Circular No. 01/2009/TT-TTCP stipulates the procedures for handling complaints.

CIRCULAR

Regulations on the procedure for handling complaints

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Based on the Law on Complaints and Appeals 1998 (amended and supplemented in 2004 and 2005);

Based on Decree No. 136/2006/NĐ-CP dated November 14, 2006 of the Government detailing and guiding the implementation of certain provisions of the Law on Complaints and Appeals and the Laws Amending and Supplementing Certain Provisions of the Law on Complaints and Appeals;

Based on Decree No. 65/2008/NĐ-CP dated May 20, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Government Inspectorate,

The Government Inspectorate hereby stipulates the procedure for handling complaints as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular specifies the procedures, formalities, and contents of the business process for handling complaints, including preparation, implementation, and conclusion of complaint resolution.

Article 2. Applicability

1. This Circular applies to administrative state agencies; organizations, units, individuals with authority under administrative state agencies when conducting complaint resolution.

2. The resolution of complaints through the activities of inspection teams shall be carried out according to the Regulation on the operation of inspection teams and other relevant regulations, while also implementing the procedures stipulated in Article 4 and Article 21 of this Circular.

3. The resolution of criminal acts through complaints shall be conducted by judicial organs in accordance with the provisions of criminal procedural law.

Article 3. Principles of Implementation

1. The resolution of complaints must ensure accuracy, objectivity, truthfulness, timeliness, caution, compliance with the content and subject matter, and adherence to legal regulations.

2. Within their scope of responsibility and duties, the person resolving complaints, organizations, and individuals entrusted with verifying complaints must implement measures within their authority or coordinate with competent authorities to implement protective measures for complainants and prevent violations of the law as prescribed by law.

Chapter II

PROCEDURE FOR BUSINESS PROCESS IN COMPLAINT RESOLUTION

Section 1

PREPARATION FOR COMPLAINT RESOLUTION

Article 4. Acceptance of Complaints

1. For complaints within their jurisdiction, the complaint resolver must accept the complaint within ten days from the date of receipt, and simultaneously notify the complainant in writing about the acceptance date and the contents of the accepted complaint.

2. The notification of complaint acceptance shall be implemented according to Model Form 01 attached to this Circular.

Article 5. Issuance of Decision to Verify Complaints

1. The complaint resolver must issue a decision to verify complaints; establish a Verification Team or a Verification Group (hereinafter referred to collectively as the Verification Team) consisting of at least two people, among whom one person is appointed as the Head of the Verification Team. The decision to verify complaints must clearly record the names, positions of each member of the Verification Team (hereinafter referred to collectively as the complaint verifier), the content to be verified, the verification period, the powers, and responsibilities of the Verification Team.

2. In cases where necessary, the complaint resolver may assign tasks to the Heads of state inspection agencies or other agencies directly under their management to issue decisions to verify complaints, conclusions, and recommendations for handling complaints. The assignment of tasks by the complaint resolver shall be carried out in writing according to Model Form 02 or a notice of instructions from the complaint resolver according to Model Form 03 attached to this Circular, specifying the specific deadline for completing the verification and concluding the content of the complaint.

3. Prior to issuing a decision to verify complaints, if necessary, the person issuing the decision to verify complaints shall organize direct meetings with the complainant to clarify the content of the complaint and related issues.

4. The decision to verify complaints shall be implemented according to Model Form 04 issued together with this Circular. Any changes or additions to the content of the decision to verify complaints must be made by a decision of the person issuing the decision to verify complaints.

Article 6. Establishment and Management of Case Files for Handling Complaints

The Head of the Verification Team shall be responsible for establishing the case file for handling complaints immediately upon receipt of the verification decision on complaints, and organizing the management and transfer of the file in accordance with Decision No. 2278/2007/QĐ-TTCP dated October 24, 2007 of the General Inspector on the issuance of regulations on the establishment, management, and storage of inspection files, complaint resolution files, and appeal resolution files.

Article 7. Plan for Verifying Complaints

1. Contents of the plan for verifying complaints include:

a) Legal basis for conducting verification;

b) Purpose and requirements of the verification;

c) Content of verification;

d) Units and individuals that need to be interviewed to collect, verify information, documents, and evidence;

đ) Conditions and means serving the verification process;

e) Estimated time for implementing each determined task; reserve time to handle arising tasks to ensure the verification deadline according to the verification decision on complaints;

g) Timepoint for reporting the progress of verifying complaints, form of progress report;

h) Other contents (if any).

2. The Head of the Verification Team shall be responsible for drafting the plan for verifying complaints to submit for approval by the person issuing the verification decision before conducting the verification of complaints; actively implement the approved verification plan and be directly guided by the person issuing the verification decision.

