Enforcement Rules of the Control Act

Link to law: http://law.moj.gov.tw/ENG/LawClass/LawAll.aspx?PCode=A0030200

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Chapter I: General Provisions

Article 1

These Enforcement Rules are formulated in accordance with Article 31 of the Control Act (hereinafter referred to as "the Act").

Article 2

The Control Yuan shall formulate implementation measures on the conduct of district circuit supervision by members of the Control Yuan as prescribed in Article 3 of the Enforcement Rules.

Article 3

A member of the Control Yuan shall recuse himself or herself from a case involving the approval or handling of the people's written complaints, investigation cases or examination censure or impeachment cases in any of the following circumstances:
1. The party to the complaint or case is the member or his or her spouse, former spouse, betrothed, blood relative within the fifth degree of kinship, relative by marriage within the third degree of relationship, or previously a kin of such relationship.
2. The member is or has been a legal representative of the party to the complaint or case.
3. The member has adjudicated in civil, criminal or administrative proceedings related to the complaint or case or has served as the agent ad litem or defense attorney of the interested party.
4. There exist any other circumstances that could prevent the member from performing impartially his or her duties of approval, handling, investigation or examination responsibly. A written explanation for recusal in cases referred to in the preceding paragraph shall be submitted to the president of the Control Yuan for determination. In the event that a request for recusal is not made in the any of the aforementioned circumstances, the president of the Control Yuan may render a decision on the recusal.

Chapter II: Power of Impeachment

Article 4

Following a motion of impeachment proposed by a member of the Control Yuan in accordance with provisions of Article 6 and Article 7 of the Enforcement Rules, members of the Control Yuan shall promptly be assigned rotationally by lots to undertake examinations as prescribed in Article 8 and Article 9 of the Enforcement Rules.
Examination of impeachment cases shall be performed by an examination committee formed by thirteen members of the Control Yuan, except in cases where the number of members available for participation on the committee is less than thirteen.
In the event that a member sequentially assigned to serve on the examination committee is recessed by approval of the president of the Control Yuan or has taken leave, the vacancy shall be filled by another member according to the rotational sequence.

Article 5

The Department of Supervisory Operations shall set a date for convening the examination committee in an impeachment case within three days after receiving the case. Members of the committee shall be notified sequentially five days before the date of the meeting. The documents and relevant information on the impeachment case shall be delivered confidentially to the committee members two days before the meeting. Meetings may only be convened with nine or more of the committee members present. The committee meeting shall be chaired by the first sequentially assigned member present.
At least nine examination members shall be present for votes by the examination committee on impeachment cases. The attending members shall vote by secret ballot vote and decisions shall be rendered by agreement of a majority of the voting members.
In the event that the examination committee lacks a quorum of members or a member is absent or withdraws without reason, the vacancies shall be filled sequentially by other members when the committee reconvenes.

Article 6

In the event that a member of the examination committee deems necessary an explanation of the facts or context in the examination of an impeachment case, he or she may request that the initiator of the case be present and provide explanation. The initiator shall leave after answering the questions of the examination committee.
The examination committee may amend the text of an established case of impeachment if deemed necessary.
The initiator of an impeachment case may formally request the retraction of the case prior to examination. The case may not be retracted after the examination committee has been convened.

Article 7

In impeachment cases, the examination committee shall determine whether or not to establish the case under review.
The following resolutions shall be made in impeachment cases where a determination is reached to establish examination:
1. The agency to be served.
2. Whether to notify the superior official in charge to take immediate remedial action.
3. Whether to transfer the case to a law court or court martial for handling.
4. Whether to make a public announcement.
If a determination is made to not establish the examination, a record stating the number of attendees and the results of the vote shall be made and reported to the Executive Yuan.

Article 8

Written decisions to establish examination in an impeachment case shall include the following items:
1. The name and position of the person impeached.
2. The reason for impeachment.
3. The decision on the impeachment case.
4. The date of the drafting of the examination decision.
5. The names of the examination committee members.
6. The signature and seal of the committee chairperson.

