          3. Copy of the CITES import permit issued by the Vietnamese CITES Management Authority for forest products listed in the CITES Appendices.

          4. Documents on the origin of forest products as prescribed by the exporting country.

          Article 18. Documents for Seized Forest Products After Disposal

          1. Original purchase and sale contract for auctioned assets.

          2. Invoice in accordance with the Ministry of Finance's regulations.

          3. Original packing list established by the selling agency.

Section 2

DOCUMENTS FOR DOMESTIC SALE, PURCHASE, AND TRANSPORTATION OF FOREST PRODUCTS

          Article 19. Documents for Raw Logs, Non-Timber Forest Products, and Derivatives from Natural Forests Not Yet Processed

          1. Original packing list established by the forest product owner. For forest products as stipulated in Clause 1 and Clause 2 of Article 6 of this Circular, the packing list must be confirmed by the local Forest Protection Agency.

          2. Copy of the origin document of the forest product sold by the forest product owner.

          Article 20. Documents for Raw Logs, Non-Timber Forest Products, and Derivatives from Planted Forests Not Yet Processed

          1. Original packing list established by the forest product owner.

          2. Copy of the origin document of the forest product sold by the forest product owner.

          Article 21. Documents for Raw Logs and Non-Timber Forest Products Imported Not Yet Processed

          1. Original packing list established by the forest product owner.

          2. Copy of the origin document of the forest product sold by the forest product owner.

          3. For imported forest products transported from the import gate to the warehouse of the importing organization or individual, follow the provisions of Article 17 of this Circular.

          Article 22. Documents for raw seized forest products not yet processed

          1. Original packing list established by the forest product owner.

          2. Copy of the origin document of the forest product sold by the forest product owner.

          3. For forest products purchased directly from the Auction Council, then transported back to the warehouse of the purchasing organization or individual, follow the provisions of Article 18 of this Circular.

          Article 23. Documents for Processed Timber, Non-Timber Forest Products, and Derivatives from Natural Sources, Planted Forests, Imports, and Seized Forest Products After Disposal

          1. Original packing list established by the forest product owner.

          2. Copy of the origin document of the forest product sold by the forest product owner.

          Article 24. Documents for Wild Animals, Animal Parts, Derivatives, and Products Originating from Nature, Imports, or Breeding

          1. Original packing list established by the forest product owner. For forest products as stipulated in Clause 3 of Article 6 of this Circular, the packing list must be confirmed by the local Forest Protection Agency.

          2. Copy of the origin document of the forest product sold by the forest product owner.

          Article 25. Documents for Internal Transportation of Forest Products

          1. Original internal dispatch and transportation note.

          2. Original packing list established by the forest product owner. In cases where internal transportation is conducted outside the province for forest products as stipulated in Clause 1, Clause 2, and Clause 3 of Article 6 of this Circular, the packing list must be confirmed by the local Forest Protection Agency. 3. Copy of the origin document of the forest product.

Section 3

DOCUMENTS FOR EXPORT AND CROSS-BORDER TRANSPORTATION OF FOREST PRODUCTS

          Article 26. Documents for roundwood, sawn timber, and wood products when exporting

          1. The original inventory list of forest products prepared by the owner of the forest products. For forest products as specified in Clause 1, Article 6 of this Circular, the inventory list must be confirmed by the local Forest Protection agency.

          2. Export permit as stipulated in the Agreements between the Socialist Republic of Vietnam and the importing country (if applicable).

          3. A copy of the CITES export permit issued by the competent CITES Management Authority of Vietnam for forest products listed in the CITES Appendices and forest products included in the List of Precious and Rare Forest Plants and Animals.

          Article 27. Documents for wild animals, parts, derivatives, and products derived from wild animals when exporting

          1. The original inventory list of forest products confirmed by the local Forest Protection agency.

          2. A copy of the CITES export permit issued by the competent CITES Management Authority of Vietnam for forest products listed in the CITES Appendices and forest products included in the List of Precious and Rare Forest Plants and Animals.

          Article 28. Documents for non-wood forest plants, derivatives, and products derived from them when exporting

          1. The original inventory list of forest products prepared by the owner of the forest products. For forest products as specified in Clause 2, Article 6 of this Circular, the inventory list must be confirmed by the local Forest Protection agency.

          2. A copy of the CITES export permit issued by the competent CITES Management Authority of Vietnam for forest products listed in the CITES Appendices and forest products included in the List of Precious and Rare Forest Plants and Animals.

