Decree No. 01/2013/ND-CP detailing the implementation of certain provisions of the Law on Archives

DECREE

Detailed implementation regulations for certain provisions of the Archives Law

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Pursuant to the Law on Organization of the Government dated December 25, 2001;

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

||| Based on the proposal of the Minister of Home Affairs;

The Government promulgates the Decree providing detailed implementation regulations for certain provisions of the Archives Law,

Chapter

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Decree provides detailed regulations on: Management of electronic archival documents; deadlines for submitting archival documents of the Public Security, Defense, Foreign Affairs sectors and other sectors to Historical Archives; special cases when using archival documents related to individuals and the authority, procedures for issuing and revoking the Archival Practice Certificate.

Article 2. Interpretation of Terms

In this Decree, the following terms are understood as follows:

1. An electronic dossier is a collection of related electronic documents concerning a specific issue, event, object, or having common characteristics, formed during the process of monitoring and resolving tasks within the scope of functions and responsibilities of agencies, organizations, and individuals.

2. Creating an electronic dossier is the application of information technology to link electronic documents formed during the process of monitoring and resolving tasks of agencies, organizations, and individuals into an electronic dossier.

3. Input data is information describing the characteristics of documents such as content, author, time, format, quality, conditions, and other features to facilitate the processes of collecting, preserving, searching, accessing, managing, and storing data.

4. Professional technical documents are technical and operational documents formed during the process of resolving tasks to serve daily professional activities of agencies and organizations.

5. The Archival Practice Certificate is a document confirming professional competence issued by a competent state agency to individuals who meet the required professional qualifications, experience, and conditions stipulated by law to provide archival services.

Chapter

MANAGEMENT OF ELECTRONIC ARCHIVAL DOCUMENTS

Article 3. Determining the value of electronic archival documents

1. Electronic archival documents are determined in value according to the principles, methods, and standards for determining the content value of documents on other information carriers and must satisfy the following requirements:

a) Ensuring the reliability, integrity, and authenticity of the information contained in the electronic document from its initial creation as a complete data message;

b) The information contained in the electronic archival document can be accessed and used in a complete form.

2. Electronic archival documents meeting the conditions specified in Clause 1 of this Article shall have the same value as original documents.

Article 4. Electronic archival documents formed during the operation of agencies and organizations

1. Electronic archival documents formed during the operation of agencies and organizations must be filed, selected, and preserved according to archival practices and information technology techniques in the electronic document management system.

2. The electronic document management system must ensure technical requirements for electronic archival documents to maintain authenticity, integrity, consistency, information security, and immediate accessibility from the moment they are created.

3. The Ministry of Home Affairs and the Ministry of Information and Communications shall specify basic functions; procedures for exchanging, storing, and processing electronic documents; responsibilities of agencies, organizations, and individuals in handling tasks within the electronic document management system.

Article 5. Electronic archival materials formed from digitizing archival materials on other storage media

1. Electronic archival materials formed from digitizing archival materials on other storage media must meet the input data information standards. Agencies, organizations, and individuals may not destroy archival materials with permanent preservation value after such materials have been digitized.

2. Agencies and organizations are responsible for using digital signatures for digitized materials.

3. The digital signature of agencies and organizations must comply with the requirements of the law on electronic transactions.

Article 6. Input Data Information Standards

1. Input data information must be uniform and consistent with technical standards for information technology and archival operations.

2. The Ministry of Home Affairs shall guide the input data information standards for electronic archival materials.

Article 7. Collection of Electronic Archival Materials

1. In cases where electronic archival materials and paper archival materials contain identical content, both types should be collected.

2. When transferring electronic archival materials, the Agency Archive and Historical Archive must verify the authenticity, integrity, and accessibility of the records. Records must ensure content, structure, and context of formation, and be protected to prevent damage, destruction, alteration, or loss of data.

3. The collection of electronic archival materials into the Agency Archive is carried out according to the following procedure:

a) The Agency Archive notifies the unit submitting the materials of the Record Submission List;

b) The Agency Archive and the unit submitting the materials agree on requirements, means, structure, and format for transfer;

c) The unit or individual submitting the records and accompanying metadata;

d) The Agency Archive checks to ensure that the received records are complete and correct according to the List; the agreed form and structure; accurately links metadata with the records; virus checking;

đ) The Agency Archive transfers the records into the agency's electronic archival material management system and implements backup measures;

e) Establish a record of the submission of electronic archival materials into the Agency Archive.

