Decision No. 17/2005/QĐ-BGTVT Issuing the Regulation on Receiving, Processing, and Issuing Documents of the Ministry of Transport

DECISION OF THE MINISTER OF TRANSPORT

Issuing the Regulation on the Receipt, Processing, and Issuance of Documents of the Ministry of Transport

THE MINISTER OF TRANSPORTATION
 

Pursuant to Decree No. 34/2003/NĐ-CP dated April 4, 2003 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

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

At the proposal of the Director of the Office,

DECISION:

Article 1. This Decision promulgates the Regulation on the Receipt, Processing, and Issuance of Documents of the Ministry of Transport.

Article 2. This Decision takes effect 15 days after its publication in the Official Gazette. Any previous regulations that conflict with this Decision are hereby abolished.

Article 3. The Director of the Office, the Inspector General of the Ministry, Heads of Departments, Directors of Bureaus, Heads of agencies, organizations, and individuals concerned shall be responsible for implementing this Decision.

REGULATIONS

 

RECEIPT, PROCESSING AND ISSUANCE OF DOCUMENTS

OF THE MINISTRY OF TRANSPORT

(Issued together with Decision No. 17/2005/QĐ-BGTVT dated March 21, 2005)

of the Ministry of Transport)

PART I

GENERAL PROVISIONS

Article 1. Scope of regulation and applicable subjects

Article 1. This Regulation specifies the principles, procedures, and formalities for the receipt, processing, and issuance of documents of the Ministry of Transport.

The receipt, processing, and issuance of classified documents must comply with regulations on protecting state secrets issued by the Minister of Transport, except where specifically provided for in this Regulation.

The drafting and issuance of regulatory legal documents of the Ministry of Transport shall be carried out in accordance with the Regulation on Drafting, Reviewing, Issuing, Monitoring, and Handling Regulatory Legal Documents on Transport issued together with Decision No. 18/2004/QĐ-BGTVT dated October 1, 2004 of the Minister of Transport.

Article 2. This Regulation applies to agencies, organizations, and individuals directly under the Ministry of Transport (hereinafter referred to collectively as units) and other agencies, organizations, and individuals related to the receipt, processing, and issuance of documents of the Ministry of Transport.

Article 2. Definitions

In this Regulation, the following terms shall be understood as follows:

Point 1. "Incoming document" refers to all documents and materials, including letters and applications, sent to the Ministry of Transport from domestic and foreign agencies, organizations, and individuals via official correspondence or direct delivery.

Point 2. "Outgoing document" refers to all documents issued by the Ministry of Transport or its advisory agencies and sent to domestic and foreign agencies, organizations, and individuals.

Point 3. "Ministry's archives" refers to the Archives Department within the Records and Archives Division of the Ministry of Transport's Office.

Point 4. "Agency's archives" refers to staff members of Departments, the Inspectorate, and the Office (collectively referred to as advisory agencies) who are assigned to concurrently handle archival work.

Point 5. "Unit's archives" refers to the person assigned by the unit to handle archival work or to concurrently handle such work.

Point 6. "Draft of a document" refers to a handwritten or typed version formed during the drafting process of a document.

Point 7. "Original document" refers to a complete document in terms of content and format issued by the Ministry of Transport. The original may consist of multiple copies of equal value.

Point 8. "Original copy of a document" refers to a complete document in terms of content and format, bearing the direct signature of the authorized person, issued by the Ministry of Transport.

Point 9. "Certified true copy" refers to a full and accurate copy of a document presented in the prescribed format. A certified true copy must be made from the original.

Point 10. "Extracted copy" refers to a partial copy of a document presented in the prescribed format. An extracted copy must be made from the original.

Point 11. "Duplicate copy" refers to a full and accurate copy of a document made from a certified true copy and presented in the prescribed format.

Point 12. "Work file" refers to a set of documents and materials related to each other concerning an event, issue, person, or group of persons formed during the monitoring and resolution of matters within the scope of the unit's functions and tasks, from the start to the conclusion of the matter.

