Decree No. 97/1998/ND-CP On Disciplinary Measures and Financial Liability for Civil Servants

DECREE
On Disciplinary Measures and Financial Liability for Civil Servants 

THE GOVERNMENT

Pursuant to the Government Organization Law dated September 30, 1992;

Pursuant to the Civil Servant Law on February 26, 1998;

At the proposal of the Minister, Head of the Organization-Cadre Department of the Government,

PART I
GENERAL PROVISIONS

Article 1. The imposition of disciplinary measures on civil servants aims to educate them, while also contributing to preventing, combating, and strictly dealing with violations of the law committed by civil servants.

Article 2.

1. Civil servants referred to in this Decree are those within the establishment quota, receiving salaries from the state budget, including:

a) Those specified in Clause 3, Article 1 of the Civil Servant Ordinance;

b) Those specified in Clause 5, Article 1 of the Civil Servant Ordinance;

For those persons specified in Point b, Clause 1 of this Article, in addition to implementing the provisions of this Decree, they must also comply with the management and command regulations of the People's Army and the People's Public Security Force;

c) Civil servants seconded to work at economic organizations, social organizations, and social-professional organizations that have been assigned establishment quotas by competent authorities.

2. For those working under contracts within the establishment quota of state agencies, organizations, and units when violating discipline, they shall be dealt with according to the provisions of the Labor Code.

Article 3.

1. A civil servant will only be subject to disciplinary measures if they violate the provisions of Article 6, Article 7, Article 8, and other Articles in Chapter III of the Civil Servant Ordinance and other regulatory legal documents but not to the extent of being criminally prosecuted.

2. The imposition of disciplinary measures must be carried out by the person with authority in accordance with the procedures stipulated in this Decree.

3. The consideration of disciplinary measures must be based on the nature, severity of the violation, and the work history of the civil servant.

4. No disciplinary measures shall be imposed on a civil servant who commits a disciplinary violation due to mental illness or another disease that impairs their ability to recognize their actions or who must execute a decision of a superior authority as provided for in Article 8 of the Civil Servant Ordinance.

Article 4. If a civil servant causes loss or damage to state property through loss, damage to equipment, or other acts, they must compensate according to the law. In cases where the damage is caused by force majeure, compensation is not required.

Article 5.

1. When imposing disciplinary measures on civil servants, it is necessary to establish a Disciplinary Board.

2. At meetings of the Disciplinary Board, the party concerned must be present. In case of absence, there must be a valid reason. If the party concerned is absent twice after being summoned, the Disciplinary Board can still convene to consider and recommend disciplinary measures.

3. The statute of limitations for handling disciplinary violations is a maximum of three months from the date of discovery of the violation; in cases where the violation has complex circumstances requiring time for investigation and verification, the period may be extended but not exceeding six months (except for cases provided for in Clause 4, Article 9 of this Decree).

Article 6.

1. Civil servants disciplined with reprimand, warning, or dismissal shall have their salary increments and promotions to higher positions implemented according to the provisions of Article 43 of the Civil Servant Ordinance.

2. From the date of the disciplinary decision, if after twelve months the civil servant does not repeat the offense and does not commit further violations warranting disciplinary action, the competent agency or unit shall issue a decision terminating the effect of the disciplinary action.

3. The reassignment of positions, reclassification of ranks, and salary grades (for cases of dismissal, demotion in rank, and demotion in grade) shall be decided by the agency, organization, or unit, or proposed to the competent authority for examination and decision on each specific case.

Article 7.

1. If a civil servant subjected to disciplinary measures or criminal prosecution is concluded by the competent agency or organization to be innocent or wrongfully accused according to Article 45 of the Civil Servant Ordinance, the head of the agency or organization where the civil servant works must organize the publication of the conclusion within thirty days.

2. The civil servant shall be restored to honor and reassigned to appropriate work, receiving the corresponding salary level before the disciplinary action, and having the time for salary increments and compensation for losses calculated according to the provisions of Government Decree No. 47/CP dated May 3, 1997 regarding the resolution of compensation for damages caused by state civil servants and officials, and judicial authorities.

Article 8.

1. If a civil servant subjected to disciplinary measures considers the measures inappropriate, they have the right to appeal the disciplinary decision to the competent agency or organization according to the law on appeals and complaints.

2. Agencies and organizations receiving appeals from civil servants must have the responsibility to examine and respond to the appellant within the time frame prescribed by law.

3. Civil servants holding positions from Deputy Director and equivalent positions, if dismissed after appealing and still dismissed, have the right to initiate administrative litigation at the court according to the law.

