Nghị định 130/2020/ND-CP

DECREE

ON CONTROLLING ASSET AND INCOME OF PERSONS HOLDING TITLES AND POWERS IN AGENCIES, ORGANIZATIONS AND ENTITIES

Pursuant to the Law on Government Organization dated June 19, 2015;

Pursuant to Law on amendments to Law on Government Organization and Law on Local Governmental Organization dated November 22, 2019;

Pursuant to the Law on Anti-Corruption dated November 20, 2018;

At request of the Inspector-General;

The Government promulgates Decree on controlling asset and income of persons holding titles and powers in agencies, organizations and entities.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

1. This Decree elaborates Law on Anti-Corruption regarding controlling assets and income of persons holding titles and powers in agencies, organizations and entities, including:

a) Point b Clause 2 Article 31 on procedures for requesting and following up request for providing information on assets and income of individuals obliged to make declarations serving confirmation of assets and income;

b) Article 35 on forms of asset, income declarations and declaration of assets, income;

c) Point b Clause 3 Article 36 on persons operating in personnel organization, management of public finance or public assets or persons directly meeting and dealing with issues of agencies, organizations entities that subject to annual asset and income declaration;

d) Clauses 1, 2, and 5 Article 39 on time, format and organization of publicizing declarations in agencies, organizations and individuals; publicizing declarations of assets and income of persons expected to hold managerial positions in agencies, organizations and entities and persons potentially elected to hold managerial positions in state enterprises;

dd) Point d Clause 1 Article 41 on criteria for selecting persons obliged to declare assets and income verified according to annual plans and development, approval of annual plans for verifying assets and income of asset and income controlling bodies;

e) Article 54 on protection, preservation, extraction and provision of national database information on controlling assets and income;

g) Points g and h Clause 1 Article 94 on disciplining persons violating trustworthiness obligations in declaring assets and income, and explaining origins of additional assets and income; persons violating regulations on deadline for declaring assets and income or other regulations on controlling assets and income.

2. Implementation measures for Law on Anti-corruption regarding controlling assets and income shall conform to officer management decentralization of Communist Party of Vietnam under Regulations on cooperation among asset and income controlling bodies according to Article 30 of Law on Anti-corruption.

Article 2. Regulated entities

1. Asset, income controlling bodies.

2. Persons obliged to declare assets and income (hereinafter referred to as “persons obliged to make declarations”).

3. Relevant agencies, organizations, entities and individuals in controlling assets and income.

Article 3. Term interpretation

In this Decree, terms below are construed as follows:

1. “asset, income control” refers to operations of asset, income controlling bodies conducted according to regulations and law to clarify assets, income, fluctuation in terms of assets, income, origin of additional assets, income of persons obliged to make declaration to prevent corruption, serve officer operation, promptly detect corruption, prevent dispersion of assets of corruption and recall assets of corruption.

2. “declaration of assets, income” refers to clear, adequate and accurate depiction of assets, income, fluctuation of assets, income to be declared, origin of additional assets, income using the form attached to this Decree.

3. “publicizing declarations of assets, income” refers to publicizing declarations of assets, income (hereinafter referred to as “declarations”) according to Law on Anti-corruption and Articles 11, 12, and 13 of this Decree.

4. “explanation for origin of additional assets, income” refers to explanation and clarification of persons obliged to make declarations regarding formation of additional assets, income compared to the previous declaration.

5. “verification of assets, income” refers to clarification of declaration and consideration, assessment and conclusion of asset, income controlling bodies according to procedures regulated under Law on Anti-corruption and this Decree regarding credibility, adequacy and coherence of declarations and credibility in explaining origin of additional assets, income.

Article 4. Principles of controlling assets, income

1. Asset, income control must ensure transparency, objectivity and fairness; be performed within competence, on the right subjects with the right procedures as per the law; not violate property rights of persons obliged to make declarations.

2. All violations of agencies, organizations and individuals in controlling assets, income must be stringently and promptly dealt with as per the law.

