Circular No. 23/2022/TT-BLDTBXH on forensic examination according to cases in the field of social insurance and unemployment insurance.

CIRCULAR

Regulations on judicial appraisalconcerning the classification and determination of state management authority in the field of crop production in cases within the social insurance field, unemployment insurance
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Pursuant to the Law on Forensic Expertise dated June 20, 2012; the Law Amending and Supplementing Certain Provisions of the Law on Forensic Expertise dated June 10, 2020;

Pursuant to Resolution No. 104/2023/QH15 dated November 10, 2023 of the National Assembly on the state budget estimate for 2024;

Pursuant to the Labor Law dated November 16, 2013;

Pursuant to the Labor Safety and Health Law dated June 25, 2014;

Pursuant to Decree No. 85/2013/ND-CP dated July 29, 2013 of the Government detailing and providing implementation measures for the Judicial Appraisal Law; Decree No. 157/2020/ND-CP amending and supplementing certain articles of Decree No. 85/2013/ND-CP dated July 29, 2013 of the Government detailing and providing implementation measures for the Judicial Appraisal Law;

Based on Decree No. 62/2022/NĐ-CP dated September 12, 2022 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Labor, Invalids, and Social Affairs;

At the proposal of the General Director of the Vietnam Social Security;

The Minister of Labor, Invalids and Social Affairs issues this Circular stipulating regulations on judicial appraisal in cases within the social insurance and unemployment insurance fields.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates regulations on judicial appraisal in cases within the social insurance and unemployment insurance fields for the Vietnam Social Security and provincial and centrally-administered city Social Security agencies (hereinafter referred to collectively as the Vietnam Social Security sector), including: Procedures for judicial appraisal in cases; material conditions, equipment, and means of appraisal of organizations conducting judicial appraisals in cases and specialized units when requested to conduct appraisals; standards, recognition, revocation of recognition, and publication of lists of individuals and organizations conducting judicial appraisals in cases; application of professional standards in activities of judicial appraisals in cases.

Article 2. Applicability

1. Individuals and organizations conducting judicial appraisals in cases within the social insurance and unemployment insurance fields under the Vietnam Social Security sector shall be recognized by the Vietnam Social Security in accordance with the provisions of the Judicial Appraisal Law.

2. Organizations and individuals related to the activities of judicial appraisals in the social insurance and unemployment insurance fields.

Article 3. Scope of judicial appraisal in cases within the social insurance and unemployment insurance fields

The Vietnam Social Security sector shall conduct initial, supplementary, and re-appraisals regarding compliance with legal provisions, Vietnam Social Security regulations, and competent authority regulations on the following matters:

1. Documents, papers, and materials related to the collection of social insurance and unemployment insurance contributions; issuance of social insurance books; confirmation and adjustment of information on participation in social insurance and unemployment insurance for workers in social insurance books.

2. Documents, papers, and materials for resolving social insurance benefits issued by the Social Security agency pursuant to the Social Insurance Law and the Labor Safety and Health Law: Decisions on benefit receipt, adjustment, suspension, resumption, cancellation, and termination of sick leave; maternity; occupational accidents and occupational diseases; retirement; death benefits.

3. Payment vouchers for benefits: sick leave; maternity; occupational accidents and occupational diseases; retirement; death benefits; unemployment insurance payments.

4. Implementation of regulations and procedures for receiving applications and delivering results of resolution and payment of sick leave, maternity, occupational accidents and occupational diseases, retirement, death benefits; unemployment insurance payments; procedures for collecting social insurance and unemployment insurance; recovery of arrears; urging payment of contributions due for social insurance; issuance and confirmation on social insurance books; development of social insurance participants.

5. Papers, materials, regulations, and procedural guidelines issued and implemented by the Vietnam Social Security.

Article 4. Professional standards applicable in forensic examination cases in the field of social insurance and unemployment insurance

The professional standards applicable to forensic examination activities in cases involving social insurance and unemployment insurance include regulations, principles, business procedures, and procedural documents on social insurance and unemployment insurance as stipulated in:

1. Legal documents on social insurance and unemployment insurance and other related legal documents.

2. Regulations and directives guiding business procedures within the authority to issue by the Vietnam Social Security regarding:

a) Collection of social insurance and unemployment insurance, management of social insurance books;

b) Resolution of entitlements for sickness, maternity, work injury, occupational disease, retirement, death benefits, and payment of sickness, maternity, work injury, occupational disease, retirement, death benefits, and unemployment insurance;

c) Other relevant documents and regulations.

