Circular No. 03/2020/TT-BKHĐT stipulates the Procedure for inspecting and using state statistical data and information

CIRCULAR

Regulations on the Procedure for Inspecting the Use of National Statistical Data and Information

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Pursuant to the Law on Statistics dated November 23, 2015;

Pursuant to Decree No.Decision No. 94/2016/NĐ-CPdated July 1, 2016 of the Government detailing and guiding the implementation of certain provisions of the Law on Statistics;

Pursuant to Decree No.95/2016/NĐ-CP the Government's Decree No. 95/2016/NĐ-CP dated July 1, 2016 on administrative penalties in the field of statistics;

Pursuant to Decree No.Decision No. 86/2017/NĐ-CP dated July 25, 2017 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Planning and Investment;

At the proposal of the General Statistics Office Director;

The Minister of Planning and Investment issues this Circular to stipulate the Procedure for Inspecting the Use of National Statistical Data and Information.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular sets forth the authority, procedures, formalities, files, contents, and methods for inspecting the use of national statistical data and information within the national statistical indicator system, provincial-level statistical indicator system, district-level statistical indicator system, and commune-level statistical indicator system that have been officially announced by competent authorities.

Article 2. Applicability

This Circular applies to organizations and individuals with the authority to inspect the use of national statistical data and information under the General Statistics Office, provincial and centrally-run city Statistics Bureaus; and organizations and individuals using national statistical data and information within the national statistical indicator system, provincial-level statistical indicator system, district-level statistical indicator system, and commune-level statistical indicator system that have been officially announced by competent authorities.

Article 3. Explanation of Terms

1. Statistical Indicator System is a collection of statistical indicators reflecting the characteristics of socio-economic phenomena. The statistical indicator system includes the list and content of statistical indicators. The list of statistical indicators comprises code number, group, and name of the indicator. The content of statistical indicators includes definition, calculation method, main classification, publication period, source of statistical data, and the agency responsible for collecting and compiling the data.

2. Estimated Statistical Data is statistical data predicting the overall results of ongoing socio-economic phenomena, compiled from data of the completed period, updated based on actual conditions, and data of the upcoming period, using specialized methods for prediction.

3. Preliminary Statistical Data is statistical data reflecting the complete results of completed socio-economic phenomena within a specific time and space but not yet confirmed, requiring further review and verification.

4. Official Statistical Data is statistical data accurately reflecting the complete results of completed socio-economic phenomena within a specific time and space, processed, compiled, reviewed, and confirmed.

5. Statistical Information is statistical data processed, compiled, and analyzed according to statistical methodology, procedures, expertise, and vocational practices to reflect the characteristics and attributes of the researched phenomenon. Statistical information includes statistical data and its analysis report.

6. National Statistical Information is statistical information generated by state statistical activities, having legal value, officially announced by authorized state agencies.

Article 4. Principles of Inspection

Inspecting the use of national statistical data and information must ensure the following principles:

1. Principle of Compliance with Legal Regulations in Inspection Activities.

2. Principle of Timeliness, Specificity, Transparency, Clarity, and Objectivity.

3. Principle of Conducting Inspection Properly and Fully Within the Approved Scope and Timeframe.

4. Principle of Not Interfering with the Regular Work of Organizations and Individuals Subject to Inspection.

Article 5. Standards for the Head and Members of the Inspection Team

1. The head of the agency or unit assigned the main responsibility to conduct inspections shall be responsible for selecting civil servants with appropriate professional qualifications that meet the requirements of the inspection to serve as the Head of the Inspection Team.

2. Members of the Inspection Team are civil servants and officials from units under the General Statistics Office; civil servants from units under the Provincial/City Statistics Office directly under the Central Government.

3. Requirements for the Head and Members of the Inspection Team

a) Possess good moral character, sense of responsibility, integrity, honesty, fairness, and objectivity.

b) Be knowledgeable about statistical and inspection procedures; have the ability to analyze, evaluate, and synthesize issues related to the content and field being inspected.

c) Civil servants appointed as the Head of the Team must have the ability to organize and direct members of the Team to carry out assigned tasks; they must hold a position of at least Senior Specialist or equivalent in units under the General Statistics Office, or Deputy Director of Department or higher in units under the Provincial/City Statistics Office directly under the Central Government.

