Decree No. 111/2004/NĐ-CP detailing the implementation of certain provisions of the National Archives Law

DECREE

Regulations on the Detailed Implementation of Certain Provisions of the National Archives Law

__________________

THE GOVERNMENT

Pursuant to the Law on Organization of the Government dated December 25, 2001;
Pursuant to the National Archives Law dated April 4, 2001;
At the request of the Minister of Home Affairs,

DECREE

Chapter I

GENERAL PROVISIONS

Article 1. Scope and regulated subjects

This Decree provides detailed implementation of certain provisions of the National Archives Law regarding the management of archiving work and archival documents; it applies to state agencies, political organizations, socio-political organizations, social organizations, economic organizations, and people's armed forces units (hereinafter referred to collectively as agencies and organizations) and individuals.

Article 2. Components of the National Archive Collection

1. The components of the National Archive Collection of the Communist Party of Vietnam shall be prescribed by the competent authority of the Party.

2. The components of the National Archive Collection of the State of Vietnam include:

a) Documents of agencies and organizations of the Democratic Republic of Vietnam and the Socialist Republic of Vietnam;

b) Documents of agencies and organizations of the Provisional Revolutionary Government of the Republic of South Vietnam and other organizations under revolutionary governments before April 30, 1975;

c) Documents of agencies and organizations of the feudal regime of Vietnam;

d) Documents of agencies and organizations of colonial and imperialist regimes that invaded Vietnam before April 30, 1975;

đ) Documents of agencies and organizations of the Republic of Vietnam;

e) Documents of other organizations as prescribed by law;

g) Documents of historical figures and outstanding families and clans throughout different historical periods.

Article 3. Personal and Family Documents

1. Personal and family documents of outstanding individuals (hereinafter referred to collectively as individuals) with value as prescribed in Article 1 of the National Archives Law include:

a) Biographies, genealogies, clan histories, degrees, and titles;

b) Scientific research works and creative works;

c) Documents of individuals on political and social activities;

d) Correspondence;

đ) Works and articles about individuals collected or received by individuals;

e) Audiovisual materials of individuals or about individuals collected or received by individuals;

g) Special publications collected by individuals.

2. Registration and protection of personal documents are regulated as follows:

a) Historical archives have the responsibility to implement registration and protection of personal documents as prescribed in Clause 1 of this Article;

b) When there is a need for protection, individuals or representatives of families and clans may come to the nearest historical archive to register;

c) For documents already registered for protection, historical archives must assist individuals in protecting and safely preserving those documents;

d) Criteria for personal documents eligible for registration and protection and procedures for registration and protection are prescribed by the Minister of Home Affairs.

3. Donation, depositing, and selling of personal documents

a) The decision to donate, deposit, or sell personal documents to historical archives is made by individuals, families, or clans owning the documents;

b) Personal documents donated to historical archives become state property. Individuals who donate documents have priority in using them;

c) Individuals depositing documents into historical archives must pay storage fees, except for documents already registered for protection;

d) Exploitation and use of deposited documents at historical archives require written consent from the individual owning the documents;

đ) Purchase and sale of personal archival documents are carried out at agreed prices or through auctions. In cases where documents are offered at the same price, historical archives have priority in purchasing them;

4. Transfer of personal documents abroad

a) If individuals wish to transfer personal documents subject to state registration and protection abroad, they must provide such documents to historical archives for making copies before transferring them;

b) Personal documents related to state secrets may not be transferred abroad.

Article 4. Investment Funding for Archival Activities

1. Sources of investment funding include:

a) State budget;

b) Revenue from fees for exploiting and using archival documents;

c) Sponsorship from domestic and foreign organizations and individuals.

2. Activities funded include:

a) Construction and renovation of document storage facilities;

b) Procurement of equipment and means for document preservation;

c) Collection of rare and valuable documents both domestically and internationally;

d) Purchase of personal documents of individuals, families, clans, and other organizations with value as prescribed in Article 1 of the National Archives Law;

đ) Classification, arrangement, and valuation of documents;

e) Implementation of document preservation techniques;

g) Restoration and conservation of archival documents;

h) Preparation of insurance copies of archival documents;

i) Publication, announcement, introduction, exhibition, and display of archival documents;

k) Research and application of science and technology in archival work;

l) Other activities funded according to legal regulations.

