Circular No. 07/2013/TT-TTCP on the procedure for handling administrative complaints

CIRCULAR

Article 24ISSUING REGULATIONS ON PROCEDURES FOR HANDLING ADMINISTRATIVE COMPLAINTS

Pursuant to the Complaint Law No. 02/2011/QH13 dated November 11, 2011;

Pursuant to DecreeNo. Pursuant to Article 75/2012/NĐ-CP dated October 3, 2012 of the Government detailing certain provisions of the Law on Complaints;

The Chief Inspector General promulgates this Circular amending and supplementing certain Articles of Circular No. 07/2013/TT-TTCP dated October 31, 2013 of the Government Inspectorate regarding the procedure for handling administrative complaints,

Considering the proposal of the Director of the Legal Department and the Director of the Institute of Inspection Science;

The Government Inspector General issues this Circular regulating procedures for handling administrative complaints.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates the procedures for accepting, investigating, concluding the content of complaints, issuing, sending, and publicizing decisions on handling complaints regarding administrative decisions, administrative acts of state administrative agencies, and disciplinary decisions against civil servants.

Article 2. Applicability

1. State administrative agencies, persons handling complaints, and persons assigned to verify complaint contents belong to state administrative agencies.

2. Complainants, respondents, agencies, organizations, units, and individuals related to the handling of complaints within the jurisdiction of the head of a state administrative agency.

Article 3. Principles for Handling Complaints

Handling complaints must ensure accuracy, objectivity, transparency, democracy, timeliness, and compliance with jurisdiction, procedures, formalities, and deadlines as prescribed by law; protecting the interests of the State, collectives, and legitimate rights and interests of agencies, organizations, units, and individuals.

Article 4. Application of Law

1. Procedures for handling administrative complaints at public service establishments and state-owned enterprises shall be applied in accordance with the provisions of this Circular.

2. Handling complaints through the activities of inspection teams shall be carried out in accordance with laws on inspection and other relevant regulations.

Chapter II

PROCEDURE AND PROCEDURES FOR HANDLING COMPLAINTS

Section 1

ACCEPTANCE, PREPARATION FOR INVESTIGATION OF COMPLAINT CONTENT

Article 5. Acceptance of Complaints for Handling

2. For complaints about administrative decisions and acts, the person authorized to handle the complaint shall notify the acceptance in writing to the complainant, the agency, organization, unit, or individual with the authority to transfer the complaint (if any), and the same-level state inspection agency. For complaints about disciplinary decisions against civil servants, the notification of acceptance shall be sent to the complainant. In cases where multiple people file a complaint on the same matter and appoint a representative to carry out the complaint, the notification of acceptance shall be sent to the representative.

The notification of acceptance for handling complaints is implemented according to Model No. 01-KN. The notification of non-acceptance for handling complaints is implemented according to Model No. 02-KN issued together with this Circular.

Article 6. Re-examination of administrative decisions, administrative acts, and disciplinary decisions against officials and civil servants subject to complaint

1. After accepting a complaint, the authority responsible for primary complaint resolution must re-examine the administrative decision or administrative act that is the subject of the complaint.

For complaints about disciplinary decisions against civil servants, the person authorized to handle the complaint must directly review or assign a responsible person to re-examine the disciplinary decision against the civil servant being complained about.

2. The content of the re-examination includes:

a) Legal basis for issuing administrative decisions, implementing administrative acts, and issuing disciplinary decisions for civil servants and public officials;

b) Authority to issue administrative decisions, implement administrative acts, and issue disciplinary decisions for civil servants and public officials;

c) Content of administrative decisions, implementation of administrative acts, and disciplinary decisions for civil servants and public officials;

d) Procedures, formalities, and presentation techniques for issuing administrative decisions and disciplinary decisions for civil servants and public officials.

đ) Other contents (if any).

3. After re-examination, if it is found that the complaint about the administrative decision or administrative act is correct, the authority responsible for primary complaint resolution shall immediately issue a decision to resolve the complaint.

For complaints about disciplinary decisions against civil servants, if the content of the complaint is clear upon examination, the person authorized to handle the complaint shall request the Disciplinary Council of Civil Servants to consider and propose a resolution to the person authorized to handle the complaint.

1. The person resolving the complaint may conduct verification themselves or assign the state inspection agency at the same level or organizations, units, individuals under their management to carry out verification of the complaint content.

The decision to assign tasks to verify the content of complaints shall be implemented according to Model No. 03-KN issued together with this Circular.

2. When necessary, the person handling the complaint, agency, organization, unit, or individual assigned the task of verifying may establish a Verification Team or Verification Group (hereinafter referred to collectively as the Verification Group).

