Circular No. 01/2014/TT-TTCP on the establishment and approval of inspection program orientations and inspection plans

CIRCULAR

Article 24||| provides for the construction and approval of guidelines

||| inspection programs, inspection plansa

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||| Pursuant to the Inspection Law No. 56/2010/QH12 dated November 15, 2010, and Government Decrees detailing and guiding the implementation of this Law;

Pursuant to Decree No. 36/2012/NĐ-CP dated April 18, 2012, of the Government stipulating the functions, tasks, powers, and organizational structure of Ministries and ministerial-level agencies;

The Chief Inspector General promulgates this Circular amending and supplementing certain Articles of Circular No. 07/2013/TT-TTCP dated October 31, 2013 of the Government Inspectorate regarding the procedure for handling administrative complaints,

||| At the proposal of the Director of the Planning and Finance Department, the Director of the Legal Affairs Department, the Inspector General of the Government hereby provides for the construction and approval of guidelines for inspection programs and inspection plans as follows:national||| This Circular stipulates the construction and approval of guidelines for annual inspection programs and inspection plans of state inspection agencies and agencies assigned to perform specialized inspection functions; adjustment, handling of overlapping inspections, and checking the construction and implementation of inspection plans.

Chapter I

GENERAL PROVISIONS

Article 1. Scope of Regulation

||| This Circular applies to Heads of state management agencies, Heads of state inspection agencies, and Heads of agencies assigned to perform specialized inspection functions in the construction and approval of guidelines for inspection programs and inspection plans.

Article 2. Applicability

||| Article 3. Principles for constructing guidelines for inspection programs and inspection plans

||| The construction of guidelines for inspection programs and inspection plans must ensure the following principles:

||| 1. Compliance with the Party's policies and guidelines, state policies and laws; directives from higher-level state agencies; requirements and political tasks of localities, sectors, and fields.

||| 2. Ensuring clear division of responsibilities, without overlap in scope, objects, contents, and timeframes of inspections; feasibility and economy in resource utilization.

||| 3. Guidelines for inspection programs and inspection plans must be constructed in accordance with the laws on inspection and the guidance provided in this Circular.

||| Chapter

||| Article 4. Bases for constructing guidelines for inspection programsg II

DEVELOPMENT OF THE INSPECTION PROGRAM ORIENTATION

||| The construction of guidelines for inspection programs is based on the following bases:

||| 1. National Assembly resolutions on economy, society, national defense, security, and foreign affairs.

||| 2. Resolutions, projects, programs, and targets of the Government and the Prime Minister on implementing economic, social, national defense, security, and foreign affairs activities.

||| 3. Decisions, directives, and operational guidance documents of the Prime Minister.

||| 4. Decisions, directives, and operational guidance documents of the Minister; resolutions of the People's Councils and People's Committees of provinces and centrally-administered cities on economy, society, national defense, security, and foreign affairs.

||| 5. Requirements for preventing, detecting, and handling violations of law across various fields or inspection tasks, receiving citizens' complaints, resolving grievances and complaints, and combating corruption within the Inspection sector.

||| 6. Other bases as prescribed by law.

||| Article 5. Collection of information and materials for constructing guidelines for inspection programs

||| 1. The collection of information and materials for constructing guidelines for inspection programs is conducted annually and is primarily carried out by the unit entrusted by the Inspector General of the Government to provide advisory services and construct guidelines for inspection programs and inspection plans (hereinafter referred to as the main unit).

||| 2. Information and materials collected include those specified in Article 4 of this Circular and the following:

||| a) Policies and guidelines of the Party, state policies and laws on economy, society, national defense, security, and foreign affairs;

||| b) Professional and technical regulations, industry and field management rules; management and operational guidance documents of ministries, sectors, and localities to implement their functions and duties as prescribed by law;

||| c) Information related to functions, duties, powers, organization, and activities; characteristics, situations, and results of implementing tasks, compliance with policies and laws of ministries, sectors, localities, and organizations under their management;

||| d) Situations and results of inspections, audits, investigations by agencies, organizations, and individuals;

||| đ) Complaint and accusation letters; information about signs of law violations published on mass media;

||| e) Other information and materials as prescribed by law.

||| 3. The information and materials specified in Articles 4 and 5 of this Circular are non-state secrets and are collected in accordance with the provisions of the law.

