Thông tư 01/2014/TT-TTCP quy định việc xây dựng, phê duyệt định hướng chương trình thanh tra, kế hoạch thanh tra do Thanh tra Chính phủ ban hành

CIRCULAR

REGULATIONS ON CONSTRUCTION AND APPROVAL OF ORIENTATION OF THE INSPECTION PROGRAM AND PLAN

Pursuant to the Law on Inspection No. 56/2010/QH12 dated November 15, 2010 and governmental decrees detailing the implementation of this Law;

Pursuant to the Governmental Decree No. 36/2012/NĐ-CP dated April 18, 2012 defining the functions, tasks, entitlements and organizational structure of the Ministry and ministerial-level agencies;

Pursuant to the Governmental Decree No. 83/2012/NĐ-CP dated October 10, 2012 defining the functions, tasks, entitlements and organizational structure of the Government Inspectorate;

At the request of Director General of Department of Planning and Finance, Director General of Legal Department, Inspector-General, regulations on the construction and approval of orientation of the inspection program and plan are promulgated as follows:

Chapter 1.

GENERAL PROVISIONS

Article 1. Governing scope

This Circular regulates construction and approval of orientation of annual inspection program and plan by government inspectorate and agencies appointed to perform professional inspection functions; adjustment, handling of overlapping, inspection of the construction and implementation of the inspection plan.

Article 2. Regulated entities

This Circular applies to heads of state management agencies, heads of government inspectorate, heads of agencies appointed to perform professional inspection functions in the construction and approval of orientation of the inspection program and plan.

Article 3. Principles in construction of orientation of the inspection program and plan

Construction of orientation of the inspection program and plan must ensure the following principles:

1. Be appropriate to policies and guidelines of the Communist Party, policies and laws of the State; directions of upper state agencies; requirements for political objectives of localities, branches and areas;

2. Ensure specific assignment of duties, no overlapping in scope, entities, content and time of inspection; feasibility and resources for the implementation;

3. Orientation of the inspection program and plan must be constructed in accordance with the Law on Inspection and instructions hereof.

Chapter 2.

CONSTRUCTION OF ORIENTATION OF THE INSPECTION PROGRAM

Article 4. Foundations for construction of orientation of the inspection program

Construction of orientation of the inspection program must be based on the followings:

1. National Assembly’s Resolution in economy, society, national defense and security, and foreign affairs;

2. Resolution, projects, programs and targets of the Government, the Prime Minister on development and implementation of activities of economy, society, national defense and security, and foreign affairs;

3. Decisions and directives by the Prime Minister;

4. Decisions and directives by the Ministers; resolution of People’s Council, People’s committees of central-affiliated cities and provinces on economy, society, national defense and security, foreign affairs;

5. Requirements for prevention, detection and handling of violations across the areas, or function of state administration of inspection, citizen reception, complaint and denunciation settlement and anti-corruption exercised by the government inspectorate.

6. Other foundations as regulated;

Article 5. Collection of information for construction of orientation of the inspection program

1. Collection of information for construction of orientation of the inspection program shall be conducted annually under the chairmanship of an organization appointed by Inspector-General to act as advisor for the construction of orientation of the inspection program and plan (hereinafter referred to as the presiding unit).

2. Information collected includes information as prescribed in Article 4 hereof and followings:

a) Policies and guidelines of the Communist Party, policies and laws of the State on economy, society, national defense and security, and foreign affairs;

b) Regulations on technical professions, rules of branch and sector management; instructions, directives issued by Ministries, sectors and localities for the implementation of functions, duties as regulated;

c) Information relating to functions, tasks, powers, organization, activities; characteristics, situation and results of the implementation of duties; compliance with policies and laws by Ministries, sectors and localities, and agencies and organizations under management of Ministries, sectors and localities;

d) Situation and results of inspection, audits and investigations conducted by agencies, organizations, and individuals;

dd) Complaints, denunciation; information about signs of violations published on mass media;

e) Other information as regulated;

3. Information as prescribed in Articles 4, 5 hereof is the information that is not defined as state secrecy and is collected according to the law provisions.

Article 6. Content of the orientation of the inspection program

Orientation of the inspection program must be clearly defined with purposes and requirements for inspection; central duties of Government Inspectorate, inspectorate from Ministries, sectors and localities in a year to serve management requirements of the government, the Prime Minister, Ministries, departments, People’s committees of central-affiliated cities and provinces in the areas of economy, society, national defense and security, foreign affairs.

