Circular No. 42/2017/TT-BCA detailing certain provisions of Decree No. 96/2016/NĐ-CP dated July 1, 2016 on conditions for national security and public order for certain business sectors and occupations subject to conditional business registration.

CIRCULAR

Detailed regulations on certain provisions of Decree No. 96/2016/NĐ-CPdated July 1, 2016 regarding conditions for security and public order for certain business sectors and occupations subject to conditionswith investment and business activities

Pursuant to Decree No. 96/2016/NĐ-CP dated July 1, 2016 regarding conditions for security and public order for certain business sectors and occupations subject to conditions with investment and business activities;

Pursuant to Decree No. 106/2014/NĐ-CP dated November 17, 2014, stipulating the functions, tasks, powers, and organizational structure of the Ministry of Public Security;

At the proposal of the Director of the General Police Department;

The Minister of Public Security issues this Circular detailing certain provisions of Decree No. 96/2016/NĐ-CP dated July 1, 2016 regarding conditions for security and public order for certain business sectors and occupations subject to conditions with investment and business activities.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular details certain provisions of Decree No. 96/2016/NĐ-CP dated July 1, 2016 regarding conditions for security and public order for certain business sectors and occupations subject to conditions with investment and business activities (hereinafter referred to as Decree No. 96/2016/NĐ-CP) concerning: Submission of application files for issuance of Certificate of Compliance with Conditions for Security and Public Order; Revocation of Certificate of Compliance with Conditions for Security and Public Order; Security and Public Order Assurance Plans; Post-issuance inspection; Information and Reporting Systems; Inspection of Business Operations; Uniforms for Security Service Personnel; Forms serving management of business sectors and occupations subject to conditions for security and public order; Responsibilities of Public Security Units and Localities.

Article 2. Forms serving the management of business sectors and occupations subject to conditions for security and public order

1. Issued together with this Circular are forms serving management of business sectors and occupations subject to conditions for security and public order as prescribed in Decree No. 96/2016/NĐ-CP (commonly designated as DK), specifically as follows:

a) Forms for use by public security agencies, including:

- Receipt for submission of application files for issuance of Certificate of Compliance with Conditions for Security and Public Order (Form DK1a);

- Receipt for submission of application files for issuance of Certificate of Compliance with Conditions for Security and Public Order through the electronic portal (Form DK1b);

- Guidance Form for Completing Application Files for Issuance of Certificate of Compliance with Conditions for Security and Public Order (Form DK2);

- Notification of Non-compliance with Conditions for Issuance of Certificate of Compliance with Conditions for Security and Public Order (Form DK3);

- Verification Form of Background of Individuals Responsible for Security and Public Order who are Vietnamese Nationals within the Country (Form DK4a);

- Verification Form of Background of Individuals Responsible for Security and Public Order who are Foreign Nationals or Vietnamese Nationals Residing Abroad Holding Foreign Passports (Form DK4b);

- Inspection Report of Business Operations Subject to Conditions for Security and Public Order (Form DK5a);

- Post-issuance Inspection Report of Business Operations Subject to Conditions for Security and Public Order (Form DK5b);

- Decision on Revocation of Certificate of Compliance with Conditions for Security and Public Order (Form DK6);

- Decision on Establishment of Examination Board for Security Services (Form DK7);

- Report on Management Situation and Results of Business Operations Subject to Conditions for Security and Public Order (Form DK8);

- Record of Transfer and Acceptance of Certificate of Compliance with Conditions for Security and Public Order (Form DK9);

- Register of Issuance of Certificate of Compliance with Conditions for Security and Public Order (Form DK10).

b) Forms for use by business establishments, including:

- List of Personnel Working in Business Establishments Subject to Conditions for Security and Public Order (Form DK11);

- List of Personnel Registered for Examination and Issuance of Security Services Professional Certificate (Form DK12);

