Thông tư 06/2021/TT-TTCP tổ chức, hoạt động của Đoàn thanh tra; trình tự, thủ tục một cuộc thanh tra

CIRCULAR

Specifying the organization and operations of the inspection team and the order and procedures for conducting an inspection

_______________

Pursuant to the Law on Inspection dated November 15, 2010;

Pursuant to Decree No. 86/2011/ND-CP dated September 22, 2011, of the Government detailing and guiding the implementation of a number of articles of the Law on Inspection;

Pursuant to Decree No. 07/2012/ND-CP dated February 9, 2012, of the Government on the agencies assigned to conduct specialized inspection and the specialized inspection operations.

Pursuant to Decree No. 50/2018/ND-CP dated April 9, 2018, of the Government defining the functions, tasks, powers and organizational structure of the Government Inspectorate;

At the proposal of the Directors of the Department of Legal Affairs and the Department of Personnel and Organization;

The Government Inspector General hereby promulgates the Circular specifying the organization and operations of the inspection team and the order and procedures for conducting an inspection

Chapter I

GENERAL PROVISIONS

Article 1. Scope of regulation

This Circular specifies the organization and operations of the inspection team as well as the order and procedures for conducting an inspection, supervising the operations of the inspection team, appraising the draft inspection conclusions, issuing and announcing inspection conclusions.

Article 2. Subjects of application

This Circular applies to Heads of State management agencies, Heads of State inspection agencies, Heads of agencies assigned to conduct specialized inspection, Heads and members of inspection teams, civil servants assigned to conduct specialized inspection, the monitors, supervisors, and appraisers of inspection as well as relevant agencies, organizations and individuals.

Article 3. Interpretation of terms

In this Circular, the terms below are construed as follows:

1. Scope of inspection means a specific scope in terms of contents of inspection, subjects of inspection, and period of inspection, which serve as the basis for conducting an inspection.

2. Contents of inspection cover the implementation of policies, the law enforcement, the performance of assigned tasks and powers, or the observance of specialized laws, professional and technical regulations, management rules of the respective sector or industry of the subject of inspection.

3. Subjects of inspection mean agencies, organizations and individuals under the ambit of management of State agencies at the same level as the agencies assigned to conduct the inspection and other agencies, organizations and individuals identified in the inspection decision.

4. Period of inspection means the period of time during which the implementation of policies, the law enforcement, the performance of assigned tasks and powers, or the observance of specialized laws, professional and technical regulations, management rules of the respective sector or industry is conducted by the subject of inspection, which shall be considered and assessed in an inspection and identified in the inspection decision.

5. Duration of inspection means the period of time from the announcement of the inspection decision to the end of the direct inspection at the inspected place, excluding holidays as specified by the law.

6. Supervision of operations of the inspection team means the monitoring and collection of information and feedback on the observance of the law, the compliance with ethical standards, codes of conduct, the awareness of discipline and the performance of assigned tasks by the Head and members of the inspection team.

7. Supervisor may be the Supervision Team, the civil servant assigned by the inspection decision-maker to supervise the operations of the inspection team.

8. Appraisal of draft inspection conclusions means the review and evaluation to make recommendations to improve the draft inspection conclusions by a person with expertise in the field related to the contents of inspection who is assigned by the inspection decision-maker.

Article 4. Responsibilities of Heads of State administrative agencies

Within the scope of their tasks and powers, the Heads of State administrative agencies shall organize, direct, guide, examine and urge inspection agencies and agencies under their ambit of management regarding the work of inspection; resolve difficulties and problems, promptly handle inspection recommendations as well as direct and organize the implementation of inspection conclusions in accordance with the law.

Article 5. Responsibilities of inspection decision-makers, Heads of inspection teams, Heads of agencies and units assigned to preside over inspections

1. The inspection decision-makers shall be responsible for organizing and directing the inspection teams, ensuring the principles of inspection operations, ensuring that the inspections are conducted in accordance with the law for the right purposes and requirements; promptly settle feedback and recommendations of the inspection teams; complaints, denunciations, recommendations and feedback related to operations of the inspection teams.

2. The Head of an inspection teams shall be responsible for organizing and directing the members of the inspection team to strictly comply with the contents and schedule of inspection in accordance with the inspection decisions and the inspection plans; implementing the information and reporting regimes upon request of the inspection decision-makers; and take accountability to the inspection decision-makers for the operations of the respective inspection teams.

3. Heads of agencies or units assigned to preside over the inspections shall recommend members to join the inspection teams; supervising members of the inspection team subject to their respective agencies or units; and performing other tasks when assigned by the inspection decision-makers.

Article 6. Responsibilities of subjects of inspection and relevant agencies, organizations, units and individuals

1. Agencies, organizations and individuals that are subject to the inspection shall report, explain and provide fully and promptly information and documents related to contents of inspection in accordance with the law; conduct inspection requests, conclusions, and recommendations, and handling decisions of competent persons.

2. Agencies, organizations, units and individuals related to contents of inspection shall be responsible for providing fully and promptly information and documents upon request of persons competent to conduct inspection in accordance with the law.

Article 7. Maintenance of adherence and discipline in inspection operations

1. Inspection operations shall be conducted under the leadership of a Head. Members of an inspection team shall abide by the decisions and directions of the Head of such inspection team. The Head of the agency or unit presiding over the inspection and the Head of the inspection team shall abide by the decisions and directions of the inspection decision-maker.

2. The Head and members of the inspection team and the Head of the agency or unit presiding over the inspection have the right to reserve their opinions on the results of performance of tasks assigned to them.

Chapter II
ORGANIZATION OF AN INSPECTION TEAM

Article 8. Members of an inspection team

The inspection team has a Head, a Deputy Head (if necessary), and members of the inspection team.

The Deputy Head of the inspection team shall be responsible for assisting the Head of the inspection team in performing the tasks assigned to them and taking charge of a number of operations of the inspection team when assigned by the Head of the inspection team. Other provisions of this Circular for members of the inspection team also apply to the Deputy Head of the inspection team, unless otherwise specified.

Members of the inspection team shall perform tasks assigned to them by the Head of the inspection team.

Article 9. Recommendation of members to join the inspection team

1. The Head of the agency or unit assigned to preside over the inspection shall recommend a person with professional qualifications suitable to the requirements of the inspection to be the Head of the inspection team, Deputy Head of the inspection team, and the number of members of the inspection team to the inspection decision-maker for consideration and decision.

2. The Head of the agency or unit assigned to preside over the inspection shall discuss and reach an agreement with the person expected to be the Head of the inspection team on who are expected to be the members of the inspection team. The recommendation of the Head and members of the inspection team shall be notified to the units managing and directly employing such persons, the units in charge of organization and personnel, and the persons expected to be members of the inspection team.

Article 10. Standards of the Head of an inspection team

1. General standards:

a) Having good moral qualities and a sense of responsibility; integrity, honesty, fairness, objectivity;

b) Having professional qualifications suitable to the requirements and tasks of the inspection;

c) Comprehensively understanding inspection operations; having the ability to analyze, evaluate and synthesize issues related to the contents and industries to be inspected;

d) Being capable of organizing, directing and guiding members of the inspection team to perform inspection tasks assigned to them.