Ban the use of information and data for wrong purposes in controlling assets, income.

3. Implementation of asset, income control measures and penalties against untruthful declarations and explanation must rely on written declarations, explanation and verification conclusion implemented according to Law on Anti-corruption in 2018 and this Decree.

Chapter II

PROCEDURES, REQUEST AND IMPLEMENTATION OF REQUEST FOR INFORMATION ON ASSETS, INCOME

Article 5. Rights to request, responsibilities and implementation of request for information

1. Persons having the rights to request information on assets, income (hereinafter referred to as “requesting party”) to serve monitoring assets, income, developing plans for verification and verifying assets, income shall include:

a) Heads and vices of asset, income controlling bodies;

b) Heads of asset, income controlling teams.

2. Agencies organizations and individuals requested for information (hereinafter referred to as “requested party”) are responsible for fully, truthfully and promptly providing information at request of requesting party and responsible for provided information.

Article 6. Request of asset, income controlling bodies for information

1. Request for information according to Clause 3 Article 31 of Law on Anti-corruption shall be implemented in writing.

2. Written request shall consist of:

a) Purpose and basis for information request;

b) Information to be provided;

c) Deadline for information provision;

d) Written guidelines for provision of information, data messages;

dd) Other requirements (if any).

3. Request for additional information shall conform to Clause 1 and Clause 2 of this Article.

Article 7.  Information provision of agencies, organizations and individuals

1. Deadline for information provision:

a) Requested party must provide information at request within 5 working days from the date of receiving request;

b) In case requested information is complicated information or currently unavailable, the deadline shall be 15 working days from the date of receiving request.

2. In case of inability to provide information promptly due to objective reasons, requested party must solicit requesting party in writing to consider.

Requested party must comply with decisions of requesting party.

Article 8. Request and implementation of request for information for non-state enterprises, organizations and individuals

1. Request and implementation of request for information for non-state enterprises, organizations and individuals shall conform to Article 6 and Article 7 of this Decree.

2. Request and implementation of request for information for credit institution and branches of foreign banks in Vietnam shall conform to regulations and law on provision of customer information of credit institutions and branches of foreign banks in Vietnam.

Chapter III

ASSET, INCOME DECLARATION

Article 9. Declaration form and asset, income declaration

1. First-time declaration, annual declaration and declaration for officer affairs shall conform to declaration form and declaration guidelines under Annex I attached to this Decree.

2. Additional declaration shall conform to declaration form and declaration guidelines under Annex II attached to this Decree.

Article 10. Persons obliged to make annual declarations

Persons obliged to make declarations as stated in Point b Clause 3 Article 36 of Law on Anti-corruption, including:

1. Following officer titles and ranks:

a) Enforcement officers;

b) Investigators;

c) Accountants;

d) Rangers;

dd) Procurators;

e) Banking procurators;

g) Market controllers;

h) Auditors;

i) Examiners of the Communist Party;

k) Customs examiners;

l) Tax examiners;

m) Inspectors;

n) Judges.

2. Persons holding managerial positions from deputies and equivalent to higher positions operating in fields defined under Annex III attached to this Decree.

3. Representatives of state capital in enterprises.

Chapter IV

PUBLICIZING ASSET, INCOME DECLARATIONS

Article 11. Publicizing declarations in agencies, organizations and entities

1. Publicizing declarations for individuals under control of asset, income controlling bodies specified under Clauses 1, 2, and 3 Article 30 of Law on Anti-corruption shall be implemented as follows:

a) Declarations of persons holding Deputy General Director positions or higher in central government authorities shall be posted in head offices of ministries, ministerial agencies and governmental agencies or publicized in meetings consisting of heads of departments, agencies or higher;

Declarations of persons holding Director General positions or lower shall be posted in entities or publicized in meetings consisting of heads of departments or higher in entities, or in meetings of the entities in case the entities do not consist of departments. Declarations of other individuals shall be posted in departments, boards or divisions or publicized in meetings consisting of the entire personnel of the departments, boards or divisions; if payroll of departments, boards or divisions consists of at least 50 individuals and develop groups or teams, publicize in front of officials and employees within groups or teams;  

b) Declarations of Chairpersons and Vice Chairpersons of People’s Councils of provinces and People’s Committees of all levels shall be publicized in head offices of People’s Councils and People’s Committees or in meetings consisting of the entire officials and employees of offices of People’s Councils and People’s Committees.

