Circular No. 05/2015/TT-TTCP on supervision of inspection team activities

CIRCULAR

Provisions on supervision of the activities of 3. Amend Clause 3 Article 2 as follows:the inspection teama

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Based on the Inspection Law dated November 15, 2010;

Pursuant to Decree No. 86/2011/NĐ-CP dated September 22, 2011 of the Government detailing and guiding the implementation of certain provisions of the Inspection Law;

Based on Decree No. 83/2012/NĐ-CP dated October 9, 2012, of the Government stipulating the functions, tasks, powers, and organizational structure of the Government Inspectorate;

At the proposal of the Head of the Legal Department and the Head of the Supervision, Review, and Post-Investigation Department;

The General Inspector of the Government issues this Circular to provide for the supervision of the activities of the inspection team.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates responsibilities for supervision; tasks and powers of the supervisor; rights and obligations of the supervised person; contents, forms, procedures, processes, and handling of results of supervising the activities of the inspection team.

Article 2. Applicability

This Circular applies to the decision-maker of the inspection; Heads of agencies or units directly managing civil servants participating in the inspection team; Chief Inspector, members of the inspection team; Supervision Team, civil servants assigned by the decision-maker of the inspection to perform the task of supervising the activities of the inspection team.

Article 3. Purpose of supervision

Supervising the activities of the inspection team aims to monitor and grasp compliance with laws, adherence to ethical standards and conduct rules of inspectors, and the discipline awareness of the Chief Inspector and members of the inspection team; the situation in performing tasks and implementing inspection activities to promptly take measures to correct and handle them to ensure proper implementation according to the approved inspection plan.

Article 4. Definitions

In this Circular, the following terms are understood as follows:

1. "Supervisor" is the decision-maker of the inspection; the Supervision Team or civil servant assigned by the decision-maker of the inspection to supervise the activities of the inspection team;

2. "Person under supervision" is the Chief Inspector, members of the inspection team.

Article 5. Principles of supervision

1. Supervision of the activities of the inspection team is conducted regularly from the day the inspection decision is announced until the end of the inspection at the inspected location.

2. Adhere to the law, ensuring accuracy, objectivity, transparency, democracy, and promptness.

3. Ensure confidentiality of information and documents related to the activities of the inspection team; do not interfere illegally in the activities of the inspection team.

4. The supervisor may simultaneously supervise the activities of multiple inspection teams.

Article 6. Responsibilities of the decision-maker of the inspection, Heads of agencies or units directly managing civil servants participating in the inspection team

1. The decision-maker of the inspection, based on the scope, scale, nature, and content of the inspection, decides to self-supervise, establish a Supervision Team, or assign a civil servant within their authority to perform the task of supervising the activities of the inspection team and bear responsibility for the results of the supervision. In cases where they decide to self-supervise the activities of the inspection team, the supervision must be reflected in the inspection decision.

2. The Head of the agency or unit directly managing civil servants participating in the inspection team has the responsibility to supervise their civil servants during the process of performing inspection tasks as stipulated in Chapter III of this Circular.

Article 7. Tasks and powers of the Chief Inspector, members of the inspection team in supervision activities

During supervision activities, the Chief Inspector and members of the inspection team have the following tasks and powers:

1. Timely, fully, accurately, and objectively provide information and documents related to the supervision content specified in Article 8 of this Circular, specifically as follows:

a) Send the Inspection Plan and related documents to the Supervision Team and civil servants assigned the task of supervising the activities of the inspection team immediately after receiving approval from the decision-maker of the inspection;

b) When reporting progress and results of the inspection to the decision-maker of the inspection, also send to the Supervision Team and civil servants assigned the task of supervising the activities of the inspection team;

c) When issuing documents to exercise rights in inspection activities, also send to the Supervision Team and civil servants assigned the task of supervising the activities of the inspection team;

d) Other relevant information and documents related to the supervision content upon request of the supervisor.

2. Explain and clarify issues related to the supervision content upon request of the supervisor;

3. Promptly inform the supervisor about difficulties and obstacles in the activities of the inspection team to take appropriate measures within their authority or recommend the decision-maker of the inspection to handle them;

4. Refuse to provide information and documents outside the scope and content of supervision and explain the reasons for non-provision in writing;

5. Report to the decision-maker of the inspection in case the supervisor violates the law in performing supervision tasks;

6. Report progress in performing inspection tasks to the Head of the agency or unit directly managing to implement supervision as stipulated in Chapter III of this Circular and other relevant laws.