3. In cases where the person issuing the verification decision assigns a subordinate unit to lead the verification and the Head of the Verification Team is directly guided by the head of that unit, then:

a) The head of the leading verification unit shall be responsible for reviewing the verification plan. The Head of the Verification Team shall complete the verification plan according to the review content of the head of the leading verification unit and sign the plan to submit for approval by the person issuing the verification decision. When the Head of the Verification Team has different opinions from the head of the leading verification unit regarding the content of the verification plan, they must report in writing to the person issuing the verification decision.

b) During the verification process, the Head of the Verification Team shall simultaneously be directly guided by the person issuing the verification decision and the head of the leading verification unit. When there is conflicting guidance between the person issuing the verification decision and the head of the leading verification unit, the Head of the Verification Team shall implement according to the guidance of the person issuing the verification decision while reporting the matter to the head of the leading verification unit.

Section 2

 CONDUCTING VERIFICATION OF COMPLAINT CONTENT

Article 8. Delivering the Verification Decision on Complaints to the Person Being Complained Against

1. The Head of the Verification Team shall be responsible for delivering the verification decision on complaints to the person being complained against no later than fifteen days from the date of issuance of the verification decision on complaints. If the person being complained against is an agency or organization, the verification decision on complaints shall be delivered to the head or the legally authorized representative of that agency or organization. The delivery of the verification decision on complaints must be recorded in a protocol signed by the deliverer and the recipient. The protocol must be made in at least two copies and one copy must be handed over to the recipient.

2. In necessary cases, the person issuing the verification decision on complaints shall organize the announcement of the verification decision on complaints to the person being complained against. When announcing the verification decision on complaints, the announcer reads the full text of the verification decision on complaints, clearly states the rights and obligations of the person being complained against; delivers the verification decision on complaints and informs the person being complained against of the schedule for meetings and other related matters (if any). The announcement of the verification decision on complaints must be recorded in a protocol signed by the announcer and the person being complained against. The protocol must be made in at least two copies and one copy must be handed over to the person being complained against.

Article 9. Directly working with the accused person

1. The person verifying the complaint must directly work with the accused person. Based on studying and analyzing existing files, the person verifying the complaint proposes specific contents to request the accused person to provide written explanations regarding the complained matters and to provide relevant information, documents, and evidence related to the complaint and the explanations.

2. In cases where the written explanation from the accused person, provided information, documents, and evidence do not clearly or fully reflect the required content, the person verifying the complaint requests the accused person to continue providing written explanations, additional information, documents, and evidence, or to directly work with the accused person to clarify unresolved issues. The content of working with the accused person to explain unresolved issues must be recorded in a protocol signed by the accused person and the person verifying the complaint. The protocol must be made in at least two copies and one copy must be handed over to the accused person.

Article 10. Directly working with the complainant

1. The person verifying the complaint must directly work with the complainant to clarify the complained matters, and simultaneously request the complainant to provide relevant information, documents, and evidence related to the complaint. The content of working with the complainant must be recorded in a protocol signed by the complainant and the person verifying the complaint. The protocol must be kept in the case file.

2. In cases where it is impossible to directly work with the complainant due to objective reasons or at the request of the complainant or to protect the complainant, the person deciding to verify the complaint must issue a written request for the complainant to provide relevant information, documents, and evidence related to the complaint.

Article 11. Requesting relevant agencies, organizations, and individuals to provide information, documents, and evidence related to the complaint

1. The request for relevant agencies, organizations, and individuals to provide information, documents, and evidence related to the complaint is carried out through a written document issued by the person deciding to verify the complaint.

2. If necessary, the person deciding to verify the complaint may issue a written document or introduction letter to send the person verifying the complaint to work with relevant agencies, organizations, and individuals to directly request the provision of relevant information, documents, and evidence. The contents requested by the person verifying the complaint must be recorded in a protocol signed by the person verifying the complaint and confirmed by the agency, organization, or individual being requested. The protocol must be made in at least two copies and one copy must be handed over to that agency, organization, or individual.

Article 12. Collecting and processing information, documents, and evidence related to the complaint case

1. The person verifying the complaint must study and collect information, documents, and evidence related to the complaint content and according to the requirements for resolving the complaint. The collection of information, documents, and evidence must closely follow the complaint content and the verification plan. Collected information, documents, and evidence must be recorded in notebooks or protocols and stored in the complaint resolution file. When receiving documents and evidence directly provided by the complainant, the accused person, or relevant agencies, organizations, and individuals, a receipt form number 05 attached to this Circular must be issued.

