Decision No. 669/2002/QĐ-NHNN On the issuance of the Regulation on the operation of the Anti-Corruption and Crime Prevention Steering Committee in the Banking Sector

DECISION OF THE GOVERNOR OF THE STATE BANK OF VIETNAM

Regarding the issuance of the Rules on the Operation of the Anti-Corruption and Crime Prevention Steering Committee

of the Banking Sector

GOVERNOR OF THE STATE BANK OF VIETNAM

Pursuant to the Law on the State Bank of Vietnam dated December 12, 1997;

Pursuant to the Ordinance on Anti-Corruption dated March 9, 1998;

Pursuant to Resolution No. 09/1998/NQ-CP dated July 31, 1998 of the Government on strengthening crime prevention work under new circumstances;

Pursuant to Decree No. 15/CP dated March 2, 1993 of the Government stipulating the tasks, authorities, and responsibilities for state management of Ministries and ministerial-level agencies;

At the proposal of the Chairman of the Anti-Corruption and Crime Prevention Steering Committee of the Banking Sector,

DECISION:

Article 1. The Rules on the Operation of the Anti-Corruption and Crime Prevention Steering Committee of the Banking Sector are hereby issued together with this Decision.

Article 2. THIS DECISION SHALL TAKE EFFECT 15 DAYS FROM THE DATE OF SIGNATURE.

Article 3. The Heads of the Office, Department of Organization and Training, Inspectorate of the State Bank of Vietnam, Heads of relevant units under the State Bank of Vietnam, Chairmen of the Boards of Directors, General Directors of State Commercial Banks, Vietnam Gold Jewelry Corporation, and members of the Anti-Corruption and Crime Prevention Steering Committee of the Banking Sector shall be responsible for implementing this decision.

REGULATIONS

Operation of the Anti-Corruption and Crime Prevention Steering Committee of the Banking Sector

(Issued together with Decision No. 669/2002/QĐ-NHNN dated June 27, 2002 of the Governor of the State Bank of Vietnam)

PART I

GENERAL PROVISIONS

Article 1. The Anti-Corruption and Crime Prevention Steering Committee of the Banking Sector was established pursuant to Decision No. 140/QĐ-NHNN dated February 27, 2002 of the Governor of the State Bank of Vietnam (referred to as the Steering Committee).

The Steering Committee is responsible for advising the Governor of the State Bank of Vietnam on the development of programs and plans, directing the organization of implementation, urging, inspecting, and supervising the execution of policies and measures against corruption and crime prevention in the banking sector as decided by the Party and the State.

The specific composition, tasks, and authorities of the Steering Committee are stipulated in Chapter II of these Rules.

Article 2. Sub-Steering Committees for anti-corruption and crime prevention shall be established at provincial branches of the State Bank, state credit organizations, and the Vietnam Gold Jewelry Corporation, headed by the heads of these organizations. Other members include the Inspector (for State Bank branches) and the Auditor (for other units), representatives from the Party Committee, Trade Union, Human Resources, and People's Inspectorate.

The Sub-Steering Committees are responsible for developing their operational rules, implementing the programs and plans of the Steering Committee on anti-corruption and crime prevention within their respective organizations, and regularly reporting to the Steering Committee on the results of such implementation.

PART II

SPECIFIC PROVISIONS

Article 3. The Steering Committee has the following duties and powers:

1. Direct the development of programs, plans, and measures to implement the Party and State’s documents on anti-corruption and crime prevention in the banking sector.

2. Direct and guide state banks, credit organizations, and the Vietnam Gold Jewelry Corporation to implement the programs, plans, and measures specified in Clause 1 of this Article.

3. Direct the monitoring of progress, consolidation of situations; organize inspections and supervision; evaluate the effectiveness of anti-corruption and crime prevention efforts of state banks, credit organizations, and the Vietnam Gold Jewelry Corporation; and report periodically to the Governor of the State Bank of Vietnam on the situation and results of anti-corruption and crime prevention activities in the banking sector.

4. Receive information and consolidate situations, cases of negative practices, corruption, and violations of laws discovered through audits, inspections, complaints, reports, and media coverage, and transferred by law enforcement agencies; report and propose solutions to the Governor of the State Bank of Vietnam; direct the handling of serious cases of negative practices, corruption, and violations of laws involving multiple entities in the banking sector, and cases assigned by the Prime Minister.