The decision to verify the content of complaints shall be implemented according to Model No. 04-KN issued together with this Circular.

Article 8. Plan for Verifying the Content of Complaints

1. In case a Verification Group is established, the head of the Verification Group shall be responsible for drafting a verification plan, submitting it for approval by the person who issued the decision to establish the Verification Group, and organizing its implementation.

2. The plan for verifying the content of complaints includes:

a) Legal basis for conducting verification;

b) Purpose and requirements of the verification;

c) Content of verification;

d) Organizations, units, individuals required to cooperate in collecting, verifying information, documents, and evidence;

đ) Conditions and means serving the verification process;

e) Estimated time for implementing specific tasks and responsibilities of each member; reserve time for handling unexpected tasks;

g) Reporting progress on implementation;

h) Other contents (if any).

Section 2

CONDUCTING VERIFICATION OF COMPLAINT CONTENT

Article 9. Publicizing the Decision to Verify the Content of Complaints

In case necessary, the person handling the complaint or the person responsible for verification may publish the decision to verify the content of the complaint at the agency, organization, or unit of the person being complained about or at the office of the agency, organization, or unit where the complaint originated.

Participants in the publication session include: the person handling the complaint or the person responsible for verification, the complainant, the person being complained about or their representative, and relevant agencies, organizations, units, or individuals.

The publication of the decision to verify the content of the complaint shall be recorded in a protocol signed by the person handling the complaint or the person responsible for verification, the complainant, the person being complained about or their representative.

The protocol shall be made in at least three copies, one given to the complainant, one to the complained party, and one retained in the complaint resolution file.

Article 10. Direct interaction with the complainant, their representative, authorized person, lawyer, or legal aid assistant of the complainant

1. The person handling the complaint or the person responsible for verifying the content of the complaint shall conduct direct interviews and require the complainant or their representative, the person authorized, the lawyer, or legal aid provider of the complainant to provide information, documents, and evidence related to personal details and the content of the complaint.

2. Information, documents, and evidence include:

a) Personal information

For the complainant: Request to present identification cards or other identity documents, provide residential address, and contact phone number for necessary communication and work.

For the representative or authorized person: Request to present identification cards, provide authorization documents to prove lawful representation.

For lawyers and legal aid providers: Require presentation of a legal assistance request or power of attorney from the complainant, a lawyer's card, a legal aid provider's card, and a legal aid assignment decision.

b) Information, documents, and evidence related to the complaint content.

3. The content of the interview shall be recorded in a protocol specifying the time, place, participants, content, and signed by all parties. The protocol shall be prepared in at least two copies, each party keeping one copy. The interview protocol shall be carried out according to Model No. 05-KN attached to this Circular.

4. In case direct interviews cannot be conducted due to objective reasons, the person handling the complaint or the person responsible for verification shall send a written request to the complainant or their representative, the person authorized, the lawyer, or legal aid provider of the complainant to provide information, documents, and evidence to clarify the content of the complaint. The provision of information, documents, and evidence shall be completed within seven working days from the date of receipt of the request.

Article 11. Direct interaction with the respondent

1. The person handling the complaint or the person responsible for verification shall conduct direct interviews and require the person being complained about to provide information, documents, and evidence related to the content of the complaint, explain the administrative decision or administrative act being complained about.

2. The content of the interview shall be recorded in a protocol specifying the time, place, participants, content, and signed by all parties. The protocol shall be prepared in at least two copies, each party keeping one copy. The interview protocol shall be carried out according to Model No. 05-KN attached to this Circular.

The provision of information, documents, evidence, and explanatory documents must be completed within seven working days from the date of receipt of the request.

Article 12. Requesting agencies, organizations, units, or individuals related to provide information, documents, and evidence

The provision of information, documents, and evidence shall be carried out within seven working days from the date of receipt of the request document.

2. In cases where work is conducted directly with agencies, organizations, units, or individuals related to the complaint, the person handling the complaint or the responsible person for verification must notify in advance the time, place, content of the work, and the requirement to provide information, documents, and evidence for the session.

The content of the work shall be recorded in a minutes document clearly stating the time, place, participants, content, and the information, documents, and evidence handed over and received during the session, and signed by all parties. The minutes shall be prepared in at least two copies, each party retaining one copy. The minutes of the work shall be carried out according to Model No. 05-KN issued together with this Circular.

Article 13. Receiving, Processing Information, Documents, and Evidence

1. When receiving information, documents, and evidence provided directly by the complainant or their representative, authorized person, lawyer, legal aid provider, the person being complained against, agencies, organizations, units, or individuals, the person handling the complaint or the responsible person for verification must prepare a receipt document according to Model No. 07-KN issued together with this Circular.