Chapter II
PROCEDURE AND PROCEDURES FOR INSPECTION

Section 1
BUILDING AND APPROVING THE INSPECTION PLAN

Article 6. Building and Approving the Annual Plan for Inspecting the Use of Official Statistical Data and Information

1. Based on the work program, plan, and management requirements, the Director of the General Statistics Office issues a decision to establish the annual plan for inspecting the use of official statistical data and information.

2. Procedure for building and approving the annual plan for inspecting the use of official statistical data and information

a) The Director of the General Statistics Office issues guidelines for the annual plan for inspecting the use of official statistical data and information and sends them to the Provincial/City Statistics Offices directly under the Central Government and units under the General Statistics Office before October 30 of the year preceding the planned year.

b) The Provincial/City Statistics Offices directly under the Central Government and units under the General Statistics Office, based on their functions, responsibilities, and work requirements, build the annual plan for inspecting the use of official statistical data and information and submit it to the Director of the General Statistics Office before November 25 of the year preceding the planned year.

c) The Director of the General Statistics Office is responsible for reviewing and approving the inspection plan no later than December 15 of the year preceding the planned year.

d) In cases where adjustments to the inspection plan are necessary, the Provincial/City Statistics Offices directly under the Central Government and units under the General Statistics Office must submit the adjusted plan to the Director of the General Statistics Office no later than June 10 of each year for review and approval.

3. After issuance, the annual inspection plan and any subsequent adjustments must be sent to relevant individuals, organizations, and units for their knowledge and cooperation.

4. Registration of the annual inspection plan and registration of adjustments to the inspection plan shall be carried out according to Model No. 01 issued together with this Circular.

Article 7. Provisions on Sudden Inspections of the Use of Official Statistical Data and Information

The Director of the General Statistics Office decides to conduct sudden inspections of the use of official statistical data and information when organizations or individuals using statistical indicators within the national statistical index system, provincial statistical index system, district statistical index system, commune statistical index system, which have been officially announced by authorized agencies, show signs of violating laws on the use of official statistical data and information, or upon the request of units under the General Statistics Office or Provincial/City Statistics Offices directly under the Central Government.

Section 2
CONDUCTING INSPECTIONS

Article 8. Construction and approval of the decision to conduct inspection

1. Based on the annual inspection plan that has been approved, the General Statistics Office Director, the Provincial/City-level Statistics Bureau Director shall issue the decision to conduct inspections regarding the use of state statistical data and information within their respective jurisdictions.

2. The head of the unit assigned the main responsibility for conducting inspections shall draft the inspection implementation decision to be submitted to the competent authority for approval.

3. The decision to conduct inspections shall be carried out according to Model No. 02 issued together with this Circular.

Article 9. Construction and approval of the plan to conduct inspections

1. Within three working days from the date of issuing the decision to conduct inspections, the civil servant assigned the role of Inspection Team Leader shall be responsible for drafting the inspection implementation plan to be submitted to the competent authority for approval. In cases of surprise inspections, the deadline shall not exceed one working day.

2. The decision to conduct inspections and the inspection implementation plan must be sent to the inspected organizations or individuals and related organizations or individuals at least five working days before the planned inspection (except in cases of surprise inspections).

3. The inspection implementation plan shall be carried out according to Model No. 03 issued together with this Circular.

Article 10. Inspection Period

1. The Inspection Team shall conduct inspections at the inspected organization's or individual's workplace or designated location, not exceeding seven working days; in complex cases, it may be extended but not more than ten working days.

2. Any extension of the inspection period must be proposed in writing by the Inspection Team Leader to the authority issuing the inspection decision. The authority issuing the inspection decision will base its decision on the Inspection Team Leader's proposal and the opinions of relevant units.

3. The decision to extend the inspection period shall be carried out according to Model No. 08 issued together with this Circular.

Article 11. Drafting the Outline of Requirements for the Inspected Object to Report

1. The Inspection Team Leader shall draft the outline of requirements for the inspected object to report and send it along with the inspection implementation plan.

2. The report outline includes the following contents:

a) An overview of the inspected object.

b) A detailed report on the situation accompanied by relevant documents related to the inspection content.

c) Specific results of implementing each item according to the inspection plan; evaluation based on records and stored documents.

d) Recommendations and proposals (if any).

