PHỤ LỤC Thông tư số 05/2021/TT-TTCP

CIRCULAR

PRESCRIBING PROCEDURES FOR PROCESSING AND HANDLING OF COMPLAINTS, ACCUSATIONS, PETITIONS OR GRIEVANCES

Pursuant to the Law on Complaint dated November 11, 2011;

Pursuant to the Law on Reception of Citizens dated November 25, 2013;

Pursuant to the Law on Accusation dated June 12, 2018;

Pursuant to the Government's Decree No. 64/2014/ND-CP dated June 26, 2014, specifying the implementation of a number of articles of the Law on Reception of Citizens;

Pursuant to the Government's Decree No. 31/2019/ND-CP dated April 10, 2019 elaborating on certain articles and measures for enforcement of the Law on Allegation;

Pursuant to the Government's Decree No. 124/2020/ND-CP dated October 19, 2020 elaborating on certain articles and measures for enforcement of the Law on Complaint;

Pursuant to the Government's Decree No. 150/2018/ND-CP dated April 9, 2018, defining the functions, tasks, powers and organizational structure of the Government Inspectorate;

Upon the request of the Head of the Central Committee on Reception of Citizens and the Director of the Department of Legal Affairs;

The Inspector General herein promulgates the Circular dealing with the procedures for processing and handling of complaints, accusations, petitions or grievances.

Chapter I

GENERAL PROVISIONS

Article 1. Scope

This Circular prescribes the acknowledgement of receipt, sorting, processing and handling of statements of complaint, accusation, petition or grievance (hereinafter referred to as statements).

Any petition or grievance of a person or entity concerning administrative regulations shall be received and processed or handled under the Government’s Decree No. 20/2008/ND-CP dated February 14, 2008, prescribing the acknowledgement of receipt, processing and handling of petitions and grievances of persons and entities concerning administrative regulations that are not covered herein.

Article 2. Subjects of application  

This Circular applies to state administrative agencies, public service units, state enterprises (hereinafter referred to as business or regulatory institutions) and persons working for business or regulatory institutions who have competence in processing and handling statements, and involved entities, authorities or persons.

Article 3. Processing and handling principles

1. The process for handling statements must be legitimate; fast and timely; explicit, uniform and must enable citizens to carry out complaint, accusation, petition or grievance procedures.

2. Statements should be filed, submitted or referred to appropriate authorities, organizations, units or persons having competence in handling them. 

Article 4. Interpretation

For the purposes of this Circular, terms used herein shall be construed as follows:

1. Statement refers to a written document formatted under laws, submitted to authorities, organizations, units and persons having competence in order to air a complaint, allegation, petition or grievance.

2. Processing and handling a statement refers to an act of consulting a subject matter of the statement by a competent business or regulatory institution or person to sort it out with the aim of dealing with it under their jurisdiction, giving further instructions or referring it to another appropriate one for further handling purposes in accordance with laws.   

Chapter II

ACKNOWLEDGEMENT OF RECEIPT, SORTING, PROCESSING AND HANDLING OF STATEMENTS

Article 5. Acknowledgement of receipt of statements

Statements shall be sorted out and processed after being received from the following sources:

1. Statements sent by post;

2. Statements sent to citizen reception offices, departments, venues or clerical departments or suggestion mailboxes of business or regulatory institutions; 

3. Statements referred to by National Assembly deputies, National Assembly delegations, agencies of the National Assembly and the Standing Committee of the National Assembly, People's Council deputies, committees of the People's Councils, Vietnam Fatherland Front Committees and their member organizations, press agencies and other agencies, organizations and units according to the provisions of law;

4. Statements referred to by leaderships of the Party, State and Party agencies.

Article 6. Sorting of statements

1. Sorting statements out by their contents, purposes and requirements of signers of these statements, but not by the titles of these statements.

Each statement may be classified into the followings:

a) Statement of complaint;

b) Statement of accusation;

c) Statement of petition or grievance;

d) Mixed-purpose statement.

