The People's Procuratorate Provisions on Case-Flow Monitoring (for Trial Implementation)

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Title: The People's Procuratorate Provisions on Case-Flow Monitoring (for Trial Implementation)
Promulgating Entities:Supreme People's Procuratorate
Reference number: 
Promulgation Date: 2016-7-14
Expiration date: 
Source of text: http://www.spp.gov.cn/xwfbh/wsfbt/201608/t20160804_161341_2.shtml

The People's Procuratorate Provisions on Case-Flow Monitoring (for Trial Implementation)

 

(Passed by the 53rd meeting of the twelfth procuratorate committee of the Supreme People's Procuratorate on July 14, 2016)

Article 1: These regulations have been enacted according to the relevant stipulations of the law, and comprehensively realizing procuratorial work, so as to strengthen supervision and management of people's procuratorates' judicial case handling work, to advance the regulation of judicial case handling conduct, and to promote fairness and the efficient administration of justice.

Article 2: "Case-flow monitoring" as referred to in these regulations, refers to the people's procuratorates conducting real time dynamic supervision, prompting, prevention and control of whether case-handling procedures are lawful, standard, timely, and complete in cases that are currently being accepted or handled (including activities such as handling charges, reports, appeals, and application for state compensation), in accordance with laws, regulations, relevant judicial interpretations, and normative documents,.

Article 3: Case-flow monitoring work shall adhere to the principles of combining strengthening supervision, management, and service to the judiciary; of combining full course management and focused key supervision, and of combining human management and entrusting information technology.

Article 4: The case management departments are responsible for organizing and coordinating and the specific implementation of case-flow monitoring work.

The case handling department shall assist and cooperate with the case management departments to carry out the case-flow monitoring, timely check the situation, give feedback opinions, correct problems ,and strengthen management.

The departments responsible for the supervision of litigation and the discipline inspection and inspection organs shall strengthen coordination and cooperation with the case management departments, and promptly investigate and deal with issues of violation of discipline or laws found in the process of monitoring case-flow.

The technical information department shall provide technical safeguards as needed for case-flow monitoring work.

Article 5: For cases currently being accepted, case management departments shall focus upon the following content for investigation:

(1) whether it is within their jurisdiction;

(2) whether case files are complete and conform to standards;

(3) whether the transfer of money or goods is in conformity with the transferred list;

(4) whether there exist other circumstances which do not meet the requirements for the acceptance of cases.

Article 6: In terms of compulsory measures, key focus for supervision and inspections shall be on the following content:

(1) Whether approval formalities and legal documents for the application, modification, or release from compulsory measures are complete and handled in accordance with law;

(2) Whether the family of a person under residential surveillance, detainee, or arrested person, were promptly contacted in accordance with the law;

(3) whether the compulsory measure is promptly altered or removed at the completion of the time period in accordance with the law;

(4) Where review for prosecution shall newly handle residential surveillance or release on guarantee in accordance with law, whether it was handled lawfully;

(5) whether there are any other violations of the law and relevant regulations.

Article 7: In work such as the sealing, seizing, freezing, preservation, or disposition of property involved with the case, the following content shall be the key focus of supervision and inspections:

(1) whether the sealing, seizure, or freezing measures were employed without opening/ filing a case;

(2) whether the sealing, seizing, or freezing, was employed without issuance of legal documents;

(3) Whether the sealed, seized, or frozen property involved with the case is the same as listed;

(4) Whether when sealing, seizing, or freezing of property involved in the case, procedures were followed to physically seal it, sign it, or attach an official seal;

(五)查封、扣押、冻结涉案财物后,是否及时存入合规账户、办理入库保管手续,是否及时向案件管理部门登记;

(六)是否在诉讼程序依法终结之前将涉案财物上缴国库或者作其他处理;

(七)是否在诉讼程序依法终结之后依法及时处理涉案财物;

(八)是否存在因不负责任造成查封、扣押、冻结的涉案财物丢失、损毁,贪污、挪用、截留、私分、调换、违反规定使用查封、扣押、冻结涉案财物的情形;

(九)是否存在其他违反法律和有关规定的情形。

Article 8: In terms of document drafting and use, the following content shall be the focus of supervision and inspections:

(一)文书名称、类型、文号、格式、文字、数字等是否规范;

(二)应当制作的文书是否制作;

(三)是否违反规定开具、使用、处理空白文书;

(四)是否依照规定程序审批;

(五)是否违反规定在统一业务应用系统外制作文书;

(六)对文书样式中的提示性语言是否删除、修改;

(七)在统一业务应用系统中制作的文书是否依照规定使用印章、打印、送达;

(八)是否存在其他不规范制作、使用文书的情形。

Article 9: In terms of case handling time limits, the following content shall be the focus of supervision and inspections:

(一)是否超过法定办案期限仍未办结案件;

(二)中止、延长、重新计算办案期限是否依照规定办理审批手续;

(三)是否依法就变更办案期限告知相关诉讼参与人;

(四)是否存在其他违反办案期限规定的情形。

Article 10: In terms of safeguarding procedural rights, the following content shall be the focus of supervision and inspections:

(一)是否依法告知当事人相关诉讼权利义务;

(二)是否依法答复当事人、辩护人、诉讼代理人;

(三)是否依法听取辩护人、被害人及其诉讼代理人意见;

(四)是否依法向诉讼参与人送达法律文书;

(五)是否依法、及时告知辩护人、诉讼代理人重大程序性决定;