          Article 29. Documents for forest products being transshipped

          1. Documents for goods being transshipped according to current regulations.

          2. In cases where forest products being transshipped are unloaded and transferred to another means of transport on the territory of Vietnam, the owner of the forest products must prepare an inventory list of forest products for each means of transport.

Section 4

DOCUMENTS FOR FOREST PRODUCTS AT PROCESSING FACILITIES, PURCHASE AND SALE, STORAGE OF FOREST PRODUCTS; BREEDING AND PROCESSING OF SPECIMENS OF WILD ANIMALS

          Article 30. Record of Entry and Exit of Forest Products

          1. The model record of entry and exit of forest products applies to organizations according to Model No. 11 attached to this Circular.

          2. Organizations are responsible for maintaining records of entry and exit of forest products in paper or electronic form; recording all relevant information immediately after entry or exit of forest products.

          Article 31. Documents for forest products at processing facilities, purchase and sale of wood and non-wood forest plants; breeding and processing of specimens of wild animals

          1. For processing facilities and purchase and sale of wood and non-wood forest plants:

          a) Record of entry and exit of forest products;

          b) Inventory list of forest products and documents of legal origin of forest products as prescribed in this Circular;

          c) The owner of the processing facility and purchase and sale of wood and non-wood forest plants is responsible for managing and retaining the original documents prescribed in points a and b of this clause for a period of five years from the date of exit of forest products.

          2. For breeding and processing facilities of specimens of wild animals:

          a) Record of activities related to breeding and processing of precious and rare wild animals and endangered wildlife species listed in the CITES Appendices; breeding of common wild animals as prescribed by the Government's regulations on management of precious and rare forest plants and animals and implementation of the Convention on International Trade in Endangered Species of Wild Fauna and Flora;

          b) Inventory list of forest products and other related documents concerning the legal origin of wild animals held at the breeding and processing facility as prescribed;

          c) The owner of the breeding and processing facility of specimens of wild animals is responsible for managing and retaining the original documents prescribed in points a and b of this clause for a period of five years from the date of exit of forest products.

          Article 32. Forest product records at storage locations

          The forest product owner shall be responsible for retaining forest product records corresponding to each stage of the forest product supply chain, including: forest product records during harvesting, transportation, processing, production, buying and selling, importation, and post-seizure processed forest products as stipulated in this Circular.

Chapter IV

SAMPLE MARKING

          Article 33. Objects for marking

          Specimens of species listed in the Catalogue of Endangered, Precious, and Rare Wild Plants and Animals; species listed in Appendices to CITES; and complete wooden products when buying and selling.

          Article 34. Marking specimens

          1. For specimens of species listed in Appendices to CITES that have specified marking requirements, such marking shall be carried out in accordance with the provisions of CITES.

2. Marking may be done using labels such as stamps, serial numbers, barcodes, QR codes, electronic chips, bands, rings, or other materials (hereinafter collectively referred to as marking labels) containing information for tracing the origin.

          3. The specimen owner shall decide on the material, size, and form of the marking label, which must be suitable for the nature and type of the specimen and comply with legal regulations regarding product labeling.

          The marking label shall be directly affixed to the specimen, ensuring it can be easily identified by the naked eye or with reading devices.

          4. After completing the marking of the specimen, within one working day, the forest product owner shall record all marking information in the specimen marking tracking logbook in paper or electronic format according to Form No. 12 attached to this Circular and shall be responsible for the truthfulness, clarity, and accuracy of the marking label.

Article 35. Information on marking labels

          1. Name of specimen: clearly state the name of the specimen.

          2. Species name: common name and scientific name.

          3. Name and address of the organization or individual who is the owner of the specimen.

          4. Origin and source of the specimen: clearly indicate the origin from natural forests, planted forests, domestic breeding, or imports; address of the place of extraction or production of the specimen.

          5. Quantity of the specimen: expressed in units of measurement or counted according to the characteristics of each type of specimen.

6. Other information indicating the origin of the specimen.

Chapter V

INSPECTION AND TRACEABILITY OF FOREST PRODUCTS

Section 1

OBJECTS, FORMS, PRINCIPLES, AND AUTHORITY TO ISSUE INSPECTION DECISIONS

          Article 36. Inspection objects and forms

          1. Inspection objects: organizations and individuals engaged in forest product harvesting, transportation, processing, production, buying and selling, exportation, importation, storage, and captive breeding of wild animals, specimen marking, and wooden products.

          2. Forms of inspection:

          a) Planned inspections;

          b) Surprise inspections when there are signs of violation of laws as stipulated in Clause 1, Article 40 of this Circular or upon request of the head of the competent administrative agency.

