Thông tư 21/2021/TT-BNNPTNT quy định về phân loại doanh nghiệp chế biến và xuất khẩu gỗ do Bộ trưởng Bộ Nông nghiệp và Phát triển nông thôn ban hành

CIRCULAR

PRESCRIBING CLASSIFICATION OF TIMBER PROCESSING AND EXPORTING ENTERPRISES

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

Pursuant to the Law on Forestry dated November 15, 2017;

Pursuant to the Government’s Decree No. 102/2020/ND-CP dated September 01, 2020 prescribing Vietnam Timber Legality Assurance System (VNTLAS);

At the request of the General Director of the Vietnam Administration of Forestry;

The Minister of Agriculture and Rural Development promulgates a Circular prescribing classification of timber processing and exporting enterprises.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

This Circular provides specific provisions on classification of timber processing and exporting enterprises (hereinafter referred to as “enterprise classification”).

Article 2. Regulated entities

This Circular applies to enterprises that concurrently carryout processing and exporting of timber (hereinafter referred to as "enterprises"); organizations and individuals that have their activities related to the contents specified in Article 1 of this Circular.

Article 3. Rules for enterprise classification

1. The enterprise classification must ensure openness, transparency, proper jurisdiction, and compliance with procedures laid down in the Government’s Decree No. 102/2020/ND-CP dated September 01, 2020 prescribing Vietnam Timber Legality Assurance System (VNTLAS) (hereinafter referred to as “Decree No. 102/2020/ND-CP”) and this Circular.

2. Enterprises shall provide documents proving their satisfaction of enterprise classification criteria and assume responsibility for the provided documents. Receiving authorities shall examine and verify if any information provided by enterprises is suspect, and take actions against violations (if any) in accordance with regulations of law.

Chapter II

ENTERPRISE CLASSIFICATION APPLICATION AND PROCEDURES

Article 4. Application for enterprise classification

Enterprises shall submit applications for enterprise classification to receiving authorities adopting one of the following methods:

1. Online submission: Enterprises shall access and follow application instructions given on the enterprise classification system (on www.kiemlam.org.vn).

2. Direct submission:

a) The enterprise that does not apply the enterprise classification system shall submit an application for enterprise classification either in person or by public postal service or by post to the receiving authority.

Such an application includes: The application form for enterprise classification which is made using Form No. 01 in Appendix I enclosed herewith, Form No. 08 in Appendix I enclosed with the Decree No. 102/2020/ND-CP , and documents proving the enterprise’s satisfaction of enterprise classification criteria specified in Appendix II enclosed herewith.

b) The receiving authority shall input information about the received application to the enterprise classification system, notify the enterprise of application receipt using Form No. 02 in Appendix I enclosed herewith, and retain the application in accordance with regulations of law.

3. When the enterprise classification system is not available, the enterprise classification shall be directly carried out as follows:

a) Enterprises (also referred to as "applicants") shall submit applications directly to receiving authorities as prescribed in Point a Clause 2 of this Article;

b) Receiving authorities receive applications; notify applicants of such application receipt using Form 02 in Appendix I enclosed herewith; carry out enterprise classification according to the provisions of Article 13 of the Decree No. 102/2020/ND-CP and Article 5, Clause 1 Article 6 of this Circular; immediately send classification results by email to the Forest Protection Department, and retain received applications in accordance with regulations of law;

c) The Forest Protection Department shall publish the list of Category I enterprise according to the provisions of Clause 2 Article 6 of this Circular.

Article 5. Verification of information

1. Cases where information verification is required:

a) It is suspected that the documents provided by an enterprise are altered, erased or forged; contents provided are contradictory or inconsistent with each other;

b) It is notified as prescribed by law that the enterprise has provided untruthful information about one of the enterprise classification criteria.

2. Sources for information verification:

a) Regarding the compliance with regulations of law on enterprise establishment and the required operating period of at least 01 year from the date of establishment: information obtained from the National business registration portal (www.dangkykinhdoanh.gov.vn); information provided by relevant authorities, organizations and individuals;

b) Regarding the compliance with regulations of law on environment: information obtained from natural resources and environment authorities; environmental police authorities; information obtained by local forest protection authorities during their performance of local management tasks; information provided by relevant authorities, organizations and individuals;

c) Regarding the compliance with regulations of law on fire fighting and prevention: information obtained from fire fighting and prevention police authorities; information obtained by local forest protection authorities during their performance of local management tasks; information provided by relevant authorities, organizations and individuals;