3. Heads of agencies and organizations are responsible for ensuring funding for the activities specified in Clause 2 of this Article.

Chapter II

COLLECTION, PRESERVATION, AND EXPLOITATION AND USE OF ARCHIVAL DOCUMENTS

Article 5. Collection of Documents into Current Archives

Annually, current archives have the responsibility to:

1. Develop plans for collecting files and documents;

2. Coordinate with units and individuals to identify files and documents to be collected;

3. Guide units and individuals in preparing files and documents for submission and compiling a "List of Files and Documents Submitted for Storage";

4. Prepare storage facilities and means for receiving documents;

5. Organize the receipt of documents and prepare a "Handover Record of Documents".

The "List of Files and Documents Submitted for Storage" and the "Handover Record of Documents" are prepared in two copies according to a unified model guided by the Director of the National Office for Archives and Records Management. The submitting unit or individual and the archive of the agency or organization each retain one copy.

Article 6. Collection of Documents into Historical Archives

1. Authority to collect documents into the National Archive Collection of the Communist Party of Vietnam is prescribed by the Party's competent authority.

2. Authority to collect documents into the National Archive Collection of the State of Vietnam is regulated as follows:

a) National Archive Centers have the authority to collect archival documents formed in the activities of the following agencies and organizations:

Central agencies and organizations of the Democratic Republic of Vietnam and the Socialist Republic of Vietnam;

State organs and organizations at the central level of the Democratic Republic of Vietnam;

Central organs of the Provisional Revolutionary Government of the Republic of South Vietnam and other central organizations under the revolutionary government before April 30, 1975;

State enterprises established and organized by the Prime Minister, Ministers, Heads of Ministries-equivalent agencies, and Heads of governmental agencies, and other economic organizations as prescribed by law;

Organs and organizations of the feudal regime of Vietnam;

Organs and organizations of colonial and imperialist regimes occupying Vietnam before April 30, 1975;

Central organs of the Republic of Vietnam and other organizations before April 30, 1975;

Other organizations as prescribed by law;

Individuals, families, and clans voluntarily donating, depositing, or selling archival materials;

b) Provincial archives (hereinafter referred to as provincial archives), district, town, city, and provincial city archives (hereinafter referred to as district archives) have the authority to collect archival materials formed during the operation of the following organs and organizations;

State organs and organizations at the same level in the locality;

Central organs of the Republic of Vietnam and other organizations at the same level in the locality before April 30, 1975;

State enterprises established by the Chairman of the People's Committee of the province and other economic organizations as prescribed by law;

Other organizations as prescribed by law;

Individuals, families, and clans voluntarily donating, depositing, or selling archival materials;

3. Responsibilities of organs and organizations:

a) Submit archival materials to historical archives according to the time limit specified in Article 7 of this Decree. In cases where organs and organizations wish to retain files and materials that have reached the submission deadline, they must obtain written consent from the competent historical archive;

b) Submit archival materials based on file records or preservation units compiled into a "List of Files and Materials Submitted for Storage";

c) Submit all boxes, folders, and accompanying retrieval tools;

d) Transport archival materials to the submission location;

4. Responsibilities of historical archives:

a) Develop plans to collect archival materials;

b) Coordinate with current archives to select materials to be collected;

c) Guide current archives to prepare materials for submission;

d) Prepare storage facilities and equipment to receive materials;

đ) Organize the receipt of materials and establish a "Handover Record of Archival Materials";

The "List of Files and Materials Submitted for Storage" and the "Handover Record of Archival Materials" shall be prepared in two copies according to a unified model guided by the Director of the National Archives and Records Administration. The archives of the organ or organization and the historical archives shall each keep one copy;

5. Criteria for determining organs and organizations belonging to the source of submitting archival materials to historical archives at various levels shall be stipulated by the Minister of Home Affairs;

The list of organs and organizations belonging to the source of submitting archival materials to National Archives Centers shall be approved by the Director of the National Archives and Records Administration;

