Circular No. 07/2012/TT-BNV guiding the management of documents, the establishment of files, and the submission of files and documents to the agency archives.

CIRCULAR

Guidelines for managing documents, creating files, and submitting

files and documents for archival storage at agencies.

 

Pursuant to Decree No. 61/2012/NĐ-CP dated August 10, 2012, promulgated by the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Home Affairs;

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

Considering the proposal of the Director of the General Office for Archives under the Ministry of Home Affairs;

The Minister of Home Affairs issues this Circular guiding the management of documents, creation of files, and submission of files and documents for archival storage at agencies.

PART I

GENERAL GUIDELINES

Article 1. Scope of Regulation and Applicability

Article 1. This Circular guides the management of outgoing and incoming documents; the creation of files formed during the process of monitoring and handling tasks within the functions and responsibilities of agencies, organizations, and individuals; and the submission of files and documents for archival storage at agencies.

Article 2. This Circular applies to state agencies, political organizations, socio-political organizations, socio-professional organizations, social organizations, social-professional organizations, economic organizations, public service units, and people's armed forces units (hereinafter referred to collectively as agencies and organizations).

Article 2. Interpretation of Terms

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

Clause 1. Outgoing documents include all types of documents, including legislative documents, administrative documents, and specialized documents (including copies of documents, internal documents, and confidential documents) issued by agencies and organizations.

Clause 2. Incoming documents include all types of documents, including legislative documents, administrative documents, and specialized documents (including faxed documents, documents transmitted via networks, and confidential documents) and letters and petitions sent to agencies and organizations.

Clause 3. Document registration involves recording or updating necessary information about documents such as number, code; date of issuance; type name and summary of content.

Clause 4. A basic file is a collection of legislative documents and guidance documents related to specific areas of work used as legal bases and for reference when handling matters by agencies, organizations, and individuals.

Clause 5. An archival unit is a statistical unit in archival operations, used for managing and searching for documents. The thickness of each archival unit shall not exceed 3 cm. If a file contains few documents or materials, one archival unit should be established. If a file contains many documents or materials, it should be divided into several parts, with each part being an archival unit.

Clause 6. A file directory is a list of anticipated files that will be formed during the operation of agencies and organizations in a year, accompanied by codes, preparers (or persons), and retention periods for each file.

Clause 7. Agency secretariat is an organization or department responsible for performing the secretarial duties of agencies and organizations as stipulated by law.

Clause 8. Unit secretariat is an individual within a unit of an agency or organization assigned by the head of the unit to perform certain secretarial tasks such as receiving, registering, presenting, transferring documents, and managing files and materials of the unit before submitting them to the agency archives.

Article 3. Principles for managing documents, creating files, and submitting files and documents for archival storage at agencies

Clause 1. All outgoing and incoming documents of agencies and organizations must be centrally managed at the agency secretariat (hereinafter referred to as the Secretariat) to complete receipt procedures, registration; except for those types of documents registered separately as prescribed by law. Incoming documents not registered at the Secretariat shall not be handled by departments or individuals.

Clause 2. Documents belonging to a particular day must be registered, issued, or transferred on the same day, at the latest on the next working day. Incoming documents bearing urgent seals: "Urgent" (including time-bound "Urgent"), "Very Urgent," and "Urgent" (hereinafter collectively referred to as urgent documents) must be registered, presented, and transferred immediately upon receipt. Outgoing urgent documents must be completed with issuance and dispatch procedures immediately after signing.

Clause 3. Documents and materials containing state secrets (hereinafter referred to as confidential documents) must be registered and managed according to current laws on protecting state secrets and the guidelines set forth in this Circular.

Clause 4. Individuals assigned to handle and monitor tasks of agencies and organizations (hereinafter collectively referred to as individuals) are responsible for creating files on assigned tasks and submitting files and materials for archival storage at agencies.

Files created must meet the following requirements:

a) Accurately reflect the functions and responsibilities of the agency or unit; accurately reflect the tasks primarily handled by the individual.

b) Documents and materials within each file must be complete, intact, have legal value, be closely related to each other, and accurately reflect the sequence of events or the process of handling tasks.

Clause 5. Files and materials submitted for archival storage at agencies must be complete, timely, and comply with prescribed procedures.