2. Sorting statements out by processing and handling requirements into those qualified or unqualified for processing and handling.

a) A statement is qualified for processing and handling when it meets the following requirements:

- It is written in Vietnamese. If a statement is written in a foreign language, a notarized translation must be sought; the statement must clearly specify the day, month and year on which the statement is composed; the full name and address of the signer; the signer’s signature or fingerprint;

- The statement of complaint needs to clarify the full name and address of the authority, entity or person who is the subject of complaint; subject matters of, reasons for the complaint, documents involved in subject matters of the complaint and requirements of the person making complaint;  

- The statement of accusation needs to clarify the full name and address of the person making accusation; alleged acts of violation against laws; approaches for contact with the person making accusation and other relevant information;

- The statement of petition or grievance needs to clarify subject matters of petition or grievance;

- The statement without the full name and address of the person submitting the statement needs to have subject matters of accusation regarding an act of violation against law and provide clear information about the violator, specific documents or proof pertaining to offences against laws and bases for examination or investigation in accordance with clause 2 of Article 25 in the Law on Accusation.

b) A statement is unqualified for processing and handling when it falls into the following situations:

- It does not satisfy the requirements set out in point a of clause 2 of this Article;

- It is filed, submitted to multiple authorities, organizations, units or persons, including those having competence in handling it;

- It receives instructions given in clause 1 of Article 8 herein;

- It represents protest against policies and guidelines of the Party, policies and laws of the State; provokes division between the people and religions; contains offensive, slanderous and defamatory words insulting the honor and reputation of individuals, agencies, organizations and units;

- It is torn or ruined with erased, blurred or illegible texts.

3. Sorting statements out by jurisdiction of heads of business or regulatory authorities.

4. Sorting statements out by the number of persons making complaints, accusations, representations or grievances.

a) Each statement must have full name and signature of a person;

b) Each statement must have full name and signature of at least 02 persons.

5. Sorting statements out by jurisdiction.

a) Statements falling under the jurisdiction of state administrative agencies, including:  Government, Prime Minister, Ministries, Ministerial-level agencies, Governmental bodies, People's Committees at all levels, entities or organizations directly controlled by People's Committees at all levels or other administrative authorities;

b) Statements falling under the jurisdiction of the National Assembly, National Assembly’s Standing Committee, Ethnic Council, Committees and other organs of the National Assembly, agencies subordinate to the National Assembly’s Standing Committee, People's Councils at all levels and agencies of the People's Councils at all levels; 

c) Statements falling under the jurisdiction of agencies implementing procedures or law enforcement agencies;

d) Statements falling under the State Audit Office’s jurisdiction;

dd) Statements falling under jurisdiction of political organizations, political-social organizations, political-social-professional organizations, social organizations, socio-professional organizations; religious organizations;

e) Statements falling under jurisdiction of public service units and state enterprises;

g) Statements under jurisdiction of other entities, organizations and units. 

Chapter III

PROCESSING OF STATEMENTS

Section 1. PROCESSING OF STATEMENTS OF COMPLAINT

Article 7. Processing of statements of complaint under jurisdiction

1. If a statement of complaint is under jurisdiction and does not fall into one of the cases of ineligibility for acceptance and handling under Article 11 in the Law on Complaint, the person processing and handling statements shall recommend the head of an authority, organization or unit to accept and deal with it under law.   Recommendation for acceptance and handling of a statement shall be made by using the Form No. 01 annexed hereto.

2. If any statement of complaint is under jurisdiction but unqualified for acceptance and resolution, the person making complaint shall be instructed to provide further information and documents to make complaint in accordance with law.  Instructions shall be given by using the Form No. 02 annexed to this Circular.

3. If any statement of complaint is under jurisdiction of the inferior and is still pending after expiration under the Law on Complaint, the person processing statements shall recommend the head of an authority, organization or unit to consider issuing his/her decision as per law. 

Article 8. Processing of statements outside jurisdiction

1. If any statement of complaint falls outside jurisdiction of the head of an authority, organization or unit, the person processing statements should instruct the person making complaint to send it to another authority, organization, unit or person to have it handled or dealt with. Instructions shall be given once by using the Form No. 02 annexed to this Circular.

2. If any statement of complaint is referred to by leaders of the Party, the State, the Ethnic Council, Committees and other organs of the National Assembly, affiliates of the National Assembly’s Standing Committee, National Assembly delegates, National Assembly delegations, Government’s cabinet members, Chief Justice of the Supreme People's Court, Procurator General of the Supreme People's Procuracy, State Auditor General, Office of the President, Central Office, Central Inspection Committee and Central Party Committee, central organs of socio-political organizations, socio-political-professional organizations, the person processing statements shall submit it to the head of his/her host institution and reply in writing.

