Decision No. 370/QD-NHNN dated March 16, 2022 on Promulgating operating regulations of steering committee on prevention and control of corruption, misconduct and crimes in banking sector

DECISION

PROMULGATING OPERATING REGULATIONS OF STEERING COMMITTEE ON PREVENTION AND CONTROL OF CORRUPTION, MISCONDUCT AND CRIMES IN BANKING SECTOR

THE GOVERNOR OF THE STATE BANK OF VIETNAM

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

Pursuant to the Law on Inspection dated November 15, 2010;

Pursuant to the Law on the State bank of Vietnam dated June 16, 2010;

Pursuant to the Law on Credit Institutions dated June 16, 2010 and the Law on amendments to the Law on Credit Institutions dated November 20, 2017;

Pursuant to the Government's Decree No. 16/2017/ND-CP dated February 17, 2017 prescribing functions, tasks, powers and organizational structure of the State Bank of Vietnam;

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Pursuant to Decision No. 165/QD-BCD138/CP dated March 10, 2020 of the Head of the Governmental Steering Committee on crime prevention and control on promulgation of operating regulations of the Governmental Steering Committee on crime prevention and control;

At the request of the Head of the SBV Banking Supervision Agency;

HEREBY DECIDES:

Article 1.The “Operating regulations of the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector” is promulgated together with this Decision.

Article 2.This Decision comes into force from the day on which it is signed and supersedes the Decision No. 54/QD-NHNN dated January 18, 2021 of the Governor of the State Bank of Vietnam on promulgation of operating regulations of the Steering Committee on prevention and control of corruption and crimes in banking sector.

Article 3.Members of the Steering Committee, Chief of Office, heads of relevant units affiliated to the State Bank of Vietnam, Chairpersons of Boards of Directors, Chairpersons of Boards of Members, and General Directors of credit institutions, Deposit Insurance of Vietnam, and Vietnam Asset Management Company are responsible for the implementation of this Decision./.

GOVERNOR




Nguyen Thi Hong

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OPERATING REGULATIONS

OF STEERING COMMITTEE ON PREVENTION AND CONTROL OF CORRUPTION, MISCONDUCT AND CRIMES IN BANKING SECTOR
(Enclosed with the Decision No. 370/QD-NHNN dated March 16, 2022)

Chapter I

GENERAL PROVISIONS

Article 1. Scope

This document provides regulations on functions, tasks, rights, powers, working principles, regime and relationship of the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector, Steering Committees on prevention and control of corruption, misconduct and crimes in provincial branches of State Bank of Vietnam, administrative units and enterprises affiliated to State Bank of Vietnam, credit institutions and Deposit Insurance of Vietnam (hereinafter referred to as "Steering Committees of units”).

Article 2. Regulated entities

1. Members of the Steering Committee.

2. Standing agency of the Steering Committee.

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Article 3. Functions of Steering Committee

The Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector is established by the SBV’s Governor, assumes responsibility before the Communist Party’s Civil Affairs Committee of SBV and the SBV’s Governor for directing, expediting and inspecting the prevention and control of corruption, misconduct and crimes in banking sector in accordance with regulations of law.

Article 4. Working principles and regime

1. A Steering Committee shall assume responsibility before the Executive Committee of the Communist Party, heads of same-level units, and the superior Steering Committee for performing its tasks and powers in preventing and controlling corruption, misconduct and crimes.

2. The Steering Committee shall work by adhering to the democracy principle whereby all members participate in discussion and the Steering Committee’s head will draw conclusions and direct the implementation of such conclusions.

3. The Steering Committee shall operate within the ambit of its assigned functions, tasks and powers; comply with the Communist Party’s guidelines and State laws; respect and neither obstruct normal activities nor perform tasks on behalf of other authorities, organizations, units and competent officials in the fields of corruption, misconduct and crime prevention and control.

4. Members of the Steering Committee shall work under the dual-office holding regime; assume collective responsibility during the performance of functions, tasks and powers of the Steering Committee; and assume individual responsibility before the law and the Steering Committee’s head for their performance of assigned tasks.

5. The Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector shall use the SBV’s seal during its performance of tasks. The Steering Committee in a unit shall use the seal of that unit during its performance of tasks.

