Circular No. 20/2019/TT-BCT on internal inspection of compliance with laws in the performance of official duties by the Market Management Force

CIRCULAR

Internal inspection regulations for compliance with laws in official activities of market management forces

in the performance of official duties by the Market Management Force

Pursuant to the Market Management Law dated March 8, 2016;

Pursuant to Decree No. 98/2017/NĐ-CP dated August 18, 2017, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

Pursuant to Decision No. 34/2018/QĐ-TTg dated August 10, 2018 of the Prime Minister stipulating the functions, tasks, powers, and organizational structure of the Market Management General Department under the Ministry of Industry and Trade;

At the proposal of the Director of the Market Management General Department,

The Minister of Industry and Trade issues this Circular on internal inspection for compliance with laws in official activities of market management forces.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Circular stipulates the purpose, principles, authority, content, form, procedure, and handling of results of internal inspections for compliance with laws in official activities of market management forces (hereinafter referred to as internal inspections).

2. Complaints and denunciations against the official activities of market management forces shall be handled in accordance with the laws on complaints and denunciations.

Article 2. Applicability

1. Market management agencies at all levels (hereinafter referred to as market management agencies).

2. Civil servants working at market management agencies (hereinafter referred to as civil servants) including market management civil servants and those not yet appointed to the rank of market management civil servant.

3. Other organizations and individuals related to internal inspection activities of market management forces.

Article 3. Purpose of internal inspection

1. To ensure compliance with legal provisions in the official activities of market management forces; promptly identify and commend positive factors, immediately rectify errors and limitations, and strictly handle violations of the law; serve as a basis for evaluating civil servants and considering awards and honors.

2. Through internal inspections, to identify limitations and inadequacies, thereby proposing necessary measures to amend and supplement mechanisms, policies, and laws on organization and official activities of market management forces; plan training and capacity building to improve the competence and moral qualities of civil servants.

Article 4. Principles in internal inspection

1. Internal inspection activities must be carried out in accordance with the prescribed content, form, authority, procedures, formalities, and deadlines; ensuring accuracy, objectivity, honesty, transparency, democracy, and timeliness; without affecting the normal operations of the inspected entities.

2. Violations of the law discovered during internal inspections must be immediately stopped along with the application of appropriate preventive measures and strictly handled according to the law.

3. Any acts that obstruct, create difficulties, extort, or engage in negative practices in internal inspection activities or violate the provisions of this Circular shall be subject to legal sanctions depending on their nature and severity.

Chapter II

FORMS, CONTENT, AUTHORITY TO DECIDE,

POWERS AND RESPONSIBILITIES IN INTERNAL INSPECTION

Article 5. Forms of internal inspection

1. Regular internal inspections conducted according to annual plans approved and issued by the Director of the Market Management General Department (hereinafter referred to as the Director), the Directors of Provincial, Interprovincial, and Central City Market Management Departments, and the Director of the Market Management Operations Department (hereinafter referred to as the Director).

2. Unscheduled internal inspections in the following cases:

a) When there is a request for internal inspection from a superior authority with jurisdiction;

b) When receiving information, documents, or evidence indicating signs of violation by civil servants or market management agencies and having grounds for verification and investigation;

c) When conducting rapid checks on discipline, administrative conduct, or compliance with legal provisions of market management forces at the location being inspected, applying preventive measures, and ensuring administrative violation handling (hereinafter referred to as rapid checks).

Article 6. Contents of Internal Inspection

1. The contents of internal inspection include:

a) Inspecting the organization and implementation of public service activities according to the assigned functions and tasks or pursuant to the directives of the competent state management agency at a higher level;

b) Inspecting the implementation of legal provisions on the management and use of Market Inspection Cards; serial numbers, signs, emblems, flags, insignias, uniforms of market management forces; sample inspection reports, decisions; management and use of material bases, equipment, and other state assets at market management agencies;

c) Inspecting the implementation of legal provisions on specialized inspections, inspections, administrative violation handling, and business methods of market management forces;

d) Inspecting the compliance with legal provisions on receiving citizens, handling complaints, and denunciations related to public service activities of civil servants and market management agencies;

đ) Inspecting the compliance with disciplinary and administrative regulations of civil servants and market management agencies;

e) Inspecting the implementation of other public service activities of civil servants and market management agencies as prescribed by law.

2. Based on management requirements, plans, and forms of internal inspection, the person authorized under Article 7 of this Circular (hereinafter referred to as the inspection decision maker) may decide to inspect one or more of the inspection contents specified in Clause 1 of this Article.

