Circular No. 01/2016/TT-BTP guiding the implementation of certain administrative procedures and business forms in civil enforcement proceedings.

CIRCULAR

HGuidelines for implementing certain administrative management procedures and business forms in civil enforcement proceedings

 and in civil enforcement proceedings

____________________

 

Pursuant to the Civil Enforcement Act No. 26/2008/QH12 dated November 14, 2008, amended and supplemented by some articles pursuant to Law No. 64/2014/QH13 dated November 25, 2014;

Pursuant to Decree No. 22/2013/NĐ-CP dated March 13, 2013, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Justice;

Pursuant to Decree No. 62/2015/NĐ-CP dated July 18, 2015 of the Government detailing and guiding the implementation of certain articles of the Civil Enforcement Law;

On the basis of Decree No. 18/2002/ND-CP dated December 18, 2002 of the Government on promulgating the Regulation on Management of Evidence Storage; Decree No. 70/2013/ND-CP dated July 2, 2013 of the Government amending and supplementing certain articles of the Regulation on Management of Evidence Storage issued together with Decree No. 18/2002/ND-CP dated December 18, 2002 of the Government;

The Minister of Justice issues this Circular guiding the implementation of certain administrative management procedures and business forms in civil enforcement proceedings as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular guides certain administrative procedures and business forms in civil enforcement, including:

1. The publication, updating, supplementation, amendment, management, exploitation, use, and provision of information about persons subject to enforcement who have not yet met the conditions for enforcement on the website of the Civil Enforcement Agency and the portal of the General Department of Civil Enforcement under the Ministry of Justice;

2. Implementation of certain administrative management procedures in civil enforcement proceedings, including: receipt and delivery, preservation, handling of evidence, seized assets, temporary detention; collection and disbursement of enforcement funds; inspection and reporting systems on civil enforcement;

3. Establishment, use, preservation, and storage of enforcement case files and records; various types of business forms; management and use of civil enforcement business forms.

Article 2. Applicability

This Circular applies to agencies managing civil enforcement, civil enforcement agencies, individuals engaged in civil enforcement work, and other agencies, organizations, and individuals related to civil enforcement work.

Chapter II

PUBLIC INFORMATION OF PERSONS SUBJECT TO ENFORCEMENT WHO HAVE NOT YET MET THE CONDITIONS FOR ENFORCEMENT

NOT YET MET THE CONDITIONS FOR ENFORCEMENT

 

Article 3. Principles for publicizing information of persons subject to enforcement who have not yet met the conditions for enforcement

1. Publicizing information of persons subject to enforcement who have not yet met the conditions for enforcement must ensure accuracy, transparency, completeness of content, compliance with prescribed form and time.

2. The head of the civil enforcement agency issuing a decision on the absence of enforcement conditions shall be responsible for the accuracy of the publicly disclosed information.

3. Publicizing information of persons subject to enforcement who have not yet met the conditions for enforcement based on judgments and decisions of Military Courts shall be carried out upon the request of enforcement agencies under the Ministry of National Defense.

Article 4. Content, form openly of information of persons subject to enforcement who have not yet met the conditions for enforcement

1. The content of publicizing information of persons subject to enforcement who have not yet met the conditions for enforcement includes basic information: name, address of the person subject to enforcement; judgment number, decision number of the Court, decision on competition cases of the Competition Dispute Resolution Council, arbitration award, decision of the Commercial Arbitration; enforcement decision; unfulfilled obligations and reasons for not having the conditions for enforcement.

2. Information about persons subject to enforcement who have not yet met the conditions for enforcement shall be publicized in the form of posting and integration at the section “List of Persons Subject to Enforcement Who Have Not Yet Met the Conditions for Enforcement” on the website of the Civil Enforcement Agency and the portal of the General Department of Civil Enforcement under the Ministry of Justice.

Article 5. Procedure, process for publicizing information of persons subject to enforcement who have not yet met the conditions for enforcement

Within five working days from the date of issuing the decision on the lack of conditions for enforcement, the civil enforcement agency shall prepare a list of persons subject to enforcement who have not yet met the conditions for enforcement according to the model in Appendix VII. The Civil Enforcement Agency shall organize the posting of the list of persons subject to enforcement who have not yet met the conditions for enforcement within its jurisdiction on the website of the Civil Enforcement Agency, and simultaneously send it to the General Department of Civil Enforcement for integration on the portal of the General Department of Civil Enforcement under the Ministry of Justice.

Article 6. Amendment, Termination of Publicizing Information of Persons Subject to Enforcement Who Have Not Yet Met the Conditions for Enforcement, Termination of Publicizing Information of Persons Subject to Enforcement Who Have Not Yet Met the Conditions for Enforcement

1. In cases where information about persons subject to enforcement who have not yet met the conditions for enforcement has been publicly disclosed and there are changes or errors, the civil enforcement agency that issued the decision on non-enforcement due to lack of conditions must adjust, amend, and re-disclose such information in accordance with the provisions of the law.

