Circular No. 06/2024/TT-TTCP on the establishment and management of inspection files, complaint resolution files, and accusation resolution files

CIRCULAR

REGULATIONS ON THE ESTABLISHMENT AND MANAGEMENT OF INSPECTION FILES, COMPLAINT RESOLUTION FILES, AND ACCUSATION RESOLUTION FILES

PETITION RESOLUTION FILE, COMPLAINT RESOLUTION FILE

Pursuant to the Law on Petition dated November 11, 2011;

Pursuant to the Law on Archives dated November 11, 2011;

Pursuant to the Law on Complaints dated June 12, 2018;

Pursuant to the Inspection Law on November 14, 2022;

Pursuant to Decree No. 31/2019/NĐ-CP dated April 10, 2019 of the Government detailing certain provisions and measures for the implementation of the Law on Accusation;

Pursuant to Decree No. 30/2020/NĐ-CP dated March 5, 2020 of the Government on archival work;

BASED ON DECREE NO. 124/2020/ND-CP DATED OCTOBER 19, 2020 OF THE GOVERNMENT PROVIDING GUIDELINES FOR IMPLEMENTATION OF CERTAIN PROVISIONS OF THE PETITION LAW;

Pursuant to Decree No. 43/2023/NĐ-CP dated June 30, 2023 of the Government detailing certain provisions and implementing measures of the Inspection Law;

Pursuant to Decree No. 81/2023/NĐ-CP dated November 30, 2023 of the Government stipulating the functions, tasks, powers, and organizational structure of the Government Inspectorate;

Pursuant to Decree No. 03/2024/NĐ-CP dated January 11, 2024 of the Government stipulating the agencies performing specialized inspection functions and activities of agencies assigned to perform specialized inspection functions;

At the proposal of the Director of the Legal Department;

The General Inspector of the Government issues this Circular regulating the establishment and management of inspection files, complaint resolution files, and accusation resolution files.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular regulates the establishment, submission for storage, preservation, management, and utilization of inspection files, complaint resolution files, and accusation resolution files.

Article 2. Applicability

1. Heads of state administrative agencies, heads of inspection agencies, heads of agencies assigned to perform specialized inspection functions, leaders of inspection teams, members of inspection teams, individuals assigned to perform specialized inspection tasks.

2. Authorities with jurisdiction over complaints and accusations; individuals assigned to verify the contents of complaints and accusations.

Archives responsible for storing inspection files, complaint resolution files, and accusation resolution files.

Article 3. Requirements for the establishment and management of files

1. The establishment and management of files must comply with the functions and tasks of the agency, organization, unit, or individual and be consistent with legal regulations on archiving, inspection, complaints, and accusations.

2. Documents and materials in the file must be complete, intact, have legal value, be closely related to each other, and accurately reflect the sequence and development of events, the inspection process, complaint resolution, and accusation resolution.

3. Documents and materials in the file must be original copies or certified copies as prescribed by law.

4. The establishment, management, and utilization of inspection files, complaint resolution files, and accusation resolution files containing state secrets shall be carried out in accordance with legal regulations on the protection of state secrets.

Article 4. Electronic archiving of inspection files, complaint resolution files, and accusation resolution files

In cases where the documents required to be stored in inspection files, complaint resolution files, and accusation resolution files do not have paper copies as prescribed but only electronic versions, the person issuing the inspection decision, the person resolving complaints, the person resolving accusations, and relevant agencies, organizations, or individuals shall collect, manage, and store electronic documents and files in accordance with the Law on Archival Affairs and other relevant legal regulations.

Chapter II

ESTABLISHMENT OF INSPECTION FILES, COMPLAINT RESOLUTION FILES, AND ACCUSATION RESOLUTION FILES

COMPLAINT RESOLUTION FILE

Section 1

ESTABLISHMENT OF INSPECTION FILES

Article 5. Responsibility for establishing inspection files

1. The person issuing the inspection decision is responsible for directing the leader of the inspection team to establish inspection files; checking the establishment and transfer of inspection files.

2. The leader of the inspection team is responsible for organizing the establishment of inspection files; members of the inspection team are responsible for establishing inspection files when assigned by the leader of the inspection team.