Chapter II

RECEIPT AND PROCESSING OF DOCUMENTS

Article 3. Principles for receiving documents

Clause 1. All incoming documents, including those received directly by the Ministry's leadership, advisory agency leaders, and staff, must be centralized at the Ministry's archives for receipt and registration procedures. Units are not responsible for handling incoming documents that have not been received and registered at the Ministry's archives.

Clause 2. When signing for receipt of a document, the Ministry's archives must check and compare the sender, recipient, seal (if any), number, and code on the envelope with the Record of Delivery.

Clause 3. Incoming documents must be processed and registered immediately upon receipt; if received late in the afternoon, they may be processed the following morning, except for urgent documents.

Article 4. Procedures for receiving and registering documents

When receiving and registering documents, the Ministry's archives shall be responsible for performing the following procedures:

Point 1. Open envelopes containing incoming documents, except for those specified in Points 1, 2, and 3 of Article 6 of this Regulation.

Point 2. Check the contents of the envelope, compare the documents inside with the number and code on the envelope, and prepare a Notice Form or Return Form for the Director of the Office to sign and notify the sender in the following cases:

Subpoint a. In case of missing documents (use the Notice Form according to the model attached as Appendix 1 to this Regulation);

Subpoint b. In case of incomplete administrative procedures such as sending beyond the designated level, improper signatures and seals, incorrect format, photocopies (except faxes), damaged or illegible documents (use the Return Form according to the model attached as Appendix 2 to this Regulation).

Point 3. Stamp "Official Letter Received" in the space below the summary or at the top of the document. Enter the document information: number, code, date of issuance, date of receipt, sender's agency, organization, individual, name of signer, summary into the Record of Delivery and classify the document according to criteria to facilitate the fastest transfer and processing of the document.

Point 4. Input data into the Ministry of Transport's Document Management Program.

Article 5. Principles for transferring incoming documents

Clause 1. Transfers of documents must ensure accuracy and confidentiality of their content.

Clause 2. Return immediately to the General Affairs Department (collectively referred to as the General Affairs Department), do not transfer directly between units for documents mistakenly addressed for processing.

Article 6. Procedures for transferring incoming documents

1. In case the incoming document envelope bears the stamp "Confidential", "Top Secret", or "Absolutely Top Secret": The General Office shall enter the number and code marked on the envelope into the tracking register, then transfer the envelope to the Director of the Office for processing; if the Director of the Office is absent, it shall be directly submitted to the Minister. If the envelope of a confidential incoming document bears the stamp "Only the person named on the envelope may open it", the General Office shall enter the number and code marked on the envelope into the register and immediately transfer it to the named person; if it is an urgent document and the named person is absent, it shall be transferred to the Director of the Office for processing.

2. For encrypted telegrams: The General Office shall enter the number and code marked on the envelope into the tracking register, then transfer it to the responsible officer of the Cryptographic Department or to the Director of the Office in case the responsible officer of the Cryptographic Department is absent to open the telegram, enter it into the tracking register, and immediately submit it to the Minister. After receiving the Minister's instructions, the General Department shall transfer the encrypted telegram to the unit assigned the task. Upon completion of processing, the unit must complete the procedures to return the encrypted telegram to the Cryptographic Department.

3. For envelopes addressed to specific individuals, the Party Cadre and Civil Servants' Committee of the Ministry, the Party Committee, or the Trade Union of the Ministry: The General Office shall enter the envelope into the Document Handover Register and transfer the envelope to the address indicated on the envelope.

4. For incoming documents bearing the stamps "Urgent", "Very Urgent", or "Urgent": The General Office must prioritize the procedures for receipt, registration, and immediate transfer to the Director of the Office for processing or directly submit to the Minister in case the Director of the Office is absent.

5. For incoming documents bearing the stamp "Urgent" with a specified time for delivery outside regular working hours: The duty staff of the Security Department shall record the document number on the envelope, the name of the sending agency, and immediately report to the Director of the Office for processing; if the Director of the Office is absent, it shall be immediately submitted to the Minister.

6. For incoming documents, except those mentioned in Clauses 1, 2, 3, 4, and 5 of this Article, after completing the receipt and registration procedures, the General Office shall submit them to the Director of the Office for processing.

