Chương III Thông tư 07/2019/TT-BNV: Quản lý hồ sơ viên chức

Chapter III

PUBLIC EMPLOYEE DOSSIER MANAGEMENT

Article 9. Rules for management and use of public employee dossiers

1. Public employee dossiers shall be formulated and managed in a consistent and scientific manner that provides sufficient and accurate information on each public employee starting from the time they are recruited to the time they are no longer employed by the public service provider.

2. Public employee dossiers shall be formulated, managed, used and preserved as confidential documents; and be perused and used only by persons authorized to do so by regulatory bodies or individuals competent in managing these dossiers in writing. Do not distribute information in public employee dossiers.

3. Public employees shall declare information in their dossiers in a sufficient, understandable and accurate manner and take responsibility for the honesty of information declared. Information declared by public employees must be confirmed, affixed with the seal and added to their dossiers by management authorities.

Article 10. Formulation and components of public employee dossiers

1. For public employees recruited for the first time

Within 30 days starting from the date of issuance of the decision on employment, the unit employing a public employee (hereinafter referred to as “employing unit”) shall give instructions on how to declare information to the public employee, check and verify information declared by the public employee, and compare the information with the job application and police record provided by the competent authority. Head of the unit shall confirm, put the seal on and submit the declared information to the management authority to have it added to the public employee dossier. This dossier shall be the original dossier of the public employee.

An original dossier includes:

a) Public employee curriculum vitae book, which is made using form HS01-VC/BNV enclosed therewith. The public employee curriculum vitae book shall provide comprehensive information on the public employee and their family and social relationships, be formulated by the public employee, and checked, verified and confirmed by the employing unit;

b) Summary of public employee curriculum vitae, which is made using form HS02-VC/BNV enclosed therewith. This summary is an important document that summarizes information on the public employee and their family and social relationships, and shall be formulated by the public employee or a responsible person based on the public employee curriculum vitae book mentioned in Point a Clause 1 of this Article and other supplemental documents of the public employee. The employing unit shall check, verify and confirm the summary;

c) Copy of birth certificate notarized by the competent authority or unit according to regulations of law.

d) Police record issued by the competent authority;

dd) Unexpired health certificate issued by healthcare establishment at district-level or higher according to regulations of law;

e) Notarized copies of documents related to the public employee’s qualifications such as transcripts, degrees and certificates concerning professional, political, foreign language and computer science qualifications issued by competent authorities. Degrees and training certificates issued by foreign training institutions outside of Vietnamese territory must be recognized by competent affiliates of the Ministry of Education and Training;

g) Copies of decisions on employment or recruitment by consideration or receipt of the public employee notarized by competent authorities and units according to regulations of law.

In case a sign of violation or error concerning information in an original dossier is detected, the public service provider shall resolve it intra vires or report to the supervisory body for resolution as per the law.

2. For employed public employees

Besides the original dossier mentioned in Clause 1 of this Article, other components of a dossier on an employed public employee include:

a) Public employee curriculum vitae supplementary sheet, which is made using form HS03-VC/BNV enclosed therewith. The public employee shall use this sheet to declare additional information on an annual basis or at the request of the management authority. The employing unit must check, verify and confirm this sheet;

b) Copies of decisions on consideration of transfer, appointment, secondment, mobilization, transfer, promotion, wage raise, commendation and discipline of the public employee.

c) Annual self-assessments and self-discipline letters of the public employee bearing confirmation of the employing unit; public employee assessments and classification by the regulatory body, organization or unit managing the public employee (prepared on an annual basis, at end of tenure, upon election or appointment, nomination, commendation or discipline, or after a business trip or learning course);

d) Property declaration and additional property declaration for public employees required to declare their property per the law;

dd) Letters sent together with appraisal and verification documents, records and conclusions of competent authorities, organizations and units about matters concerning the public employee and their family mentioned in the letters. Anonymous letters or letters not yet considered and concluded by competent authorities shall not be included in the dossier.

e) Other documents directly related to the public employee’s work and social relations;

g) Public employees appointed to leadership and managerial posts must add all documents related to their appointment to their public employee dossiers.

3. Within 30 days starting from the date of issuance of the decision on retirement or end of employment contract or date of death of a public employee, their public employee dossier shall be managed in accordance with regulations in Clause 3 Article 13 herein.

