Circular No. 33/2009/TT-BCT Implementing Rules on Rules of Origin under the Agreement Establishing the ASEAN-Australia-New Zealand Free Trade Area

CIRCULAR

Implementing the Rules of Origin under the Agreement establishing the ASEAN-Australia-New Zealand Free Trade Area

Based on the Agreement establishing the ASEAN-Australia-New Zealand Free Trade Area signed on February 27, 2009, at the 14th Summit Conference in Thailand between the member countries of the Association of Southeast Asian Nations and Australia and New Zealand;

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Pursuant to Decree No. 189/2007/ND-CP dated December 27, 2007, issued by the Government, detailing the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

The Ministry of Industry and Trade stipulates the implementation of the Rules of Origin under the Agreement establishing the ASEAN-Australia-New Zealand Free Trade Area as follows:

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;

Article 1. Goods Entitled to Issue Certificate of Origin Form AANZ

PART I

GENERAL PROVISIONS

Goods entitled to issue Certificate of Origin Form AANZ (hereinafter referred to as C/O) are goods with origin as prescribed in Appendix 1 of this Circular and are issued C/O by the Organization issuing C/O Form AANZ.

Clause 1. The Agreement establishing the ASEAN-Australia-New Zealand Free Trade Area is the Agreement signed on February 27, 2009, at the 14th Summit Conference in Thailand between the member countries of the Association of Southeast Asian Nations and Australia and New Zealand (hereinafter referred to as the AANZFTA Agreement).

Article 2. Interpretation of Terms

Clause 2. The Organization issuing C/O Form AANZ of Vietnam (hereinafter referred to as the Organization issuing C/O) includes organizations as prescribed in Appendix 10.

Clause 3. The person requesting issuance of C/O Form AANZ (hereinafter referred to as the person requesting issuance of C/O) includes the exporter, manufacturer, or authorized representative of the exporter or manufacturer with a valid power of attorney.

Clause 4. The eCOSys System

is the electronic system for managing and issuing certificates of origin in Vietnam available at: http://www.ecosys.gov.vn. Article 3. Responsibilities of the Person Requesting Issuance of C/O

The person requesting issuance of C/O shall be responsible for:

Point 1. Registering business records with the Organization issuing C/O in accordance with Article 5;

Point 2. Submitting application files for issuance of C/O to the Organization issuing C/O;

Point 3. Proving that exported goods comply with the origin regulations and facilitating the Organization issuing C/O in verifying the origin of goods;

Point 4. Bearing legal responsibility for the accuracy and truthfulness of declarations related to the request for issuance of C/O, including in cases where the exporter has delegated authority;

Point 5. Promptly reporting to the Organization issuing C/O at the location where the business person requested issuance about C/Os rejected by the importing country due to refusal to recognize C/Os issued by Vietnamese issuing Organizations (if any);

Point 6. Facilitating the Organization issuing C/O to conduct on-site inspections of production facilities or places of cultivation, harvesting, and processing of exported goods;

Point 7. Proving the authenticity of the origin of exported goods when requested by the Ministry of Industry and Trade, the Organization issuing C/O, domestic customs authorities, and customs authorities of the importing country.

Article 4. Responsibilities of the Organization Issuing C/O

The Organization issuing C/O shall be responsible for:

Point 1. Guiding the person requesting issuance of C/O if requested;

Point 2. Receiving and examining business records and application files for issuance of C/O;

Point 3. Verifying the actual origin of goods when necessary;

Point 4. Issuing C/O when goods meet the origin regulations of this Circular and the person requesting issuance of C/O complies with the provisions of Article 3;

Point 5. Sending samples of signatures of authorized signatories of C/O and the seal of the Organization issuing C/O to the Ministry of Industry and Trade (Department of Import-Export) in accordance with the Ministry's regulations to register with the competent authority of the importing country;

Point 6. Resolving complaints related to the issuance of C/O within its jurisdiction;

Point 7. Re-verifying the origin of exported goods upon request of the competent authority of the importing country;

Point 8. Exchanging relevant information on the issuance of C/O with other issuing Organizations;

Point 9. Fulfilling reporting requirements, fully participating in training courses on origin and other requirements as stipulated by the Ministry of Industry and Trade.

PROCEDURES FOR ISSUANCE OF C/O

Chapter II

PROCEDURE FOR ISSUING THE C/O

Article 5. Registration of Business Files

1. The applicant for a Certificate of Origin (C/O) shall only be considered for issuance of a C/O at the place where the business file has been registered after completing the business file registration procedures. The business file includes:

a) Registration of the authorized representative's signature on the Application for Issuance of C/O and the business seal (Annex 9);

b) A copy of the business registration certificate with a stamp certifying it is a true copy;

c) A copy of the tax code registration certificate with a stamp certifying it is a true copy;

d) A list of production facilities (if any) of the business (Annex 8).

2. Any changes to the business file must be reported to the issuing organization prior to requesting a C/O. The business file must still be updated every two (02) years.

3. In cases where the applicant wishes to obtain a C/O from a different issuing organization due to force majeure or valid reasons, they must submit a document clearly stating the reasons for not requesting a C/O from the previously registered issuing organization and must register their business file with the new issuing organization.