4. The collection of electronic archival materials into the Historical Archive is carried out according to the following procedure:

a) The Historical Archive and the Agency Archive agree on the Record Submission List, requirements, means, structure, and format for transfer;

b) The Agency Archive submits the records and accompanying metadata;

c) The Historical Archive checks to ensure that the received records are complete and correct according to the List; the agreed form and structure; accurately links metadata with the records; virus checking;

d) The Historical Archive transfers the records into the Historical Archive's electronic archival material management system and implements backup measures;

đ) Establish a record of the submission of electronic archival materials into the Historical Archive.

5. Agencies, organizations, and individuals may only destroy records and electronic archival materials after successful submission and verification and confirmation by the Agency Archive or Historical Archive.

6. Technical standards during the submission and collection of electronic archival materials between the Agency Archive and Historical Archive must be implemented according to the data exchange standards prescribed by law.

Article 8. Preservation of Electronic Archive Documents

1. Electronic archive documents must be securely preserved and converted using appropriate technology.

2. Administrative archives and historical archives must regularly check and back up to ensure the safety, integrity, and accessibility of electronic archive documents, and use technical measures to facilitate classification and storage without altering the content of the documents.

3. The media for storing electronic archive documents must be kept in suitable storage environments.

4. The Ministry of Interior shall provide detailed regulations on the requirements for preserving electronic archive documents.

Article 9. Utilization of Electronic Archive Documents

1. The authority to permit reading, copying, and certifying electronic archive documents is carried out similarly to that for archive documents on other information carriers.

2. Agencies and organizations have the responsibility to publish information about procedures, formalities, and costs for utilizing electronic archive document services on their official websites.

3. Encouragement is given to the implementation of online services for utilizing electronic archive documents.

4. Storage media for electronic archive documents listed in the restricted-use document directory shall not be connected or used on wide-area networks.

Article 10. Ensuring Safety and Security of Electronic Archive Documents

1. Agencies and organizations have the responsibility to periodically inspect and ensure the safety of the electronic document management system.

2. Agencies and organizations shall implement appropriate security, safety, and confidentiality measures in accordance with legal provisions for managing electronic archive documents.

Article 11. Disposal of Expired Electronic Archive Documents

1. Expired electronic archive documents shall be disposed of according to the authority and procedures applicable to expired archive documents on other information carriers.

2. The disposal of electronic archive documents must be carried out for all files within the approved list of expired documents, and it must ensure that the destroyed information cannot be recovered.

Article 12. Prohibited Acts

1. Unauthorized access, alteration, forgery, copying, disclosure, transmission, or destruction of electronic archive documents.

2. Creating or disseminating software programs that disrupt, alter, or destroy operating systems or engage in other acts aimed at damaging electronic document management facilities.

Article 13. Responsibilities for Managing Electronic Archive Documents

1. The Ministry of Home Affairs is responsible for:

a) Developing strategies, programs, plans, projects on the application of information technology to ensure unified management of electronic archive documents within the scope of authority.

b) Drafting, submitting to competent authorities for issuance, or issuing within the scope of authority regulations, requirements, principles, standards, and methods for storing electronic documents.

2. The head of agencies and organizations has the responsibility to direct the implementation of electronic archive document management in accordance with legal provisions.

3. Archivists have the responsibility to advise and propose to the heads of agencies and organizations to comply with legal provisions regarding the archiving of electronic documents.

4. Units or departments specialized in information technology of agencies and organizations have the responsibility to advise and propose to the heads of agencies and organizations on the application of information technology for managing electronic archive documents and to implement technical measures to maintain the operation of the agency's electronic document management system.

5. Individuals directly overseeing and resolving tasks have the responsibility to comply with regulations on creating, managing, and filing electronic records during the process of overseeing and resolving tasks and submitting electronic files and documents to administrative archives.

6. Historical archives have the responsibility to carry out archival operations on electronic archive documents in accordance with legal provisions on archiving.

Chapter

DEADLINE FOR SUBMITTING THE ARCHIVE DOCUMENTS OF THE PUBLIC SECURITY, NATIONAL DEFENSE, FOREIGN AFFAIRS SECTORS AND OTHER SECTORS TO HISTORICAL ARCHIVES

NGOẠI GIAO VÀ CỦA NGÀNH KHÁC VÀO LƯU TRỮ LỊCH SỬ

Article 14. Time limit for submitting archival materials of public security, defense, and foreign affairs sectors

1. Archival materials with permanent preservation value of the public security, defense, and foreign affairs sectors must be submitted to the Historical Archives within thirty years from the year the work ends, except for archival materials that have not been declassified or archival materials necessary for daily business operations.

2. The Ministry of Public Security, the Ministry of Defense, and the Ministry of Foreign Affairs shall be responsible for specifying the preservation period of sectoral documents after reaching a consensus with the Ministry of Home Affairs; coordinating the selection of archival materials with permanent preservation value that have reached the submission deadline and transferring them to the competent Historical Archives according to the provisions of the Law on Archives.