(六)是否依照规定保障律师行使知情权、会见权、阅卷权、申请收集调取证据权等执业权利;

(七)是否依法保证当事人获得法律援助;

(八)对未成年人刑事案件是否依法落实特殊程序规定;

(九)是否依照规定办理其他诉讼权利保障事项。

Article 11: In cases that are to be transferred or remanded, the following content shall be the focus of supervision and inspections:

(一)案卷材料是否齐备、规范;

(二)是否存在审查逮捕案件、审查起诉案件符合受理条件却作出退回侦查机关处理决定的情形;

(三)是否存在审查起诉案件受理后未实际办理却作出退回补充侦查决定的情形;

(四)是否存在审查起诉中违反法律规定程序退回侦查机关处理的情形;

(五)是否存在其他不符合移送、退回要求的情形。

Article 12: In cases that have already been transferred to the people's courts, investigative organs, or returned to the investigative organs for supplemental investigation, the following content shall be the focus of supervision and inspections:

(一)已经作出批准逮捕或者不批准逮捕决定的案件,三日以内是否收到侦查机关的执行回执;

(二)退回补充侦查的案件,一个月以内是否重新移送审查起诉;

(三)提起公诉、提出抗诉的案件,超过审理期限十日是否收到人民法院判决书、裁定书或者延期审理通知。

Article 13: In terms of judicial case handling risk assessment, the following content shall be the focus of supervision and inspections:

(一)对应当进行司法办案风险评估的案件是否作出评估;

(二)对存在重大涉检信访或者引发社会矛盾的风险是否及时向有关部门提示;

(三)对存在办案风险的案件是否制定、落实相应司法办案风险预警工作预案。

Article 14: In terms of the use of unified operational systems, the following content shall be the focus of supervision and inspections:

(一)是否违反规定在统一业务应用系统外办理、审批案件;

(二)在统一业务应用系统上运行的办案进程与实际办案进程是否一致、同步;

(三)是否违反规定修改、删除统一业务应用系统中的案件、线索;

(四)是否依照规定执行相关流程操作;

(五)是否依照规定填录案件信息;

(六)是否依照规定制作、上传、使用电子卷宗;

(七)是否依照规定使用账号、密钥;

(八)是否依照规定对统一业务应用系统用户进行注册、审核、注销及权限分配等系统操作;

(九)是否存在其他违反统一业务应用系统使用管理规定的情形。

Article 15: In terms of case information disclosure, the following content shall be the focus of supervision and inspections:

(一)是否存在应当公开的案件信息被标记为不公开或者未及时办理公开事项的情形;

(二)是否存在不应当公开的案件信息却公开的情形;

(三)对拟公开的案件信息、法律文书是否依照规定进行格式处理;

(四)是否存在其他不符合案件信息公开工作规定的情形。

Article 16: The following methods shall be used to understand the situation and discover problems in carrying out case-flow monitoring of cases being accepted or handled:

(一)审查受理的案卷材料;

(二)查阅统一业务应用系统、案件信息公开系统的案卡、流程、文书、数据等相关信息;

(三)对需要向其他单位或者部门移送的案卷材料进行统一审核;

(四)向办案人员或者办案部门核实情况;

(五)上级人民检察院或者本院检察长、检察委员会决定的其他方式。

对诉讼参与人签收后附卷的通知书、告知书等,应当上传到统一业务应用系统备查。

Article 17: Where the following issues are discovered during case-flow monitoring, it shall be handled according to the following situations:

(一)网上操作不规范、法律文书错漏等违规办案情节轻微的,应当向办案人员进行口头提示,或者通过统一业务应用系统提示;

(二)违规办案情节较重的,应当向办案部门发送案件流程监控通知书,提示办案部门及时查明情况并予以纠正;

(三)违规办案情节严重的,应当向办案部门发送案件流程监控通知书,同时通报相关诉讼监督部门,并报告检察长。

Where violations of discipline or laws are suspected, they shall be transferred to the procuratorate discipline inspection body for handling.

Where it is discovered that the investigative organs or trial organs have handled the case in violation of law, they shall be promptly transferred to the relevant department of that procuratorate for handling.

Article 18: 办案人员收到口头提示后,应当立即核查,并在收到口头提示后三个工作日以内,将核查、纠正情况回复案件管理部门。

办案部门收到案件流程监控通知书后,应当立即开展核查,并在收到通知书后十个工作日以内,将核查、纠正情况书面回复案件管理部门。

办案部门对案件流程监控通知书内容有异议的,案件管理部门应当进行复核,重新审查并与办案部门充分交换意见。 经复核后,仍有意见分歧的,报检察长决定。

Article 19: 案件管理部门应当建立案件流程监控日志和台账,记录每日开展的案件流程监控工作情况、发现的问题、处理纠正结果等,及时向办案部门反馈,定期汇总分析、通报,提出改进工作意见。

Article 20: 案件流程监控情况应当纳入检察人员司法档案,作为检察人员业绩评价等方面的重要依据。

Article 21: 负有案件流程监控职责的人员,应当依照规定履行工作职责,遵守工作纪律和有关保密规定,不得违规干预正常办案活动。 因故意或者重大过失怠于或者不当履行流程监控职责,造成严重后果的,应当承担相应的责任。

Article 22: The Supreme People's Procuratorate is responsible for interpreting these Provisions.

Article 23: These Provisions shall take provisional effect upon release.

 

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