Quyết định 54/QĐ-NHNN hoạt động của BCĐ phòng chống tham nhũng và tội phạm ngành Ngân hàng

REGULATION

On operation of the Steering Committee of prevention and fighting of corruption and crime in banking sector

(Attached to the Decision No. 54/QD-NHNN dated January 18, 2021)

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Chapter I

GENERAL PROVISIONS

Article 1. Scope of regulation

This Regulation stipulates working principles, regimes, responsibilities, powers and working relationships of the Steering Committee of prevention and fighting of corruption and crime in banking sector, the Steering Committees of prevention and fighting of corruption and crime at State Bank branches of provinces and cities, non-business units, enterprises affiliated to the State Bank, the credit institutions and the Deposit Insurance of Vietnam (hereinafter referred to as the unit-level Steering Committees).

Article 2. Subjects of application

1. Members of the Steering Committee.

2. The Standing agency of the Steering Committee.

3. Organizations, units and individuals in the banking sector, including: The State Bank branches of provinces and cities; non-business units; enterprises affiliated to the State Bank; credit institutions; the Deposit Insurance of Vietnam.

Article 3. Working principals and regimes

1. The Steering Committee is responsible to the Party Executive Committees, heads of units at the same level and the higher-level Steering Committees for the performance of tasks and powers in prevention and fighting of corruption and crime.

2. The Steering Committee works on the principle of democratic centralism; after collective discussion, the Head of the Steering Committee concludes and directs the implementation.

3. The members of the Steering Committee work on a part-time basis; take collective responsibility in the process of performing the functions, tasks and powers of the Steering Committee; at the same time take personal responsibility before the law and the Head of the Steering Committee for the performance of assigned tasks.

4. The Steering Committee of prevention and fighting of corruption and crime in banking sector uses the seal of the State Bank to perform the tasks. The Steering Committees of prevention and fighting of corruption and crime at units use the seals of the units to perform the tasks.

Chapter II

MEMBERS, TAKS AND POWERS OF THE STEERING COMMITTEE

Section 1

THE STEERING COMMITTEE OF PREVENTION AND FIGHTING OF CORRUPTION AND CRIME IN BANKING SECTOR

Article 4. Components of the Steering Committee

Components of the Steering Committee includes:

- The Secretary of the Party Civil Affairs Committee, the Governor of the State Bank of Vietnam shall be the Head of the Steering Committee;

- 01 Deputy Governor of the State Bank shall be the Standing Deputy Head of the Steering Committee;

- The Chief of the Banking Supervision Agency shall be the Deputy Head of the Steering Committee;

- Members shall include: The Heads of a number of units affiliated to the State Bank, the Chairpersons of the Boards of Directors, the Chairpersons of Members’ Councils of credit institutions, the General Director of Vietnam Bank for Social Policies, the Chairperson of Members’ Council of the Deposit Insurance of Vietnam.

Article 5. Tasks and powers of the Steering Committee

1. To give advises and assist the State Bank’s Party Civil Affairs Committee and the Governor of the State Bank in formulating programs, plans and measures to organize the implementation of the anti-corruption and -crime law and other documents of the Party and the State on prevention and fighting of corruption and crime in banking sector.

2. To direct agencies, organizations and units stipulated in Article 2 to implement programs, plans and measures to organize the implementation of the provisions of anti-corruption and -crime law and other anti-corruption and -crime documents of the Party and the State.

3. To direct and implement irregular inspection, examination or when necessary to inspect the work of anti-corruption at agencies, organizations, units, individuals stipulated in Article 2.

4. To direct units stipulated in Article 2 in coordinating activities of inspection, examination and investigation agencies and other agencies in anti-corruption and -crime work; to receive information and summarize situation of incidents of corruption, law breach and corruption cases at units to offer handling measures; to report to competent authorities on the anti-corruption and -crime work in banking sector.