Declarations of persons obliged to make declaration affiliated to departments and agencies of provinces, departments and divisions of districts shall be publicized in head offices or in meetings consisting of the entire officials and employees. 

Declarations of persons obliged to make declarations affiliated to People’s Councils and People’s Committees of communes shall be posted in head offices of People’s Councils and People’s Committees or in meetings consisting of officials and employees of communes;

c) Declarations of persons working in state enterprises shall be posted in head offices of state enterprises or in meetings consisting of members of Board of Members, members of Board of Directors, General Directors, Deputy General Directors, heads of Board of Supervisors, supervisors, chief accountants, heads of entities affiliated to groups, corporations, chairpersons of Board of Members, chairpersons of Board of Directors, General Directors, Directors of corporations, companies affiliated to groups, corporations and heads of unions in groups and state corporations;

d) Declarations of representatives of state capital in enterprises shall be posted or publicized as specified in Points a, b, and c of this Clause.

2. Publicizing declarations in meetings for individuals under control of asset, income controlling bodies specified under Clauses 4, 5, 6, 7, and 8 Article 30 of Law on Anti-corruption shall conform to Clause 1 of this Article and guidelines of competent agencies.

3. Declarations shall be publicized within 5 days from the date on which employers of persons obliged to make declarations transfer the declarations to asset, income controlling bodies.

4. Declarations shall remain posted for 15 days. Declarations shall be posted in a manner that is safe, convenient and readable.

Posting of declarations must be kept records which specify posted declarations and bear signatures of heads of agencies, organizations, entities and representatives of unions.

5. Meetings where declarations are posted must have at least 2/3 of summoned individuals present. Hosts of meetings shall read declarations, assign other individuals to read the declarations, or individuals shall read their own declarations.  Meeting records must specify feedback, complaints and explanation for contents of declarations (if any); bear signatures of meeting hosts and representatives of unions of agencies, organizations and entities.

Article 12. Publicizing declarations of persons expected to hold managerial positions in agencies, organizations and entities

1. Declarations of persons expected to hold managerial positions in agencies, organizations and entities to be publicized shall include first-time declarations, declarations serving assignment, annual declarations or additional declarations.

Declarations shall be publicized in confidence voting.

2. Prior to conducting confidence voting, meeting hosts shall publicize declarations as follows:

a) Distribute copies of declarations specified under Clause 1 of this Article to confidence voters;

b) Read or assign others to read declarations serving assignment and conclusion on verifying assets, income (if any).

Declarants shall have the rights to explain feedback related to declarations in the meetings (if any).

3. Publicizing of declarations on assets, income must be recorded in minutes of confidence voting.

Article 13. Publicizing declarations of persons elected to hold managerial positions in state enterprises

1. Declarations of persons to be elected to hold managerial positions in state enterprises shall be publicized in confidence voting when assigning or in meetings electing managerial positions.

2. Publicizing of declarations of persons to be elected to hold managerial positions in state enterprises shall conform to Article 12 of this Decree.

Chapter V

DEVELOPMENT AND APPROVAL OF PLANS FOR VERIFYING ASSETS, INCOME

Article 14. Developing annual plans for verifying

1. Basis for developing plans:

a) Corruption and anti-corruption affairs in various sections, fields and local divisions;

b) Requirements and direction of competent agencies and organizations in anti-corruption;

c) Government Inspectorates shall take charge and cooperate with relevant agencies in developing orientation for developing verification plans and requesting the Prime Minister to approve before October 31 each year;

d) Ability and conditions for implementing verification objectives are specified under Article 15 of this Decree.