Article 15. Time limit for submitting specialized professional archival materials of other sectors

1. Specialized professional archival materials with permanent preservation value of other sectors and fields must be submitted to the Historical Archives within thirty years from the year the work ends, except for archival materials necessary for daily business operations of agencies and organizations.

2. Sectoral management agencies shall be responsible for specifying the preservation period of specialized professional documents after reaching a consensus with the Ministry of Home Affairs; organizing the selection of archival materials with permanent preservation value that have reached the submission deadline and transferring them to the competent Historical Archives according to the provisions of the Law on Archives.

Chapter

SOME SPECIAL CASES WHEN USING

Article 16. Special cases when using archival materials related to individuals

Archival materials related to individuals being preserved at the Historical Archives, which fall under any of the following circumstances, may not be widely used after forty years from the year of the individual's death:

1. Using archival materials related to individuals that affect national and ethnic interests.

2. Using archival materials of individuals donated or deposited into the Historical Archives without permission from the individual or their lawful representative.

Article 17. Authority to permit the use of archival materials related to individuals

Archival materials specified in Article 16 of this Decree may be used restrictively upon permission from the following competent authority:

1. Archival materials preserved at the central Historical Archives are decided by the Minister of Home Affairs.

2. Archival materials preserved at provincial Historical Archives are decided by the Chairman of the Provincial People's Committee.

3. Archival materials of individuals deposited into the Historical Archives must also be permitted by the individual or their lawful representative.

Chapter

AUTHORITY AND PROCEDURES FOR ISSUANCE, RENEWAL, AND REVOCATION

Article 18. Authority for issuing, renewing, and revoking the Certificate of Professional Qualification in Archives

1. The Certificate of Professional Qualification in Archives has a validity of five years from the date of issuance and is valid nationwide.

2. The Director of the Department of Home Affairs issues, renews, and revokes the Certificate of Professional Qualification in Archives.

3. The Ministry of Home Affairs uniformly manages and issues the templates for the Certificate of Professional Qualification in Archives.

Article 19. Professional inspection of archives

1. Individuals applying for the Certificate of Professional Qualification in Archives must meet the requirements of the professional inspection of archives prescribed by the Ministry of Home Affairs.

2. The Ministry of Home Affairs specifies the authority, content of professional inspections of archives, and the Certificate of Results of Professional Inspections of Archives.

Article 20. Documents for Application to Obtain the Professional Practice Certificate in Archiving

1. Application form for obtaining the Professional Practice Certificate in Archiving.

2. Certificate of results from the archiving vocational examination.

3. Confirmation letter from the employer certifying at least five years of work experience in the field of archiving. The person issuing the confirmation must be responsible for the accuracy of the content.

4. Certified copy of the graduation certificate in a relevant major for each field of practice, specifically:

a) For services related to preservation, restoration, disinfection, deacidification, and mold removal of archival materials, a graduate degree in archiving or chemistry/biology is required;

b) For document organization services, a bachelor's degree in records management or archiving is required; in cases where a different specialized bachelor's degree is obtained, a supplementary certificate in records management or archiving issued by an authorized agency is necessary;

c) For archival material digitization services, a graduate degree in archiving or information technology is required. In cases where a graduate degree in archiving is obtained, a supplementary certificate in information technology issued by an authorized agency is necessary; in cases where a graduate degree in information technology is obtained, a supplementary certificate in records management or archiving issued by an authorized agency is necessary;

d) For research, advisory, scientific application, and technology transfer services in archiving, a bachelor's degree in archiving is required; in cases where a different specialized bachelor's degree is obtained, a supplementary certificate in records management or archiving issued by an authorized agency is necessary.

5. Curriculum vitae with confirmation from the People's Committee of the commune, ward, or town where the applicant's permanent residence is registered.

6. Two photographs measuring 2 x 3 cm (taken within six months).

Article 21. Procedures for Issuing the Professional Practice Certificate in Archiving

1. The applicant sends one set of documents to the Department of Home Affairs at the place where the applicant's permanent residence is registered.

2. The Department of Home Affairs is responsible for reviewing the documents according to regulations and issuing a receipt for the documents.

3. Within fifteen working days from the date of receiving all documents from the applicant, the Director of the Department of Home Affairs issues the Professional Practice Certificate in Archiving to individuals who meet the prescribed conditions.

4. The collection and use of fees for issuing the Professional Practice Certificate in Archiving shall be carried out in accordance with the regulations of the Ministry of Finance.