Chapter II

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Section 1.STEERING COMMITTEE ON PREVENTION AND CONTROL OF CORRUPTION, MISCONDUCT AND CRIMES IN BANKING SECTOR

Article 5. Composition

The Steering Committee is composed of:

- The Steering Committee’s head who is the Secretary of the Communist Party’s Civil Affairs Committee and Governor of SBV;

- The Steering Committee’s standing deputy head who is Deputy Governor of SBV;

- The Steering Committee’s deputy head who is the head of SBV Banking Supervision Agency;

- Members of the Steering Committee, including: heads of some units affiliated to SBV, Chairpersons of Boards of Members of some credit institutions, General Director of Vietnam Bank for Social Policies, and Chairperson of the Board of Members of Deposit Insurance of Vietnam.

Article 6. Tasks and powers of Steering Committee

1. Advise the Communist Party’s Civil Affairs Committee of SBV and the SBV’s Governor about formulating programs, plans and measures for implementation of regulations of law on corruption, misconduct and crime prevention and control, and other Communist Party’s or State documents on prevention and control of corruption, misconduct and crimes in banking sector.

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3. Direct, expedite and organize inspection of performance of anti-corruption tasks by authorities, organizations and units mentioned in Article 2.

4. Direct the units mentioned in Article 2 to cooperate with inspection agencies and other authorities in performing corruption, misconduct and crime prevention and control tasks; receive and consolidate information about corruption matters, violations and corruption cases in their units to work out handling measures; submit reports on prevention and control of corruption, misconduct and crimes in banking sector to competent authorities.

5. Advise the Communist Party’s Civil Affairs Committee of SBV and the SBV’s Governor about issuing decisions on suspension of officials under their management; direct competent authorities of the units mentioned in Article 2 to suspend officials, public employees and workers who show signs of violations or when there are sufficient grounds that they are still performing misconduct or corrupt activities or likely to obstruct inspection or verification.

6. Suggest solutions for improving efficiency of prevention and control of corruption, misconduct and crimes in banking sector to competent authorities.

Article 7. Tasks and powers of members of Steering Committee

1. Tasks and powers of head of Steering Committee

a. Play the leading role, direct and manage general activities of the Steering Committee and members of the Steering Committee to ensure that they work within the ambit of their assigned functions, tasks and powers. Assume responsibility before the Communist Party’s Civil Affairs Committee of SBV for operations of the Steering Committee.

b. Direct the implementation of programs and plans for implementation of regulations of law on corruption, misconduct and crime prevention and control, and other Communist Party’s or State documents on prevention and control of corruption, misconduct and crimes in banking sector; convene and chair periodical or ad hoc meetings of the Steering Committee, act on behalf of the Steering Committee to draw conclusions and direct the implementation of such conclusions.

c. Direct heads of the units mentioned in Article 2 to conduct inspection, verification, reach conclusions and take actions against acts of misconduct or corruption or violations against regulations of law within their competence.

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dd. Authorize standing deputy head and deputy head of the Steering Committee to perform certain tasks and powers of the Steering Committee’s head, where necessary.

2. Tasks and powers of standing deputy head of Steering Committee

a. Assist the Steering Committee’s head in disseminating and organizing implementation of the Steering Committee’s programs and plans for implementation of programs and plans for implementation of regulations of law on corruption, misconduct and crime prevention and control, and other Communist Party’s or State documents on prevention and control of corruption, misconduct and crimes in banking sector.

b. Assist the Steering Committee’s head in dealing with acts of misconduct or corruption or violations against law in banking sector, report such cases to the Steering Committee’s head or notify them to competent authorities for consideration in accordance with regulations of law.

c. Assist the Steering Committee’s head in directing and managing the standing agency of the Steering Committee.

d. Perform tasks and powers of the Steering Committee’s head as authorized by the Steering Committee’s head, and assume responsibility for his/her performance before the law and the Steering Committee’s head.

dd. In case the Steering Committee’s head is absent, the standing deputy head of the Steering Committee is authorized to convene periodical or ad hoc meetings of the Steering Committee to deal with arising issues of the Steering Committee.

3. Tasks and powers of deputy head of Steering Committee

a. Perform tasks and powers of the head of the standing agency of the Steering Committee as prescribed in Article 8 of this document, and assume responsibility for his/her performance before the law and the Steering Committee.

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c. Organize the implementation of programs, plans and measures for performing corruption, misconduct and crime prevention and control tasks in units of banking sector.

