Circular No. 13/2023/TT-BNV guides the storage of electronic administrative procedure files

CIRCULAR

Guidelines for storing electronic administrative procedure files

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

Pursuant to Decree No. 01/2013/NĐ-CP dated January 3, 2013 of the Government detailing certain provisions of the Law on Archives;

Pursuant to Decree No. 63/2022/NĐ-CP dated September 12, 2022 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Home Affairs;

Pursuant to Decree No. 61/2018/NĐ-CP dated April 23, 2018 of the Government on implementing the single window mechanism and the interlinked single window mechanism in handling administrative procedures, and Decree No. 107/2021/NĐ-CP dated December 6, 2021 of the Government amending and supplementing some articles of Decree No. 61/2018/NĐ-CP dated April 23, 2018 of the Government on implementing the single window mechanism and the interlinked single window mechanism in handling administrative procedures;

Pursuant to Decree No. 30/2020/NĐ-CP dated March 5, 2020 of the Government on clerical work;

Pursuant to Decree No. 45/2020/NĐ-CP dated April 8, 2020 of the Government on handling administrative procedures in an electronic environment;

Pursuant to Decree No. 47/2020/NĐ-CP dated April 9, 2020 of the Government on managing, connecting, and sharing digital data of state agencies;

Pursuant to Decree No. 42/2022/NĐ-CP dated June 24, 2022 of the Government on providing information and online public services of state agencies in a networked environment;

At the proposal of the Director of the General Office for Archives;

The Minister of Home Affairs issues this Circular guiding the storage of electronic administrative procedure files.

Article 1. Scope of Regulation

This Circular guides the storage of electronic administrative procedure files.

Article 2. Applicability

Agencies, organizations, state-owned enterprises (hereinafter referred to as agencies and organizations), and individuals implement the handling of administrative procedures.

Article 3. Components of electronic administrative procedure files submitted for storage

1. Digitized documents from paper documents, documents submitted by agencies, organizations, or individuals to implement administrative procedures as stipulated in Article 4 of Circular No. 01/2023/TT-VPCP dated April 5, 2023 of the Chairman of the Government Office on certain contents and measures for implementation in digitizing administrative procedure files and handling administrative procedures in an electronic environment.

2. Electronic documents submitted through the National Public Service Portal, Ministry-level Public Service Portal, Provincial-level Public Service Portal, and electronic documents formed during the handling of administrative procedures at the competent authority.

3. Metadata of the electronic documents specified in Clause 1 and Clause 2 of this Article and opinions of individuals during the handling of administrative procedures on the Ministry-level and Provincial-level Administrative Procedure Handling Information System (if applicable).

Article 4. Format of electronic administrative procedure files submitted for storage

1. For electronic administrative procedure files digitized at the agency or organization receiving the file or received online through the National Public Service Portal, Ministry-level Public Service Portal, Provincial-level Public Service Portal, they shall be implemented according to the provisions of Article 8 of Circular No. 01/2023/TT-VPCP.

2. For electronic administrative procedure files created electronically

a) Administrative documents: format .PDF, version 1.4 or higher; documents issued by agencies and organizations must comply with the provisions of Decree No. 30/2020/NĐ-CP dated March 5, 2020 of the Government on clerical work; personal and business documents must be signed electronically in accordance with the laws on electronic transactions.

b) Other documents in accordance with the laws of specific fields.

3. Structure and format of data packages serving the connection of the Ministry-level and Provincial-level Administrative Procedure Handling Information Systems shall be implemented according to the provisions of Circular No. 18/2019/TT-BTTTT dated December 25, 2019 of the Minister of Information and Communications on national technical standards for the structure and format of data packages serving the connection of the National Public Service Portal with Public Service Portals, Single Window Electronic Systems at the ministry and provincial levels, and national and specialized databases.

4. The archive code for storing electronic administrative procedure files shall be implemented according to the provisions of Article 26 of Decree No. 61/2018/NĐ-CP dated April 23, 2018 of the Government on implementing the single window mechanism and the interlinked single window mechanism in handling administrative procedures.

a) The unique code of the competent authority receiving the administrative procedure.

b) Date of receipt.

c) Serial number of the file received on that day.

5. The structure of the unique code of the agency or organization shall be implemented according to the provisions of Decision No. 20/2020/QĐ-TTg dated July 22, 2020 of the Prime Minister on the unique electronic identification code of agencies and organizations for connecting and sharing data with ministries, sectors, and localities.

Article 5. Submitting electronic administrative procedure files for archiving

1. Electronic administrative procedure files submitted for archiving must comply with the components, structure, and format as prescribed in this Circular and Article 7 of Decree No. 01/2013/NĐ-CP dated January 3, 2013, detailing certain provisions of the Law on Archives.