4. Original dossiers shall be retained permanently.

5. In case an original dossier lacks some components or a public employee has no original dossier, the original dossier shall be formulated or completed as follows:

a) Within 30 days starting from the date upon which an original dossier is found to lack some components or a public employee is found to have no original dossier, the employing unit shall request the public employee to complete the original dossier according to regulations in Clause 2 Article 12 of this Circular.

b) If an original dossier could not be completed, complete other dossier components or formulate a new dossier based on the original birth certificate of the public employee according to regulations in Clause 1 of this Article.

Article 11. Forms for public employee dossier management

Forms for public employee dossier management enclosed therewith include:

1. Public employee curriculum vitae book, which has 6 pages and is provided for in Form HS01-VC/BNV.

2. Summary of public employee curriculum vitae, which has 4 pages and is provided for in Form HS02-VC/BNV.

3. Public employee curriculum vitae supplemental sheet, which has 2 pages and is provided for in Form HS03-VC/BNV.

4. Public employee dossier delivery sheet, which has 1 page and is provided for in Form HS04-VC/BNV.

5. Public employee dossier transfer sheet, which has 1 page and is provided for in Form HS05-VC/BNV.

6. Public employee dossier perusal sheet, which has 1 page and is provided for in Form HS06-VC/BNV.

7. Public employee dossier perusal tracking sheet, which has 1 page and is provided for in Form HS07-VC/BNV.

8. Dossier registration book, dossier delivery book and dossier perusal tracking book.

a) Public employee dossier registration book, which has 1 cover page and multiple body matter pages and is provided for in Form HS08a-VC/BNV;

b) Public employee dossier delivery book, which has 1 cover page and multiple body matter pages and is provided for in Form HS08b-VC/BNV;

c) Public employee dossier perusal tracking book, which has 1 cover page and multiple body matter pages and is provided for in Form HS08c-VC/BNV.

9. Dossier envelopes and binding folders

a) Envelopes containing public employee dossiers shall be made from non-absorbent materials with high durability, size of 250 x 340 mm and thickness of from 10mm to 30mm and are provided for in Form HS09a-VC/BNV;

b) Binding folders containing lists of dossier components shall be used to list all components in public employee dossiers. The folders shall consist of 1 cover page and at least 2 content pages which fully list dossier components, and be made from A3 white duplex paper (297 x 420 mm) folded in half. The list of dossier components shall be written on A4 white paper (210 x 297 mm). These folders are provided for in Form HS09b-VC/BNV;

c) Binding folders containing personnel decisions and resolutions (such as decisions on appointment, promotion, mobilization, etc.) shall be made from A3 white duplex paper (297 x 420 mm) folded in half and provided for in Form HS09c-VC/BNV;

d) Binding folders containing comments, assessments, letters and other documents used for verification shall be made from A3 white duplex paper (297 x 420 mm) folded in half and provided for in Form HS09d-VC/BNV.

10. The cover page mentioned from Clause 1 to Clause 8 of this Article shall be made from paper with high durability and in A4 size (210 x 297mm); the pages mentioned from Clause 1 to Clause 8 of this Article shall be made from A4 white paper (210 x 297mm).

Article 12. Amendment to public employee dossiers

1. Amendment to public employee dossiers

Before December 31 of every year or at the request of management authorities, employing units shall provide guidance on declaration and supplementation of information produced within the year related to their public employees and family and social relations thereof using the public employee curriculum vitae supplemental sheet for their public employees. Public employees shall submit copies of degrees and certificates granted within the year (if any) together with the public employee curriculum vitae supplemental sheet.

Declarants shall take responsibility before the law for information insufficiently, inaccurately or deceitfully declared.

2. Regulations on formulation of a new public employee dossier due to damage or loss:

a) Within 30 days starting from the date upon which a public employee dossier is confirmed to have been damaged or lost, the management authority shall notify the employing unit, which shall provide dossier declaration and completion guidelines according to regulations in Clauses 1 and 2 Article 10 herein for the public employee;

b) After the public employee completes the dossier, the employing unit shall inspect information in the dossier components. If information in the components is consistent, head of the employing unit shall confirm and take responsibility for information in the dossier and report to the management authority for consideration and decision.

c) If information in the dossier components is not consistent, the employing unit shall promulgate a verification decision and report the verification conclusion to the management authority for consideration and decision to consolidate the information in writing. The verification shall be carried out as follows:

Verified items: directly verify the dossier components on the premises of issuers of civil status documents (original documents), Communist Party member curriculum vitae (original documents); if information in the dossier components is inconsistent with civil status documents, the verification team shall request the employing unit to send a written request to justice authority at provincial level or higher for verification and notification of legal value of civil status documents in writing; if information in the dossier components is inconsistent with the Communist Party member curriculum vitae, the verification team shall request the authority managing this curriculum vitae to verify and notify the verification results to the employing unit. For degrees and certificates issued by foreign training institutions outside of Vietnamese territory, the verification team shall report to the employing unit, which shall send a written request for verification to the degree/ certificate managing body affiliated to the Ministry of Education and Training.