The list of organs and organizations belonging to the source of submitting archival materials to provincial archives and district archives shall be approved by the Chairman of the People's Committee at the same level;

The components of archival materials submitted for storage to historical archives at various levels shall be implemented according to the guidance of the Director of the National Archives and Records Administration;

Article 7. Time limit for submitting archival materials to historical archives

1. Administrative documents, scientific research documents, application of science and technology documents, basic construction documents: ten years after the year the documents were submitted to the current archives of organs and organizations at the central level; five years after the year the documents were submitted to the current archives of organs and organizations at the local level;

2. Film, photograph, film, microfilm, audio recording, video recording, and other documents: two years after the year the documents were submitted to the current archives of the organ or organization;

3. Documents of national defense, public security, and foreign affairs sectors: thirty years after the year the documents were submitted to the current archives of the organ or organization, except for un-declassified documents and documents still in current use;

Article 8. Management of archival materials of other organs and organizations

Archival materials formed in the activities of organs and organizations not belonging to the source of submitting archival materials to National Archives Centers, provincial archives, and district archives shall be managed at the archives of the organ or organization according to this Decree and relevant laws;

Article 9. Management of archival materials in cases of division, merger, and conversion of ownership form

The management of archival materials in cases of division, merger of organs and organizations and administrative units; and conversion of state enterprise ownership forms shall be regulated by the Minister of Home Affairs;

Article 10. Arrangement of archival materials

1. Organs and organizations are responsible for arranging their own archival materials;

2. After arrangement, archival materials must meet the following requirements:

a) Categorize and compile complete files;

b) Determine retention periods for files and materials for current archives; determine permanently valuable materials and materials without value to be removed and destroyed for historical archives;

c) Systematize files and materials;

d) Compile a list of files and materials;

đ) Compile a list of materials without value to be removed and destroyed;

3. The procedures for arranging archival materials shall be carried out according to the guidance of the Director of the National Archives and Records Administration;

Article 11. Determination of the value of archival materials

1. The determination of the value of archival materials must meet the following requirements:

a) Identify permanently valuable materials and materials with a retention period measured in years;

b) Identify materials without value to be removed and destroyed;

2. Issuance of retention period tables for archival materials

a) The Director of the National Archives and Records Administration shall issue tables of retention periods for typical archival materials;

b) Heads of organs and organizations managing sectors and fields at the central level shall issue specialized retention period tables for archival materials after reaching consensus with the Director of the National Archives and Records Administration;

3. Appraisal Board for archival materials

a) When conducting the appraisal of archival materials, organs and organizations must establish an Appraisal Board for archival materials. The Board has the responsibility to advise the head of the organ or organization on decisions regarding:

Index of files and documents to be retained for storage;

List of documents that have lost their value.

b) The members of the Council for Determining the Value of Documents include:

Director of the central agency's office; Director of the People's Committee Office at provincial, district, and commune levels, and deputy heads of other agencies and organizations: Chairperson of the Council;

Representative of the unit holding the documents: Member;

Representative of the agency or organization's archive: Member.

c) The Council operates in the following manner:

Each member of the Council reviews the regulations stipulated in point a, Clause 3 of this Article; for the list of documents that have lost their value, it is necessary to check the actual status of the documents;

- The Council discusses collectively and votes according to the majority;

- Approves the minutes and submits them to the head of the agency or organization for decision.

Article 12. Destruction of documents that have lost their value

1. Examination of documents that have lost their value before destruction

The examination of documents that have lost their value before destruction is regulated as follows:

a) The National Archives and Records Management Department examines documents from the National Archive Centers and those from agencies and organizations submitting documents to the National Archive Centers;

b) Provincial archives examine documents from provincial archives, district archives, and those from agencies and organizations submitting documents to provincial archives;

c) District archives examine documents from agencies and organizations submitting documents to district archives and from communes;

d) Archives of higher-level agencies examine documents from subordinate units not submitting documents to historical archives;

