Circular No. 28/2015/TT-BCT provides for the pilot implementation of self-certification of origin of goods under the ASEAN Trade in Goods Agreement.

CIRCULAR

Regulations on the Implementation of the Pilot Self-Certification of Origin of Goods

under the ASEAN Trade in Goods Agreement

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Decree No. 95/2012/NĐ-CP dated 12 of the Government stipulating the list, management, use of technical equipment and procedures for collecting and using data obtained from such equipment provided by individuals or organizations to detect administrative violations;1 Pursuant to Decree No. 32/2019/NĐ-CP dated April 10, 2019 of the Government on assigning tasks, procurement or tendering for the supply of products and services using state budget from regular operating expenses;12 /NĐ-CP dated March

Pursuant to Decree No. 19/2006/NĐ-CP dated February 20, 2006, promulgated by the Government detailing the Law on Commerce regarding the origin of goods;

Implementing The ASEAN Trade in Goods Agreement ASEAN signed on February 26, 2009 at the 14th Summit Conference in Cha-am, Thailand Kingdom of Thailand among the member states of the Association of Southeast Asian Nations and the Memorandum of Understanding signed on August 29, 2012 between the countries Democratic People's Republic of Laos, Republic of the Philippines, Republic of Indonesia in Siem Reap, Kingdom of Cambodia regarding the implementation of Pilot Project No. 2 for self-certification of origin;

Implementing Decision No. 68/NQ-CP dated September 10, 2014 of the Government on joining the Memorandum of Understanding to implement Pilot Project No. 2 for self-certification of origin within ASEAN;

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

of issues the Circular regulations on the implementation pilot self-certification of origin of goods under the ASEAN Trade in Goods Agreement.

Chapter I GENERAL PROVISIONS

1. These Circulars regulate the implementation of the pilot self-certification of origin of goods according to the provisions of the Memorandum of Understanding signed on August 29, 2012 between the Democratic People's Republic of Laos, the Republic of the Philippines, the Republic of Indonesia in Siem Reap, the Kingdom of Cambodia regarding the implementation of Pilot Project No. 2 for self-certification of origin (hereinafter referred to as the Memorandum).

2. In addition to the provisions related to self-certification of origin stipulated in these Circulars, traders and relevant agencies, organizations, and individuals must comply with the provisions of Circular No. 21/2010/TT-BCT dated May 17, 2010 of the Minister of Industry and Trade implementing Rules of Origin in the ASEAN Trade in Goods Agreement and Circular No. 42/2014/TT-BCT dated November 18, 2014 of the Minister of Industry and Trade amending and supplementing certain articles of Circular No. 21/2010/TT-BCT.

1. These Circulars apply to exporters and importers of goods under the ASEAN Trade in Goods Agreement with traders from the signatory countries and relevant agencies, organizations, and individuals.

2. Traders selected by the Ministry of Industry and Trade to participate in the pilot self-certification of origin of goods according to these Circulars still have the right to request issuance of Certificate of Origin Form D (hereinafter referred to as C/O Form D) according to Circular No. 21/2010/TT-BCT and Circular No. 42/2014/TT-BCT.

1. Self-certification of origin of goods is the act of traders declaring the origin of exported goods on commercial invoices instead of issuing C/O Form D.

2. An exporter is a trader selected to participate in the pilot self-certification of origin of goods by the member countries of the Memorandum of Understanding.

3. Commercial invoices containing declaration of origin are commercial invoices reflecting the declaration of origin of goods as prescribed in Article 7 of these Circulars, issued by selected traders.

4. The competent authority of the exporting member country is the government agency of the exporting member country authorized to:

a) Issue C/O Form D;

b) Issue the Approval Letter for Self-Certification of Origin of Goods (hereinafter referred to as the Approval Letter).

5. Signatory countries are the Democratic People's Republic of Laos, the Republic of the Philippines, the Republic of Indonesia, the Kingdom of Thailand, and the Socialist Republic of Vietnam. The Ministry of Industry and Trade will announce new signatory countries on its official website at www.moit.gov.vn and notify in writing the customs authorities.

Chapter II ISSUANCE OF APPROVAL DOCUMENTS

Selected traders participating in the pilot self-certification of origin of goods program must meet all of the following criteria:

1. Be a manufacturer and exporter of goods produced by the trader itself.

2. Not violate origin regulations in the two years prior to the date of submitting the application.

3. Export value to ASEAN with C/O Form D in the previous year must be at least ten million US dollars.

4. Have staff trained and certified or certified in goods origin by training units designated by the Ministry of Industry and Trade.

1. The Department of Import-Export - Ministry of Industry and Trade issues Approval Documents for traders participating in the pilot self-certification of origin of goods in ASEAN.