3. The regulations and directives under Clause 2 of this Article shall be effective for legal events that are the subject of forensic examination.

Article 5. Material and technical conditions for forensic examination facilities and equipment of organizations conducting forensic examinations in cases and specialized units requested to perform examinations

Organizations conducting forensic examinations in cases and specialized units requested to perform examinations must meet the following material and technical conditions for forensic examination facilities and equipment:

1. Have an office suitable for the professional and business requirements of the organization or unit.

2. Have equipment for preserving, storing objects, examination files, and documents, and other equipment meeting the requirements for performing case-based forensic examination activities as prescribed by forensic examination laws.

Chapter II

STANDARDS FOR FORENSIC EXAMINERS AND ORGANIZATIONS CONDUCTING FORENSIC EXAMINATIONS IN CASES; RECOGNITION AND REGISTRATION OF FORENSIC EXAMINERS AND ORGANIZATIONS CONDUCTING FORENSIC EXAMINATIONS IN CASES

Article 6. Standards for forensic examiners and organizations conducting forensic examinations in the field of social insurance and unemployment insurance

1. An individual may be selected as a forensic examiner in cases involving social insurance and unemployment insurance when they meet the standards as prescribed in Clause 1 of Article 18 of the Law on Forensic Examination.

2. An organization conducting forensic examinations in cases involving social insurance and unemployment insurance must meet the conditions as prescribed in Clause 1 of Article 19 of the Law on Forensic Examination.

Article 7. Recognition and revocation of recognition of forensic examiners and organizations conducting forensic examinations in cases

1. The lead unit under the Vietnam Social Security shall organize the selection and compile a list of individuals and organizations under its management who meet the capacity requirements for operating in the field of social insurance and unemployment insurance as prescribed, and submit it to the General Director of the Vietnam Social Security; within seven working days from the date of receiving valid applications, the General Director shall issue a decision recognizing forensic examiners and organizations conducting forensic examinations in cases involving social insurance and unemployment insurance.

2. In cases where an individual or organization conducting forensic examinations in cases no longer meets the standards and conditions for conducting forensic examinations in cases as stipulated in Article 6 of this Circular, the lead unit under the Vietnam Social Security shall submit to the General Director of the Vietnam Social Security for issuance of a decision revoking the recognition of forensic examiners and organizations conducting forensic examinations in cases involving social insurance and unemployment insurance.

Article 8. Publishing the list of organizations and individuals conducting judicial appraisal cases in social insurance and unemployment insurance fields

1. Within seven working days from the date of the decision recognizing or revoking recognition of an individual conducting a judicial appraisal case or an organization conducting judicial appraisal cases, the Vietnam Social Security shall publish or update the list on its electronic portal and send it to the Ministry of Justice as prescribed.

2. The list of individuals conducting judicial appraisal cases and organizations conducting judicial appraisal cases stipulated in Clause 1 of this Article serves as the basis for competent authorities conducting litigation proceedings and authorized persons conducting litigation proceedings to select and decide on requesting judicial appraisals.

Chapter III

PROCEDURE FOR JUDICIAL APPRAISAL IN SOCIAL INSURANCE AND UNEMPLOYMENT INSURANCE FIELDS

Article 9. Procedure for implementing judicial appraisal in cases

The procedure for implementing judicial appraisal in cases in the social insurance and unemployment insurance fields includes the following basic contents:

1. Receiving requests for judicial appraisal.

2. Preparing for judicial appraisal.

3. Conducting forensic appraisal.

4. Concluding forensic appraisal.

5. Establishing, transferring, and retaining judicial appraisal case files.

Article 10. Receiving Requests for Judicial Appraisal in Cases

1. The lead unit is responsible for receiving the decision to request judicial appraisal, the decision to request supplementary judicial appraisal, and the decision to request re-appraisal made by the requesting party requesting the agency, organization conducting judicial appraisal cases, or specialized units performing the appraisal.

