Circular No. 01/2019/TT-BNV stipulates the procedures for exchanging, storing, and processing electronic documents in archival work, and the basic functions of the Electronic Document Management System during the handling of tasks by agencies and organizations.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Circular stipulates the following contents:

a) The procedures for exchanging, storing, and processing electronic documents in archival work including: management of incoming electronic documents, management of outgoing electronic documents, establishment and submission of electronic dossier filing to the agency's archive;

b) The basic functions of the Electronic Document Management System.

2. This Circular does not regulate the management of documents containing state secrets as prescribed by law.

Article 2. Applicability

1. This Circular applies to state agencies and state-owned enterprises as defined in the Enterprise Law 2014 (hereinafter referred to collectively as agencies and organizations).

2. Agencies, organizations not covered under Clause 1 of this Article and individuals are encouraged to apply the provisions of this Circular.

Article 3. Explanation of Terms

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

1. The Electronic Document Management System is a document and administrative management system with the function of managing electronic dossiers during the process of handling tasks of agencies and organizations (hereinafter referred to collectively as the System).

2. The digital signature of agencies and organizations is a digital signature created by the private key corresponding to the digital certificate issued to agencies and organizations according to the law on electronic transactions.

3. The digital signature of authorized persons is a digital signature created by the private key corresponding to the digital certificate issued to authorized persons according to the law on electronic transactions.

4. Management of electronic documents and dossiers involves controlling all impacts on electronic documents and dossiers throughout their lifecycle, including: creation, transfer, resolution, preservation, storage, use, and destruction of electronic documents and dossiers.

5. Metadata of documents and dossiers is information describing the content, format, context, structure, components of documents and dossiers; the relationship between documents and dossiers and other documents and dossiers; information about digital signatures on documents; history of formation, use, and other characteristics aimed at serving the management, search, and storage of documents and dossiers.

6. Moving electronic documents and dossiers is the process of transferring electronic documents, dossiers, and metadata from one system to another, ensuring authenticity, integrity, reliability, and usability of documents and dossiers.

7. System administration involves monitoring, maintaining operations, ensuring security and safety, and controlling the operation process of the System.

8. Data updating involves entering new, supplementing, modifying, and perfecting information fields as required by the System.

9. Digitized documents from paper documents are electronic documents created through the full and accurate digitization of the content and format of paper documents and have the digital signature of the agency or organization that performs the digitization.

Chapter II

MANAGEMENT OF INCOMING DOCUMENTS

Article 4. Principles and requirements for managing incoming documents

1. All incoming documents to agencies and organizations must be registered in the System.

2. The incoming number of a document received is unique within the agency or organization's incoming document management system.

3. Verify that the incoming document is addressed correctly.

4. Accurately determine the functions, responsibilities, and authority to resolve incoming documents of the receiving agency or organization.

5. Resolve incoming documents promptly and within the prescribed time limit.

Article 5. Receiving electronic documents

1. Check the digital signature according to the regulations on the use of digital signatures for electronic documents in state agencies as stipulated in Circular No. 41/2017/TT-BTTTT dated December 19, 2017, of the Minister of Information and Communications.

2. Notify receipt of the document

Agencies and organizations receiving the document are responsible for immediately notifying the sending agency or organization via electronic means of receipt of the document on the same day.

Article 6. Registration and Digitization of Incoming Documents

1. Registration of Incoming Electronic Documents

a) In cases where the Sending Party or Receiving Party has not fully met the requirements for connection and interoperability in sending and receiving electronic documents through the National Document Interconnection Trunk, the office staff of the agency shall check and update the following Fields of Information in the System: Fields 4, 5, 6, 7, 8, 9, 10, 12, 13, 14, 15, 16 of Appendix IV of this Circular;

b) The structure and format of the information fields shall comply with the national technical standards on the structure and format of data packages for connecting management systems and operations as stipulated in Circular No. 10/2016/TT-BTTTT dated April 1, 2016 of the Minister of Information and Communications and Decision No. 28/2018/QĐ-TTg dated July 12, 2018 of the Prime Minister regarding the sending and receiving of electronic documents between agencies within the state administrative system;

c) The incoming number and arrival time shall be stored in the System.