2. Specific standards:

a) The Head of an inspection team established by the Government Inspector General shall be the Head of a division-level unit or the principal or higher-ranked inspector;

b) Heads of inspection teams established by ministers, chairpersons of provincial-level People's Committees, chief inspectors of ministries, and Heads of agencies assigned to conduct specialized inspection at the general department and equivalent level, or under-ministerial department level, provincial-level Chief Inspectors shall be Deputy Heads of division- or higher-level units, or Chief Inspectors, or equivalent or higher-ranked inspectors;

c) Heads of inspection teams established by directors of the provincial-level departments, chief inspectors of the provincial-level departments, Heads of the agencies assigned to conduct specialized inspection at agency/department level under the general departments or equivalent shall be inspectors or equivalent or high-ranked inspectors;

d) Heads of inspection teams established by chairpersons of district-level People's Committees, district-level chief inspectors, and Heads of agencies assigned to conduct specialized inspection at sub-department level under the provincial-level departments, or branch level of under-ministerial departments or equivalent shall be an inspector or equivalent or high-ranked inspectors.

Article 11. Persons not allowed to be members of an inspection team

1. Persons in any of the following cases may not be members of any inspection team:

a) Persons holding shares in enterprises that are subject to the inspection, unless otherwise specified by the law;

b) Persons whose spouses, natural parents, children, or siblings are (Deputy) Heads, persons in charge of organization and personnel, accountants, treasurers, or storekeepers in agencies, organizations or units that are subject to the inspection;

c) Persons who are undergoing disciplinary procedures or being examined for criminal liability;

d) Persons committing violations on whom penalties are imposed in accordance with Clauses 1 and 2, Article 51 of this Circular, of which the disciplinary periods have not yet expired or the criminal records have not been removed;

dd) Persons who do not meet other standards to join the inspection team as specified by the law.

2. Persons in any of the following cases may not be the Head of any inspection team:

a) Persons in the cases specified in Clause 1 of this Article;

b) Persons whose spouses, natural parents, parents-in-law, children, siblings or siblings-in-law work at the agencies, organizations or units that are subject to the inspection.

3. The Head of the agency or unit assigned to preside over the inspection shall be responsible for checking and reviewing to detect persons who are not allowed to be members of the inspection team before submitting it to the inspection decision-maker.

Persons who are expected to be members of the inspection team in any of the cases specified in Clauses 1 and 2 of this Article or in other cases that may not ensure objectivity shall report such to the Head of the agency or unit assigned to preside over the inspection before the inspection decision is made.

4. During the inspection, if someone is detected to be in any of the cases specified in Clauses 1 and 2 of this Article, the inspection decision-maker shall consider and decide on the change of the Head or member of the inspection team.

During the inspection, if they find themselves falling into any of the cases specified in Clauses 1 and 2 of this Article, the members of the inspection team or the Head of the inspection team shall report such to the inspection decision-maker for consideration and decision.

Article 12. Change of members or Head of an inspection team

1. The inspection decision-maker shall consider changing the members of the inspection team when such members fall into any of the following cases:

a) Committing any of the acts as prohibited in accordance with Article 13 of the Law on Inspection;

b) Being detected to be in any of the cases specified in Clause 1, Article 11 of this Circular during the inspection;

c) Failing to comply with the regime of information, reporting, direction and administration of the Head of the inspection team;

d) Failing to complete the tasks assigned to them, being unfit or unable to continue performing the inspection tasks for other objective reasons.

2. The inspection decision-maker shall consider changing the Head of the inspection team in the following cases:

a) Falling into any of the cases specified at Points a, b and d, Clause 1 of this Article;

b) Failing to comply with the information, reporting, direction and administration regime of the inspection decision-maker;

c) Being considered unqualified to complete the inspection tasks, when reasonably warranted, by the inspection decision-maker;

d) Being assigned other tasks upon request of a competent authority or organization.

Article 13. Order and procedures for substituting or adding the Head or members of an inspection team

1. Substitution of the Head of the inspection team

a) In case of substituting the Head of the inspection team as specified in Clause 2, Article 12 of this Circular, the inspection decision-maker shall request the Head of the agency or unit directly managing the Head of the inspection team to submit a written request for substituting the Head of the inspection team enclosed with the draft decision on substitution of the Head of the inspection team and relevant documents (if any).

In the case where the Head of the inspection team is concurrently the Head of the agency or unit presiding over the inspection, the inspection decision-maker shall request the Head of the unit in charge of personnel and organization to submit a written request for substituting the Head of the inspection team, enclosed with a draft decision on substitution of the Head of the inspection team;

b) The inspection decision-maker shall, based on the written request and other information related to the operations of the inspection team, consider and issue a decision to substitute the Head of the inspection team.

The decision to substitute the Head of the inspection team shall be made using Form No. 01 attached to this Circular.

2. Substitution of members of the inspection team

a) In case of substituting any member of the inspection team as specified in Clause 1, Article 12 of this Circular, the Head of the inspection team shall notify the Head of the agency or unit directly managing the respective member and submit a written request to the inspection decision-maker for substituting such member.

b) The inspection decision-maker shall, based on the written request of the Head of the inspection team, the results of supervision of the inspection team's operations and other information related to the operations of the inspection team, issue a decision to substitute members of the inspection team. In case of disapproval, the inspection decision-maker shall reply to the requester and clearly state the reasons therefor.

The decision to substitute the members of the inspection team shall be made using Form No. 02 attached to this Circular.

3. Addition of members to the inspection team

When deeming it necessary, based on the requirements of performing inspection tasks, the Head of the inspection team shall discuss and reach agreement with the Heads of the agencies and units directly managing and employing the persons to be added to the inspection team, send a written request and draft decision on addition of members to the inspection team to the inspection decision-maker. The written request shall clearly state the reasons, full names and positions of the persons to be added. In the case where the inspection decision-maker disapproves the request for adding members to the inspection team, he/she shall reply to the requester and clearly state the reasons therefor.

The decision to add members to the inspection team shall be made using Form No. 03 attached to this Circular.

4. The decision to change the Head of the inspection team, to change the members of the inspection team or to add members to the inspection team shall be sent to the subjects of inspection.

Chapter III
BUILD-UP OF THE INSPECTION

Article 14. Collection of information and documents before the inspection

1. Before making the inspection decisions, based on their State management functions, tasks and competence, Heads of State management agencies, Heads of State inspection agencies, Heads of agencies conducting specialized inspection (collectively referred to as the inspection decision-makers) shall direct the collection of information and documents for making the inspection decisions at the proposal of the Heads of the agencies and units expected to preside over the respective inspections.

2. The collection of information and documents shall be done as follows:

a) Agencies, organizations and units within the scope of inspection shall be requested to make reports following the outline of information and documents requested to be provided as specified in Form No. 04 attached to this Circular;

b) When necessary and with the written consent of the inspection decision-maker, the person assigned to collect information and documents shall works directly with the agency, organization or unit expected to be the subject of inspection.

3. The person assigned to collect information and documents shall be responsible for making a report on the results of information and document collection in writing to the Head of his/her agency or unit and the inspection decision-maker. Such report shall contain the following:

a) An overview of the operations of the agency, organization or unit expected to be inspected; their compliance with policies and laws related to the contents of inspection;

b) Results of inspection, examination, audit and investigation by competent authorities related to the contents of inspection (if any) and other relevant information;

c) Specific proposals regarding contents, subjects, period and duration of inspection.