d) Regarding the compliance with regulations of law on taxation and labour management: information obtained from tax authorities, labour, authorities in charge of war invalids and social affairs, social insurance authorities, Confederation of Labor; information obtained by local forest protection authorities during their performance of local management tasks; information provided by relevant authorities, organizations and individuals;

dd) Regarding the compliance with regulations of law on timber legality assurance; compliance with regulations on reporting as prescribed in Clause 4 Article 27 of the Decree No. 102/2020/ND-CP and retention of original documents as prescribed by law; commission of none of violations for which the violating entity is liable to penalties as prescribed in Clause 4 Article 13 of the Decree No. 102/2020/ND-CP: information obtained by local forest protection authorities during their performance of local management tasks; information obtained from the database on violations in forestry sector (hereinafter referred to as “violations database”); information provided by relevant organizations and individuals.

3. Verification procedures:

a) The receiving authority shall send a notification through the enterprise classification system of time and contents of verification to the subject enterprise. In case the enterprise classification system is not available, a notification made using Form No. 03 in Appendix I enclosed herewith shall be sent to the enterprise;

b) The receiving authority shall directly carry out or cooperate with relevant authorities (where necessary) to carry out information verification and make a verification record using Form No. 04 in Appendix I enclosed herewith;

c) In case the verification is carried out outside the province where the applicant for enterprise classification is situated: The receiving authority shall send the information to be verified to the receiving authority in charge of the locality where the verification is made to carry out the verification according to Points a, b of this Clause.  The receiving authority shall carry out information verification and inform verification result to the receiving authority in charge of province where the applicant for enterprise classification is situated.

Article 6. Publishing enterprise classification results

1. The receiving authority shall carry out enterprise classification and notify enterprise classification results on the enterprise classification system. In case the enterprise classification system is not available, a notice of enterprise classification results made using Form No. 05 in Appendix I enclosed herewith shall be sent to the enterprise.

2. Within 01 working day from the date on which an enterprise is classified as Category I enterprise as prescribed in Clause 1 of this Article, the Forest Protection Department shall publish enterprise classification results on www.kiemlam.org.vn.

Article 7. Change in Category and reclassification

1. Change in Category:

a) Cases where Category of an enterprise is changed: a Category I enterprise or its legal representative is facing criminal prosecution as prescribed in Article 232 of the 2015 Criminal Code (as amended in 2017) and does not yet have their criminal record expunged or has been issued with a decision on administrative penalty imposition issued by a competent authority as prescribed in Clause 4 Article 13 of the Decree No. 102/2020/ND-CP and has undergone the period after which they are regarded as having never been administratively handled;

b) The receiving authority shall verify the information specified in Clause 1 of this Article so as to remove that enterprise from the list of Category I enterprises published on the enterprise classification system. In case the enterprise classification system is not available, the receiving authority shall send a notice using Form No. 05 in Appendix I enclosed herewith to the enterprise and immediately send the result of change in Category by email to the Forest Protection Department.

Within 01 working day from the receipt of information about change in Category from the receiving authority through the enterprise classification system, the Forest Protection Department shall publish such change in Category of enterprise on www.kiemlam.org.vn.

2. Reclassification:

a) Enterprises shall apply for the second, third and subsequent classification according to the provisions of Article 4 of this Circular;

b) Receiving authorities shall carry out the second, third and subsequent classification in the same manner as the first classification. The Forest Protection Department shall publish enterprise reclassification results according to the provisions of Clause 2 Article 6 of this Circular.

Chapter III

ENTERPRISE CLASSIFICATION SYSTEM AND VIOLATIONS DATABASE

Article 8. Enterprise classification system

1. The enterprise classification system is built in accordance with regulations of law and used for receiving and storing information on enterprise classification in accordance with the Decree No. 102/2020/ND-CP and this Circular.

2. The enterprise classification system may be changed to comply with regulations in force, and serve accurate and timely enterprise classification, and is operated on a modern information technology platform which ensures authorization of users and high confidentiality.

3. The enterprise classification system is built and operated online, and has a user-friendly interface that meets real demands and may be easily used for providing information, receiving and processing applications. The continuous and uninterrupted operation of the system must be ensured.

4. The enterprise classification system must be capable of sharing its information with the FLEGT licensing system, customs risk management system and other relevant information systems.

5. Establishment and operation of the enterprise classification system must comply with regulations of laws on cybersecurity, information technology, information confidentiality and security, and other relevant laws.

Article 9. Violations database

1. The violations database is built to gather and store data on handled administrative violations and criminal prosecution cases in forestry sector in accordance with regulations of law; is updated, maintained, operated and used electronically.