3. If a statement of complaint is referred to by the Central Citizen Reception Department, agencies of the People's Councils, delegates of the People's Councils, socio-political organizations, socio-political-professional organizations at the provincial or district level, the Citizen Reception Department shall report to the President of the same-level People’s Committee to seek his/her directives.

4. As for any subject matter of complaint which involves crowd, is complicated, backlogged or elongated, after receipt of the decision to handle such complaint, if the person making complaint file an appeal to the Government Inspectorate or the Central Citizen Reception Office, the head of the citizen reception department shall report to the Inspector General to assign relevant authorities, administrations or departments to examine, report on the case and draft a reply to the citizen or confer with the provincial People’s Committee about possible actions.

Article 9. Processing and handling of appeals against decisions to handle complaints already in legal effect

1. With respect to an appeal against the decision to handle a complaint already in legal effect under Article 44 in the Law on Complaint, the person processing statements shall neither handle them nor refer them, and shall provide instructions for the person filing the appeal to bring an administrative lawsuit to the People's Court having appropriate jurisdiction under laws on administrative proceedings, except as provided in clause 2 of this Article. 

2. Concerning an appeal against the decision to handle a complaint that is already in legal effect, after being examined and reviewed, if that decision is in breach of law, harms the State interests, legitimate rights and benefits of the citizen, authority or organization prescribed in Article 38 in the Government's Decree No. 124/2020/ND-CP dated October 19, 2020, elaborating on several Articles and measures for implementation of the Law on Complaint, the person processing statements shall report to the head of his/her host institution to seek the head's decision issued under law.

Article 10. Processing of statements outside jurisdiction bearing full names and signatures of multiple persons

If any statement of complaint outside jurisdiction of his/her host institution bears multiple persons' full names and signatures, the person processing statements should instruct a person making complaint who has a particular address to send it to the correct institution having competence to handle it. Instructions shall be given by using the Form No. 02 annexed to this Circular.

Article 11. Processing and handling of original documents and records attached to statements of complaints

If a statement of complaint encloses original documents and records, the person processing statements should return them to the person making complaint.

Article 12. Processing and handling of appeals against administrative decisions likely to lead to hardly mitigated consequences

When it is established that enforcement of an administrative decision would cause hardly mitigated consequences, the person handling statements should promptly report to the head of his/her host institution to consider issuing the decision on temporary suspension or recommend the competent authority or person to temporarily suspend enforcement of the administrative decision.

After receipt of the report or recommendation, the competent person shall be responsible for considering issuance of the decision on temporary suspension, bear responsibility for his/her decision and inform the authority, organization or unit making recommendation of handling results.

Section 2. PROCESSING AND HANDLING OF STATEMENTS OF ACCUSATION

Article 13. Processing and handling of statements of accusation under jurisdiction

Concerning any statement of accusation under jurisdiction of his/her host institution, if it is qualified for acceptance and handling under clause 1 of Article 29 in the Law on Accusation, the person processing statements shall report to the head to accept and handle it in accordance with regulations. Recommendation for acceptance and handling of a statement shall be made by using the Form No. 01 annexed hereto.

Article 14. Processing and handling of statements of accusation outside jurisdiction

1. Concerning any statement of accusation outside jurisdiction of his/her host institution, the person processing statements shall recommend the head to refer the statement, enclosing information and documents (if any), to the authority, organization or unit having competence in handling it in accordance with law.    The Form No. 03 annexed hereto shall be used in cases of referring statements. Referring statements to competent authorities shall be carried out only once with respect to those statements having the same subject matter.

2. Concerning any statement of accusation under jurisdiction of the directly supervised authority, organization or unit, if it is pending after expiration of the limitation period for handling of it under the Law on Accusation, the person processing statements shall recommend the head of his/her host institution to request the head of the directly supervised authority, organization or unit in writing to report on the process for handling of the accusation, reasons for belated handling, define responsibilities for handling the accusation and report on handling results.

Article 15. Processing and handling of statements of accusation against Party members

Statements of accusation against Party members violating the Party’s statutes, guidelines, resolutions, directives, regulations and conclusions of the Party shall be referred to competent authorities for their handling under the Party’s regulations.