2. Within a maximum period of three working days from the date of receipt of the decision to request judicial appraisal, the decision to request supplementary judicial appraisal, and the decision to request re-appraisal made by the requesting party accompanied by the file, objects requested for judicial appraisal, information, documents, and items (if any), the lead unit is responsible for:

a) Preparing a handover record, opening sealed files, objects requested for judicial appraisal, information, documents, and items (if any) in accordance with Article 11 of this Circular;

b) Checking and reviewing the content of the request for judicial appraisal within the scope of judicial appraisal defined in Article 3 of this Circular;

c) Reviewing the files, objects requested for judicial appraisal, information, documents, and items (if any) against the files, objects requested for judicial appraisal, information, documents, and items recorded in the decision to request judicial appraisal and the format of the files, objects requested for judicial appraisal, information, documents, and items according to the regulations on archival work (certified copies as prescribed,...);

d) Submitting a written refusal to conduct the judicial appraisal to the requesting party if the content of the request for judicial appraisal does not fall within the scope of judicial appraisal at Article 3 of this Circular and in accordance with point b, Clause 1, Article 24 of the Law on Judicial Appraisal.

In the case where the content of the request for judicial appraisal falls within the scope of judicial appraisal at Article 3 of this Circular, submit the matter to the head of the agency to assign the specialized unit or the organization conducting judicial appraisal cases to perform the judicial appraisal in accordance with the decision to request judicial appraisal, the decision to request supplementary judicial appraisal, and the decision to request re-appraisal.

3. In the case where the agency or person authorized to conduct litigation proceedings specifically requests an individual to conduct a judicial appraisal in cases, the individual receiving the decision to request shall provide a copy of the decision to the lead unit for tracking and summarizing; simultaneously, report to the directly managing unit to arrange time and create conditions for the individual to carry out the appraisal; follow the procedures for receiving as prescribed in Clause 2 of this Article.

Article 11. Handing over, receiving, opening sealed files, objects subject to expert appraisal, information, documents, items (if any)

1. In cases where objects for expert appraisal, information, documents, items (if any) are directly received, the person receiving shall prepare a record according to the model prescribed in Appendix I attached to this Circular.

2. In cases where objects for expert appraisal, information, documents, items (if any) are received through postal service, the person receiving shall check the identification number of the mail package, keep it safe, and when opening the seal, must prepare a record according to the model prescribed in Appendix II attached to this Circular.

Article 12. Preparing for Expert Appraisal

1. Within the maximum period of five working days from the date of receipt of the decision requesting expert appraisal, the specialized unit under the Vietnam Social Security, the organization assigned to conduct the expert appraisal shall perform the following tasks:

a) Select and assign judicial experts from the list of judicial experts for specific cases recognized by the Vietnam Social Security to conduct the judicial expert appraisal.

If necessary, experts outside the recognized list may be assigned but they must meet the criteria stipulated in Clause 1, Article 6 of this Circular to conduct the expert appraisal.

In cases where two or more judicial experts for specific cases are assigned, the organization assigned to conduct the expert appraisal must designate a person responsible for coordinating the implementation of the judicial expert appraisal.

b) Coordinate with the party requesting the expert appraisal to hand over the file, object for expert appraisal, information, and documents according to the provisions of Article 11 of this Circular if the party requesting the expert appraisal has not yet submitted the file, object for expert appraisal, and related information and documents along with the decision requesting the expert appraisal.

2. The judicial expert for specific cases shall study the content of the case in the decision requesting the expert appraisal, the file, object for expert appraisal, and related documents to request the party requesting the expert appraisal to provide additional files, information, documents, and items needed for the expert appraisal as required.

3. The judicial expert for specific cases shall prepare an outline for the expert appraisal, which must include at least the following basic contents:

a) Determine the professional standards applicable to the judicial expert appraisal activities in the field of social insurance and unemployment insurance;

b) Determine the means, equipment, and expected usage when conducting the expert appraisal (if any) and notify the party requesting the expert appraisal;

c) Develop a budget estimate according to the relevant laws concerning the content and requirements of the expert appraisal;

d) Determine the method of conducting the expert appraisal; the steps of the expert appraisal process; the schedule and estimated completion time of the expert appraisal;

đ) Other activities and conditions necessary for conducting the expert appraisal.

4. In cases where the Vietnam Social Security or organizations recognized by the Vietnam Social Security to conduct judicial expert appraisals are directly requested to conduct the expert appraisal, the preparation for the expert appraisal shall be carried out according to the provisions of Clauses 2 and 3 of this Article.