Article 15. Issuance of the inspection decision

The Head of the agency or unit presiding over the inspection shall propose specific contents, subjects, period, duration and timelines of inspection, members of the inspection team and prepare a draft inspection decision. Pursuant to Article 38 of the Law on Inspection and based on the report on results of information and document collection and the proposals of the Head of the agency or unit presiding over the inspection, the inspection decision-maker shall issue such a decision and direct the Head of the inspection team to develop an inspection plan.

The inspection decision shall be made using Form No. 05 attached to this Circular.

Article 16. Development, approval and dissemination of an inspection plan

1. The Head of the inspection team shall assume the prime responsibility for developing an inspection plan with the following contents: Purposes and requirements; scope, contents, subjects, period and duration of operation; methods of conducting the inspection; schedule of inspection, reporting and information regimes; use of equipment, funds and necessary material conditions for the operations of the inspection team.

The Head of the inspection team shall submit the inspection plan to the inspection decision-maker for approval.

The time limit for development and approval of the inspection plan shall not exceed 05 working days from the date of issuing the inspection decision. In case of unscheduled inspection, the time limit shall not exceed 03 working days.

The inspection plan shall be made using Form No. 06 attached to this Circular.

2. The Head of the inspection team shall hold a meeting of the inspection team to disseminate the inspection plan, thoroughly understand the purposes, requirements, contents, scope, period, duration, timelines of the inspection, and methods of conducting the inspection, and assign tasks to members of the inspection team.

Article 17. Development of the outline of required information to be reported by the subjects of inspection

1. Based on the inspection decision and inspection plan, the Head of the inspection team shall be responsible for directing and organizing the development of the outline of required information to be reported by the subjects of inspection.

2. 05 working days before the announcement of the inspection decision, the Head of the inspection team shall send a written request to the subjects of inspection, enclosed with an outline of the report. Such written request shall clearly state the report's contents, form, and deadline.

Article 18. Notification of the announcement of the inspection decision

1. The Head of the inspection team shall notify in writing the subjects of inspection of the announcement of the inspection decision. Such notice shall clearly state the time, place and participants therein.

2. In case of necessity, the Head of the inspection team shall request the inspection decision-maker to sign the written notice of announcement of the inspection decision.

Chapter IV

IMPLEMENTATION ORGANIZATION OF THE INSPECTION

Article 19. Announcement of the inspection decision

1. The inspection decision shall be announced in accordance with Clause 2, Article 44 and Clause 2, Article 52 of the Law on Inspection.

The Head of the inspection team shall be responsible for announcing the inspection decision. In case of necessity, the inspection decision-maker shall preside over the announcement or authorize the Head of the agency or unit presiding over the inspection to announce the inspection decision.

2. Participants attending the announcement of the inspection decision include:

a) For administrative inspection decisions: The representative leader of the agency presiding over the inspection, the inspection team, the supervisor, the Head of the agency, organization, or individual subject to the inspection. In case of necessity, the Head of the inspection team shall invite representatives of relevant agencies, organizations, units and relevant individuals to attend the announcement of the inspection decision;

b) For specialized inspection decisions: The subjects of inspection and other relevant agencies, organizations, units and individuals as decided by the inspection decision-maker at the proposal of the Head of the inspection team.

In the case where the subjects of inspection are intentionally absent, the Head of the inspection team shall make a record, which shall be certified by the commune-level People's Committee, and continue to conduct the inspection as planned.

In the case where violations are detected, the announcement of the inspection decision may be made after a record of violations committed by the subjects of inspection is made.

3. The Head of the inspection team shall preside over the announcement of the inspection decision. The announcement shall be conducted as follows: The Head of the inspection team shall announce the inspection decision. The supervisor shall announce the supervision decision (if any). The Head of the agency, organization, unit or individual subject to the inspection shall report on the contents of inspection following the outline require by the inspection team. Other participants attending the announcement of the inspection decision can express their opinions related to the contents of inspection.

4. The announcement of the inspection decision shall be recorded in writing, which shall be signed by the Head of the inspection team and the Head of the agency, organization or individual subject to the inspection or an authorized person as specified by the law.

The record of the announcement of the inspection decision shall be made using Form No. 07 attached to this Circular.

Article 20. Workplace and working time of the inspection team

1. The inspection team works at the head office of the agency, organization or unit subject to the inspection or the head office of the inspection agency or at the place where the inspection and verification is conducted in accordance with the inspection plan.

2. The inspection team works with the subjects of inspection, relevant agencies, organizations, units and individuals during office hours. In case of having to work outside office hours, the Head of the inspection team shall decide on the specific overtime, notify relevant parties, and take accountability for his/her decision.

Article 21. Collection of information and documents related to the contents of inspection

1. During the inspection, the Head and members of the inspection team may request the subjects of inspection to report following the outline; request the subjects of inspection as well as relevant agencies, organizations, units and individuals to provide information and documents related to the contents of inspection.

The written request for information and documents shall be made using Form No. 08 attached to this Circular.

The delivery of dossiers and documents shall be recorded in writing. Such delivery record shall be made using Form No. 09 attached to this Circular.

2. For dossiers and documents that may not be seized, the recipient of such the dossiers and documents shall return them to the subjects of inspection, relevant agencies, organizations, units and individuals before the end of the direct inspection. The return of dossiers and documents shall be made recorded in a delivery record as specified in Clause 1 of this Article.

3. The management, exploitation and use of information and documents of inspection shall comply with the law regulations on inspection and other relevant laws.

Article 22. Checking and verification of information and documents

1. The Head and members of the inspection team shall study the information and documents collected; evaluate the implementation of policies, laws, tasks and powers of the subjects of inspection with respect to the contents of inspection; ask the responsible persons and relevant persons to explain the unclear issues. In the case where it is necessary to work directly with the subjects of inspection and relevant persons, members of the inspection team shall report to the Head of the inspection team for consideration and decision.

In the case where it is necessary to check and verify information and documents or clarify issues related to the contents of inspection, the Head of the inspection team or the inspection decision-maker shall invite the subjects of inspection and the representatives of relevant agencies, organizations, units and individuals to attend a meeting or request the subjects of inspection to send a report. The written request for the report shall be made using Form No. 10 attached to this Circular.

In the case where it is necessary to check and verify an incident or clarify issues related to an incident that has occurred or is taking place, the Head of the inspection team or the inspection decision-maker may invite the representative of the commune-level People's Committee of the locality where such incident occurred or other witnesses of such incident.

2. The checking and verification shall be recorded in writing using Form No. 11 attached to this Circular.

Article 23. Forms of documents recording the exertion of powers in inspection operations

1. The decision to document sealing shall be made using Form No. 12, the record of document sealing shall be made using Form No. 13, the decision on document unsealing shall be made using Form No. 14, and the record of document unsealing shall be made using Form No. 15 attached to this Circular.

2. The asset inventory decision is made using Form No. 16, and the asset inventory record is made using Form No. 17 attached to this Circular.

3. The written request for verification shall be made using Form No. 18 attached to this Circular.

4. The decision on suspension shall be made using Form No. 19, and the written request for suspension of the damage-causing act shall be made using Form No. 20, attached to this Circular.