Article 22. Reissuing the Professional Practice Certificate in Archiving

1. The Professional Practice Certificate in Archiving will be reissued in the following cases:

a) Upon expiration of the Professional Practice Certificate in Archiving;

b) To supplement the scope of practice;

c) When the Professional Practice Certificate in Archiving is damaged or lost.

2. Documents for Application to Reissue the Professional Practice Certificate in Archiving:

a) Application for reissuing the Professional Practice Certificate in Archiving submitted to the original issuing authority;

b) The old Professional Practice Certificate in Archiving (except in cases of loss);

c) Certified copies of diplomas, certificates, and confirmation letters of work experience in fields related to the requested supplementary scope of practice (for cases requesting to supplement the scope of practice).

3. The time limit for reissuing the Professional Practice Certificate in Archiving is the same as for new applications. The Department of Home Affairs is responsible for reissuing the Professional Practice Certificate in Archiving to those who meet the prescribed conditions and retrieving the old Professional Practice Certificate in Archiving (except in cases of loss).

4. The content and validity period of the reissued or supplemented Professional Practice Certificate in Archiving are recorded as follows:

a) Recorded according to the content and validity period of the old Professional Practice Certificate in Archiving in cases of damage or loss;

b) Supplementing the scope of practice in cases of requesting to supplement the scope of practice;

c) Recorded as in the case of issuing a new Professional Practice Certificate in Archiving in cases of expired Professional Practice Certificate in Archiving.

Article 23. Revocation of the Archiving Profession Certificate

1. In addition to the cases stipulated in Clause 3, Article 37 of the Law on Archives, the Archiving Profession Certificate shall be revoked if the holder falls under any of the following circumstances:

a) Practicing outside the scope specified in the Archiving Profession Certificate;

b) Illegally erasing or altering the Archiving Profession Certificate;

c) Lending, renting, or allowing others to use the Archiving Profession Certificate;

d) Providing false information in the application dossier for the Archiving Profession Certificate;

đ) Violating laws related to archiving activities.

2. The Department of Civil Service Management has the authority to revoke the Archiving Profession Certificate. If violations as stipulated in Clause 3, Article 37 of the Law on Archives or Clause 1 of this Article are discovered, the Department of Civil Service Management where the violation was found shall notify the Department of Civil Service Management that issued the Archiving Profession Certificate to handle the matter within its jurisdiction.

Article 24. Rights and Obligations of Holders of the Archiving Profession Certificate

1. To practice archiving nationwide in accordance with the law.

2. To practice within the scope specified in the Archiving Profession Certificate.

3. Not to erase or alter the Archiving Profession Certificate without authorization; not to lend or rent it to others.

4. To present the Archiving Profession Certificate and comply with inspection and audit requirements when requested by authorized agencies.

Article 25. Responsibilities for Managing the Archiving Profession Certificate

1. The Ministry of Civil Service Management is responsible for guiding and inspecting the issuance and management of the Archiving Profession Certificate; managing, compiling statistics, and summarizing the situation of issuing the Archiving Profession Certificate nationwide.

a) Receiving registration files for archival service activities from organizations and individuals in accordance with regulations. Inspecting, supervising, handling complaints and reports regarding archival service activities and the use of Archival Practice Certificates by organizations and individuals participating in archival service activities within their jurisdiction."

a) Inspecting and auditing archiving activities within the managed area;

b) Revoking the Archiving Profession Certificate from violators according to regulations; handling violations in archiving services within its jurisdiction or referring them to competent authorities for handling;

c) Publishing monthly on the provincial or centrally-administered city's electronic information portal the situation of issuing, reissuing, and revoking the Archiving Profession Certificate;

d) Resolving complaints and reports regarding the issuance, use, and management of the Archiving Profession Certificate;

đ) Storing original files; registering in the file registration book or database about the issuance, reissuing, and revoking of the Archiving Profession Certificate at the local level;

e) Regularly or periodically reporting annually to the competent agency assisting the Ministry of Civil Service Management in state management of archiving on the situation of issuing, reissuing, and revoking the Archiving Profession Certificate.

Article 26. Handling Violations

Individuals practicing archiving who violate laws on archiving shall be dealt with according to the law.

Chapter

IMPLEMENTING PROVISIONS

Article 27. Effective Date

This Decree takes effect from March 1, 2013.

Article 28. Implementation Organization

The Minister of Civil Service Management is responsible for guiding and implementing this Decree.

Article 29. Responsibility for Implementation

Ministers, heads of ministerial-level agencies, heads of government-affiliated agencies, Chairpersons of provincial and centrally-administered city People's Committees, and relevant agencies, organizations, and individuals are responsible for enforcing this Decree./.