- Report on Implementation of Regulations on Security and Public Order in Business Establishments (Form DK13);

- Register of Production of Stamps (Form DK14);

- Register of Sale of Small Caliber Military Firearms, Auxiliary Weapons, Paintball Guns, and Fireworks (Form DK15);

- Register of Sale of Industrial Explosives, High Nitrate Ammonium (98.5% and above) (Form DK16);

- Register of Sale of Business Activities Using Industrial Explosives; Blasting Services (Form DK17);

- Register of Sale of Gas (Form DK18);

- Register of Sale of Pawnbroking Services (Form DK19);

- Register of Sale of Entertainment Services; Karaoke; Massage Services (Form DK20);

- Register of Sale of Electronic Game Machines with Prizes for Foreigners; Casino Operations (Form DK21);

- Register of Sale of Betting Services (Form DK22);

- Register of Sale of Interference Devices; Speed Detection Equipment; Breathalyzer; Mobile Phone Monitoring Equipment; Priority Signal Equipment (Form DK23);

- Register of Sale of Debt Collection Services (Form DK24);

- Register of Sale of Plastic Surgery Services (Form DK25);

- Register of Sale of Accommodation Services (Form DK26);

- Register of Sale of Security Services (Form DK27);

- Register of Training Security Service Personnel (Form DK28);

- Register of Sale of Military Uniforms, Badges, Emblems, Rank Insignia, Serial Numbers of the People's Army and Public Security Force (Form DK29).

2. Specifications of Forms

The forms prescribed in Clause 1 of this Article shall be printed in black and white on A4 paper (except Form DK8 which is printed on A3 paper).

3. Requirements for Recording Forms

a) Fill in all columns and items accurately; handwriting must be clear, fully reflecting all information in each form;

b) Ink color for filling out forms and information within forms shall be blue, dark purple, or black, and only one type of ink shall be used for a complete content of a form.

Public Security Units and Localities and business establishments that have applied information technology in management shall use the forms directly on computers but must ensure all required information contents of the forms issued under this Circular.

4. Printing, Managing Forms and Funding to Ensure Implementation

a) The Ministry of Public Security will uniformly manage the forms issued together with this Circular;

b) Public Security Units and Localities, and business establishments will print the forms themselves for use;

c) Managing Forms:

- Public Security Units and Localities will manage the forms used by public security agencies according to the file system of the Police Department;

- Business establishments will be responsible for managing the forms used at their establishments.

d) The printing costs of the forms specified in point a, Clause 1 of this Article will be funded from the regular budget of the Ministry of Public Security allocated to Public Security Units and Localities. Annually, Public Security Units and Localities will be responsible for preparing the budget for printing these forms and submitting it to the Financial Bureau for consolidation and reporting to the leadership of the Ministry of Public Security.

Chapter II
SPECIFIC PROVISIONS

Article 3. Submission of application dossier for issuance of Certificate of Compliance with Security and Public Order Conditions

For branches and business establishments located outside the main business establishment's location as stipulated in point d, Clause 1, Article 23 of Decree No. 96/2016/ND-CP under the management authority of the police agency specified in Clauses 2 and 3, Article 24 of Decree No. 96/2016/ND-CP, submit the dossier to the police agency authorized to manage the main business establishment or submit to the police agency authorized at the location where the branch or subordinate business establishment operates to be responsible for issuing the Certificate of Compliance with Security and Public Order Conditions and directly managing it.

Article 4. Revocation of Certificate of Compliance with Security and Public Order Conditions

The revocation of the Certificate of Compliance with Security and Public Order Conditions for cases prescribed in Article 18 of Decree No. 96/2016/ND-CP shall be carried out by the police agency that issued the Certificate of Compliance with Security and Public Order Conditions to the business establishment.