Clause 6. Documents, files, and materials must be securely stored, protected, preserved intact, and used for their intended purposes during the processes of receipt, transfer, and task resolution.

Chapter II

MANAGEMENT OF INCOMING DOCUMENTS

Article 4. Receiving incoming documents

1. Receiving incoming documents

a) When receiving incoming documents from all sources, during working hours or outside working hours, the clerk or the person assigned to receive incoming documents must check the quantity, packaging, sealing (if any), verify and compare with the sender before accepting and signing for receipt.

b) In cases where it is found that there is a shortage, loss of envelope, the envelope is not intact or the document is delivered later than the time indicated on the envelope (for envelopes with the "Urgent" stamp with a specified time), the clerk or the person assigned to receive incoming documents must immediately report to the responsible person; if necessary, a record must be made with the person delivering the document.

c) For documents received via fax or network transmission, the clerk must check the number of documents and the number of pages of each document; if errors are detected, they must promptly notify the sender or report to the responsible person for review and resolution.

2. Preliminary classification and opening of incoming envelopes

a) Incoming envelopes are classified and processed as follows:

- Envelopes requiring opening: envelopes sent to the agency or organization.

- Envelopes not to be opened: envelopes containing documents marked with confidentiality levels or personally addressed to individuals and organizations within the agency or organization. The clerk forwards these envelopes to the recipient. If the personally addressed document relates to the common business of the agency or organization, the individual receiving the document is responsible for returning it to the clerk for registration.

The opening of confidential envelopes shall be carried out in accordance with Circular No. 12/2002/TT-BCA dated September 13, 2002, issued by the Ministry of Public Security guiding the implementation of Decree No. 33/2002/NĐ-CP dated March 28, 2002, of the Government detailing the implementation of the Ordinance on Protecting State Secrets and specific regulations of agencies and organizations.

b) Opening envelopes must meet the following requirements:

- Envelopes marked with urgency levels must be opened first to ensure timely handling;

- No damage should be caused to the documents, no documents should be missed, no document numbers, symbols, addresses of the sending agency, and postal stamps should be lost;

- Verify the numbers and symbols on the outside of the envelope with those of the documents inside; if the incoming document is accompanied by a delivery slip, compare the documents inside with the delivery slip, sign and stamp the delivery slip, and return it to the sender; if errors are found, notify the sender to resolve them;

- For complaints, reports, and documents requiring verification of certain points or documents received much later than the date of the document, retain the envelope and attach it to the incoming document as evidence.

3. Stamping "Received", recording number and date of receipt

a) All documents required to be registered at the clerk's office must be stamped "Received"; record the receipt number and date (including the time of receipt when necessary). For documents received via fax or network, in necessary cases, print them out and stamp "Received".

b) Documents not required to be registered at the clerk's office (documents personally addressed to organizations, units, or individuals) are forwarded to the recipient without stamping "Received".

c) The "Received" stamp must be clearly and neatly placed in the blank space below the document number and symbol (for documents with a type name), below the summary of the content (for circulars), or in the blank space below the issuance date, month, and year of the document.

d) The model of the "Received" stamp and the method of recording information on the "Received" stamp shall be implemented according to the guidelines in Appendix I.

Article 5. Registration of incoming documents

Incoming documents shall be registered using the Incoming Document Register Book or the Incoming Document Management Database on computer.

1. Registration of incoming documents using a book

a) Establishing the Incoming Document Register Book

Based on the annual volume of incoming documents, agencies and organizations shall establish appropriate types of register books. Specifically:

-  In cases where there are fewer than 2,000 incoming documents, two books should be established: the Incoming Document Register Book for registering all types of documents (excluding classified documents) and the Classified Incoming Document Register Book;

- For between 2,000 and less than 5,000 incoming documents, three books should be established, such as: the Incoming Document Register Book for ministries, sectors, and central agencies; the Incoming Document Register Book for other agencies and organizations; and the Classified Incoming Document Register Book;

- For more than 5,000 incoming documents, detailed register books should be established according to specific transaction groups and the Classified Incoming Document Register Book;

- Agencies and organizations that annually receive many complaints and petitions should establish a separate Complaint and Petition Register Book;

-  For agencies and organizations that annually handle large volumes of administrative service requests or other requests from agencies, organizations, and citizens, additional Service Request Register Books should be established in accordance with relevant laws.

b) Registering incoming documents

- All necessary information about the document must be fully, clearly, and accurately registered; pencils and red ink must not be used; abbreviations of unfamiliar terms must not be used.