2. Authority to decide on the destruction of documents that have lost their value

a) The Director of the National Archives and Records Management Department decides on the destruction of documents that have lost their value stored at National Archive Centers;

b) The Minister, Head of a ministry-equivalent agency, Head of a government-affiliated agency, and the head of other agencies and organizations submitting documents to National Archive Centers decide on the destruction of documents that have lost their value of their respective agencies and organizations after receiving a written review opinion from the Director of the National Archives and Records Management Department;

c) The Chairman of the Provincial People's Committee decides on the destruction of documents that have lost their value stored at provincial archives;

d) The head of agencies and organizations submitting documents to provincial archives decides on the destruction of documents that have lost their value of their respective agencies and organizations after receiving a written review opinion from the provincial archives;

đ) The Chairman of the District People's Committee decides on the destruction of documents that have lost their value stored at district archives after receiving a written review opinion from the provincial archives;

e) The head of agencies and organizations submitting documents to district archives decides on the destruction of documents that have lost their value of their own agencies and organizations after receiving a written review opinion from the district archives;

g) The Chairman of the Commune People's Committee decides on the destruction of documents that have lost their value of the commune after receiving a written review opinion from the district archives;

h) The head of agencies and organizations not submitting documents to National Archive Centers, provincial archives, and district archives decides on the destruction of documents that have lost their value of their own agencies and organizations after receiving a written review opinion from the directly superior agency or organization;

3. Destruction of documents that have lost their value

The destruction of documents that have lost their value can only be carried out after receiving a written decision from the authorized person;

When destroying documents, all information contained in the documents must be completely destroyed;

The destruction of documents must be recorded in a protocol with confirmation from the person carrying out the destruction and the agency or organization holding the documents;

The file on the destruction of documents that have lost their value must be kept by the agency or organization whose documents were destroyed for at least twenty years from the date of destruction;

4. The destruction of documents that have lost their value shall be carried out in accordance with the guidelines of the Director of the National Archives and Records Management Department.

Article 13. State statistics on archives

1. The objects of archive statistics include: archive document statistics, archive storage facilities, means of preserving archive documents, and archive staff.

2. Archive statistics are conducted regularly. Annual archive statistics data are calculated from 00:00 on January 1 to 24:00 on December 31.

3. The submission of archive statistical reports is regulated as follows:

a) At the central level: subordinate units submit reports to the directly superior agency or organization. The archives of ministries, ministry-equivalent agencies, government-affiliated agencies, and central organizations consolidate the data and submit reports to the National Archives and Records Management Department;

b) At the local level: the Commune People's Committee, departments, and agencies and organizations under the district submit reports to the district archives; districts, bureaus, departments, and other agencies and organizations under the province submit reports to the provincial archives. The provincial archives consolidate the data and submit reports to the National Archives and Records Management Department.

4. Agencies and organizations implement the reporting system for archive statistics according to forms and deadlines prescribed by the General Statistics Office Director and the Minister of Home Affairs.

Article 14. Preservation of archival documents

1. Archival documents of agencies and organizations must be protected and safely preserved in archive storage facilities.

2. The head of the agency or organization is responsible for directing the implementation of the following regulations regarding the preservation of archival documents:

a) Constructing or arranging archive storage facilities in accordance with established standards;

b) Implementing measures to prevent fire and explosion; natural disasters; theft prevention and confidentiality for archive storage facilities and archival documents;

c) Equipping with complete technical equipment and means for preserving archival documents;

d) Maintaining appropriate temperature, humidity, and light for each type of archival document;

đ) Implementing measures to prevent insects, mold, acid damage, and other factors causing damage to documents;

e) Repairing and restoring damaged archival documents or those at risk of damage;

g) Implementing insurance for particularly valuable and rare archival documents.

3. Standards for various types of archive storage facilities are prescribed by the Minister of Home Affairs.

4. Techniques for preserving archival documents are implemented according to the guidelines of the Director of the National Archives and Records Management Department.

Article 15. Rights and responsibilities of agencies, organizations, and individuals in the exploitation and use of archival documents

1. Agencies, organizations, and individuals may exploit and utilize archival materials belonging to the National Archive Repository of Vietnam to serve their work requirements, scientific research, and other legitimate needs in accordance with the provisions of the law.