Article 8. Content of Supervision of the Inspection Team's Activities

1. Supervising the compliance with laws by the Head of the Inspection Team and members of the Inspection Team includes the following contents:

a) Implementation of legal provisions on procedures, formalities, deadlines for conducting an inspection, including: collection, consolidation, evaluation of information; implementation of information and reporting systems; recording in the Inspection Team's logbook;

b) Exercise of rights in inspection activities, including: basis, authority, procedures, formalities, and results of implementation; handling opinions of inspected entities and relevant agencies, organizations, and individuals regarding the exercise of rights in inspection activities;

c) Compliance with legal provisions for the Head of the Inspection Team and members of the Inspection Team, including: prohibitions in inspection activities; conduct rules for inspection officers; awareness of adhering to inspection discipline and other related provisions.

2. Supervising the implementation of tasks and deployment of inspection activities by the Inspection Team includes the following contents:

a) Progress and results achieved compared to requirements set forth in the inspection decision and inspection plan;

b) Difficulties and obstacles arising during inspection activities and their impact on the completion of the inspection plan;

c) Implementation of tasks and deployment of inspection activities by the Head of the Inspection Team and members of the Inspection Team;

d) Handling of differing opinions among members of the Inspection Team and the Head of the Inspection Team concerning issues related to the content of inspections;

đ) Other contents related to the implementation of tasks and deployment of inspection activities by the Inspection Team.

Chapter II

SUPERVISION OF THE INSPECTION TEAM'S ACTIVITIES

Section 1

SUPERVISION OF THE INSPECTION TEAM'S ACTIVITIES

CONDUCTED BY THE DECISION-MAKER OF THE INSPECTION

Article 9. Forms of supervision by the decision-maker of the inspection over the activities of the Inspection Team

1. Requesting the Inspection Team to implement the information and reporting system according to the law on inspection and provide information and documents related to the supervision content stipulated in Article 8 of this Circular.

2. Directly working with the Inspection Team, inspected entities, and relevant agencies, organizations, and individuals when deemed necessary to serve the purpose of supervising the Inspection Team's activities.

Article 10. Tasks and Authorities of the Decision-Maker of the Inspection in Supervising the Activities of the Inspection Team

During the process of supervising the activities of the Inspection Team, the decision-maker of the inspection, in addition to tasks and authorities prescribed by the Inspection Law and detailed implementing regulations, also has the following tasks and authorities:

1. Requesting the Head of the Inspection Team and members of the Inspection Team to report and explain matters related to the supervision content;

2. Considering and promptly resolving recommendations and proposals of the Inspection Team, the Head of the Inspection Team, and members of the Inspection Team;

3. Handling according to authority or recommending those with authority to handle violations of law by the Head of the Inspection Team and members of the Inspection Team.

Section 2

SUPERVISION OF THE INSPECTION TEAM'S ACTIVITIES

CONDUCTED BY THE SUPERVISION GROUP OR CIVIL SERVANT

Article 11. Decision on Supervising the Activities of the Inspection Team

1. The person issuing the inspection decision shall decide on the number and composition of individuals participating in supervising the activities of the Inspection Team. In cases where a Supervision Group is established, it shall consist of a Group Leader and members; if necessary, there may be a Deputy Group Leader.

2. The decision on supervising the activities of the Inspection Team must be issued in writing at the same time as the issuance of the inspection decision and sent to the Inspection Team, the supervisor, the inspected entity, and relevant agencies, organizations, and individuals. The decision on supervising the activities of the Inspection Team shall be implemented according to Model No. 01-TTr attached hereto.

3. The decision on supervising the activities of the Inspection Team shall be announced simultaneously with the announcement of the inspection decision. The Chief Inspector has the responsibility to notify the civil servant assigned the supervision task or the Supervision Group to attend the announcement of the inspection decision and the supervision decision.

Article 12. Selection of Civil Servants for Supervising the Activities of the Inspection Team

1. Civil servants assigned the supervision task must have knowledge of the inspection field and inspection laws; possess analytical, synthesis, and evaluation capabilities; have solid political qualities, good moral character; have a sense of responsibility, honesty, fairness, impartiality, and objectivity.

2. A civil servant shall not be assigned to supervise the activities of the Inspection Team if their spouse (partner), children, or parents, siblings, or blood relatives of their spouse (partner) are the Chief Inspector or members of the Inspection Team.

Article 13. Changing Civil Servants for Supervising the Activities of the Inspection Team

1. The change of civil servants for supervising the activities of the Inspection Team shall be carried out when they fail to meet the requirements of the supervision task, violate the law, or due to other objective reasons cannot perform the supervision task.

2. If a civil servant for supervising the activities of the Inspection Team requests a change, they must report in writing, stating the reason and send it to the person issuing the inspection decision. If the person issuing the inspection decision initiates the change, they must inform the civil servant for supervising the activities of the Inspection Team and state the reason.

