Joint Circular No. 01/2014/TTLT-BNV-BXD guiding the components of project and construction works' documents to be archived in Historical Archives.

JOINT CIRCULAR

Guidelines for project documentation to be archived in Historical Archives construction projects

to be submitted for archival storage

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Pursuant to the Law on Archives No. 01/2011/QH13 dated November 11, 2011;

Pursuant to the Construction Law No. 50/2014/QH13 dated June 18, 2014;

Pursuant to Decree No. 58/2014/NĐ-CP dated June 16, 2014, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Home Affairs;

Pursuant to Decree No. 62/2013/NĐ-CP dated June 25, 2013 of the Government on the functions, tasks, powers, and organizational structure of the Ministry of Construction;

The Minister of Interior and the Minister of Construction issue this Joint Circular guiding the components of project documentation to be submitted for archival storage in Historical Archives.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular guides the components of project documentation to be submitted for archival storage in Historical Archives.

Article 2. Applicability

This Circular applies to Historical Archives, construction project investors, and users of construction projects.

Chapter II

COMPONENTS OF DOCUMENTATION FOR CONSTRUCTION PROJECTS

TO BE SUBMITTED FOR ARCHIVAL STORAGE IN HISTORICAL ARCHIVES

Article 3. Projects and construction works subject to submission of documentation for archival storage in Historical Archives

1. National key projects according to the Resolution of the National Assembly.

2. Construction works classified as historical-cultural relics or scenic spots (collectively referred to as relics) at level II or higher.

3. Construction works as prescribed by laws on classification and grading of construction works including:

a) Civil works at level I or higher; religious service works; provincial-level administrative office works; national and provincial-level specialized archive works;

b) Special-grade industrial works; oil and gas works, energy works, chemical and petrochemical works at level I or higher;

c) Special-grade technical infrastructure works; water supply and drainage works at level I or higher;

d) Transportation works at level I or higher;

e) Agricultural and rural development works at level I or higher.

4. In cases where a construction investment project includes multiple construction works or work items at different levels, the documentation to be submitted for archival storage in Historical Archives shall be based on the construction works at the levels specified in Clauses 2 and 3 of this Article.

Article 4. Documentation for projects and construction works

1. Documentation for projects and construction works to be submitted for archival storage in Historical Archives (including component projects) includes all files formed during the investment and construction process from the determination of investment policy, project preparation, and investment decision-making; research, survey, design, and budget preparation; contractor selection; construction to final acceptance, handover, and commissioning.

2. Types of documentation: paper documents; film, photo, tape, audio and video recording documents; electronic documents and other types of documents (if any).

Article 5. Application for investment policy approval for construction works

Documents submitted to state agencies with authority for examination and decision on investment policy for construction works include:

1. Investment report (Feasibility Study Report);

2. Approval document of the competent agency (if any);

3. Document on investment policy for the project or construction work;

4. Other related documents.

Article 6. Documentation for preparation, review, and approval of construction project feasibility studies (Feasibility Study Reports) or Economic-Technical Reports for construction works

Documentation for preparation, review, and approval of construction project feasibility studies (or component project feasibility studies) includes:

1. Request for project approval;

2. Description and basic design (for projects); Description and Construction Drawing Design (for works only required to prepare Economic-Technical Reports);

3. Adjusted project documentation (if any);

4. Project review document;

5. Decision on approval of the construction project feasibility study issued by the authorized person;

6. Construction permit (if any);

7. Documentation for architectural design competition for works that must undergo architectural design competitions;

8. Other related documents.

Article 7. Survey and Design Construction Project Documents

1. Construction Project Survey Documents

a) Construction project survey materials include the following documents: topographic survey, geological survey, hydrogeological survey, current condition survey of the project, and other survey materials serving construction activities.

b) Construction project survey documents include: survey tasks, approved technical survey design solutions by the investor; reports on construction survey results that have been accepted for inspection; relevant specialized management agency documents (if applicable).

2. Construction Project Design Documents

a) Construction project design documents include: design descriptions, design drawings (with drawing list attached), related construction survey materials, maintenance procedures for the project (project and equipment installed in the project), construction project.

b) Technical design drawing review and approval documents (construction drawing design) include the following documents: technical design review report (construction drawing design); technical design review document (construction drawing design); technical design approval document (construction drawing design); acceptance records of design stages and relevant documents from specialized management agencies.

Article 8. Land Clearance and Construction Site Documentation

1. Documentation on land clearance plans (if applicable).

2. Handover documentation for the construction site to the contractor (land boundary documentation).

3. Documentation on land clearance funding (if applicable).

4. Documentation on land allocation for construction projects.

Article 9. Construction and Acceptance Documentation for Construction Projects

1. As-built drawings of project components, sub-projects, and completed projects (with drawing list attached); design changes during construction and relevant approval documents from competent authorities.