2. Digitization of Incoming Documents from Paper Documents

a) The office staff of the agency shall digitize incoming paper documents in accordance with the prescribed format and sign them electronically according to the regulations set out in Point c of this Clause; the digitization of accompanying documents with paper format shall be based on the List of Documents Required to be Digitized and management requirements and practical activities stipulated by the agency or organization;

b) Standards for Digitizing Documents:

- Format: Portable Document Format (.pdf), version 1.4 or higher;

- Color image;

- Minimum resolution: 200 dpi;

- Digitization ratio: 100%;

c) The form of the digital signature of the agency or organization responsible for digitizing the document for processing in the System:

- Position: Top right corner, first page of the document;

- Image: Seal of the digitizing agency or organization, red color, size equal to the actual size of the seal, format: Portable Network Graphics (.png);

- Information: Name of the agency or organization, signing date and time (day, month, year; hour, minute, second; Vietnam time zone according to ISO 8601 standard).

Article 7. Presentation and Transfer of Incoming Documents in the System

1. The office staff of the agency is responsible for presenting and transferring incoming documents to the head of the agency or organization or the person assigned by the agency or organization to distribute and direct the handling of the document (hereinafter referred to as the authorized person).

2. The authorized person provides comments on the distribution and direction of handling the incoming document; updates Fields 17, 18, 19 of Appendix IV of this Circular in the System. For incoming documents related to multiple units or individuals, the authorized person must clearly identify the main unit or individual, the supporting unit or individual, the deadline for handling the document, and the directive on the content of the solution.

Article 8. Handling of Incoming Documents in the System

1. When receiving incoming documents in the System, the unit or individual assigned to handle the document is responsible for organizing its handling.

2. The individual assigned to handle the document is responsible for determining the file number and code for the incoming document according to the File List of the agency or organization; updates Field 2.3 of Appendix IV of this Circular in the System.

3. The management process of incoming documents is detailed in Appendix I of this Circular.

Chapter III

MANAGEMENT OF OUTGOING DOCUMENTS

Article 9. Principles and Requirements for Managing Outgoing Documents

1. All outgoing documents of the agency or organization must be registered in the System.

2. The number of an outgoing document is unique in the outgoing document management system of the agency or organization.

3. Confirmation that the outgoing document has been sent to the correct address of the agency, organization, or individual with the function and authority to resolve it.

4. Ensuring the complete and secure transfer of the document in the network environment.

5. The format and presentation technique of electronic documents shall be implemented in accordance with the provisions of Decree No. 34/2016/NĐ-CP dated May 14, 2016 of the Government detailing some articles and measures to implement the Law on Issuing Legal Normative Documents and Circular No. 01/2011/TT-BNV dated January 19, 2011 of the Minister of Home Affairs guiding the format and presentation techniques of administrative documents, except for the format elements concerning the signature of the authorized person and the signature of the agency or organization as stipulated in Articles 12 and 13 of this Circular.

Article 10. Drafting, reviewing content, format, and presentation techniques of documents

1. Individuals assigned the task of drafting documents:

a) Prepare a draft document; enter the draft document into the System; propose urgency level (if applicable); seek comments; incorporate feedback and finalize the draft for review by unit leaders;

b) Update information fields number 4, 9, 10, 12, 15, 17 of Appendix V of this Circular into the System.

2. Unit leaders responsible for drafting documents shall examine, provide comments, and be responsible for the content of the draft, transferring the draft to individuals assigned the task of reviewing format and presentation techniques.

3. Individuals assigned the task of reviewing format and presentation techniques shall provide comments and be responsible for the content of the review, transferring the draft to the office clerk for submission to authorized persons for signing and issuing the document.