Article 6. Application Documents for Issuance of C/O

1. The application documents for issuance of C/O include:

a) An Application for Issuance of C/O (Annex 7) fully and properly filled out as guided in Annex 6;

b) A completed C/O form (Annex 5);

c) A completed customs declaration form. In cases where exported goods do not require a customs declaration form according to the law, there is no need to submit a customs declaration form;

d) Commercial invoice;

đ) Bill of lading or equivalent transport document if the business does not have a bill of lading. In cases where a back-to-back C/O is issued for the entire consignment or part of a consignment from a free trade zone into the domestic market, this document may not be required if the business actually does not have it;

If there is no completed customs declaration form and bill of lading (or equivalent transport document), the applicant for a C/O may be allowed to provide these documents later but not more than fifteen (15) working days from the date of issuance of the C/O.

2. If deemed necessary, the issuing organization may request the applicant for a C/O to provide additional documents related to exported goods such as: import customs declaration forms for raw materials and components; export permit (if applicable); purchase and sale contracts; value-added tax invoices for purchasing raw materials and components domestically; samples of raw materials and components or samples of exported goods; a detailed description of the production process with the Harmonized System (HS) codes of input materials and the HS codes of the goods (for the criterion of changing product codes or specific processing criteria); a calculation of regional value content (for the regional value content criterion); and other documents to prove the origin of exported goods.

3. Where the documents specified in points c, d, đ of Clause 1 and those specified in Clause 2 are copies with signatures and stamps confirming they are true copies of the legal representative or authorized person of the business, the original may be requested by the issuing organization for verification if deemed necessary.

4. For businesses participating in eCOSys, the authorized representative signing the Application for Issuance of C/O will enter data through the eCOSys system, electronically sign, and automatically transmit to the issuing organization. After reviewing the file on the eCOSys system, if the issuance of the C/O is approved, the issuing organization will notify the business through the eCOSys system to submit the complete paper application for verification before issuing the C/O.

Article 7. Acceptance of Applications for Issuance of C/O

When the applicant submits the application for issuance of C/O, the receiving officer shall be responsible for accepting the application, checking the application, and notifying the applicant in writing or by other means about one of the following actions:

1. Issuing the C/O in accordance with Article 8;

2. Requesting additional documents in accordance with Article 6;

3. Refusing to issue the C/O if any of the following situations are discovered:

a) The applicant has not completed the registration of the business record in accordance with Article 5;

b) The application for issuance of C/O is inaccurate or incomplete as prescribed in Article 6;

c) The applicant has not submitted the debt documents as required by Article 6;

d) There are contradictions in the content of the application;

đ) Submitting the application for issuance of C/O at a place other than where the business record was registered;

e) The C/O form is filled out in handwriting, erased, blurred, or printed in multiple ink colors;

g) There is legal evidence proving that the goods do not have the origin as stipulated in this Circular or the applicant has engaged in fraudulent or dishonest behavior in proving the origin of the goods.

Article 8. Issuance of C/O

1. The C/O must be issued within no more than three (03) working days from the date the applicant submits a complete and valid application, except in cases provided for in Clause 2 of this Article.

2. The issuing organization may conduct on-site inspections at the production location if it finds that the inspection based solely on the application is insufficient grounds for issuing the C/O or if there are signs of violations of laws concerning previously issued C/Os. The inspector of the issuing organization will prepare a report on the results of the inspection and request the applicant and/or exporter to sign the report. If the applicant and/or exporter refuse to sign, the inspector must clearly record the reasons for refusal and sign the report to confirm.

The processing time for issuing the C/O in such cases shall not exceed five (05) working days from the date the applicant submits a complete application.

3. During the process of reviewing the issuance of C/O, if it is found that the goods do not meet the origin requirements or the application is missing or invalid, the issuing organization will notify the applicant according to Clause 2 or Clause 3 of Article 7.

4. The verification period shall not hinder the export shipment or payment of the exporter, except in cases due to the fault of the exporter.

Article 9. Revocation of Issued C/O

The issuing organization will revoke the issued C/O in the following cases:

1. The exporter or the applicant for issuance of C/O falsifies documents.

2. The issued C/O does not comply with the origin standards.

Chapter III

ORGANIZATION MANAGING THE ISSUANCE OF C/O

Article 10. Authority to Sign C/O

Only those who have completed the procedure of registering their signature samples with the Ministry of Industry and Trade and the Ministry of Industry and Trade has sent these signature samples to the ASEAN Secretariat for registration with the competent authority of the importing country shall be authorized to sign and issue C/O.

Article 11. Lead Agency

The Import-Export Department under the Ministry of Industry and Trade shall perform the following tasks:

1. Guide and inspect the issuance of C/O;

2. Carry out procedures to register the signature samples of authorized signatories and the stamp samples of Vietnamese issuing organizations with the ASEAN Secretariat and transfer the signature samples of authorized signatories and stamp samples of issuing organizations of member countries under the AANZFTA Agreement to the Ministry of Finance (General Customs Department);

3. Assist the Minister of Industry and Trade in resolving issues related to the implementation of C/O.

Article 12. Reporting System

1. The issuing organization must update the issuance data through the eCOSys system daily with all necessary information as required by the application for issuance of C/O.

2. If the issuing organization violates the reporting regulations set forth in Clause 1 up to the third time, it will be suspended from issuing C/O and publicly announced on the Ministry of Industry and Trade's website. After at least six months, the Ministry of Industry and Trade will consider re-authorizing the suspended issuing organization based on its proposal and explanation.

Article 13. Implementation Provisions

This Circular takes effect from January 1, 2010./.