5. To give advises and assist the State Bank’s Party Civil Affairs Committee and the Governor of the State Bank on promulgating the decision on suspension from work for officials under the management of the State Bank’s Party Civil Affairs Committee and the Governor of the State Bank; to direct the competent authority of units stipulated in Article 2 to temporarily suspend for cadres, civil servants, public employees and other employees who have signs of law violation or if there are grounds to believe that such persons may continue to engage in negative, corrupt behaviors or obstruct the work of inspection, investigation and verification.

6. To recommend to competent authorities on solutions to improve the effectiveness of the work on prevention and fighting of corruption and crime related to banking activities.

Article 6. Tasks and powers of the Steering Committee’s members

1. Tasks and powers of the Head of the Steering Committee

a. To lead, direct and the administer the general activities of the Steering Committee and Steering Committee’s members, ensuring the operation in accordance with assigned functions, tasks and powers. To take responsibility to the Party Civil Affairs Committee of the State Bank for the operation of the Steering Committee.

b. To direct the implementation of programs and plans on enforcement of anti-corruption and -crime law, implement the documents of the Party and the State on prevention and fighting of corruption and crime in the banking sector; to convoke and preside the regular or irregular meetings of the Steering Committee, conclude and direct the implementation on behalf of the Steering Committee.

c. To direct the Head of units stipulated in Article 2 to conduct inspection, investigation and verification, conclusion and handling of negative, corrupt or illegal behavior within the scope of their responsibilities.

d. To direct and handle the head of agencies, organizations, units under the management which let the corruption occur; to propose competent agencies and organizations to apply necessary measures to recover and confiscate corrupt assets in accordance with law provisions.

dd. To authorize the Standing Deputy Head of the Steering Committee and the Deputy Head of the Steering Committee to perform a number of tasks and powers of the Head of the Steering Committee in case of necessity.

2. Tasks and powers of the Standing Deputy Head of the Steering Committee

a. To assist the Head of the Steering Committee on conducting and organizing the implementation of programs and plans of the Steering Committee to carry programs and plans on enforcement of anti-corruption and -crime law, implement documents of the Party and the State on prevention and fighting of corruption and crime in banking sector.

b. To assist the Steering Committee on handling negative or corrupt behaviors or law violation in the banking sector, report to the Head of the Steering Committee or notify competent authorities to handle in accordance with law provisions.

c. To assist the Head of the Steering Committee on directing and operating the Standing agency of the Steering Committee.

d. To perform the duties and powers of the Head of the Steering Committee as authorized by the Head of the Steering Committee, take responsibility to the law and the Head of the Steering Committee.

dd. In case the Head of the Steering Committee is absent, the Standing Deputy Head of the Steering Committee shall be authorized to organize regular or irregular meetings of the Steering Committee to handle the work of the Steering Committee.

3. Tasks and powers of the Deputy Head of the Steering Committee

a. To perform tasks and powers of the Head of the Standing agency of the Steering Committee as regulated in Article 7 of this Regulation, to take responsibility to the law and the Steering Committee.

b. To perform tasks and powers as prescribed in Points a, b and d, Clause 2 of this Article.

c. To conduct the organization of implementation for programs, plans, measures related to the anti-corruption and -crime works at units in banking sector.

4. Tasks and powers of the Steering Committee’s members

a. Members of the Steering Committee shall conduct the assigned tasks, take responsibility to the law and the Steering Committee for the assigned tasks.

b. To proactively propose and recommend to the Steering Committee and the Head of the Steering Committee policies and solutions to improve the efficiency of prevention and fighting of corruption and crime in banking sector, especially the policies and solutions associated with the fields and units that they are directly assigned to manage and take charge of.

c. To direct the organization of implementation for programs, plans, measures related to the anti-corruption and -crime work within their own units’ functions.

d. Members of the Steering Committee are entitled to use the apparatus, officials, civil servants, public employees and other employees of their units directly under their management to perform the task assigned by the Steering Committee and the Head of the Steering Committee.

Article 7. Tasks and powers of the Steering Committee’s Standing agency

The Banking Supervision Agency is the Standing agency of the Steering Committee, takes responsibility to give advices and assist the Steering Committee.