4. The office clerk receives the draft, rechecks the format and presentation techniques of the document; if errors are found, report to responsible persons for examination and resolution; convert the draft to .pdf format (version 1.4 or higher) before submitting it to authorized persons for signing and issuing the document. Updating the document number; date of issuance; name of issuing agency or organization; number of pages of the document; identification code of receiving agency or organization into information fields number 5, 7, 8, 11, 14.1 of Appendix V of this Circular is performed through the System's functions.

5. The process of drafting, reviewing format, and presentation techniques of documents is detailed in Appendix II of this Circular.

Article 11. Issuing and distributing documents

1. Issuing electronic documents

a) Authorized persons sign the electronic document according to Article 12 of this Circular, then transfer it to the office clerk for distribution procedures.

b) Office clerk: assign numbers, dates, and years to the draft document using the System's function; print and stamp the document for retention at the office 01 copy and the required number of paper copies to be distributed to specified recipients under Clause 3 of this Article; sign the document according to Article 13 of this Circular and distribute the electronic document.

c) The office clerk updates information fields number 6, 13, 14.2, 16 of Appendix V of this Circular into the System.

2. Distributing digitized documents from paper documents

In cases where agencies or organizations issue paper documents, the office clerk shall digitize the paper document according to Point b, Clause 2, Article 6 of this Circular, sign the document according to Point c, Clause 2, Article 6 of this Circular, and distribute the digitized document.

3. Recipients of paper documents

a) Agencies, organizations, or individuals without technical infrastructure to receive electronic documents;

b) Agencies, organizations, or individuals required to use paper documents to conduct other transactions as prescribed by law.

4. Storing electronic documents in the System.

5. The process of signing, registering, and distributing documents is detailed in Appendix III of this Circular.

Article 12. Form of digital signature of authorized persons signing documents

1. Position: at the signing position of the authorized person on the paper document.

2. Image: the signature of the authorized person on the paper document, in blue color, format (.png).

Article 13. Form of digital signature of agencies and organizations issuing documents

1. Position: overlaying approximately 1/3 of the authorized person's signature on the left side;

2. Image: stamp of the agency or organization issuing the document, red color, actual size of the stamp, format (.png);

3. Information: name of the agency or organization, signing time (day, month, year; hour, minute, second; Vietnam Standard Time according to ISO 8601 standard).

Article 14. Management and use of devices storing secret keys and digital certificates of agencies and organizations in document work

1. The management and use of devices storing secret keys and digital certificates of agencies and organizations in document work shall be carried out in accordance with the provisions of Circular No. 41/2017/TT-BTTTT dated December 19, 2017 issued by the Minister of Information and Communications on the use of digital signatures for electronic documents in state agencies.

2. Devices storing secret keys and digital certificates of agencies and organizations must be handed over in writing to the document staff of the managing agency and directly used.

3. The document staff of the agency has the responsibility

a) Not to hand over devices storing secret keys and digital certificates of agencies and organizations to others without written permission from the authorized person;

b) To directly sign the digital signature of the agency or organization on documents issued by the agency or organization;

c) Only to sign the digital signature of the agency or organization on documents issued by the agency or organization after having obtained the digital signature of the authorized person and the document directly digitized by the agency or organization.

Chapter IV

ESTABLISH AND SUBMIT ELECTRONIC RECORDS TO THE ARCHIVE OF THE AGENCY

Article 15. Requirements for creating electronic records

1. Ensuring general requirements for record creation and management.

2. Ensuring the authenticity of documents in the record.

3. Being secured within the System.

Article 16. Creating electronic records

1. Based on the Record List, individuals assigned to handle tasks determine the number and code of the record for outgoing documents, incoming documents, and related materials such as: directives, comments, reports, and other contents related during the handling process; update into System Field 2.3 Appendix IV and Field 2.3 Appendix V of this Circular. In case new records not included in the existing Record List are generated, individuals assigned to handle tasks will update and supplement the records into the Record List in the System after approval.