3. The information and documents specified in Articles 4 and 5 of this Circular are not state secrets and are collected in accordance with the provisions of the law.

Article 6. Contents of the Inspection Program Orientation

The inspection program orientation must clearly define the purpose and requirements of inspections; key tasks of the Government Inspectorate, sectoral inspectorates, and local inspectorates for one year; serving management and operational needs of the Government, Prime Minister, ministries, sectors, provincial People's Committees, and centrally governed cities in economic, social, defense, security, and foreign affairs areas.

Article 7. Procedures and Formalities for Building the Inspection Program Orientation

Based on collected information and documents, the leading unit is responsible for coordinating with departments, units under the Government Inspectorate, ministries, sectors, localities, and related state agencies to build the inspection program orientation. The procedures and formalities for building the inspection program orientation are as follows:

1. Drafting the proposal and draft of the inspection program orientation.

2. Soliciting opinions from departments, units under the Government Inspectorate regarding the draft of the inspection program orientation.

In cases where necessary, the leading unit reports to the Chief Inspector General to solicit opinions from auditing, auditing supervision, and inspection agencies to unify the contents of the inspection program orientation.

3. The leading unit compiles and incorporates the comments from departments, units under the Government Inspectorate, and related state agencies to complete the draft of the inspection program orientation. In case there are differing opinions between the leading unit and departments, units under the Government Inspectorate or related state agencies, the leading unit reports to the Chief Inspector General for consideration and decision.

4. Before submitting the draft of the inspection program orientation to the Chief Inspector General, the leading unit must seek opinions from Deputy Chief Inspector Generals to perfect the draft of the inspection program orientation to be submitted to the Chief Inspector General.

5. Documents submitted to the Chief Inspector General for the draft of the inspection program orientation include the following:

a) Proposal for the draft of the inspection program orientation;

b) Draft of the inspection program orientation;

c) Compilation of comments from departments, units under the Government Inspectorate; comments from auditing, auditing supervision, and inspection agencies on the draft of the inspection program orientation (if applicable).

d) Other relevant information and documents (if any).

6. The leading unit must submit the draft of the inspection program orientation to the Chief Inspector General no later than October 10 each year.

Article 8. Approval of the Inspection Program Orientation

1. The draft of the inspection program orientation must be submitted to the Prime Minister for review and approval no later than October 15 each year.

2. Documents submitted to the Prime Minister for the draft of the inspection program orientation include the following:

a) Proposal for the draft of the inspection program orientation;

b) Draft of the inspection program orientation;

c) Other relevant information and documents (if any).

3. In cases where the Prime Minister provides guidance on the content of the inspection program orientation, the leading unit incorporates these comments to perfect the draft of the inspection program orientation for the Chief Inspector General to request the Prime Minister's approval.

4. After the Prime Minister approves the inspection program orientation, within five days, the leading unit is responsible for advising and assisting the Chief Inspector General in issuing guidelines for sectoral inspectors and provincial inspectors to develop inspection plans to be reviewed and approved by competent state authorities.

Chapter III

BUILDING THE INSPECTION PLAN

Article 9. Construction of the State Audit Office's inspection plan

1. Basis for developing inspection plans:

a) The inspection program orientation approved by the Prime Minister;

b) Requirements for inspection work, citizen reception, complaint resolution, and anti-corruption efforts by the Government, Prime Minister, and Chief Inspector General;

c) Requirements for state administration work; annual economic and social task implementation by ministries, sectors, and localities;

d) Cases with signs of law violations reported in the media or of public concern.

đ) Other grounds as provided by law.

2. Content of the Inspection Plan:

The inspection plan must clearly define the purpose and requirements of inspections; scope, subjects, content, and time frame of inspections; leading unit, cooperating units for inspections, and other relevant contents (if applicable).