          Article 37. Authority to issue inspection decisions

          1. The Director of the Forest Inspection Department, the Head of the Forest Inspection Sub-department, the Head of the Mobile Forest Inspection and Fire Prevention and Control Team, and the Head of the Forest Inspection Station (hereinafter referred to as the Heads of the Forest Inspection Authorities), within their assigned functions, tasks, and scope, have the authority to issue inspection decisions.

          2. The person with the authority stipulated in Clause 1 of this Article may delegate such authority to their deputy to issue inspection decisions in accordance with the provisions of the law.

          Article 38. Principles of Inspection Activities

          1. Inspection activities of the Forest Inspection Authorities shall be carried out by the Inspection Team or the Inspection Group (hereinafter referred to as the Inspection Team) when authorized by the competent authority.

          2. In cases where the Inspection Team discovers violations on the spot while performing their duties, they must immediately apply necessary measures to prevent such violations and report according to the prescribed regulations.

          3. All verification and inspection of forest products' origin must be conducted strictly in accordance with the inspection procedures and formalities prescribed by law and must result in an inspection record. For verification and inspection of forest product origins, the record shall be made according to Model No. 05 attached to this Circular. For inspection of forest product exploitation, the record shall be made according to Model No. 13 attached to this Circular.

          Article 39. Planned Inspections

          1. Annual regular inspection plan: Before November 30 each year, based on the work program and directives from the superior administrative management authority, the Head of the Forest Inspection Authority is responsible for developing the next year's inspection plan and submitting it for approval by the immediate superior.

          2. Special topic inspection plan: Based on the situation regarding exploitation, transportation, processing, purchase and sale, and management of forest products in the area that needs to be inspected and prevented, the Head of the Forest Inspection Authority proactively develops a special topic inspection plan.

          Article 40. Surprise Inspections

          1. Basis for surprise inspections:

          a) Information from mass media;

          b) Information from complaints, reports, or tips from organizations or individuals;

          c) Information from requests to handle violations from organizations or individuals;

          d) Information from discoveries by local forest inspectors or forest inspectors tasked with monitoring and detecting violations;

          đ) Directives from the Head of the administrative management authority with the appropriate authority;

          e) When signs of violation of the law are discovered.

          2. Forest inspectors who collect or receive information about law violations or signs of law violations must immediately report to the direct Head of the Forest Inspection Authority for handling the information.

          3. Based on the information stipulated in Clause 1 of this Article, the Head of the Forest Inspection Authority is responsible for handling the information, directing inspections, and bearing responsibility for their decisions; directing the establishment of a logbook to track information and organizing the management of the logbook according to confidential document management regulations.

Section 2

PROCEDURES AND CONTENT OF INSPECTION

          Article 41. Inspection Procedures

          1. Announce the inspection decision to the inspected entity or related persons of the inspected entity and witnesses (if any).

          2. Require the inspected entity or related persons of the inspected entity to comply with the inspection decision of the competent authority and work with the Inspection Team.

          3. Conduct the inspection in accordance with the content of the announced inspection decision. In case issues arise during the inspection that exceed the authority, the Inspection Team must immediately report to the superior head for timely handling.

          4. Inspection of timber transportation: The Inspection Team may only stop vehicles in transit to inspect timber when there is a basis as stipulated in Clause 1, Article 40 of this Circular. The stop command can be issued using one type or a combination of sirens, forestry flags, and flashlights.

          5. Inspection of imported, exported, and transiting timber at border gates: In cases where it is necessary to verify the origin of imported, exported, or transiting timber, the provincial Forest Protection Department shall cooperate with the customs authorities at the border gate to organize inspections and verify the origin of the timber in accordance with this Circular.

          6. The owner of the processing, trading timber facilities, wildlife breeding facilities, the owner of timber, or the person in charge of transporting timber must comply with the inspection requirements of the Inspection Team; immediately present the management files of the processing, trading timber facilities, wildlife breeding facilities, and the origin files of the timber as prescribed in this Circular.

          Article 42. Content of Inspection

          1. For timber harvesting:

          a) Compliance with legal regulations before harvesting; compliance with legal regulations during and after the harvesting process; documents and materials related to timber harvesting;

          b) For harvested timber transported to centralized yards: check the quantity, volume, species, log numbers, timber inventory lists; harvesting records as prescribed in Section 1, Chapter III of this Circular;

          c) For non-timber forest products: check the quantity, volume, species name, timber inventory lists; harvesting records as prescribed in Section 1, Chapter III of this Circular.

          2. For timber transportation:

          a) Timber documents as prescribed in Sections 2 and 3, Chapter III of this Circular;

          b) Timber currently on the transport vehicle.