2. Pursuant to Clause 1 of this Article, ministers, heads of ministerial agencies and heads of governmental agencies shall direct investigator authorities to develop annual plans for verifying assets, income; in case of entities without investigating authorities, assign entities in charge of personnel management for implementation.

3. Verification plans must contain following categories:

a) Objectives and requirements of verification plans;

b) Quantity and name of verified agencies and entities;

c) Total number of verified individuals, number of verified individuals within agencies, organizations and affiliated entities;

d) Organization of verification plans, individuals assigned to direct implementation, entities assigned to verify and resources for verification.

Article 15. Approval and implementation of verification plans

1. Before January 31 each year, heads of asset, income controlling bodies specified under Clauses 1, 2, 3, 4, 5, 6, 7, and 8 Article 30 of Law on Anti-corruption shall approve and issue annual verification plans; Chief Inspectors of provinces shall issue annual verification plans after requesting Chairpersons of People’s Committees of provinces to approve the plans.

2. Annual verification plans of asset, income controlling bodies must ensure that at least 20% of agencies, organizations and entities under their management are subject to verification and at least 10% for Ministry of Public Security, Ministry of National Defense, Ministry of Foreign Affairs and Ministry of Finance.

3. Within 10 days from the date on which verification plans are issued. Asset, income controlling bodies shall select individual subject to verification on a random basis. Selection shall be made publicly in form of raffle or computer software.

Asset, income controlling bodies shall invite representatives of Examination committees of Communist Party and Committees of Vietnamese Fatherland Front of the same levels to witness random selection of individuals to be verified.

Number of individuals selected for random selection must equal at least 10% of number of persons obliged to make declarations annually in each verified agency, organization and entity, at least 1 individual among whom is head or vice of the agency, organization or entity.

Article 16. Criteria for selecting verified individuals according to plan

Selection of persons obliged to make declaration verified according to annual plans must be based on following criteria:

1. Persons obliged to make declaration must declare assets, income annually.

2. Persons obliged to make obligations have not been verified regarding assets, income for the last 4 years.

3. Persons obliged to make declarations do not fall under any of following cases:

a) Persons who are being investigated, prosecuted or trialed;

b) Persons who are receiving treatment for severe diseases confirmed by competent medical agencies;

c) Persons who are studying or working abroad for at least 12 months.

Chapter VI

PROTECTION, PRESERVATION, EXTRACTION AND PROVISION OF NATIONAL DATABASE INFORMATION ON CONTROLLING ASSETS, INCOME

Article 17. Principles for protection, preservation, extraction and provision of national database information on controlling assets, income

1. National database information on controlling assets, income must be fully and accurately collected; extracted and used for the right purposes, effectively and in a manner that is compliant with regulations and law; guarantee requirements of controlling assets, income and state management regarding anti-corruption and officer management affairs.

2. National database on controlling assets, income must be closely and safely protected as per the law; comply with technical standards and technical regulations on information technology; ensure compatibility, safety and coherence throughout systems of databases on controlling assets, income.

Article 18. Responsibilities for protection, preservation, extraction and provision of national database information on controlling assets, income

1. Government Inspectorates are responsible for:

a) developing and operating technical infrastructure of national database on controlling assets, income;

b) organizing structure and specialized officers operating national database on controlling assets, income according to regulations of the Government and Prime Minister;

c) adopting information safety and security of national databases on controlling assets, income;

d) adopting back up and preventive measures to ensure ability to avert incidents and recover data;

d) adopting maintenance measures to ensure regular and stable operations of national databases on controlling assets, income.

2. Ministry of Public Security, Ministry of National Defense and Ministry of Information and Communications are responsible for guiding and cooperating with Government Inspectorate in protecting and storing information of national databases on controlling assets, income.