2. Agencies, organizations, and individuals must strictly comply with the regulations on the utilization of archival materials of the agencies or organizations holding such materials and relevant legal provisions when exploiting and utilizing archival materials.

3. Agencies, organizations, and individuals must pay for the exploitation and utilization of archival materials in accordance with the provisions of the law.

Article 16. Authority to define the list of particularly valuable and rare historical archival materials

1. The Director of the National Archives and Records Administration shall approve the list of particularly valuable and rare archival materials at national archives centers.

2. The Chairman of the People's Committee at the provincial and district levels shall approve the list of particularly valuable and rare archival materials at provincial and district archives.

Criteria for particularly valuable and rare archival materials shall be prescribed by the Minister of Home Affairs.

Article 17. Authority to permit the exploitation and utilization of materials in the State Archive Repository

1. The head of the national archives center permits the exploitation and utilization of archival materials preserved at the national archives center, except for those classified as state secrets and particularly valuable and rare archival materials.

2. The Director of the National Archives and Records Administration permits the exploitation and utilization of particularly valuable and rare archival materials preserved at national archives centers.

3. The Chairman of the Provincial or District People's Committee permits the exploitation and utilization of archival materials preserved at local historical archives.

4. The heads of agencies and organizations permit the exploitation and utilization of archival materials preserved in their own archives.

Article 18. Procedures for the exploitation and utilization of archival materials

1. Procedures for the exploitation and utilization of materials at historical archives

a) Individuals coming to exploit and utilize materials at historical archives for official purposes must have a request letter or an introduction letter from their workplace; for personal purposes, they must submit an application for using archival materials and present a National Identity Card or passport (if they are foreigners); in case of specialized research, they must also provide a research outline.

b) Individuals requesting indirect or remote provision of information on archival materials for official purposes must have a request letter from their workplace; for personal purposes, they must submit an application for providing information on archival materials confirmed by their workplace or the local authority where they reside.

2. Procedures for the exploitation and utilization of materials at current archives

Procedures for the exploitation and utilization of archival materials at current archives are determined by the head of the agency or organization.

Article 19. Authority to permit the removal of materials from the State Archive Repository to foreign countries

1. The Director of the National Archives and Records Administration permits the removal of widely used archival materials preserved at national archives centers.

2. The Chairman of the Provincial People's Committee permits the removal of widely used archival materials preserved at provincial archives.

3. The Chairman of the District People's Committee permits the removal of widely used archival materials preserved at district archives.

4. The head of other agencies or organizations permits the removal of widely used archival materials of their agencies or organizations.

5. The Prime Minister permits the removal of particularly valuable and rare archival materials.

Article 20. Copies of archival materials

1. The authorized person permitting the exploitation and utilization of archival materials also permits the copying of archival materials.

2. Copying of archival materials must be carried out by the agency or organization directly managing the archival materials.

Article 21. Authority to permit the publication of materials in the National Archive Repository

1. The Director of the National Archives and Records Administration permits the publication of widely used archival materials preserved at national archives centers.

2. The Chairman of the Provincial or District People's Committee permits the publication of widely used archival materials preserved at provincial and district archives.

3. The head of the agency or organization permits the publication of widely used archival materials of their agency or organization.

Principles and procedures for the publication of archival materials are prescribed by the Minister of Home Affairs.

Article 22. Authority to permit the exploitation, utilization, and publication of materials listed as state secrets and materials in the Communist Party of Vietnam Archive Repository

1. The authority to permit the exploitation, utilization, publication, and removal of materials listed as state secrets to foreign countries is implemented according to the current laws on protecting state secrets.

2. The authority to permit the exploitation, utilization, publication, and removal of materials in the Communist Party of Vietnam Archive Repository to foreign countries is defined by the competent authority of the Party.

Chapter III

STATE MANAGEMENT OF ARCHIVES

Article 23. Responsibilities for state management of archives

1. The Ministry of Home Affairs is responsible before the Government for implementing state management of archives.

The National Archives and Records Administration is responsible for assisting the Minister of Home Affairs in implementing state management of archives.