Article 6. Procedure for establishing inspection files

1. Opening the file

a) The file shall be opened from the date on which the person with authority signs and issues the decision to conduct the inspection;

b) Based on the approved inspection plan, the person assigned to establish the file shall open and update initial information about the file.

2. Collecting and updating documents and materials into the file

a) The person assigned to establish the file is responsible for collecting and updating documents and materials during the inspection process into the opened file, ensuring its accuracy, completeness, systematicity, and sufficiency;

b) Documents and materials in the file must be arranged according to the groups specified in Article 7 of this Circular.

3. Closing the file

a) The file shall be closed on the date when the person with authority issues the document organizing the implementation of the inspection conclusion;

b) The person assigned to establish the file is responsible for reviewing all documents and materials in the file; removing duplicate and draft copies from the file; adjusting the title, number, and file code appropriately; completing and closing the file.

Article 7. Inspection File

1. Group 1 includes main documents, comprising:

a) Directives and requests from agencies or persons with authority that serve as the basis for issuing the inspection decision (if applicable);

b) Reports on the results of gathering information to prepare for the inspection (if applicable);

c) Inspection decision; documents suspending, supplementing, or changing the head of the inspection team or members of the inspection team (if applicable);

d) Plan for conducting the inspection; plans for amending or supplementing the content of the inspection plan (if applicable);

đ) Report on the results of the inspection;

e) Documents concluding, directing handling, and decisions on handling issued by the person issuing the inspection decision or competent authorities; documents exercising rights of the person issuing the inspection decision;

g) Decisions extending the inspection period, temporarily stopping the inspection, continuing the inspection, or suspending the inspection (if applicable);

h) Inspection conclusion;

i) Documents recommending prosecution and transferring case files and related materials to the investigative agency; documents reporting the resolution of the case by the investigative agency (if applicable);

k) Documents publicly announcing the inspection conclusion;

l) Documents organizing the implementation of the inspection conclusion.

2. Group 2 includes documents and materials issued by the inspection team during the inspection process, comprising:

a) Documents and outlines requesting the inspected entity to report on the inspection content;

b) Minutes of announcing the inspection decision;

c) Minutes prepared by the head of the inspection team or members of the inspection team when working with the inspected entity and relevant agencies, organizations, or individuals;

d) Progress reports and situation reports on inspection tasks submitted to the person issuing the inspection decision;

đ) Documents and decisions implementing the rights of the head of the inspection team or members of the inspection team (if applicable);

e) Documents and reports verifying the inspection content by the inspection team or its members;

g) Documents and reports to the person issuing the inspection decision, and notifications to the inspected entity regarding the completion of direct inspections;

h) Documents assigning tasks by the head of the inspection team to members of the inspection team; Reports on the completion of tasks by members of the inspection team;

i) Minutes of meetings of the inspection team on the draft report on the results of the inspection;

k) Minutes of meetings with the inspected entity to explain matters at the meeting concerning the draft inspection conclusion (if applicable);

l) Minutes of meetings and work sessions between the person issuing the inspection decision, the head of the supervising agency, and the inspection team, and notifications of the opinions concluded by the meeting chairperson (if applicable);

m) Documents retaining the opinions of the head of the inspection team or members of the inspection team (if applicable) on the draft report on the results of the inspection and the draft inspection conclusion;

n) Inspection team logbook;

o) Minutes of meetings summarizing the activities of the inspection team.

3. Group 3 includes documents and materials provided by the inspected entity, comprising:

a) Documents and reports from the inspected entity according to the outline and requirements of the inspection team;

b) Information and materials provided by the inspected entity related to the inspection content during the inspection process;

c) Information and materials provided and explained by the inspected entity regarding the contents of the draft inspection conclusion (if applicable).