2. Within two working days from the date of the decision to suspend enforcement or the date of receipt of a document confirming that the person subject to enforcement has fully performed their enforcement obligations, or when there is evidence indicating that the person subject to enforcement has met the conditions for enforcement, the civil enforcement agency must terminate the public disclosure of such information on the Civil Enforcement Agency’s Electronic Information Portal to cease integration on the General Department of Civil Enforcement’s Electronic Information Portal through the method of transferring the previously disclosed information to a non-display status.

Article 7. Responsibilities of Civil Enforcement Management Agencies

1. Responsibilities of the General Bureau of Civil Enforcement

a) Accurately integrate and fully disclose the information of persons subject to enforcement who have not yet met the conditions for enforcement on the Electronic Information Portal of the General Department of Civil Enforcement under the Ministry of Justice and update, supplement, and correct the information within the prescribed time limit;

b) Guide the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement on the Civil Enforcement Electronic Information Portal in accordance with the provisions of the law;

c) Direct, inspect the Civil Enforcement Agencies and District Civil Enforcement Agencies in implementing tasks related to the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement;

d) Coordinate with the Civil Enforcement Agency of the Ministry of National Defense to implement the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement according to the decisions on non-enforcement due to lack of conditions issued by enforcement agencies in the military;

e) Ensure financial resources, technical conditions, bandwidth capacity, and software support for the implementation of the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement.

2. Responsibilities of the Civil Enforcement Department of the Ministry of National Defense

a) Coordinate with the General Department of Civil Enforcement under the Ministry of Justice to implement the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement according to the decisions on non-enforcement due to lack of conditions issued by enforcement agencies in the military;

b) Guide, direct, and inspect the Military Region Civil Enforcement Departments in implementing tasks related to the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement on the Civil Enforcement Agency’s Electronic Information Portal, where the person subject to enforcement who has not yet met the conditions for enforcement resides or works.

Article 8. Responsibilities of Civil Enforcement Agencies at the Provincial Level and Equivalentauthority organize credit institutions, foreign bank branches are responsible for organizing the implementation of this Circular.civil enforcement agency at the provincial level and Equivalent

1. Responsibilities of the Civil Enforcement Bureau

a) Direct, urge, and inspect subordinate District Civil Enforcement Agencies to establish lists of information of persons subject to enforcement who have not yet met the conditions for enforcement ensuring accuracy;

b) Fully disclose the information of persons subject to enforcement who have not yet met the conditions for enforcement on the Electronic Information Portal and update, supplement, and change the information within the prescribed time limit;

c) Regularly inspect, monitor, adjust the publicly disclosed information, and promptly report to the General Department of Civil Enforcement any difficulties or obstacles encountered during the implementation process for unified guidance and resolution;

d) Allocate sufficient resources, assign tasks, and guide coordination among units within the Civil Enforcement Agency and District Civil Enforcement Agencies to implement tasks related to the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement on the Civil Enforcement Electronic Information Portal in accordance with the provisions of the law;

e) Coordinate with the Military Region Civil Enforcement Departments to implement the public disclosure of information of persons residing in the area who have not yet met the conditions for enforcement according to the decisions on non-enforcement due to lack of conditions issued by enforcement agencies in the military.

2. Responsibilities of the Military Region Enforcement Office

a) Regularly compile and review the information of persons subject to enforcement who have not yet met the conditions for enforcement; establish a list of persons subject to enforcement who have not yet met the conditions for enforcement, report to the Civil Enforcement Agency of the Ministry of National Defense, and send it to the Civil Enforcement Agency where the person subject to enforcement who has not yet met the conditions for enforcement resides or works, serving the purpose of publicizing information on the Electronic Information Portal in accordance with the provisions of the law;

b) Coordinate with the Civil Enforcement Agency where the person subject to enforcement who has not yet met the conditions for enforcement resides or works to inspect and review the data of the information of persons subject to enforcement who have not yet met the conditions for enforcement that has been publicly disclosed to promptly identify any errors requiring adjustment, supplementation, correction, report to the Civil Enforcement Agency of the Ministry of National Defense, and send it to the Civil Enforcement Agency for handling in accordance with the regulations.

Article 9. Responsibilities of the Enforcement Agency at the district level

1. Publicize all information about persons subject to enforcement who have not yet met the conditions for enforcement, ensuring timeliness, accuracy, and completeness according to the model prescribed in Appendix VII and send it to the Civil Enforcement Office in accordance with Clause 1 of Article 5 of this Circular.

2. Regularly review and check the information of persons subject to enforcement who have not yet met the conditions for enforcement that has been publicly disclosed on the Civil Enforcement Office's website to promptly identify any errors that need correction, supplementation, or rectification and send them to the Civil Enforcement Office for handling in accordance with the provisions of the law.

Article 10. Handling complaints, cities, centrally governed municipalities; reports related to the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement

The handling of complaints related to the public disclosure of information of persons subject to enforcement who have not yet met the conditions for enforcement shall be carried out in accordance with the provisions of the law on complaints and reports in civil enforcement.

Chapter III

SOME ADMINISTRATIVE PROCEDURES IN CIVIL ENFORCEMENT ACTIVITY

Section 1

HANDOVER, STORAGE, AND DISPOSITION OF EVIDENCE ITEMS, TEMPORARILY HELD ASSETS

Article 11. Handover and receipt of evidence items and assets

1. The civil enforcement agency is responsible for receiving and storing evidence items and assets transferred from the police agency or investigation agencies within the military from the time the prosecution issues a decision to transfer evidence.