2. Collected documents must clearly indicate their source. If the original is not collected, when collecting a copy, the recipient must compare it with the original. If there is no original to compare, this must be noted in the document receipt. Documents provided by agencies and organizations must be certified true copies or stamped with a seal by those agencies and organizations. Documents provided by individuals must be signed by the provider at the bottom margin of the document. If a document is missing pages, has illegible text, is too old or faded to read accurately, the collector must note the condition of the document in the document receipt.

3. The person verifying the complaint must check the authenticity of the collected information, documents, and evidence, paying particular attention to the documents and evidence presented by the complainant to accuse violations and those presented by the accused person to explain and prove the correctness or incorrectness of the complaint content. For documents and evidence used as a basis for concluding the complaint content, the origin, objectivity, relevance, and legality of these documents and evidence must be clarified.

4. The person verifying the complaint must evaluate and assess the evidentiary value of the collected information, documents, and evidence based on compliance with principles in handling complaints. Collected information, documents, and evidence must be used in accordance with legal regulations, strictly managed, and only provided or published upon permission from authorized persons.

Article 13. Verification of Actual Facts

1. Based on the verification plan, case file, circumstances of the case, or instructions from the person issuing the verification decision for complaints, the Head of the Verification Team shall organize the verification of actual facts at necessary locations to collect, check, and determine the accuracy and legality of relevant documents and evidence related to the content of the case.

2. The verification of actual facts must be recorded in a protocol detailing the results of the verification, opinions of those participating in the verification, and other relevant persons (if any). The protocol must bear the signatures of the person in charge of the verification, other relevant persons, and be kept in the case file.

Article 14. Request for Expert Appraisal

1. In cases where the person handling the complaint, the person issuing the verification decision for complaints, or the person verifying the complaint lacks sufficient conditions to conclude on the extent of damage caused by the violation of laws; the legality and accuracy of the documents and evidence provided by the complainant, the accused, or related agencies, organizations, and individuals, or other documents and evidence affecting the conclusion and resolution of the complaint, it is necessary to request the competent authority to appraise these contents in accordance with the provisions of the law.

2. The request for expert appraisal is carried out in writing by the person issuing the verification decision for complaints according to Model No. 06 attached hereto. The request for expert appraisal must clearly state the name of the agency, organization, or individual requested for the appraisal; the name of the document or evidence to be appraised; the content of the appraisal requirements for each document or evidence, and the deadline for providing the appraisal conclusion.

Article 15. Extension of Time for Verifying Complaints

1. The person issuing the verification decision for complaints decides on the extension of time for verifying complaints based on the following principles:

a) Where the person issuing the verification decision for complaints is also the person handling the complaint, the total extended verification time and the period from the acceptance of the complaint to the date of extension shall not exceed the time limit for resolving the complaint as prescribed by the Law on Petitions and Complaints.

b) Where the person issuing the verification decision for complaints is not the person handling the complaint, the extension of time for verifying complaints shall only be within the scope of the verification and conclusion period for the content of the complaint assigned by the person handling the complaint.

2. The decision to extend the time for verifying complaints shall be made according to Model No. 07 attached hereto.

Article 16. Reporting the Results of Verifying Complaints

1. The Head of the Verification Team must report in writing about the results of verifying complaints to the person issuing the verification decision for complaints. The reporting document must be discussed and have contributions from members of the Verification Team. The report on the results of verifying complaints shall be made according to Model No. 08 attached hereto.

2. Where the case involves multiple contents and through verification, signs of criminal offenses are discovered, the Verification Team shall immediately separate such content and report it to the person issuing the verification decision for that person to conclude and handle according to their authority or promptly propose appropriate measures in accordance with the law.

3. Where the person issuing the verification decision assigns a subordinate unit to lead the verification and the Head of the Verification Team is directly under the direction of the head of that unit, the head of the leading verification unit shall be responsible for reviewing the Verification Team's report on the results of verifying complaints. The Head of the Verification Team shall complete the report on the results of verifying complaints according to the review content of the head of the leading verification unit and sign the report to submit to the person issuing the verification decision for complaints. When there are differing opinions between the Head of the Verification Team and the head of the leading verification unit, the Head of the Verification Team must clearly state this in the report on the results of verifying complaints.

Article 17. Seeking advisory opinions to conclude the content of complaints

For complex cases, when deemed necessary, the person issuing the decision to verify complaints shall organize seeking advisory opinions from relevant specialized agencies, higher-level management agencies, or other related agencies, organizations, or individuals before concluding the content of the complaint.

Section 3

CONCLUSION OF COMPLAINT RESOLUTION

Article 18. Notification of draft conclusions on the content of complaints

1. Prior to issuing the conclusion on the content of complaints, the person issuing the decision to verify complaints must organize the notification of the draft conclusion on the content of complaints to the person being complained against. In necessary cases, the draft conclusion may be notified to related agencies, organizations, or individuals. The form of notification of the draft conclusion is direct notification during the meeting, without sending a draft document. If the draft conclusion contains information classified as state secrets or information harmful to the complainant, such information shall not be notified.