2. Traders meeting all criteria set forth in Article 4 of these Circulars who wish to participate in the pilot self-certification of origin of goods program shall submit one complete registration file via postal service to the Department of Import-Export - Ministry of Industry and Trade, address: No. 54 Hai Ba Trung Street, Hoan Kiem District, Hanoi City or register online at www.ecosys.gov.vn.

3. Procedures for issuing Approval Documents are as follows:

a) Application form for participation in the pilot self-certification of origin of goods in ASEAN (according to Appendix I attached to these Circulars), specifying the goods to be self-certified: one original copy;

b) Registration of name and signature sample of the legal representative of the trader or authorized person who has been certified or certified in goods origin training (submit one copy with confirmation and stamp of true copy by the trader), signed on commercial invoices containing declaration of origin (no more than three persons) (according to Appendix V attached to these Circulars): one original copy;

c) Report on production capacity and production facilities for each item registered for self-certification of origin (according to Appendix II attached to these Circulars): one original copy;

d) Business registration certificate or Enterprise registration certificate or Investment certificate: one copy (with confirmation and stamp of true copy by the trader);

đ) Report on export value to ASEAN with C/O Form D in the previous year: one original copy (confirmed by the issuing organization of C/O Form D where the trader registers).

4. Processing time

a) Within seven working days from the date of receipt of a complete application file, the Department of Import-Export - Ministry of Industry and Trade will conduct an inspection or authorize the Department of Industry and Trade or Management Board of Industrial Zones, Export Processing Zones, Economic Zones authorized by the Ministry of Industry and Trade where the trader's production facility is located to inspect the production capacity of the trader;

b) If the application file is incomplete or does not comply with regulations, within five working days from the date of receiving the file, the Department of Import-Export - Ministry of Industry and Trade will issue a notification to the trader to supplement and complete the file;

c) Within five working days from the date of receipt of the inspection results of the trader's production facility in compliance with regulations, the Department of Import-Export - Ministry of Industry and Trade will review and issue Approval Documents to the trader. If Approval Documents are not issued, the Department of Import-Export - Ministry of Industry and Trade will reply in writing and specify the reasons.

5. In cases where a trader produces or exports new goods or changes the goods they produce or export for self-certification of origin:

a) The documents include:

 - A request document for supplementing or changing the list of goods for self-certification of origin: 01 (one) original copy;

 - The approval document already issued: 01 (one) certified true copy with confirmation and stamp of true copy by the trader;

 - A report on production capacity and production facilities for each item registered for self-certification of origin (in accordance with Appendix II attached to this Circular): 01 (one) original copy;

b) The processing time and issuance of the Approval Document for additional or changed contents shall be carried out in accordance with the provisions of Clause 4 of this Article.

6. For other changes not specified in Clause 5 of this Article, such as the authorized signatory on commercial invoices declaring origin, main office address, phone number, business registration certificate, enterprise registration certificate, or investment certificate, the trader must immediately notify in writing the Department of Import-Export - Ministry of Industry and Trade.

7. In cases where the Approval Document becomes invalid, the trader shall prepare the file as prescribed in Clause 3 of this Article. If the goods, production processes, and production facilities of the trader applying for the Approval Document remain unchanged from the first application, the Department of Import-Export - Ministry of Industry and Trade may consider waiving the on-site inspection of the trader's production facilities when reissuing the Approval Document.

1. The Approval Document is valid for 01 year from the date of issuance, except in cases where it is revoked according to the provisions of Article 10 of this Circular.

2. Each Approval Document has its own unique code (hereinafter referred to as the self-certification code). The trader must record this code on commercial invoices declaring origin issued during the validity period of the Approval Document.

Chapter III COMMERCIAL INVOICES WITH ORIGIN DECLARATION CONTENTS

1. When exporting goods with origin, traders may declare the origin of the goods on the commercial invoice with the following content:

"The exporter of the product(s) covered by this document (Certified Exporter Authorization Code...) declares that, except where otherwise clearly indicated, the product(s) (HS Code/s:) satisfy the Rules of Origin to be considered as ASEAN Originating Products under ATIGA (ASEAN country of origin: ...) with origin criteria: ..." ... (Signature over Printed Name of the Authorized Signatory) Wherein:
"Certified Exporter Authorization Code" is the self-certification code.
"HS Code/s" is the 6-digit HS code of the exported goods.
"ASEAN country of origin" is the name of the country of origin.
"origin criteria" is the origin criterion.
"Signature over Printed Name of the Authorized Signatory" is the capitalized name and signature of the authorized signatory registered with the competent authority by the trader.

2. On the commercial invoice, goods must be recorded with sufficient information to determine their origin.

3. Commercial invoices with origin declaration content must be signed manually, the content stipulated in Clause 1 of this Article must be written in English and include the capitalized name of the authorized signatory registered with the Ministry of Industry and Trade.

4. The date recorded on the commercial invoice is considered the date of issuance of the commercial invoice with origin declaration content.