2. The procedures for handing over and receiving evidence items and assets shall be implemented in accordance with Articles 122 and 123 of the Civil Enforcement Law. The handover and receipt record must be made in four copies; each party to the handover and receipt retains one copy, the accounting department of the receiving party retains one copy, and one copy is kept in the enforcement case file. In cases where there is no enforcement case file, one copy may be temporarily stored in the accounting department of the enforcement agency.

Article 12Storage of Evidence Items and Assets

1. Evidence items and temporarily held assets must be stored in accordance with the law; there must be clear and complete records.

Evidence items and assets stored in warehouses must be neatly arranged scientifically, labeled with stickers indicating the name of the case and the name of the owner of the asset (if applicable) attached to each type of asset. The storage of evidence items and assets must ensure they are not mistaken, lost, damaged, depreciated in value for use or evidentiary purposes, or cause environmental pollution, harm to state assets, organizations, individuals, and human life and health.

Evidence items transferred by the investigation agency but not yet concluded in court proceedings must be separately arranged and preserved, not mixed with evidence items and assets of cases that have enforcement decisions.

In cases where the quantity of evidence items and assets is too large to be stored at the civil enforcement agency, depending on specific circumstances, the head of the civil enforcement agency may hire agencies or units with storage conditions.

For the storage of cash, negotiable instruments, gold, silver, precious metals, precious stones, antiques, weapons, explosives, flammable materials, toxic substances, radioactive materials, animals, plants, and other evidence items related to the medical field requiring special storage conditions, the storage shall be carried out in accordance with Clause 6 of Article 1 of Decree No. 70/2013/ND-CP dated July 2, 2013, of the Government amending and supplementing certain articles of the Regulation on the Management of Evidence Warehouses (annexed to Decree No. 18/2002/ND-CP dated December 18, 2002, of the Government).

Persons entrusted with the responsibility of storing evidence items and assets or other agencies, organizations, and individuals when discovering the loss, damage, or change in the sealed condition of evidence items and assets must promptly report to the head of the civil enforcement agency to take appropriate measures in accordance with the law.

2. The warehouse manager can only enter or exit evidence items and assets upon orders from the head of the civil enforcement agency or a person authorized by the head of the civil enforcement agency. Orders for entering or exiting the warehouse must follow the unified form provided in Appendix VI of this Circular. When entering or exiting the warehouse, the warehouse manager is responsible for checking the entry and exit orders and necessary documents of the person delivering or receiving the evidence items and assets. The entry and exit of evidence items and assets must be recorded on entry and exit forms in accordance with the regulations of the Ministry of Finance.

3. In cases where evidence items need to be extracted for litigation activities, the requesting agency must submit a written request to the civil enforcement agency. Based on the request of the requesting agency, the head of the civil enforcement agency decides to issue an order to extract the evidence items from the warehouse for transfer to the requesting agency. The requesting agency must collect the evidence items from the warehouse of the civil enforcement agency or from the location where the evidence items are being held and bear the responsibility for transporting and storing the evidence items during their management. The handover and receipt of evidence items after extraction for use in litigation activities shall be carried out in accordance with the guidance provided in Article 11 of this Circular.

4. Annually, every six months, and quarterly, the civil enforcement agency must conduct inventory checks of the warehouses storing evidence items and assets. The inventory check of evidence items and assets must be recorded in a protocol specifying the time, date, month, and year of the inventory; the name, quantity, and condition of each type of evidence item and asset, signed by the accountant, warehouse manager, and the head of the civil enforcement agency.

Article 13Disposition of temporarily held evidence items and assets and one number issue related to court fees, fines

1. The disposition of evidence items and assets declared confiscated or surrendered to the national treasury shall be carried out in accordance with Article 124 of the Civil Enforcement Law; Article 32 of Decree No. 62/2015/ND-CP dated July 18, 2015, of the Government detailing and guiding the implementation of some articles of the Civil Enforcement Law regarding civil enforcement procedures and related legal documents.

2. The head of the civil enforcement agency shall issue a decision to establish a Committee for the Destruction of Evidence Items and Assets in accordance with Article 125 of the Civil Enforcement Law and Article 33 of Decree No. 62/2015/ND-CP dated July 18, 2015, in the following cases:

a) Evidence items and assets subject to destruction according to the judgment or decision;

b) Assets that cannot be sold or are damaged and have no remaining value for use as stipulated in Clause 3 of Article 126 of the Civil Enforcement Law;

c) Assets of the person subject to enforcement in cases of forced eviction or transfer of land use rights but are damaged and have no remaining value for use and the parties do not accept or the address cannot be determined.

The destruction of evidence items and assets must be recorded in a protocol specifying the condition of the destroyed evidence items and assets, the names and signatures of the members of the destruction committee; the protocol must be sent to the prosecution, the financial authority at the same level, and kept in the enforcement case file.

