Circular No. 14/2011/TT-BNV on the management of files and documents formed in the activities of People's Councils and People's Committees at commune, ward, and town levels

CIRCULAR

Regulations on managing files and documents formed in the activities of

People's Councils and People's Committees of communes, wards, and towns

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Pursuant to Decree No. 48/2008/NĐ-CP dated April 17, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Home Affairs;

Pursuant to the National Archives Law dated April 4, 2001;

Pursuant to Decree No. 110/2004/NĐ-CP dated April 8, 2004 of the Government on archival work;

Pursuant to Decree No. 09/2010/NĐ-CP dated February 8, 2010 of the Government amending and supplementing some articles of Decree No. 110/2004/NĐ-CP dated April 8, 2004 of the Government on archival work;

Pursuant to Decree No. 111/2004/NĐ-CP dated April 8, 2004 of the Government detailing the implementation of certain provisions of the National Archives Law;

Pursuant to Circular No. 02/2010/TT-BNV dated April 28, 2010 of the Ministry of Home Affairs guiding the functions, tasks, powers, and organization of archives and records management for ministries, ministerial-level agencies, government agencies, and people's committees at all levels;

The Ministry of Home Affairs hereby stipulates the management of files and documents formed in the activities of People's Councils and People's Committees of communes, wards, and towns as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope and objects regulated

This Circular stipulates principles, contents, and accountability systems for managing files and documents formed in the activities of People's Councils (People's Councils) and People's Committees (People's Committees) of communes, wards, and towns (referred to collectively as commune level).

Article 2. Interpretation of Terms

1. Files and documents formed in the activities of People's Councils and People's Committees at the commune level include files and documents for drafting normative legal documents, administrative documents, and files and documents of organizations and mass organizations at the commune level.

2. Archival materials preserved at the People's Committee's archive at the commune level are those materials with value in politics, economy, culture-society, education, national defense, security, science, and technology selected from the entire body of materials formed in the activities of People's Councils and People's Committees at the commune level throughout historical periods.

Archival materials preserved at the People's Committee's archive at the commune level are original copies, true copies, or certified copies having the same value as true copies.

3. Managing files and documents at the People's Committee's archive at the commune level includes tasks related to managing incoming and outgoing documents; creating files, submitting files and documents to the People's Committee's archive at the commune level; collecting, organizing, determining the value of documents; preserving and organizing the use of archival materials formed in the activities of People's Councils and People's Committees at the commune level.

Article 3. Principles of managing files and documents

Files and documents formed in the activities of People's Councils and People's Committees at the commune level must be centrally managed at the People's Committee's archive at the commune level. Professional activities in archival work regarding collection; organization, determination of document value; statistics; preservation, and organization of document use must be uniformly implemented according to the provisions of this Circular and current laws.

Article 4. Responsibilities for managing files and documents

1. Responsibilities of the Chairman of the People's Committee at the commune level

The Chairman of the People's Committee at the commune level is responsible for managing files and documents formed in the activities of People's Councils and People's Committees at the commune level, directing the implementation of state regulations on archival work at the local level.

2. Responsibilities of the Chairman of the People's Council at the commune level

The Chairman of the People's Council at the commune level is responsible for directing the management of files and documents formed in the activities of the People's Council according to the Rules on archival work of the People's Council and People's Committee at the commune level.

3. Responsibilities of civil servants engaged in archival work at the People's Committee at the commune level

Civil servants engaged in archival work at the People's Committee at the commune level are responsible to the Chairman of the People's Committee at the commune level for implementing the tasks prescribed in Article 5 of this Circular.

4. Responsibilities of cadres, civil servants, and non-professional staff at the commune level.

Cadres, civil servants, and non-professional staff at the commune level during the process of monitoring and handling work have the responsibility to implement the provisions of this Circular and other legal regulations on archival work.

5. Strictly prohibited are acts of illegally holding, destroying, damaging archival files and documents, or using archival materials for purposes contrary to the interests of the State, the rights, and legitimate interests of organizations and individuals.