4. Group 4 includes other documents and materials, comprising:

a) Draft inspection conclusions submitted to the person issuing the inspection decision and draft inspection conclusions reported to the head of the supervising agency at the same level, and draft inspection conclusions sent for review (if applicable);

b) Reports to the head of the supervising agency at the same level on the draft inspection conclusion; documents recording the opinions of the head of the supervising agency on the draft inspection conclusion; documents adopting and explaining the opinions of the head of the supervising agency on the draft inspection conclusion (if applicable);

c) Requests for opinions from relevant agencies, organizations, or individuals on one or several contents of the draft inspection conclusion; responses from agencies, organizations, or individuals on the requested content (if applicable);

d) Decisions and plans for supervision, reports on the results of supervising the activities of the inspection team, and other related materials (if applicable);

đ) Documents assigning the review of the draft inspection conclusion; reports on the results of reviewing the draft inspection conclusion; reports adopting and explaining the review opinions on the draft inspection conclusion and other related materials (if applicable);

e) Documents providing information and materials from relevant agencies, organizations, or individuals (if applicable);

g) Documents requesting forensic examination, forensic conclusions, and other related materials (if applicable);

h) Complaints, accusations, suggestions, and reflections related to the responsibility of the head of the inspection team or members of the inspection team; documents resolving complaints, accusations, suggestions, and reflections (if applicable);

i) Other related materials (if applicable).

Article 8. Inspection Review File

The establishment of the file for inspection review shall be carried out in accordance with the provisions of Articles 5, 6, and 7 of this Circular.

Section 2

ESTABLISHING THE FILE FOR COMPLAINT RESOLUTION

Article 9. Responsibility for Establishing the Complaint Resolution File

1. The person resolving the complaint shall be responsible for organizing and directing the establishment of the complaint resolution file.

2. In cases where the person resolving the complaint assigns the inspection agency at the same level or an organization, unit, or individual under their management to verify the content of the complaint, the Head of the organization, unit, verification team, or the person assigned the verification task shall be responsible for assisting the person resolving the complaint in establishing the complaint resolution file.

Article 10. Procedure for Establishing the Complaint Resolution File

1. Opening the file

a) The file is opened on the day the competent authority issues the notice accepting the complaint for resolution;

b) Based on the notice accepting the complaint for resolution, the person assigned to establish the file opens and updates the initial information about the file.

2. Collecting and updating documents and materials into the file

a) The person assigned to establish the file shall be responsible for collecting and updating documents and materials during the complaint resolution process into the opened file, ensuring the accuracy, completeness, systematic nature, and sufficiency of the file;

b) Documents and materials in the file must be arranged according to the groups specified in Article 11 of this Circular.

3. Closing the file

a) The file is concluded on the day the competent authority sends the decision on the resolution of the complaint as prescribed or issues a document announcing the suspension of the complaint resolution process (if applicable);

b) The person assigned to establish the file shall be responsible for reviewing all documents and materials in the file; removing duplicate copies and drafts from the file; adjusting the title, number, and file code appropriately; completing and concluding the file.

Article 11. Complaint Resolution File

1. Group 1 includes main documents, comprising:

a) The complaint letter or document recording the content of the complaint directly; the power of attorney of the complainant; the document appointing a representative to present the content of the complaint (if applicable);

b) Notice of acceptance for complaint resolution;

c) Report on the results of rechecking administrative decisions, administrative acts, disciplinary decisions against officials and civil servants subject to complaints (if applicable);

d) Document assigning the task of verifying the content of the complaint (if applicable); decision on verifying the content of the complaint;

đ) Document extending the time limit for complaint resolution (if applicable);

e) Withdrawal of complaint letter, notice of suspension of complaint resolution (if applicable);

g) Report on the results of verifying the content of the complaint;

h) Decision on complaint resolution;

i) Document publicizing the decision on complaint resolution.

2. Group 2 includes documents and materials issued during the complaint resolution process, including:

a) Document requesting the provision of information, documents, and evidence related to the content of the complaint;

b) Minutes of meetings with the complainant, their representative, authorized person, lawyer, legal aid counselor, persons with rights and interests related to the case, and relevant agencies, organizations, and individuals;

c) Document announcing the organization of dialogue; minutes of dialogue; report on the results of dialogue when the person resolving the complaint assigns or delegates the task of dialogue;

d) Decision on requesting expert appraisal, document requesting appraisal; result of appraisal (if applicable);

đ) Decision temporarily suspending the enforcement of the administrative decision being complained about; decision revoking the temporary suspension (if applicable).

