Circular No. 16/2014/TT-BNV guiding the transfer and receipt of archival materials to historical archives at all levels

CIRCULAR

Guidelines for transferring and receiving archival materials to historical archives at all levels

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

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

Pursuant to Decree No. 58/2014/NĐ-CP dated June 16, 2014, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Home Affairs;

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

The Minister of Home Affairs issues this Circular guiding the transfer and receipt of archival materials with permanent preservation value from agencies and organizations listed in the Directory of Agencies and Organizations as Sources of Archival Materials to be Transferred to Historical Archives at All Levels; the transfer, receipt, and management of archival materials currently preserved in district, county, town, and provincial city archives (hereinafter referred to collectively as district-level archives) to provincial historical archives.

Article 1. Scope of Regulation

This Circular applies to agencies and organizations listed in the Directory of Agencies and Organizations as Sources of Archival Materials to be Transferred to Historical Archives at All Levels as stipulated in Clause 2, Article 20 of the Law on Archives; National Archive Centers; provincial and centrally-administered municipal historical archives (hereinafter referred to collectively as provincial historical archives).

Article 2. Applicability

Article 3. Principles for transferring and receiving archival materials

1. Transfer and receive archival files and materials to historical archives at all levels within the prescribed authority and time limit.

2. Only transfer and receive archival files and materials with permanent preservation value and according to the correct components of the archival materials to be transferred.

3. Transfer archival storage boxes/pairs in accordance with the national standards.

4. Transfer complete retrieval tools along with the archival materials to be transferred.

Article 4. Responsibilities of agencies and organizations in transferring archival materials

1. Select archival files and materials with permanent preservation value and compile them into an Index of Files and Materials to be Transferred. The format of the Index of Files and Materials to be Transferred is guided in Appendix I.

In cases where materials have not been classified or filed, the agency or organization must organize them before transferring.

2. The Value Determination Council of the agency or organization reviews and approves the Index of Files and Materials to be Transferred and submits it to the head of the agency or organization for decision.

The composition of the Value Determination Council of the agency's archive is specified in Article 18 of the Law on Archives.

3. Send a document along with the Index of Files and Materials to be Transferred requesting the same-level historical archive to inspect and evaluate.

4. Complete the Index of Files and Materials to be Transferred after receiving the evaluation document from the historical archive.

The Index of Files and Materials to be Transferred shall be prepared in three copies: the transferring agency or organization retains one copy, the historical archive retains two copies, and they are permanently stored at the agency or organization and the historical archive.

Prepare a List of Materials with Confidentiality Level Stamps (if applicable). The format of the List of Materials with Confidentiality Level Stamps is implemented according to the guidance in Appendix II.

5. Transport archival materials to the same-level historical archive for transfer.

6. Transfer archival materials

a) Transfer archival files and materials according to the Index of Files and Materials to be Transferred that has been approved by the head of the agency or organization and after receiving the evaluation document from the competent state administrative body responsible for archival management.

b) Transfer guiding documents for organizing including: the Unit Formation History and File History, classification and filing guidelines, value determination guidelines, and accompanying retrieval tools; the List of Materials with Confidentiality Level Stamps (if applicable).

b) Submit the guiding documents for arrangement including: the History of the unit forming the archive and the Archive History, instructions on classifying and creating case files, instructions on determining the value of documents and accompanying retrieval tools; List of documents stamped with confidentiality levels (if any).

Article 5. Responsibilities of Historical Archives at all levels in receiving archival materials

1. Develop plans for collecting materials; unify with agencies and organizations under the source of submission regarding the type, components, time period, quantity of materials, and submission time.

2. Guide agencies and organizations under the source of submission to prepare materials for submission.

3. Review the Index of submitted files and materials proposed for submission: Review the Index of submitted files and materials; compare the retention period of files and materials with the Retention Period Table of authorized agencies and check the actual probability of files and materials.

4. Submit the Index of submitted files and materials for approval by the competent state management agency responsible for archives. The dossier includes: Request for approval, report on the review results of the Historical Archive, request for review from the agency or organization attached with the Index of submitted files and materials.

5. Send a notification letter to agencies and organizations under the source of submission about the approval result.

6. Prepare storage rooms and preservation equipment to receive materials.

7. Receive materials

a) Check and compare the Index of submitted files and materials with the actual submitted materials.

b) Receive files and materials; accompanying guidance documents (if any) and the Index of submitted files and materials.

c) Draft the Material Handover Record.

The Record is made in three copies: the agency or organization under the source of submission retains one copy, the same-level Historical Archive retains two copies. The Model of the File Handover Record is provided in Appendix III.

8. Place materials in the warehouse and arrange them on shelves.

Article 6. Transfer, receipt, and management of archival materials stored in the County Archive Warehouse (for counties, districts, towns, provincial cities that have established County Historical Archives before the effective date of the Law on Archives)

1. Transfer and receive archival materials stored in the County Archive Warehouse to the Provincial Historical Archive

The Department of Civil Affairs at the county level is responsible for coordinating with the Provincial Historical Archive to examine and select valuable permanent retention files and materials from each Collection, compile them into the Index of submitted files and materials, and complete handover procedures for the Provincial Historical Archive to manage.

2. Manage blocks of materials not included in the component of submission to the Provincial Historical Archive

a) Materials not included in the component of submission to the Provincial Historical Archive currently stored in the County Archive Warehouse are directly managed by the Department of Civil Affairs and retained until the end of their retention period;

b) For materials that have lost value or exceeded their retention period according to regulations, the Department of Civil Affairs is responsible for advising the People's Committee of the county to consider and complete procedures for destroying materials in accordance with Article 28 of the Law on Archives.

Article 7. Effective Date

1. This Circular takes effect from February 1, 2015.

2. This Circular abolishes Circular No. 319/VTLTNN-NVTW dated June 1, 2004 of the National Office for Archives and Records Management on guiding the implementation of transferring archival materials to Historical Archives at all levels.

Article 8. Implementation organization

1. The Minister, Head of a ministry equivalent to a ministry, Head of an agency under the Government, Chairman of the People's Committee of a province or centrally governed city shall be responsible for implementing this Circular.

2. During the implementation process, if there are difficulties, agencies and organizations are requested to reflect them to the Ministry of Home Affairs for study, amendment, and supplementation as appropriate./.