5. The decision on temporary seizure of money, objects and licenses shall be made using Form No. 21, and the written request for temporary seizure of money, objects and licenses shall be made using Form No. 22, attached to this Circular.

6. The decision on money recovery shall be made using Form No. 23, and the decision on asset recovery shall be made using Form No. 24 attached to this Circular.

7. The written request for suspension of implementation of the decision shall be made using Form No. 25 attached to this Circular.

8. The written request for employment suspension of cadres, civil servants and public employees shall be made using Form No. 26 attached to this Circular.

9. The decision to annul any of the decisions specified at Points dd, e, g, h and i, Clause 1, Article 46 or Points d, dd, e, g and h, Clause 1, Article 48 of the Law on Inspection (for administrative inspection); Points g, h, i, k and l, Clause 1, Article 53 or Points d, dd, e and g, Clause 1, Article 55 of the Law on Inspection (for specialized inspection) shall be made using Form No. 27 attached to this Circular.

Article 24. Handling of wrongdoings during the inspection

1. During the inspection, if any wrongdoing is detected, the Head and members of the inspection team shall make a record of such wrongdoing to serve as a basis for handling it in accordance with the law. For wrongdoings on which administrative penalties shall be imposed, the Head of the inspection team or members of the inspection team shall make a record of administrative violations for handling for cases falling under their competence or transfer the cases to competent authorities for handling in accordance with the law.

The inspection decision-maker, the Head of the inspection team, and the members of the inspection team shall exercise the powers in inspection operations specified in Articles 46, 48, 53 and 55 of the Law on Inspection in order to stop acts of violation and promptly protect the interests of the State and the lawful rights and interests of agencies, organizations, units and individuals.

2. In the case where wrongdoings of the subjects of inspection or relevant agencies, organizations, units and individuals do not fall under his/her handling competence, the Head of the inspection team shall request the inspection decision-maker or Heads of the competent State authorities to consider handling the cases.

3. When detecting signs of crime, the Head of the inspection team shall report such to the inspection decision-maker who will then consider and decide on transferring such information and case dossiers to competent investigation agencies for handling in accordance with the law. In such case, the inspection decision-maker directs the inspection team to continue the inspection in accordance with the approved inspection plan and issues the inspection conclusions in accordance with the law.

The transfer and handover of dossiers of the cases showing signs of crime to investigation agencies shall be recorded in writing using Forms No. 28 and No. 29 attached to this Circular.

Article 25. Amendment and supplement of the contents of the inspection plan

The inspection decision-maker shall decide to amend or supplement the inspection plan upon request of the Head of the inspection team or upon request of a competent agency, organization or individual. Amendments and supplements to the inspection plan shall not be beyond the scope of inspection defined in the inspection decision.

The Head of the inspection team shall consult with the Head of the agency or unit presiding over the inspection on the amendments and supplements to the inspection plan before submitting them to the inspection decision-maker for consideration and decision.

Article 26. Extension of the duration of inspection

1. The duration of inspection shall be extended in the following cases:

a) The inspection is (extremely) complicated and involves many industries, agencies, units and localities;

b) It is necessary to seek professional opinions of agencies, organizations, units and individuals or to solicit verification of contents related to the inspection;

c) It is necessary to verify and clarify the cases involving foreign elements within the contents and scope of inspection;

d) It is necessary to verify and clarify corrupt acts specified in Clause 1, Article 2 of the Law on Anti-corruption;

dd) When the subjects of inspection, agencies, organizations, units and individuals do not cooperate, obstruct, oppose or cause difficulties for inspection operations, thereby affecting the duration of inspection;

e) There is a force majeure event affecting the schedule of inspection.

2. The extension of the duration of inspection shall be considered and decided by the inspection decision-maker. For the cases specified at Points a, b, c, d and dd, Clause 1 of this Article, the extension of the duration of inspection shall not exceed the maximum duration specified in Article 45 of the Law on Inspection and Article 16 of Decree 07/2012/ND-CP dated February 9, 2012, of the Government on the agencies assigned to conduct specialized inspection and the specialized inspection operations.

The Head of the inspection team shall send a written request to the inspection decision-maker for an extension, enclosed with the draft decision on extension of the duration of inspection. Such written request shall clearly state the reasons therefor and the period of extension. The decision to extend the duration of inspection shall be made using Form No. 30 attached to this Circular.

3. The decision to extend the duration of inspection shall be sent to the inspection team, subjects of inspection and relevant agencies, organizations, units and individuals.

Article 27. Reporting regime and logbook of the inspection team

1. Reporting regime:

a) The Head of the inspection team assigns inspection and verification tasks to members of the inspection team in writing, which clearly states the task description, turnaround time, and reporting deadline.

Members of the inspection team shall complete the tasks within the assigned deadline and report to the Head of the inspection team on the performance of the tasks assigned to them immediately upon completion.

In the case where problems arise beyond the ambit of the tasks assigned to them or need to be handled immediately, members of the inspection team shall report them to the Head of the inspection team for consideration and decision.

b) The Head of the inspection team shall report on the progress and results of the performance of tasks assigned to them to the inspection decision-maker in accordance with the schedule determined in the inspection plan or upon request of the inspection decision-maker.

The report on the progress and results of the performance of the tasks assigned to them by the Head of the inspection team shall be sent to the supervisor of the inspection team’s operations.

2. Logbook of the inspection team:

a) The Head of the inspection team shall be responsible for recording in the inspection team’s logbook accurately, objectively and honestly the contents related to the inspection team's operations that have taken place since the announcement of the inspection decision to the date of issuing the inspection conclusions. The inspection team's logbook shall be included in the inspection dossier.

The Head of the inspection team shall be responsible for managing the inspection team's logbook together with other documents during the inspection.

b) The inspection team's logbook shall be given by the inspection decision-maker to the inspection team when the inspection decision is issued. In the case where the inspection team is established by the Head of a State management agency, the logbook of the inspection team shall be given to the inspection team by the Head of the inspection agency at the same level as the Head of such State management agency.

c) Printing and distribution of the inspection team's logbooks:

The Government Inspectorate organizes the printing and distribution of the inspection team's logbooks to the Government Inspector.

Inspectorates of ministries and sectors shall organize the printing and distribution of the inspection team's logbooks to the ministerial-level inspectorates and agencies assigned to conduct specialized inspection under their respective ambit of management.

Provincial-level inspectorates shall organize the printing and distribution of the inspection team's logbooks to the provincial-level inspectorates, inspectorates of provincial-level departments, district-level inspectorates, and agencies assigned to conduct specialized inspection in the respective localities.

d) The inspection team's logbook shall be made using Form No. 31 attached to this Circular.

The application of information technology in recording the inspection team's logbooks is encouraged.

Article 28. Ending the inspection at the inspected place

Before the end of the inspection at the inspected place, the Head of the inspection team shall report to the inspection decision-maker and notify in writing the subjects of inspection of the end of the direct inspection. In case of necessity, the Head of the inspection team shall hold a meeting with the subjects of inspection to announce the end of the direct inspection.

The written notice of the end of the inspection at the inspected place shall be made using Form No. 32 attached to this Circular.