Article 13. Organizing the Implementation of Judicial Expert Appraisal for Specific Cases

1. Based on each content requested for expert appraisal, examine the object for expert appraisal and apply professional knowledge and expertise to compare the content of the file, object for expert appraisal, information, documents, and items provided with professional standards to make observations and evaluations on issues related to the object requiring judicial expert appraisal in the fields of social insurance and unemployment insurance. The examination of the expert appraisal includes one or several of the following contents: Specifically determine the issues requiring expert appraisal (the form of the carrier containing information and the content of the information to be appraised...); determine the elements that have been violated; determine the value of damage and other contents as required by the party requesting the expert appraisal (if any).

2. In cases where new content or issues arise during the implementation of the expert appraisal, immediately notify the party requesting the expert appraisal in writing to reach a consensus on the solution.

3. Prepare a document promptly, fully, and truthfully recording the entire process and results of the expert appraisal according to the model prescribed in Appendix III attached to this Circular.

Article 14. Judicial Expert Opinion Conclusion

1. The judicial expert conducting the case shall only conclude on the expert opinion for the contents requested to be appraised within the scope of judicial expertise in the field of social insurance and unemployment insurance as stipulated in Article 3 of this Circular.

2. Based on the results of the judicial expertise, the judicial expert conducting the case shall provide observations, evaluations, and conclusions for each specific content requested to be appraised.

3. The conclusion of the expert opinion shall be made according to the model prescribed in Appendix IV issued together with this Circular.

4. In cases where the party requesting the expert opinion directly requests an individual judicial expert conducting the case to conduct the appraisal, the expert opinion conclusion must bear the signature and clearly state the full name of the judicial expert conducting the case in accordance with Clause 2, Article 32 of the Law on Judicial Expertise.

5. In cases where the party requesting the expert opinion requests the Vietnam Social Security or organizations recognized by the Vietnam Social Security to appoint experts to conduct the appraisal, the expert opinion conclusion must bear the signature and clearly state the full name of the judicial expert conducting the case and have the confirmation signature of the Vietnam Social Security or the organization recognized by the Vietnam Social Security that appointed the expert.

6. In cases where the Vietnam Social Security or organizations recognized by the Vietnam Social Security conduct the appraisal, apart from the signature, full name of the judicial expert conducting the case, the General Director of the Vietnam Social Security or the head of the recognized organizations must sign and stamp on the expert opinion conclusion and bear responsibility for the judicial expert opinion.

Article 15. Establishment, Handover, Storage; Exploitation and Use of Expert Files

1. After completing the appraisal process, the individual or organization conducting the appraisal has the responsibility to return the object of appraisal to the party requesting the expert opinion, except in cases where the law specifically provides that the object of appraisal or documentation does not need to be returned or is specifically agreed upon in the record confirmed by both parties.

The handover and receipt of the object of appraisal after the completion of the appraisal process shall be carried out in person (the handover form follows the provisions in Appendix I attached to this Circular) or through postal service via registered mail.

2. The judicial expert conducting the case and the person assigned to coordinate the implementation of the appraisal establish the judicial expert file. The judicial expert file includes the following documents:

a) Decision to request expert opinion, decision to request supplementary expert opinion (if any), decision to request re-appraisal (if any) and the file, object of appraisal, information, documents, items attached;

b) Document of the Vietnam Social Security regarding the assignment to conduct judicial expertise (if any);

c) Document of the unit assigned to conduct judicial expertise regarding the appointment of the judicial expert conducting the case to conduct the appraisal (if any);

d) Record of handover, receipt, opening of sealed files, objects of appraisal, information, documents, items (if any);

đ) Appraisal outline;

e) File, documents, vouchers related to renting machinery, means, equipment, services for the purpose of conducting judicial expertise (if any);

g) Document recording the process of conducting the appraisal;

h) Photographic evidence of the appraisal (if any);

i) Expert opinion conclusion, supplementary expert opinion conclusion (if any), result of re-appraisal (if any);

k) Other relevant documents concerning the implementation of the appraisal (if any).

3. Handover of the expert file

a) The judicial expert file conducted by an individual judicial expert conducting the case shall be handed over to the specialized unit or organization conducting the case to directly manage the individual conducting the appraisal;

b) The judicial expert file conducted by a group of experts shall be handed over to the specialized unit or organization conducting the case to directly manage the individual assigned to coordinate the implementation.

4. Specialized units and organizations conducting the case under the Vietnam Social Security receiving the handover of the judicial expert file have the responsibility to store and archive in accordance with the law on archiving and the regulations of the Vietnam Social Security.