3. With respect to documents related to the assets and personal status of the parties involved in the judgment or decision that are returned to the parties, if within one year from the date of notification the parties do not come to collect them, the Enforcement Officer shall proceed with the transfer procedures to the issuing authority in accordance with Clause 3 of Article 126 of the Civil Execution Law.

4. In cases where decisions on court fees, fines, confiscation of evidence, and temporarily detained property have been executed but later errors are discovered and decisions to revoke such decisions on court fees, fines, and confiscation are made, the civil enforcement agency shall prepare a file to request the financial authority at the same level or the provincial financial authority where the civil enforcement agency of the military region has its headquarters to process the refund of the amount of money and property that has been deposited into the State Budget in accordance with Clause 4 of Article 124 of the Civil Execution Law. The request for refund includes:

a) A document requesting the refund of court fees, fines, evidence, and property by the civil enforcement agency;

b) Decisions on court fees, fines, confiscation of evidence, and property, and decisions revoking decisions on court fees, fines, and confiscation of evidence and property related to the amount of money and property to be refunded;

c) Receipts for depositing money into the State Budget according to current regulations or relevant documents concerning the handover of confiscated property (in cases where the civil enforcement agency pays on behalf of the party and the amount paid is part of the total amount paid on behalf of other parties, there must be a list detailing the names of the parties attached to the receipt);

d) Confirmation by the State Treasury where the civil enforcement agency or the party deposits money into the State Budget (specifying clearly: the total amount of court fees, fines, and confiscation deposited into the State Budget; which level of budget the State Treasury has allocated funds to and the specific Chapter, Type, Clause, Category, Section, and Subsection of the current State Budget Classification to which the amount has been recorded). The confirmation is signed by the Director of the State Treasury, with full name and seal affixed.

Section 2

ACTIVITIES COLLECTION AND EXPENDITURE OF EXECUTION FUNDS

Article 14. Receipt for Collection of Execution Funds

The use and management of receipts for collection of execution funds shall be carried out in accordance with the provisions of the accounting laws and the guidelines of the Ministry of Finance on accounting practices for execution activities.

Article 15Format of Receipt for Collection of Execution Funds

1. The person filling out the receipt must record all information on the receipt; in cases of payment on behalf of another, the full name and address of the person making the payment directly must be recorded, along with a clear indication of whom the payment is made on behalf of, the address of the person receiving the payment, and the amount down to the smallest unit.

2. The person paying the money must sign and write their full name; in cases where the party does not know how to write, they must make a thumbprint and specify which finger of which hand it is, without using any other symbols.

The section for the person collecting the money is the signature of the person directly collecting the money; for amounts collected through bank transfers, the section for the person collecting the money is signed by the accounting officer.

3. For the transfer from provisional collection to formal collection, the content of the receipt shall be as follows:

The section for the name of the payer: recorded in accordance with Clause 1 of this Article;

The section for the purpose of collection and the amount collected: the reason for the payment, the amount down to the smallest unit written in figures and words; the number, date, month, year, and the issuing authority of the decision on execution.

||| Section for the payer's signature: note "transferred from the provisional receipt to the official receipt";

The section for the collector's signature: is the signature of the enforcement accounting staff.

||| 4. For payments made through bank transfers, the receipt content shall be as follows:

||| Section for the payer's name: record according to the name of the person who has paid as stated in the bank's notification or State Treasury;

||| Section for the payment content and amount: reason for payment, amount down to the smallest unit in both figures and words; number, day, month, year, issuing authority of the enforcement decision;

||| Section for the payer's signature: record: "paid through bank transfer";

The section for the collector's signature: is the signature of the enforcement accounting staff.

||| All funds received through bank transfers must be promptly, fully, and specifically recorded in the enforcement case accounting book. Upon receiving notifications from the State Treasury or banks, if there is an enforcement decision, the accountant shall inform the Enforcement Officer responsible for the case file to issue a payment receipt; if it is a provisional receipt, notify the person managing the provisional receipt to issue a detailed receipt specifying the payer.

5. For payment receipts for enforcement judgments, the content shall be recorded as follows:

||| Section for the payer's surname and name: record the surname and name of the person directly paying into the fund (if the Enforcement Officer pays, then record the payer as the Enforcement Officer's surname and name); reason for payment; section for attachments shall clearly state the payment receipt number.

Article 16||| Deposit of enforcement execution funds into the enforcement agency's fund

||| 1. All funds collected during civil enforcement activities must be immediately deposited into the enforcement agency's fund.

||| 2. In cases where enforcement payments are collected outside the enforcement agency's office, they must be immediately deposited into the fund upon returning to the office.

||| 3. The enforcement agency may only collect gold, silver, foreign currency, and other valuables as stipulated in court judgments or decisions.

Article 17||| Procedures for payment of money and return of executed assets

||| 1. Within ten days from the date of collecting money or executing assets, the civil enforcement agency must proceed with payment and return of executed assets in accordance with the order specified in Article 47 of the Civil Enforcement Law and collect enforcement fees as prescribed by law.

||| The Enforcement Officer shall notify the parties to come and receive the money or assets. The notification to receive money or assets must clearly state that the party must bring one of the following documents when coming to receive the money or assets: citizen identification card; identity card; passport; confirmation letter from the People's Committee of the commune where they reside for verification (the above documents must be originals).

a) The party directly comes to the enforcement agency's office to receive the money.