7. The Director of the Office shall sign the Incoming Document Submission Form (as prescribed in Appendix 3 and 4 attached to this Regulation) and hand over the form to the General Department to submit to the Ministry Leadership on the same day to seek instructions for handling documents within the authority of the Ministry Leadership; if the Minister (Deputy Minister) is on a business trip for more than two days, the Deputy Minister (Minister) shall handle it in their stead.

8. The General Department is responsible for updating the instructions from the Ministry Leadership regarding the documents and implementing the following procedures:

a) Distributing documents into the mailboxes of advisory agencies and other units that have registered mailboxes at the Ministry Office.

b) Coordinating with the General Office to transfer documents to units without mailboxes at the Ministry Office;

c) Immediately transferring the entire content of the document along with the handwritten comments of the Ministry Leadership to the unit assigned the task of handling the document based on its content or according to the instructions of the Ministry Leadership; simultaneously making a phone call to notify the unit to confirm receipt of the document via the network. In cases where it is not possible to transfer via the network, appropriate measures such as urgent delivery, fax, or telephone should be used.

d) In cases where a single document is assigned to multiple units for joint handling, the General Department is responsible for copying and transferring the document to these units, including the original with the handwritten comments of the Ministry Leadership being transferred to the main responsible unit.

đ) For documents assigned by the Minister to Deputy Ministers for direction, the General Department must report and seek instructions from the Deputy Minister on the same day or at the latest on the next working day before implementing the provisions of points a, b, c, and d of Clause 8 of this Article.

9. For documents sent to the Ministry of Transport by enterprises, Departments of Transportation, Departments of Public Works and Transport, and individual letters, if the content requires specialized professional handling within the functions and responsibilities of the unit and does not require approval from the Ministry Leadership, the Director of the Office shall sign the Incoming Document Transfer Form (as prescribed in Appendix 5 attached to this Regulation) and transfer it to the relevant unit for handling.

Article 7. Principles for Handling Documents

1. Based on the content of the incoming document and the instructions from the Ministry Leadership (if any), the unit handling the document shall process it according to its assigned functions and responsibilities, in accordance with the prescribed procedures and deadlines.

2. In cases where it is impossible to meet the prescribed deadlines, the main responsible unit shall report to the Minister or the Deputy Minister in charge of the field for instructions. The report, after receiving instructions, shall be copied and sent to the Ministry Office for monitoring.

Article 8. Deadline for Handling Documents

1. Documents marked "Urgent", "Very Urgent", "Extremely Urgent", and those with urgent content must be handled immediately.

2. Documents with a deadline for resolution must be processed according to the deadline set by the Ministry Leadership; if the Ministry Leadership does not provide instructions, it shall be processed according to the deadline stated in the document.

3. For complex issues or important content requiring significant processing time, the Ministry Leadership may consult experts or request units to clarify before deciding, with the final deadline for resolution being ten working days. For issues requiring collective discussion by the Ministry Leadership before deciding, the final deadline for resolution is fifteen working days.

4. For documents requiring opinions from related Ministries, sectors, or localities, the main responsible unit must closely follow up and promote to obtain responses according to the Government's Working Regulations issued together with Decree No. 23/2003/NĐ-CP dated March 12, 2003.

5. For projects, proposals, programs, the deadline for resolution shall be implemented according to the predetermined schedule or as stipulated by the Ministry Leadership.

6. For issues with resolution deadlines prescribed by higher-level legal regulations, the resolution deadline shall be implemented according to the higher-level legally binding document.

7. For documents without a specified resolution deadline:

a) At the latest five working days from the date of signing the receipt of the document at the General Department, the main responsible unit must complete the resolution and establish a file to report the resolution of the matter to the Ministry Leadership.

b) In the case where the content of the document relates to other units under the Ministry of Transport, the leading unit must organize for the relevant units to provide their opinions. The unit asked for its opinion must reply in writing within three working days from the date of receipt of the request for comments. Within seven working days, the leading unit must complete the draft document and prepare the file to report to the Ministry's leadership for resolution.

