Thông tư 14/2011/TT-BNV

CIRCULAR

DEFINING MANAGEMENT OF RECORDS, DOCUMENTS FORMED IN THE OPERATION OF THE PEOPLE'S COUNCILS AND PEOPLE’S COMMITTEES OF COMMUNES, WARDS, TOWNSHIP

Pursuant to Decree No.48/2008/ND-CP dated April 17, 2008 of the Government regulating functions, duties, powers and organizational structure of Ministry of Home Affairs;

Pursuant to the National Archives Ordinance on April 04, 2001;

Pursuant to Decree No.110/2004/ND-CP dated April 08, 2004 by the Government on clerical work;

Pursuant to Decree No.09/2010/ND-CP dated February 08, 2010  of the Government amending and supplementing some Articles of Decree No.110/2004/ND-CP dated April 08, 2004 of the Government on clerical work;

Pursuant to Decree No.111/2004/ND-CP dated April 08, 2004 of the Government detailing the implementation of some Articles of the Ordinance on National Archives;

Pursuant to Circular No.02/2010/TT-BNV dated April 28, 2010 of Ministry of Home Affairs guiding functions, duties, powers and organization of the archive organizations of Ministries, ministerial agencies, Governmental agencies and People's Committees at all levels;

Ministry of Home Affairs provides for the management of records and documents formed in operation of the People's Councils and People's Committees of communes, wards and townships as follows:

Chapter 1.

GENERAL PROVISIONS

Article 1. Scope and subjects of governing

This Circular provides for the principles, contents and liability regime for the management of records and documents formed in operation of the People's Councils (HDND) and People's Committees (UBND) of communes, wards and townships (referred collectively to as commune level).

Article 2. Interpretation of terms

1. Records, documents formed in operation of the commune-level HDND and UBND consists of records, documents of building legal documents, administrative documents and records and documents of organizations, unions of commune level.

2. Archived documents stored in the Archives of communal People's Committees are the valuable documents of politic, economy, culture - society, education, national defense, security, science and technology to be chosen the entire block of materials formed in the operation of the commune level HDND and UBND over the historical periods.

Archived documents stored in the Archives of commune-level People's Committees are the originals or copies of the same value with the originals.

3. The management of records and documents at the Archives of commune-level People's Committees include the works on management of sent-out and sent-in documents; filing records, documents, delivery and submission of records and documents to the Archives of commune-level People's Committees; collection, adjustment, valuation of documents; preservation and organization of the use of the materials formed in the operation of the commune level HDND and UBND.

Article 3. Principles of management of records, documents

Materials formed in the operation the commune level HDND and UBND must be centrally managed at the Archives of commune-level People's Committees. The professional activities of the archival work of collection; adjustment and valuation of documents; statistics; preservation and use of documents must be made uniform by the provisions of this Circular and the current law.

Article 4. Responsibility for management of records, documents

1. Responsibilities of the Chairmen of commune level People's Committees
Chairmen of commune-level People's Committees are responsible for managing records, documents formed in the operation of the commune level HDND and UBND and directing the implementation of the State’s regulations on clerical work their respective localities.

2. Responsibilities of the chairmen of commune-level People's Councils

The chairmen of commune-level People's Councils are responsible for directing the management of records, documents formed in the operation of the HDND according to the Regulation of clerical work of the commune level HDND and UBND.

3. Responsibilities of public employees working in clerical work at commune-level People's Committees.

Public employees doing clerical work at commune-level People's Committees are responsible for the implementation of the tasks specified in Article 5 of this Circular before the Chairmen of the commune-level People's Committees.

4. Responsibility of officials, civil servants and those who do not work specialized and responsible activities at the commune level.

Officials, civil servants and those who do not work specialized and responsible activities at the commune level, in the process of tracking, handling of affairs shall implement the provisions of this Circular and other provisions of law on the work of archives.

5. Prohibited the seizure, illegal destruction, damaging of records, archives, or archives usage for purposes contrary to the interests of the State, legitimate rights and interests of organizations and individuals.