3. Responsibilities for constructing the inspection plan:

a) The leading unit is responsible for collecting information and documents; drafting the proposal and draft of the inspection plan; soliciting opinions on the annual draft of the inspection plan of the Government Inspectorate to be reviewed and approved by the Chief Inspector General;

b) Based on assigned functions and responsibilities, departments, units under the Government Inspectorate are responsible for coordinating and providing information and documents; proposing units to be inspected for the leading unit to develop the inspection plan.

4. Collection of Information and Documents for Developing the Inspection Plan:

a) Information and documents collected for developing the inspection plan include those specified in Article 5 and Clause 1 of Article 9 of this Circular and those collected and provided by departments, units under the Government Inspectorate during the execution of their tasks;

b) When deemed necessary, the leading unit directly works with ministries, sectors, localities, or related organizations and individuals to collect information and documents for developing the inspection plan.

5. Procedures and Formalities for Developing the Inspection Plan:

a) Drafting the proposal and draft of the inspection plan;

b) Soliciting opinions from departments, units under the Government Inspectorate on the draft of the inspection plan. If necessary, meetings with auditing, inspection, and auditing supervision agencies may be conducted to unify the content of the inspection plan;

c) Incorporating comments from departments, units under the Government Inspectorate to perfect the draft of the inspection plan; seeking opinions from Deputy Chief Inspector Generals on the draft of the inspection plan before submitting it to the Chief Inspector General for review and issuance.

6. Documents submitted to the Chief Inspector General for approval of the inspection plan include the following:

a) Proposal for the draft of the inspection plan;

b) Draft of the inspection plan;

c) Compilation of comments on the draft of the inspection plan from departments, units under the Government Inspectorate; comments from auditing, inspection, and auditing supervision agencies (if applicable).

d) Other information and documents (if any).

7. The draft inspection plan shall be submitted to the General Inspector of the Government for signature and issuance no later than November 5 each year. The General Inspector of the Government shall issue the inspection plan no later than November 10 each year.

Article 10. Construction of Inspection Plans by Inspectors of Ministries, Inspectors of Provinces, and Agencies Assigned to Carry Out Specialized Inspection Functions under Ministries

1. Basis for developing inspection plans:

a) Each year, the Chief Inspector of Ministries and the Chief Inspector of Provinces shall base on the orientation of the inspection program approved by the Prime Minister; guidelines for constructing inspection plans issued by the General Inspector of the Government; requirements for state management work of ministries and provincial People's Committees; requirements for inspection, reception of citizens, handling of complaints and denunciations, and anti-corruption work of ministers and chairpersons of provincial People's Committees; cases with signs of violations published in the media or of public concern to construct inspection plans to be submitted to ministers and chairpersons of provincial People's Committees for consideration and approval in accordance with the Law on Inspection.

b) Heads of units responsible for advising on specialized inspection functions at general bureaus and bureaus assigned to carry out specialized inspection functions shall base on their functions, tasks, and annual work requirements to construct inspection plans to be submitted to the heads of agencies assigned to carry out specialized inspection functions for review before sending them to the Inspector of Ministries for consolidation and submission to the minister for approval.

2. Content of the Inspection Plan:

The inspection plan must clearly define the purpose and requirements of inspections; scope, subjects, content, and time frame of inspections; leading unit, cooperating units for inspections, and other relevant contents (if applicable).

3. Responsibilities for constructing the inspection plan:

The unit or department assigned the task of constructing inspection plans for Inspectors of Ministries, Inspectors of Provinces, and agencies assigned to carry out specialized inspection functions under Ministries shall take the lead and coordinate with other units and departments within the agency to construct annual inspection plans for Inspectors of Ministries, Inspectors of Provinces, and agencies assigned to carry out specialized inspection functions.

4. Collection of Information and Documents for Developing the Inspection Plan:

a) Inspectors of Ministries, Inspectors of Provinces, and agencies assigned to carry out specialized inspection functions under Ministries shall be responsible for collecting necessary information and materials as the basis for constructing inspection plans.

b) Information and materials collected to serve the construction of inspection plans include those specified in Article 5 and Clause 1 of Article 10 of this Circular and those collected and provided by units and departments under Inspectors of Ministries, Inspectors of Provinces, and agencies assigned to carry out specialized inspection functions under Ministries during the course of their assigned tasks.

c) When deemed necessary, Inspectors of Ministries, Inspectors of Provinces, and agencies assigned to carry out specialized inspection functions under Ministries shall directly meet with relevant agencies, organizations, and individuals to collect information and materials serving the construction of inspection plans.