In case the Certificate of Compliance with Security and Public Order Conditions was issued to a business establishment for conducting multiple industries or trades or multiple stages of investment within a regulated industry or trade but the business establishment only commits violations in one or some industries, trades, or stages of investment to the extent that the Certificate of Compliance with Security and Public Order Conditions must be revoked, then the Certificate of Compliance with Security and Public Order Conditions will only be revoked for the industry, trade, or stage of investment where the violation occurred.

Article 5. Plan for Ensuring Security and Public Order

1. Business establishments have the responsibility to develop a plan for ensuring security and public order for their own operations in accordance with Article 8 of Decree No. 96/2016/ND-CP.

2. If the plan for ensuring security and public order developed by the business establishment does not meet the contents prescribed in Clause 2, Article 8 of Decree No. 96/2016/ND-CP, the police agency authorized to directly manage the business establishment has the responsibility to guide its completion.

3. Business establishments have the responsibility to ensure necessary conditions to organize the implementation of the plan for ensuring security and public order.

Article 6. Implementation of Post-Inspection System

Within sixty days from the date of issuance, reissuance, or replacement of the Certificate of Compliance with Security and Public Order Conditions for business establishments, the police agency specified in Article 24 of Decree No. 96/2016/ND-CP shall be responsible for implementing the post-inspection system for such business establishments according to the contents prescribed in Clause 4, Article 46 of Decree No. 96/2016/ND-CP, as follows:

1. Notify in writing to the business establishment specifying the post-inspection content and the time for conducting the post-inspection work.

2. The post-inspection content includes:

a) Inspection of conditions regarding persons responsible for security and public order of the business establishment (only applicable in cases of suspicion) through verification of background information using Form DK4a or Form DK4b issued together with this Circular for Vietnamese nationals or foreigners and overseas Vietnamese holding foreign passports;

b) Direct inspection of security and public order conditions at the business establishment.

3. The post-inspection must be recorded in a record using Form DK5b issued together with this Circular. In case it is found that the business establishment fails to meet any of the security and public order conditions, it shall be handled as follows:

a) Notify in writing requiring the business establishment to temporarily suspend business activities in the relevant industry, trade, or investment stage in accordance with Clause 2, Article 200 of the Enterprise Law 2014. At the same time, require the business establishment to rectify the violation of security and public order conditions within forty days in accordance with Point b, Clause 1, Article 18 of Decree No. 96/2016/ND-CP;

b) In case the business establishment reports in writing that it has completed the rectification of the security and public order conditions violation, the authorized police agency shall be responsible for inspecting, and if the conditions are met, specify this in the record using Form DK5b issued together with this Circular so that the business establishment can continue its business activities in the relevant industry, trade, or investment stage which had been suspended previously;

c) In case the business establishment fails to rectify the security and public order conditions violation within the time limit specified in Point a above, the authorized police agency shall issue a decision to revoke indefinitely the Certificate of Compliance with Security and Public Order Conditions for the relevant industry, trade, or investment stage which the business establishment had previously suspended operations in accordance with Point b, Clause 1, Article 18 of Decree No. 96/2016/ND-CP.

Article 7. Information and Reporting System

1. For Public Security Agencies

Quarterly (completed in the first week of the following quarter) or on an ad hoc basis, the county-level police force shall report to the Provincial Public Order Administrative Management Police Department; the Provincial Public Order Administrative Management Police Department shall report to the National Public Order Administrative Management Police Bureau on the situation and results of managing business establishments operating in industries and trades subject to security and public order conditions using Form DK8 issued together with this Circular.

2. For Business Establishments

a) Business establishments have the responsibility to report quarterly (completed in the last week of the quarter) on the situation and results of implementing security and public order regulations of the business establishment using Form DK13 issued together with this Circular to the directly managing police agency;

b) Business establishments have the responsibility to report promptly on incidents or information related to security and public order at the business establishment to the nearest police agency and the directly managing police agency.