- The format of the Incoming Document Register Book and the method of registering incoming documents and classified incoming documents shall be carried out in accordance with the guidelines set forth in Appendix II.

- The format of the Complaint and Petition Register Book and the method of registering complaints and petitions shall be carried out in accordance with the guidelines set forth in Appendix III.

2. Registration of incoming documents using the Incoming Document Management Database on computer

a) General requirements for establishing the Incoming Document Management Database shall be implemented in accordance with current legal regulations in this field.

b) The registration (updating) of incoming documents into the Incoming Document Management Database shall be carried out in accordance with the instructions provided by the software program management system supplied by the agency or organization providing the program.

c) Incoming documents registered in the Incoming Document Management Database must be printed on paper for signature and filing for management purposes.

d) Internal network computers and wide area network computers shall not be used to register classified incoming documents.

Article 6. Presenting and transferring incoming documents

1. Presenting incoming documents

a) After registering incoming documents, the Secretary shall promptly present them to the head of the agency or organization or the person designated by the head (hereinafter referred to collectively as the authorized person) for review and distribution instructions and guidance on resolution. Incoming documents marked with urgent levels must be presented and transferred immediately upon receipt.

b) Based on the content of the incoming document; the operational regulations of the agency or organization; functions, tasks, and work plans assigned to units, individuals, the authorized person distributes the document for guidance on resolution and the resolution deadline (if necessary).

For incoming documents related to multiple units or individuals, the main unit or individual responsible, the cooperating units or individuals, and the resolution deadlines for each unit or individual (if applicable) must be clearly noted.

c) Distribution instructions for the document shall be recorded in the "Forwarded To" section of the stamp "Received". Guidance instructions for resolution (if any) and the resolution deadline (if any) shall be recorded on a separate form. The format of the Incoming Document Resolution Form is specified by the agencies and organizations (refer to Appendix IV).

d) After receiving the distribution instructions and guidance instructions for resolution (if any) from the authorized person, the incoming document shall be returned to the Secretary for supplementary registration in the Incoming Document Register Book or in the corresponding fields in the Incoming Document Management Database.

2. Transferring incoming documents

a) Based on the distribution instructions from the authorized person, the Secretary transfers the incoming document to the units or individuals responsible for resolution. The transfer of documents must be timely, accurate, correct to the recipient, secure, and maintain the confidentiality of the document's content.

b) After receiving the incoming document, the Secretary of the unit must record it in the Register Book, present it to the head of the unit for review and distribution instructions, and guidance on resolution (if any). Based on the head of the unit's instructions, the unit's Secretary transfers the document to the individual directly responsible for monitoring and resolving it.

c) Upon receiving the original of a fax or document transmitted via a network, the Secretary must stamp "Received", record the number and date of receipt as those of the previously registered fax or network-transmitted document, and transfer it to the unit or individual receiving the fax or network-transmitted document.

d) Based on the annual volume of incoming documents, agencies and organizations shall establish appropriate Transfer Registers for incoming documents; if there are fewer than 2,000 incoming documents, the Incoming Document Register Book can be used for document transfer; if there are more than 2,000 incoming documents, a separate Transfer Register for incoming documents should be established.

The format of the Transfer Register for incoming documents and the recording method shall be carried out in accordance with the guidelines set forth in Appendix V.

Article 7. Resolution and monitoring, urging the resolution of incoming documents

1. Resolution of incoming documents

a) Upon receipt of incoming documents, units and individuals responsible must resolve them promptly within the time limit prescribed by law or according to the opinion of the agency or organization. Incoming documents marked with urgent levels must be resolved first.

b) When presenting to the head of the agency or organization for consideration and decision on the resolution plan, the unit or individual must attach the incoming document resolution form with the proposal of the unit or individual.