3. The change of civil servants for supervising the activities of the Inspection Team must be decided in writing by the person issuing the inspection decision; this decision shall be sent to the Chief Inspector; the Group Leader of the Supervision Group (if any); the civil servant for supervising the activities of the Inspection Team who is being changed; and the head of the unit directly managing the civil servant for supervising the activities of the Inspection Team who is being changed. The decision on changing the supervisor shall be implemented according to Model No. 03-TTr attached hereto.

Article 14. Forms of Supervision by the Supervision Group and Civil Servants Assigned the Supervision Task for the Activities of the Inspection Team

1. Summarize and evaluate information about the supervision contents as stipulated in Article 8 of this Circular from the following sources:

a) Reports, information, and related documents on the activities of the Inspection Team provided periodically or urgently by the Inspection Team;

b) Suggestions, reflections, complaints, or accusations regarding the activities of the Inspection Team, the actions of the Chief Inspector and members of the Inspection Team made by the inspected entity, agencies, organizations, or individuals.

2. Work with the Inspection Team, the inspected entity, and relevant agencies, organizations, or individuals upon request of the person issuing the inspection decision or upon proposal of the Supervision Group or civil servants assigned the supervision task, approved by the person issuing the inspection decision, if deemed necessary to clarify or supplement information as stipulated in Clause 1 of this Article to serve the supervision activity.

Article 15. Tasks and Authorities of the Inspection Oversight Team and Inspectors Assigned to Perform Oversight Duties

1. Require the Head of the Inspection Team and members of the Inspection Team to perform the tasks prescribed in Clause 1, Article 7 of this Circular.

2. Report directly or in writing to the person who issued the inspection decision about difficulties, obstacles, or violations of laws by the Head of the Inspection Team and members of the Inspection Team so that timely measures can be taken to address them.

3. Report to the person who issued the inspection decision on the results of oversight and propose solutions to address issues (if any); bear responsibility before the person who issued the inspection decision and before the law for the truthfulness of the content reported.

4. Not to use information and documents classified as state secrets related to inspection activities and the oversight of the Inspection Team's activities in violation of the law.

Article 16. Organization of Oversight Activities

1. Within the latest five working days from the date of signing the decision to oversee the activities of the Inspection Team, the Oversight Team and inspectors assigned to oversee the Inspection Team's activities shall be responsible for drafting and submitting the Inspection Team Oversight Plan for approval by the person who issued the inspection decision. In cases of urgent inspections, the time limit does not exceed three working days.

The Inspection Team Oversight Plan must clearly specify the purpose, requirements, content, specific forms, progress, and division of responsibilities for oversight. This plan is sent to the Inspection Team for coordination in implementation. The Inspection Team Oversight Plan is implemented according to Model No. 02-TTr attached to this Circular.

2. The Oversight Team and inspectors assigned to oversee the Inspection Team's activities shall report to the person who issued the inspection decision as follows:

a) Regularly report according to the approved Inspection Team Oversight Plan and report urgently upon request of the person who issued the inspection decision;

b) Report when discovering that the Head of the Inspection Team or members of the Inspection Team have violated laws or breached conduct rules during inspection activities;

c) Report when there is evidence suggesting that the Inspection Team's activities are inconsistent with the approved inspection schedule;

d) Report when the Inspection Team encounters difficulties or obstacles;

đ) Report at the conclusion of the oversight activity.

3. During the process of working with the Inspection Team, the inspected entity, and other relevant agencies, organizations, and individuals as stipulated in Clause 2, Article 14 of this Circular, the Oversight Team and inspectors assigned to oversee the Inspection Team's activities shall be responsible for recording and archiving the oversight activity records of the Inspection Team according to Model No. 04-TTr attached to this Circular.

Article 17. Reporting on Oversight Results

1. Within the latest fifteen working days from the end of the inspection, the Oversight Team and inspectors assigned to oversee the Inspection Team's activities shall submit the Oversight Result Report to the person who issued the inspection decision. The Oversight Result Report includes the following contents:

a) Evaluation of the situation and results of the Inspection Team's performance according to the provisions set out in Article 8 of this Circular;

b) Difficulties, obstacles, or violations by the Inspection Team; recommendations for handling measures (if any);

c) Issues requiring lessons learned in organizing and conducting inspection and oversight activities of the Inspection Team and other contents (if any);

d) Other related contents (if any).

2. The Oversight Result Report must be in writing and implemented according to Model No. 05-TTr attached to this Circular.