PART II
DISCIPLINARY MEASURES

Article 9. The imposition of disciplinary measures shall be conducted according to the following principles:

1. For each act of violating discipline, only one form of disciplinary measure shall be imposed.

When committing multiple acts of violating discipline simultaneously, the civil servant shall be subject to disciplinary measures for each act and shall bear a higher form of disciplinary measure than the form corresponding to the most serious act of violation.

This provision applies to cases where a civil servant commits multiple acts of violation, each of which is handled according to the same form of disciplinary measure.

2. Prohibition of any acts infringing upon the physical body, reputation, and dignity of civil servants during the handling of disciplinary violations;

3. Prohibition of applying fines or salary cuts instead of disciplinary measures;

4. No disciplinary measures shall be imposed on civil servants in the following situations:

a) During annual leave, personal leave, or leave granted by the head of the agency;

b) Under medical treatment in hospitals as prescribed by doctors;

c) Under arrest, or under other administrative measures such as education centers, treatment centers, or administrative control;

d) Women during maternity leave.

5. No dismissal disciplinary measure shall be applied to civil servants who are pregnant or nursing children under twelve months old.

Article 10. No transfer, retirement, or termination of employment shall be processed for civil servants who are under criminal prosecution or under disciplinary review and temporarily suspended from work according to Article 41 of the Civil Servant Ordinance.

Civil servants during the period of temporary suspension from work shall be temporarily advanced 50% of their salary and allowances (if any). After the agency, organization, or unit examines the case, if the civil servant is not subject to disciplinary action, they shall be entitled to claim the remaining portion of their salary and allowances (if any) for the period of temporary suspension from work.

Article 11. Civil servants who violate discipline shall, depending on the nature and degree of violation, be subject to one of the following forms of disciplinary action:

1. Reprimand;

2. Warning;

3. Reduction in pay grade;

4. Demotion;

5. Dismissal from position;

6. Compulsory resignation.

Article 12.

1. The form of reprimand shall be applied to civil servants when they commit a first-time violation but at a minor level.

2. The form of warning shall be applied to civil servants who have been reprimanded and repeat the violation, or those who commit a minor violation with a recurring nature, or those who commit a first-time violation but with relatively serious characteristics.

3. The form of demotion in pay grade shall be applied to civil servants who commit a serious violation in performing their duties.

4. The form of demotion in rank shall be applied to civil servants who commit a serious violation and are deemed to lack the moral character, ethics, and professional standards required for the current rank.

5. The form of removal from position shall be applied to civil servants holding positions where they commit a serious violation and are deemed unable to continue fulfilling the assigned position.

6. The form of forced resignation shall be applied to civil servants who commit a crime and are sentenced to imprisonment without probation by the court.

7. The Disciplinary Council may consider and recommend forced resignation for the following cases:

a) For civil servants who commit a crime and are sentenced to imprisonment with probation, or corrective education without detention, surveillance, or warning, related to official activities, they may be forced to resign;

b) Civil servants who have been disciplined through one of the forms of demotion in pay grade, demotion in rank, or removal from position and then repeat the violation may be forced to resign;

c) Civil servants who commit a first-time violation but with serious characteristics and degree of violation may be forced to resign.

Article 13. The head of the agency, organization, or unit may be subject to disciplinary action if frequent or serious violations of discipline occur in the official activities of the agency, organization, or unit under their management.

Article 14. The head of the agency, organization, or unit with authority to decide on disciplinary actions against officials and civil servants must establish a Disciplinary Council to review and recommend disciplinary measures.

The composition of the Disciplinary Council includes:

1. The Chairman of the Council is the head or deputy head of the agency, organization, or unit;

2. A representative of the same-level Trade Union Executive Committee;

3. A representative of the civil servants of the agency, organization, or unit where the violator works (elected by the collective of civil servants in the unit).

In addition to the above members, the Disciplinary Council may invite representatives of Women's Affairs (if the offender is female) and the Communist Youth Union of Vietnam of the agency, organization, or unit (if the offender is a youth) to attend meetings. Invited representatives have the right to express opinions but do not have voting rights.

If the head of the agency or unit violates discipline, the head of the superior managing agency decides to establish a Disciplinary Council to examine and handle the matter.

Article 15. The Disciplinary Council operates in a collective, objective, open, democratic manner, with secret ballot voting. The Disciplinary Council only convenes when all members are present.

Article 16. When civil servants violate discipline, they must write a self-criticism report. The head of the agency, organization, or unit using the civil servant has the responsibility to organize for the violator to conduct a self-criticism before the agency, organization, or unit. The self-criticism report, minutes of the meeting with the recommendation for disciplinary action by the agency, organization, or unit must be submitted to the head of the managing agency for the Disciplinary Council to review.