For incoming documents related to other units and individuals, the main unit or individual responsible for resolving must send the document or a copy thereof (accompanied by the incoming document resolution form with instructions for resolution) to the person with authority to obtain opinions from relevant units and individuals. When presenting to the head of the agency or organization for consideration and decision, the main unit or individual must present along with the document containing the opinions of relevant units and individuals.

2. Monitoring and urging the resolution of incoming documents

a) All incoming documents with a set resolution deadline must be monitored and urged regarding the resolution deadline.

b) The head of the agency or organization assigns the Director of the Office, Head of the Administrative Department, or the person assigned responsibility to monitor and urge the resolution of incoming documents.

c) The archivist has the duty to compile data to report to the person assigned responsibility for monitoring and urging the resolution of incoming documents. In cases where the agency or organization has not yet applied computers for document management, the archivist needs to establish a Register to monitor the resolution of incoming documents.

The model of the Register to monitor the resolution of incoming documents and the method of recording are carried out according to the guidance in Appendix VI.

d) For incoming documents marked "Reclaimed Documents," the archivist is responsible for monitoring, reclaiming, or returning them to the sender according to the specified deadline.

Chapter III

MANAGEMENT OF OUTGOING DOCUMENTS

Article 8. Checking the format and presentation technique; recording the number and date of the document

1. Checking the format and presentation technique of the document

Before issuing the document, the archivist checks the format and presentation technique of the document; if errors are found, they must report to the responsible person for review and resolution.

2. Recording the number and date of the document

a) Recording the document number

All outgoing documents of the agency or organization are recorded with a number according to the unified numbering system managed by the archivist, except where otherwise provided by law.

- The recording of the number of normative legal documents is carried out according to the current legal provisions and registered separately.

-  The recording of the number of administrative documents is implemented according to Point a, Clause 1, Article 8 of Circular No. 01/2011/TT-BNV dated January 19, 2011, of the Ministry of Home Affairs on guiding the format and presentation technique of administrative documents, registered as follows:

- Types of documents: Directive (individual), Decision (individual), Regulation, Charter, Guidance are registered into one number and one numbering system.

-  Other types of administrative documents are registered into one number and a separate numbering system.

- Confidential outgoing documents are registered into one number and a separate numbering system.

b) Recording the date, month, year of the document

- The recording of the date, month, year of normative legal documents is carried out according to the current legal provisions.

- The recording of the date, month, year of administrative documents is carried out according to Point b, Clause 1, Article 9 of Circular No. 01/2011/TT-BNV.

Article 9. Registration of outgoing documents

Outgoing documents shall be registered in the Outgoing Document Register Book or the Outgoing Document Management Database on computer.

1\. Registration of outgoing documents using a register book

a) Establishing the Outgoing Document Register Book

Based on the numbering method and registration of outgoing documents as guided in Point a, Clause 2, Article 8 of this Circular, agencies and organizations shall establish the Outgoing Document Register Book accordingly.

b) The model of the Outgoing Document Register Book and the method of registering outgoing documents, including copies of documents and confidential documents, shall be carried out according to the guidance provided in Appendix VII.

2\. Registration of outgoing documents using the Outgoing Document Management Database on computer

a) General requirements for building the Outgoing Document Management Database shall be implemented in accordance with current laws governing this field.

b) The registration (updating) of outgoing documents into the Outgoing Document Management Database shall be carried out according to the instructions for using the software program for managing documents provided by the agency or organization supplying the program.

c) Outgoing documents registered in the Outgoing Document Management Database must be printed on paper for signature and filing of the original document.

Article 10. Copying, stamping of the agency and marking urgency and confidentiality levels

1\. Copying

Outgoing documents shall be copied in accordance with the quantity specified in the Recipient section of the document and within the prescribed time frame.

The copying of confidential outgoing documents shall be carried out in accordance with Clause 1, Article 8 of Decree No. 33/2002/NĐ-CP.

2\. Stamping of the agency

a) The stamping on signatures and attached appendices of the main document must be clear, neat, correct in orientation, and in red ink as prescribed. When stamping over a signature, the stamp must cover approximately one-third of the signature towards the left side.

b) The stamping of overlapping stamps, raised stamps on specialized documents and attached appendices shall be carried out in accordance with the regulations of the Minister, Head of the management sector.

c) Overlapping stamps shall be affixed in the middle of the right margin of the document or appendix, covering part of the pages; each stamp shall cover a maximum of five pages of the document.