Chapter V

SUPERVISION OF OPERATIONS OF THE INSPECTION TEAM

Article 29. Responsibilities of inspection decision-makers, Heads of agencies or units directly managing civil servants participating in inspection teams

1. The inspection decision-maker shall be responsible for supervising the operations of the inspection team. In case of assigning to any civil servant under its ambit or the supervision team to conduct the supervision of the inspection team’s operations (collectively referred to as the supervisor), the inspection decision-maker shall issue a supervision decision using Form No. 33 attached to this Circular.

2. Heads of agencies or units directly managing civil servants participating in the inspection team shall supervise their civil servants during the performance of inspection tasks.

3. The task of supervising the operations of the inspection team shall not be assigned to the persons in any of the following cases:

a) Those specified in Clause 2, Article 11 of this Circular;

b) Persons whose spouses, natural parents, children, or siblings who are the Heads or members of the inspection teams.

Article 30. Contents of supervision of the inspection team's operations

1. The observance of the law on basis, competence, order and procedures for exercising powers and obligations in inspection operations by the Head and members of the inspection team.

2. The observance of the directions of the inspection decision-maker, the implementation of the inspection decision and the inspection plan, the observance of the information and reporting regime, and other requirements of the inspection.

3. The compliance with inspector’s ethical standards and code of conducts and law regulations on prohibited acts by the Head and members of the inspection team.

4. Other contents when assigned by the inspection decision-maker.

Article 31. Organization of the supervision

1. Within 05 working days from the date of issuing the supervision decision, the Head of the supervision team or the civil servant assigned to perform the supervision shall develop and submit the plan to supervise the operations of the inspection team to the inspection decision-maker for approval.

The supervision plan should clearly state the purposes, requirements, contents, form of supervision, schedule of implementation and assignment of tasks. The supervision plan shall be sent to the inspection team.

The plan to supervise operations of the inspection team shall be made using Form No. 34 attached to this Circular.

2. The supervision shall be conducted by reviewing the reports of the inspection team and other information and documents collected.

When there is information, feedback, recommendations and denunciations about violations of the contents specified in Clause 3, Article 30 of this Circular, the inspection decision-maker shall consider and decide to assign the supervisor to meet with the inspection team to clarify such information, feedback, recommendations and denunciations.

Supervisors may only meet with subjects of inspection and relevant agencies, organizations and individuals upon request of inspection decision-makers.

The meeting minutes shall be made using Form No. 35 attached to this Circular.

Article 32. The supervisor is tasked and granted the powers to:

1. Meet with the inspection team, the subjects of inspection and agencies, organizations, units and individuals related to the contents of supervision.

2. Request the inspection team to provide the following information and documents:

a) The inspection decision, the decision on extension of the duration of inspection, the decision to add or substitute the Head and members of the inspection team, the plan to conduct the inspection, the guiding documents of the inspection decision-maker;

b) The report on the performance of tasks by members of the inspection team to the Head of the inspection team and of the Head of the inspection team to the inspection decision-maker;

c) The logbook of the inspection team;

d) Complaints, recommendations and denunciations related to the inspection team's operations (if any);

dd) Other documents as directed by the inspection decision-maker.

3. Implement the reporting regime to the inspection decision-maker:

a) Report on a periodical basis in accordance with the approved plan to supervise the inspection team's operation supervision plan and on an ad-hoc basis upon request of the inspection decision-maker;

b) Report when detecting that the Head of the inspection team or members of the inspection team have committed law violations or violated the code of conducts in inspection operations;

c) Report when there are grounds to believe that the inspection team's operations are not in accordance with the approved inspection plan;

d) Report at the end of the supervision.

4. Request the inspection decision-maker to consider and decide on the substitution of the Head of the inspection team or members of the inspection team.

Article 33. The Head and members of the inspection team, with respect to the supervision, shall

1. Provide promptly, fully, accurately and objectively information and documents specified in Clause 2, Article 32 of this Circular.

2. Explain and clarify issues related to contents of supervision upon request of the supervisor.

3. Report to the inspection decision-maker in the case where the supervisor commits law violations regarding the supervision.

4. Report the progress of inspection tasks to the Heads of the agencies and units directly managing them to conduct the supervision in accordance with regulations.

Article 34. Reports on supervision results

1. Within 15 working days from the date of completing the direct inspection, the supervisor shall prepare a report on supervision results and submit it to the inspection decision-maker. The report on supervision results shall be made using Form No. 36 attached to this Circular.

2. The report on supervision results shall contain the following contents:

a) Assessment of the task performance of the inspection team according to the contents specified in Article 30 of this Circular;

b) Clarification of violations (if any) of the Head and members of the inspection team by considering the information, feedback, recommendations and denunciations; proposals of handling measures;

c) Other relevant contents (if any).

Article 35. Handling of supervision results

1. Based on the information and reports during the supervision and the report on supervision results, the inspection decision-maker shall:

a) Consider and promptly handling recommendations of the supervisor related to the inspection team's operations, for the cases falling under its competence;

b) Apply measures to urge and correct the operations of the inspection team in order to ensure the purposes, requirements and schedule of the inspection;

c) Consider and decide on the substitution of the Head and members of the inspection team at the proposal of the supervisor.

2. In case of detecting that the Head or members of the inspection team, or the supervisor have committed law violations, depending on the nature and severity of such violations, the inspection decision-maker shall consider and handle the cases falling under its competence or request competent persons to handle the cases or transfer the case dossiers to the investigation agencies for examination for criminal liability upon detection of signs of crime.

Article 36. Supervision by Heads of agencies or units directly managing Heads and members of inspection teams

Heads of agencies or units directly managing Heads and members of inspection teams shall supervise civil servants under their ambit of management as follows:

1. To request civil servants under their ambit of direct management to report on the performance of inspection tasks assigned to them.

2. To consider information, feedback, recommendations and denunciations about the observance of the law on inspection and the performance of inspection tasks by civil servants under their ambit of management to take measures for handling in accordance with their competence or report the cases to the inspection decision-maker for handling.

Article 37. Supervision dossiers

1. A supervision dossier consists of the following documents:

a) The supervision decision and supervision plan;

b) The report and written recommendations of the supervisor;

c) The minutes of the meeting with the inspection team and relevant agencies, organizations, units and individuals (if any);

d) Reports, documents and documents sent by the inspection team to the supervisor;

dd) The report on supervision results;

e) Other relevant documents.

2. The report on supervision results is sent to the Head of the inspection team to manage and store together with the inspection dossier. In the case where the report on supervision results contains denunciations about violations committed by the Head or members of the inspection team, it shall be sent after the inspection conclusions are issued.

Chapter VI

COMPLETION OF INSPECTIONS

Section 1

REPORTS ON INSPECTION RESULTS, DEVELOPMENT OF DRAFT INSPECTION CONCLUSIONS

Article 38. Report on results of performance of assigned tasks of members of inspection teams

1. Within 05 working days from the date of inspection completion at the inspected place, members of the inspection team shall be responsible for reporting in written form to the Head of the inspection team on the results of performance of the tasks assigned to them and shall take responsibility for the accuracy, objectivity and truthfulness of contents of the report.

2. Report on results of performance of assigned tasks of members of administrative inspection teams shall include the following contents:

a) Examination and verification results according to their assigned tasks;

b) Clear conclusions whether every examined and verified contents is right or wrong and legal provisions used as the ground to make such conclusions; clear identification of the corruption acts detected through inspection (if any);

c) Clear identification of the nature, extent and causes of violations and responsibilities of agencies, organizations, and individuals that commit law violations;

d) Recommendations and proposals on the handling of economic, administrative and criminal violations (if any) against agencies, organizations, units, and individuals that commit law violations; proposals to overcome loopholes and weaknesses in management work, proposals on amending and supplementing to mechanisms, policies and laws; clearly stating law provisions and practical issues used as the basis for such recommendations and proposals.