5. Propose and report to the Governor of the State Bank of Vietnam, and make recommendations to the Government on measures to enhance the effectiveness of anti-corruption and crime prevention efforts related to the banking sector.

Article 4. The Steering Committee serves as the focal point for coordinating actions and international cooperation in anti-corruption and crime prevention related to the banking sector; directs the reception and introduction of projects with international organizations, governmental and non-governmental organizations both domestically and internationally according to Party and State documents on anti-corruption and crime prevention related to the banking sector.

Article 5. Members of the Steering Committee include the Chairman, Deputy Chairmen, and members. The duties and authorities of the Steering Committee members are as follows:

1. The Chairman has the following duties and authorities:

1.1. The Chairman represents and is responsible before the Governor of the State Bank of Vietnam for directing and managing the implementation of plans to execute Party and State documents on anti-corruption and crime prevention throughout the banking sector; monitors and consolidates the implementation of programs and plans; urges and inspects state banks, credit organizations, and the Vietnam Gold Jewelry Corporation to implement the programs and plans of the Steering Committee; and is responsible before the Governor of the State Bank of Vietnam for the results of the Steering Committee's operations.

1.2. The Chairman has the authority:

a. To propose the Governor of the State Bank of Vietnam to issue a decision to temporarily suspend; or request competent authorities to temporarily suspend the work of bank officials, employees who have committed violations as stipulated in Clause 4, Article 3 of these Rules if there is evidence that they may continue to engage in corruption or obstruct inspection, verification.

b. To examine and direct the handling of individuals engaged in corruption within the Governor's authority; apply necessary measures to recover assets that have been embezzled; transfer case files or immediately notify the Investigation Agency to consider and handle cases with signs of criminal activity as stipulated in Clause 4, Article 3 of these Rules.

c. Request the heads of units under the State Bank, the Directors of State Bank Branches in provinces and cities, the Chairmen of the Boards of Management, the General Directors of State Commercial Banks, and the General Director of the Gold, Silver, and Precious Stones Corporation to conduct inspections, examinations, verifications, conclusions, and handling of cases of violations of laws, corruption, and embezzlement within their respective areas of responsibility.

d. Exercise other powers as stipulated in Article 3 of this Regulation.

2. The Deputy Heads of the Steering Committee shall have the following duties and powers:

2.1. Assist the Head of the Steering Committee in implementing and organizing the execution of programs and plans of the Steering Committee to implement Party and State documents on anti-corruption and crime prevention work in the banking sector.

2.2. The permanent Deputy Head of the Steering Committee, who is the Inspector General of the State Bank, shall have the following duties and powers:

a. Carry out the duties and powers specified in point 2.1, Clause 2, Article 2 of this Regulation; be responsible for directing and managing the State Bank Inspectorate in performing its role as the Permanent Office of the Steering Committee as prescribed in Article 6 of this Regulation;

b. Perform the duties and powers of the Steering Committee pursuant to the authorization of the Head of the Steering Committee;

c. In case the Head of the Steering Committee is absent, the permanent Deputy Head of the Steering Committee has the authority to convene regular meetings of the Steering Committee and handle the matters of the Steering Committee. Matters not authorized by the Head of the Steering Committee or exceeding his authority shall be reported to the Governor of the State Bank for guidance.

2.3. The Deputy Head of the Steering Committee, who is the Director of the Supervision Department, shall have the following duties and powers:

a. Carry out the duties and powers specified in point 2.1, sub-clause b, point 2.2, Clause 2, Article 2 of this Regulation; carry out the duties specified in sub-clause c, point 2.2, Clause 2, Article 2 of this Regulation in case the Head of the Steering Committee and the permanent Deputy Head of the Steering Committee are absent.

b. Be responsible for monitoring, directing, and guiding the implementation of anti-corruption and crime prevention programs, plans, and measures at Departments, Bureaus, and units under the State Bank.

3. Members of the Steering Committee shall have the following duties and powers:

3.1. Direct the organization to implement programs, plans, and measures for anti-corruption and crime prevention work according to the functions of their own unit and banking system; build proposals and undertake other tasks assigned by the Head of the Steering Committee to follow up and manage.