Article 7. Internal review by authority to decide on internal inspection

1. The Director of the General Department decides on periodic or surprise internal inspections for market management agencies directly under the General Department of Market Management (hereinafter referred to as the General Department).

2. The Director of the Department decides on periodic or surprise internal inspections for civil servants and market management agencies directly under provincial, inter-provincial, centrally-administered city market management departments, and the Department of Market Management Business (hereinafter referred to as the Department) based on the delegated management levels.

3. The positions specified in Clauses 1 and 2 of this Article may delegate such authority to deputy officials to make decisions on internal inspections. Such delegation shall be made in writing either regularly or on a case-by-case basis.

Article 8. Number of Inspections and Direct Implementation Time review by the Legal Department and submit for leadership signature to send for review

1. The number of internal inspections shall be conducted as follows:

a) Periodic internal inspections shall not exceed one inspection per year for each Department and equivalent units; not exceeding two inspections per year for each Market Management Team and equivalent units;

b) Surprise internal inspections have no limit on the number of inspections for each civil servant or market management agency.

2. The direct implementation time for a periodic internal inspection at the inspected location is as follows:

a) An internal inspection by the General Department shall not exceed 15 working days; in complex cases, in remote areas, mountainous regions, islands, or difficult-to-reach locations, the inspection period may be extended but shall not exceed 5 working days;

b) An internal inspection by the Department shall not exceed 10 working days; in complex cases, in remote areas, mountainous regions, islands, or difficult-to-reach locations, the inspection period may be extended but shall not exceed 5 working days.

3. The direct implementation time for a surprise internal inspection at the inspected location is as follows:

a) Internal inspections as stipulated in points a and b of Clause 2 of Article 5 of this Circular shall be conducted in accordance with Clause 2 of this Article;

b) A quick inspection shall not exceed 2 working hours; if a civil servant is found to be committing a violation or has just completed one but has not yet erased the evidence, the inspection period may be extended but shall not exceed 2 working days.

4. The direct implementation time is calculated from the date of announcing the internal inspection decision to the end of the direct internal inspection at the inspected location.

5. The extension of the direct implementation time for an internal inspection shall be decided in writing by the inspection decision maker; in the case of a quick inspection, it may be decided via official email.

Article 9. Issuing plans and handling overlaps in inspection activities review by the Legal Department and submit for leadership signature to send for review

1. Based on management requirements, the Director of the General Department decides to issue the internal inspection plan for the following year of the General Department before December 20th each year. The decision to issue the plan shall be immediately sent to relevant Market Management agencies for their knowledge and implementation.

2. Based on the General Department's plan and actual management requirements at the unit, the Director of the Department decides to issue the internal inspection plan for the following year of the Department before December 30th each year. The decision to issue the plan shall be immediately sent to relevant Market Management agencies for their knowledge and implementation; it shall also be sent to the General Department for reporting and monitoring the implementation.

3. The list of internal inspections of the Department must not overlap with the list of Market Management agencies subject to internal inspections of the General Department.

4. In necessary cases, the Director of the General Department and the Director of the Department may issue decisions to amend and supplement the internal inspection plan and send them to relevant Market Management agencies for their knowledge and implementation.

5. In cases where, at the same time, the same object, which is a civil servant or a Market Management agency, has overlapping internal inspection activities, the internal inspection shall be decided by the Director of the General Department.

Article 10. Decision on Internal Inspection

1. Before conducting an internal inspection, the person deciding the inspection must issue a decision on internal inspection. The decision on internal inspection must include the following main contents:

a) Basis consistent with the form of internal inspection prescribed in Clause 1 and Point a, Point b, Clause 2, Article 5 of this Circular or specific management requirements according to each stage for rapid inspection forms;

b) Name and position of the civil servant, name of the Market Management agency subject to internal inspection under the form of internal inspection prescribed in Clause 1 and Point a, Point b, Clause 2, Article 5 of this Circular or the area, name of the Market Management agency for rapid inspection forms;

c) Content of internal inspection;

d) Time of internal inspection or period of implementation for rapid inspection forms;

đ) Name and position of the Head of the Internal Inspection Team (hereinafter referred to as the Head) and members of the Internal Inspection Team; name and position of the person issuing the decision on internal inspection.

2. The decision on internal inspection must be sent to the civil servant, Market Management agency subject to inspection at least five working days before the date of the internal inspection, except for rapid inspections.