Article 7. Sequence, procedures for construction of orientation of the inspection program

Based on the collected information, the presiding unit shall be responsible for cooperating with departments, bureaus and units affiliated to Government Inspectorate, Ministries, sectors and localities and relevant state agencies in constructing orientation of the inspection program. Sequence, procedures for construction of orientation of the inspection program as follows:

1. Draft the statement and orientation of the inspection program;

2. Collect suggestions from departments, bureaus and units affiliated to Government Inspectorate into the orientation of the inspection program;

In case of need, the presiding unit shall make the report to Inspector General for collecting suggestions from inspecting, auditing and investigating agencies to unify the orientation of the inspection program.

3. The presiding unit shall collect suggestions from departments, bureaus and units affiliated to Government Inspectorate, from relevant state agencies to complete the draft orientation of the inspection program. In case opinions from the presiding unit are in conflict with those from departments, bureaus and units affiliated to Government Inspectorate, or from relevant state agencies, a report must be made to the Inspector General for consideration and decision.

4. Before the draft orientation is submitted to the Inspector General, the presiding unit should ask for suggestions from the deputy Inspector General for the completion of the draft orientation of the inspection program.

5. The draft orientation of the inspection program submitted to the Inspector General includes the following documents;

a) Draft statement;

b) Draft orientation;

c) Inclusion of suggestions collected from departments, bureaus and units affiliated to Government Inspectorate and suggestions from inspecting, auditing and investigating agencies (if any) in the draft orientation of the inspection program (if any)

d) Other information (if any);

6. The presiding unit must submit the draft orientation of the inspection program to the Inspector General on October 10 at the latest annually.

Article 8. Approval of the orientation of inspection program

1. The draft orientation of the inspection program must be submitted to the Prime Minister for consideration and approval on October 15 at the latest annually.

2. The draft orientation of the inspection program submitted to the Prime Minister includes the following documents:

a) Draft statement;

b) Draft orientation;

d) Other information (if any);

3. In case the Prime Minister has opinions on the orientation of the inspection program, the presiding unit should be open to such opinions and complete the draft orientation, make the submission to the Inspector General for proposals to the Prime Minister for approval.

4. After the orientation is approved by the Prime Minister, within five days, the presiding unit shall act as an advisor to the Inspector General in issuing guidance to the ministerial and provincial inspectorate on the establishment of the inspection plan to be submitted to heads of competent state agencies for consideration and approval.

Chapter 3

CONSTRUCTION OF INSPECTION PLAN

Article 9. Construction of inspection plan by Government Inspectorate

1. Foundations for construction of inspection plan:

a) Orientation of inspection program approved by the Prime Minister;

b) Requests of the government, the Prime Minister, Inspector General for inspection, citizen reception, complaint and denunciation settlement and anti-corruption;

c) Requests of the Ministries, sectors and localities for state management and annual socio-economic duties;

d) Any case that shows signs of violations shall be published on mass media or public opinion;

dd) Other foundations as regulated;

2. Content of the inspection plan:

The inspection plan must be clearly defined with purposes and requirements, scope, entities, subject matters, time of inspection, the presiding unit, coordinating units and other information (if any).

3. Responsibilities for construction of the inspection plan:

a) The presiding unit shall be responsible for collecting information, drafting the statement and inspection plan, entering collected suggestions into Government Inspectorate's draft annual inspection plan for submission to the Inspector General for consideration and approval.

b) Based on functions and duties assigned, the departments, bureaus and units affiliated to the Government Inspectorate shall be responsible for coordinating and supplying information, expected inspecting units to the presiding unit for the construction of the inspection plan.

4. Collection of information for construction of the inspection plan:

a) Information collected for the construction of the inspection plan includes the information as prescribed in Article 5, and Clause 1, Article 9 hereof, as well as the information collected and supplied by the departments, bureaus and units affiliated to the Government Inspectorate during the implementation of assigned duties;

b) In case of need, the presiding unit shall work direct with Ministries, sectors and localities or relevant agencies, organizations, and individuals to collect information for the construction of the inspection plan.

5. Sequence, procedures for construction of the inspection program:

a) Draft the statement and inspection plan;

b) Include suggestions collected from departments, bureaus and units affiliated to Government Inspectorate in the draft inspection plan; In case of need, work with inspecting, auditing and investigating agencies to unify the inspection plan;

c) Collect suggestions from the departments, bureaus and units affiliated to the Government Inspectorate to complete the draft inspection plan; ask for advice from the deputy Inspector General on the draft plan before it is submitted to the Inspector General for consideration and approval.