3\. Stamping of urgency and confidentiality levels

a) The stamping of urgency levels ("Urgent", "Time-limited Urgent", "Highly Urgent", and "Urgent") on documents shall be carried out in accordance with Point b, Clause 2, Article 15 of Circular No. 01/2011/TT-BNV.

b) The stamping of confidentiality levels ("Top Secret", "Secret", and "Confidential"), and the "Recoverable Document" stamp on documents shall be carried out in accordance with Clause 2 of Circular No. 12/2002/TT-BCA (A11).

Article 11. Procedures for issuing, dispatching and tracking the dispatch of outgoing documents

1\. Issuing procedures for documents

a) Selecting envelopes

Document envelopes must be larger than the size of the document; made from durable, water-resistant paper that cannot be seen through, with a weight of at least 80 grams/square meter. Confidential document envelopes shall comply with the provisions of Clause 2 of Circular No. 12/2002/TT-BCA (A11).

b) Presenting and writing envelopes

The model for presenting document envelopes and the method of writing envelopes shall be carried out according to the guidance provided in Appendix VIII.

c) Inserting and sealing envelopes

Depending on the quantity and thickness of the document, choose the appropriate folding method to insert the document into the envelope. When folding the document, ensure that the side with text faces inward, avoiding creasing the document.

The adhesive used for sealing the envelope must have high adhesion, be difficult to peel off, adhere evenly, seal the edges without wrinkles, and not stick to the document.

d) Stamping urgency levels, confidentiality levels, and other stamps on envelopes

On urgent document envelopes, the urgency level stamp must match the stamp inside the envelope. The stamping of "Only named person may open" and other confidentiality level stamps on confidential document envelopes shall be carried out in accordance with Clause 2 and Clause 3 of Circular No. 12/2002/TT-BCA (A11).

2\. Dispatching outgoing documents

Outgoing documents must be completed with issuance and dispatched on the same day they are signed, or at the latest, on the next working day. For regulatory legal documents, they can be issued three days after signing the document.

a) Direct handover to units and individuals within the agency or organization

- In cases where the agency or organization has a large number of internal outgoing documents and the handover of documents is centralized at the Office, a separate Handover Register must be established.

The model of the Handover Register for outgoing documents and the method of registration shall be carried out according to the guidance provided in Appendix IX.

- In cases where the agency or organization has a small number of outgoing documents and the handover of documents is directly handled by the Office, the Outgoing Document Register shall be used for handover and the column "Unit, person receiving the copy" shall be used for signature receipt; the recipient must sign the register.

b) Direct handover to other agencies or organizations

- All outgoing documents handed over directly by the Office or personnel responsible for inter-agency handover to other agencies or organizations must be registered in the Handover Register for outgoing documents.

- When handing over documents, the recipient must sign the register.

c) Dispatching outgoing documents via Post

- All outgoing documents dispatched via Post must be registered in the register.

The model of the Register for sending documents via Post and the method of recording shall be carried out according to the guidance provided in Appendix X.

- When handing over the envelope, request the postal employee to check, sign, and stamp the register (if applicable).

d) Dispatching outgoing documents via Fax or network

In cases requiring rapid dispatch, outgoing documents shall be sent to the recipient via Fax or network, followed by sending the original.

đ) Dispatching confidential documents

The dispatching of confidential documents shall be carried out in accordance with Article 10 and Article 16 of Decree No. 33/2002/NĐ-CP and Clause 3 of Circular No. 12/2002/TT-BCA (A11).

3\. Tracking the dispatch of outgoing documents

The Office shall be responsible for tracking the dispatch of outgoing documents, specifically as follows:

a) Preparing the Dispatch Receipt Form to track the dispatch of outgoing documents as required by the document signer. Determination of which outgoing documents require a Dispatch Receipt Form shall be proposed by the unit or individual drafting the document and decided upon by the document signer.

b) For documents stamped with "Recoverable Document," tracking and recovery must be done within the specified timeframe; upon retrieval, verification and comparison must be conducted to ensure the document is not missing or lost.

c) In the case where a document sent out is returned by the Post Office for whatever reason, it must be transferred to the unit or individual who drafted the document; at the same time, a note must be made in the Register of Documents Sent Out via the Post Office for verification when necessary.

d) In the event that a document is found to be missing, it must be reported promptly to the responsible person for examination and resolution.