2. Individuals assigned to create records have the responsibility to update into the System Fields 1.3, 2, 3, 4, 5, 6, 7 of Appendix VI of this Circular.

3. The record code includes:

a) The unique identifier code of the agency or organization compiling the record list

The unique identifier code of the agency or organization stipulated in Circular No. 10/2016/TT-BTTTT dated April 1, 2016 issued by the Minister of Information and Communications on national technical standards for the structure of unique identifier codes and data formats of information packages serving interconnection of document management and administrative systems. The unique identifier code of the agency or organization is pre-set in the System.

b) Year of formation of the record

c) Number and code of the record

The year of formation of the record, number and code of the record are determined according to the Record List. Components of the record code are separated by a dot.

Example 1: 000.06.16.G09.2010.01.TH, is Record No. 01 of the General category, year 2010 of the Information Center, Office of Archives and State Records, Ministry of Home Affairs.

Wherein: 000.06.16.G09 is the unique identifier code of the Information Center, Office of Archives and State Records, Ministry of Home Affairs; 2010 is the year of formation of the record; 01.TH is the number and code of the record.

4. When the task is completed, individuals assigned to handle the task have the responsibility to review all documents and materials in the record, complete and finalize the record, and update into the System Fields 8, 11 of Appendix VI of this Circular.

5. Updating the unique identifier code of the agency or organization compiling the record, the year of formation of the record, total number of documents in the record, total number of pages of the record into Fields 1.1, 1.2, 9, 10 of Appendix VI of this Circular is performed through the System function.

Article 17. Submission and Management of Electronic Files at the Agency Archive

1. The submission, management of electronic files at the Agency Archive and the destruction of expired electronic documents shall be carried out in accordance with Chapter II of Decree No. 01/2013/NĐ-CP dated January 3, 2013, of the Government detailing certain provisions of the Law on Archives.

2. Individuals assigned tasks based on the agency's file directory shall be responsible for submitting electronic documents and other formatted documents to the Agency Archive if applicable.

3. The Agency Archive shall be responsible for inspecting, receiving files, and placing files under the "Electronic Archive File" management regime within the System.

Chapter V

BASIC FUNCTIONS OF THE SYSTEM

Article 18. Principles for Building the System

1. Ensuring the management of electronic documents and files of agencies and organizations in compliance with regulations.

2. Ensuring information security in accordance with current laws.

3. Ensuring access rights for individuals to the System.

4. Ensuring the authenticity and reliability of documents and data circulating within the System.

Article 19. General Requirements for Designing the System

1. Fully meeting the procedures and techniques for managing electronic documents, files, and descriptive data.

2. Having the capability to integrate, interconnect, and share information and data with other systems.

3. Having the capability to systematize documents and files, and to statistically track the number of accesses to documents and files.

4. Ensuring ease of access and use.

5. Ensuring the authenticity, reliability, integrity, and accessibility of documents and materials.

6. Ensuring the storage of files according to retention periods.

7. Ensuring compatibility with the Vietnam E-Government Architecture Framework.

8. Allowing digital signing and verification of digital signatures in accordance with Circular No. 41/2017/TT-BTTTT dated December 19, 2017, of the Minister of Information and Communications regarding the use of digital signatures for electronic documents in state agencies.

9. In cases where the existing document management and administrative system does not fully meet the requirements for managing electronic files, agencies and organizations shall be responsible for upgrading and supplementing functions in accordance with this Circular.