6. The inspection plan submitted to the Inspector General for approval includes the following documents:

a) Draft statement;

a) Draft inspection plan;

c) Inclusion of suggestions collected from departments, bureaus and units affiliated to Government Inspectorate and suggestions from inspecting, auditing and investigating agencies (if any) in the draft inspection plan;

d) Other information (if any);

7. Submission of the draft inspection plan to the Inspector General for approval shall be made on November 05 at the latest annually. Promulgation of the inspection plan by the Inspector General shall be made on November 10 at the latest annually.

Article 10. Construction of inspection plan by ministerial inspectorate, provincial inspectorate, agencies appointed to perform ministerial-level professional inspection function

1. Foundations for construction of inspection plan:

a) Annually, chief inspectors of ministries and provinces shall rely on the orientation of the inspection program approved by the Prime Minister, guidance on the construction of the inspection plan provided by the Inspector General, requests of the Ministries, People’s committees of provinces for state management tasks; requests of the Ministers, presidents of People’s committees of provinces for inspection, citizen reception, complaint and denunciation settlement and anti-corruption; cases that show signs of violations and were published on the media and public opinion, to construct the inspection plan and make the submission to the Ministers, presidents of People’s committees of provinces for consideration and approval according to the Law on Inspection;

b) Head of the advisory body for professional inspection from general departments, departments appointed to perform professional inspection function shall rely on functions, duties and annual task requirements of its agency to construct the inspection plan and make the submission to heads of the agencies appointed to perform professional inspection functions for consideration before it is submitted to ministerial inspectorate for review and submission to the Minister for approval.

2. Content of the inspection plan:

The inspection plan must be clearly defined with purposes and requirements, scope, entities, subject matters, time of inspection, the presiding unit, coordinating units and other information (if any).

3. Responsibilities for construction of the inspection plan:

The units or bodies appointed to construct the inspection plan of ministerial, provincial inspectorate, agencies appointed to perform ministerial-level professional inspection functions must take the initiative in cooperating with other units and bodies in the agency in constructing such plan.

4. Collection of information for construction of the inspection plan:

a) Ministerial, provincial inspectorate, ministerial-affiliated agencies appointed to perform ministerial-level professional inspection function shall be responsible for collecting information necessary for the construction of the inspection plan;

b) Information collected for the construction of the inspection plan includes the information as prescribed in Article 5, and Clause 1, Article 10 hereof, as well as the information collected and supplied by units and bodies affiliated to the ministerial, provincial inspectorate, agencies appointed to perform ministerial-level professional inspection functions during the implementation of assigned duties;

c) In case of need, ministerial, provincial inspectorate, agencies appointed to perform ministerial-level professional inspection function shall work direct with relevant agencies, organizations, and individuals in collecting information serving the construction of the inspection plan.

5. Sequence, procedures for construction of the inspection plan:

a) Draft the statement and inspection plan;

b) Collect suggestions from upper-level state inspection agencies, relevant agencies, units into the draft inspection plan in case of need;

c) Collect suggestions from upper-level state inspection agencies, relevant agencies, units to fulfill the draft inspection plan (if any);

6. The inspection plan submitted to the Minister, presidents of the provincial People’s committees for approval includes the following documents:

a) Draft statement;

a) Draft inspection plan;

c) Draft inspection plan prepared by agencies appointed to perform professional inspection functions (if any);

d) Collect suggestions from upper-level state inspection agencies, from relevant agencies, units (if any) to the draft inspection plan;

dd) Other information (if any);

7. Submission of the draft inspection plan to the Ministers, presidents of People’s committees of provinces for consideration and approval shall be made on November 15 at the latest annually. The Ministers, presidents of People’s committees of provinces shall carry out consideration and approval of the inspection plan on November 25 at the latest annually. Approval of the inspection plan must be made in writing.

8. Provincial inspectorate shall be responsible for instructing, monitoring, speeding up and inspecting the construction and implementation of annual inspection plan by departmental, district inspectorate. Ministerial inspectorate shall be responsible for instructing, monitoring, speeding up and inspecting the construction and implementation of annual inspection plan by the agencies appointed to perform ministerial-level professional inspection functions.

9. Inspection plan by ministerial, provincial inspectorate shall be submitted to the Government Inspectorate within at least five days since it is approved by the Ministers and presidents of People’s committees of provinces; inspection plan by the agencies appointed to perform ministerial-level professional inspection functions shall be submitted to the ministerial inspectorate within at least three days since it is approved by the Ministers for monitoring, speeding up and inspecting the implementation.