5. Exploitation and use of the judicial expert file

a) The unit receiving the handover of the judicial expert file has the responsibility to present the judicial expert file when requested by the investigative agency, the authority with jurisdiction to handle criminal, administrative, civil cases;

b) The judicial expert conducting the case may exploit and use the judicial expert file for the case they conducted to serve the investigative process at the request of the investigative agency, the authority with jurisdiction to handle the case.

Article 16. Supplementary Appraisal and Reappraisal

1. The lead unit shall receive the decision requesting supplementary appraisal and reappraisal in accordance with Article 10 of this Circular.

2. In cases where the decision requesting supplementary appraisal and reappraisal directly requests the judicial appraiser involved in the case, the person requested shall receive the request for appraisal decision; hand over, accept, open sealed files, objects subject to appraisal, information, and documents; prepare for the appraisal; organize the implementation of the appraisal in accordance with Articles 10, 11, 12, and 13 of this Circular.

In cases where the decision requesting supplementary appraisal and reappraisal directly requests the judicial appraiser involved in the case of the Social Insurance Agency to participate in judicial appraisal in accordance with Clause 5, Article 25 of the Law on Judicial Appraisal, the requested appraiser shall implement according to the assignment of the organization responsible for conducting the appraisal.

Article 17. Time Limit for Judicial Appraisal

1. The time limit for judicial appraisal in a case is calculated from the date when the judicial appraisal agency receives the decision requesting the appraisal and complete files, objects subject to appraisal, information, and documents mentioned in the decision requesting the appraisal.

2. The time limit for judicial appraisal in social insurance and unemployment insurance cases shall be carried out according to the time limit recorded in the decision requesting the appraisal by the requesting party.

3. The maximum time limit for judicial appraisal in cases not covered by Clause 2 of this Article for each type of appraisal is as follows:

a) For appraisals related to social insurance contributions and unemployment insurance contributions, the maximum appraisal period is one month;

b) For appraisals related to the resolution of social insurance benefits, the maximum appraisal period is two months;

c) For appraisals related to the payment of social insurance and unemployment insurance benefits, the maximum appraisal period is one month;

d) For appraisals related to other matters within the jurisdiction of the Vietnam Social Security concerning social insurance and unemployment insurance, the maximum appraisal period is three months;

e) For cases involving multiple different appraisals within the scope of social insurance and unemployment insurance as stipulated in Article 3 of this Circular or those with complex nature involving multiple organizations and individuals, the maximum appraisal period is four months.

3. In necessary cases, the individual judicial appraiser or the judicial appraisal organization may submit a written request to the requesting agency to extend the time limit within their authority.

Chapter IV

IMPLEMENTING PROVISIONS

Article 18. Responsibilities of the Social Insurance Agency in Assigning Lead Units to Receive Requests; Appointing Individuals and Organizations for Judicial Appraisal

1. The Vietnam Social Security assigns the Legal Affairs Department as the lead unit responsible for receiving decisions requesting judicial appraisal in cases to provide advice and assign organizations and individuals qualified for judicial appraisal under the Vietnam Social Security to participate in judicial appraisal during litigation proceedings, ensuring compliance with deadlines and professional conditions as prescribed.

2. The Social Insurance Agencies of provinces and centrally-administered cities assign the units tasked with legal affairs responsibilities to receive decisions requesting judicial appraisal in cases to provide advice and assign organizations and individuals qualified for judicial appraisal under the Social Insurance Agencies of provinces and centrally-administered cities to participate in judicial appraisal during litigation proceedings, ensuring compliance with deadlines and professional conditions as prescribed.

3. At the request of competent authorities conducting litigation proceedings, the Vietnam Social Insurance Sector has the responsibility to introduce individuals and organizations meeting the criteria, health standards, moral qualities, qualifications, expertise, capabilities, and experience as stipulated in Articles 18 and 19 of the Law on Judicial Appraisal and Article 6 of this Circular to conduct the appraisal as required.

Article 19. Effectiveness of the Document

This Circular shall take effect from January 10, 2023.

Article 20. Implementation

1. The Vietnam Social Security Department, relevant agencies, organizations, and individuals shall be responsible for implementing the provisions of this Circular.

2. In the course of implementation, if there are any difficulties, they are requested to report to the Vietnam Social Security Department for consolidation and reporting to the Ministry of Labor, Invalids and Social Affairs.