Verification period shall start from the entry into force of the verification decision issued by the employing unit and last for 90 days. In the event of force majeure, the employing unit may extend this period in writing for no more than 30 working days starting from the entry into force of the extension document. If the verification period ends without a verification conclusion, the employing unit shall report to the head of the management authority for consideration and decision.

The verification team shall consist of a team leader and team members decided by the head of the employing unit. The team leader shall assign tasks to the team members, who shall take responsibility for their own comments. The team shall operate on the basis of impartiality, transparency and honesty. The team leader shall submit the verification conclusion record to the employing unit 05 working days after the verification ends and take responsibility for the conclusion.

Verifying responsibility: regulatory bodies, organizations, units and individuals related to the verified items shall provide sufficient information at the request of the verification team; any regulatory body, organization, unit or individual related to the verified items falsifying a document, forging a document or confirming and issuing a document to an ineligible individual shall be disciplined according to regulations of the Law on Public Employees and existing regulations of law.

d) Verification is not required for the following items if damaged or lost due to objective cause:

Dossier components besides the original components mentioned in Clause 1 Article 10 herein, which shall be supplemented by the public employee according to regulations in Clause 1 herein;

Lost dossier components which have been found and information in which is consistent with other components in the original dossier or legality of which has been confirmed by justice authority at provincial level or higher or competent authority.

3. In case the employing unit amends information in a public employee dossier and then reports to the head of the management authority for consideration and decision, the employing unit shall verify the amendment according to regulations in Point c Clause 2 herein. The amendment shall be carried out as follows:

a) Dossier components (public employee curriculum vitae book, birth certificate, social insurance number, degrees and certificates) and other components containing inconsistent information shall be amended based on the original birth certificate or the public employee curriculum vitae book formulated when the public employee was recruited to a state agency, organization or unit for the first time  If the birth certificate is not included in the dossier.

b) Amendment to information in a public employee dossier must be decided by the head of the management authority in writing after the verification conclusion record of the employing unit is available.

c) Do not amend the date of birth written in the public employee dossier of a Communist Party member. Instead, replace it with the date of birth (age) written in the Communist Party member curriculum vitae (original dossier) formulated when they joined the Communist Party.

4. When formulating a new public employee dossier due to missing or damaged original dossier components or requesting amendment to information in original dossier components intra vires, the head of the management authority shall submit reports according to regulations in Clause 7 herein.

5. In case a missing original document/ dossier is found, it shall continue to be used and the new document/ dossier shall be used for reference purpose. If there is any difference between the components of the original dossier and that of the new dossier, the original dossier components shall be used.

6. For public employees with no more than 12 months of work before retirement date, do not amend information in their original dossiers.

7. Before June 30 of every year or at the request of public employee management authorities, management authorities shall submit consolidated reports on new public employee dossier formulation in the preceding year.

Article 13. Public employee dossier transfer and receipt

1. Public employee dossier receipt method

When a public employee switches to a new employing unit or is being considered for an official position, the official/ public employee dossier management authority shall request the old management authority to transfer the dossier on the public employee when receiving the public employee.

2. The dossier receipt period shall last for 30 days starting from the date of issuance of the receipt decision by the new employing unit or decision on transfer to official position. Dossier receipt tasks include:

a) Fill out Form HS04-VC/BNV and Form HS05-VC/BNV enclosed therewith;

b) Inspect seal and postal mark (if sent by post), confirm state of received documents into the public employee dossier transfer sheet and send this sheet or a written reply to the sender and confirm state of sealing;

c) Write in the public employee dossier delivery book, which is made using Form HS08b-VC/BNV enclosed therewith;

d) Assign dossier number, formulate list of documents and dossier management sheet, write in the public employee dossier registration book (made using Form HS08a-VC/BNV enclosed therewith) and draw up a delivery record;

dd) Public employee dossiers shall be transferred by management authorities.

