Circular No. 05/2011/TT-TTCP on preventing and combating corruption in the Inspection Service

 CIRCULAR

Regulations on Preventing and Combating Corruption in the Inspection Sector

Pursuant to the Law on Prevention and Control of Corruption 2005;
Pursuant to the Law on Inspection 2004;
Pursuant to the Law on Complaints and Petitions 1998 and the Laws Amending and Supplementing Certain Provisions of the Law on Complaints and Petitions 2004 and 2005;
Pursuant to the Law on Legislative Documents of 2008;
Pursuant to Decree No. 65/2008/NĐ-CP dated May 20, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Government Inspectorate;
The Government Inspectorate stipulates regulations on preventing and combating corruption in the inspection sector as follows:

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation

These Circulars regulate the prevention and control of corruption in inspection activities, complaint and petition resolution, anti-corruption measures, and other activities of state inspection agencies.

Article 2. Applicability

These Circulars apply to officials, civil servants, and employees within state inspection agencies and other related entities.

Article 3. General Principles

1. State inspection agencies within their assigned functions, tasks, and authorities must proactively implement preventive measures, detect, handle, or recommend handling acts of corruption and comply with the provisions of these Circulars.

2. All acts of corruption, violations of laws, and violations of the provisions of these Circulars must be promptly detected, prevented, and strictly dealt with according to the law.

3. It is strictly prohibited to exploit the name of state inspection agencies for personal gain for any organization or individual.

Article 4. Responsibilities of Agencies, Organizations, and Individuals

1. Responsibilities of Agencies and Organizations within State Inspection Agencies

a) Within their assigned duties and powers, they have the responsibility to proactively coordinate with relevant agencies to issue or propose to competent authorities to issue procedures and regulations for their activities. Procedures and regulations must clearly define the process, procedures, timeframes, responsibilities for directing and implementing in accordance with the requirements and characteristics of each activity, and mechanisms for monitoring implementation and handling violations; periodic evaluations, summaries, and conclusions of implementation must be conducted to supplement and amend as necessary to meet the requirements of each period.

b) Publicly disclose their activities in accordance with the law and the provisions of these Circulars;

c) Timely accept and handle complaints and reports regarding acts of corruption by officials, civil servants, and employees under their own agency or unit;

d) Promptly provide information and documents and fulfill requests from competent authorities during the process of detecting and handling individuals involved in acts of corruption.

2. Responsibilities of Heads of State Inspection Agencies

a) Direct and organize the implementation of the provisions of Clause 1 of this Article;

b) Proactively organize, urge, guide, inspect, and supervise the performance of duties and public service tasks of officials, civil servants, and employees directly managed by themselves to promptly detect, prevent, and handle acts of corruption within their authority or recommend competent authorities to handle such acts;

c) Comply with and be subject to urging and inspection by heads of higher-level inspection agencies; regularly guide, urge, and inspect heads of lower-level inspection agencies on anti-corruption work and the implementation of the provisions of these Circulars;

d) Bear responsibility for the occurrence of acts of corruption within agencies and units under their management and supervision in accordance with the law.

3. Responsibilities of Officials, Civil Servants, Employees in State Inspection Agencies, and Related Individuals

a) Strictly implement the provisions of the law on preventing and controlling corruption; internal rules, procedures, and regulations of the agency and the provisions of these Circulars;

b) Proactively detect acts of corruption and other violations of the law; cooperate with competent authorities in detecting and handling individuals involved in acts of corruption when requested.

Chapter II
PREVENTION AND CONTROL OF CORRUPTION IN INSPECTION ACTIVITIES

Article 5. Requirements for Anti-Corruption in Inspection Activities

1. The annual inspection plan must be based on the requirements and tasks of the state management agency at the same level; guidance from the higher-level inspection agency; clearly define the purpose, requirements, content, scope, subjects, time frame for implementation, and ensure feasibility.

2. Inspections must be conducted within the authority, following procedures and formalities, openly, transparently, and democratically; inspection conclusions, recommendations, and decisions on handling inspections must be accurate, objective, truthful, timely, and in accordance with the law; when concluding that there are violations, it must clearly determine whether there are signs of corruption.