3. The decision on internal inspection of the Department must be sent to the General Department for reporting and monitoring the implementation.

Article 11. Internal Inspection Team

1. The Internal Inspection Team is established to implement the decision on internal inspection of the person deciding the inspection. The establishment of the Internal Inspection Team is reflected in the decision on internal inspection.

2. The Internal Inspection Team consists of two civil servants or more, appointed by a civil servant designated by the person deciding the inspection as the Head, and must meet the following conditions:

a) The Head must be a civil servant holding a rank from Market Inspector upwards and meeting the provisions stipulated in Point b of this Clause;

b) Members must be civil servants with appropriate qualifications, expertise, and skills for the inspection requirements; they must not be in the period of implementing disciplinary measures or temporarily suspended from work according to the law; they must not have spouses, children, parents, brothers, sisters, or siblings who are civil servants subject to internal inspection or hold leadership positions in the Market Management agency subject to internal inspection.

Article 12Responsibilities NATIONAL of the person deciding the inspection

1. Timely directing, supervising, and handling situations arising during the internal inspection process based on reports and recommendations from the Internal Inspection Team.

2. Being responsible before the head of the Market Management agency and the law for decisions and conclusions made during the internal inspection process.

Article 13. Responsibilities and Authorities of the Internal Inspection Team

1. The Head of the Team shall be responsible for:

a) Announcing and issuing the internal inspection decision to civil servants and market management agencies subject to internal inspection;

b) Organizing the inspection in accordance with the content of the internal inspection decision;

c) Assigning specific tasks to members of the internal inspection team;

d) Being accountable before the decision-making authority and the law for the activities of the internal inspection team;

đ) Implementing the reporting system and seeking guidance from the decision-making authority on issues and contents arising beyond their jurisdiction when performing internal inspection tasks;

e) Drafting and signing the internal inspection record immediately after completing the inspection to document the results of the internal inspection and handing over a copy to the civil servant or head of the market management agency subject to internal inspection;

g) Reporting and proposing measures to handle the results of the internal inspection to the decision-making authority along with the case file upon completion of the inspection; drafting the internal inspection conclusion for the decision-making authority's signature and issuance;

h) Implementing the provisions at points a, c, and d of Clause 2 of this Article.

2. Members of the inspection team shall be responsible for:

a) Wearing uniforms, insignias, badges, and nameplates as prescribed;

b) Conducting inspections according to the assignments and directions of the Head of the Team;

c) Maintaining civilized behavior and communication during internal inspections;

d) Not damaging or causing loss of property, documents, books, and vouchers provided by civil servants or market management agencies;

đ) Proposing to the Head of the Team to apply necessary measures to ensure effective and lawful internal inspections;

e) Reporting the results of assigned tasks to the Head of the Team and being accountable for the accuracy and truthfulness of the reported content or proposals.

3. When conducting inspections, the internal inspection team has the right to:

a) Request the inspected market management agency to arrange personnel to work with the inspection team to report, provide case files, and other relevant documents for the internal inspection, and if such documents are kept under confidentiality regulations, they shall be handled in accordance with relevant laws;

b) Work with individual departments and individuals related to the inspected agency or other organizations and individuals related to the internal inspection to collect evidence and materials serving the inspection requirements;

c) Sealing documents and objects related to the internal inspection when it is deemed necessary to maintain their original state for the inspection;

d) Requesting immediate cessation of illegal acts and recommending the competent authority to suspend the execution of administrative decisions that violate the law if such decisions cause or may cause damage to the interests of the State, rights, and legitimate interests of organizations and individuals;

đ) Requesting explanations from civil servants and market management agencies subject to internal inspection regarding issues related to the internal inspection content;

e) Recommending the competent authority to temporarily suspend or revoke the Market Inspection Card of market management civil servants who violate the law;

g) Recommending the competent authority to take corrective measures to address and rectify violations discovered during the internal inspection process;

h) Proposing commendation forms to the competent authority for organizations and individuals with outstanding achievements in performing public duties.