Article 12. Retaining Sent Documents

1. The retention of sent documents shall be carried out as follows:

a) Each sent document must be retained in two copies: the original copy retained in the Office of Records and the main copy retained in the file for tracking and resolving work matters.

b) The original copy retained in the Office of Records must be stamped and arranged in registration order.

2. In cases where a document is translated into a foreign language or a minority language, in addition to retaining the original version in Vietnamese, the accurate translation in the foreign language or minority language must also be retained.

3. The retention, preservation, and use of stamped classified levels of retained sent documents shall be carried out in accordance with current regulations on state secrets protection.

4. The Office of Records is responsible for establishing a register to track and promptly serve requests for the use of retained documents at the Office of Records in accordance with the law and specific regulations of the agency or organization.

The Model Register for Using Retained Documents and the method of recording shall be implemented according to the guidance provided in Appendix XI.

Chapter IV

ESTABLISHING FILES AND SUBMITTING FILES AND DOCUMENTS FOR ARCHIVAL STORAGE

Article 13. Establishing a File Directory

1. Purpose of the File Directory

a) Managing activities of agencies, organizations, and individuals through the file system.

b) Assisting agencies and organizations in proactively organizing files and managing documents systematically and scientifically during the archiving phase.

c) Serving as a basis for inspecting and urging the establishment of files at units and individuals; contributing to enhancing awareness and responsibility of each individual within the agency or organization regarding the establishment of files and preparing for submission of archival storage.

d) Serving as a basis for selecting valuable materials for archival storage and utilization.

2. Basis for Establishing a File Directory

The main bases for establishing a file directory include: Regulations stipulating functions, tasks, authorities, organizational structure of the agency or organization and its units; Work regulations of the agency or organization; Regulations on records management and archival work of the agency or organization; Annual plans and tasks of the agency or organization, units, and individuals; File directories from previous years; Tables of document retention periods and file indexes of the agency or organization (if available).

3. Content of Establishing a File Directory

a) Building the framework of the file directory

- The framework of the file directory is established based on the organizational structure or the field of activity of the agency or organization. Based on the actual situation of each agency or organization, choose the appropriate file directory framework to ensure comprehensive, accurate, and convenient file establishment. Agencies and organizations with stable organizational structures, clearly defined functions and tasks of units should apply the file directory framework based on organizational structure. Those with complex, unstable, and unclear organizational structures should establish the file directory framework based on fields of activity.

- If based on organizational structure, the names of units within the agency or organization are used as headings (sections) of the file directory.

- If based on fields of activity, the main fields of activity of the agency or organization are used as headings (sections) of the file directory.

- Within each major heading, subheadings are included which cover issues related to the functions and tasks of the unit - for the framework based on organizational structure; or issues within the scope of a field of activity - for the framework based on fields of activity.

- Within each subheading, files are arranged in sequence from general to specific, from comprehensive to detailed, taking into account the position and importance of the files.

Model File Directory - Appendix XII.

b) Identifying files to be established, proposing file titles, and determining the unit or individual responsible for establishing them

- Identify files to be established in the year, the unit or individual responsible for establishing files based on the basis for establishing the file directory under Clause 2 of this Article; especially the annual program, plan, and tasks of the agency or organization and its units, and specific tasks and work of each unit.

- File titles should be concise and clear but must summarize the content of the documents and materials that will form during the process of tracking and resolving work matters.

Examples of Prominent File Titles - Appendix XIII.

c) Estimating the retention period of files

The retention period of files is recorded according to the Table of Common Document Retention Periods formed in the activities of agencies and organizations; the Table of Specialized Document Retention Periods and the Table of Document Retention Periods of the agency or organization (if available).

d) Numbering and coding headings and files

- Major headings are numbered continuously using Roman numerals.

- Subheadings (if any) within each major heading are numbered separately using Arabic numerals.

- The number and code of files include the serial number marked using Arabic numerals and the code (abbreviations) of the major heading. Abbreviations of major headings in the file directory are determined by the agency or organization but need to be short, easy to understand, and remember.