In this case, the enforcement officer requests the accountant to process the payment procedures.

||| In this case, the Enforcement Officer requests the accountant and cashier to process the payment;

In this case, the person receiving on behalf must have a valid power of attorney and present their electronic identification account or one of the documents specified in Clause 1 of this Article. The enforcement officer requests the accountant to process the payment procedures.

||| In this case, the substitute recipient must have a valid power of attorney accompanied by one of the following documents: citizen identification card; identity card; passport; confirmation letter from the People's Committee of the commune where they reside for verification (the above documents must be originals).

The enforcement case file retains copies of the power of attorney, citizen identification card, or identity card, or passport, or confirmation letter from the People's Committee of the commune; accounting vouchers retain the original power of attorney and copies of the citizen identification card, or identity card, or passport, or confirmation letter from the People's Committee of the commune;

In this case, the party must submit a request to transfer money through the post or by bank transfer. The request must clearly state the name, address of the recipient, and bank account information (in the case of requesting a bank transfer). The request can be submitted directly or through the post.

||| In this case, the party must submit a request to transfer money via post or bank transfer. The request must clearly state the name and address of the recipient, account number (in case of bank transfer), and can be submitted directly or via post.

Based on the party's request, the Enforcement Officer requests the accountant to prepare a payment voucher and proceed to send money to the party via post or bank transfer. Postage fees for sending money via post or bank transfer are borne by the recipient and deducted from the amount they receive. The money transfer document via post and the receipt notification (copy) are kept in the enforcement case file along with the payment voucher, while the original is kept at the accounting department.

||| 3. In cases where the person subject to enforcement is a business, state agency, social organization, or economic entity and sends a legally authorized representative to receive the enforcement payment as stipulated in Clause 3, Article 49 of Decree No. 62/2015/NĐ-CP, the recipient must present a document proving their legal representation or authorization, accompanied by a citizen identification card or identity card or passport (originals) for verification.

The retention of documentation and payment vouchers in this case shall be carried out in accordance with Point b, Clause 2 of this provision.

||| 4. After fifteen days from the date of notification, if the recipient does not come to receive the money, the civil enforcement agency shall handle the matter in accordance with Clause 2 and Clause 5 of Article 49 of Decree No. 62/2015/NĐ-CP. For amounts that do not meet the conditions for depositing into a bank as stipulated in Clause 5 of Article 49 of Decree No. 62/2015/NĐ-CP, the civil enforcement agency shall deposit the money into a temporary account at the State Treasury.

The civil enforcement agency is responsible for monitoring the deposit of money into the bank or temporary account.

Article 18||| Deposit into For power plants invested under the Build-Operate-Transfer (BOT) model, n is determined according to the operational period of the power plant stipulated in the BOT contract.||| State budget

1. Deposits into the State budget are made using separate documents corresponding to each specific transaction; in cases of combined deposits from multiple transactions, a detailed list must be prepared specifying each item, deposited according to each enforcement decision and clearly stating the number, day, month, and year of each receipt. The detailed list is prepared by the Enforcement Officer and transferred to the accountant to process the deposit into the State budget.

||| When combining the deposits of various Enforcement Officers into the State budget, the accountant must consolidate the detailed lists for deposit. After depositing the money, the accountant makes copies of the deposit lists and deposit receipts corresponding to each case in the list, handing them over to the Enforcement Officer to manage and keep in each enforcement case file as required.

2. The accounting department retains the original documents, while the Enforcement Officer retains copies of the payment vouchers.

3. For refundable tax refunds within the period, if the amount paid is sufficient for the refund, the name of the refund decision and the amount refunded must be clearly stated at the bottom of the detailed payment list submitted to the State Budget.

Section 3

INSPECTION REGIME FOR ENFORCEMENT ACTIVITIES

Article 19. Principles of Inspection

1. Inspections shall not affect the normal operations of the inspected unit.

2. Inspections must be transparent, democratic; evaluations and conclusions must be accurate and objective.

3. The inspection must conclude with a conclusion on the inspected contents.

Article 20. Basis for Building the Inspection Plan

1. The annual work plan of the unit;

2. The organization plan for civil enforcement;

3. The performance indicators for civil enforcement tasks assigned annually to localities and units;

4. The results of the unit's inspection work and the unit being inspected in the reporting year and previous years;

5. The functions, duties, and authorities of the unit drafting the inspection plan;

6. Directives from competent authorities (civil enforcement management agencies, higher-level enforcement agencies...).

Article 21. Drafting the Inspection Plan

1. Annually, the Director of the Civil Enforcement General Department, the Director of the Civil Enforcement Department, and the Director of the Civil Enforcement Branch shall draft and issue their own inspection plans. The inspection plan includes:

a) Inspection plan for subordinate levels;

b) Internal unit inspection plan;

c) Inter-departmental inspection plan.

2. The inspection plan shall include the following main contents:

a) Purpose and requirements of the inspection;

b) Objectives and scope of inspection;

c) Content of the inspection;

d) Inspection methods;

đ) Implementation organization.