8. For documents whose content does not fall within the jurisdiction of the Ministry of Transport, the leading unit must prepare a Return Form (according to the model prescribed in Appendix 2 attached hereto), transfer it to the General Office for the Director of the Office to sign, and return it to the issuing agency or organization.

Chapter III

ISSUANCE OF DOCUMENTS

Article 9. Drafting Documents

1. The content of the documents drafted must meet the following requirements:

a) Consistent with the guidelines, policies, and policies of the Party and the State, consistent with the provisions of the law;

b) Consistent with the content of the work requirements;

c) Reflect the directives of the Ministry's leadership;

d) Within the scope of authority.

2. Format and presentation techniques of documents:

a) Administrative documents: according to regulations issued by the Minister of Home Affairs and the Minister, Head of the Government Office.

b) Specialized documents: according to regulations issued by the Minister of Transport after reaching a consensus with the Minister of Home Affairs.

Article 10. Typing and Reproduction

1. The Ministry's clerical staff is responsible for typing and reproducing documents requested by the Ministry's leadership and the advisory agencies' leadership.

2. Typing and reproduction of documents must meet the following requirements:

a) Accurately type the original draft, correctly format and present the document according to the specified technique. If errors or unclear points are found in the draft, the typist must ask the drafting unit or the person who reviewed the draft;

b) Reproduce the correct number of copies as specified;

c) Complete typing and reproduction within two days at most from the time required;

d) Maintain confidentiality of the document's content.

Article 11. File for Resolution of Work

1. The leading unit drafting the document must prepare a file for resolution of work.

2. The file for resolution of work includes:

a) A Work Resolution Form (according to the model prescribed in Appendices 6 and 7 attached hereto). The Work Resolution Form must be clearly and neatly filled out;

b) Two draft documents and accompanying appendices (if any), one of which must have the signature of the head of the drafting unit at the end of the content section;

c) Incoming documents (if any);

d) Written opinions of the leaders of related agencies and organizations (if any);

đ) Other related documents (if any);

3) In cases where the file for resolution of work contains foreign language documents, they must be translated into Vietnamese when submitted, including appendices. In cases where the document is too long, has many appendices, or the appendices are too long, a summary translation of the important contents is necessary. The International Cooperation Department is responsible for translating documents as required by the Ministry's leadership.

Article 12. Procedures for Approval and Review

1. The leading unit drafting the document submits the file for resolution of work to the General Office.

2. The Head of the General Office is responsible for checking the file for resolution of work according to Article 11 of this Regulation and follows the procedures below:

a) If the file for resolution of work is valid, it will be updated in the Document Handover Register for tracking, then handed over to the Secretary of the Minister and Deputy Minister's assistants;

b) If the file for resolution of work is invalid, it will be returned to the leading unit for supplementation.

3. The Secretary of the Minister and Deputy Minister's assistants are responsible for:

a) Checking the draft document regarding content, form, format, and presentation technique according to the prescribed model. If the requirements are not met, immediately notify the Head of the General Office and directly require the leading unit to supplement and perfect the draft document before submitting to the Ministry's leadership;

b) Submit to the Ministry's leadership on the same day if the file meets all procedures.

4. In special and urgent cases, the leading unit drafting the document may directly submit to the Ministry's leadership for signing but must bear full responsibility for the submitted document and return the file for resolution of work to the General Office within the same day or no later than the next working day to update in the Document Handover Register and follow the prescribed procedures.

Article 13. Inspection of Documents Before Signing

1. The head of the leading unit drafting the document must inspect and be responsible for the accuracy of the document's content.

2. The Director of the Office must inspect and be responsible for the form, format, presentation technique, and issuance procedures of the document.

Article 14. Signing Documents

1. In the case where the Minister and Deputy Minister agree with the document to be signed:

a) The Minister signs two copies of the draft or delegates the Deputy Minister, the Director of the Office, or the head of the advisory agency to sign on his behalf to issue;

b) The Deputy Minister signs two copies of the draft.

2. In the case where the Minister and Deputy Minister disagree with the document to be signed, it is returned to the leading unit for supplementation and perfection of the document.