Article 14. Responsibilities and Authorities of Officials and Market Management Agencies Subject to Internal Audit

1. Officials and Market Management Agencies subject to internal audit have the responsibility to:

a) Comply with the internal audit inspection decision of the person deciding on the inspection; arrange for persons with authority to work with the internal audit inspection team when requested;

b) Report and provide timely, complete, and accurate information and documents according to requirements, except for documents unrelated to the content of the internal audit;

c) Not solicit, bribe, or offer a bribe to the internal audit inspection team or create difficulties and obstacles for the internal audit;

d) Immediately implement requests and recommendations of the internal audit inspection team and the internal audit conclusion of the person deciding on the inspection. During the time awaiting resolution of complaints (if any), officials and Market Management Agencies subject to internal audit must still implement the internal audit conclusion of the authorized person.

2. Officials and Market Management Agencies subject to internal audit have the right to:

a) Receive the inspection decision to know in advance about the content and time of the internal audit, except in cases of rapid inspections;

b) Report and explain difficulties and obstacles arising from the actual operation of their units; present documents, express opinions, and provide evidence to protect their legitimate rights and interests related to the content of the internal audit;

c) Propose and reflect internal audit decisions, records, and conclusions to higher-level Market Management Agencies if there is evidence that these decisions, records, and conclusions are unfounded and contrary to legal regulations;

d) Report violations of the law by the Head of the Inspection Team or members of the internal audit inspection team while performing internal audit duties.

Chapter III

PROCEDURES AND HANDLING OF INTERNAL AUDIT RESULTS

AND PROCESSING THE RESULTS OF INTERNAL AUDITS

Article 15. Announcing the Internal Audit Decision

1. The announcement of the internal audit decision shall be carried out by the internal audit inspection team as follows:

a) Announce the internal audit at the time specified in the internal audit decision, except in cases where permission is granted in writing by the person deciding on the inspection;

b) The Head of the Team clearly states the tasks and authorities of the internal audit inspection team, the time of the internal audit, the authorities and responsibilities of officials and Market Management Agencies subject to internal audit, and the proposed work plan of the internal audit inspection team with officials and Market Management Agencies subject to internal audit;

c) The Head of the Team prepares a record of announcing the internal audit decision with officials or leaders of Market Management Agencies subject to internal audit, except in cases provided for in Clause 2 of this Article.

2. An internal audit decision in the form of a rapid inspection shall be announced by the internal audit inspection team at the time of conducting the internal audit.

Article 16. Preparing the Internal Audit Record

1. The Head of the Team shall prepare the internal audit record to document the results immediately after the completion of the direct implementation of the internal audit.

2. The internal audit record must accurately and truthfully record the basis for conducting the internal audit; the time and place of preparing the record; the time directly spent on the internal audit; the names of the members of the internal audit inspection team; the results according to each content of the internal audit; measures to prevent and control already applied within the scope of authority or recommended to be applied by the competent authority; comments and evaluations of the internal audit inspection team; opinions of relevant officials or heads of Market Management Agencies subject to internal audit; differing opinions (if any).

3. The internal audit record must have signatures of representatives of all parties involved in the audit and record preparation. In cases where the record has multiple pages and attachments, signatures of those individuals must be affixed to each page and attachment of the record and any accompanying appendices.

Article 17. Reporting the Results of Internal Audit report on the results of internal audits

1. Within five working days from the end of the direct implementation of the internal audit, based on the internal audit record and related documents, the Head of the Team must report the results of the internal audit in writing to the person deciding on the inspection, except in cases provided for in Clause 2 of this Article.

2. For rapid inspections, the person deciding on the inspection bases management requirements to decide on the time for the Head of the Team to report the results of the internal audit.

3. The report on the results of the internal audit by the internal audit inspection team must include the following contents: specific comments and evaluations of each content of the audit; determination of the nature and degree of violation, causes, and responsibilities of officials and Market Management Agencies with violations (if any); differing opinions among members of the internal audit inspection team or officials and Market Management Agencies subject to internal audit (if any); measures to prevent and control already applied within the scope of authority (if any); recommendations and proposals for handling measures (if any).

Article 18. Internal Inspection Conclusion

1. Within ten working days from the date of receipt of the Report on the Results of Internal Inspection and related documents, the person deciding to conduct the internal inspection must issue the internal inspection conclusion, except for cases provided for in Article 19 of this Circular.

2. The internal inspection conclusion shall include the following contents:

a) Evaluation of compliance with legal provisions in the performance of public duties by civil servants and market management agencies subject to internal inspection according to each inspection content;

b) Conclusion on the inspection content based on the internal inspection decision;

c) Clearly identify the nature, degree of violation, cause, and responsibility of civil servants and market management agencies with violations (if any);

d) Measures to prevent, stop, and handle according to the authority already applied; proposals and recommendations to competent authorities for handling measures (if any).

