Quyết định 3933/QD-TCHQ

DECISION

ISSUING REGULATIONS ON APPLIED RISK MANAGEMENT IN CUSTOMS INSPECTION AND SUPERVISION OVER LUGGAGE OF PASSENGERS WHO ENTER, EXIT OR TRANSIT AT BORDER GATE OF NOI BAI INTERNATIONAL AIRPORT

DIRECTOR GENERAL OF CUSTOMS

Pursuant to the Customs Law No. 54/2014 / QH13 dated 23 June 2014;

Pursuant to Decree No. 27/2011/ND-CP dated 09 April 2011 of the Government on supply, gathering, processing and use of information on passengers before they enter Vietnam by air.

Pursuant to Decree No. 75/2013/ND-CP dated 15 July 2013 of the Government on amendment of Decree No. 27/2011/ND-CP dated 09 April 2011 of the Government on supply, gathering, processing and use of information on passengers before they enter Vietnam by air.

Pursuant to Decision No 02/2010 / QD-TTg dated 15 January, 2010 of the Prime Minister defining the functions, duties, powers and organizational structure of the General Department of Customs directly under the Ministry of Finance;

Pursuant to Circular No. 175/2013 / TT-BTC dated 29 November, 2013 of the Ministry of Finance providing for applied risk management in customs operation;

Pursuant to Decision No. 3273/QD-BTC dated 30 December 2013 of the Minister of Finance on applied risk management in customs and tax management for over imported, exported or transited goods; imported, exported or transited means of transportation;

At the request of Head of Committee of customs risk management,

DECIDES:

Article 1. Issued together with this Decision :

1. Regulations on applied risk management in customs inspection and supervision over luggage of passengers who enter, exit or transit at border gate of Noi Bai international airport.

2. Appendices:

a) Appendix 1. Outline of applied risk management procedures;

b) Appendix 2. Forms of applied risk management;

Article 2. This Decision takes effect from 01 January 2015.

Director of Customs Department of Hanoi city, Heads of units under the General Department of Customs are liable to execute this Decision./.

REGULATION

APPLIED RISK MANAGEMENT IN CUSTOMS INSPECTION AND SUPERVISION OVER LUGGAGE OF PASSENGERS WHO ENTER, EXIT OR TRANSIT AT BORDER GATE OF NOI BAI INTERNATIONAL AIRPORT
(Issued with Decision No. 3933/QD-TCHQ dated 30 December 2014 of the Director General of Customs

Part 1

GENERAL REGULATIONS

Article 1. Scope of application

This document provides for the applied risk management in customs inspection and supervision over luggage of passengers who enter, exit or transit (referred to as entering or exiting luggage) at border gate of Noi Bai international airport

Article 2. Subjects of application

The subjects to be applied in this Regulation are: Customs units and officers that collect, process information, apply technical measures and techniques of applied risk management and customs units and officers perform other professional operations related to the customs inspection and supervision over the entering or exiting luggage at border gate of Noi Bai international airport.

Article 3. Content of applied risk management

The content of applied risk management in customs inspection and supervision over the entering or exiting luggage includes:

1. Collection, processing and supply of information about entering or exiting passengers and luggage.

2. Development of major route control plan.

3. Development, management and application of risk record for entering or exiting passengers and luggage.

4. Development of risk sign List of entering or exiting passengers and luggage.

5. Analysis of information about entering or exiting passengers and luggage before arriving or leaving the airport.

6. Identification of key customs inspection and supervision over entering or exiting passengers and luggage.

Article 4. Explanation of terms

In this Decision, the following terms are construed as follows:

1. Signs of violation are factors with information value through which there are grounds to judge the occurrence of smuggling and illegal transportation of goods across border, commercial fraud and other acts of violation of customs law (referred to as violation of customs law).

2. Risk signs are factors with information value reflecting the potential of acts of violation of customs law.

3. Risk subjects mean the entering or exiting passengers and luggage and other subjects related to the entering or exiting activities with potential risks of violation of customs law.

4. Risk indicators are specific risk signs which may identify the risk subjects when combined.

5. Risk records of entering or exiting passengers and luggage (referred to as risk records of entering or exiting passengers) are the gathering of risk indicators which may identify the entering or exiting passengers and luggage with potential risks of violation of customs law.