3. The inspection plan must be completed within the first three months of the reporting year for civil enforcement and must be submitted to the superior civil enforcement agency for reporting.

Article 22. Content of Inspection

1. Based on management requirements and practical circumstances, the Director of the Civil Enforcement General Department under the Ministry of Justice, the Director of the Civil Enforcement Department, and the Director of the Civil Enforcement Branch decide on the inspection content.

2. The inspection content must closely follow the implementation of the unit’s tasks, ensure feasibility, and achieve the set objectives. During the inspection, if issues requiring further investigation are discovered, they must be reported and guidance sought from the person who signed the inspection decision, and the inspection can only proceed after receiving that person's opinion.

Article 23. Inspection Methods

1. The inspection is conducted directly through reviewing records, case files, and hearing reports and explanations from the inspected entity.

2. In cases where necessary, the inspection team may conduct further verification and investigation to clarify issues related to the inspection content.

Article 24. Inspection Conclusion

1. The inspection conclusion must clearly state achievements, shortcomings, limitations, causes; recommendations for measures to address weaknesses; handling measures for collectives and individuals with violations in civil enforcement work; proposals to be submitted to those with authority.

2. The inspection conclusion takes effect from the date of issuance and must be sent to the inspected unit, the direct superior management body, relevant organizations, and individuals for implementation and reporting.

Section 4

REPORTING REGIME FOR ENFORCEMENT

Article 25. Principles of Reporting on Enforcement

1. Enforcement agencies must strictly, fully, and timely fulfill all reports on civil enforcement. Compliance with the reporting and statistical system for civil enforcement is one of the conditions for annual commendation and reward for units.

2. The content of the report on civil enforcement work must be comprehensive, truthful, accurate, objective, reflecting the actual situation of the unit's task implementation and meeting the reporting requirements of those with authority.

Article 26. Types of Reports in Civil Enforcement

1. Regular reports as prescribed;

2. Reports according to the work plan of the sector and the unit;

3. Ad hoc reports as required by higher-level enforcement agencies and civil enforcement management bodies; reports as required by those with authority.

Article 27. Content, scope, time limit, and method of reporting

1. The content, scope, time limit, and method of reporting shall be carried out in accordance with the provisions of the law and the requirements of the competent authority.

2. Financial and accounting reports shall be conducted in accordance with the laws on finance and accounting; the accounting regulations for civil enforcement proceedings.

3. Statistical reports on enforcement shall be conducted in accordance with laws on statistics and civil enforcement statistics.

Article 28. Responsibilities for implementing reports and reviewing reports on enforcement

1. The head of the agency where the report is implemented is responsible for the completeness, accuracy, timeliness, and content of the report.

2. To ensure the accuracy of information in the report, the agency receiving the report as prescribed by law, the head of the agency that has requested the report shall conduct a review of the report if deemed necessary.

Chapter IV

FORMS AND DOCUMENTATION FOR CIVIL ENFORCEMENT BUSINESS

Section 1

ESTABLISHMENT, USE, PRESERVATION, AND STORAGE OF RECORDS AND FILES FOR ENFORCEMENT

Article 29. Establishment, use, and preservation of enforcement case books

1. Civil enforcement agencies must establish all types of enforcement case books according to the unified models specified in Appendix I of this Circular, including:

Model 01: Book for receiving court judgments, decisions; commercial arbitration awards or competition dispute resolution boards (referred to collectively as the Judgment Receipt Book);

Model 02: Book for receiving enforcement requests;

Model 03: Civil Enforcement Case Book (initiated proactively, upon request);

Model 04: Book for issuing decisions to recover, amend, supplement, or revoke enforcement decisions;

Model 05: Book for receiving complaints and appeals regarding enforcement;

Model 06: Incoming correspondence book;

Model 07: Outgoing correspondence book;

Model 08: Book for monitoring evidence and seized, temporarily detained assets;

Model 09: Book for issuing and receiving delegated enforcement decisions;

Model 10: Book for issuing decisions on non-enforcement due to lack of conditions;

Model 11: Book for issuing decisions to suspend, temporarily halt, or continue enforcement;

Model 12: Book for monitoring enforcement relief and reduction;

Model 13: Book for issuing decisions to terminate enforcement;

Model 14: Book for issuing decisions to enforce compulsory execution;

Model 15: Book for monitoring the archiving of enforcement case files;

Model 16: Book for monitoring enforcement fee collection;

Model 17: Book for monitoring the disposal of auctioned enforcement assets;

Model 18: Book for issuing decisions to apply enforcement security measures;

Model 19: Book for monitoring and managing administrative enforcement;

Model 20: Book for issuing decisions to withdraw enforcement case files (for the Enforcement Bureau);

Model 21: Book for monitoring non-enforcement due to lack of conditions.

3. In addition to the types of registers specified in this Circular, civil enforcement agencies may establish other types of registers to serve management work and meet practical needs of civil and administrative enforcement.