Article 5. Duties of civil servants engaged in record-keeping and archival work at the People's Committee of communes

Civil servants engaged in record-keeping and archival work at the People's Committee of communes shall have the following duties:

1. Advise the Chairman of the People's Committee of communes on implementing state management functions regarding record-keeping and archival work at the People's Committee of communes to ensure unified management within their specialized field.

2. Advise the Chairman of the People's Committee of communes on managing records and documents of the People's Council and People's Committee of communes.

3. Manage incoming and outgoing documents; manage records and documents in the commune-level archive; guide officers and civil servants of the People's Committee of communes on creating case files; organize systematic arrangement and safe preservation of records and documents for long-term service to the People's Council and People's Committee of communes.

4. Serve the needs of exploiting and using records and documents stored by organizations and individuals.

Chapter II

MANAGEMENT OF RECORDS AND DOCUMENTS FORMED IN THE ACTIVITIES OF THE PEOPLE'S COUNCIL AND PEOPLE'S COMMITTEE OF COMMUNES

Section 1

MANAGEMENT OF INCOMING AND OUTGOING DOCUMENTS

Article 6. Management of incoming documents

1. Management of incoming documents

All incoming documents from any source must be centrally and uniformly managed at the Record Office of the People's Council and People's Committee of communes. The Record Office of the People's Council and People's Committee of communes is responsible for receiving and registering incoming documents, presenting them to the Chairman of the People's Council and People's Committee of communes (or the person assigned responsibility) for comments on distribution of the documents, and transferring the original incoming documents to the department or individual assigned responsibility for handling, ensuring accuracy and maintaining confidentiality of the document contents. Documents marked with urgent or expedited stamps must be registered, presented, and transferred immediately upon receipt.

2. Incoming documents shall be registered in the Incoming Document Register or use software to manage documents on computers.

3. The Record Office of the People's Council and People's Committee of communes shall establish the following types of Incoming Document Registers:

- Incoming Document Register of agencies and organizations;

- Complaint and Petition Register;

- Secret Incoming Document Register.

In cases where documents are managed through computer software programs, registration shall be carried out according to the software program usage guidelines. Confidential documents shall be registered in a book or on a computer not connected to the network.

Article 7. Management of outgoing documents

1. Civil servants engaged in record-keeping and archival work at the People's Council and People's Committee of communes must check the format, form, and presentation technique of administrative documents before issuance; record the number, code, and date of the document; affix the agency stamp and urgent or secret stamps (if applicable). Outgoing documents must complete record-keeping procedures and be dispatched on the same day the document is signed, or at the latest, on the next working day.

2. Outgoing documents must be registered in the Outgoing Document Register or use software to manage documents on computers.

The Record Office of the People's Council and People's Committee of communes shall establish the following types of Outgoing Document Registers:

- Register of Legal Normative Documents and Individual Decisions;

- Register of Remaining Administrative Documents;

- Secret Document Register.

In cases where outgoing documents are managed through computer software programs, registration shall be carried out according to the software program usage guidelines. Confidential documents shall be registered in a book or on a computer not connected to the network.

Article 8. Management of confidential documents

Confidential documents containing state secrets (referred to as confidential documents) shall be registered and managed in accordance with current laws on protecting state secrets.

Based on the List of State Secrets decided by competent authorities, the Chairman of the People's Committee of communes shall specify the type of documents containing state secrets classified as Top Secret, Confidential, and Secret.

On the envelope of confidential documents, stamps indicating the level of secrecy shall be affixed: "Confidential" documents shall bear the stamp "C"; "Top Secret" documents shall bear the stamp "B"; "Top Secret" documents shall bear the stamp "A". Confidential documents sent directly to persons responsible for handling shall bear the stamp "Only named persons may open".

The envelope of confidential documents shall be made of durable paper that does not easily absorb water and cannot be seen through; when necessary, it must be sealed according to regulations; there must be means of transportation ensuring safety in all situations; if deemed necessary, a guard must be arranged for transporting confidential documents.

Every instance of handing over confidential documents between relevant parties must be recorded in a book, with signatures from both the giver and the receiver.

In cases where state secrets are transmitted via telecommunications and computers, the state secrets must be encrypted in accordance with the law on cryptographic security.