Article 5. The duties of public employees doing clerical work in the commune-level People's Committees

Public employees doing clerical work in the commune-level People's Committees are responsible for:

1. To advise the chairmen of commune-level People's Committees in performing the State management of clerical work in commune-level People's Committees to ensure consistency in management according to specialized section.

2. To advise the chairmen of commune-level People's Committees in the management of records and documents of the commune level HDND and UBND.

3. To manage sent-out and sent-in documents; records and documents in the Archives of commune level; to guide officials and civil servants of commune-level People's Committees on the compilation of work records; to organize, arrange systematically and preserve records, documents safely for long service to the work of the commune level HDND and UBND.

4. To serve the needs of operation, use of records, archives of organizations and individuals

Chapter 2.

MANAGEMENT OF RECORDS, DOCUMENTS FORMED IN THE OPERRATION OF PEOPLE’S COUNCILS AND PEOPLE’S COMMITTEES OF COMMUNE-LEVEL

SECTION 1. MANAGEMENT OF SENT-OUT AND SENT-IN DOCUMENTS

Article 6. Management of sent-out and sent-in documents

1. Management of sent-in documents

All sent-in documents from any source must be centrally managed and unified in the Archives of the commune level HDND and UBND. Archives of the commune level HDND and UBND shall receive, register the sent-in documents to present the chairmen of the commune level HDND and UBND (or people assigned duties) to collect consultation for distribution of documents and forward scripts to the departments or individuals who are assigned duties of handling, ensuring accuracy and keeping secret of documents' contents. The documents sealed express, urgency must be registered, submitted, and forwarded as soon as received.

2. Sent-in documents are registered in the registration book of sent-in documents or the document management software on the computer.

3. Archives of the commune level HDND and UBND make the following registration books of sent-in documents:

- Registration books of sent-in documents of the agencies and organizations;

- Registration books of applications, letters of complaints and denunciations;

- Registration books of sent-in confidential documents.

Where the document management is conducted by software programs on computer, the registration to implement is under instructions of using software program. Separately, confidential documents are registered in the books or computers not being connected network.

Article 7. Sent-out document management

1. Public employees doing clerical work in the commune level HDND and UBND must check formality, forms and techniques to present the administrative document before it is issued; record serial number and symbol and date of the document ; seal and stamp express, confidentiality (if any). Sent-out documents must be completed clerical procedures and delivered promptly within the date documents are signed, no later than the next working day.

2. Sent-out documents must be registered in the registration book of sent-out documents or used document management software on the computer.

Archives of the commune level HDND and UBND make the following registration books of sent-out documents:

- Registration books of legal documents and particular decisions;

- Registration books of the remaining administrative documents;

- Registration books of confidential documents.

Where management of sent-out documents is conducted by software programs on your computer, the registration to implement is under instructions of using software program. Separately, confidential documents are registered in the books or computers not being connected network.

Article 8. Management of confidential documents

Documents, materials containing contents of state secrets (hereinafter referred to as confidential documents) are registered, managed in accordance with provisions of current legislation on protection of state secrets.

Based on the list of State secrets that have been decided by competent authorities, the Chairmen of commune-level People's Committees specify type of documents containing contents of state secrets at the levels of confidentiality, strict confidentiality, and absolute confidentiality.

On envelop of confidential documents stamped symbols: The confidential document is stamped "C"; strictly confidential document is stamped "B"; absolutely confidential documents is stamped "A ". Confidential documents sent directly to the responsible persons are stamped "Only the person to be named are allowed to open envelop."

Envelop of confidential documents are made of paper that is tough, hard to absorb water, may not see through; as needed to seal the envelop according to regulations; with means of transportation to ensure safety in all circumstances; in case of necessary,  to arrange the personnel to protect the transportation of confidential documents.

All cases of delivery, receipt of confidential documents between the concerned people must be recorded in the book, with signatures of deliverer and recipient.

In the case of transmission of state secrets contents by means of telecommunications and computers, the contents of state secrets must be encrypted in accordance with provisions of the law on cipher.