6. Major route control plan means the customs authorities prepare plan, forces, measures and other necessary conditions carry out strict inspection and control over international flights to Border gate of Noi Bai international airport or from border gate of Noi Bai international airport to foreign countries with potential risks of violation of customs law.

7. List of risk signs is the total characteristics and manifestation of entering or exiting passengers and luggage showing the abnormality or suspicion of customs law.

8. Pre-analysis of information is the customs authorities’ collection, receipt and analysis of information about entering or exiting passengers and luggage to identify the risk subjects.

Part 2

SPECIFIC REGULATIONS

Article 5. Information for applied risk management in customs inspection and supervision over entering or exiting passengers and luggage

1. The information for applied risk management in customs inspection and supervision over entering or exiting passengers and luggage includes:

a) Advance Passenger Information (API);

b) Information about flights (flight schedule, flight number, place of departure, destination, aircraft parking positions, ...) of entering or exiting passengers.

c) Passenger name record (PNR);

d) Information about violation record of entering or exiting passengers.

dd) Violation information, violation signs and risk signs of entering or exiting passengers.

e) Information about trends, modes, tricks of transportation or concealment of exhibits smuggled or illegally transported across border by air.

g) Products of information about risk management specified in Article 7, 8, 9 and 10 of this Regulation;

h) Domestic and foreign intelligence information;

i) Other information related to entering or exiting activities.

2. The information contents specified in Clause 1 mentioned above are collected by the methods specified in Clause 2, Article 8 of Circular No. 175/2013/TT-BTC.

Article 6. Collection, processing and supply of information for applied risk management in customs inspection and supervision over entering or exiting luggage

1. At the General Department of Customs:

a) Committee of customs risk management:

a.1) Manages the system of information and data of violation record of entering or exiting passengers; shares and provides such information and data to the professional customs units at all levels;

a.2) Collects processes and provides information specified under Points dd, e, g, h, i, Clause 1, Article 5 of this Regulation to the professional customs units at all levels as per situations and requirements for risk management operation.

b) The anti-smuggling and investigation Department shall collect and process information specified under Points dd, e, h, i, Clause 1, Article 5 of this Regulation to coordinate in preventing and fighting the smuggling; provide such information for  risk the management units at General Department level in order to apply measures and techniques of risk management over the entering or exiting luggage.

2. At the Department of Customs of Hanoi city:

a) The Risk Management Division: Collects, processes and provides information specified under Points dd, e, g, h, i, Clause 1, Article 5 of this Regulation to the professional customs units at the customs Sub-Department of Border gate of Noi Bai international airport as per situations and requirements for risk management operation.

b) The customs control Team and the drug prevention, fighting and control Team and the relevant units shall collect and process information specified under Points dd, e, h, i, Clause 1, Article 5 of this Regulation to coordinate in preventing and fighting the smuggling; provide such information for the Risk Management Division in order to apply measures and techniques of risk management over the entering or exiting luggage.

3. A the customs Sub-Department of border gate of Noi Bai international airport:

a) Risk Management units and officers :

a.1) Receive and summarize information from the units specified in Clause 1 and 2 of this Article and other relevant information; review and classify the risk subjects on the routes of areas;

a.2) Receive and analyze information specified under a, b, c, Clause 1, Article 5 of this Regulation; identify key subjects (risk subjects) for customs inspection and supervision.

b) Units performing procedures for entering or exiting luggage, customs inspection and supervision, drug control, prevention and fighting units and related units at the customs Sub-Department are responsible for receiving and processing information from the units specified under Clause 1 and 2 of this Article and other relevant information to identify the risk subjects, take measures of inspection, supervision and control under regulation.