5. Procedures and Formalities for Developing the Inspection Plan:

a) Drafting the proposal and draft of the inspection plan;

b) Solicit opinions from the higher-level state inspectorate agency and from related agencies and units regarding the content of the draft inspection plan when deemed necessary.

c) Incorporate comments from higher-level state inspectorate agencies and from related agencies and units to perfect the draft inspection plan (if applicable).

6. The dossier submitted to the Minister or the Chairman of the Provincial People's Committee for approval of the inspection plan shall include the following documents:

a) Proposal for the draft of the inspection plan;

b) Draft of the inspection plan;

c) Draft inspection plan of the agency assigned the function of specialized inspection (if applicable);

d) Summary of comments on the draft inspection plan from the higher-level state inspectorate agency and from related agencies and units (if applicable);

đ) Other information and materials (if any).

7. The draft inspection plan shall be submitted to the Minister or the Chairman of the Provincial People's Committee for consideration and approval no later than November 15 each year. The Minister or the Chairman of the Provincial People's Committee shall consider and approve the inspection plan no later than November 25 each year. The approval of the inspection plan must be done in writing.

8. Inspectors of Provinces shall be responsible for guiding, monitoring, urging, and inspecting the construction and implementation of annual inspection plans for Inspectors of Districts and Inspectors of Departments. Inspectors of Ministries shall be responsible for guiding, monitoring, urging, and inspecting the construction and implementation of annual inspection plans of agencies assigned to carry out specialized inspection functions under Ministries.

9. The inspection plan of Inspectors of Ministries and Inspectors of Provinces shall be sent to the Government Inspectorate no later than five days from the date of approval by the Minister or the Chairman of the Provincial People's Committee; the inspection plan of agencies assigned to carry out specialized inspection functions under Ministries shall be sent to the Inspector of Ministries no later than three days from the date of approval by the Minister for monitoring, urging, and inspecting the implementation.

Article 11. Construction of inspection plans by the Inspectorate of the Department, the Inspectorate of the district, and agencies assigned to perform specialized inspection functions under the department. (i) Name, headquarters address, contact phone number of the parties signing the contract;

1. Basis for developing inspection plans:

a) Annually, the Chief Inspector of the Department, the Chief Inspector of the district shall base on the orientation of the inspection program, guidance on building inspection plans of the provincial Inspectorate; management requirements of the department, People's Committee at the district level; inspection, reception of citizens, handling of complaints and denunciations, and anti-corruption requirements of the Director of the department, Chairman of the People's Committee at the district level; cases with signs of violation of laws published in the press or of public concern to draft an inspection plan for approval by the Director of the department, Chairman of the People's Committee at the district level in accordance with the Inspection Law;

b) The head of the agency assigned to perform specialized inspection functions under the department shall base on the functions, tasks, and annual work requirements of their agency to build an inspection plan to be sent to the Inspectorate of the Department for consolidation and submission to the Director of the department for approval.

2. Content of the Inspection Plan:

The inspection plan must clearly define the purpose and requirements of inspections; scope, subjects, content, and time frame of inspections; leading unit, cooperating units for inspections, and other relevant contents (if applicable).

3. Responsibilities for constructing the inspection plan:

The Chief Inspector of the Department, the Chief Inspector of the district, and the head of the agency assigned to perform specialized inspection functions under the department are responsible for organizing the implementation of the construction of inspection plans of their agencies in accordance with the provisions of the law and this Circular.

4. Collection of Information and Documents for Developing the Inspection Plan:

a) Information and documents collected to serve the construction of inspection plans by the Inspectorate of the Department, the Inspectorate of the district, and agencies assigned to perform specialized inspection functions under the department include the information and documents specified in Article 5 and Clause 1 of Article 11 of this Circular;

b) When deemed necessary, the Inspectorate of the Department, the Inspectorate of the district, and agencies assigned to perform specialized inspection functions under the department shall directly meet with relevant agencies, organizations, and individuals to collect other information and documents to serve the construction of inspection plans.