Article 9. Archiving System for Documents

Each outgoing document must be archived in two copies, with the original copy retained at the Secretariat of the People's Council and People's Committee at the commune level, and one main copy kept in the working file of the civil servant directly handling the matter.

The copy of outgoing documents archived at the Secretariat of the People's Council and People's Committee at the commune level must be stamped and arranged according to registration order.

Section 2

ESTABLISHING AND HANDLING FILES FOR TRANSFER TO THE COMMUNE LEVEL PEOPLE'S COMMITTEE ARCHIVE

Article 10. Establishing Files and Requirements for Established Files

1. Content of File Establishment

a) Opening Files

Based on the File Directory issued by the Commune Level People's Committee, the duties of civil servants, and the actual work assigned, the civil servants responsible for document management and archiving at the Commune Level People's Committee guide other civil servants in preparing file covers and recording file titles for file establishment.

b) Collecting Documents and Materials into Files

During the process of handling tasks, civil servants must collect all relevant documents, papers, and materials related to the work that needs to be filed.

Documents within the files must be arranged in chronological order or according to the sequence of events, accurately reflecting the content of the work carried out.

c) Completing Files

When the work is completed, the file should also be concluded. Civil servants responsible for establishing the file must check and supplement any missing documents and papers, remove duplicate or unnecessary drafts, and extraneous materials from the file.

2. Requirements for Each Established File

a) The established file must accurately reflect the functions and responsibilities of the People's Council and People's Committee, as well as the assigned tasks of civil servants.

b) The collected documents and materials must be closely related to each other and accurately reflect the sequence of events or the process of resolving issues.

3. Responsibilities for File Establishment Work

a) The Chairman of the Commune Level People's Committee is responsible for managing and directing the file establishment work in accordance with current state regulations.

b) Civil servants responsible for document management and archiving at the Commune Level People's Committee have the responsibility to assist the Chairman of the Commune Level People's Committee in managing and directing the file establishment work; they must monitor, guide the file establishment process, and hand over files and materials to the archive of the Commune Level People's Committee in accordance with current state regulations.

c) Civil servants of the People's Council and People's Committee at the commune level must establish working files during the process of monitoring and handling tasks.

Article 11. Handing Over Files and Materials to the Archive of the Commune Level People's Committee

1. Time Limit for Handing Over

a) Administrative documents after one year from the end of the work;

b) Construction project documents three months after the project is settled;

c) Film, photo, audio, and video documents three months after the work ends.

2. Procedures for Handing Over

Departments and individuals when handing over files and materials to the Archive of the Commune Level People's Committee must prepare two copies of the File and Material Index for submission.

Civil servants responsible for document management and archiving at the Commune Level People's Committee must prepare two copies of the Receipt and Delivery Record.

Both parties must keep one copy of each type.

3. Responsibilities of Departments and Civil Servants

Departments and civil servants must hand over files and materials to the Commune Level Archive within the time limit specified in Clause 1 of this Article. In cases where departments and civil servants need to retain files and materials that have reached the submission deadline, they must prepare a list and submit it to the Commune Level Archive but the retention period cannot exceed two years.

Leaders of the People's Council and People's Committee at the commune level, and civil servants before transferring jobs, resigning, or retiring must hand over their files and materials to the successor department or person. They may not appropriate files and materials for personal purposes, take them home, or transfer them to another agency or organization. The handover of files and materials to the Commune Level Archive must be documented in writing.

Section 3

COLLECTION, SUPPLEMENTATION, AND PRESERVATION OF DOCUMENTS

Article 12. Collection and Supplement of Documents

Annually, civil servants engaged in archival work at the People's Committee of communes have the responsibility to guide departments and individuals in preparing files and documents for submission; organize the collection of files and documents that have reached their submission deadline and store them in the commune-level archive.

The Chairman of the People's Committee of communes directs departments and individuals to submit files and documents that have reached their submission deadline to the commune-level archive.

Article 13. Sources of Submission and Types of Documents to be Collected and Supplemented

1. Sources of Submission

a) Higher-level agencies;

b) Leaders of the People's Council and People's Committee of communes: Chairmen, Deputy Chairmen;

c) Departments and staff responsible for specialized fields;

d) Social organizations at the commune level.