Article 12. Notification of the Decision to Conduct Inspections and the Inspection Implementation Plan

1. At the latest ten days from the date of issuing the decision to conduct inspections, the Inspection Team Leader shall notify the decision to conduct inspections and the inspection implementation plan to the inspected object.

2. The Inspection Team Leader shall lead the notification of the decision to conduct inspections and the inspection implementation plan, clearly stating the tasks, powers, methods of work of the Inspection Team, members of the Inspection Team, rights and responsibilities of the inspected object, and the anticipated schedule of work of the Inspection Team with the inspected object and other related matters concerning the content and activities of the inspection.

3. The head of the inspected organization or individual or the person authorized to report on the inspection content according to the Inspection Team's outline shall report back. After listening to the report from the inspected object, the Inspection Team Leader may request the inspected object to supplement or complete the report.

Article 13. Scope and Content of Inspection

1. The Inspection Team has the authority to inspect the use of national statistics index, provincial statistics index, district statistics index, commune statistics index data and information that have been published by the competent authority.

2. Content of inspection

a) Verify the accuracy and appropriateness of the data and information used compared to the data and information published by the competent authority.

b) Check the citation of sources when using state statistical data and information that have been published by the competent authority.

Article 14. Collection of Information and Documents Related to the Inspection Content

1. During the inspection process, the Head of the Inspection Team and members of the Inspection Team shall be responsible for requesting the inspected entity to provide information and documents related to the inspection content. The management, exploitation, and use of collected information and documents must be carried out in accordance with the provisions of the law.

2. The handover of information and documents must be recorded in a protocol.

3. The protocol for handing over information and documents shall be implemented according to Model No. 09 issued together with this Circular.

Article 15. Inspection and Verification of Information and Documents

1. The Head of the Inspection Team and members of the Inspection Team shall be responsible for studying the collected information and documents to clarify the inspection content; requesting persons responsible and those involved to explain unclear issues; if it is necessary to conduct work, inspections, and verifications to ensure the objectivity and accuracy of the assessment, members of the Inspection Team shall report to the Head of the Inspection Team for consideration and decision.

2. Methods of Inspection and Verification

The Inspection Team shall inspect data and information according to the inspection content specified in the decision to conduct the inspection.

a) For each inspection content, the Inspection Team must compare and cross-check the data and information used by the inspected entity with the data and information officially published by the competent authority.

In cases where the inspected entity cites information from an agency that is not the authorized agency to publish statistical data and information or from products that are not official statistical products of the authorized agency to publish statistical data and information, the Inspection Team needs to determine the source of the information used by the inspected entity.

In cases where the inspected entity cites information from an agency within the centralized statistical system that is not the authorized agency to publish such statistical data and information or from official statistical products of agencies within the centralized statistical system that do not have the authority to publish such statistical data and information but do not match the data and information officially published by the competent authority, the Inspection Team shall report in writing to the authority issuing the decision to conduct the inspection for handling.

b) Determine the absolute difference and relative difference (if any) of each piece of data, information, and indicator.

c) When comparing and cross-checking, it is necessary to accurately identify each type of data and information (provisional, estimated, and official) at the time of publication and the time when the inspected entity uses the data and information.

If provisional statistical data has been published, from the date of publication, provisional statistical data will replace estimated statistical data, except where the inspected entity's documentation clearly states "estimated data." If official statistical data has been published, from the date of publication, official data will replace provisional and estimated data, except where the inspected entity's documentation clearly states "provisional data" or "estimated data."

d) Accurately identify the citation of statistical data and information used by the inspected entity: name of the document, product serving as the basis for comparison and cross-checking.

đ) For statistical data and information used by the inspected entity from a state agency publishing and disseminating beyond its authority, the Inspection Team shall report in writing to the authority issuing the decision to conduct the inspection for handling.

3. The results of work, inspections, and verifications of information and documents related to the inspection content must be reflected in writing or recorded in a working protocol.

4. The working protocol shall be implemented according to Model No. 04 issued together with this Circular.

Article 16. Application of measures for handling during inspection

1. Administrative violations in the use of state statistical data and information shall be handled in accordance with the provisions of Government Decree No. 95/2016/NĐ-CP dated July 1, 2016 on administrative penalties in the field of statistics.

2. The administrative violation record shall be carried out according to Model No. 05 issued together with this Circular.