3. Group 3 includes information, documents, and evidence collected during the complaint resolution process, including:

a) Information, documents, and evidence related to the content of the complaint provided by the complainant, their representative, authorized person, lawyer, legal aid counselor, and persons with rights and interests related to the case;

b) Information, documents, and evidence related to the content of the complaint provided by the entity being complained about;

c) Information, documents, and evidence provided by other agencies, organizations, units, or individuals (if applicable);

d) Minutes of handover of information, documents, and evidence;

đ) Document, report of the entity being complained about, related agencies, organizations, or individuals; explanation document of the entity being complained about regarding the administrative decision, administrative act being complained about (if applicable);

e) Other related documents (if applicable).

Article 12. File for Handling Second-Level Complaints

The establishment of the file for handling second-level complaints shall be carried out in accordance with the provisions of Articles 9, 10, and 11 of this Circular. The file for handling second-level complaints includes the documents specified in Article 11 of this Circular and the following documents:

1. Decision on establishing the Advisory Board (if any);

2. Document expressing the opinion of the Advisory Board (if any);

3. Other relevant documents (if any).

Section 3

ESTABLISHING THE FILE FOR HANDLING COMPLAINTS

Article 13. Responsibility for Establishing the File for Handling Complaints

1. The person handling the complaint has the responsibility to organize and direct the establishment of the file for handling the complaint.

2. In cases where the person handling the complaint assigns the same-level inspection agency or organization, unit, or individual to verify the content of the complaint, the head of the organization, unit, verification team leader, verification group leader, or person assigned the task of verification shall have the responsibility to assist the person handling the complaint in establishing the file for handling the complaint.

Article 14. Procedure for Establishing the File for Handling Complaints

1. Opening the file

a) The file is opened from the date the competent authority issues the decision to accept the complaint for handling;

b) Based on the decision to accept the complaint for handling, the person assigned to establish the file opens and updates the initial information about the file.

2. Collecting and updating documents and materials into the file

a) The person assigned to establish the file is responsible for collecting and updating documents and materials during the process of handling the complaint into the opened file, ensuring the accuracy, completeness, systematic nature, and sufficiency of the file;

b) Documents in the file must be arranged according to the groups specified in Article 15 of this Circular.

3. Closing the file

a) The file is concluded on the last day of making public the conclusion on the content of the complaint, the competent authority notifying the complainant of the result of handling the complaint, and publicly announcing the decision on handling the alleged violation (if any);

b) The person assigned to establish the file shall be responsible for reviewing all documents and materials in the file; removing duplicate copies and drafts from the file; adjusting the title, number, and file code appropriately; completing and concluding the file.

Article 15. File for Handling Complaints

1. Group 1 includes main documents, comprising:

a) Complaint letter or document recording the content of the complaint directly;

b) Report or record of inspection, verification of personal information of the complainant (if any);

c) Decision to accept the complaint for handling;

d) Notification of acceptance of the complaint for handling;

đ) Notification of the content of the complaint;

e) Document assigning verification of the content of the complaint; decision to establish the Verification Team (Group) for the content of the complaint (if any);

g) Decision to extend the time for handling the complaint (if any);

h) Withdrawal of complaint letter; record of withdrawal of the complaint (if any);

i) Decision to temporarily suspend the handling of the complaint; decision to continue handling the complaint (if any);

k) Report on the results of verifying the content of the complaint;

l) Conclusion on the content of the complaint or decision to suspend the handling of the complaint (if any);

m) Document on making public the conclusion on the content of the complaint; notification of the result of handling the complaint to the complainant;

n) Decision on handling by the person handling the complaint, document recommending the competent authority to apply measures for handling;

2. Group 2 consists of documents and materials issued during the process of handling the complaint, including:

a) Document requesting, demanding provision of information, documents, evidence related to the content of the complaint;

b) Minutes of meetings, working sessions with the complainant, the accused, organizations, units, individuals related to the content of the complaint;

c) Minutes of verification of the content of the complaint;

d) Document requesting forensic examination; forensic examination results (if any).

3. Group 3 consists of information, documents, evidence collected during the process of handling the complaint, including:

a) Information, documents, evidence related to the content of the complaint provided by the complainant, the accused; receipt and delivery records of information, documents, evidence;

b) Explanation document of the accused;

c) Information, documents related to the content of the complaint provided by other organizations, units, individuals (if any);

d) Other relevant documents (if any).