2. Types of Documents to be Collected and Supplemented for the Commune-Level Archive

a) Block of documents from the People's Council of communes

- Files and documents related to elections of the People's Council;

- Files and documents of regular and extraordinary sessions;

- Files and documents on the supervisory activities of the People's Council and its representatives;

- Documents on public reception work;

- Other relevant documents.

b) Block of documents from the People's Committee of communes

- Comprehensive documents including leadership and guidance documents;

- Office and statistical documents;

- Police documents;

- Military documents;

- Judicial and household registration documents;

- Land administration and construction documents;

- Financial and accounting documents;

- Cultural and social documents;

- Other relevant documents.

c) Files and documents of social organizations at the commune level.

Article 14. Preservation of Archival Documents

1. Commune-level archival documents must be protected and securely preserved in the archive storage room.

2. The storage room for archival documents must meet conditions for protecting and securely preserving documents and archival information.

a) The archival document storage room must be arranged independently within the People's Committee building with a minimum area of 20 square meters.²;

b) The location of the storage room should avoid damp areas or direct sunlight exposure;

c) The storage room must ensure security against unauthorized access, unaffected by rainstorms, floods, and damage from insects;

d) The storage room must be kept clean and equipped with ventilation fans;

đ) The storage room must have sufficient shelves, folders, boxes, and cases for document preservation;

e) Adequate fire prevention and firefighting equipment must be provided.

3. Sanitation procedures in the storage room must be implemented and maintained, along with measures to prevent insect damage to documents.

Article 15. Management of Documents When Administrative Units at the Commune Level Are Divided or Merged

1. When dividing or splitting administrative units at the commune level into new administrative units, the new commune that takes over the old office premises continues to manage the existing files and documents of the divided commune.

2. When adjusting administrative units at the commune level from management by one district to another.

a) If a commune is adjusted from management by one district to another but retains its original administrative status, the management of its documents remains unchanged;

b) When adjusting part of the natural area and population from one commune to another, all files and documents concerning the adjusted area and population up to the adjustment date continue to be managed by the original commune.

3. When merging (or consolidating) several communes into a new commune

Existing files and documents of the old communes are transferred and centrally stored in the new commune.

Article 16. Reporting and Statistical System, Inventory

1. Annually, the communal archive must conduct regular statistics on archival documents, document preservation equipment, and archival document utilization work.

2. The annual archival statistical data shall be calculated from 00:00 on January 1 to 24:00 on December 31 (according to the form specified in Decision No. 13/2005/QĐ-BNV dated January 6, 2005 of the Ministry of Home Affairs).

3. The communal People's Committee must submit the annual statistical report to the Department of Home Affairs at the district level as prescribed.

4. Regular Inventory System

Communal archives must organize an inventory of documents annually on December 31 each year.

Section 4

ORGANIZING DOCUMENTS, DETERMINING DOCUMENT VALUE, AND DESTROYING DOCUMENTS WITHOUT VALUE

Article 17. Organizing Documents

1. Documents must be organized before being stored in the archive warehouse. Civil servants working in document management and archiving at the communal People's Committee have the responsibility to guide the organization of documents for members of the People's Council and People's Committee at the commune level.

2. After organizing, documents must meet the following requirements:

a) Classify and establish complete files;

b) Determine the retention period for files and documents;

c) Systematize files and documents;

d) Establish an Index of Files and Documents;

đ) Establish a List of Documents Without Value for Destruction.

Article 18. Determining Document Value

1. Document Value Determination Board

a) The composition of the Document Value Determination Board includes:

- The Deputy Chairman of the Communal People's Committee responsible for office work - statistics, Chair of the Board;

- Civil servant working in document management and archiving at the Communal People's Committee, Member (serving as Secretary of the Board);

- Civil servant holding documents or civil servant of the department holding documents, Member.

b) Tasks of the Document Value Determination Board

The Document Value Determination Board has the task of advising the Chairman of the Communal People's Committee to decide on the components of files and documents to retain for preservation and the components of documents without value.