5. Procedures and Formalities for Developing the Inspection Plan:

a) Drafting the proposal and draft of the inspection plan;

b) Solicit opinions from the higher-level state inspectorate agency and from related agencies and units regarding the content of the draft inspection plan when deemed necessary.

c) Incorporate comments from higher-level state inspectorate agencies and from related agencies and units to perfect the draft inspection plan (if applicable).

6. Documents submitted for the Director of the department, Chairman of the People's Committee at the district level to approve the inspection plan include the following documents:

a) Proposal for the draft of the inspection plan;

b) Draft of the inspection plan;

c) Draft inspection plan of the agency assigned the function of specialized inspection (if applicable);

d) Summary of comments on the draft inspection plan from the higher-level state inspectorate agency and from related agencies and units (if applicable);

đ) Other information and materials (if any).

7. The draft inspection plan must be submitted for the Director of the department, Chairman of the People's Committee at the district level to consider and approve no later than December 5 each year. The Director of the department, Chairman of the People's Committee at the district level is responsible for approving the inspection plan no later than December 15 each year. The approval of the inspection plan must be done in writing.

8. The Inspectorate of the Department is responsible for guiding, monitoring, urging, and inspecting the construction and implementation of annual inspection plans of agencies assigned to perform specialized inspection functions under the department.

9. The inspection plan of the Inspectorate of the district, the Inspectorate of the Department must be sent back to the provincial Inspectorate no later than five days from the date of approval by the Chairman of the People's Committee at the district level, Director of the department; the inspection plan of the agency assigned to perform specialized inspection functions under the department must be sent back to the Inspectorate of the Department no later than three days from the date of approval by the Director of the department for monitoring, urging, and inspecting the implementation.

Chapter IV

ADJUSTMENT, HANDLING OF OVERLAPPING, INSPECTION OF THE CONSTRUCTION,

IMPLEMENTATION OF INSPECTION PLANS

Article 12. Adjustment of inspection plans

1. The person authorized to approve the inspection plan is also the person authorized to adjust the approved inspection plan. The adjustment of the inspection plan shall be carried out when there is overlapping regarding the scope, objects, contents, or time of inspection, or when there is a directive from the head of the state management agency, or when it is deemed necessary to ensure the effective implementation of the inspection plan.

2. The adjustment of the inspection plan must be done in writing by the person authorized to approve the inspection plan and must comply with the principles and procedures stipulated in Articles 3, 9, 10, and Article 11 of this Circular.

Article 13. Handling Overlapping Inspection Plans

During the implementation of inspection plans, if overlapping is discovered regarding scope, subjects, contents, or timeframes of inspections, the inspection agency responsible for implementing the plan must coordinate with related inspection agencies to address it. The handling of overlapping inspection plans shall be carried out as follows:

1. In cases where the inspection plan of the Government Inspectorate overlaps with the inspection plan of the Ministry Inspectorate or Provincial Inspectorate, the Government Inspectorate shall conduct the inspection.

2. When the inspection plan of the Ministry Inspectorate overlaps with the inspection plan of the specialized inspection agency under the ministry or the Provincial Inspectorate, the Ministry Inspectorate shall conduct the inspection.

In cases where the inspection plans of various Ministry Inspectorates overlap, the Ministry Inspectorate under the ministry responsible for state management over the main industry or field of activity of the inspected subject shall carry out the inspection.

In cases where the inspection plan of the Ministry Inspectorate overlaps with the inspection plan of the Provincial Inspectorate, the relevant laws on inspection and the division of administrative levels between the ministry and the provincial People's Committee shall be used to determine whether the Ministry Inspectorate or the Provincial Inspectorate is responsible for conducting the inspection.

3. When the inspection plan of the Provincial Inspectorate overlaps with the inspection plan of the Department Inspectorate or County Inspectorate, the Provincial Inspectorate shall conduct the inspection.