Article 7. Preparing and managing the major route control plan

1. The major route control plan is made to classify and allocate resources, take measures to inspect, supervise and control effectively the risks of violation of customs law through the key international flight routes to border gate of Noi Bai international airport or from border gate of Noi Bai international airport to foreign countries. The contents of the plan include:

a) Name of international air transport route (flight route);

b) Characteristics and reality of entry or exit activities through routes;

c) Potential risks;

d) Modes, tricks of transportation or concealment of violating exhibits; areas and fields with potential risks;

dd) Risk subjects often occur on the route;

e) Recommendations of appropriate measures of customs inspection, supervision or control with each type of subject;

g) Assignment of duties for implementing the measures of customs inspection, supervision and control;

h) Time of implementation: starting time and ending time;

i) Other professional requirements (if any);

2. Order of preparation, management and application of major route control Plan (Plan):

a) Step 1. Collection and processing information:

a.1) Collecting and analyzing information about arrival and departure air routes from Border gate of Noi Bai international airport; identifying key air routes violating the customs law;

a.2) Collection and addition of information and clarification of contents specified in Clause 1 of this Article.

b) Step 2. Plan preparation:

b.1) Making report on recommending and establishing the major route control Plan which specifies:

- Ground for plan establishment;

- Contents of Plan: specifically analyzing the contents specified in Clause 1 of this Article;

- Impacts of Plan implementation.

b.2) Making the major route control Plan under the Form No. 02/KSTTD in the Appendix issued with this Decision;

b.3) Submitting it to the leadership level specified in Clause 3 of this Article for Plan approval.

c) Step 3. Plan implementation:

c.1) The establishing unit shall promptly transfer the Plan to the assigned unit under the recommendation in the Plan for implementation.

c.2) The head of assigned unit specified in Article 11 of this Decision shall receive and implement the contents in the Plan, particularly:

c.2.1) Studies and disseminates the contents of the Plan; deploys forces, assign tasks and measures to strictly inspect, supervise and control the risks of violation of customs law on each flight on major route.

c.2.2) Monitors and inspects the implementation of measures of inspection, supervision and control over major flights;

c.2.3) report and feedback on result of implementation:

- In case of detection of smuggling, report immediately after making the violation record and send it to the Risk Management Division and the Committee of customs risk management for aggregation and analysis.

- On the 20^th date of each month, makes periodical report on the plan implementation as per the general reporting regulation on risk management of customs sector.

d) Step 4. Plan adjustment, cancellation and extension:

d.1) Plan adjustment: The plan adjustment shall be considered and recommended by the Plan establishing unit to the competent leadership specified in Clause 3 of this Article on the basis of analysis and aggregation of feedback information specified under Point C.2 of this Clause.

d.2) Plan cancellation: The key route control Plan shall be cancelled in the following cases:

- The time limit for application of Plan but no violation is detected;

- The Plan is under application but there are grounds that the risks no longer exist.

d.3) Plan extension:

The Plan extension is done in case the key route control Plan whose time limit for application has expired but the potential risks of violation of customs law still exist.

3. Authority to approve the Plan:

a) The leadership of General Department of Customs shall approve the key route control Plan which is developed and recommended by the Committee of customs risk management and the anti-smuggling and Investigation Department;

b) The leadership of Customs Department of Hanoi city shall approve the key route control Plan which is developed and recommended by the risk management Division, the customs control Team and the drug prevention, fighting and control Team.

c) The leadership of customs Sub-Department of border gate of Noi Bai international airport shall approve the key route control Plan which is developed and recommended by the units of risk management, customs control, drug prevention, fighting and control at the customs Sub-Department.

4. Assignment of responsibility:

a) The Committee of customs risk management; the anti-smuggling and Investigation Department; the risk management Division; the risk management Division, the customs control Team and the drug prevention, fighting and control Team under the customs Department of Hanoi city and the customs Sub-Department of border gate of Noi Bai international airport shall collect and process information, develop and manage the key route control Plan;

b) The customs units and officers specified in Article 11 of this Regulation shall implement the key route control Plan under their assigned tasks.