2. The violations database shall be connected and have its information shared with the enterprise classification system to serve the enterprise classification.

3. The violations database is operated to serve performance of state management tasks in forestry sector and other relevant state management sectors.

Article 10. Management of enterprise classification system and violations database

1. The Forest Protection Department shall manage and operate the enterprise classification system and violations database; assume responsibility to invest in integrated equipment; arrange qualified human resources to maintain continuous operation of such system and database.

2. Receiving authorities shall assume responsibility to invest in integrated equipment; arrange qualified human resources to maintain continuous operation of the enterprise classification system and violations database.

Chapter IV

IMPLEMENTATION

Article 11. Responsibility for implementation

1. The Vietnam Administration of Forestry shall:

a) Organize the implementation of this Circular nationwide; provide guidelines for management and use of the enterprise classification system and violations database;

b) Cooperate with relevant authorities and provincial People's Committees to inspect and expedite the implementation of this Circular;

c) Instruct the Forest Protection Department to build, manage and operate the enterprise classification system and violations database by December 31, 2022; inspect and supervise the enterprise classification and compliance with laws on timber production and processing, and handling of violations (if any); consolidate and submit consolidated reports on enterprise classification nationwide.

2. Provincial Departments of Agriculture and Rural Development shall:

a) Organize the implementation of this Circular in their provinces; formulate regulations on cooperation with relevant authorities to carry out enterprise classification, and cooperate to verify information according to regulations herein;

b) Instruct receiving authorities to carry out enterprise classification; inspect and supervise enterprises’ compliance with laws within their competence and take actions against violations (if any); retain applications and ensure security of information on the enterprise classification system; consolidate and submit consolidated reports on enterprise classification in their responsible provinces in accordance with this Circular.

3. Enterprises shall fully comply with regulations on enterprise classification laid down in this Circular.

Article 12. Effect

This Circular comes into force from May 01, 2022.

Any difficulties that arise during the implementation of this Circular should be promptly reported to the Ministry of Agriculture and Rural Development for consideration./.

APPENDIX I

(Enclosed with the Circular No. ………/2021/TT-BNNPTNT dated December………., 2021 of the Minister of Agriculture and Rural Development)

Form No. 01. Application for enterprise classification

SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
-----------------------

..........[place & date]

APPLICATION FOR ENTERPRISE CLASSIFICATION

To⁽¹⁾: ...................................................................

A. APPLICATION FOR ENTERPRISE CLASSIFICATION

I am (specify full name in capital letters): …………………………………….....................

Position: ......................................................................................................................

I am acting on behalf of the enterprise ⁽²⁾…………………..to apply for classification of timber processing and exporting enterprise with details as follows:

1. General information

Enterprise’s name: ................................................................................................

Enterprise ID number⁽³⁾: ..................................... ……...…...................

Address⁽⁴⁾: ……………………………………………………………..

Telephone number: …...…………….……………………………..…….......................

Email: ……………………..... Website (if any): ..........................................

2. Operating scope (mark X in appropriate square)

2.1. Enterprise does not establish branches/timber processing factories:         □

2.2. Enterprise has branches/timber processing factories:                     □

List of enterprise’s branches/timber processing factories:

B. COMMITMENT TO SATISFY ENTERPRISE CLASSIFICATION CRITERIA

The enterprise commits to satisfy all of the following criteria:

1. Within 12 months up to the date of application for enterprise classification, the enterprise has complied with regulations on reporting specified in Clause 4 Article 27 of the Decree No. 102/2020/ND-CP and retained original documents as prescribed by law: □

2. Within 12 months up to the date of application for enterprise classification, the enterprise has never committed violations for which the violating entity is liable to penalties as prescribed in Clause 4 Article 13 of the Decree No. 102/2020/ND-CP: □

3. Within 12 months up to the date of application for enterprise classification, the enterprise is not included in the published list of business entities posing high tax risk: □

The enterprise shall assume legal responsibility for the accuracy of information provided herein.

The enterprise⁽²⁾…………hereby requests⁽¹⁾……………to consider carrying out enterprise classification./.

Notes:

(1) Name of the receiving authority. (2) Enterprise’s name.

(3) Enterprise’s registration number is specified.

(4) House number, alley, lane, street/group/hamlet/village; commune/ward/commune-level town; district/district-level town/provincial city; province/central-affiliated city where the enterprise is headquartered are specified.

(5) Enterprise’s representative or authorized person as prescribed by law.

Form No. 02: Notice of receipt of application for enterprise classification

NOTICE

  Of receipt of application for enterprise classification

To⁽³⁾: ........................................................