Article 11. Construction of inspection plan by departmental, district inspectorate, agencies appointed to perform professional inspection function

1. Foundations for construction of inspection plan:

a) Annually, chief inspectors of departments and districts shall rely on the orientation of the inspection program, guidance on the construction of the inspection plan provided by the provincial inspectorate, requests of the Services, People’s committees of districts; requests of the Services, People’s committees of districts for inspection, citizen reception, complaint and denunciation settlement and anti-corruption; cases that show signs of violations and were published on the media and public opinion to construct the inspection plan and make the submission to the Services, People’s committees of districts for consideration and approval according to the Law on Inspection;

b) Heads of the agencies appointed to perform departmental-level professional inspection functions shall rely on functions, duties and annual task requirements of their agency to construct the inspection plan and make the submission to the departmental inspectorate for review and submission to the Director of Department for approval.

2. The inspection plan must be clearly defined with purposes and requirements, scope, entities, subject matters, time of inspection, the presiding unit, coordinating units and other information (if any).

3. Responsibilities for construction of the inspection plan:

Chief inspectors of departments and districts, heads of the agencies appointed to perform departmental-level professional inspection functions shall be responsible for performing the construction of the inspection plan of their agency according to law provisions and this Circular.

4. Collection of information for construction of the inspection plan:

a) Information collected for the construction of the inspection plan by departmental and district inspectorate, agencies appointed to perform departmental-level professional inspection functions includes the information as prescribed in Article 5, and Clause 1, Article 11 hereof;

b) In case of need, departmental, district inspectorate, agencies appointed to perform ministerial-level professional inspection function shall work direct with relevant agencies, organizations, and individuals in collecting other information serving the construction of the inspection plan.

5. Sequence, procedures for construction of the inspection plan:

a) Draft the statement and inspection plan;

b) Collect suggestions from upper-level state inspection agencies, relevant agencies, units into the draft inspection plan in case of need;

c) Collect suggestions from upper-level state inspection agencies, relevant agencies, units to fulfill the draft inspection plan (if any);

6. The inspection plan submitted to Director of Department, presidents of People’s committees of districts for approval includes the following documents:

a) Draft statement;

a) Draft inspection plan;

c) Draft inspection plan by agencies appointed to perform professional inspection functions (if any);

d) Collect suggestions from upper-level state inspection agencies, from relevant agencies, units (if any) into the draft inspection plan;

dd) Other information (if any);

7. Submission of the draft inspection plan to Director of Department, presidents of People’s committees of district for consideration and approval shall be made on December 05 at the latest annually. Director of Department, presidents of People’s committees of districts shall be responsible for approving the inspection plan on December 05 at the latest annually. Approval of the inspection plan must be made in writing.

8. Departmental inspectorate shall be responsible for instructing, monitoring, speeding up and inspecting the construction and implementation of annual inspection plan by the agencies appointed to perform departmental-level professional inspection functions.

9. Inspection plan by departmental, district inspectorate shall be submitted to the provincial Inspectorate within at least five days since it is approved by directors of Department, presidents of People’s committees of districts; inspection plan by the agencies appointed to perform departmental-level professional inspection functions shall be submitted to the departmental inspectorate within at least three days since it is approved by directors of Department for monitoring, speeding up and inspecting the implementation.

Chapter 4.

ADJUSTMENT, HANDLING OF OVERLAPPING, INSPECTION OF CONSTRUCTION AND IMPLEMENTATION OF INSPECTION PLAN

Article 12. Adjustment of inspection plan

1. Persons who have powers to approve the inspection plan are those who have powers to adjust the approved inspection plan. Adjustment of the inspection plan is performed when there is overlap in scope, entities, content, time of inspection or as directed by heads of state management agencies or in case of necessity to ensure efficiency of the inspection plan.

2. Adjustment of the inspection plan must be made in writing and in accordance with provisions set out in Articles 3, 9, 10 and 11 hereof.

Article 13. Handling of overlap in inspection plan

Upon detection of any overlap in scope, entities, content, time of inspection arising during the implementation of the inspection plan, the inspection agencies shall be responsible for cooperating with relevant inspection agencies for handling. Handling of overlap in the inspection plan shall be done as follows:

1. If the inspection plan of Government Inspectorate overlaps with that of ministerial, provincial inspectorate, Government Inspectorate shall expedite investigation.

2. If the inspection plan of ministerial inspectorate overlaps with that of the agencies appointed to perform ministerial-level professional inspection function and that of departmental inspectorate, ministerial inspectorate shall expedite investigation.

