Chapter III
MANAGEMENT OF DOCUMENTS
Section 1. MANAGEMENT OF OUTGOING DOCUMENTS
Article 14. Steps in management of outgoing documents
1. Issue the number and time of issue of an outgoing document.
2. Register an outgoing document.
3. Replicate and put the entity's seal, mark indicating the classification or urgency level on a paper document; put the entity’s digital signature on an electronic document.
4. Issue and monitor the delivery of an outgoing document.
5. File and archive a copy of an outgoing document.
Article 15. Assigning the number and time of issuance to documents
1. The number and time of issuance of a document must accord with the chronological order and sequence of documents to be issued in the year (consecutively starting from No. 01 assigned to the document issued on January 1 and ending on December 31 each year). The sole number and code shall be assigned to a document issued by an entity in a year. If a document has both paper and electronic versions, the numbers and codes thereof must be consistent.
a) According to regulations on numbering of legislative documents, each of them must be assigned a serial number.
b) The numbering of specialized documents shall be subject to regulations imposed by heads of sectoral authorities.
c) The numbering of administrative documents shall be subject to regulations imposed by heads of entities.
2. Assigning the number and the time of issuance of a paper document must follow the competent person’s signature and must be completed by the subsequent working day at the latest. Classified documents shall be assigned particular serial numbers.
3. The number and the time of issuance of electronic documents must be assigned through the System's service.
Article 16. Registering outgoing documents
1. The registration of outgoing documents must comprehensively include required accurate information.
2. Registering a document
Each document must be registered in the register or on the System.
a) Registering a document in the register
The records department may register documents in the register of outgoing documents. The sample register of outgoing documents is given in the Appendix IV hereto.
b) Registering a document on the System
Documents registered on the System must contain all data fields of the sample register of outgoing documents that are printed out and must be bound in a registry book for custodial purposes.
3. Classified documents shall be registered under laws on protection of state secrets.
Article 17. Replication, sealing, digital signature and marking of classification or urgency levels
1. Replication, sealing, digital signature and marking of classification or urgency levels shall be required for paper documents.
a) An outgoing document must be replicated to reach the quantity of copies determined at the section indicating the recipient.
b) Placement of an entity’s corporate seal and marking of the classification or urgency level must be subject to regulations of Appendix I hereto.
2. Entity’s digital signature on an electronic document
Digital signature of an entity must be subject to regulations of Appendix I hereto.
Article 18. Issuing and monitoring the delivery of outgoing documents
1. Outgoing documents need to completely go through all required procedures of the records department and must be issued within the following working day at the latest. Urgent documents must be issued and delivered immediately after signing.
2. When issuing outgoing classified documents, regulations on their confidentiality, the number of copies issued, the time and place of receipt as set out in laws on protection of state secrets must be observed.
3. Any document that has already been issued, but contains any error, must be revised or replaced by the one existing in the equivalent form. Documents that have already been issued, but contain errors arising from their formatting structure or technique or issuance procedures, must be rectified by official letters sent by issuing entities.
4. Withdrawing documents
a) Upon receipt of notices of withdrawal of paper documents, recipients must return received documents.
b) Upon receipt of notices of withdrawal of electronic documents, recipients must abort these documents on the System and notify recipients of such abortion.
5. Issuing paper documents derived from documents bearing competent persons’ digital signatures: The records department prints out the document digitally signed by the competent person, marks the printed document with the entity's seal to make it become the primary document before issuing it.
6. Where the records department needs to issue electronic documents derived from paper documents, regulations laid down in point c of clause 1 of Article 25 hereof must be observed.
Article 19. Archiving outgoing documents
1. Filing and archiving a paper document
a) Its original must be deposited with the records department and must be sealed promptly after being issued, and must be filed in the order of registration.
b) The primary version thereof must be filed in the business dossier.
2. Storing a electronic document
a) Its original must be saved on the System of the issuing entity.
b) If an entity's System meets regulations of Appendix VI hereto and other relevant laws, it shall be used for storing electronic documents, instead of paper documents.
c) If an entity's System fails to meet regulations of Appendix VI hereto and other relevant laws, then the records department must create original paper documents under regulations of clause 5 of Article 18 herein that are filed in the department or in the business dossier.
Section 2. MANAGEMENT OF INCOMING DOCUMENTS
Article 20. Steps in management of incoming documents
1. Receiving an incoming document.
2. Register an incoming document.
3. Present and hand over an incoming document.
4. Process, monitoring and expedite the processing of an incoming document.
Article 21. Receiving incoming documents
1. Paper documents
a) The records department checks the number and state of envelope and security seal (if any) and the sender; compares the number and code written on the envelope with those written in the document put in the envelope. In case where any error or abnormality is detected, the records department must promptly alert the person responsible for dealing with such situation and notify the sender.
b) If all of incoming paper documents (including those with marks indicating classification levels) sent to the entity are subject to the requirement of registration with the records department, their envelopes must be opened and documents put in these envelopes must be marked "ARRIVED". If a document is addressed correctly to an individual or division of an entity, the entity's records department must hand it over to the recipient (without opening its envelope). If a document put in an envelope addressed correctly to an individual is about the entity’s business, the receiving individual must hand it back to the records department to have it registered.
c) The sample "ARRIVED” mark shall be subject to regulations of the Appendix IV hereto.