3. When signing documents, pencils should not be used; red ink or easily fading ink should not be used.

Article 15. Authority to Sign Documents

1. The Minister signs all documents resolving all issues within the functions, tasks, and powers of the Ministry of Transport.

2. The Deputy Minister signs on behalf of the Minister to resolve issues delegated by the Minister.

3. The Minister may delegate the Director of the Office or the head of the advisory agency of the Ministry to sign on his behalf for certain types of documents. The delegation to sign on behalf is detailed in separate documents.

4. In exceptional cases, the Minister may delegate the heads of specialized management agencies to sign on behalf of the Minister for certain documents that the Minister must sign. Delegation to sign on behalf must be in writing and limited to a specific period. The delegatee cannot further delegate to another person to sign.

5. All documents signed on behalf, signed on behalf of the Minister's delegation, and signed on behalf of the Minister must be reported to the Minister and reflected in the address of the document.

6. The Deputy Minister does not delegate signing of documents.

Article 16. Issuance and Distribution of Documents

1. The Office of General Affairs shall immediately transfer the signed document and the entire file for handling the matter to the Ministry's Archive for issuance procedures and delivery of the document to the recipient address.

2. Documents exchanged between advisory agencies for work purposes shall not bear the State Emblem stamp; the agency's Archive has the responsibility to record the document in its Handover Register, directly deliver it to the recipient, and simultaneously provide one copy to the Ministry's Archive to update the Ministry of Transport's Document Management Program.

3. The Ministry's Archive shall conduct the final check on the form, format, and presentation technique of the document; record the number, date, year, make copies according to regulations, and affix stamps to the document, including confidentiality and urgency stamps approved by the signatory on the Work Handling Request Form.

4. The Ministry's Archive shall only stamp and issue documents signed by the Ministry's leadership accompanied by the file for handling the matter and those specified in Clauses 3 and 4 of Article 15 of this Regulation, which are directly transferred by the Office of General Affairs; if transferred by the main unit's Archive or drafting staff, they must be agreed upon by the Director of the Office or the Head of the Office of General Affairs.

5. The Ministry's Archive is responsible for issuing the Ministry's documents to the recipient address on the day the document is signed, at the latest by the next working day; urgent documents bearing urgency stamps or requested urgently by the signatory must be delivered immediately; confidential documents must be sent under secure conditions. In special cases, if the receiving agency or organization needs to collect the document directly from the Ministry's Archive, they must have an introduction letter or request letter and obtain agreement from the signatory or the Director of the Office, and sign the Ministry's Archive Handover Register.

6. Outgoing documents may be transmitted to the recipient via fax or network for quick information dissemination.

7. In certain cases, if the recipient requires original documents, they must register a reasonable quantity with the main drafting unit to include in the file for handling the matter.

8. For invitations to meetings, conferences, seminars where the time from issuance to the event does not exceed seven working days, the Ministry's Archive must send a fax and simultaneously send a "Urgent" message to the recipient.

Article 17. Document retention

1. The Ministry's Archive retains the original with the abbreviated signature of the head of the main drafting unit and the original Work Handling Request Form.

2. The main drafting unit collects from the Ministry's Archive:

a) The file for handling the matter;

b) Two originals, one of which is the original to be included in the work file for archiving as prescribed by the Minister of Transport and one for the drafting staff to monitor the implementation process;

c) One photocopied Work Handling Request Form.

Chapter IV

MANAGEMENT AND USE OF STAMPS, DOCUMENT COPIES,

WORK FILES

Article 18. Management and use of stamps

1. The Ministry's Office is responsible for managing, using, and preserving various types of stamps in accordance with laws on stamp management and use and this Regulation.

2. The Ministry of Transport's stamp must be kept at the Ministry's headquarters and entrusted to one archive clerk who will affix the stamp. The archive clerk is responsible for implementing the following provisions:

a) Strictly safeguarding the stamp, not transferring it to others without written permission from the Director of the Office or higher authority;

b) Affixing the stamp personally to all Ministry of Transport documents;

c) Only affixing the stamp after obtaining the signature of the authorized person as stipulated in Article 15 of this Regulation;

d) Not affixing the stamp to blank documents or before signing;

đ) Reporting immediately to the Ministry's Office Leadership if the stamp is lost;

3. The stamp impression must be clear, neat, correctly oriented, and used within the designated ink limit.

4. When stamping over signatures, the stamp should cover approximately one-third of the signature towards the left side.

5. Stamping on attached annexes to the main document is decided by the signatory; the stamp should be placed on the first page of each annex and partially cover the name of the agency.