2. Quality Acceptance Documentation for Construction Projects

Quality acceptance documentation for construction projects includes internal quality acceptance documentation for construction work, project components, construction phases, sub-projects, and construction projects. The acceptance documentation includes:

a) Quality construction acceptance records, testing results, calibration, and trial operation during construction and upon completion of the project (with a list of acceptance records, testing results, and calibrations attached);

b) Measurement and monitoring data on settlement and deformation of project components, the entire project, and adjacent projects within the settlement impact range during construction (if applicable);

c) Inspection results of the acceptance process for putting the project into use by construction-related professional agencies;

d) Quality product inspection results from construction quality inspection organizations or quality inspection result notifications; quality inspection organization reports on project components, sub-projects, or projects showing signs of non-compliance with quality standards before the investor's acceptance (if applicable);

đ) National Acceptance Council's evaluation opinion on construction project quality management work (for projects listed for inspection); acceptance records confirming the quality of construction projects (for projects listed for acceptance);

e) Operation and exploitation procedures for the project;

g) Acceptance and approval records of technical systems and technologies meeting usage conditions by competent state agencies (if applicable);

h) Documentation on main project incidents and their resolution during construction (if applicable), including: incident reports; cause investigation reports and related documents during the incident investigation process; incident site inspection records; construction and design documents related to the incident; incident resolution documentation;

i) Handover records for project components and projects put into use;

k) Other legal documents.

Article 10. Tender Selection Documents

In cases where the project investor does not undertake the work themselves but hires consultants during the project preparation, surveying, design, and construction phases, the tender selection documents shall also be included in the files specified in Articles 6, 7, and 9:

1. Decision on direct award and approval of the tender selection results.

2. Contract, contract acceptance, and other related documents concerning the acceptance object.

Article 11. Project completion settlement documents or individual project component completion settlement documents (with project approval decisions or separate economic and technical construction reports)

1. Settlement report.

2. Audit settlement file (prior to settlement approval).

3. Settlement approval file.

Article 12. Responsibility for submitting project and construction works documentation to the Historical Archive

1. The construction project investor is responsible for managing all project and construction works documentation from the investment preparation phase until the completion and handover of the works for use, and for submitting them to the Historical Archive as stipulated in Clause 1 and Clause 3 of Article 3 of this Circular.

a) Collecting all components of the project and construction works documentation as prescribed in Article 3 of this Circular;

b) Organizing the documentation and compiling an Index of submitted documents according to the model provided in Appendix I in three copies;

c) Submitting the project and construction works documentation and the Index of submitted documents (two copies) or other search tools (if any) within the time limit prescribed by law. If all works (work components) under the project are put into operation and use at the same time, the documentation should be submitted collectively for the entire project. In cases where works (work components) under the project are put into operation and use at different times, the documentation may be submitted separately for each work (work component);

d) Transporting the documentation to the submission location.

2. Where the project investor establishes and authorizes the Project Management Board to submit documentation to the Historical Archive, the Project Management Board shall bear legal responsibility and the investor's responsibility as stipulated in Clause 1 of this Article.

3. The user management body is responsible for submitting the project and construction works documentation as stipulated in Clause 2 of Article 3 of this Circular to the Historical Archive.

Chapter III

IMPLEMENTATION

Article 13. Effective Date

This Circular takes effect from January 1, 2015.

1. The Minister, Heads of Ministries equivalent to ministries, Heads of government agencies, Chairmen of provincial People's Committees under the central government, and related agencies, units, and individuals are responsible for implementing this Circular.

1. The Minister, head of a ministerial-level agency, or head of a government agency shall direct and inspect the implementation of the submission of project and construction works documentation to be archived as stipulated in this Circular for projects and works they invest in or decide to invest in.

2. The Chairman of the Provincial People's Committee shall instruct the Department of Home Affairs to take the lead and coordinate with the Department of Construction to direct and inspect project investors and users to comply with the submission of project and construction works documentation as stipulated in this Circular; annually review and compile a list of projects and works required to archive documentation as stipulated in Article 3 of this Circular and report to the Ministry of Home Affairs and the Ministry of Construction no later than December 31, using the form provided in Appendix II.

3. The Ministry of Home Affairs shall take the lead and coordinate with the Ministry of Construction to direct and inspect the implementation of archiving project and construction works documentation.

4. During the implementation process, if there are difficulties or obstacles, organizations and individuals are requested to report to the Ministry of Home Affairs for research and resolution.