3. Supervision and enforcement of recommendations and decisions on handling after inspections must be open, objective, and truthful, contributing to ensuring the effectiveness of recommendations and decisions on handling after inspections.

Article 6. Transparency in Inspection Activities

1. Publicize on mass media and electronic information websites the legal provisions on inspections, annual inspection programs and plans approved immediately after the authorized person signs and approves; except where otherwise provided by law.

2. Notify in writing to the inspected entity, relevant agencies or organizations, or publicize on mass media the assignment of tasks for inspections, decisions on assigning specialized inspectors to work independently, decisions on assigning supervisors for inspection teams, inspection decisions, inspection conclusions, decisions on handling after inspections, and reports on supervising inspection teams immediately after the authorized person signs and approves; except where otherwise provided by law.

3. The plan for conducting inspections, assignments of tasks to members of the inspection team, progress reports, inspection result reports, and other directive, supplementary, or replacement documents must be made public within the inspection team and the person assigned to supervise the inspection team.

Article 7. Archiving Inspection Documents

All information, data, documents collected during the process of gathering, compiling, analyzing, evaluating, and other documents used to build, submit, approve inspection plans, report inspection results, inspection conclusions, documents urging and checking the implementation of recommendations and decisions on handling after inspections must be established and archived according to the legal regulations on archiving.

Article 8. Prohibited Acts in Inspection Activities

1. Exploiting job positions to interfere with the construction of inspection plans, conducting inspections, urging the implementation of recommendations and decisions on handling after inspections for personal gain.

2. Exploiting assigned tasks to include unnecessary inspection contents or exclude necessary inspection contents within the scope of inspections.

3. Making inspection decisions beyond authority, conducting inspections exceeding the scope and content specified in the inspection decision.

4. Using the name of the agency or head of the unit to handle personal matters while performing inspection duties.

5. Exploiting inspection positions and powers to commit illegal acts, harassing inspected entities, units, or individuals related to the inspection.

6. Distorting case files during the inspection process, reporting false facts, making false conclusions, issuing unlawful handling decisions, shielding persons who violate the law.

7. Disclosing or providing information and documents about inspection plans before approval, contents of inspection conclusions before being signed and approved by the authorized person.

8. Other prohibited acts in inspection activities as prescribed by law.

Chapter III
PREVENTION AND COMBATING CORRUPTION IN PETITION AND COMPLAINT HANDLING ACTIVITIES

Article 9. Requirements for Anti-Corruption in Handling Complaints and Reports

1. Complaint letters and reports from various sources to state inspection agencies must be received, processed promptly, recorded in files, entered into tracking registers, summarized, and reported in accordance with the provisions of the law.

2. Verification must be conducted within the scope of authority, following procedures and formalities, promptly, carefully, accurately, objectively, and truthfully; verification materials must be documented in files.

3. The report on the results of verification must be established openly and democratically; its contents must be truthful, objective, and comprehensive.

4. Conclusions and recommendations for resolution must be accurate in content, appropriate to the subject, based on legal grounds, and feasible; they must protect the interests of the State, the legitimate rights and interests of organizations and individuals, and protect the complainant in accordance with the provisions of the law.

5. The verification and conclusion of complaints and reports through inspection teams shall be carried out in accordance with the regulations governing inspection activities.

Article 10. Transparency in Handling Complaints and Reports

1. Transparency in Handling Complaints

a) Publicizing on mass media and electronic information websites the legal provisions on complaints and their handling; assignments and implementation of tasks for complaint handling; decisions on complaint resolution immediately after authorized persons sign and approve;

b) Notifying in writing to the complainant, the person complained against, and related agencies or publicizing on mass media the acceptance of complaints for handling; decisions on verifying complaints; reports on the results of verifying complaint content; conclusions on complaint resolution; directives on complaint resolution immediately after authorized persons sign and approve, except where otherwise provided by law.

2. Transparency in Handling Reports

a) Publicizing on mass media and electronic information websites the legal provisions on reports and their handling, assignments and implementation of tasks for receiving, processing reports and tips immediately after authorized persons sign and approve;

b) Notifying in writing to the reporter, the person reported against, and related agencies the notification of accepting reports for handling, decisions on verifying report content, reports on the results of verifying report content, conclusions on report content, decisions on handling reports, and the results of implementing recommendations and decisions on handling reports as stipulated by the law on reports.