Article 8. Inspection of Business Premises

1. Regular Inspection

The authorized police agency specified in Article 24 of Decree No. 96/2016/ND-CP shall conduct regular inspections of business establishments no more than once a year and must combine inspections with other related security and public order contents (if any), specifically as follows:

a) The head of the authorized police agency specified in Article 24 of Decree No. 96/2016/ND-CP decides to establish an inspection team or group (hereinafter referred to as the inspection team).

b) Develop an inspection plan

The Department guiding the management of industries and trades subject to conditions regarding public security and seals under the Administrative Management Police Bureau for Social Order shall prepare plans for regular inspections of business establishments within their jurisdiction, to be submitted for approval by the competent authority as stipulated in Article 24 of Decree No. 96/2016/NĐ-CP.

c) The content of the plan for regular inspections includes:

- Reasons and bases for conducting inspections;

- Objectives and requirements of inspections;

- Inspection targets;

- Inspection contents;

- Composition of the inspection team;

- Time for conducting inspections;

d) Conducting the inspection

- Prior to carrying out inspections, the competent police agency must issue a written notice at least five working days in advance to the business establishment regarding the time, location, content, and composition of the inspection team;

- The head of the inspection team is responsible for assigning tasks to members of the inspection team according to the plan;

- Members of the inspection team must study and thoroughly understand the objectives, requirements, and content of the inspection plan; they must proactively perform their assigned tasks as directed by the head of the inspection team;

- The inspection content must be carried out in accordance with the provisions of Clause 2, Article 50 of Decree No. 96/2016/NĐ-CP and the approved inspection plan;

- An inspection record must be prepared according to Model DK5a issued together with this Circular, signed by the person preparing the record, a representative of the inspection team, and the person responsible for public security and order or a representative of the business establishment. At least two copies of the inspection record must be made, with one copy given to the business establishment.

In cases where violations of laws governing activities in industries and trades subject to conditions regarding public security and order are discovered, in addition to preparing an inspection record, an administrative violation record must also be prepared for handling according to the law. If signs of violations related to other fields are found and are not within the authority to handle, the head of the inspection team must promptly report to the direct supervisor for guidance; they may not independently resolve matters outside the scope of their assigned functions and responsibilities.

the inspection team must promptly report to the direct management leader to seek guidance; they shall not arbitrarily resolve matters outside the scope of their assigned functions and duties.

d) Conclusion of inspections

- The head of the inspection team is responsible for reporting the results of the inspection to the leader who approved the plan;

- Leaders are responsible for assigning staff to monitor and urge the correction of deficiencies or the handling of violations by the business establishment (if any).

2. Surprise Inspection

The heads of the agencies specified in Clause 3, Article 50 of Decree No. 96/2016/NĐ-CP decide on surprise inspections of business establishments as follows:

a) When forming an inspection team, the head of the inspection team is responsible for proposing measures and contents for the implementation of the inspection work and reporting to the leadership for approval and decision to form the inspection team;

b) In cases where due to urgent reasons, an inspection team is not formed and the leader only assigns staff to conduct the inspection, the staff member assigned the inspection task shall be responsible for the inspection;

c) For inspection teams or inspectors from other specialized forces not directly managing business establishments, the team leader must present their People's Public Security Identity Card to the representative of the business establishment;

d) The inspection content, preparation of inspection records, and conclusion of inspections must be carried out in accordance with the provisions of point d and point đ of Clause 1 of this Article.

Article 9. Trousers, shirts, shoes, hats, shoulder straps, badges on uniforms, badges attached to hats, badges of security service personnel

1. Trousers, shirts

a) Spring and summer trousers, shirts

- Black trousers with European style; front has two pleats; back upper part has one right pocket;

- Light blue or white short or long-sleeved shirt, button-down collar, front has two outside pockets with a raised edge between them; shirt placket is raised; both shirt sides have a raised seam running down the middle, cuffs have a raised seam, back has a horizontal shoulder strap; the left sleeve has the company logo attached 5cm to 6cm from the shoulder seam; the left chest has the company logo attached 2cm to 3cm from the pocket opening.