2. Electronic documents
a) The records department must check the authenticity and integrity of an electronic document, and have it received on the System.
b) If an electronic document fails to meet regulations laid down in point a of this clause, or is misaddressed, the receiving entity must bounce it back to the sending entity on the System. In case where any error or abnormality is detected, the records department must promptly alert the person responsible for dealing with such situation and notify the sender.
c) The receiving entity must promptly notify the sending entity that the document is already received within the day of receipt through the System.
Article 22. Registering incoming documents
1. In order to gain registration for an incoming document, full, clear and accurate information required for the sample register of incoming documents or the input data used for management of incoming documents must be provided. If any incoming document is not registered with the records department, the entity shall not be responsible for it, except incoming documents that may be registered in other way as prescribed by laws.
2. The arrival numbers of incoming documents are determined in the chronological order and sequence of receipt of these documents within a year. The arrival number of the paper incoming document must be consistent with that of the electronic incoming document.
3. Registering documents
Each document must be registered in the register or on the System.
a) Registering an incoming document in the register
The records department may register the incoming document in the register of incoming documents. The sample register of incoming documents is given in the Appendix IV hereto.
b) Registering an incoming document on the System
The records department receives the document and records it on the System. Where necessary, the records department can digitize the incoming document, subject to regulations of Appendix I hereto. The records department can update the System by completing fields indicating input data used for management of incoming documents according to Appendix VI hereto. Incoming documents registered on the System must contain all data fields of the sample register of incoming documents that are printed out, must be signed and bound in a registry book for custodial purposes.
4. Classified documents shall be registered under laws on protection of state secrets.
Article 23. Presenting and handing over incoming documents
1. Incoming documents must be presented by the records department within a day, or on the following working day at the latest, to the person having competence in processing these documents, and must be forwarded to the unit or individual assigned to process them. In case where the unit or individual assigned to process documents is clearly defined, the records department must forward them to that unit or individual according to the entity’s rules and regulations on management of records. Incoming documents with marks indicating urgency levels must be presented and forwarded immediately after receipt. Forwarding or handover of documents must conform to requirements concerning accuracy and confidentiality of their content.
2. Based on the content of an incoming document, working rules and regulations of an entity; functions, duties and working plans assigned to specific units or individuals, the competent person may record his/her instructions about how to process that document. If a document relates to multiple units or individuals, the presiding and cooperating unit or individual, and the processing duration, must be clarified.
3. Present, forward or hand over a paper document: Instructions for processing the document must be recorded in the “forwarded” section in the “ARRIVED" mark or the document processing slip according to the sample one given in the Appendix IV hereto. After receipt of instructions for processing the document from the competent person, the incoming document is moved back to the records department to add more information for registration, and then handed over to the unit or individual assigned to process the document. The unit or individual must sign to confirm the receipt of the paper document that is forwarded or handed over.
4. Present, forward or hand over an electronic document on the System: The records department must present the electronic document to the person having competence in giving instructions for processing documents on the System.
The competent person must record his/her instructions for processing that incoming document on the System and enter the following information into the System: The receiving unit or individual; instructions and processing status; processing duration; forwarding or handover of the document to the unit or individual assigned to process the document. In case where an electronic document is sent along with a paper document, the records department must present the former on the System and forward the latter to the unit or individual assigned by the competent person to take charge of processing the document.
Article 24. Processing, monitoring and expediting the processing of incoming documents
1. The entity’s head is responsible for giving instructions for timely processing of incoming documents and assigning the person charged with monitoring and expediting the processing of incoming documents.
2. Upon receipt of incoming documents, the unit or individual must examine and processing them by the deadline prescribed in the entity’s work rules and regulations. Incoming documents with marks indicating urgency levels must be immediately processed.
Section 3. DUPLICATION OF DOCUMENTS
Article 25. Forms of duplication
1. True copies, including: True paper copies of paper documents; true paper copies of electronic documents; true electronic copies of paper documents.
a) True paper copies of paper documents are made by photocopying original paper documents or primary paper documents.
b) True paper copies of electronic documents are made by printing original electronic documents.
b) True electronic copies of paper documents are made by digitalizing paper documents and digitally signing by entities.
2. Exemplified copies
a) Exemplified copies, including: Exemplified paper copies of paper documents; exemplified electronic copies of paper documents; exemplified paper copies of electronic documents.
b) Exemplified copies are made by printing or photocopying true copies.
3. Extracts
a) Extracts, including: Paper extracts from paper documents; electronic extracts from paper documents; electronic extracts from electronic documents; paper extracts from electronic documents.
b) Extracts are taken from documents by completely reproducing their formatting structures and contents.
4. Formatting structures and techniques of true copies, exemplified copies and extracts shall be subject to regulations laid down in Appendix I hereto.
Article 26. Legal value of copies and extracts
True copies, exemplified copies and extracts conforming to regulations laid down herein Appendix I hereto shall have legal value equivalent to primary documents.
Article 27. Duplication authority
1. The entity’s head shall be accorded authority to decide the duplication of documents that it issues, documents that other entity sends it, and regulate the authority to sign copies of documents.
2. Replicating, photocopying documents or objects containing state secrets shall be subject to laws on protection of state secrets.
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