Article 8. Development, management and application of risk records of entering or exiting passengers

1. The risk records of entering or exiting passengers (Risk records) are developed to support the customs officers to identify and determine the key inspection and supervision over the entering or exiting passengers and luggage, particularly:

a) Passenger risk record;

b) Luggage risk record;

2. The entering or exiting passenger record includes the following contents:

a) Type of record:  of 01 or 02 types of record specified in Clause of this Article;

b) Type of risk: the risk record is associated with specific risk,

c) Identified signs of risk are associated with type of risk (mentioned above);

d) Mode and trick of transportation and concealment of violating exhibits;

dd)Recommendations of measures of inspection, supervision and control with required application;

e) Performing units and officers: apply the risk records to identify the risk subjects;

g) Time of implementation: starting time and ending time;

h) Other professional requirements (if any);

3. Order of preparation, management and application of risk records:

a) Step 1. Information collection and processing

a.1) Collecting, analyzing and aggregating information about cases of violation of customs law which have occurred in the country and abroad to determine whether such violation can occur on the air route at border gate of Noi Bai international airport;

a.2) Identifying signs to recognize risks (risk signs);

a.3) Collecting and adding information and clarifying the contents specified in Clause 2 of this Article.

b) Step 2. Preparation for risk records:

b.1) Making report to recommend the establishment of risk record, specifying:

- Grounds for establishment of risk records;

- Contents of risk record: analyzing the contents specified in Clause 2 of this Article;

- Impacts of application of risk records.

b.2) Preparing the risk records under the Form No. 03/HSRR in the Appendix issued with this Decision;

b.3) Requesting the competent leadership level specified in Clause 4 of this Article to approve the application of risk records.

c) Step 3. Application of risk records:

c.1) The establishing unit shall transfer the risk record promptly to the assigned unit for implementation.

c.2) The head of assigned unit specified in Article 11 of this Regulation shall receive and apply the risk records, particularly:

c.2.1) Assign customs officers in their job positions as specified in Article 11 of this Regulation to study and use the risk records to identify the risk subjects and apply the prescribed measures of inspection and supervision.

c.2.2) Monitor, inspect and evaluate the application of risk records of the customs officers specified under Point c.2.1 of this Clause.

c.2.3) Make report and feedback on result of application of risk records:

- In case of detection of smuggling, report immediately after making the violation record and send it to the Risk Management Division and the Committee of customs risk management for aggregation and adjustment of application of risk records.

- On the 20^th date of each month, make periodical report on the application of risk records as per the general reporting regulation on risk management of customs sector.

d) Step 4. Adjustment, cancellation and extension of risk records:

d.1) Adjustment of risk records: shall be considered and recommended by the establishing unit to the competent leadership specified in Clause 4 of this Article on the basis of collection and analysis of feedback specified under Point c.2.3 mentioned above.

d.2) Cancellation of risk records: the risk records shall be cancelled in case their time limit for use is over but no violation is detected or there are grounds that the risks of violation of customs law no longer exist.

d.3) Extension of risk records: to be applied in case the risk record whose time limit for application has expired but the potential risks of violation of customs law still exist by evaluation.

4. Authority to approve the risk records:

a) The leadership of the Committee of customs risk management shall approve the risk records at the level of General Department;

b) The leadership of the risk management Division of the Customs Department of Hanoi city shall approve the risk records at the level of Department;

c) The leadership of the customs Sub-Department of border gate of Noi Bai international airport shall approve the risk records at the level of Sub-Department;

5. Assignment of responsibility:

a) The Committee of customs risk management; the risk management Division under the customs Department of Hanoi city and the customs Sub-Department of Border gate of Noi Bai international airport shall collect and process information, develop and manage the risk records of entering or exiting passengers;

b) The customs units and officers specified in Article 11 of this Regulation must apply the risk records according to their assigned tasks.

Article 9. Preparing and managing the List of risk signs of entering or exiting passengers and luggage

1. The List of risk signs of entering or exiting passengers and luggage being used is the tool to help the customs officers to identify risks from the entering or exiting passengers and luggage to conduct the techniques of asking questions, psychologically affecting…or apply appropriate measures of inspection, supervision and control in order to promptly detect and handle the risks.

2. The Committee of customs risk shall develop and provide the instructions on application of List of risk signs of entering or exiting passengers and luggage on the basis of recommendations and instructions of the international customs Organization and review and aggregate the actual management of entry or exit activities.

Article 10. Analyzing and processing the result of information analysis before flights

1. The risk management unit at the customs Sub-Department of border gate of Noi Bai international airport shall receive information about the entering or exiting passengers and luggage before they enter or leave border gate in order to analyze and identify the risk subjects;

The analysis and identification of risk subjects are done by the advance comparison of information about the entering or exiting passengers and luggage with the following information and data:

a) Recorded data of the entering or exiting passengers;

b) List of entering or exiting passengers who did smuggling;

c) Key route control Plan;

d) Risk records of entering or exiting passengers;

dd) Risk signs;

e) Other related information.