(The company logo registered with the competent police authority)

b) Autumn and winter trousers, shirts

- Trousers like spring and summer trousers;

- Long-sleeved shirt with vest style matching the trouser color, front has outside pockets, left chest has the company logo registered with the competent police authority attached 2cm to 3cm from the pocket opening, left sleeve has the company logo attached 5cm to 6cm from the shoulder seam, buttons are black plastic; inside is a long-sleeved shirt like the summer uniform, standing collar, with a black tie.

2. Shoes, hats

a) Black leather shoes;

b) Soft hat with brim, same color as trousers;

3. Shoulder straps, badges, nameplates

a) Shoulder straps

Made of stiff fabric, same color as trousers, with a horizontal strip of yellow velvet, both vertical edges of the shoulder strap have red trim; the small end of the shoulder strap has a silver metal button (with a raised five-pointed star and two crossed wheat ears embracing the star). The size of the shoulder strap and the horizontal stripe on it is specified as follows:

- Size of shoulder strap: Length is 125mm; width: large end is 50mm, narrow end is 40mm;

- Horizontal stripe: Fabric material, light yellow; width of each stripe is 7mm, stripes are spaced 2.5mm apart. Security personnel have one stripe, team-level supervisors have two stripes, department-level supervisors have three stripes, Deputy Chairmen of the Board of Directors, Deputy General Managers have four stripes, Chairmen of the Board of Directors, General Managers have five stripes.

b) Badges

- Badge attached to the hat: Circular metal, diameter 36mm, with a raised five-pointed yellow star in the center on a red background, surrounded by a dark blue background with paired pine branches encircling the star. Below the star is a half gear wheel and the word "BẢO VỆ" (SECURITY);

- Badge attached to the shirt lapel (for company leadership): Rhombus shape; dimensions 5.5cm x 3.5cm; made of fabric with the same color as the trousers specified in this Article.

c) Nameplate of security personnel: Dimensions 8.5cm x 5.5cm, light blue background. Top line displays the company name (uppercase red letters), below is the security personnel's name (uppercase black letters) with a photo of the person receiving the nameplate; bottom line is the nameplate number.

4. Security service personnel working at targets requiring safety and labor hygiene may use additional protective clothing and equipment according to laws on safety and labor hygiene.

5. Samples of trousers, shirts, shoes, hats, shoulder straps, nameplates, badges attached to the shirt lapel, badges attached to the hat, nameplates of security service personnel are issued together with this Circular.

Article 10. Responsibilities of the General Police Department

1. Assist the Minister of Public Security in performing state management tasks related to security and public order for industries and trades specified in Decree No. 96/2016/ND-CP; direct, guide, urge, and inspect local police units in implementing legal documents on managing conditional industries and trades concerning security and public order.

2. Guide the recording, use, and management of forms issued pursuant to Decree No. 96/2016/ND-CP and those issued under this Circular.

3. Direct the Administrative Police Department to perform tasks related to the management of conditional industries and trades concerning security and public order, specifically as follows:

a) Advise and propose competent authorities to draft, issue, amend, and supplement legal documents on managing conditional industries and trades concerning security and public order;

b) Organize the dissemination and popularization of laws related to conditional industries and trades concerning security and public order to business establishments;

c) Issue approval documents for non-Military and non-Public Security business establishments to engage in the sale of military uniforms, military equipment, military firearms, specialized military and Public Security equipment, spare parts, components, accessories, special materials, and specialized technologies for their manufacture, as stipulated in Clause 3, Article 13 of Decree No. 96/2016/ND-CP, within the scope of its management when such business establishments meet the prescribed conditions;

d) Perform management tasks for business establishments; regularly monitor and collect information related to national security and social order and safety at business establishments; handle violations within its authority;