2. Collected information, documents, and evidence must clearly indicate their source. When collecting copies, the person handling the complaint or the responsible person for verification must compare them with the original; if there is no original, it must be clearly stated in the receipt document. Information, documents, and evidence provided by agencies, organizations, or units must be confirmed by the providing agency, organization, or unit. Information, documents, and evidence provided by individuals must be confirmed by the provider. In cases where documents are missing pages, missing characters, too old, or too faded to read accurately, the collector must clearly state the condition of the document in the receipt document.

The complaint resolver or the person responsible for verification must check the authenticity of the collected information, documents, and evidence.

3. The person handling the complaint or the responsible person for verification must evaluate and assess the evidentiary value of the collected information, documents, and evidence based on compliance with legal regulations and principles in handling complaints. Information, documents, and evidence used to conclude the content of the complaint must clearly indicate their origin, objectivity, relevance, and legality.

Article 14. On-Site Verification

1. When necessary, the person handling the complaint or the responsible person for verification conducts on-site verification to collect, check, and determine the accuracy, legality, and completeness of the information, documents, and evidence related to the content of the complaint.

2. On-site verification must be recorded in a minutes document, clearly stating the time, place, participants, content, results of verification, opinions of those involved in verification, and other relevant persons.

Article 15. Requesting Appraisal

2. The request for appraisal shall be made in writing, specifying the name of the appraisal agency or organization, the information, documents, and evidence to be appraised, the content of the appraisal request, and the deadline for the appraisal conclusion.

The request for an appraisal is carried out according to Model No. 08-KN issued together with this Circular.

Article 16. Working with Parties During the Verification Process of Complaint Content

If the verification result differs from the information, documents, and evidence provided by the complainant or the person being complained against, the responsible person for verification must organize a meeting with the complainant and the person being complained against. If necessary, relevant agencies, organizations, units, or individuals may be invited to participate in the meeting.

The content of the meeting must be recorded in a minutes document, clearly stating the time, place, participants, content, opinions of those involved, agreed contents, differing opinions, and signed by all parties. The minutes shall be prepared in at least three copies, each party retaining one copy. The minutes of the meeting shall be carried out according to Model No. 05-KN issued together with this Circular.

Article 17. Temporarily Suspending the Execution of Administrative Decisions Subject to Complaints

1. During the process of handling complaints, if it is found that the implementation of the administrative decision being complained about will cause difficult-to-rectify consequences, the person handling the complaint shall issue a decision to temporarily suspend the implementation of the administrative decision being complained about. The temporary suspension decision shall be carried out according to Model No. 09-KN issued together with this Circular.

2. The duration of the temporary suspension shall not exceed the remaining time for resolving the complaint. If the reason for the temporary suspension no longer exists, the person handling the complaint must immediately issue a decision to revoke the temporary suspension decision. The decision to revoke the temporary suspension decision shall be carried out according to Model No. 10-KN issued together with this Circular.

Article 18. Report on the Results of Investigating the Content of Complaints

2. The report on the results of verifying the complaint content includes the contents prescribed in Clause 4 of Article 29 of the Law on Complaints, which must clearly state information about the complainant, the person being complained against, the administrative decision, administrative act, or disciplinary decision against civil servants being complained about, the complainant's requests, grounds for complaint; previous resolution of the complaint (if any); verification results for each assigned content; conclusions that the verified complaint content is entirely correct, entirely incorrect, or partially correct; recommendations to maintain, revoke entirely, or amend and supplement partially the administrative decision, administrative act being complained about; recommendations on issuing a decision to resolve the complaint.

The report on the results of the investigation shall be carried out according to Model No. 11-KN issued together with this Circular.

Article 19. Suspension of Complaint Resolution

1. The person handling the complaint issues a decision to terminate the handling of the complaint when the complainant withdraws the complaint. The decision to terminate the handling of the complaint shall be carried out according to Model No. 12-KN issued together with this Circular.

2. The decision to suspend the handling of complaints shall be sent to the complainant, the person complained against, the person responsible for verification, those with rights and obligations related to the matter, the agencies, organizations, units, and individuals who have referred the complaint, and the State Inspectorate at the same level.

Article 20. Seeking Advisory Opinions in Resolving Complaints

1. During the process of handling complaints, when it is deemed necessary, the person handling the complaint may seek opinions from relevant agencies, organizations, units, and individuals before issuing a decision to resolve the complaint. Seeking opinions can be done in writing or through organizing a meeting.

2. During the second stage of handling administrative decisions or administrative acts, the person handling the complaint may invite experts in the relevant field, representatives of political-social and occupational organizations to participate in the Advisory Council for resolving complaints.