2. Electronic administrative procedure files shall be submitted for archiving within one year from the date the work is completed.

3. The file code of electronic administrative procedure files submitted for archiving shall remain unchanged as stipulated in Clause 4, Article 4 of this Circular and ensure uniqueness in the Electronic Document Management System of the Archival Agency.

4. Electronic administrative procedure files shall be submitted for archiving based on the connection between the Central and Provincial Administrative Procedure Information System and the Electronic Document Management System.

Article 6. Connection between the Central and Provincial Administrative Procedure Information System and the Electronic Document Management System

1. The Central and Provincial Administrative Procedure Information System shall be connected to the Electronic Document Management System in accordance with Article 32 of Decree No. 47/2020/NĐ-CP dated April 9, 2020, on management, connection, and sharing of digital data of state agencies to meet requirements for handling, managing, and archiving electronic administrative procedure files.

2. The head of ministries, sectors, and localities shall be responsible for directing the development and implementation of plans to connect the two (2) Systems to collect, submit, and archive electronic administrative procedure files and share electronic administrative procedure file data to serve the work of ministries, sectors, and localities.

3. In cases where the two (2) Systems have not been connected, electronic administrative procedure files must be stored on the Central and Provincial Administrative Procedure Information System and implement archival operations as prescribed in Clauses 1, 2, and 3 of Article 5 and Article 7 of this Circular.

Article 7. Archival Operations for Electronic Administrative Procedure Files

1. Archival operations for electronic administrative procedure files include:

a) Collecting archival files and documents;

b) Determining the value of documents;

c) Preserving archival documents;

d) Ensuring the safety and confidentiality of archival documents;

đ) Statistics on archival documents;

e) Destroying archival documents;

g) Utilizing archival documents.

2. Archival operations for electronic administrative procedure files shall be carried out in accordance with Decree No. 01/2013/NĐ-CP, Circular No. 02/2019/TT-BNV dated January 24, 2019, issued by the Minister of Home Affairs prescribing data standards for information input and requirements for preserving electronic archival documents, and Circular No. 10/2022/TT-BNV dated December 19, 2022, issued by the Minister of Home Affairs on the retention period for documents.

Article 8. Using Electronic Administrative Procedure Files at the Archival Agency

1. Electronic administrative procedure files shall be used to handle administrative procedures and serve legitimate needs of agencies, organizations, and individuals as prescribed by law.

2. Electronic administrative procedure files that have been submitted for archiving must be used online through the Electronic Document Management System and the Central and Provincial Administrative Procedure Information System.

3. The Archival Agency shall support the exploitation and use of electronic administrative procedure files that have been submitted for archiving in accordance with the Law on Archives 2011 and related regulatory legal documents.

4. The Electronic Document Management System at the Archival Agency must ensure functionality to extract data from electronic administrative procedure files in the form of electronic text as prescribed in Clause 2, Article 4 of this Circular or print out paper documents to serve administrative procedures.

Article 9. Responsibility for storing electronic administrative procedure files

1. The head of an agency or organization within their scope of duties and powers shall be responsible for applying measures to enhance efficiency in the creation, collection, management, preservation, and utilization of electronic administrative procedure files.

2. The person handling electronic administrative procedure files shall be responsible for establishing and submitting electronic administrative procedure files to the agency archive in accordance with regulations.

3. The archivist shall be responsible for:

a) Assisting the head of the agency or organization in guiding the submission of electronic administrative procedure files for storage.

b) Collecting, determining the value of documents, statistics, preserving, and organizing the use of electronic administrative procedure files.

c) Submitting electronic administrative procedure files with permanent preservation value to the Historical Archive according to the List of Documents for Submission for Storage.

d) Organizing the destruction of electronic administrative procedure files that have lost their value in accordance with the provisions of the law and the decision of the head of the agency or organization.

Article 10. Effective Date

1. This Circular takes effect from October 15, 2023.

2. In cases where the legal normative documents cited in this Circular are amended, supplemented, or replaced by other legal normative documents, they shall be implemented in accordance with the provisions of the amended, supplemented, or replacing documents.

Article 11. Implementation Organization

1. The Minister, the Head of a Ministry-equivalent Agency, the Head of an Agency under the Government, the Chairman of the People's Committee of a province or centrally governed city, and related agencies, organizations, enterprises, and individuals shall be responsible for implementing this Circular.

2. During the implementation process, if there are difficulties, agencies, organizations, enterprises, and individuals are requested to report to the Ministry of Home Affairs for guidance or consideration and resolution.