Article 9

The initiators of an impeachment case shall be notified of the examination result within three days after the examination committee reaches a decision. If the initiators object to a decision to not establish examination, they may challenge the decision within ten days. In such cases, the Department of Supervisory Operations shall notify the other members to convene a re-examination meeting. Only one objection may be made.
Objections referred to in the previous paragraph shall be made by at least two of the original initiators of the case.

Article 10

The examination committee shall, after deciding to establish a motion of impeachment, notify the disciplinary organ and send a copy of the notification to the superior at the agency of the impeached person.
A motion of impeachment established by a decision of the examination committee shall be announced in a press release and published in the Control Yuan bulletin simultaneously with the sending of notification to the disciplinary organ.

Article 11

Written responses presented by the relevant agencies to the Control Yuan after a motion for impeachment is sent shall be promptly submitted to the members initiating the case. The initiators shall complete their review and ratification within ten days. If the initiators are unable to review and ratify the case, review and ratification may be performed by the chair of the examination committee or a member of the examination committee.

Article 12

If the findings of a disciplinary organ in a case of impeachment transferred by the Control Yuan differ from the circumstances found by the Control Yuan, the disciplinary organ shall promptly request the Control Yuan to convey such notification to the initiators of the case. If the initiators have comments, they shall convey them to the disciplinary organ within ten days of receiving the notification.

Article 13

Cases of impeachment transferred by the Control Yuan that are not settled by the disciplinary organ within three months shall be reported at a meeting of the Control Yuan. The official in charge at the disciplinary organ may be requested by the Control Yuan to submit an interrogatory or undergo interpellation at the Control Yuan.

Article 14

The initiator in a case of impeachment shall be promptly notified for review and ratification after the disciplinary organ serves its resolution to the Control Yuan. If the initiator deems there are legal grounds for reconsideration, the case shall be transferred for reconsideration according to the law. If notification of immediate relief and handling has been made according to provisions in Article 14 of the Control Act, review and ratification shall be completed after the senior replies in writing to the Control Yuan on the handling status of the case. In cases involving criminal responsibility that have been transferred to the said competent court or court martial, review and ratification shall be completed after the said courts notify the Control Yuan of the status on their decision. When deemed proper, a case closing report shall be drafted and submitted to a meeting of the Control Yuan.
If the initiators feel that further examination is needed, the Control Yuan shall submit a written request to the relevant authorities to conduct an inquiry. Alternatively, the initiators may directly investigate the case. When deemed proper, a case closing report shall be drafted and submitted to a meeting of the Control Yuan after conducting the inquiry or investigation.

Chapter III: Power of Censure

Article 15

Examination of censure cases shall be performed by an examination committee formed by five members of the Control Yuan. The committee may only perform examinations with at least three members present.

Article 16

The superior or official in charge of a person censured shall take action within one month of receiving the written censure, as prescribed in Paragraph 1, Article 19 of the Public Functionaries Discipline Act. If action is not taken within one month and no justification is presented, the case shall be handled pursuant to Article 13 of the said Act.
If a person censured has the rank of selected appointment or is equivalent to or above the rank of selected appointment, his or her superior or official in charge shall take action according to the first section of Paragraph 1, Article 19 of the Public Functionaries Discipline Act and shall not directly submit the censure case to the Committee for the Disciplinary Sanctions of Functionaries.

Article 17

Provisions of paragraph 1 and 3 of Article 4, Article 5, Article 6, Article 7, Article 8, Paragraph 1 of Article 9, Paragraph 2 of Article 10, Article 11 and Article 14 shall be applicable mutatis mutandis to a censure case.

Chapter IV: Corrective Measures

Article 18

The relevant committees shall review and render a decision on proposals by the Control Yuan for corrective measures to the Executive Yuan and its subordinate agencies as stipulated in Article 24 of the Act.
If a committee deems, upon review of investigation reports in which corrective measures were not proposed or the investigation documents submitted in entrusted investigations, that a proposal for corrective measures is necessary, it shall nominate an examination member or other member to make the proposal.