4. Tasks and powers of other members of Steering Committee

a. Perform assigned tasks and assume responsibility before the law and the Steering Committee for their performance of assigned tasks.

b. Proactively propose guidelines and solutions for improvement of efficiency of prevention and control of corruption, misconduct and crimes in banking sector, especially those associated with their assigned or managed fields or units, to the Steering Committee and the Steering Committee’s head.

c. Direct the implementation of programs, plans and measures for performing corruption, misconduct and crime prevention and control tasks within the functions of their units.

d. Members of the Steering Committee are allowed to use apparatus, officials, public employees and workers of their units to perform tasks assigned by the Steering Committee and its head.

Article 8. Tasks and powers of standing agency of Steering Committee

The SBV Banking Supervision Agency acts as the standing agency of the Steering Committee that shall take charge of advising, assisting and serving operation of the Steering Committee. The standing agency of Steering Committee shall have the following tasks and powers:

1. Advise and assist the Steering Committee in performing tasks and powers of the Steering Committee.

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3. Direct its affiliated units and individuals to study and formulate periodical and ad hoc working programs and plans of the Steering Committee.

4. Direct, instruct and expedite units to effectively implement regulations on corruption, misconduct and crime prevention and control.

5. Request units to provide information and periodical or ad hoc reports, and reports on the cases specified in Clause 4 Article 6 of this document for preparing and submitting consolidated reports to the Steering Committee and its head.

6. Provide advice on prevention and control of abuse of position, acting beyond authority, or harassment by officials, public employees and workers in banking sector and during prevention and control of corruption, misconduct and crimes in banking sector.

7. Cooperate with units of the Party Central Committee’s Commission of Internal Political Affairs, the Government Inspectorate, the State Audit Office of Vietnam and law enforcement agencies in detecting and preventing acts of misconduct, corruption or in transferring corruption cases to law enforcement agencies for consideration.

8. Play the leading role or cooperate in preparing contents, organizing and serving meetings and working sessions of the Steering Committee or the Steering Committee’s head with other authorities, organizations, units, local governments and individuals; notify directions and conclusions given by the Steering Committee or the Steering Committee’s head on corruption, misconduct and crime prevention and control to units; monitor, expedite and inspect the implementation of such directions and conclusions; consolidate and submit consolidated reports on prevention and control of corruption, misconduct and crimes in banking sector to the Steering Committee’s head.

9. Perform other tasks as assigned by the Steering Committee or the Steering Committee’s head.

Section 2.STEERING COMMITTEES ON PREVENTION AND CONTROL OF CORRUPTION, MISCONDUCT AND CRIMES OF UNITS

Article 9. Steering Committees of SBV’s provincial branches

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a. A Steering Committee on prevention and control of corruption, misconduct and crimes of a SBV's provincial branch shall be established under decision of the Director of that SBV's provincial branch. The Steering Committee’s head shall be the head of the executive committee of the Communist Party of that SBV's provincial branch.

b. The Steering Committee’s standing deputy head shall be the head of SBV Banking Supervision Agency’s provincial branch.

c. Depending on specific conditions of each province, the Steering Committee may have 01 deputy head.

d. Other members of the Steering Committee are heads of executive committees of the Communist Party or agencies/organizations of provincial branches of some credit institutions. Depending on actual conditions of each province, the Steering Committee’s head shall decide the number of its members.

2. Functions, tasks and powers of Steering Committee

a. The Steering Committee’s head shall assume responsibility before the SBV’s Governor – Head of the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector for his/her direction and organization of implementation of programs and plans for implementing the Communist Party’s, State and banking branch’s documents on implementation of regulations of law on corruption, misconduct and crime prevention and control to local branches of credit institutions; convene and chair periodical or ad hoc meetings of the Steering Committee, and act on behalf of the Steering Committee to draw conclusions and direct the implementation of such conclusions; assign a contact point in charge of advising and assisting the Steering Committee and assigning tasks to the deputy head and members of the Steering Committee in each operating field or area.

b. Develop the Steering Committee’s programs and plans for implementation of regulations of law on corruption, misconduct and crime prevention and control.

c. Cooperate with provincial advisory agency on corruption, misconduct and crime prevention and control, local governments in directing and organizing the implementation of programs, plans and documents of the Communist Party, State, executive committees of the Communist Party, local governments and banking branch for implementation of regulations of law on corruption, misconduct and crime prevention and control.

d. Direct, inspect and expedite provincial branches of credit institutions in implementing programs, plans and documents of the Communist Party, State, executive committees of the Communist Party, local governments and banking branch for implementation of regulations of law on corruption, misconduct and crime prevention and control; consolidate implementation results and submit reports to the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector as prescribed; reports on corruption cases involving loss of a large amount of money must include adequate and detailed information.