Article 9. Mode of archiving documents

Each sent-out document must be archived two originals in Archives of the commune level HDND and UBND and 01 original archived in the work profile of officials and public employees who directly handle the job.

The archived sent-out documents in Archives of the commune level HDND and UBND must be stamped and arranged in order of registration.

SECTION 2. COMPILATION OF RECORDS AND DELIVERY, SUBMISSION OF RECORDS IN ARCHIVES OF THE COMMUNE LEVEL HDND AND UBND

Article 10. Compilation of records and requirement for documents to be made

1. The contents of the compilation of records

a) Opening of records

Based on the list of records issued by the commune-level People's Committee, duties of officials, civil servants and actual works assigned, public employees doing clerical work in commune-level People's Committee guide the officials and civil servants to prepare cover, write the title of records to make record.

b) Collection of documents, materials in profile

In the process of handling affairs, officials and public servants must collect all the documents, papers and other materials relevant to the work needed to make record in profile.

The documents in profile must be sorted in the order of time or happening of affairs, reflected the proper content of work that has taken place.

c) The end of record

When the affair is solved completely, the record shall be ended, officials and public servants are responsible for making record must review and supplement the missing documents, papers and removing the redundant duplicate documents, the drafts, the documents, books unnecessary in the profile.

2. Requirements for each record to be made

a) Record to be made must reflect the proper functions and tasks of HDND and UBND, proper tasks that officials and public employees are assigned to solve;

b) The documents and materials collected in the record must have a close relation to each other and reflect the proper order, happening of the matter or order to resolve the matter.

3. Responsibility for the compilation of record

a) Chairmen of commune-level People's Committees are responsible for managing, directing the compilation of records according to current regulations of the State;

b) Public employees doing clerical work in commune level People's Committees shall advise the Chairmen of the commune level People's Committees in the management and direction of the compilation of records; monitor and guide the compilation of records and deliver, submit records, documents in Archives of commune level People's Committees under the current regulations of the State.

c) The officials and public employees of commune-level HDND and UBND in the process of monitoring, handling the job must make the work profiles.

Article 11. Delivery, submission of records, documents in archives of commune-level People's Committees.

1. The time limit for submission

a) Administrative documents after 01 year from the end of work;

b) Basic construction materials after 03 months since the work has been settled;

c) Documents of films, images, sound recordings, video recordings after 03 months from ending of the jobs.

2. Procedures for submission

When departments or individuals of officials and public servants hand over records and documents in the Archives of commune level People's Committees shall make 02 copies of the index of records, documents handed in for archiving.

Public employees doing clerical work in commune level People's Committees make in 02 copies of minute of delivery and receipt of documents.

The deliverer and recipient keep 01 copy for each party.

3. Responsibilities of the departments, officials and civil servants

The departments, officials, public employees must deliver, submit records, documents in the Archives of commune level under the time limit specified in clause 1 of this Article.

Where the departments, officials and civil servants need to retain records and documents that come due to hand in for archiving, they must make a list to send to Archives of commune level, but this retaining is not more than 02 years.

The leaders of commune-level HDND and UBND, civil servant before transfer of their jobs, resignation, and retirement must hand over records and documents to the departments or his successor. Not to appropriate records and documents for personal purposes, take home or to other agency or unit. The handover of records and documents to Archives of commune level must be made in writing.

Section 3. COLLECTION AND SUPPLEMENTATION, PRESERVATION OF DOCUMENTS

Article 12. Collection and supplementation of documents

Every year, public employees doing clerical work in commune level People's Committees are responsible for guiding the departments and individuals to prepare records and documents required to be filed; and organize the collection of records and documents come due for handing in to the Archives of commune level.

Chairmen commune level People's Committees direct the departments and individuals, to hand in records and documents come due for handing in to the Archives of commune level.

Article 13. The sources handed in for archiving and composition of materials necessary to collect, supplement

1. The sources handed in for archiving

a) The superior authorities;

b) Leaders of the commune-level HDND and UBND: Chairman, Vice Chairman;

c) The departments, officials and civil servants in charge of the professional sectors;

d) The organizations, unions at commune level.