2. Determining Document Value Must Meet the Following Requirements

a) Identify documents that need permanent preservation and documents with a preservation period measured in years;

b) Identify documents without value that need to be removed for destruction.

Article 19. Destroying Documents Without Value

1. Reviewing Documents Without Value Before Destruction

The Department of Home Affairs at the district level reviews the documents without value of the commune.

2. Authority to Decide on the Destruction of Documents Without Value

The Chairman of the Communal People's Committee issues a decision to destroy documents without value after receiving a written review from the Department of Home Affairs at the district level regarding the Index of Retained Files and Documents and the List of Documents Without Value.

3. Procedure for Destroying Documents

a) The Document Value Determination Board examines the List of Documents Without Value and the explanatory note on documents without value (presented by the Archive of the Commune People's Committee or the unit organizing the documents); it may be necessary to compare with the Index of Retained Files and Documents;

b) Complete the List of Documents Without Value and file for the Chairman of the Communal People's Committee to examine;

c) Proceed with the procedure to request a review of documents without value;

d) Based on the review opinion of the Department of Home Affairs at the district level, complete the file for the Chairman of the Communal People's Committee to issue a decision to destroy documents without value;

đ) Organize the destruction of documents without value;

e) Prepare and keep records of the destruction of documents without value.

4. Organization of the Destruction of Documents Without Value

a) Package documents without value;

b) Establish a handover record between the person responsible for document management and archiving at the Communal People's Committee (managing the archive warehouse) and the person responsible for destroying documents without value;

c) Carry out the destruction of documents without value: This can be done at the Communal People's Committee headquarters or transferred to paper production facilities for recycling;

d) Establish a record of the destruction of documents without value.

5. Records of the Destruction of Documents Without Value

a) Request for the destruction of documents without value;

b) List of Documents Without Value and Explanatory Note on Documents Without Value;

c) Minutes of the Document Value Determination Board meeting;

d) Document of the Department of Home Affairs at the district level regarding the review of documents without value;

đ) Decision of the Chairman of the Communal People's Committee allowing the destruction of documents without value;

e) Handover record of documents without value;

g) Record of the destruction of documents without value;

h) Decision on the establishment of the Document Value Determination Board (if the Document Value Determination Board has not been established);

i) Other related documents.

Records of the destruction of documents without value must be kept in the commune archive for at least 20 years from the date of destruction of the documents.

Section 5

ORGANIZATION OF THE EXPLOITATION AND USE OF ARCHIVAL DOCUMENTS

Article 20. Organization for the exploitation and use of documents

1. Subjects exploiting and using documents.

Archival documents of the People's Committee at the commune level shall be used to serve the work needs of officials and civil servants of the People's Committee at the commune level and legitimate needs of agencies, organizations, and individuals. Civil servants engaged in clerical and archival work at the People's Committee at the commune level are responsible for directly serving the exploitation and use of documents preserved at the Commune-level Archive.

2. Procedures for exploiting and using documents preserved at the Commune-level Archive

Shall be stipulated by the Chairman of the People's Committee at the commune level.

3. Units and individuals when using archival documents must strictly comply with regulations on information confidentiality and ensure the safety of the documents.

Article 21. Authority to permit the use of documents and copies of documents

1. The Chairman of the People's Committee at the commune level permits the use and copying of archival documents preserved at the Commune-level Archive.

2. Copying of documents must be carried out directly by civil servants engaged in clerical and archival work at the People's Committee at the commune level.

Article 22. Issuance of certified copies of archival documents

Readers who need certified copies of archival documents must follow procedures as prescribed by the People's Committee at the commune level. The Chairman of the People's Committee at the commune level shall review and approve the issuance of certified copies of archival documents.

Article 23. Collection and payment of fees for the exploitation and use of archival documents

The system for collecting and paying fees for the exploitation and use of archival documents shall be implemented in accordance with the regulations of the Ministry of Finance.

Chapter III

EFFECTIVENESS AND RESPONSIBILITY FOR IMPLEMENTATION

Article 24. Effective Date

This Circular shall take effect 45 days from the date of issuance.

Article 25. Responsibilities for Implementation

Provincial People's Councils and People's Committees of centrally governed cities are responsible for organizing the implementation of this Circular./.