Article 16. Processing and handling of statements of accusation against breaches of law leading to damage or likely to cause serious damage to the interests of the State, legitimate rights and benefits of individuals, authorities or organizations

If any statement of accusation against breach of law leads to damage or causes serious damage to the interests of the State, legitimate rights and benefits of an individual, authority or organization, the person processing statements should promptly provide the head of his/her host institution a report, counsel and proposal so that the head applies necessary measures under his/her jurisdiction or informs the competent authority, organization or unit to apply timely preventive measures prescribed in law.  

Article 17. Processing and handling of statements of accusation against any breach of jurisdiction, processes and procedures for handling of complaints

1. The statement of accusation against any breach of jurisdiction, processes or procedures for handling of complaints committed by a person handling complaints shall not be accepted and handled under the Law on Accusation. In this case, the person processing that statement shall instruct the person filing such complaint to continue the complaint process or bring an administrative lawsuit to the Court having appropriate jurisdiction under law.

2. If any person making accusation provides information, documents or proof stating that the person handling the complaint commits violation against one of the prohibition clauses 1, 2 and 4 of Article 6 in the Law on Complaint, the statement of that accusation shall be accepted and handled under the Law on Accusation.

Article 18. Treatment of information containing accusation

Upon receipt of information containing accusation prescribed in clause 2 of Article 25 in the Law on Accusation, persons processing statements shall report such information to competent persons to request them to consider issuing decisions on examination or inspection or refer such information to the competent authority, organization or individual to seek their inspection or examination decisions for management purposes.

Article 19. Information security and protection of persons making accusations

In the course of processing and handling statements, authorities, organizations, units or persons shall be responsible for securing information of persons making accusations and subject matters of accusations under law.

In case where persons making accusations need any protection, persons processing statements of accusation shall request heads of their host entities to consider issuing decisions under law.

Section 3. PROCESSING AND HANDLING OF OTHER STATEMENTS

Article 20. Processing and handling of statements of petition or grievance

1. Statements of petition or grievance concerning subjects under jurisdiction of their host institutions, persons processing statements shall report to and recommend the heads thereof to handle and respond to such statements under law. 

2. Statements of petition or grievance concerning subjects outside jurisdiction of their host institutions, persons processing statements shall report to and recommend the heads thereof to decide to refer them to other responsible authorities, organizations or units to handle them and inform the persons filing these statements.   The Form No. 04 annexed hereto shall be used in cases of referring statements of petition or grievance.

Article 21. Processing and handling of mixed-purpose statements

If any statement contains complaint, accusation, petition or grievance, persons processing the statement shall instruct the person filing the statement to separate subject matters to refer them to appropriate competent authorities, organizations, units and persons. Instructions shall be given by using the Form No. 05 annexed to this Circular.

Article 22. Processing and handling of statements falling under jurisdiction of agencies implementing procedures or law enforcement agencies

Concerning statements under jurisdiction of agencies implementing procedures or law enforcement agencies, persons processing these statements shall provide instructions on how to submit these statements, or report to or recommend the heads of their host institutions to decide the referral thereof to competent authorities to seek their actions under law.  

Article 23. Processing and handling of statements under jurisdiction of the National Assembly or People's Councils at all levels

Concerning statements under jurisdiction of the National Assembly or People’s Councils at all levels, persons processing these statements shall provide instructions on how to submit these statements, or report to or recommend the heads of their host institutions to decide the referral thereof to competent authorities to seek their actions under law.  

Article 24. Processing and handling of statements under jurisdiction of other state regulatory authorities

Concerning statements under jurisdiction of the Office of the President, the State Audit or other state authorities, persons processing these statements shall provide instructions on how to submit these statements, or report to the heads of their host institutions to decide the referral thereof to competent authorities to seek their actions under law.  

Article 25. Processing and handling of statements under jurisdiction of political organizations, political-social organizations, political organizations, social-professional organizations, social organizations, social-professional organizations and religious organizations

Concerning statements involving organization and operation of political organizations, political-social organizations, political organizations, social-professional organizations, social organizations, social-professional organizations and religious organizations, persons processing these statements shall provide instructions on how to submit these statements or report to the heads of their host institutions to decide the referral thereof to responsible organizations to seek their actions under law, their Charters or Operating Rules and Regulations.