4. When the inspection plan of the Department Inspectorate overlaps with the inspection plan of the specialized inspection agency under the department, the Department Inspectorate shall conduct the inspection.

In cases where the inspection plans of various Department Inspectorates overlap, the Department Inspectorate under the department responsible for state management over the main industry or field of activity of the inspected subject shall carry out the inspection.

In cases where the inspection plan of the Department Inspectorate overlaps with the inspection plan of the County Inspectorate, the relevant laws on inspection and the division of administrative levels between the department and the county People's Committee shall be used to determine whether the Department Inspectorate or the County Inspectorate is responsible for conducting the inspection.

5. When multiple inspection plans overlap in terms of content, timeframe, or subjects, the provisions of Clauses 1, 2, 3, and Clause 4 of Article 13 of this Circular shall be applied to handle the situation.

Article 14. Supervision of the Construction and Implementation of Inspection Plans

1. The supervision of the construction and implementation of inspection plans shall be conducted by higher-level inspection agencies for lower-level inspection agencies or specialized inspection agencies to ensure that the construction and implementation of inspection plans comply with the relevant laws on inspection; the approval of the competent authority regarding the scope, subjects, contents, and timeframe of inspections; and to prevent, detect, and resolve overlapping issues in inspection plans.

2. The authority to conduct such supervision shall be as follows:

a) The Government Inspectorate supervises the construction and implementation of inspection plans of the Ministry Inspectorates and Provincial Inspectorates;

b) The Ministry Inspectorate supervises the construction and implementation of inspection plans of specialized inspection agencies under the ministry;

c) The Provincial Inspectorate supervises the construction and implementation of inspection plans of County Inspectorates and Department Inspectorates;

d) The Department Inspectorate supervises the construction and implementation of inspection plans of specialized inspection agencies under the department.

3. Such supervision shall be conducted periodically every six months or annually, or at random. The duration of supervision shall not exceed three working days for a unit supervised by the Government Inspectorate, two working days for a unit supervised by the Ministry Inspectorate or Provincial Inspectorate, and one working day for a unit supervised by the Department Inspectorate.

Prior to conducting supervision, the higher-level state inspectorate agency must send a written notice to the lower-level state inspectorate agency or specialized inspection agency specifying the time, location, content, and members of the supervision team.

4. The supervised agency has the responsibility to prepare relevant information and documents and report on the construction and implementation of inspection plans according to the requirements of the supervising agency to ensure the quality and effectiveness of the supervision.

5. The supervision team has the responsibility to conduct supervision strictly according to the specified time, location, and content without causing difficulties or inconvenience to the supervised unit. Upon completion of the supervision, the supervision team must submit a written report on the results of the supervision to the head of the state inspectorate agency conducting the supervision. The report must include the following details:

a) The situation and results of the construction and implementation of inspection plans by the supervised unit;

b) Difficulties and obstacles encountered in the construction and implementation of inspection plans or overlapping inspection plans (if any);

c) Recommendations for handling difficulties, obstacles, or overlapping (if any);

đ) Other contents (if any).

Chapter V

IMPLEMENTING PROVISIONS

Article 15. Implementation Organization

The Minister, Head of a Ministerial-Level Agency, Head of an Agency under the Government, Chairman of the People's Committee of a centrally governed city, and Heads of agencies assigned specialized inspection functions; Chief Inspectors of Ministries, Chief Inspectors of Provinces shall guide in detail the construction of inspection plans within their respective jurisdictions based on the provisions of this Circular.

Article 16. Awards and Handling of Violations

1. Organizations and individuals with achievements in building and implementing inspection program orientations and plans shall be awarded according to current regulations.

2. Organizations and individuals who violate in building and implementing inspection program orientations and plans shall be handled according to the level and nature of the violation as prescribed by law.

3. The construction and implementation of inspection program orientations and plans shall be included in the annual competition and award criteria of agencies, organizations, and units.

Article 17. Effective Date

This Circular takes effect from July 1, 2014.

During implementation, if there are difficulties or new issues arise, agencies, organizations, and individuals shall promptly report to the Government Inspectorate for guidance or amendments.