The numbering of files can be applied in one of the following two ways:

- Files are numbered continuously throughout the entire file directory, starting from number 01.

- Files are numbered continuously within the scope of each major heading, starting from number 01.

4. Organizing the Establishment of a File Directory

a) A file directory is established in two ways:

- First way: The Office of Records drafts the file directory of the agency or organization; solicits feedback from relevant units and individuals; perfects the draft, submits it to the leadership of the Office or Administrative Department for approval by the head of the agency or organization.

- Second way: Units draft their own file directories according to the business guidance of the Office of Records; the Office of Records compiles the file directory of the agency or organization, supplements and revises (if necessary), perfects the draft, submits it to the leadership of the Office or Administrative Department for approval by the head of the agency or organization.

b) The file directory is reviewed and signed off by the head of the agency or organization at the beginning of the year.

c) Copies of the file list that have been issued shall be sent to relevant units and individuals for them to establish files according to the list. During the process, if there are expected files that do not match the actual situation or if new tasks arise within the responsibility of establishing files for that unit or individual, they shall promptly amend and supplement their own file list so that the Secretary can compile and supplement the file list of the agency or organization.

Article 14. Opening Files

1. Opening files involves taking a file cover and recording initial information about the file such as the file code, title, and year of opening. The file cover is designed and printed according to the National Standard TCVN 9251:2012 File Cover for Archival Storage.

2. Each individual responsible for handling assigned work must open a file on that work (according to the file list, or even in cases where the agency or organization has not yet established a file list).

Article 15. Collecting and Updating Documents and Materials into Files

1. Each individual is responsible for collecting and updating all documents and materials formed during the monitoring and handling of work into the corresponding opened file, including film, photos, audio recordings.

2. Timely collection of documents and materials such as speeches by leaders, discussions by representatives at conferences, seminars... should be ensured to maintain the completeness and adequacy of the file, avoiding loss.

Article 16. Closing Files

1. When the work is completed, the file is closed, and the person responsible for the file must:

a) Check the completeness of the documents and materials in the file, and if any are missing, they must be supplemented.

b) Review and remove from the file: Duplicate copies, drafts, manuscripts if there is already an original (except important manuscripts containing directives from leadership or comments from related agencies or manuscripts deemed necessary to retain by the file creator); photocopies of reference documents considered unnecessary to keep.

c) Arrange the documents and materials in the file in the order of work resolution or chronologically, by type name, author of the document... If the file contains film or photos, they should be placed in envelopes; tapes, discs, audio, video recordings should be placed in boxes and arranged at the end of the file. If the file exceeds 3 cm in thickness, it should be divided into separate preservation units (not less than 1 cm) for ease of management and use. Each preservation unit within the file shares common characteristics and main components similar to an independent file (for example, the file for drafting legal normative documents may be divided into preservation units such as Drafts, Reviews, Revisions...).

d) Review the retention period of the file (in comparison with the file list and the actual documents in the file).

đ) Complete and revise the file title to be consistent with the content of the documents in the file (if necessary).

2. If the work is not completed by the end of the year, the file closing process will not be carried out, and the file will be included in the next year's file list.

Article 17. Time Limit, Components of Files and Documents, and Procedures for Submission to Archives

1. The time limit for submitting files and documents from units and individuals to the agency archives is one year from the date the work is completed; for construction project files and documents, it is three months from the date of project settlement.

2. The components of files and documents submitted to the agency archives include all files and documents with a retention period of five years or more, except for the following types of files and documents:

a) Principle files used as a basis for monitoring and resolving work within the responsibility of each individual, which can be retained by the individual and destroyed when the document expires.

b) Files on unfinished work.

c) Jointly processed work files (where they overlap with the main unit's files).

d) Documents and materials sent for information or reference.

3. Submission Procedures

When submitting documents for archiving, two copies of the "File and Document Submission List" (Annex XIV) and two copies of the "Handover Record for Files and Documents" (Annex XV) must be prepared. The unit or individual submitting the documents and the agency archives each retain one copy of each type.