3. In the case where the contents of the report on results of performance assigned tasks of any inspection team member is not clear or complete, the Head of the inspection team shall ask such member of the inspection team to supplement and complete the report.

Article 39. Reports on inspection results of inspection teams

1. Based on reports on the results of performance of assigned tasks of the members of the inspection team and the records and documents of the inspection team, the Head of the inspection team shall take the prime responsibility for developing the reports on inspection results of the inspection team. In the case where due to health reasons or other reasons that the Head of the inspection team cannot continue to perform such task, the inspection decision-maker shall assign the Deputy Head of the inspection team (in the case where there is a Deputy Head of the inspection team) or assign a member of the inspection team to develop and submit the report on inspection results while there has not been any decision to change the Head of the inspection team.

2. The Head of the inspection team shall consult members of the inspection team on the draft report on inspection results of the inspection team. Members of the inspection team shall have the right to reserve opinions on the contents related to the results of performance of the assigned tasks and other contents of the draft report before the Head of the inspection team. The reserved opinions shall be stated in the written document attached to the report on inspection results for the inspection decision maker and shall be stored in the inspection dossier.

3. When necessary, the Head of the inspection team shall consult with relevant agencies, organizations, units, and individuals to ensure that the comments, assessments, conclusions and handling recommendations are accurate, objective and take responsible for receiving feedbacks and completing the report on inspection results of the inspection team.

4. Contents of reports on inspection results shall include:

a) Report on administrative inspection results: made in accordance with provisions in Clauses 2, 3 and 4, Article 49 of the Law on Inspection;

b) Report on specialized inspection results: made in accordance with the provisions in Article 25 of Decree No. 07/2012/ND-CP dated February 9, 2012 of the Government on the agencies assigned to conduct specialized inspection and the specialized inspection operations.

c) Report on inspection results of the inspection team made using Form No. 37 attached to this Circular.

Article 40. Consideration of reports on inspection results of inspection teams

1. The inspection decision-maker shall review and evaluate contents of the report on inspection results.

2. In the case where it is necessary to clarify or supplement the contents of the report on inspection results, the inspection decision-maker shall request the Head and members of the inspection team to report or hold a meeting with the participation of the Head of the agency or unit presiding over the inspection and the supervisor, where they listen to the report of the inspection team in person.

3. The Head of the inspection team shall hold a meeting of the inspection team to discuss and clarify the report on inspection results, complete the additional report in accordance with the directions of the inspection decision-maker.

4. The Head of the inspection team shall submit the additional report and clarify the report on inspection results with the inspection decision-maker together with different opinions of members of the inspection team (if any).

Article 41. Development of draft inspection conclusions

1. After receiving the report on inspection results and additional reports (if any) of the inspection team, the inspection decision-maker shall direct the Head of the inspection team to develop the draft inspection conclusions to submit to the inspection decision-maker. In the case where due to health reasons or other reasons that the Head of the inspection team cannot continue to perform such assigned tasks, the inspection decision-maker shall assign the Deputy Head of the inspection team (In the case where there is a Deputy Head of the inspection team) or assign a member of the inspection team to develop and submit the draft inspection conclusions while there has not been any decision to change the Head of the inspection team.

Draft inspection conclusions shall include the following contents:

a) For drafts of administrative inspection conclusions: made in accordance with the provisions in Clause 2, Article 50 of the Law on Inspection;

b) For drafts of specialized inspection conclusions: made in accordance with the provisions in Clause 1, Article 27 of Decree No. 07/2012/ND-CP dated February 9, 2012, of the Government on the agencies assigned to conduct specialized inspection and the specialized inspection operations.

2. In the process of developing draft inspection conclusions, the inspection decision-maker shall have the right to request the Head and members of the inspection team to report and request the subjects of inspection to explain to further clarify issues planned to be concluded in the inspection contents.

3. In the case where the inspected subject is requested to explain, the inspection decision-maker shall send a written request enclosed with the draft inspection conclusions or some contents in the draft inspection conclusions related to the request for explanation.

The explanation of the subjects of inspection shall be made in written form together with information, documents and evidences to prove the explanation content. The subjects of inspection shall have the obligation to keep the secret and shall take responsibility before the law if the explanation content, the draft inspection conclusions or some contents in the draft inspection conclusions is revealed.

The Head of the inspection team shall be responsible for researching and proposing to the inspection decision-maker to handle the explanation contents of the subjects of inspection to complete the draft inspection conclusions.

4. The Head of the inspection team shall submit the draft inspection conclusions to the inspection decision-maker after consulting the Head of the agency or unit presiding over the inspection.

The submittal of draft inspection conclusions shall be signed by the head of the agency or unit presiding over the inspection. In the case where the head of the agency or unit presiding over the inspection has a different opinion about the draft inspection conclusions, it shall be clearly stated in the report.

Members of the inspection team shall have the right to reserve their opinions on the draft inspection conclusions. The Head of the inspection team shall have the right to reserve their opinions on the draft inspection conclusions before the inspection decision-maker. The reserved opinions shall be expressed in written form attached to the draft inspection conclusions and shall be stored in the inspection dossier.

The submittal of draft inspection conclusions shall be made using Form No. 38 attached to this Circular.

5. The finalized contents of the draft inspection conclusions according to explanations of the subjects of inspection, opinions of agencies, organizations, units, and individuals specified in Clauses 2 and 3 of this Article shall be summarized and reported in written form by the Head of the inspection team to the inspection decision-maker and shall be stored in the inspection dossier.

Section 2

APPRAISAL OF DRAFT INSPECTION CONCLUSIONS

Article 42. Appraisal and consultation

1. Upon receiving the draft inspection conclusions, the inspection decision-maker shall hold an appraisal of such draft to ensure the issued inspection conclusions is accurate and objective. The appraisal of the draft inspection conclusions of the inspection team shall be conducted by the district and department’s inspectorate when necessary.

If the inspection agency has a specialized appraisal section, such section shall be responsible for appraising the entire contents of the draft inspection conclusions.

The inspection decision-maker may assign one or a number of civil servants, including the supervisor, to appraise one or a number of contents of the draft inspection conclusions, which clearly defines the contents and time limit for appraisal.

2. The appraiser shall have professional expertise in the contents to be appraised and not fall into any of the cases specified in Clause 3, Article 29 of this Circular.

3. The appraiser shall be responsible for conducting the appraisal, making the report on appraisal results and taking responsibility before the law and the inspection decision-maker for the report on appraisal results.

4. In case of necessity, the inspection decision-maker shall direct the consultation of other agencies and organizations on one or a number of contents of the draft inspection conclusions.

Article 43. Documents used for appraisal

1. Within 03 working days from the date on which the inspection decision-maker decides to conduct the appraisal, the Head of the inspection team shall be responsible for handing over documents to serve the appraisal. Documents used for the appraisal shall include:

a) The inspection decision;

b) The plan to conduct the inspection;

c) The report on inspection results of the inspection team;

d) The report on the results of supervision of the inspection team’s operations;

dd) Reports and written explanations of subjects of inspection (if any);

e) The draft inspection conclusions;

g) Meeting minutes and other relevant information and documents.