Pursuant to the Circular No...…/2021/TT-BNNPTNT dated……/…./2021 of the Minister of Agriculture and Rural Development prescribing classification of timber processing and exporting enterprises.

On……………………, ⁽¹⁾………………..has received the application for enterprise classification from ⁽³⁾……………………  .

After considering the application, ⁽¹⁾……………….. hereby informs the receipt of the application for enterprise classification from ⁽³⁾………………… as follows:

1. The application for enterprise classification is satisfactory

⁽³⁾…………………is requested to access the enterprise classification system on www.kiemlam.org.vn to get enterprise classification results.

- Account’s name (4): ………………………………...

2. The application for enterprise classification is unsatisfactory 

- The application lacks the following documents:

............................................................................................................................................

............................................................................................................................................

............................................................................................................................................

⁽³⁾…………………is requested to provide additional documents in accordance with the Circular No...…/2021/TT-BNNPTNT dated………. of the Minister of Agriculture and Rural Development prescribing classification of timber processing and exporting enterprises./.

Notes: The enterprise classification system shall automatically give notice in case of online application.

(1) Name of the receiving authority.

(2) Name of place where the receiving authority is headquartered.

(3) Enterprise’s name.

(4) Enterprise shall access according to instructions given on the enterprise classification system.

Form No. 03: Notice of verification of information included in application for enterprise classification

NOTICE

Of verification of information included in application for enterprise classification

To⁽³⁾:   ........................................................

Pursuant to the Circular No...…/2021/TT-BNNPTNT dated……/…./2021 of the Minister of Agriculture and Rural Development prescribing classification of timber processing and exporting enterprises;

.............. (1) ................   hereby notifies the following information included in the application for enterprise classification submitted by⁽³⁾  ……………….. needs to be verified:

1. Contents of verification

a) ………………………………………………………………………………………..

b) .........................................................................................................................

c) .........................................................................................................................

2. Verification period: from………………[date] to…………………….[date]

3. Verification method: ................................................................................................

4. Verification location: ..................................................................................................

5. Request for certification of participation in verification:

- Period for participation certification before.................................[date]:

- Name of in-charge official⁽⁴⁾: …………………………. Tel.:  .........…………………………., Email: ..................

⁽³⁾ ................... is requested to appoint a representative/certify participation so that the verification can be carried out in accordance with regulations./.

Notes: The enterprise classification system shall automatically give notice in case of online application.

(1) Name of the receiving authority.

(2) Name of place where the receiving authority is headquartered.  

(3) Enterprise’s name.

(4) Name of the application receiving official.

Form No. 04: Record of verification of information included in application for enterprise classification

SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom – Happiness
-----------

WORKING RECORD

Of verification of information included in application for enterprise classification

Pursuant to the Circular No...…/2021/TT-BNNPTNT dated……/…./2021 of the Minister of Agriculture and Rural Development prescribing classification of timber processing and exporting enterprises;

Today, on…………………………..[date] At:………………………………………………………………………………………

We, consisting of:

I. REPRESENTATIVE OF THE RECEIVING AUTHORITY⁽¹⁾:…………………………

1. Mr. (Mrs.):   ............................................   Position: ...............................................

2. Mr. (Mrs.):   ............................................   Position: ................................................

II. REPRESENTATIVE OF RELEVANT AUTHORITY⁽²⁾

1. Mr. (Mrs.):   ................   Representative of: ...................................................................

2. Mr. (Mrs.):   ................   Representative of: ...................................................................

III. ENTERPRISE’S REPRESENTATIVE 

1. Mr. (Mrs.):   ................   Representative of the enterprise⁽³⁾: ..........................................

2. Mr. (Mrs.): ……………………………………………………………………...

- Information included in the application for enterprise classification submitted by ⁽³⁾…...........has been verified with the results below:

1. Information verified: ..............................................................................................

Information is accurate: □       Information is inaccurate: □

Reason: .........................................................................................................................

2. Information verified: ...............................................................................................

Information is accurate: □  Information is inaccurate: □

Reason: .........................................................................................................................

3. Information verified: ...............................................................................................

Information is accurate: □  Information is inaccurate: □

Reason: .........................................................................................................................

4. Information verified: ...............................................................................................

Information is accurate: □       Information is inaccurate: □

Reason: ...........................................................................................................................

- Enclosed documents:

.............................................................................................................................................

.............................................................................................................................................

.............................................................................................................................................

The verification of information included in the application for enterprise classification has been carried out in accordance with regulations without causing adverse influence on normal operation of⁽³⁾…………………………..