đ) Issue written notifications to business establishments that fail to meet the prescribed conditions to suspend operations according to Clause 2, Article 200 of the Enterprise Law 2014;

e) Notify in writing about the issuance of certificates of compliance with security and public order conditions to business establishments and send them to the Administrative Police Department where the business establishments operate for coordinated management;

g) Conduct post-inspection of business establishments within its management scope; inspect and audit according to regulations; resolve complaints and denunciations; prevent, detect, combat, and handle violations concerning security and public order within its authority;

h) Train and instruct business establishments within its management scope on ensuring security and public order;

i) Coordinate with functional units under the Ministry of Public Security to research and apply information technology to serve the management of business establishments in conditional industries and trades concerning security and public order;

k) Summarize and conclude the implementation of legal documents related to the management of conditional industries and trades concerning security and public order; implement reporting systems according to regulations;

l) Perform other tasks related to the management of business establishments in conditional industries and trades concerning security and public order as directed by the leadership of the Ministry of Public Security and the General Police Department.

Article 11. Responsibilities of Local Public Security Organs

1. Advise the People's Committee at the same level to direct relevant agencies to coordinate with the Public Security agency in managing conditional industries and trades concerning security and public order.

2. Direct operational units to enhance the effectiveness of management to detect and handle, according to the law, business establishments operating without registration or permission from competent state management authorities.

3. Issue approval documents for non-Military and non-Public Security business establishments within its management scope to produce, purchase, and sell: Military uniforms, military insignia, emblems, badges, and serial numbers of the Vietnam People's Army and the Vietnam People's Public Security; traffic speed checking devices for motor vehicles; breath alcohol testing devices; GSM mobile phone monitoring devices and other mobile phone monitoring devices when they meet the security and public order conditions as proposed by the Administrative Police Department.

4. The Administrative Police Department and the Public Security Department at the district level shall be responsible for:

a) Performing tasks as specified in Points b, d, đ, g, h, and k of Clause 3, Article 10 of this Circular, consistent with their assigned functions and responsibilities related to the management of business establishments in conditional industries and trades concerning security and public order;

b) Notify in writing about the issuance of certificates of compliance with security and public order conditions to the Public Security agency where the business establishment operates for coordinated management, specifically: The Administrative Police Department sends to the Public Security Department at the district level; the Public Security Department at the district level sends to the Public Security Department at the commune level.

5. The Public Security Department at the commune level shall be responsible for:

a) Receiving notifications from business establishments as prescribed in Decree No. 96/2016/ND-CP, including: Notifications of business activities; notifications of protection targets of security service business establishments; notifications of debt collection service business establishments; guest stay notifications of accommodation service business establishments;

b) Advise the People's Committee at the same level to confirm the background check of individuals responsible for security and public order of business establishments with permanent residence registration in the managed area;

c) Handle cases of violation related to the field of security and public order at business establishments within its authority.

Chapter III
IMPLEMENTATION

Article 12. Effective Date

This Circular takes effect from December 6, 2017, and replaces Circulars No. 45/2009/TT-BCA(C11) dated July 14, 2009, guiding the implementation of certain provisions of Decree No. 52/2008/ND-CP dated April 22, 2008, on the management of security service businesses, and Circular No. 33/2010/TT-BCA dated October 5, 2010, specifying conditions regarding security and public order for certain conditional businesses.

Article 13. Responsibility for Implementation

1. The Director of the General Police Department is responsible for guiding, inspecting, and urging the implementation of this Circular.

2. The Directors of the General Departments under the Ministry of Public Security, the Directors of Public Security, Fire Prevention and Fighting in provinces and centrally governed cities, and related agencies, organizations, and individuals shall be responsible for implementing this Circular.

During the implementation of this Circular, if there are difficulties or obstacles, the Public Security units, localities, organizations, and individuals concerned shall report to the Ministry of Public Security (through the General Police Department) for timely guidance./.