Article 26. Processing and handling of statements under jurisdiction of public service units, state enterprises and other units or organizations

Concerning statements involving organization and operation of public service units, state enterprises and other entities or organizations, persons processing these statements shall provide instructions on how to submit these statements or refer these statements to those units or enterprises to seek their actions under law.

Article 27. Processing and handling statements of complaint, accusation, petition or grievance involving complicated matters

Statements of complaint, accusation, petition or grievance concerning matters that are complicated, backlogged, elongated or involve multiple persons; that involve policies on ethnicity, religion, public peace, social order and safety, persons processing statements shall report to the heads of their host institutions to promptly apply actions under jurisdiction or request competent authorities, organizations and units to apply actions under law. 

Chapter IV

MANAGEMENT, MONITORING, EXAMINATION AND ACCELERATION OF PROCESSING AND HANDLING OF COMPLAINTS, ACCUSATIONS, PETITIONS OR GRIEVANCES

Article 28. Storage of statements

1. The following statements shall be stored:

a) Statements do not satisfy conditions specified in point b of clause 2 of Article 6 herein;

b) Concerning statements of complaint obtaining decisions on handling of complaints already in effect, if they do not fall into the cases specified in Article 38 in the Government’s Decree No. 124/2020/ND-CP dated October 19, 2020, elaborating on several articles and measures for implementation of the Law on Complaint; concerning statements of accusation that have already obtained conclusions regarding subject matters of accusation and decisions on handling of accusations that have already been in legal effect, persons making accusations fail to provide any new information, document and proof.  

2. The time limit for storage of statements subject to the provisions of clause 1 of this Article shall be 01 year. Upon expiration of the aforesaid time limit, heads of authorities, organizations or units shall consider issuing decisions on destruction of statements under law.

Article 29. Management and monitoring of statements

1. Authorities, organizations and units receiving and referring statements shall enter them into registers or input them into the National Database for reception of citizens, handling of complaints, accusations, petitions and grievances under regulations or software for processing of statements for searching, monitoring and management purposes.  Storage and registration or backup of data on computers or information search shall be subject to laws on archival, laws on protection of state secrets and the List of state secrets within the scope of activities of investigation and handling of complaints, accusations and anti-corruption,

2. Authorities, organizations and units receiving statements shall answer authorities, organizations, units and persons having competence in referring statements under law and regulations of this Circular.

Article 30. Responsibilities for inspection and acceleration of handling of complaints, accusations, petitions or grievances of Citizen Reception Departments

1. The Central Citizen Reception Committee shall assist the Inspector General in monitoring the receipt, processing and handling statements sent or referred to the Government Inspectorate; take charge of cooperating with departments or administrations in charge of localities, fields and agencies or organizations participating in reception of citizens at central Citizen Reception Offices in examining and accelerating the receipt, processing of statements and handling of complaints, accusations, petitions and grievances.

2. Provincial or district citizen reception departments shall cooperate with state inspection agencies in assisting Presidents of the same-level People’s Committees in examining and pushing for the receipt and processing of statements, handling of complaints, accusations, petitions or grievances within localities under their authority with priority given to complaints or accusations that involve crowds, are complicated, backlogged or elongated.  

Chapter V

IMPLEMENTATION PROVISIONS

Article 31. Implementation responsibilities

1. Ministers, Heads of Ministry-level agencies, Heads of Governmental bodies, Presidents of People’s Committees at all levels, other relevant entities, organizations and individuals shall be responsible for implementing this Circular.

2. The Minister of National Defense and the Minister of Public Security shall consult regulations laid down herein to process statements of complaint, accusation, petition or grievance involving authorities, organizations or units controlled by People’s armed forces.

Article 32. Entry into force

1. This Circular shall enter into force as of November 15, 2021.

2. Circular No. 07/2014/TT-TTCP dated October 31, 2014 of the Government Inspectorate, adopting the procedures for processing and handling of statements of complaint, accusation, petition or grievance, shall be repealed as from the date of entry into force of this Circular.

3. In the course of implementation hereof, if there is any difficulty or issue that arises, relevant entities, organizations and persons are advised to send their timely feedbacks to the Government Inspectorate to seek their approval of any appropriate revision or modification./.

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