3. In addition to the types of books stipulated in this Circular, enforcement agencies may establish other types of books to serve management needs and meet practical requirements of civil and administrative enforcement work.

c) Quarterly, every six months, and at the end of the fiscal year, civil enforcement agencies must complete the registers. Register completion is done by drawing a horizontal line across the page below the last sequential number of the period being completed using a pen of a different color. The content of the completion must reflect all the columns and sections guided by the register, signed by the person completing the register, and confirmed by the head of the civil enforcement agency. For accounting enforcement registers, evidence item monitoring registers, and seized asset monitoring registers, in addition to the signature of the person completing the register and confirmation by the head of the civil enforcement agency, signatures of related responsible persons such as accountants, warehouse keepers, and cashiers are also required.

4. The use and preservation of civil enforcement case books shall be implemented as follows:

All types of civil enforcement case books shall be printed on A3 size paper with hard covers according to the models specified in Appendix I of this Circular. The pages of the book shall be numbered sequentially at the bottom right corner; stamped completely and preserved carefully. The name and number of the book shall be displayed on the cover page specified in Appendix II of this Circular and on the spine of the book for easy tracking and use. Civil enforcement case books can be used for multiple years. The year of use shall be written large, bold, and clearly on the first page of each year's tracking pages. The head of the civil enforcement agency shall confirm the total number of pages on the first page of the book, the period of use (from day, month, year to day, month, year), sign and stamp the enforcement agency when transferring the book, the book cover page shall record the serial number of the book.

Enforcement case books must be recorded cleanly, fully, promptly, and accurately according to the columns already printed in the book and shall not be erased, altered arbitrarily. In cases where corrections are needed, the incorrect or mistaken content shall be crossed out, and the head of the civil enforcement agency shall sign, stamp, and take responsibility.

Annually, every quarter, and six months, civil enforcement agencies must complete the books. Book completion shall be done by using a pen of a different color to draw a horizontal line across the page below the last sequential number of the period being completed. The content of the book completion must reflect accurately and fully the columns guided by the book, signed by the person completing the book, and confirmed by the head of the civil enforcement agency. For the accounting book and the book for monitoring evidence and seized, temporarily detained assets, in addition to the signature of the person completing the book and the confirmation of the head of the civil enforcement agency, there must also be signatures of relevant persons such as accountants, warehouse keepers, and cashiers.

Article 30. Establishment and preservation of enforcement case files

1. Establishment of enforcement case files

a) Enforcement officers shall establish enforcement case files in accordance with the provisions of Article 8 of Decree No. 62/2015/NĐ-CP dated July 18, 2015 of the Government. The enforcement case file includes: judgments and decisions; handover records, handling of evidence, seized assets, temporarily detained assets; verification records, enforcement resolution records; notices; summonses; invitations; requests and complaints regarding enforcement; receipts, payment vouchers, disbursement vouchers; documents related to asset disposal for enforcement; letters and documents from civil enforcement agencies, organizations, and individuals related to enforcement, such as: letters seeking guidance on enforcement procedures; letters exchanged with individuals, agencies, and organizations involved during the enforcement process; letters requesting transfer of remaining funds or items not yet transferred to the civil enforcement agency; other relevant documents (if any).

b) The enforcement case file must have a cover printed according to the uniform model specified in Appendix II of this Circular.

Enforcement officers are responsible for recording all details of the pre-printed sections on the cover of the enforcement case file.

In cases where the cover of the enforcement case file is old, damaged, or wrinkled, it must be replaced with a new cover. The new cover must record all columns and contents of the old cover.

Documents within the enforcement case file must be carefully arranged, numbered, and listed in full in the index printed on the cover of the enforcement case file.

Enforcement officers must list and arrange documents in order starting from folio number 01 up to the last folio.

Civil enforcement agencies shall implement the engraving of folio seals for use according to the uniform model provided in this Circular. Management and use of folio seals shall be carried out in accordance with the laws on seal management and use.

2. Order of folio numbering and arrangement of documents in the enforcement case file

a) Folios shall be numbered sequentially based on the number and order of each document within the file. Folios are numbered only once. The folio number is placed in the upper right corner of each document's front page. Each document is assigned one folio number (except for enforcement decisions, judgments, and decisions which are assigned only one folio number; if there are multiple judgments and decisions, each judgment and decision is assigned one folio number). Folio numbering shall be done immediately after establishing or receiving the document, following the chronological order of receipt. If multiple documents are received at the same time, they shall be numbered in the order of issuance.

b) Documents in the file are arranged in the following order:

For proactive enforcement: the first document is the enforcement decision; the second document is the judgment or decision that the civil enforcement agency enforces.

For enforcement upon request: the first document is the enforcement decision; the second document is the document regarding the request for enforcement; the third document is the judgment or decision that the civil enforcement agency enforces.

Subsequent documents (if any) shall be arranged in order from top to bottom based on the time the civil enforcement agency receives the documents.

Documents in the enforcement case file must be recorded on page 03 of the cover of the enforcement case file (Document List), starting from folio number 01 and continuing with subsequent folios.

Example:

Article 31. Archiving execution case files and records

1. Prior to archiving execution case books and files, the civil enforcement agency must conduct inspections, organize, and complete procedures to ensure completeness and thoroughness.

2. After the completion of the execution process, the Enforcement Officer responsible for organizing the execution of the case must check the documents within the file; sign and write their full name at the bottom right corner of the statistical table, then transfer it to the Reviewer for checking, signing confirmation at the bottom left corner of the statistical table, and report to the Head of the Civil Execution Authority for approval to archive.