3.2. Specific duties and powers of members of the Steering Committee are as follows:

a. The member of the Steering Committee who is the Director of the Cadre Organization and Training Department shall direct the monitoring and summarizing of the situation regarding the handling of cadres throughout the banking sector for the Governor of the State Bank to report as required by the National Assembly and the Government; propose the handling of cadres in cases recorded in Clause 4, Article 3 of this Regulation; be responsible for monitoring the implementation of Articles 13 and 14 of the Anti-Corruption Ordinance.

b. The member of the Steering Committee who is the Director of the Legal Affairs Department shall direct the review and dissemination of legal documents; respond to law enforcement agencies and relevant departments regarding cases recorded in Clause 4, Article 3 of this Regulation that require criminal prosecution.

c. The member of the Steering Committee who is the Permanent Secretary of the Central Bank Party Committee shall be responsible for coordinating with the Central Bank Party Committee in anti-corruption and crime prevention work.

d. The member of the Steering Committee who is the Vice Chairman of the Vietnam Bank Workers' Union shall be responsible for coordinating and directing all levels of the Workers' Union in the banking sector to effectively perform anti-corruption and crime prevention work.

đ. Members of the Steering Committee who are the General Directors of State Commercial Banks and the Gold, Silver, and Precious Stones Corporation shall be responsible for directing anti-corruption and crime prevention work in their respective banking systems. The General Director of the Vietnam Agricultural and Rural Development Bank shall be responsible for monitoring anti-corruption and crime prevention work in the Poverty Service Bank and the Mekong Delta State Bank.

Article 6. The State Bank Inspectorate performs the function of the Permanent Office of the Steering Committee and has the following duties and powers:

1. Study and propose quarterly, semi-annual, and annual work programs of the Steering Committee; assist the Steering Committee in piloting programs in key areas.

2. Monitor the progress of program implementation by State Bank units, credit organizations, and the Gold, Silver, and Precious Stones Corporation; organize inspections, compile situations, evaluate the results of plans and projects on anti-corruption and crime prevention work to report to the Head of the Steering Committee.

3. Receive reports and information from units on the results of anti-corruption and crime prevention work in the entire banking sector, compile and report to the Head of the Steering Committee.

4. Advise the Steering Committee on handling issues related to Ministries and sectors during the process of directing and organizing the implementation of Party and State documents on anti-corruption and crime prevention work.

5. Prepare content, programs, materials, and coordinate with the Office to serve Steering Committee meetings.

6. Have the right to request State Bank units, credit organizations, and the Gold, Silver, and Precious Stones Corporation to submit periodic reports or special reports as required by the Head of the Steering Committee; report situations and cases as stipulated in Clause 4, Article 3 of this Regulation for the Permanent Office to compile and report to the Head of the Steering Committee.

CHAPTER III

IMPLEMENTING PROVISIONS

Article 7. Reporting System:

1. Types of reports include quarterly, semi-annual, and annual periodic reports and special reports.

2. State Bank units, credit organizations, and the Gold, Silver, and Precious Stones Corporation shall submit periodic reports to the Head of the Steering Committee (through the Permanent Office) at the following times:

Quarterly Reports I and III: before the 15th day of the last month of each quarter;

Semi-annual Report: before June 10;

Annual Report: before November 30.

3. The Steering Committee shall be responsible for assisting the Governor of the State Bank of Vietnam in implementing the reporting system to the Prime Minister pursuant to Article 34 of the Government Decree No. 64/1998/NĐ-CP dated August 17, 1998 detailing and guiding the implementation of the Anti-Corruption Ordinance and Decision No. 17/1999/QĐ-TTg of the Prime Minister dated February 10, 1999 on the issuance of the Operational Regulations of the Steering Committee for the National Program on Crime Prevention.

Article 8. In case a member of the Steering Committee is on a long-term business trip or study (three months or more) or there are changes in personnel, such member must notify the Permanent Office of the Steering Committee, so that the permanent office can advise the Chairman of the Steering Committee on directing and coordinating activities according to the programs and plans of the Steering Committee.

Article 9. The Steering Committee shall convene meetings regularly every three months to review the implementation of programs and plans, and may hold extraordinary meetings at the request of the Chairman of the Steering Committee.

Article 10. Any amendment or supplementation to this regulation shall be decided by the Governor of the State Bank of Vietnam./.