Article 16. File for Reconsidering Complaint Cases

The establishment of files for reconsidering complaint cases shall be carried out in accordance with the provisions of Articles 13, 14, and 15 of this Circular. The file for reconsidering complaint cases includes the documents specified in Article 15 of this Circular and the following documents:

1. The complaint letter or document recording the content of the subsequent complaint; the request or recommendation for reconsideration of the complaint case;

2. Minutes of meetings with the complainant regarding the content of the subsequent complaint;

3. Conclusion on the content of reconsidering the complaint case;

4. Decision on handling by the person reconsidering the complaint case;

5. Other related documents (if any).

Chapter III

SUBMISSION, STORAGE, MANAGEMENT, EXPLOITATION, AND USE OF FILES FOR INSPECTION, COMPLAINT CASES, AND REPORTING CASES

INSPECTION, COMPLAINT CASES, REPORTING CASES

Article 17. Submission of Files

1. Within the latest 15 days from the date of completion of the inspection file, the complaint resolution file, or the reporting case file, the Head of the Inspection Team, the Head of the agency, organization, or unit primarily responsible for verification, the Head of the Verification Team, the Head of the Verification Group, or the person assigned to verify the complaint or reporting content must organize the file according to the file index and transfer it to the agency conducting the inspection or the unit advising on complaint and reporting resolution.

2. Within the latest 12 months from the date of completion of the inspection file, the complaint resolution file, or the reporting case file, the agency conducting the inspection or the unit advising on complaint and reporting resolution must submit the documents to the agency's archive.

3. The agency's archive has the responsibility to accept the files and establish a handover record. The file index and handover record are made in three copies; each party holding the file retains one copy, and one copy is sent to the decision-maker of the inspection, the complaint resolver, or the reporting case resolver.

Article 18. Preservation of Files

1. Inspection files, complaint resolution files, and reporting case files must be preserved completely, safely, confidentially, and scientifically arranged for convenient management, exploitation, and use.

2. Inspection files are stored in the archive of the agency performing inspection functions; complaint resolution files and reporting case files are stored in the archive of the agency, organization, or unit authorized to resolve complaints and reporting cases, or stored at the agency or unit assigned to verify the complaint or reporting content.

3. The preservation period of the files is implemented in accordance with the provisions of the law.

Article 19. Management, Exploitation, and Use of Files

The management, exploitation, and use of inspection files, complaint resolution files, and reporting case files are carried out in accordance with the provisions of the law on inspection, complaint, reporting, and archiving, and the regulations of the file management agency.

PENALIZATION OF VIOLATIONS AND IMPLEMENTATION PROVISIONS

Chapter IV

Article 20. Handling Violations

The decision-maker of the inspection, the complaint resolver, the reporting case resolver, the Head of the Inspection Team, the Head of the agency, organization, or unit primarily responsible for verifying the complaint or reporting content, the person assigned to establish the file, and other related agencies, organizations, or individuals, depending on the nature and degree of violation, will be subject to disciplinary action or criminal liability pursuit, and if damage is caused, they must compensate according to the law when committing any of the following acts:

1. Seizing, damaging, or losing files and documents.

2. Forging, altering, or distorting the content of files and documents.

3. Illegally selling, transferring, or destroying files and documents.

4. Using archived files and documents for purposes that infringe upon the interests of the State, the rights, and legitimate interests of agencies, organizations, or individuals.

5. Illegally taking files and documents out of the country.

Decision No. 2278/2007/QĐ-TTCP dated October 24, 2007, issued by the General Inspector on the Regulation on Establishing and Managing Inspection Files, Complaint Resolution Files, and Reporting Case Files ceases to be effective from the date this Circular takes legal effect.

Article 21. Effective Date

1. This Circular takes effect from August 15, 2024.

2. Inspection files, complaint resolution files, and reporting case files opened before this Circular takes legal effect shall continue to be implemented in accordance with Decision No. 2278/2007/QĐ-TTCP.

3. During implementation, if there are difficulties, obstacles, or new issues arise, agencies, organizations, and units should promptly report to the Government Inspectorate for research, amendment, and supplementation./.

3. During implementation, if there are difficulties, obstacles, or new issues arise, agencies, organizations, and units shall promptly report to the Government Inspectorate for study, amendment, and supplementation./.