The Standing agency of the Steering Committee have the following tasks and powers:

1. To direct units and individuals directly under their management to research and formulate the regular and irregular working programs, plans of the Steering Committee.

2. To direct, guide and urge the unit to effectively perform anti-corruption and -crime law.

3. To require units to provide information, submit periodic or irregular reports; report the situation of incidents as prescribed in Clause 4, Article 5 of this Regulation to synthesize and report to the Steering Committee and the Head of the Steering Committee.

4. To give advices on preventing and dealing with abuse of power, misusing authority and harassment by officials, public servants, public employees and others employees working in banking sector and activities of prevention and fighting of corruption and crime in banking sector.

5. To take responsibilities for coordinating with the Central Committee for Internal Affairs, the Government Inspectorate, the State Audit and law enforcement agencies in discovering and preventing negativity, corruption or in case of transferring documents of corruption cases to law enforcement agencies for handling.

6. To assume the prime responsibility for, or coordinate in, preparing the content, organization and serve the meetings and working events between the Steering Committee, the Head of the Steering Committee and agencies, organizations, units, localities and individuals; to notify directive opinions and conclusions of the Steering Committee and the Head of the Steering Committee on prevention and fighting of corruption and crime to units; to follow, urge and check the implementation of directive opinions and conclusions of the Steering Committee, the Head of the Steering Committee; to synthesize and report to the Head of the Steering Committee on the prevention and fighting of corruption and crime in banking sector.

7. To perform other tasks which are assigned by the Steering Committee and the Head of the Steering Committee.

Section 2.

THE STEERING COMMITTEES OF PREVENTION AND FIGHTING OF CORRUPTION AND CRIME AT UNITS

Article 8. The Steering Committee at a State Bank branch of a province/city

1. Members of the Steering Committee

a. The Steering Committee at the State Bank branch of the province/city is established according to the Decision of the Director of the State Bank branch of such province/city; and be headed by the Head of the Party Executive Committee, the Party organization of the State Bank branch of province/city.

b. The Chief of the Banking Supervision Agency of the State Bank branch of province/city is the Standing Deputy Head of the Steering Committee.

c. Depend on specific situation in the locality, it is possible to arrange an additional Deputy Head of the Committee.

d. Members of the Steering Committee is the heads of the Party Executive Committees or Party organizations or the heads of the agencies or organizations of several credit institutions’ branches in the locality. The number of members of the Steering Committee is decided by the Head of the Steering Committee depending on the actual situation of the locality.

2. Tasks and powers of the Steering Committee

a. The Head of the Steering Committee takes responsibility to the Governor of the State Bank - the Head of the Steering Committee on prevention and fighting of corruption and crime in banking sector in directing and organizing the implementation of programs and plans to conduct documents of the Party and the State and the banking sector on implementation of anti-corruption and -crime law to credit institutions on the locality; to summon and preside periodic or irregular Steering Committee meetings, to conclude and organize the implementation on behalf of the Steering Committee; to assign the focal unit to give advice and assist the Steering Committee and assign specific tasks to the Deputy Head of the Steering Committee and members of the Steering Committee according to each field and area of operation.

b. To formulate programs and plans of the Steering Committee on implementing anti-corruption and -crime law provisions.

c. To coordinate with the anti-corruption and -crime advisory agencies at province/city level and local authority on directing and organizing the implementation of programs, plans and documents of the Party, the State, Party Executive Committee, local authority and banking sector on implementation of the anti-corruption and -crime law.

d. To direct, inspect and urge branches of credit institutions in the province/city to implement programs, plans and documents of the Party, the State, Party Executive Committee, local authority and the banking sector on implementation of the anti-corruption and -crime law; to synthesize the situation, implementation results and report to the Steering Committee of prevention and fighting of corruption and crime in banking sector in accordance with law provisions; for cases of corruption causing loss of large amounts of money, the report must be fully and in detail.

dd. To give advices and suggestions to the Steering Committee of prevention and fighting of corruption and crime in banking sector on handling issues on the anti-corruption and -crime work.