The verification ends at ………hour(s)……..on (date) ………………………  , This record is made in…………. copies, and has been unanimously approved by the participants in the verification whose signatures appear hereunder./.

Notes:

(1) Name of the receiving authority.

(2) Depending on the criteria to be verified, the receiving authority invites representatives of relevant authorities to the verification and enters their names in this record.

(3) Enterprise’s name.

Form No. 05: Notice of enterprise classification results/change in Category of enterprise

NOTICE

  Of enterprise classification results/change in Category of enterprise

To⁽³⁾: ...................................................................

Pursuant to the Circular No...…/2021/TT-BNNPTNT dated……/…./2021 of the Minister of Agriculture and Rural Development prescribing classification of timber processing and exporting enterprises;

⁽¹⁾ …………….hereby notifies classification results of the enterprise ⁽³⁾ ................ as follows:

1. The enterprise………….. is classified in Category I from…………………………[date]  

The list of Category I enterprises is published on www.kiemlam.org.vn

2. The enterprise………….. is not eligible to be classified in Category I/is classified in Category II from…………………….[date]; Reason⁽⁴⁾:

1.......................................................................................................................................

2.........................................................................................................................................

3. ......................................................................................................................................

4........................................................................................................................................

⁽¹⁾ ……………. gives this notice to your enterprise for reference./.

Notes: The enterprise classification system shall automatically give notice in case of online application.

(1) Name of the receiving authority.

(2) Name of place where the receiving authority is headquartered.  

(3) Enterprise’s name.

(4) Reason for not classifying the enterprise in Category I/transferring the enterprise to Category II, and unsatisfactory criteria are specified.

Form No. 06: Statement of documentary evidences for compliance with regulations on legal origin of timber

STATEMENT

  Of documentary evidences for compliance with regulations on legal origin of timber

To⁽³⁾: ........................................................

Enterprise’s name⁽¹⁾:  …………..………...………....……………………………………

Enterprise ID number:  …………………………..………...……..……………………….

Address⁽⁴⁾: ……………………………………………………………..

Contact telephone:  ……...…………….…………………………………………..……...

Email: ……………………………………………………………..

Pursuant to the Circular No...…/2021/TT-BNNPTNT dated……/…./2021 of the Minister of Agriculture and Rural Development prescribing classification of timber processing and exporting enterprises.

The followings are documentary evidences for the enterprise’s compliance with regulations on legal origin of timber consolidated in the last 12 months up to the date of application for enterprise classification:

Table 1. Timber harvesting documents for timber processing and exporting enterprise that directly harvests timber or uses material timber harvested from their planted forest:

Table 2. Confiscated timber documents for timber processing and exporting enterprise that uses confiscated timber as material timber:

Table 3. Imported timber documents for timber processing and exporting enterprise that uses imported timber as material timber:

Table 4. Timber documents during trading, transport and processing:

The enterprise ⁽¹⁾  ..........................undertakes that the documents stated herein are the same as those retained by the enterprise, and shall assume legal responsibility for all statements herein./.

Notes: The enterprise consolidates documents concerning their business activities in Tables 1 to 4. The table shall be crossed out if not used.

(1) Enterprise’s name.

(2) Name of the place where the enterprise is headquartered.

(3) Name of the receiving authority.

(4) Address in the business registration certificate is specified.

(5) The imported timber declaration prescribed in the Decree No. 102/2020/ND-CP or the timber declaration made according to regulations on management and tracing of origin of forest products adopted by the Minister of Agriculture and Rural Development. Number, date and name of the unit making the declaration are specified.

(6) Type and issue date of the document concerning the timber origin as prescribed in the Decree No. 102/2020/ND-CP or regulations on management and tracing of origin of forest products adopted by the Minister of Agriculture and Rural Development.

(7) Enterprise’s representative or authorized person as prescribed by law.

APPENDIX II

DOCUMENTS PROVING SATISFACTION OF ENTERPRISE CLASSIFICATION CRITERIA
(Enclosed with the Circular No. ………/2021/TT-BNNPTNT dated December………., 2021 of the Minister of Agriculture and Rural Development)

Notes:

1. Form No. 01 and statement of timber doucments made using Form No. 06 in Appendix I enclosed herewith are originals; other documents may be duplicates or photocopies. In case of online application, the applicant attaches scanned documents to its application on the enterprise classification system for used as the basis for proving their satisfaction of criteria.

2. Logbook of receipt and delivery of forest products must bear the enterprise’s seal in case of direct submission of application. In case of online application as prescribed in Clause 1 Article 4 of this Circular, the enterprise’s data shall be consolidated, signed and sealed electronically.