6. Stamping across pages for multi-page documents is decided by the signatory.

7. Stamping the first page of draft documents for meetings, conferences, and seminars is proposed by the head of the drafting unit (according to the model specified in Appendix 8 of this Regulation) and must be agreed upon by the Director of the Office.

Article 19. Document Copies

1. The format of copies is implemented according to the regulations of the Minister of Home Affairs and the Minister, Chief of the Government Office.

2. Principles and procedures for making copies.

a) Documents signed and issued by the Ministry's leadership: The document to be copied must be submitted to the Ministry's Office Archive for inspection and approval by the Director of the Office to make copies.

b) Documents signed and issued by the heads of units: The unit head is responsible for making copies.

c) Documents sent to the Ministry from agencies and organizations outside the Ministry of Transport: The Director of the Office is responsible for making copies.

Article 20. Establishment of Work Files

1. A work file includes the following documents and materials:

a) The cover of the work file with the title of the file (according to the model specified in Appendix 8 of this Regulation);

b) List of documents and materials in the file;

c) Documents and materials organized in chronological order and reflecting the relationship between documents in the file;

d) Incoming documents with directives from the Ministry's leadership or unit heads;

đ) Documents containing comments from related agencies, organizations, and individuals;

e) Original outgoing documents requesting or responding to incoming documents;

g) Other related documents (if any).

2. Unit heads are responsible to the Minister of Transport for organizing, inspecting, and supervising staff in establishing work files within their assigned responsibilities.

3. Upon completion of the work, staff must establish work files, organize documents and materials according to Clause 1 of this Article, and store them at the main drafting unit for one year, then submit them to the Ministry's archives.

4. The Ministry's Office is responsible for receiving and processing work files; leading and guiding the establishment of work files for units.

Article 21. Document Management

1. Officials, civil servants, and employees of the Ministry of Transport are responsible for managing and maintaining documents, files, and materials.

2. Shall not provide information, files, and materials that have been and are being processed, and documents with leadership endorsements to agencies, organizations, or individuals without the responsibility to know such information.

Chapter V

IMPLEMENTATION

Article 22. Responsibilities of the Ministry's Office

1. Popularize, guide, and supervise the implementation of the provisions of this Regulation, and report periodically every six months or annually to the Minister.

2. Urge units to process documents and handle tasks according to the directives of the Ministry's leadership; report to the Ministry's leadership cases of delayed processing within the prescribed time limit; submit weekly, monthly, and ad hoc reports on the results of document processing by assigned units.

Article 23. Responsibilities of the Ministry's advisory agencies

1. Implement this Regulation within their agency.

2. Timely update the results of document processing by their agency into the Ministry of Transport's Document Management Program. The head of the agency shall be responsible for the accuracy of the updated content.

Article 24. Responsibilities of other units under the Ministry of Transport

1. Based on general state regulations, this Regulation, and actual conditions at the base, the heads of units under the Ministry of Transport are responsible for establishing and implementing internal regulations on receiving, processing, and issuing documents within their units.

2. Implement the provisions of Clause 2, Article 23 of this Regulation when tasked by the Ministry of Transport's leadership to process incoming documents.

3. Units with headquarters, branches, or representative offices located in Hanoi who wish to directly receive documents from the Ministry of Transport must submit a registration form to the Ministry's Office.

Article 25. Establish Document Handover Registers

1. All units must establish Document Handover Registers. All document handover operations, material transfers, and file submissions for task resolution and work files mentioned in this Regulation must be confirmed by signature in the Document Handover Register.

2. The Ministry's Archivist and the General Coordination Department only carry out document handovers, material transfers, and file submissions for task resolution and work files with the unit's archivist or designated drafters directly assigned by the unit or persons authorized by the unit's head./.