Article 19

The relevant committees shall decide in conference whether a corrective measure shall be announced and served to an agency.

Article 20

If the Executive Yuan or its subordinate organ has not replied on the facts of improvements made and actions taken within two months of receiving the corrective measures, the relevant committee should convene for discussion and, by resolution, may submit written questions or notify the officials in charge at the Executive Yuan or its subordinate organ executives to submit to questioning at the Control Yuan.

Article 20-1

Circumstances in which the Executive Yuan or its subordinate organ has not replied to the corrective measures as prescribed in Article 25 of the Rules shall be handled in accordance with the provision of the previous article. In cases where the improvements or actions have been perfunctory, irresponsible, delayed or inappropriate, or where it is found upon inquiry that effective improvements have not been made or that incidents of the same nature have re-occurred after the improvements are made, the superior official in charge may be handled in accordance with Articles 6 and 19 of the Rules after substantiation by investigation.

Article 21

Upon receiving the reply by the Executive Yuan or its relevant subordinate organs on the improvements made or actions taken on the corrective measures, the relevant committee shall transfer the reply to the initiating members for attestation and comment and then convene a meeting for discussion. If the initiating members do not provide attestation or comment within one month, the committee may handle the case directly. When deemed appropriate following examination, the committee may resolve to draft a case closing report and submit it to the Control Yuan meeting.
If the committee deems that further examination is needed, it may resolve to have the Control Yuan issue a written inquiry to the relevant authorities or assign committee members to conduct an investigation. If the case is deemed appropriate after the inquiry or investigation, the committee shall resolve to draft a closing report and submit it to the Control Yuan meeting.

Article 22

Provisions in Paragraph 2 of Article 10 shall apply mutatis mutandis to corrective measures.

Chapter V: Investigation

Article 23

The following provisions shall be followed in the handling of investigations by members of the Control Yuan into the matter of appeal in people's written complaints and cases in which a member has been nominated and appointed to conduct an investigation by resolution of the Control Yuan meeting or its committees:
1. Members of the Control Yuan shall be assigned rotationally by lots to undertake examinations. A member may not decline the duty of examination except when provisions call for recusal due to conflict of interest. Where there is cause for recusal from an examination, another member shall be assigned rotationally to serve.
2. The assignment of members to investigate a case by a meeting of the Control Yuan or committee meeting shall be regarded as being the same as rotational assignment. Cases in which a member is not assigned for investigation shall be handled in accordance with the provisions of the preceding paragraph.
3. Committees may form an investigation task force composed of two to three appointed members for investigations on the administrative work or facilities as prescribed in Article 24 of the Act. The assignment of members in such cases shall be regarded as being the same as rotational assignment.
4. If a member of the Control Yuan investigating a case is for some reason unable to personally perform the investigation and the investigation is conducted jointly with other members, the other members shall continue the investigation. If there are no other members party to the investigation, other members shall be assigned to continue the investigation according to provision in the first paragraph.

Article 24

Members of the Control Yuan who investigate a case on their own initiative shall first register with the Department of Supervisory Operations. The Department of Supervisory Operations shall ascertain whether or not the Control Yuan has assigned investigators or members have self-initiated investigation on the same case and then notify the member making the new registration. If investigators have been assigned or a member has registered an investigation, a request for joint handling shall be submitted to the investigating members.
Applications for self-initiated investigation of cases referred to in the previous paragraph shall be made by one to three members jointly. The president of the Control Yuan may, according to the report submitted by the applying members, dispatch members with relevant expertise and inclination to accompany the investigation.
Applications for self-initiated investigations shall be suspended for members who have investigated twenty or more cases without presenting an investigation report.

Article 25

The heads of organizations referred to in Article 26 of the Act refer to the officials in charge at the said organization.