3. In cases where there are unclear or insufficient grounds for the internal inspection content, the person deciding to inspect may request the Head of the Team or the civil servant, market management agency subject to internal inspection to report, explain, or decide to verify additional circumstances to clarify, ensuring that the issuance of the internal inspection conclusion has sufficient grounds, objectivity, and accuracy.

4. Before issuing the formal internal inspection conclusion, if there are differing opinions, the person deciding to inspect may send the draft internal inspection conclusion to the civil servant, market management agency subject to internal inspection for explanation. Within three working days from the date of receipt of the draft internal inspection conclusion, the civil servant, market management agency subject to internal inspection has the right to provide explanations in writing about issues not agreed upon with the draft internal inspection conclusion along with evidence supporting their explanation.

5. The internal inspection conclusion must be sent to relevant civil servants, market management agencies, the Director General, the Department of Inspection and Supervision, and the Department of Organization and Cadres under the General Administration. If necessary, the person deciding to inspect may organize the announcement and record the minutes of the announcement of the internal inspection conclusion.

Article 19. Supplementary Verification of Circumstances

1. In cases where necessary, the person deciding to inspect has the right to supplementarily verify the following circumstances:

a) Whether there is a violation of the law;

b) The nature, degree of violation, cause, and responsibility of civil servants and market management agencies with violations of the law;

c) Other circumstances significant to the internal inspection conclusion.

2. The supplementary verification of circumstances must be documented in writing.

3. The period for supplementary verification of circumstances shall not exceed five working days from the date of issuance of the decision to verify supplementary circumstances; the time for supplementary verification of circumstances does not count towards the period specified in Clause 1 of Article 18 of this Circular.

Article 20. Implementation of Internal Inspection Conclusions

1. Within ten working days from the date of receipt of the internal inspection conclusion, the civil servant, market management agency subject to internal inspection shall have the responsibility:

a) To immediately implement corrective and remedial measures for violations;

b) To examine and handle according to their authority or recommend the competent authority to examine and handle the case of officials violating the law (if any);

c) To report the results of implementing the internal inspection conclusion to the head of the direct superior state administrative agency, the Director General, the Department of Inspection and Supervision, and the Department of Organization and Cadres under the General Administration.

2. The suspension, revocation, or amendment, supplementation, replacement of administrative decisions found to be contrary to the law during the internal inspection process shall be handled based on specific cases and the legal status of such administrative decisions.

Article 21. Management, storage of internal inspection records 1. All internal inspections conducted under this Circular must establish and maintain records.internal

2. Internal inspection records must be indexed and numbered according to the chronological order of all documents and papers contained therein, including:

a) The decision on internal inspection issued by the person responsible for the inspection;

b) Minutes, documents, and materials prepared or collected by the internal inspection team during the inspection process;

c) Reports and explanatory documents from civil servants and market management agencies subject to internal inspection (if applicable);

d) Report on the results of internal inspection;

e) Conclusions of internal inspection (if applicable);

f) Other relevant documents pertaining to the internal inspection (if applicable).

3. The Head of the Team is responsible for establishing the internal inspection record, sealing it, and transferring it to the department responsible for storage. The management, storage, and use of internal inspection records shall be carried out in accordance with the laws on archiving.

1. The Director-General is responsible for:

Chapter IV

IMPLEMENTATION

Article 22. Implementation organization

a) Disseminating, implementing, and organizing the implementation of this Circular for civil servants and market management agencies;

b) Directing, monitoring, urging, and guiding internal inspection activities in accordance with the provisions of this Circular;

c) Periodically summarizing, evaluating, drawing lessons, and reporting to the Minister of Industry and Trade on the implementation status, results of internal inspection work, and handling of violations by civil servants and market management agencies as prescribed;

d) Proposing to the Minister of Industry and Trade measures to organize the implementation or amend and supplement this Circular when necessary.

2. Heads of units under the Ministry of Industry and Trade and related agencies and individuals are responsible for implementing this Circular.

1. This Circular takes effect from December 15, 2019.

Article 23. Effectiveness of Implementation

2. This Circular replaces Decision No. 20/2008/QĐ-BCT dated July 31, 2008 of the Minister of Industry and Trade on the issuance of the Internal Inspection Regulation on the enforcement of laws in inspection activities and administrative violation handling by market management forces.

- Ministries, ministerial-level agencies, and agencies under the Government;