Chapter V

RESPONSIBILITIES FOR ESTABLISHING FILES AND HANDLING FILES AND DOCUMENTS FOR ARCHIVAL STORAGE

IN THE AGENCY

Article 18. Responsibilities of the Head of the Agency or Organization

The head of the agency or organization is responsible for directing, inspecting, and guiding the establishment of files and the submission of files and documents to the agency's archives.

Article 19. Responsibilities of the Director of the Office (Head of Administrative Department) or the person assigned responsibility

1. Organize the implementation of file establishment and submission to the archives at the agency or organization. Specifically:

a) Direct the construction and submission to the head for issuance of the File Directory of the agency or organization;

b) Direct the guidance, inspection of file establishment and submission of files and documents to the agency's archives.

2. Advise the head of the agency or organization on directing, inspecting, and guiding the establishment of files and submission of files and documents to the archives for subordinate agencies or organizations.

Article 20. Responsibilities of the Head of a Unit within the Agency or Organization

The head of a unit within the agency or organization is responsible for organizing the implementation of file establishment, preservation, and submission of files and documents of the unit to the agency's archives. Specifically:

1. Assign responsibilities to individuals within the unit to establish files regarding matters that the unit is tasked with handling.

2. Organize the receipt of files from individuals after completion of tasks and manage the unit's files before the deadline for submission to the agency's archives.

3. Organize the selection and submission of valuable files and documents to the agency's archives according to the prescribed deadlines.

Article 21. Responsibilities of Individuals within the Agency or Organization

1. During the process of monitoring and resolving work, each individual must establish a file on the work and submit it to the agency's archives according to the guidelines set forth in this Circular. In addition to establishing work files, principle files should be established as a basis for daily work resolution.

2. If a unit or individual wishes to retain files and documents that have reached the submission deadline for work purposes, they must obtain approval from the head of the agency or organization and prepare a List of Retained Files and Documents to be submitted to the agency's archives. The retention period for unit or individual files and documents shall not exceed two years from the date of the submission deadline.

3. Upon retirement, resignation, or transfer, they must hand over files and documents to the unit or successor. Handover files and documents must be recorded and documented in a handover record.

Article 22. Responsibilities of the Unit Secretary

1. At the end of each year, review the file establishment situation of individuals within the unit, identify completed files, and guide the completion of files for submission.

2. Record files and documents submitted in the File and Document Submission Register.

3. Prepare the handover of files and documents to the agency's archives.

Article 23. Responsibilities of the Agency Secretary

1. Construct the File Directory of the agency or organization.

2. At the beginning of the year, the Secretary duplicates and sends the File Directory to units, officers, civil servants, and officials as a basis for file establishment. Based on the File Directory, the Secretary prepares file covers to be handed over to units or individuals responsible for file establishment.

3. Coordinate with the agency's archives to provide guidance, urge, and inspect file establishment within the agency.

Article 24. Responsibilities of the Agency's Archives

1. Assist the head of the agency or organization in guiding file establishment and submission of files and documents.

2. Receive, complete, and arrange files and documents

a) Receive files and documents that have reached the submission deadline from units and individuals and prepare a Handover Record for files and documents. If missing files are discovered, request units or individuals to supplement or report to the authority for resolution.

b) Complete files and prepare a File Register - Completing files includes: Writing the cover according to the model (correcting information on the file cover if necessary), numbering pages in the file. For files with permanent preservation periods, write the Completion Certificate and index the documents in the file. - Prepare separate File Registers for permanently preserved files and files with limited preservation periods.

c) Arrange files and documents into boxes (cases), label and affix labels to boxes, and place them on shelves.

3. Submit archival materials with permanent preservation value included in the Submission Document Directory to historical archives; organize the destruction of expired materials according to the decision of the head of the agency or organization.

Chapter VI

IMPLEMENTING PROVISIONS

Article 25. Abolish current provisions

This Circular abolishes the current guidance on file preparation work issued with Circular No. 261-NV dated October 12, 1977, by the Archive Office of the Council.

Article 26. Effective date

This Circular takes effect from January 7, 2013.

Article 27. Implementation Organization

Ministries, ministerial-level agencies, government agencies, People's Committees of provinces and centrally governed cities, central agencies of social organizations, state economic organizations are responsible for disseminating, guiding, and supervising the implementation of this Circular./.