Article 11. Archiving Documentation for Handling Complaints and Reports

Information, data, and documentation on directives and implementation of tasks in receiving, classifying, processing, verifying, concluding, recommending resolutions, deciding on complaint resolution, and deciding on report handling must be established and archived in accordance with the provisions of the law on archiving.

Article 12. Prohibited Acts in Handling Complaints and Reports

1. Harassing or obstructing the exercise of the right to file complaints and reports.

2. Delaying decisions on accepting complaints and reports for handling, verifying, concluding, recommending resolutions, and deciding on complaint and report handling.

3. Altering case files during the process of verification, conclusion, recommendation for resolution of complaints and reports; reporting verification results that do not reflect the truth.

4. Concluding and recommending decisions on complaint resolution and report handling contrary to the law.

5. Shielding the person reported against or the person complained against; disclosing information about the reporter.

6. Using the name of an agency or its head to handle personal matters while performing duties related to complaint and report handling.

7. Other prohibited acts as prescribed by law.

Chapter IV
ANTI-CORRUPTION IN ANTI-CORRUPTION ACTIVITIES

Article 13. Requirements for Anti-Corruption Activities

1. Understanding the situation must be based on approved programs and plans; collected information and documents must be recorded in files as prescribed.

2. Building, managing, and using information and data on anti-corruption activities must be scientific, objective, truthful, purposeful, and targeted; the authority and responsibility of organizations and individuals in managing, exploiting, and providing such information and data must be clearly defined.

3. Verifying asset and income declarations of persons obligated to declare must be conducted within the scope of authority, procedures, formalities, contents, and deadlines; verification results must ensure objectivity and truthfulness; reporting and providing verification results must comply with legal regulations.

4. Reports on anti-corruption work must ensure authenticity, objectivity, and timeliness.

5. Inspecting and supervising the implementation of laws on anti-corruption; investigating cases suspected of corruption must be carried out according to the regulations governing inspections.

6. Handling complaints in anti-corruption activities must be conducted according to the regulations governing complaint resolution.

Article 14. Transparency in Anti-Corruption Activities

1. Publicizing legal provisions, programs, plans, projects, and anti-corruption reports on mass media and electronic information platforms as required by law.

2. Notifying in writing relevant agencies or publicizing on mass media about the assignment and execution of anti-corruption tasks; directives on anti-corruption work after being signed and approved by authorized persons, except where otherwise provided by law.

Article 15. Archiving Anti-Corruption Documents

Information, data, and documents on directives and implementation of programs and plans to understand the situation of corruption; documents verifying asset and income declarations of persons obligated to declare; documents on coordination between specialized agencies on anti-corruption; reports on anti-corruption must be established and archived in accordance with legal regulations on archiving.

Article 16. Prohibited Conducts in Anti-Corruption Activities

1. Acts stipulated in Article 8 of this Circular when performing inspection tasks related to cases suspected of corruption; inspecting and supervising the implementation of legal provisions on anti-corruption.

2. Acts stipulated in Article 12 of this Circular when performing tasks to resolve complaints about corruption.

3. Losing or altering files, information, and documents during the process of collecting and managing files and data on anti-corruption.

4. Reporting inaccurately or untimely on the implementation of the reporting system on anti-corruption.

5. Misusing anti-corruption efforts to cause disturbances, disrupt internal unity, infringe upon personal dignity and reputation, and damage the reputation of agencies and organizations; disseminating false information or illegally disclosing information about assets and incomes of verified individuals.

6. Obstructing the resolution of corruption cases.

7. Other prohibited acts as prescribed by law.

Chapter V
ANTI-CORRUPTION IN OTHER TASKS

Section 1

ANTI-CORRUPTION IN ORGANIZATIONAL AND STAFFING WORK

Article 17. Anti-corruption requirements in organizational and personnel work

1. Organizational and personnel work must be transparent, fair, objective, and conducted in accordance with the principles of democratic centralism.