2. Prepare the Form of professional information supply over the risk subjects specified under the Form No. 04/CCTTNV in the Appendix issued with this Decision and submit it to the leadership of the Sub-Department for approval and implementation.

Right after the approval, the risk management unit shall transfer such Form to the unit responsible for handling as stipulated in Article 11 of this Regulation.

3. The head of unit provided with information shall receive and implement the professional requirements at the request of the risk management unit similarly to the Point c.2, Article 8 of this Regulation. The result of implementation shall be notified to the risk management unit for adjusting the applied risk management.

Article 11. Applied risk management over the luggage of entering, exiting or transiting passengers

1. This includes the application of the following products of risk management in identification and detection of risk subjects and the customs inspection, supervision and control over the entering, exiting luggage.

a) Key route control Plan;

b) Risk records of entering, exiting passengers;

c) List of risk signs of entering or exiting passengers and luggage;

d) Form of professional information supply.

2. The units and officers performing tasks in the following positions shall implement the products of risk management specified in Clause 1 of this Article and other relevant information to identify, detect and apply the appropriate measures of inspection, supervision and control over the risk subjects:

a) In the management of portable luggage of entering or exiting passengers, including:

- Officers performing direct supervision at the units performing the procedures for entering luggage and the customs supervising units;

- Officers performing supervision through the monitoring camera system at the units performing the procedures for entering luggage and the customs supervising units and the customs controlling units;

- Officers performing the customs procedures for portable luggage of entering passengers;

- Officers performing the customs control and drug control.

b) In the management of portable luggage of the entering or exiting passengers, including:

- Officer performing direct supervision at the units performing the procedures for exiting luggage and the customs supervising units;

- Officers performing supervision through the monitoring camera system at the units performing the procedures for exiting luggage and the customs supervising units and the customs controlling units;

- Officers performing the customs procedures for portable luggage of exiting passengers;

- Officers performing the customs control and drug control.

c) In the management of portable luggage of the transiting passengers:

- Officers performing the screening of portable luggage at the unit performing the procedures for exiting luggage;

- Officers performing the screening of checked luggage of the customs supervising unit;

- Officers performing the screening of luggage of transiting passengers performing the procedures at the unit performing the procedures for entering luggage.

2. The implementation of each specific product of management of entering or exiting luggage is specified in Article 7, 8, 9 and 10 of this Regulation.

Part 3

IMPLEMENTATION

Article 12. Effect

1. implement the application of risk management uniformly and effectively concerning the contents in this Regulation.

2. The Director of the anti-smuggling and investigation Department and the related units under the General Department of Customs shall coordinate in effective implementation of application of risk management over the entering or exiting luggage under the assigned tasks specified in this Regulation and the relevant regulations.

3. Any problem or difficulty arising during the implementation should be promptly reported to the General Department of Customs (through the customs Committee of Risk Management) for timely instruction and settlement.

APPENDIX 01

OUTLINE OF RISK MANAGEMENT PROCEDURES IN CUSTOMS INSPECTION AND SUPERVISION OVER THE ENTERING OR EXITING LUGGAGE AT BORDER GATE OF NOI BAI INTERNATIONAL AIRPORT

(Issued together with Decision No. 3933/QD-TCHQ dated 30 December 2014 of the Director General of Customs)

APPENDIX 02

LIST OF FORMS IN SERVICE OF RISK MANAGEMENT IN CUSTOMS INSPECTION AND SUPERVISION OVER THE LUGGAGE OF ENTERING, EXITING OR TRANSITING PASSENGERS

(Issued together with Decision No. 3933/QD-TCHQ dated 30 December 2014 of the Director General of Customs)

1. Form No. 01/TTVP: Aggregation of violating information of entering, exiting or transiting passengers

2. Form No. 02/KSTTD: Key route control Plan

3. Form No. 03/HSRR: Risk record

4. Form No. 04/CCTTNV: Form of professional information supply

5. Form No. 05/BCDGKQ: Report on evaluation of result of applied risk management in customs inspection and supervision over the luggage of entering, exiting or transiting passengers.