2. Ministries, ministerial-level agencies, and government agencies implement archive management over subordinate agencies and organizations in the following areas:

a) Developing and directing the implementation of archive development plans for ministries and sectors;

b) Based on legal provisions, issuing, guiding, and inspecting the implementation of archive systems and regulations for subordinate agencies and organizations;

c) Conducting statistics on archives as prescribed;

d) Uniformly managing professional and technical aspects of archives for subordinate agencies and organizations;

đ) Organizing and directing the application of science and technology in archive activities;

e) Organizing training and upgrading civil servants and staff in archives; managing commendation and reward work in archive activities;

g) Directly collecting, preserving, and organizing the use of archival materials formed during the operation of the agency;

h) Organizing mid-term and final reviews of archive activities.

3. Provincial and District People's Committees implement archive management within their respective jurisdictions in the following areas:

a) Developing and directing the implementation of archive development plans in their locality;

b) On the basis of legal provisions, issue, guide and inspect the implementation of archival systems and regulations for agencies and organizations at the local level;

c) Conducting statistics on archives as prescribed;

d) Uniformly manage professional and operational archival activities for agencies and organizations at the local level;

đ) Organize and direct research and application of science and technology in archival activities;

e) Organizing training and upgrading civil servants and staff in archives; managing commendation and reward work in archive activities;

g) Directly collect, preserve, and organize the use of archival materials formed during the operation of agencies and organizations that submit archival materials to the historical archives of the locality;

h) Organizing mid-term and final reviews of archive activities.

4. Each agency and organization must have current archives to manage its own file and archival materials. Current archives have the following responsibilities:

a) Guide officials, civil servants, and employees within the agency or organization to establish files and prepare files and archival materials for submission to current archives;

b) Collect files and archival materials due for submission to current archives;

c) Classify, arrange, determine value, inventory, and organize files and archival materials;

d) Protect and safely preserve files and archival materials;

đ) Serve the exploitation and utilization of archival files and materials;

e) Select files and archival materials eligible for submission to historical archives according to regulations and perform procedures for destroying materials that have lost their value;

Article 24. The organizational structure and functions of state archival organizations at all levels shall be implemented in accordance with the Government's regulations and the guidance of the Minister of Home Affairs;

Chapter IV

REWARD, VIOLATION HANDLING AND COMPLAINTS, REPORTS

Article 25. Awards

Agencies, organizations, and individuals who achieve any of the following achievements will be rewarded according to the provisions of the law:

1. Excellently completing the tasks of collecting, protecting, safely preserving, and effectively serving the exploitation and utilization of national archival materials;

2. Discovering, submitting, or donating valuable archival materials and particularly rare archival materials to archival agencies;

3. Timely detecting and reporting acts of appropriation, damage, or illegal destruction of national archival materials;

Article 26. Handling Violations

Any person violating the provisions of this Decree and other legal provisions on archiving shall be subject to disciplinary action, administrative penalties, or criminal prosecution according to the provisions of the law depending on the nature and severity of the violation;

Article 27. Complaints, accusations, and resolution of complaints and accusations

1. Organizations and individuals have the right to lodge complaints against violations of the law in the field of archiving;

2. Individuals have the right to report violations of the law in the field of archiving;

3. The resolution of complaints and reports in the field of archiving shall be carried out in accordance with the law on complaints and reports;

Chapter V

IMPLEMENTING PROVISIONS

Article 28. Effectiveness

1. This Decree shall take effect fifteen days after its publication in the Official Gazette.

2. Repeal Section II - Archival Work of the Regulation on Official Correspondence and Archival Work issued together with Decree No. 142/CP dated September 28, 1963 of the Council of Ministers and previous provisions contrary to the provisions of this Decree;

Article 29. Implementation guidance

The Minister of Home Affairs is responsible for guiding the implementation and inspecting the enforcement of this Decree;

Article 30. Responsibilities for implementation

The Minister, the Heads of Ministries equivalent to Ministries, the Heads of Government Agencies, and the Chairmen of Provincial People's Committees directly under the Central Government are responsible for enforcing this Decree.