Article 20. Functional Requirements of the System

1. For the creation and tracking of documents

a) Permitting the attachment of files;

b) Permitting the creation of document identification codes;

c) Permitting the creation of codes for files and document sequence numbers within files;

d) Displaying the urgency level of documents;

đ) Permitting automatic numbering, date, month, year assignment for outgoing documents after they have been digitally signed by authorized persons, and assigning receipt date, month, year for incoming documents in chronological order;

e) Permitting the automatic notification to the sender that the recipient has received the document;

g) Permitting automatic updating of Fields 1, 2.1, 2.2, 3, 11, 13, 14 of Appendix IV, Fields 1, 2.1, 2.2, 3, 5, 7, 11, 14.1 of Appendix V, Fields 1.1, 1.2, 9, 10 of Appendix VI of this Circular;

h) Notifying the agency’s secretary when there is a duplicate document identification code;

i) Permitting statistics, tracking, and urging the resolution of incoming documents;

k) Permitting authorized persons to distribute incoming documents, track, and urge units and individuals to resolve documents within the deadline;

l) Permitting authorized persons to access, edit, and return drafts of documents and materials;

m) Permitting notifications when new documents are available;

n) Permitting agencies and organizations to send documents to know the status of receipt at the receiving agency or organization.

2. For connection and interoperability

a) Ensuring connectivity and interoperability between electronic document management systems and electronic archive document management systems of historical archives where the agency or organization is the source of submission;

b) Having the ability to operate on smart mobile devices under secure information conditions;

c) Having the ability to connect, interoperate, and integrate with other specialized systems currently in use at the agency or organization.

3. For information security

a) Assigning access permissions for each file and document;

b) Warning about changes in access permissions for each file and document in the System until confirmed by an authorized person.

4. For preservation and storage of documents and files

a) Storing documents and information about the process of handling work including: directives and distribution of incoming documents by authorized persons; drafts of documents prepared by civil servants and officials assigned to draft them; comments from related individuals and units; leadership directives; approvals and responsibility for content by the head unit drafting the document; approvals and responsibility for format and presentation technique by authorized persons; history of document access and viewing; other impacts on the document;

b) Linking documents and materials with the same file code in the System to create a file;

c) Permitting automatic notification of files due for submission to the Agency Archive 30 days before the Agency Archive announces the file list for submission to the submitting unit;

d) Ensuring the submission of files to the Agency Archive;

đ) Ensuring the transfer of files into the electronic archive document management system of historical archives;

e) Permitting the assignment of a document or material to multiple files without duplication;

g) Ensuring the integrity, reliability, and non-alteration of documents and files;

h) Ensuring the accessibility and use of files and documents according to retention periods;

i) Ensuring the ability to move files, materials, and descriptive data and change document formats with technological changes;

k) Having the ability to perform regular and emergency backups and restore data in case of failure.

5. For expired documents

a) Permitting automatic notification of files reaching their retention period 30 days in advance;

b) Permitting re-evaluation of the value of files notified as reaching their retention period; determining a new retention period or destroying expired documents;

c) When executing the command to destroy expired documents: the system requires the entry of reasons for document destruction; notifying documents planned for destruction that are still linked to other files not yet reaching their retention period (if any) and allowing retention of documents already linked to relevant files not yet reaching their retention period; confirming the destruction command; destroying documents after confirmation;

d) Storing descriptive data of the document destruction process.

d) Notify information about documents with different formats within the file that has been destroyed.

6. For statistics, search, and use of texts and files

a) Allow for the statistical count of files, texts, and documents; number of accesses to each file, text, and document;

b) Allow for the statistical count of accesses to the System according to the requirements of the manager or administrator;

c) Grant and control access rights to stored electronic files and data descriptions of stored files;

d) Allow for searching texts and files based on all input fields of texts and files and the content of texts and documents;

đ) Allow for selecting display fields of texts and files in search results;

e) Allow for saving and reusing search requests;

g) Allow for displaying the order of search results;

h) Allow for exporting search results to common text file formats: (.doc), (.docx), (.pdf);

i) Allow for downloading or printing texts, documents, and data descriptions;

k) Allow for marking in texts, documents, and data descriptions printed from the System;

l) Record history of accessing and using texts and documents.