Section 3
END OF INSPECTION

Article 17. Responsibility for reporting and time limit for reporting

Within the latest 15 days from the date of completion of the inspection, the Head of the Inspection Team must submit a written report on the results of the inspection. In cases where it is necessary to seek the professional opinion of relevant agencies or units related to the content of the inspection, such submission shall not exceed 20 days from the date of completion of the inspection.

The Head of the Inspection Team is responsible for the accuracy, honesty, and objectivity of the content of the report on the results of the inspection. In cases where there are unresolved issues related to other tasks, the Head of the Inspection Team shall proactively exchange and seek opinions from relevant agencies, organizations, and individuals to ensure that the report on the results of the inspection is accurate and objective.

Article 18. Content of the report, place to receive the report

1. The report on the results of the inspection must reflect all contents of the inspection as stipulated in the decision to conduct the inspection, including the following contents:

- An overview of the inspected entity.

- Results of the inspection for each inspection content: The report must identify strengths, limitations, existing issues, and violations (if any) discovered through the inspection for each inspection content; specifying the name of the individual/unit (who, where) with shortcomings or existing issues.

- Clearly define the nature and degree of shortcomings, existing issues, and violations; causes and responsibilities of related organizations and individuals.

- Evaluate the implementation of tasks and compliance with legal regulations on statistics by the inspected entity and related organizations and individuals regarding the inspection contents.

- Recommendations and proposals for handling violations (if any) against related organizations and individuals.

- Recommendations and proposals to competent authorities to amend and improve mechanisms and policies.

2. Place to receive the report

The Inspection Team sends the report on the results of the inspection to the authority issuing the decision to conduct the inspection for guidance and handling measures; simultaneously sending to the unit advised by the authority issuing the decision to conduct the inspection for monitoring the inspection and supervision work. Specifically as follows:

a) The Head of the Inspection Team appointed by the General Statistics Office Director reports to the General Statistics Office Director; at the same time sends to the Legal Affairs and Statistics Inspectorate Department for monitoring.

b) The Head of the Inspection Team appointed by the Provincial/City Statistics Bureau Director reports to the Provincial/City Statistics Bureau Director; at the same time sends to the Room assigned by the Bureau Director for advice on inspection and supervision work for monitoring.

3. The report on the results of the inspection shall be carried out according to Model No. 06 issued together with this Circular.

Article 19. Responsibility for handling the results of the inspection

The General Statistics Office Director, Provincial/City Statistics Bureau Director shall consider the results of the inspection and the recommendations proposed by the Head of the Inspection Team to handle or advise on resolution within their authority.

Article 20. Notification of Inspection Results

1. Within fifteen days from the date of receipt of the report on the inspection results, the authority issuing the decision to conduct the inspection shall issue a Notification of Inspection Results.

2. The Notification of Inspection Results shall be sent to the inspected organization or individual, the immediate superior agency of the inspected organization (except when the inspected entity is a ministry, a ministerial-level agency, a government agency, or a central body of social organizations), the management agency of the inspected individual, and the competent authority for administrative penalties in the field of statistics for any violations committed by the inspected entity (if any).

3. The Notification of Inspection Results shall be implemented according to Model No. 07 issued together with this Circular.

Article 21. Complaints and Reports on Inspection Results

Within thirty days from the date of receipt of the notification of inspection results, individuals and organizations that are the inspected entities have the right to file complaints and reports on the inspection results in accordance with the provisions of the law on complaints and reports.

Article 22. Summary Report on Inspection Results every six months and annually

1. Before June 10 and November 25 each year, the Provincial Statistics Office under the direct jurisdiction of the Central Government shall prepare a report on the inspection work for six months and the whole year regarding the use of state statistical data and information, to be submitted to the Legal Affairs and Inspectorate Department of the General Statistics Office.

2. The Legal Affairs and Inspectorate Department of the General Statistics Office shall compile the report on the inspection results regarding the use of state statistical data and information and submit it to the Director of the General Statistics Office.

Chapter III
IMPLEMENTING PROVISIONS

Article 23. Effective Date and Implementation

1. This Circular shall take effect from June 1, 2020.

2. In cases where the legal normative documents cited for application in this Circular are amended, supplemented, or replaced by new documents, they shall be implemented in accordance with the provisions of the amended, supplemented, or replacing documents.

3. During implementation, if there are any difficulties, please send comments to the Ministry of Planning and Investment (General Statistics Office) for timely review and adjustment.