Article 18. Handling the Results of Supervision

1. Based on information and reports during the supervision process and the Report on the Results of Supervision, the person issuing the inspection decision shall be responsible for:

a) Timely examining and resolving, within their authority, difficulties, obstacles, and recommendations of the Supervision Team or supervisory officials related to the activities of the Inspection Team;

b) Applying measures within their authority to urge and correct the activities of the Inspection Team to ensure the purpose, requirements, and progress of the inspection;

c) Changing the Head of the Inspection Team or members of the Inspection Team.

2. In cases where violations of the law by the Inspection Team, members of the Inspection Team, or supervisory officials are discovered, the person issuing the inspection decision shall examine and handle according to their authority, recommend that those with authority handle it, or transfer the case file to the investigation agency for criminal responsibility pursuit if there are signs of criminal offenses.

3. The results of supervision are one of the bases for the person issuing the inspection decision to examine and issue the inspection conclusion.

Article 19. Supervision File

1. The supervision file includes the following documents:

a) Decision on supervision, supervision plan;

b) Reports and documents recommending handling measures from the Supervision Team and supervisory officials;

c) Minutes of meetings with the Inspection Team and relevant agencies, organizations, and individuals (if any);

d) Reports, documents, and materials from the Inspection Team sent to the Supervision Team and supervisory officials;

đ) Report on the results of supervision;

e) Other related documents.

2. The Head of the Supervision Team or supervisory officials shall be responsible for establishing and transferring the supervision file to the inspection-conducting agency. The supervision file shall be stored and managed together with the inspection file.

3. The transfer of the supervision file to the storage unit must be recorded in a Record according to Model No. 06-TTr issued along with this Circular.

Chapter III

SUPERVISION BY THE HEAD OF THE AGENCY OR UNIT MANAGEMENT DIRECT

HEAD OF THE INSPECTION TEAM, MEMBERS OF THE INSPECTION TEAM

Article 20. Tasks and Authorities of the Head of the Agency or Unit Directly Managing the Head of the Inspection Team and Members of the Inspection Team

1. Receiving the inspection decision and the supervision activity decision concerning the Inspection Team; being informed about the inspection tasks, the time for performing inspection tasks of the Head of the Inspection Team and members of the Inspection Team who are under their direct management.

2. Requesting members of the Inspection Team who are under their direct management to report on the inspection tasks and the time for performing these tasks.

3. Examining the reflections and recommendations stipulated in Clause 2, Article 21 of this Circular to apply handling measures within their authority or report to the person issuing the inspection decision for handling.

4. Arranging and assigning work at their agency or unit appropriately and creating favorable conditions for members of the Inspection Team who are under their direct management to complete the assigned inspection tasks.

5. In cases where the Head of the Inspection Team is a civil servant of the State Inspection Agency or a unit under the State Inspection Agency, in addition to the tasks and authorities specified in Clauses 1, 2, 3, and 4 of this Article, the Head of the Agency or Unit directly managing the Head of the Inspection Team also has the responsibility to assist the person issuing the inspection decision in urging the progress of the Inspection Team's tasks; participating in comments on draft reports on the results of the inspection and draft inspection conclusions when requested by the person issuing the inspection decision.

Article 21. Content of supervision by the Head of the direct management agency or unit over the Inspector-in-Chief and members of the inspection team

The Head of the direct management agency or unit supervises the activities of civil servants and officials under their management through monitoring, reviewing, and evaluating the following contents:

1. The implementation progress according to the assigned inspection tasks for the Inspector-in-Chief and members of the inspection team;

2. Reports and recommendations from the Inspector-in-Chief and members of the inspection team or from other information sources regarding compliance with conduct rules, awareness of inspection discipline, and the performance of inspection duties towards civil servants and officials under direct management.

Chapter IV

IMPLEMENTATION

Article 22. Effectiveness

This Circular takes effect from November 1, 2015, replacing Decision No. 2861/2008/QĐ-TTCP dated December 22, 2008, of the General Inspector on the issuance of the Regulation on Supervision and Inspection of the Inspection Team's Activities.

Article 23. Responsibility for Implementation

1. Chairpersons of People's Committees at all levels, Heads of state inspection agencies at all levels, Heads of agencies entrusted with specialized inspection functions, relevant agencies, organizations, units, and individuals are responsible for implementing this Circular.

2. Within their functional, task, and authority scope as prescribed by law and when necessary, based on the principles stipulated in this Circular, Ministers and Heads of ministerial-level agencies shall specify procedures and formalities for supervision of specialized inspection activities in accordance with the nature and characteristics of such activities.

3. During the implementation of this Circular, if difficulties, obstacles, or new issues arise, relevant agencies, organizations, units, and individuals shall promptly report to the Government Inspectorate for guidance or amendment and supplementation./.