2. The criteria for each position must be appropriate to the job requirements at each post in terms of political integrity, professional management expertise, technical skills, and vocational proficiency; remuneration systems and standards for each type of position must comply with general regulations and specific conditions of each sector and locality.

3. Strictly implement the standards, systems, procedures, and regulations concerning planning, recruitment, hiring, appointment, dismissal, training, promotion, rotation, reassignment, commendation, disciplinary actions, staffing quotas, policy implementation, and benefits for civil servants and officials based on clear delegation of responsibilities.

Article 18. Transparency in organizational and personnel work

1. Publicize through the issuance of publications and written notifications within Party agencies and state bodies regarding policies, laws, procedures, and regulations on organizational and personnel work.

2. Publicize the recruitment of civil servants and public officials

Announce on mass media suitable for the target group and post notices at the agency's headquarters:

a) At least fifteen working days from the approval of the recruitment plan for the number, criteria, form, and time of recruitment;

b) At least three working days from the approval of the preliminary screening, examination, test results, and final recruitment results.

3. Publicize planning, training, appointment, grade change, rotation, reassignment, commendation

a) Publicize through written notifications within the agency the plans, standards for training, appointment, grade change, rotation, and reassignment for civil servants and officials after approval;

b) Post notices at the agency and send written notifications to subordinate units listing candidates, selected individuals for training, appointment, grade change, rotation, reassignment, and commendation.

4. Notify in writing within the agency and unit decisions to suspend work, suspend positions, terminate employment, remove from positions, discipline, and retirement for civil servants, officials, and other employees.

Article 19. Prohibited Conduct in Organizational and Personnel Work

1. Bribery, accepting bribes, or suggesting acceptance of bribes in any form.

2. Evaluating officials without basis, lacking honesty, and not being objective.

3. Hiring, receiving, appointing, rotating, and reassigning not in accordance with procedures; planning, training, and commending individuals who do not meet the criteria and conditions.

4. Reassigning, terminating employment, removing from positions, dismissing, disciplining, and resolving policies and benefits not in accordance with regulations.

5. Altering official documents and records of civil servants and officials.

6. Misusing authority and position to illegally interfere in recruitment, hiring, appointment, reassignment, and other activities in organizational and personnel work.

7. Other prohibited conduct as stipulated by law in organizational and personnel work.

Section 2

ANTI-CORRUPTION IN SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES, LEGISLATIVE WORK, TRAINING AND PROMOTION, AND FOREIGN RELATIONS

Article 20. Prevention and Combating Corruption in Scientific and Technological Activities

1. Requirements for Prevention and Combating Corruption in Scientific and Technological Activities

The examination, selection, assignment, evaluation, acceptance of research results, and budget allocation for research topics must comply with legal regulations on scientific research.

2. Transparency in Scientific and Technological Activities

a) Publicizing on mass media and electronic information websites legal provisions, procedures, rules, and standards of the sector regarding scientific research management, research plans, lists of research topics, and accepted research results;

b) Publicizing within agencies the management and use of budgets, support funds, grants, investments, and revenues from scientific research activities as stipulated by law.

3. Prohibited Acts in Scientific and Technological Activities

a) Taking advantage of the examination, selection, assignment, evaluation, acceptance, allocation, funding, and settlement of research project expenses to gain personal benefits;

b) Fraud in surveys, use of materials, organization of conferences and seminars, hiring of experts in scientific and technological activities.

Article 21. Prevention and Combating Corruption in Legislative Work

1. The drafting, inspection, review, and issuance of regulatory legal documents must be conducted within the scope of authority, according to the prescribed procedures and formalities under the law.

2. Publicizing within agencies the procedures, plans, and outcomes of legislative work, inspections, reviews, and legal dissemination.

3. Strictly prohibiting the issuance of documents that contravene the law; taking advantage of inspections, reviews of regulatory legal documents, legislative work, and legal dissemination to gain personal benefits.

Article 22. Prevention and Combating Corruption in Training and Capacity Building

1. Standards and conditions for training and capacity building for inspectors, faculty members, training programs, certificates, and diplomas must comply with legal regulations on training and capacity building and the professional requirements of the inspection sector.