Article 17. Civil servants who violate discipline must be summoned by the Disciplinary Council at least seven days before the meeting of the Disciplinary Council.

Article 18. The organizational and personnel department of the agency, organization, or unit is responsible for preparing relevant materials and files for handling disciplinary matters to present before the Disciplinary Council; simultaneously, they bear the responsibility for recording the minutes of the Disciplinary Council's meetings.

Article 19. At the Disciplinary Council meeting:

1. The Chairman announces the reasons and introduces the attending members;

2. A representative of the organizational and personnel department presents the file and related documents;

3. The offender presents their views; members of the Disciplinary Council and other participants in the meeting speak;

4. Before the Disciplinary Council deliberates separately to vote on the form of disciplinary action, the offending civil servant is given the opportunity to express their opinion on the disciplinary action;

5. The resolution of the Disciplinary Council is announced at the meeting.

Article 20. Within three days from the date of the Disciplinary Council's resolution, the minutes of the Disciplinary Council and related files and documents must be sent to the managing agency, organization, or unit. Within seven days from the date of receipt of the Disciplinary Council's files and documents, the head of the agency, organization, or unit with authority must issue a disciplinary decision.

Article 21. Files and documents related to handling disciplinary matters and decisions to enforce disciplinary actions must be stored in the civil servant's file.

Article 22. Leading civil servants appointed or approved by the Prime Minister, when violating discipline, must conduct self-criticism before the leadership collective of the place where they work; the leadership collective there provides comments and recommendations for disciplinary measures for the Prime Minister to consider and decide. 

CHAPTER III
MATERIAL LIABILITY

Article 23.

1. The examination and decision on compensation for damages must be based on fault, the nature of the act causing damage, the actual extent of property damage, and must take into account the family circumstances and personal background of the civil servant causing the damage.

2. In cases where the damage caused is less than five million dong, in principle, full compensation must be made by gradually deducting from the salary; if it is due to negligence, the maximum compensation is three months' salary, which can be deducted gradually from the monthly salary but not less than 10% and not exceeding 30% of total income from salary and allowances (if any).

Article 24.

The head of the agency or organization must establish a Council to examine and resolve the issue of compensation for damages.

2. Composition of the Board includes:

a) The head or deputy head of the agency, organization, or unit serves as the Chairman of the Council;

b) A representative of the same-level trade union leadership serves as a member;

c) The person in charge of the financial-accounting department serves as a member;

d) The person in charge of the direct unit of the individual required to compensate shall be a Member;

đ) An economic and technical expert shall be a Member.

3. The Council has the duty to examine and recommend to the head of the agency or organization regarding the amount and method of compensation for damages.

Article 25. The Council convenes to examine and resolve the matter of compensating for damages according to the following procedure:

1. The Chairman of the Council announces the participating members and appoints a secretary;

2. A representative from the finance-accounting department reports on the regulations and level of compensation for damages;

3. The Council listens to explanations from the individual required to compensate and hears opinions from other Council members;

4. The Council discusses and votes secretly on the level of compensation;

5. The results are recorded in a recommendation document submitted to the head of the agency or organization for decision within their authority;

6. The Council dissolves itself upon completion of its tasks.

Article 26. Civil servants who violate the law while performing their duties and cause damage to others as stipulated in Clause 5, Article 39 of the Ordinance on Cadres and Civil Servants shall compensate for damages in accordance with the provisions of Decree No. 47/CP dated May 3, 1997 on the settlement of compensation for damages caused by civil servants and state officials.

Article 27. If a civil servant required to compensate considers the decision on compensation inadequate, they have the right to appeal such decision to the competent agency or organization in accordance with the laws on appeals and complaints.

PART IV
IMPLEMENTING PROVISIONS

Article 28.

1. This Decree shall take effect fifteen days from the date of signature.

2. This Decree replaces the provisions on discipline and material responsibility for cadres and civil servants in the following documents:

Decree No. 195/HĐCP dated December 31, 1964 of the Council of Ministers on the issuance of the Labor Discipline Regulations in state agencies;

Decree No. 49/CP dated April 9, 1968 of the Council of Ministers on the Material Responsibility System of workers and employees towards state property;

Article 25 of Decree No. 217/CP dated June 8, 1979 of the Council of Ministers on the Regulations on responsibility systems, disciplinary systems, protective systems for public servants and employees, and service systems for the people in state agencies.

Article 29.

1. The Minister of the Government's Organization-Cadre Affairs Department is responsible for guiding the implementation of this Decree.

2. The Ministers of Ministries, Heads of ministerial-level agencies and agencies under the Government, and Chairmen of People's Committees of provinces and centrally governed cities are responsible for implementing this Decree./.