The Head of the Civil Execution Authority shall record on the bottom right corner of page 01 of the cover of the file: for archiving from the date, month, year; sign and stamp. Thereafter, the file will be transferred to the archivist. The handover of the file to the archivist must be documented in a protocol and clearly state the number of files being archived, accompanied by a list of files handed over.

3. The archiving, preservation, utilization, and use of execution case files that have been archived, as well as the retention period, shall be carried out in accordance with the laws on archiving.

The person assigned to perform the task of archiving execution case files must enter into the Archive Monitoring Register, fill in all columns and items; arrange the archived files scientifically to facilitate inspection, utilization, use, and preservation. In cases where it is necessary to retrieve archived files to serve inspection work, complaint resolution, scientific research, and other requirements, the consent of the Head of the Civil Execution Authority must be obtained.

Section 2

FORMS AND DOCUMENTATION FOR CIVIL ENFORCEMENT BUSINESS

Article 32. Types of civil execution business forms

The types of civil execution business forms have names, numbers, and codes according to the appendices, including:

1. Model decision on civil execution of the General Department of Civil Execution (Appendix III);

2. Model decision on civil execution of the Civil Execution Department (Appendix IV);

3. Model decision on civil execution of the Civil Execution Branch (Appendix V);

4. Model notice, summons, notification, model minutes, model application, warehouse entry and exit order in civil execution (Appendix VI);

5. Model list of persons subject to execution who have not yet met the conditions for execution (Appendix VII).

Article 33. Management of civil execution business forms

Article 35. Use of Civil Enforcement Business Forms

1. Civil enforcement business forms are used uniformly and appropriately for activities arising during the organization of enforcement of judgments and decisions as stipulated in Article 2 of the Civil Enforcement Law.

Article 34. Use of civil execution business forms

1. Civil execution business forms are uniformly used and appropriate to the activities arising during the organization of enforcement of judgments and decisions in accordance with Article 2 of the Civil Execution Law.

2. During the organization of execution, based on practical circumstances, the Head of the Civil Execution Authority, Enforcement Officers, Reviewers, and civil execution officials may consider and decide to select and use forms, supplement necessary contents suitable for each civil execution case.

3. The size of civil execution business forms uniformly used is A4 paper size (210mm x 297mm).

Article 35. Recording of civil execution business forms

1. The recording of civil execution business forms must be accurate, handwriting must be clear and legible, written in the same type of ink, no abbreviations or private symbols should be used, no erasures are allowed, and local language terms should not be used. If information technology has been applied in civil execution activities, the content recorded in civil execution business forms can be printed through computers.

2. The recording of civil execution business forms must ensure continuity, no blanks should be left, and pages must be numbered clearly. At the end of the recording, cross out any blank spaces not filled in the document.

3. It is strictly prohibited to arbitrarily erase, alter, or distort the content of civil enforcement documents and files.

4. During the recording and use of civil execution business forms, if there are errors, the Head of the unit applying civil execution business forms may correct and handle them as follows:

a) For types of decisions, notifications, notices, and summonses regarding execution (collectively referred to as documents) that have been issued with errors but these errors do not change the essential content of the matter, corrections should be made in writing for the erroneous part; if the erroneous content changes the essential content of the matter, a new document must be issued to replace the previously issued document;

b) For errors in execution minutes that need correction, if the members named in the minutes agree to correct directly, the Head of the Civil Execution Authority, Enforcement Officer, Reviewer, or civil execution official who prepared the minutes shall directly correct the error on the minutes, and those participating must sign immediately next to the corrected portion. If the members do not agree to correct directly, a new minute must be substituted.

Chapter V

ORGANIZATION AND IMPLEMENTATION

Article 36. Application of Information Technology in Civil Enforcement

1. The General Department of Civil Enforcement and local civil enforcement agencies shall implement the application of information technology to publicly disclose information about judgment debtors who have not yet had the conditions for enforcement in accordance with the principles, forms, procedures, and formalities prescribed in Articles 3, 4, 5, and 6 of this Circular.

2. The General Department of Civil Enforcement shall take the lead and coordinate with the Information Technology Department to study and develop proposals, specifically determining the roadmap for applying information technology in implementing certain administrative management procedures in civil enforcement activities and managing, using civil enforcement case files, records, and forms.

Article 37. Effective Date

This Circular takes effect from March 16, 2016, and replaces Circular No. 09/2011/TT-BTP dated May 30, 2011, issued by the Ministry of Justice on the issuance and guidance on the management and use of various types of civil enforcement business forms, and Circular No. 22/2011/TT-BTP dated December 2, 2011, issued by the Ministry of Justice guiding the implementation of certain procedures in administrative management of civil enforcement.

Article 38. Responsibility for Implementation

1. Heads of civil enforcement management agencies and heads of civil enforcement agencies shall be responsible for organizing the implementation, inspection, guidance, and uniform application of this Circular.

2. Any difficulties or obstacles encountered during the implementation process shall be promptly reported to the Ministry of Justice for guidance on resolution./.