          3. For timber processing, trading facilities:

          a) Timber documents as prescribed in Clause 1, Article 31 of this Circular;

          b) Timber currently at the facility;

          c) Storage of timber documents.

          4. For imported, exported, and transiting timber:

          a) Timber documents as prescribed in Article 17 and Section 3, Chapter III of this Circular;

          b) Timber currently at the border gate.

          5. For wildlife breeding, processing facilities:

          a) Wildlife breeding documents as prescribed in Clause 2, Article 31 of this Circular;

          b) Wildlife currently being bred.

          6. For timber storage locations:

          a) Timber documents at the storage location as prescribed in Article 32 of this Circular;

          b) Timber currently at the storage location.

Chapter VI

IMPLEMENTATION

          Article 43. Responsibilities for Implementation

          1. The Forestry General Department shall guide and inspect the implementation of this Circular throughout the country.

          2. The Department of Agriculture and Rural Development shall organize the implementation and guide the implementation of this Circular within its province.

          Article 44. Transitional Provisions

          In cases where organizations and individuals have been granted permits for primary harvesting, utilization, and collection of timber and non-timber forest products prior to the effective date of this Circular, they shall continue to implement until the end of the permitted period.

          Article 45. Effective date

          1. This Circular takes effect from January 1, 2019.

          2. The following documents shall cease to be effective from the date this Circular comes into force:

          a) Decision No. 44/2006/QĐ-BNN dated June 1, 2006, of the Minister of Agriculture and Rural Development on the issuance of the Management Regulations for Tree Tags and Forestry Inspection Stamps;

          b) Decision No. 107/2007/QĐ-BNN dated December 31, 2007, of the Minister of Agriculture and Rural Development amending and supplementing the Management Regulations for Tree Tags and Forestry Inspection Stamps issued together with Decision No. 44/2006/QĐ-BNN dated June 1, 2006, of the Minister of Agriculture and Rural Development.

c) Circular No. 87/2009/TT-BNNPTNT dated December 31, 2009 of the Ministry of Agriculture and Rural Development guiding the design for selective logging of natural forests;

d) Circular No. 70/2011/TT-BNNPTNT dated October 24, 2011 of the Ministry of Agriculture and Rural Development amending and supplementing certain contents of Circular No. 35/2011/TT-BNNPTNT dated May 20, 2011 on guiding the implementation of logging, harvesting wood and non-timber forest products; Circular No. 87/2009/TT-BNNPTNT dated December 31, 2009 of the Ministry of Agriculture and Rural Development guiding the design for selective logging of natural forests;

đ) Circular No. 01/2012/TT-BNNPTNT dated January 4, 2012 of the Ministry of Agriculture and Rural Development stipulating the legal forest product dossier and origin verification of forest products;

e) Circular No. 40/2015/TT-BNNPTNT dated October 21, 2015 of the Ministry of Agriculture and Rural Development amending and supplementing Circular No. 01/2012/TT-BNNPTNT dated January 4, 2012 of the Ministry of Agriculture and Rural Development stipulating the legal forest product dossier and origin verification of forest products;

g) Circular No. 21/2016/TT-BNNPTNT dated June 28, 2016 of the Ministry of Agriculture and Rural Development stipulating primary logging and utilization, harvesting of forest products;

h) Circular No. 17/2017/TT-BNNPTNT dated September 11, 2017 of the Ministry of Agriculture and Rural Development amending and supplementing Circular No. 21/2016/TT-BNNPTNT dated June 28, 2016 of the Ministry of Agriculture and Rural Development stipulating primary logging and utilization, harvesting of forest products;

i) Circular No. 25/2011/TT-BNNPTNT dated April 6, 2011 of the Ministry of Agriculture and Rural Development amending, supplementing, and abolishing certain administrative procedures in the field of forest protection and development according to Resolution No. 57/NQ-CP dated February 15, 2010;

k) Article 2 of Circular No. 20/2016/TT-BNNPTNT dated June 27, 2016 of the Ministry of Agriculture and Rural Development amending and supplementing certain articles of Circulars: 38/2007/TT-BNNPTNT, 78/2011/TT-BNNPTNT, 25/2011/TT-BNNPTNT, 47/2012/TT-BNNPTNT, 80/2011/TT-BNNPTNT, 99/2006/TT-BNN;

3. During the implementation process, if there are any difficulties, relevant ministries, sectors, localities, organizations, and individuals shall promptly reflect them to the Ministry of Agriculture and Rural Development for consideration and resolution./.