2. Composition of materials necessary to collect, supplement to the Archives of commune level

a) The block of documents of commune-level People's Council

- The records, documents of election of People's Council;

- The records, documents of regular and irregular meetings;

- The records, documents on the surveillance activities of the People's Council and representatives of People's Council;

- The documents on the reception of people;

- Other documents.

b) The block of documents of commune-level People's Committee

 - The general documents on the leadership and direction;

- Documents of Office - Statistics;

- Documents of the Public Security;

- Documents of Military;

- Documents of justice - civil status;

- Documents of administration - construction;

- Documents of finance - accounting;

- Documents of culture - society;

- Other documents.

c) Records and documents of the organizations, unions at commune level.

Article 14. Preservation of archives

1. Archives of the commune level should be protected and safely preserved in the Archives.

2. Warehouse of preserving archives must meet the conditions of the protection and safe preservation of documents and information of archives.

a) Rooms, storages of preserving archives must be arranged independently in the offices of commune level People's Committees with a minimum area of ​​20m²;

b) The location of the storages must be protected from moisture or avoided directly affecting by sunlight;

c) The storages must be ensured firmly not be broken into; not affected by storms, flooding and not be destroyed by insects;

d) The storages must be ensured clean and equipped with ventilation;

đ) The storages must be equipped with shelves, cardboard, boxes, briefcases to preserve documents;

e) The storages must be equipped with adequate facilities and equipment for fire prevention and fighting.

3. It must perform storage sanitary mode; implement and maintain the measures to prevent the damage of documents by insect.

Article 15. Document management upon splitting, separation, merger of commune level administrative units

1. When splitting commune level administrative units into new commune-level administrative units, the certain communes receive former headquarters, such communes shall continue to manage existing records and documents of the communes to be separated.

2. When adjusting a commune-level administrative unit of one district to another for management.

a) If the commune is adjusted from one district to another for management but still remains the former communal administrative unit, the management of the documents of the commune does not change;

b) When adjusting a part of natural area and population of a commune for another commune to manage, the entire records and documents on the area and population to be adjusted to the time to be adjusted shall be continued to manage by the former commune.

3. Upon merging (or consolidation) a number of communes into new commune

The existing records, documents of the former communes shall be sent to the new commune for focused preservation.

Article 16. Mode of statistical reports, inventory

1. Every year, commune level Archive must make periodic statistics on documents archived, document storage facilities and the exploitation of documents archived.

2. Data of annually periodic storage statistics is calculated from 0 hour on January 01 to 24 hours on December 31 (according to forms in Decision No.13/2005/QD-BNV on 06/01/2005 of the Ministry of Home Affairs).

3. Statistical Reports of the commune level People's Committees must be sent to the district-level departments of home affairs in accordance with provisions.

4. Period Inventory mode

Archives of commune level must organize to periodically inventory once every year on 31/12 every year.

SECTION 4. REVISION, VALUATION OF DOCUMENTS AND INVALID DOCUMENT DESTRUCTION

Article 17. Revision of the documents

1. Documents before being stored in the repository must be revised. Public employees doing clerical work in commune level People's Committees are responsible for the guiding the revision of documents for officials, civil servants of commune level HDND and UBND.

2. Documents after being revised must meet the following requirements:

a) Classified and formed a complete profile;

b) Determined the preservation period for records, documents;

c) Systemized the records and documents;

d) Made index for records and documents;

đ) Made the list of invalid documents and eliminated for destruction.

Article 18. Determination of the value of documents

1. Valuation Council of documents

a) Attendants of Valuation Council of documents include:

- Vice Chairman of commune level People’s Committee in charge of office - statistics, Chairman;

- Public employees doing clerical work in commune level People's Committee, member (acting as secretary of the Council);

- Public servants having the documents or of the divisions having documents, member.

b) Duties of the valuation Council of documents

Valuation Council of documents shall advise the Chairman of commune level People's Committee to decide on composition of records and documents retained for preservation and invalid documents.