The complaint resolution authority issues a decision to establish the Advisory Board according to Model No. 13-KN issued together with this Circular and convenes a meeting of the Advisory Board.

3. At the Advisory Council meeting, the person handling the complaint requests the person responsible for verification to report on the results of verifying the complaint content, and any issues that still have differing opinions require advisory opinions; members of the Advisory Council discuss and provide their opinions. These opinions are recorded in the minutes of the Advisory Council meeting. The minutes must be signed by the Chairman and Secretary of the Advisory Council and sent to the person handling the complaint.

Article 21. Conducting Dialogue

a) During the process of handling administrative decisions or administrative acts, the first-level complaint handler shall organize a dialogue if the complainant's request and the results of verifying the complaint content still differ. During the second-stage complaint resolution process, the complaint handler or the person responsible for verification may organize a dialogue.

b) During the process of handling disciplinary decisions for civil servants, the first and second-level complaint handlers must organize a dialogue.

2. Participants in Dialogue and Content of Dialogue

a) Participants in the dialogue include: the complaint handler or the person responsible for verifying the complaint content, the complainant or their representative, the authorized person, the lawyer, the legal aid provider for the complainant, the person complained against, and any relevant agencies, organizations, units, and individuals.

The complaint handler or the person responsible for verification has the responsibility to notify in writing the complainant, the person complained against, those with rights and obligations related to the matter, and relevant agencies and organizations about the time, place, and content of the dialogue.

b) Content of the dialogue: When conducting a dialogue, the complaint handler or the person responsible for verification must clearly state the content to be discussed, the results of verifying the complaint content; participants in the dialogue have the right to present their opinions, supplement information, documents, and evidence related to the complaint and their requests.

3. The dialogue shall be recorded in minutes, specifying the time, place, participants, content, opinions of the participants, agreed-upon contents, issues with differing opinions, and signed by all parties. The minutes shall be made in at least three copies, each party keeping one copy. The dialogue minutes shall be prepared according to Model No. 14-KN issued together with this Circular.

Section 3

ISSUING, SENDING, AND PUBLICIZING THE DECISION TO RESOLVE COMPLAINTS

AND ESTABLISHING AND MANAGING THE COMPLAINT RESOLUTION FILE

Article 22. Issuance, Forwarding, Publicizing the Decision on Complaint Resolution

1. Based on legal provisions, the results of verifying the complaint content, and the results of dialogue (if any), the complaint handler shall issue a decision on complaint resolution.

a) The decision to resolve the first-level administrative decision or administrative act complaint shall be implemented in accordance with Article 31 of the Law on Complaints; the decision to resolve the second-level complaint shall be implemented in accordance with Article 40 of the Law on Complaints.

In the decision to resolve the complaint, there must be clear information about the complainant, the person complained against, the complaint content, the grounds for the complaint, the complainant's request; previous resolution results (if any); the results of verifying the complaint content; clearly stating the basis for concluding that the complaint content is entirely correct, entirely incorrect, or partially correct; maintaining, revoking entirely, or modifying and supplementing part of the administrative decision or administrative act being complained about (for the first-level resolution decision) or requesting the person making the administrative decision or administrative act being complained about to modify, revoke part or all of the administrative decision, terminate the administrative act being complained about (for the second-level resolution); compensation for damages to the person suffering losses (if any) and resolving other related issues; the right to file a second-level complaint or to initiate an administrative lawsuit at the Court.

b) The decision to resolve the first-level complaint regarding disciplinary decisions for civil servants shall be implemented in accordance with Article 54 of the Law on Complaints; the decision to resolve the second-level complaint regarding disciplinary decisions for civil servants shall be implemented in accordance with Article 56 of the Law on Complaints.

In the decision to resolve the complaint, there must be clear information about the complainant, the person complained against, the complaint content, the verification results, the dialogue results; clearly stating the legal bases for resolving the complaint, conclusions about the complaint content; maintaining, modifying, supplementing, or revoking part or all of the disciplinary decision (for the first-level resolution decision) or conclusions about specific issues within the complaint content and the resolution of the first-level complaint handler (for the second-level resolution decision); compensation for damages to the person suffering losses (if any) and resolving other related issues; the right to file a second-level complaint or to initiate a lawsuit at the Court.

c) The first complaint resolution decision shall be carried out according to Model No. 15-KN, the second complaint resolution decision shall be carried out according to Model No. 16-KN issued together with this Circular.