AGGREGATION OF VIOLATING INFORMATION OF PASSENGERS ENTERING, EXITING OR TRANSITING BY AIR

Instruction:

- This form provides instructions on information (without limit) to be collected for aggregation, storage, analysis and evaluation of risks.

- The updating of information is done based on the actual information collected without limit by the information columns mentioned above. During the collection of information, the units may add more columns of updated information in accordance with reality.

- Column 2 – Detecting unit: Team……….Sub-Department……….

- Column 4 – Passport number: specify all Passport numbers if passengers have more than one Passport

- Column 7 – Nationality: specify all nationality if passengers have more than one nationality

- Column 8 – Route: Specify the country of exit country, transit country and destination country.

- Column 10 – Take-off/landing time: specify hour, minute, date, month, year

- Column 11 – Violating goods: specify name of goods (ex: drug, gun, alcohol, fashion clothes…)

- Column 12 – Violating tricks: describe way of concealment such as concealing in the checked luggage or portable luggage, in suitcase, bag,,,, inside body…

- Column 13 - Management areas: Violating goods subject to banned export, import, import and export with license…which managing organ for coordination in case of necessity.

- Column 14 - Way of detection: through manual check, luggage scanner, sniffer dog, key identifying information, information from other non-core units or through behavioral inspection and monitoring.

- Column 17 – Passport status: True or fake Passport

- Column 18 – Air ticket status: Time of ticker order, mode of order (via agent, internet, direct buying…), mode of payment (cash, visa…)

- Column 19 – Recorded data: information about previous violation of passenger

- Column 20 – Summary of violating case

Hanoi, date     month    year 201

KEY ROUTE CONTROL PLAN

1. Name of flight route: ................................................................................................

2. Risks:

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3. Typical mode or trick:

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4. Risk subjects:

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5. Professional measures to be applied to the flight:

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6. Implementation responsibility:

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7. Professional requirements to be done in the flight control:

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8. Required report and feedback on result of flight control:

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Hanoi, date     month    year 201

HỒ SƠ RỦI RO RISK RECORD

Instruction:

- Section 2. Type of risk: briefly specify the type of violation possibly occurring

- Section 3. Risk indicator: Indicators to recognize the risk subjects;

- Section 5. Applied measures: specify the applied measures given in the recommendation.

- Section 6. Professional requirements: professional requirements to be done upon application of risk record

Hanoi, date     month    year 201

FORM OF PROFESSIONAL INFORMATION SUPPLY

Form No. 05/BBDGKQ

REPORT ON EVALUATION OF RESULT

Application of risk management in customs inspection and supervision over luggage of the entering, exiting or transiting passengers

(Time from…………. to………….)

I. REALITY OF RISK MANAGEMENT AT THE SUB-DEPARTMENT

1. Reality of entry and exit activity

1.1. Number of entry, exit or transit flight routes

1.2. Number of entry, exit or transit flights

- Total number of entry, exit or transit flights:

- Number of exit flights:

- Number of entry flights:

- Number of transit flights:

2. Reality of implementation of risk management

2.1. Number of implemented key route control Plans

2.2. Number of applied risk records of the entering or exiting passengers

2.3. Number of provided forms of professional information supply

II. RESULT OF APPLIED RISK MANAGEMENT

1. Result of inspection and supervision based on the applied risk management.

1.1. Number of major flights inspected and supervised under the key route control Plans

1.2. Number of luggage scanned and inspected as per the risk records of the entering or exiting passengers.

1.3. Number of luggage scanned and inspected as per the Form of professional information supply

1.4. Number of luggage scanned and inspected through identification based on risk signs

2. Result of detected violation

2.1. Total cases of detected violation

2.2. Number of cases of detected violation under the key route control Plan

2.3. Number of cases of detected violation as per the risk records of the entering or exiting passengers.

2.4. Number of cases of detected violation through identification based on risk signs

3. Problem and difficulty during implementation

III. COMMENT, EVALUATION AND RECOMMENDATION

1. Comment and evaluation of reality of implementation of applied risk management

2. Recommendation