5. In cases where there is insufficient space on the commercial invoice with origin declaration content to declare all items, supplementary sheets may be attached recording the HS code, origin criteria, and signature along with the capitalized name of the authorized signatory.

Chapter IV REGULATIONS ON IMPORTED GOODS FOR WHICH ORIGIN IS SELF-CERTIFIED

1. Customs authorities shall consider granting preferential import duties under the ASEAN Trade in Goods Agreement for imported goods from member countries of the Memorandum of Understanding subject to the following conditions:

a) The importer submits a commercial invoice with origin declaration issued by the selected traders of the member countries of the Memorandum of Understanding;

b) The selected traders of the member countries of the Memorandum of Understanding must be included in the list announced by the Ministry of Industry and Trade to the customs authorities;

c) The goods enjoying preferential import duties must be included in the list of goods notified by the member countries of the Memorandum of Understanding to the Ministry of Industry and Trade.

2. Customs authorities shall only consider accepting commercial invoices containing origin declarations issued by the exporter for goods listed in the notification issued by the Ministry of Industry and Trade pursuant to Clause 1 of this Article.

3. Import procedures shall be carried out in accordance with the guidelines of the Ministry of Finance.

Chapter V INSPECTION AND VERIFICATION OF GOODS' ORIGIN AND HANDLING OF VIOLATIONS

The inspection and verification of goods' origin shall be carried out in accordance with Appendix III attached to this Circular.

1. Approval documents for participation in pilot self-certification of goods' origin shall be revoked in the following cases:

a) Forgery of documents or fraudulent declaration when applying for an Approval Document;

b) Forgery of files and documents for self-certification of origin;

c) Failure to fulfill the obligations of traders as stipulated in Article 11 of this Circular.

2. The Department of Import-Export - Ministry of Industry and Trade will not consider issuing an Approval Document to a trader within a period of 01 year from the date such trader's Approval Document was revoked.

3. Information on traders whose Approval Documents have been revoked shall be published on the Ministry of Industry and Trade’s website at www.moit.gov.vn.

4. In addition to revoking the Approval Document for participation in pilot self-certification of goods' origin, traders who commit violations as specified in points a, b, and c of Clause 1 of this Article shall also be subject to administrative penalties under current regulations governing origin.

Chapter VI RESPONSIBILITIES OF TRADERS AND RELATED AUTHORITIES AND ORGANIZATIONS

1. Maintain conditions as prescribed in this Circular throughout the process of self-certifying goods' origin; report to the Department of Import-Export - Ministry of Industry and Trade immediately upon any changes to the conditions stipulated in this Circular.

2. Provide complete reports and related documents and arrange for the Department of Import-Export - Ministry of Industry and Trade or authorized agencies to inspect production facilities when requested by the Ministry of Industry and Trade.

3. Retain all files, reports, and related documents to prove that the self-declared goods meet the current origin criteria and relevant documents for a minimum period of 03 years from the date of self-certification of origin.

4. Only declare origin for goods produced by the trader and for which there are necessary documents proving compliance with origin criteria at the time of issuance of the commercial invoice containing origin declaration.

5. Ensure that the legal representative of the trader or the authorized person signing the commercial invoice containing origin declaration has been trained and certified according to Clause 4 of Article 4 of this Circular.

6. Bear legal responsibility for the accuracy and authenticity of declarations related to the application for an Approval Document and the content of self-certification of origin on the commercial invoice containing origin declaration.

8. Report promptly to the Department of Import-Export - Ministry of Industry and Trade about commercial invoices containing origin declarations that have been rejected by the importing country (if any).

1. The Department of Import-Export - Ministry of Industry and Trade shall be responsible for:

a) Organizing the issuance, reissuance, amendment, and supplementation of the Approval Document;

b) Verifying the origin of exported goods at the request of the competent authority of the importing country;

c) Inspecting and organizing the implementation by the selected traders after issuing the Approval Document, including verifying the accuracy of commercial invoices containing the declaration of origin issued;

d) After issuing the Approval Document, the Department of Import-Export - Ministry of Industry and Trade shall notify the ASEAN Secretariat of the following information about the selected trader:

- Name of the trader;

- Main office of the trader;

- List of authorized officers signing on commercial invoices containing the declaration of origin and their sample signatures;

- Self-certification code, including the date of issuance and expiration date of the Approval Document;

- List of goods that the trader self-certifies the origin.

đ) Publishing the list of selected traders from member countries of the Memorandum on the Ministry of Industry and Trade's electronic portal at www.moit.gov.vn.

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

a) Organizing training and issuing certificates or certifications to trainees;

b) Adhering to general regulations on organizing training;

c) Reporting to the Department of Import-Export information about certificates or certifications immediately upon issuance.

Chapter VII IMPLEMENTATION PROVISIONS

Article 13. Effective Date

This Circular takes effect from October 5, 2015.