2. The handover of documents used for the appraisal shall be recorded in writing, enclosed with the list of appraisal documents. The management and use of documents used for the appraisal shall be carried out as documents of the inspection dossier.

Article 44. Performance of appraisal

        1. After receiving documents used for the appraisal, the appraiser shall study and review to give opinions on the implementation of policies, laws, tasks and powers of the subjects of inspection; legal basis, practice, feasibility of the recommendations; the degree of appropriateness between the contents of the inspection results and the conclusions and recommendations in the draft inspection conclusions and other contents deemed necessary in the draft inspection conclusions.

        2. In case of necessity, the appraiser shall work directly with the Head and members of the inspection team to further clarify the contents of the draft inspection conclusions.

        3. At the end of the appraisal, the appraiser shall have a report on appraisal results. In the case where the appraisal is assigned to more than one person, each appraiser shall have a report on appraisal results on their assigned contents. The report on appraisal results shall be made using Form No. 39 attached to this Circular.

     The report on appraisal results shall be sent to the inspection decision-maker, the Head of the team to finalize the draft inspection conclusions.

Article 45. Handling of appraisal results

1. Based on the report on appraisal results, the inspection decision-maker shall direct the Head of the inspection team to explain, receive appraisal opinions and finalize the draft inspection conclusions.

2. The Head of the inspection team shall be responsible for developing an explanatory report, receiving appraisal comments and sending it to the inspection decision-maker and the appraiser; In the case where it is necessary to clarify appraisal opinions, report it to the inspection decision-maker to work directly with the appraiser.

3. In the case where there are different opinions between the appraiser and the Head of the inspection team, the inspection decision-maker shall request the appraiser and the Head of the inspection team to explain and clarify for consideration and decision.

Section 3

ISSUANCE AND ANNOUNCEMENT OF INSPECTION CONCLUSIONS; MANAGEMENT AND USE OF INSPECTION DOSSIERS

Article 46. Issuance of inspection conclusions

1. Based on reports on results, reports on appraisal results and opinions of other relevant agencies, organizations, and individuals, the inspection decision-maker shall direct to finalize draft inspection conclusions, sign and issue the inspection conclusions and take responsibility for their conclusions and recommendations.

Inspection conclusions shall be made using Form No. 40 attached to this Circular.

2. For an inspection, several inspection conclusions can be made to promptly serve State management requirements.

The inspection decision-maker may issue additional conclusions, amend or replace all or part of an inspection conclusions when there are grounds to show that such inspection conclusions fails to guarantee completeness, accuracy, objectivity, affecting the interests of the State, lawful rights and interests of agencies, organizations, and individuals and shall take responsibility for their own decisions. The order and procedures for issuing and announcing additional, revised, and replaced inspection conclusions shall be the same as the order and procedures for issuing and publicizing inspection conclusions.

3. Administrative inspection conclusions shall be sent to subjects of inspection and relevant agencies, organizations, units, and individuals in accordance with Clause 1, Article 50 of the Law on Inspection and other relevant regulations.

4. Specialized inspection conclusions shall be sent to subjects of inspection and relevant agencies, organizations, units, and individuals in accordance with Clause 4, Article 27 of Decree No. 07/2012/ND-CP dated February 9, 2012 of the Government on the agencies assigned to conduct specialized inspection and the specialized inspection operations.

a) For inspections conducted by the Inspectorates of ministries, the inspection conclusions shall be sent to such Minister, the Inspector General of the Government Inspectorate, the subjects of inspection, the head of the immediate superior management agency of such subjects of inspection (if any) and relevant agencies, organizations, and individuals;

b) For inspections conducted by the General Department or Department of a Ministry assigned to conduct specialized inspection, the inspection conclusions shall be sent to the Inspectorate of such ministry, subjects of inspection, the head of the immediate superior management agency of the subjects of inspection (if any) and relevant agencies, organizations, and individuals;

c) For inspections conducted by the provincial-level departments’ inspectorates, the inspection conclusions shall be sent to the Director of such Department, the subjects of inspection, the head of the immediate superior management agency of the subjects of inspection (if any) and relevant agencies, organizations, and individuals;

d) For the inspection conducted by branches of provincial-level departments which are assigned to conduct specialized inspection, the inspection conclusions shall be sent to such department’s Inspectorate, subjects of inspection, the head of the immediate superior management agency of the subjects of inspection (if any) and relevant agencies, organizations, and individuals.

5. In the case where the inspection conclusions contain State secrets, the inspection decision-maker shall determine the State secrets and the level of confidential.

Article 47. Announcement of inspection conclusions

1. Full text of the inspection conclusions shall be announced to the public in accordance with the law, except for State secrets as specified by the law.

The inspection decision-maker shall be responsible for organizing the announcement of such inspection conclusions in accordance with Clause 2, Article 31 of Decree No. No. 86/2011/ND-CP dated September 22, 2011 of the Government detailing and guiding the implementation of a number of articles of the Law on Inspection, Clause 3, Article 27 of Decree No. 07/2012/ND-CP dated February 9, 2012 of the Government on the agencies assigned to conduct specialized inspection and the specialized inspection operations.

2. The inspection conclusions shall be announced in the forms as follows:

The inspection conclusions shall be announced in the forms specified at Point a, Clause 2, Article 39 of the Law on Inspection and such announcement shall be recorded in writing. The record of such announcement shall be made using Form No. 41 attached to this Circular.

In addition to the forms mentioned above, the inspection decision-maker shall choose any of the following forms of announcement:

a) To announce on at least one type of mass media, including radio or television broadcasting, printed or online newspapers. On radio or television, the announcement shall be made on at least 02 broadcasts. On printed newspapers, it shall be made on at least 01 issue. On online newspapers, the announcement shall be displayed in at least 05 consecutive days;

b) To post on the websites of the inspection agency, the agency assigned to conduct specialized inspection or the State management agency of the same level for at least 05 consecutive days;

c) To publicly post up such inspection conclusions at the premises of agencies, organizations or units subject to the inspection for at least 15 consecutive days.

3. Agencies, organizations, and individuals being subjects of inspection, agencies, organizations, and individuals in charge of implementing such inspection conclusions and other relevant agencies, organizations, and individuals shall manage and use the State secrets included in such inspection conclusions for the right purpose, with the authority, order and procedures as specified by the law.

Article 48. Ending the operation of inspection teams

        1. Within 05 working days from the date on which the inspection decision-maker sign and issue inspection conclusions, the Head of the inspection team shall be responsible for holding a meeting to end the operation of such inspection team. The contents of the inspection team’s meeting shall be recorded in the minutes which shall be included in the inspection dossier.

        2. Contents of the meeting to end the operation of the inspection team shall include:

        a) Assessment of inspection results in comparison with the purposes and requirements of the inspection;

        b) Assessment of results of performance of the assigned tasks and the compliance with the law and directions of the inspection decision-maker as well as the compliance with ethical standards, code of conduct, information and reporting regimes in the operation of the inspection team;

        c) Lessons learned from the inspection;

        d) Other contents as required by the inspection decision-maker.