7. For managing metadata

a) Store metadata elements related to a specific text or file according to retention periods;

b) Display all metadata of a text or file when requested by users who have been granted permission;

c) Allow for entering additional metadata for texts and files;

d) Store metadata of the security control process for texts, files, and systems;

đ) Store and fix the link of a text or file with all related metadata elements.

Article 21. Requirements for System Administration

1. The system allows the person assigned to administer the System to perform the following tasks:

a) Establish groups of documents and files at different levels of information;

b) Assign user permissions according to the regulations of the agency or organization;

c) Access files and metadata of files according to the regulations of the agency or organization;

d) Change access permissions for files and texts when there is a change in the regulations of the agency or organization;

đ) Change individual account access permissions when there are changes in their job positions;

e) Restore information and metadata in case of system errors and report the restoration results;

g) Lock or freeze sets (texts, files, document groups) to prevent movement, deletion, or modification when required by authorized persons.

2. Warning conflicts occurring in the system.

3. Establish interconnection.

Article 22. Information Outputs of the System

The information output forms of the System are specified in Appendix VII of this Circular, including:

1. Register of incoming documents.

2. Report on the handling situation of incoming documents.

3. Register of outgoing documents.

4. Report on the situation of outgoing documents.

5. Table of contents of documents in files.

6. File directory.

Chapter VI

IMPLEMENTING PROVISIONS

Article 23. Effectiveness of Implementation

This Circular takes effect from March 10, 2019.

Article 24. Implementation Organization

1. The Minister, Heads of Ministries equivalent to Ministries, Heads of Government Agencies, Chairmen of Provincial People's Committees under central cities, and relevant agencies and organizations are responsible for implementing this Circular.

2. During the implementation process, if there are difficulties, please reflect them to the Ministry of Home Affairs for research, amendment, and supplementation to be appropriate./.

ANNEX I

DOCUMENT MANAGEMENT FLOW CHART FOR INCOMING DOCUMENTS
(Attached to Circular No. 01/2019/TT-BNV dated January 24, 2019 issued by the Minister of Home Affairs)

 

ANNEX II

DOCUMENT DRAFTING AND FORMATTING CHECK FLOW CHART
(Attached to Circular No. 01/2019/TT-BNV dated January 24, 2019 issued by the Minister of Home Affairs)

 

ANNEX III

DOCUMENT SIGNING, REGISTRATION, AND DISTRIBUTION FLOW CHART
(Attached to Circular No. 01/2019/TT-BNV dated January 24, 2019 issued by the Minister of Home Affairs)

 

ANNEX IV

INPUT INFORMATION OF DOCUMENT MANAGEMENT DATA FOR INCOMING DOCUMENTS*
(Attached to Circular No. 01/2019/TT-BNV dated January 24, 2019 issued by the Minister of Home Affairs)

 

ANNEX V

INPUT INFORMATION OF DOCUMENT MANAGEMENT DATA FOR OUTGOING DOCUMENTS*
(Attached to Circular No. 01/2019/TT-BNV dated January 24, 2019 issued by the Minister of Home Affairs)

 

ANNEX VI

INPUT INFORMATION OF DOCUMENT MANAGEMENT DATA FOR FILES*
(Attached to Circular No. 01/2019/TT-BNV dated January 24, 2019 issued by the Minister of Home Affairs)

 

ANNEX VII

SYSTEM OUTPUT INFORMATION FOR ELECTRONIC DOCUMENT AND FILE MANAGEMENT
(Attached to Circular No. 01/2019/TT-BNV dated January 24, 2019 issued by the Minister of Home Affairs)

1. Incoming Document Registration Book

2. Report on Incoming Document Handling Situation

From...to...

Total Number of Documents:

Number of Handled Documents:

Number of Unhandled Documents:

Document Number and Symbol

Document Number and Symbol

Document Type and Content Summary

Total Number of Documents:

6. File Directory

6. Table of contents of the file