2. Forwarding the complaint resolution decision:

a) For the decision on handling complaints regarding administrative decisions and administrative acts:

Sending the first-level complaint resolution decision: Within three working days from the date of the complaint resolution decision, the first-level complaint handler is responsible for sending the complaint resolution decision to the complainant, the immediate superior head of the complaint handler, the person with authority, those with rights and obligations related to the matter, the agencies, organizations, and individuals who have referred the complaint, and the State Inspectorate at the same level.

Sending the second-level complaint resolution decision: Within seven days from the date of the second-level complaint resolution decision, the person resolving the second-level complaint must send the decision to the complainant, the respondent, the first-level complaint resolver, those with rights and obligations related to the matter, and the authorities, organizations, or individuals who transferred the complaint.

b) For the decision on handling complaints regarding disciplinary decisions against civil servants:

Sending the first-level complaint resolution decision: The first-level complaint resolution decision must be sent to the complainant and relevant agencies or organizations.

Sending the second-level complaint resolution decision: The second-level complaint resolution decision must be sent to the complainant, the first-level complaint resolver, and those with rights and obligations related to the matter within seven days from the date of issuance. The second-level complaint resolution decision of the Minister, Head of a Ministry-level agency, Head of a Government-affiliated agency, or Chairman of the People's Committee at the provincial level must also be sent to the General Inspectorate of the Government and the Minister of Home Affairs.

3. Publicizing the decision on handling complaints:

Within fifteen days from the date of the complaint resolution decision, the authority responsible for resolving the second-level complaint has the responsibility to publicly announce the complaint resolution decision through one of the following methods:

a) Announcing at a meeting of the agency or organization where the person complained against works.

In the case of announcing at a meeting, the participants must include: The person issuing the complaint resolution decision, the complainant or their representative, the respondent, and any related agencies, organizations, or individuals. Prior to holding the public meeting, the authority responsible for resolving the complaint must issue a written notice to the related agencies, organizations, or individuals three working days in advance.

b) Posting at the workplace or reception area of the agency or organization that resolved the complaint.

In case of posting at the workplace or reception area of the agency or organization that resolved the complaint, the posting period for the decision on complaint resolution must be at least fifteen days, starting from the posting date.

c) Announcing through mass media.

Announcing the complaint resolution decision on mass media is carried out through radio broadcasts, television broadcasts, print publications, and online news. The authority responsible for resolving the complaint has the responsibility to choose one of the mass media channels to implement the announcement. If the authority of the person responsible for resolving the complaint has an electronic portal or website, it must be announced on the electronic portal or website. The number of announcements on radio broadcasts must be at least two airings; on television broadcasts, at least two airings; and on print publications, at least two issues. The posting time on online news, on the electronic portal, or on the website must be at least fifteen days from the date of posting the announcement.

Article 23. Establishment and management of complaint resolution files

1. The person responsible for verifying information to assist the complaint resolver shall open and establish a file for complaint resolution; collect all relevant information, documents, evidence, and proof related to the complaint content, verification results, conclusions, recommendations, and complaint resolution decisions formed from opening the complaint resolution file until closing the file according to the following procedures:

a) Opening the complaint resolution file: The opening date is the date of accepting the complaint resolution.

b) Collecting and categorizing documents, establishing an index for management;

c) Closing the complaint resolution file: The closing date is the day when the authority completes sending the decision on complaint resolution and publicly announcing the decision on complaint resolution.

2. Within thirty days from the date of closing the file, the person responsible for verifying information must complete the organization, indexing, and transfer of the file to the storage department of the assigned verification agency or transfer the file to the storage department of another agency as directed by the complaint resolver.

3. Complaint resolution files shall be organized to ensure convenient and quick access and use, divided into two groups of documents as follows:

Group 1 includes the following documents and materials: Complaint letter or record of direct complaint content; notification of acceptance, decision to establish the Verification Team; plan for verifying complaint content; report on the results of verifying complaint content; minutes of the meeting of the Advisory Board for resolving the second-level complaint; complaint resolution decision; notification, handling, and recommendation documents during the complaint resolution process.

Group 2 includes the following documents and materials: Minutes of work sessions; collected documents, materials, and evidence; explanations provided by the complainant or their authorized representative, lawyer, or legal aid provider of the complainant, respondent; other documents related to the complaint content.

Chapter III

IMPLEMENTING PROVISIONS

Article 24. Effective Date

This Circular takes effect from December 16, 2013.

Article 25. Implementation organization

Ministries, ministry-level agencies, Government-affiliated agencies, and People's Committees at all levels are responsible for implementing this Circular.

During the implementation process, if there are difficulties, obstacles, or new issues arise, agencies, organizations, units, and individuals must promptly reflect these to the Government Inspectorate for guidance or amendments/supplements./.