2. The notification of the draft conclusion must be recorded in a minutes, fully documenting the opinions of those who are notified of the draft conclusion, with signatures confirming from the chairperson of the notification session and those who are notified of the draft conclusion.

Article 19. Conclusion on the content of complaints

1. Based on the content of the complaint, the explanatory documents of the person being complained against, the report on the results of verifying the complaint, the minutes of announcing the draft conclusion on the content of the complaint, related documents and evidence, and comparing with legal provisions, the person issuing the decision to verify complaints shall issue a document concluding the content of the complaint.

2. The document concluding the content of the complaint shall be implemented according to Model No. 09 attached hereto.

Article 20. Handling complaints

1. Immediately upon having a conclusion on the content of the complaint, the person resolving the complaint must base the handling on the verification results and the conclusion on the content of the complaint as follows:

a) Where there is a conclusion regarding the appropriation or loss of state or collective funds or assets by the person being complained against or other agencies, organizations, units, or individuals under the management authority of the person resolving the complaint, a Decision on recovering such funds or assets must be issued.

b) Where there is a conclusion regarding violations of laws or regulations concerning duties and public service within the authority to handle of the person resolving the complaint, procedures must be followed to issue a Decision on disciplinary action, administrative penalties, or other measures to handle the violation and compel the rectification of consequences caused by the violation according to the law.

c) Where there is a conclusion regarding violations of laws or regulations concerning duties and public service where the violator does not fall within the authority to handle of the person resolving the complaint, the person resolving the complaint shall handle it as follows:

- For violations within the authority to handle of agencies, organizations, or individuals under the management authority of the person resolving the complaint, a Decision assigning tasks for them to handle the violation must be issued. The Decision assigning tasks to handle the violation must specify the violation, the violator to be handled, and the consequences to be rectified.

- For actions indicating criminal offenses, a document transferring the violation file to the Investigation Agency or transferring it to the Prosecutor's Office if the case involves the Investigation Agency. The file transferred to the Investigation Agency or the Prosecutor's Office must be the original file and a copy must be made for storage. The transfer of the file must be recorded in a minutes according to Model No. 10 attached hereto.

- For other violations within the authority to handle of agencies, units, or individuals outside the management scope of the person resolving the complaint, a document recommending the agency, organization, or individual with the authority to handle the violation to take action must be issued.

d) Where there is a conclusion that the complainant intentionally filed a false complaint, the person resolving the complaint must take measures to handle the complainant within their authority or recommend the competent agency to handle it according to the law.

2. In the Decisions mentioned in point a, b, c, Clause 1, this Article, the person resolving the complaint must specify the time frame for completing the handling of the complaint, the responsibilities of related agencies, organizations, or individuals in organizing implementation, monitoring, urging, and reporting the results of implementation.

Article 21. Notification of conclusions and results of handling complaints

1. After handling a complaint, the person resolving the complaint must notify the contents of the conclusion and the decision on handling the complaint to the person complained against and the management agencies of the person complained against.

2. The notification of the contents of the conclusion and the decision on handling the complaint shall be carried out by sending a written conclusion on the content of the complaint and the decisions, documents on handling the complaint. In cases where the contents in these documents belong to state secrets or information harmful to the complainant, such contents must be excerpted from the documents before sending them to the person complained against and the management agency of the person complained against.

3. If the complainant requests notification of the results of complaint resolution, the person resolving the complaint shall notify the complainant in a similar manner as provided for the person complained against under Clause 2 of this Article or send a written notification of the results of complaint resolution according to Form No. 11 attached hereto, clearly stating the verification results, the conclusion on the content of the complaint, and the contents of the decisions, documents on handling the complaint.

4. If the complainant does not request notification of the results of complaint resolution but through verification it has been concluded that all or part of the content of the complaint is not true, the person resolving the complaint still must notify in writing to the complainant about the contents of the complaint that were found to be untrue.

Chapter III

IMPLEMENTING PROVISIONS

Article 22. Implementation organization

1. This Circular takes effect from February 1, 2010.

2. Ministries, ministerial-level agencies, agencies under the Government, provincial People's Committees, and centrally-administered city People's Committees shall organize implementation based on this Circular and direct, urge, and inspect the agencies, organizations under their management in implementing the complaint resolution process.

Article 23. Amendment and Supplement

During the course of implementation, if there are difficulties, obstacles, or new issues arising, agencies, organizations, units, and individuals shall promptly reflect to the Government Inspectorate for guidance or amendment and supplement./.