2. The valuation of documents must meet the following requirements

a) To valuate documents required for permanent storage and for preservation with a term calculated equal to the number of years;

b) To valuate invalid documents required to be eliminated for destruction.

Article 19. Destruction of invalid documents

1. Verification of all invalid documents before destroying them.

District level department of home affairs verifies all invalid documents of commune level.

2. Competence to decide on the destruction of invalid documents

Chairmen of commune level People’s Committees make decision on destruction of invalid documents after consulting the written verifications of the district level departments of home affairs on the List of records, documents retained and the List of invalid documents.

3. The process of destruction of documents

a) Valuation Council of documents reviews the List of invalid documents and the explanation of invalid documents (presented by Archives of the People's Committee or documents revision unit); if necessary, it must compare with List of records, documents retained;

b) To complete the List of invalid documents and dossiers submitted to the chairmen of commune-level People's Committees for consideration;

c) To conduct procedures to request for verification of invalid documents;

d) Based on the evaluation opinions of the district level departments of home affairs, to complete dossiers to submit to the chairmen of commune-level People's Committees for issuing the Decisions to destroy invalid documents;

đ) To organize the destruction of invalid documents;

e) To make and archive into record of the destruction of invalid documents.

4. Organization of the destruction of invalid documents

a) To pack invalid documents;

b) To make minutes of handing over all invalid documents between the persons ​​doing clerical work in the commune level People’s Committees (Archives manager) and those who made the destruction of invalid documents;

c) To carry out the destruction of invalid documents: This can be done at the head offices of the commune-level People's Committees or may be transferred to the establishments of producing paper for recycling;

d) To make minutes of the destruction of invalid documents.

5. Records of the destruction of invalid documents

a) A statement on the destruction of invalid documents;

b) A list of invalid documents and an explanation on the valid documents;

c) Minutes of meetings of the Valuation Council of documents;

d) An official dispatch from the district level department of home affairs on the verification of invalid documents;

đ) A Decision of the chairman of commune-level People's Committee on permitting the destruction of invalid documents;

e) A minute of handover of invalid documents;

g) A minute of the destruction of invalid documents;

h) Decision on the establishment of valuation Council of documents (if not yet established the Valuation Council of documents);

i) Other relevant documents.

Records of the destruction of invalid documents ​​must be preserved in the Archives of commune level for a period of at least 20 years from the date of destruction of the documents.

SECTION 5. ORGANIZATION OF OPERATION AND USE OF ARCHIVES

Article 20. Organization of the operation and use of documents

1. Objects of the operation and use of documents.

Archived documents of the commune-level People's Committees are used to serve the needs of officials, civil servants of commune-level People's Committees and the legitimate needs of agencies, organizations, and individuals. Public employees doing clerical work in commune level People's Committees are responsible for directly serving the needs of operation and use of documents to be preserved in the Archives of commune level.

2. Procedures of operation, use of the documents preserved in the commune level Archives

To be prescribed by Chairmen of the commune level People’s Committees.

3. Units and individuals using archived documents must strictly observe the regulations on information security and keep documents safely.

Article 21. Competence to permit use of documents and copy, photocopy of documents

1. Chairmen of commune-level People's Committees permit the use and copy of archives preserved at the Archives of commune level.

2. The copy, photocopy of documents must be made directly by the public employees doing clerical work in commune level People's Committees.

Article 22. Issuance of copies, certification of archives

Readers wishing for issuance of copies, certification of documents archived must conduct procedures in accordance with provisions of the commune level People's Committees. Chairmen of commune-level People's Committees review and approve the issuance of copies, certification of archives.

Article 23. Collection, remittance of charges of operation and use of archives

The regime of collection, remittance of charges of operation and use of archives complies with the provisions of the Finance Ministry.

Chapter 3.

EFFECT, RESPONSIBILITY FOR IMPLEMENTTION

Article 24. Effect

This Circular takes effect 45 days from date of issuance.

Article 25. Responsibility for implementation

People's Councils and People's Committees of provinces and centrally-run cities are responsible for organizing the implementation of this Circular./.