Article 26

If it is determined that the details of a case under investigation by members of the Control Yuan are related or the same, a request for approval shall be submitted to the president of the Control Yuan and the investigation shall be conducted by the member who was first to investigate. In special cases, the president of the Control Yuan may request a joint decision by the investigating members.

Article 27

Investigations shall not be terminated if the person investigated in an investigation case is under criminal investigation or trial for the same actions. Investigation may be terminated when deemed necessary to determine administrative responsibility of the defendant based on whether or not guilt is established.
Investigations of personnel in charge in a case under investigation or trial and matters related to the case shall be avoided to the extent possible during the period of undertaking. However, when it is deemed that the personnel in charge has committed a serious act of corruption, malfeasance or violation of human rights and immediate investigation is needed, investigation may be conducted in consideration of the circumstances.

Article 28

Impairment of the national interests as referred to in Article 27 of the Act means harm to national defense or diplomatic secrets.

Article 29

Agencies entrusted to conduct investigation according to Article 30 of the Act shall promptly conduct the investigation and submit a written response on its findings to the Control Yuan. The Control Yuan may send a written demand for response if no response is received within two months.

Article 30

Investigation reports shall be submitted to the president of the Control Yuan for review. However investigation cases motioned by members shall be reviewed by them before submission.
Investigation reports shall be turned over to the relevant committees for handling after review by the president of the Control Yuan. In cases where the meeting of the Control Yuan has resolved to conduct an investigation, the committees shall report the results of their handling to the Control Yuan meeting.
Documents on the investigation findings in cases of investigation entrusted to other organs shall, except when the committee has resolved to handle the case, be endorsed and commented on by the Department of Supervisory Operations and submitted to the approving members or member on duty for review and handling.

Article 31

In cases of impeachment, censure or corrective measures that are not established after investigation, the original investigators, plaintiffs or stakeholders can apply for review.
The deadline for review applications shall be three years from the date that the Control Yuan issued notification of the investigation results. In cases where notification has not been made according to provisions, the deadline shall be calculated from the date that the investigation report was presented.

Article 32

The original investigators may apply for review only if new facts or new evidence found is sufficient to determine that the defendant should bear responsibility for a violation.

Article 33

A plaintiff or stakeholder may apply for a review in any of the following circumstances:
1. New facts or new evidence found is sufficient to overturn or bring into question the facts of the original investigation decision.
2. The original investigator has failed to consider important evidence relating to the case.
3. There are clear errors in the statutes applied in the original investigation opinion.

Article 34

The relevant committees shall handle applications for case review and the re-inspection report. However, in cases where a meeting of the Control Yuan has resolved to investigate, the results of the committee's handling of the investigation shall be submitted to the Control Yuan meeting.
Only one review is allowed per case. At least two members shall conduct the review. The original investigating members may not participate in the review but may submit written opinions.

Article 35

If original investigators or two or more members of the Control Yuan deem that review is necessary in cases where an application for case review exceeds the deadline stipulated in Paragraph 2, Article 31 or does not correspond to circumstances stipulated in Article 33, they may submit, once per case, a written explanation of the reason to the president of the Control Yuan for approval. If approved, the case shall be submitted to a review committee to render a decision on the review.
The review committee referred to in the preceding paragraph shall be formed by seven members of the Control Yuan chosen sequentially by lots, excluding members who initiated the case. The first member thus appointed shall serve as the chairperson of the committee. Reviews may only be conducted when at least two-thirds of the committee members are present at the committee meeting. Decisions shall be made by agreement of a majority of the attending members through a secret ballot vote.
When the review referred to in the preceding paragraph results in a determination to conduct a re-examination, members shall be assigned to conduct an investigation as stipulated in Paragraph 2, Article 34 and a re-examination report shall be prepared according to provisions in Paragraph 1, Article 34.

Chapter VI: Supplementary Provisions

Article 36

The Enforcement Rules shall take effect on the date of promulgation.