Article 19. Extraction and provision of national database information on controlling assets, income

1. Government Inspectorate and other asset, income controlling bodies shall provide information extracted from database on controlling asset, income at request of Standing Committee of National Assembly, President, Prime Minister, Chief Justice of Supreme People’s Court, Chief Procurator of Supreme People's Procuracy, National Voting Council and other agencies, organizations according to Points d, c, g, h, and i Clause 1 Article 42 of Law on Anti-corruption.

2. Government Inspectorate and other asset, income controlling bodies shall provide information extracted from database on controlling assets, income at request of competent agencies, organizations and entities in charge of officer organization affairs and examination of the Communist Party, National Assembly and central agencies of socio-political organizations.

3. Asset, income controlling bodies shall provide information extracted from databases on controlling assets, income at request of inspecting authorities, State Audit Office of Vietnam, investigating authorities, People’s Procuracy and People’s Court.

4. Provision of information of database on controlling assets, income of individuals subject to control of multiple asset, income controlling bodies shall conform to Regulations on cooperations specified under Clause 2 Article 1 of this Decree.

Chapter VII

PENALTIES AGAINST ASSET, INCOME CONTROLLING VIOLATIONS

Article 20. Penalties against violations of declarants

1. Persons obliged to make declarations who fail to stay truthful or truthfully explain origin of additional assets and income shall be met with penalties depending on nature and severity of the violations according to Article 51 of Law on Anti-corruption.

2. Persons obliged to make declarations who disperse or conceal assets, income or obstruct financial, income control or refuse to submit declarations after being expedited twice in writing shall be met with warnings, reduced pay rate, demotion, dismissal or discharge after being expedited twice in writing depending on severity and nature of the violations.

Article 21. Penalties against other violations in asset, income control

1. Heads of agencies, organizations and entities which are irresponsible in organizing declaration, publicizing declaration or submitting declaration shall be met with reprimands, warnings or demotion depending on severity and nature.

2. Heads of asset, income controlling bodies, heads and members of asset, income controlling teams who commit violations in receiving declarations, managing and using databases on controlling assets, income, verifying, concluding verification or publicizing verification shall be met with reprimands, warnings, demotion or dismissal depending on nature and severity.

3. Agencies, organizations, entities and individuals that fail to adequately and promptly perform request of asset, income controlling bodies shall be met with administrative penalties or disciplinary actions as per the law depending on nature and severity.

4. Violations specified under Article 20, Clauses 1, 2, and 3 of this Article shall be criminally prosecuted in case of crimes constitution as per the law.

Article 22. Entitlement, procedures for disciplining persons committing violations regarding asset, income control

1. Disciplining individuals who are officials and employees committing violations shall conform to regulations and law on disciplining officials and employees.

2. Disciplining individuals working in People's Army, People’s Public Security committing violations shall comply with regulations and law on disciplining in the People’s Army, People’s Public Security.

3. Disciplining individuals who are members of political organizations, socio-political organizations committing violations shall conform to regulations of said organizations.

Article 23. Publicizing decisions on penalty

1. Decisions on disciplining persons committing violations on controlling assets, income shall be posted publicly in agencies, organizations and entities where the disciplined individuals regularly work for 15 days.

In addition to public posting, competent individuals capable of imposing disciplinary actions may choose to inform in officer and employee meetings of agencies, organizations or entities, or upload on websites of the agencies, organizations and entities.

2. Administrative penalties and criminal prosecution for other violations regarding controlling assets, income must be made public as per the law.

Chapter VIII

IMPLEMENTATION

Article 24. Entry into force

This Decree comes into force from December 20, 2020.

Annul Decree No. 78/2013/ND-CP dated July 17, 2013 of the Government on asset and income transparency.

Article 25. Responsibilities for implementation

Ministers, heads of ministerial agencies, heads of Governmental agencies, Chairpersons of People’s Committees of provinces and central-affiliated cities, relevant agencies, organizations, entities and individuals are responsible for the implementation of this Decree./.