2. Procedures and rules for admissions, training management, examinations, assessment of results, and issuance of certificates and diplomas must align with legal regulations on training and capacity building management and the standards and conditions of the inspection sector.

3. Publicizing on mass media or posting on electronic information websites, publishing publications on legal regulations, standards, procedures, rules, and training programs of the sector. Notifying in writing to agencies and units the annual training and capacity building plans. Publicizing at training institutions the collection, management, and use of tuition fees, admission fees, consulting service revenues, support and investment funds for training and capacity building, and other revenues as prescribed by law.

4. Prohibited Acts in Training and Capacity Building

a) Taking advantage of the allocation of training quotas, examinations, assessments, and issuance of certificates and diplomas to gain personal benefits;

b) Fraud in compiling training records, test papers, examinations, proposals, and essays;

c) Collecting fees, charges, and other revenues in training and capacity building contrary to regulations.

Article 23. Prevention and Combating Corruption in Foreign Relations Activities

1. Foreign relations programs and plans must adhere to principles of foreign relations activities of the Party and State, align with the sector's development strategy; personnel conditions and standards for implementing foreign relations tasks must meet general and specific requirements of each cooperation program.

2. Publicizing through written notifications within agencies and units, annual foreign relations programs and plans, international cooperation agreements, cooperation outcomes, lists of outgoing and incoming delegations when authorized by competent authorities.

3. Strictly prohibiting the use of foreign relations activities to solicit foreign partners to organize outgoing and incoming delegations for personal gains.

Section 3

PREVENTION AND COMBATING CORRUPTION IN FINANCIAL MANAGEMENT AND ASSET MANAGEMENT

Article 24. Financial and Asset Disclosure in State Inspection Agencies

Units, organizations, groups, and working teams within state inspection agencies must disclose the following contents in accordance with the provisions of the law:

1. Financial management policies, regulations, standards, and norms prescribed by the State; financial management rules, usage norms, standards, and norms for the agency's and unit's funds and assets.

2. Annual financial plans, budgets, final accounts, and financial reports.

3. Total investment amounts, total budget estimates, investment capital plans, investment reports, final investment accounts, procurement.

4. Reports on revenue collection, management, and utilization of contributions, support, and aid from organizations and individuals (if any).

5. Current asset inventory according to sources of formation; usage reports, liquidation reports of various types of assets.

Article 25. Implementation of Financial and Asset Management Regulations

Units, organizations, groups, and working teams within state inspection agencies must implement fully, accurately, and promptly:

1. Standards, norms, and regulations prescribed by the State.

2. Financial and asset management rules of the agency and unit.

3. Accounting, statistical, auditing, and inspection systems.

4. Financial disclosure systems.

Article 26. Inspection and Supervision Systems

1. The financial and asset management rules of the agency and unit must be established openly, transparently, and democratically within the agency and unit.

2. Annual final accounts of capital and funding; final accounts of completed investment projects, usage reports of support and aid funding must be audited; final account reports and audit reports must be disclosed within the agency and unit.

3. People's inspectors must conduct regular supervision; the head of the state inspection agency must periodically inspect the implementation of financial and asset management regulations, statistical, accounting, and auditing systems, and financial disclosure regulations; supervision reports and inspection conclusions must be disclosed within the agency and unit.

Article 27. Prohibited Conduct in Financial and Asset Management

1. Prescribing revenues, establishing, and using funds contrary to the law.

2. Implementing accounting and statistical systems incorrectly.

3. Receiving, spending, purchasing, and utilizing assets contrary to State standards, norms, and regulations.

4. Using allocation, distribution, procurement, management, and utilization of assets, inspection, payment, and final accounting for personal gain.

5. Deception in preparing settlement and final account documents for fund usage, asset procurement, work expenses, research project costs, and other expenses.

6. Other prohibited acts under the law in financial and asset management.

Chapter VI
IMPLEMENTATION

Article 28. Effective Date

This Circular takes effect from March 1, 2011.

Article 29. Responsibility for Implementation

Heads of state inspection agencies at all levels, relevant agencies, organizations, units, and individuals are responsible for implementing this Circular;

During implementation, if there are difficulties or new issues arise, they should be reported promptly to the Government Inspectorate for guidance or amendment and supplementation.