If the inspection plans of ministerial inspectorate overlap with one another, the ministerial inspectorate functioning state administration of main branches, sectors of the entities subject to inspection shall expedite investigation.

If the inspection plan of ministerial inspectorate overlaps with that of provincial inspectorate, in reliance on the Law on Inspection and decentralization of state management between the Ministries and People’s committees of provinces on subject matters of inspection to determine either ministerial inspectorate or provincial inspectorate shall assume the responsibility for the inspection.

3. If the inspection plan of provincial inspectorate overlaps with those of departmental inspectorate, district inspectorate, the provincial inspectorate shall expedite investigation.

4. If the inspection plan of departmental inspectorate overlaps with that of the agencies appointed to perform departmental-level professional inspection function, the departmental inspectorate shall expedite investigation.

If the inspection plans of departmental inspectorate overlap with one another, the departmental inspectorate functioning state administration of main branches, sectors of the entities subject to inspection shall expedite investigation.

If the inspection plan of departmental inspectorate overlaps with that of district inspectorate, in reliance on the Law on Inspection and decentralization of state management between the Services and People’s committees of provinces on subject matters of inspection to determine either departmental inspectorate or district inspectorate shall assume the responsibility for the inspection.

5. If the inspection plans of multiple inspection agencies overlap with one another in content, time, entities, provisions set out in Clauses 1, 2, 3 and 4, Article 13 hereof shall be applied for handling.

Article 14. Inspection of construction and implementation of inspection plan

1. Inspection of the construction and implementation of the inspection plan is conducted by upper inspection agencies on lower inspection agencies or agencies appointed to perform professional inspection functions to ensure the construction and implementation of the inspection plan conform to the Law on Inspection and to prevent, detect and handle overlaps in the inspection plan.

2. Powers for performance of inspection:

a) Government Inspectorate inspects construction and implementation of the inspection plan of ministerial and provincial inspectorate;

b) Ministerial inspectorate inspects construction and implementation of the inspection plan of the agencies appointed to perform ministerial-level professional inspection functions;

c) Provincial Inspectorate inspects construction and implementation of the inspection plan of departmental and district inspectorate;

d) Departmental inspectorate inspects construction and implementation of the inspection plan of the agencies appointed to perform departmental-level professional inspection functions;

3. Inspection shall be conducted on a six-month, annual basis or unexpectedly. Time of inspection shall not exceed three working days for a unit subject to inspection by Government Inspectorate; two working days for a unit subject to inspection by ministerial, provincial inspectorate; and one day for a unit subject to inspection by departmental inspectorate.

Before inspection is started, upper state inspection agencies must issue a written notice to lower state inspection agencies or agencies appointed to perform professional inspection functions about time, venue, content and members of the inspection team.

4. The unit subject to inspection shall be responsible for preparing relevant information and making the report on the construction and implementation of the inspection plan as requested by competent agencies so that efficiency and quality of the inspection is ensured.

5. The inspection team must be certain of time, venue and subject matters of inspection and is not permitted to cause difficulties and annoyance to the units subject to inspection. When inspection closes, the inspection team must make the report on results of inspection to heads of state inspection agencies. The report must be specified with the followings:

a) Situation and results of construction and implementation of inspection plan by the units subject to inspection;

b) Difficulties in construction and implementation of inspection plan or overlaps in inspection plans (if any);

c) Proposals for handling difficulties or overlaps (if any);

dd) Other information (if any);

Chapter 5.

IMPLEMENTATION

Article 15. Implementation

The Ministers, heads of ministerial-level agencies, heads of governmental agencies, presidents of People’s committees of central-affiliated provinces, cities, heads of the agencies appointed to perform professional inspection functions; chief inspectors of Ministries, provinces shall provide detailed guidance on the construction of the inspection plan within their management in reliance on the provisions set out hereof.

Article 16. Commendation and handling of violations

1. Organizations, individuals that achieve excellent performance in the construction and implementation of the orientation of the inspection program, inspection plan shall be commended under applicable regulations.

2. Organizations, individuals that commit any violation during the construction and implementation of the orientation of the inspection program, inspection plan, depending on nature and severity of the violations, shall be handled under applicable regulations.

3. Construction and implementation of the orientation of the inspection program, inspection plan shall be put into the criteria used for evaluation of annual performance by agencies, organizations and units.

Article 17. Effect

This Circular takes effect since July 01, 2014.

Difficulties that arise during the implementation of this Circular should be reported to the Government Inspectorate for instructions, amendments, supplements./.

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