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Article 10. Steering Committees of administrative units, SBV’s affiliated units, credit institutions and Deposit Insurance of Vietnam

1. Establishment  

a. Every unit that maintains a network of its headquarters and affiliated units/branches is required to establish a Steering Committee on prevention and control of corruption, misconduct and crimes to take charge of performing corruption, misconduct and crime prevention and control tasks for its entire network.

b. The Steering Committee on prevention and control of corruption, misconduct and crimes of a unit shall consider and decide to develop a model of Steering Committees on prevention and control of corruption, misconduct and crimes in its affiliated units/branches in conformity with their organizational model and actual operating status.

2. Composition of Steering Committee (in headquarters of a unit)

The Steering Committee’s head shall be the head of the executive committee of the Communist Party or head of that authority or organization. Depending on the unit’s operation, other position holders shall be appointed by the Steering Committee’s head. The Steering Committee’s head shall decide the number of its members.

3. Functions, tasks and powers of the Steering Committee of a unit  

a. The Steering Committee’s head shall assume responsibility before the SBV’s Governor – Head of the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector for his/her direction and organization of implementation of programs and plans for implementing the Communist Party’s, State and banking branch’s documents on implementation of regulations of law on corruption, misconduct and crime prevention and control within the network of its unit; assign a contact point in charge of advising and assisting the Steering Committee and assigning specific tasks to the deputy head and members of the Steering Committee.

b. Cooperate with Steering Committees on corruption, misconduct and crime prevention and control of SBV’s provincial branches in directing and organizing the implementation of programs, plans and documents of the Communist Party, State, executive committees of the Communist Party, local governments and banking branch for implementation of regulations of law on corruption, misconduct and crime prevention and control in its affiliated units/branches.

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d. Advise and propose measures to the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector, and directly deal with issues concerning corruption, misconduct and crime prevention and control.

Chapter III

IMPLEMENTATION

Article 11. Strengthening Steering Committees and formulating, revising operating regulations

1. Based on the Operating Regulations of the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector, the heads of the units mentioned in Article 2 of this document shall strengthen the Steering Committees of their own units, and formulate and revise operating regulations of the Steering Committees of their units.

2. A member of the Steering Committee who is absent from the unit for more than 03 months is required to notify his/her absence to the Steering Committee’s head for assignment of tasks. If a member of the Steering Committee is absent from the unit for more than 12 months or there are changes in the unit’s personnel, the unit is required to strengthen the staff of the Steering Committee.

Article 12. Working relationship

1. The Steering Committee shall bear the direct management and direction from the Communist Party’s Civil Affairs Committee of SBV and the SBV’s Governor during the performance of its assigned functions, tasks and powers, and submit reports as prescribed.

2. The Steering Committee shall exchange necessary information with relevant authorities and organizations; invite central government authorities and local government authorities to conferences on performance of tasks of the Steering Committee.

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1. The Steering Committee shall meet every 06 months to consider and report the implementation of its programs and plans, and convene ad hoc meetings at the request of the Steering Committee’s head or deputy head as authorized by the Steering Committee’s head.

2. The standing agency or advisory agency of the Steering Committee shall propose the agenda, participants and organization time of meetings of the Steering Committee to its head for decision.

3. Members of the Steering Committee are required to participate in all meetings of the Steering Committee; cooperate in preparing the meeting agenda if requested by the standing agency of the Steering Committee. If a member is absent from the meeting, he/she is required to obtain approval from the Steering Committee’s head or deputy head who chairs the meeting and authorizes his/her deputy to attend the meeting on his/her behalf.

Article 14. Reporting

1. Steering Committees of units shall send biannual and annual reports on conclusions drawn in their meetings to the Steering Committee on prevention and control of corruption, misconduct and crimes in banking sector (via the SBV Banking Supervision Agency).

2. Reports on anti-corruption shall be prepared and submitted in accordance with the Circular No. 02/2021/TT-TTCP dated March 22, 2021 of the Government Inspectorate and the Document No. 3205/NHNN-TTGSNH dated May 10, 2021 of the State Bank of Vietnam until new regulations are promulgated.

3. The standing agency of the Steering Committee shall monitor, expedite, prepare and submit consolidated reports on performance results of prevention and control of corruption, misconduct and crimes in banking sector to SBV's Governor for reporting as prescribed./.