        3. The Head of the inspection team shall be responsible for reporting the meeting results to the inspection decision-maker and the head of the agency or unit presiding over the inspection.

        4. The Head of the inspection team shall end the operation after the inspection conclusions is made public.

Article 49. Inspection dossiers

Inspection dossiers shall include:

1. Group 1 on major documents, including:

- Inspection decisions, decisions on extending the inspection time limit, decision on supplementing or changing the Head and members of the inspection team (if any);

- Inspection plan;

- Documents and directions of competent agencies being the basis for issuing inspection decisions;

- Inspection conclusions; reports on inspection results of the head of the agency issuing the inspection decision to the superior level (if any);

- Written conclusions, instructions for handling, handling decisions of the inspection decision-maker or competent agencies;

- Diary of the inspection team.

2. Group 2 on documents and materials issued by the inspection team, members of the inspection team or the persons in charge of drafting and issuance during the inspection process, including:

- Reports on the research and the operation situation of subjects of inspection before conducting inspection (if any);

- Documents and outlines of the inspection team on inspection contents which subjects of inspection are requested to report;

- Minutes made by the Head and members of the inspection team when working with subjects of inspection and people related to inspection contents;

- Reports on the progress and status of inspection tasks with the inspection decision-maker;

- Documents and decisions which are handled during the inspection process;

- Documents and reports verifying the inspection contents of the inspection team or members of the inspection team;

- Reports on results of performance of assigned tasks of members of inspection team, reports on inspection results of the inspection team;

- Minutes of meetings and working sessions of the inspection team on the report on inspection results;

- Minutes of meetings and working sessions of the inspection decision-maker, the Head of the agency or unit presiding over the inspection with the inspection team and written notifications of the conclusions of the meeting chairperson (if any);

- Documents and materials provided by subjects of inspection, explanations on the contents of inspection conclusions (if any);

- Written reservation of opinions of the Head and members of the inspection team.

3. Group 3 on documents and materials collected from subjects of inspection, which serve as evidence for inspection conclusions, including:

- Documents and reports of subjects of inspection according to the outline and requirements of the inspection team;

- Documents and reports provided by subjects of inspection related to inspection contents.

4. Group 4 on other documents and materials related to the inspection, including:

- Written complaints, recommendations and denunciations related to inspection contents;

- Report on the results of supervision of the inspection team’s operations (if any);

- Reports on appraisal results of the draft inspection conclusions, explanatory reports, collections of appraisal opinions, meeting documents and minutes (if any);

- Draft inspection conclusions open for appraisal; documents seeking for comments on such draft inspection conclusions; the written request for expertise (if any);

- Documents of agencies, organizations, and individuals that have comments on the drafts of conclusions inspection; expertise documents (if any);

- Other documents related to the inspection.

Article 50. Preparation, handover, management and use of inspection dossiers

1. An inspection dossier shall consist of the documents specified in Article 59 of the Law on Inspection and Article 49 of this Circular. The Head of the inspection team shall be responsible for organizing and directing the preparation and handover of inspection dossiers to the agency that has issued the inspection decision. Inspectors and civil servants assigned to perform the task of specialized inspection that conduct the independent inspection shall prepare and hand over the inspection dossier to the agency that has issued the inspection decision or the agency that has issued the written assignment to perform independent inspection.

Inspection dossiers shall be handed over to the archiving unit within 15 working days from the date of closing such inspection dossiers. The handover of inspection dossiers shall be recorded in writing. The record of inspection dossier handover to the archiving unit shall be made using Form No. 42 attached to this Circular.

2. The inspection decision-maker and the person who issues the written assignment to perform the task of independent inspection shall urge, direct and supervise the Head and members of the inspection team, and civil servants assigned to perform independent specialized inspection in the preparation and handover of the inspection dossier.

3. Such dossier shall be opened on the date of issuing the inspection decision and closed on the date on which the competent person issues a document directing or deciding on the handling of the inspection results.

Chapter VII

HANDLING OF VIOLATIONS AND IMPLEMENTATION PROVISIONS

Article 51. Handling of violations committed by Heads and members of inspection teams

1. The Head and members of an inspection team, depending on the nature and severity of their violations, shall undergo disciplinary procedures or be examined for criminal liability. In case of causing damage, they shall pay compensation in accordance with the law if committing any of the following violations:

a) Abusing positions and powers to commit illegal acts, harass, cause difficulties or troubles for subjects of inspection;

b) Conducting inspection beyond assigned competence, expanding or narrowing the scope and contents of inspection as defined in the inspection decision and inspection plan;

c) Falsifying inspection dossiers, forging, correcting or destroying documents and evidences in order to make false conclusions or reports; appropriating inspection dossiers;

d) Covering up agencies, organizations, and individuals that commit law violations;

dd) Disclosing information and documents on inspection contents in the inspection process before official conclusions are made; illegally managing and using inspection dossiers and documents;

e) Failing to report detected violations of law; reporting or making conclusions that are not consistent with the nature and extent of the violation;

g) Other violations as specified by the law.

2. The supervisor who covers up violations of the Head and members of the inspection team, depending on the extent of the respective violations, shall undergo disciplinary procedures or be examined for criminal liability in accordance with the law.

3. In the case where the Head of the inspection team commits a violation in inspection operations, the inspection decision-maker shall assume the prime responsibility for the examination of such violations, clarify the responsibility of such person and consider the discipline in accordance with the law.

In the case where members of the inspection team violate regulations on inspection operations, the Head of the inspection team shall assume the prime responsibility for the examination and clarification of such violations and propose the handling in accordance with law regulations. The Head of the inspection team shall report in written form to the inspection decision-maker, the Head of the agency or the unit managing such members of the inspection team to direct and consider the discipline in accordance with the law.

In the case where the supervisor commits violations while conducting the supervision, the Head of the inspection agency shall assume the prime responsibility for the examination and clarification of such violations for handling in accordance with the law.

4. The order, procedures and competence to handle disciplines for violations shall comply with the law on handling of violations and imposing disciplines for civil servants.

Article 52. Effect and organization of implementation

1. This Circular shall take effect from November 15, 2021.

2. The following documents shall cease to be effective from the date on which this Circular takes effect:

a) Circular No. 05/2014/TT-TTCP dated October 16, 2014, of the Government Inspectorate specifying the organizational structure, operations, working relationships of inspection teams and the sequence and procedures for conducting an inspection;

b) Circular No. 05/2015/TT-TTCP dated September 10, 2015, of the Government Inspectorate specifying the supervision of inspection teams;

c) Circular No. 08/2015/TT-TTCP dated December 15, 2015, of the Government Inspectorate specifying logbooks used by inspection teams;

d) Decision No. 2316/QD-TTCP dated October 10, 2013, of the Government Inspectorate promulgating the process of appraising draft inspection conclusions.

3. In case of necessity, ministers and heads of ministerial-level agencies shall, within the ambit of their functions, tasks and powers, and based on regulations of this Circular, prescribe the process and forms to be used when conducting inspections in accordance with the nature and characteristics of inspection operations in the sectors and fields under their management.

4. During the course of implementation, if any difficulties, hindrances, or new problems arise, agencies, organizations and units shall promptly report them to the Government Inspectorate for research, amendment and supplementation./.

THE INSPECTOR GENERAL

Doan Hong Phong

* The Appendices attached to this Circular are not translated herein.