Article 9. The Steering Committee at a non-business unit, enterprise affiliated to the State Bank; credit institution or the Deposit Insurance of Vietnam

1. The establishment of the Steering Committee

a. A unit with an organizational network consisting of the head office and affiliated units/branches must establish the Steering Committee of prevention and fighting of corruption and crime to direct the anti-corruption and -crime work for the whole system.

b. The Steering Committee of prevention and fighting of corruption and crime at the unit shall consider and decide to implement the model of the Steering Committee of prevention and fighting of corruption and crime at its units/branches in accordance with the organizational model and operation situation.

2. Members of the Steering Committee (at the headquarter)

The Head of the Steering Committee is held by the head of the Party Executive Committee or Party organization or the head of such agency or organization. The remaining positions are assigned by the Head of the Steering Committee in accordance with the operation situation of the unit. The number of members of the Steering Committee shall be decided by the Head of the Steering Committee.

3. Tasks and powers of the Steering Committee

a. The Head of the Steering Committee takes responsibility to the Governor of the State Bank - the Head of the Steering Committee of prevention and fighting of corruption and crime in banking sector in directing and organizing the implementation of programs and plans to conduct legal documents of the Party and the State and the banking sector on implementation of anti-corruption and -crime law at the own unit system; to assign the focal unit to give advice and assist the Steering Committee and assign specific tasks to the Deputy Head of the Steering Committee and members of the Steering Committee.

b. To coordinate with the Steering Committee of prevention and fighting of corruption and crime of the State Bank branch at the province/city in directing and organizing the implementation of programs, plans and documents of the Party, the State, Party Executive Committee and local authority and banking sector on implementation of the anti-corruption and -crime law of units/branches in the system.

c. To direct, inspect and urge affiliated units/branches to implement anti-corruption and -crime programs and plans; to synthesize the situation, implementation results and report to the Steering Committee of prevention and fighting of corruption and crime in banking sector in accordance with law provisions.

d. To give advices and suggestions to the Steering Committee of prevention and fighting of corruption and crime on banking sector and handle issues on the anti-corruption and -crime work.

Chapter III

IMPLEMENTATION

Article 10. Consolidation of the Steering Committee and development of Regulation on operation

1. Pursuant to the Regulation on operation of the Steering Committee of prevention and fighting of corruption and crime in banking sector, the heads of the units specified in Article 2 of this Regulation are responsible for consolidating the Steering Committee of prevention and fighting of corruption and crime and developing the Regulation on operation of the Steering Committee at their own units.

2. In case a member of the Steering Committee is absent from the unit for more than 03 months, he/she must notify the Head of the Steering Committee to acknowledge and assign the operation at the unit. In case that member is absent from the unit for more than 12 months or there is a change in personnel, the unit must implement the consolidation of the Steering Committee’s personnel.

Article 11. Meeting regimes

1. The Steering Committee organize meeting once every six months to synthesize and review the implementation of the programs and plans and hold irregular meetings at the request of the Head of the Steering Committee or at the request of the Deputy Head of the Steering Committee upon authorization of the Head of the Steering Committee.

2. The Standing Agency or advisory unit of the Steering Committee proposes to the Head of the Steering Committee to decide on the contents, participants, and time of meetings of the Steering Committee.

3. Members of the Steering Committee shall attend all meetings of the Steering Committee; coordinate in preparing meeting contents at the request of the Standing Agency of the Steering Committee. In case of absence, members have to report to and consult the Head of the Steering Committee or the Deputy Head of the Steering Committee who is preside over the meeting and authorize the deputy to attend the meeting instead.

Article 12. Reporting regimes

1. The Steering Committees of prevention and fighting of corruption and crime at units send the conclusions of the meetings of the Steering Committees of their units every 06 months and annually to the Steering Committee of prevention and fighting of corruption and crime in banking sector (via the Banking Supervision Agency).

2. The units report on the anti-corruption and -crime work as prescribed in the Circular No. 03/2013/TT-TTCP dated June 10, 2013 of the Government Inspectorate and the Document No. 5201/NHNN-TTGSNH dated July 19, 2013 of the State Bank until such documents are replaced by other provisions.