3. Regulations on transfer and retention of dossiers of public employees who have retired, terminated the employment contract or transferred to a new employing unit or are deceased:

a) Public employees having retired or terminated the employment contract shall receive one copy of the public employee curriculum vitae and relevant decisions. Their original dossiers shall be retained and added to the group of leaving public employees by management authorities. Management authorities may confirm and issue another copy of the public employee curriculum vitae only at the written request of public employee management authorities and based on retained original dossiers;

b) Public employees having transferred to a new employing unit shall receive one copy of the public employee curriculum vitae. Their original dossiers shall be retained by the old management authorities and transferred to other management authorities as per the law only at the written request of these authorities;

c) For deceased public employees, their families shall receive one copy of the public employee curriculum vitae. Their original dossiers shall be retained and added to the group of leaving public employees by management authorities.

Article 14. Public employee dossier perusal and use

1. Entities permitted to peruse and use public employee dossiers

a) Public employee management authorities, employing units and management authorities may peruse and use public employee dossiers for work purpose;

b) Where necessary and with permission from management authority heads, public employees may peruse the whole or a part of their dossiers or request management authorities to provide a copy of the public employee curriculum vitae.

2. Regulations on public employee dossier perusal:

a) The person perusing a dossier must obtain a letter of introduction from a regulatory body, organization or unit, which includes address, title, requested dossier and reason for perusal. Perusal requests must be recorded into the public employee dossier perusal sheet (made using Form HS06-VC/BNV enclosed therewith);

b) Public employee dossiers shall be perused only in their retention places.

c) Only documents (or parts of a document) whose contents are relevant to the assigned task may be viewed;

d) Do not falsify dossier contents or form such as by marking, erasing, altering, adding or removing any document in a dossier;

dd) Photocopying of relevant documents in dossier components must be reported to and requires permission from head of the management authority. The person directly managing the dossier shall produce and transfer the copy to the person requesting it.

3. Tasks of persons directly managing public employee dossiers:

a) Provide correct and sufficient documents according to requests written in the public employee dossier perusal sheet and approved by head of the management authority;

b) Inspect state of returned dossiers to ensure that they remain the same as when they are lent out and record into the public employee dossier perusal tracking sheet (made using Form HS07-VC/BNV enclosed therewith) and public employee dossier perusal tracking book (made using Form HS08c-VC/BNV enclosed therewith);

c) Provide extracts of dossiers according to requests written in the public employee dossier perusal sheet and approved by head of the management authority.

Article 15. Public employee dossier retention and preservation

1. Steps of public employee dossier retention and preservation include:

a) Formulate dossier books;

b) Classify documents;

c) Formulate document lists;

d) Formulate dossier management sheets and write in the dossier registration book;

dd) Prepare dossier folders for perusal purpose.

2. Requirements for public employee dossier retention:

a) Organize the dossiers in alphabetical order or by body to which they belong to ensure ease of retrieval and perusal;

b) Documents inside each public employee dossier must be organized into groups in chronological order to facilitate perusal and put into an envelope. A list of documents and dossier management sheet shall be included in the envelope;

c) Information such as full name; aliases; hometown and dossier number (and employee ID (if any)) shall be written on the outside of the envelope to facilitate search and retention. Public employee dossiers shall also be retained and managed using computer systems;

d) Ensure that the dossiers could be preserved easily without wrinkles, damage or loss.

3. Public employee dossier retention procedures:

a) Inspect and process to ensure that documents in dossier components are official, trustworthy and valid;

b) Remove identical or unnecessary documents; retain only one copy of each document. Document removal requires permission from head of the management authority and must be recorded in writing. The record shall be added to the original dossier. Restore damaged documents or copy their contents and retain these contents together with the damaged documents;

c) In case a document in dossier components needs to be disposed of, establish a council for disposal of document in public employee dossier. The head of the management authority has the power to decide establishment of the council. Upon disposal of a document in a public employee dossier, draw up a record of disposal, which shall include reason for disposal, management authority granting permission for disposal, list of documents to be disposed of, and disposal date and location, and add the record to the public employee dossier.

4. Public employee dossiers shall be preserved in compliance with state confidentiality requirements as well as the following facilities and equipment requirements and regulations:

a) Equipment for physical dossier preservation consists of cabinets, safe lockers containing confidential, secret and top secret documents; shelves; chairs, tables, air conditioners, dehumidifiers, vacuum cleaners, ventilation fans, fire alarm equipment, fire extinguishers; desiccants, anti-mold chemicals, anti-termite chemicals, woodworm treatment, anti-rodent chemicals, cockroach control chemicals, etc., which shall be used to ensure long-term dossier retention;

b) On a monthly, quarterly or ad hoc basis, inspect state of dossiers and relevant matters, and clean and maintain preservation equipment;

c) On an annual basis, perform a comprehensive inspection, spray anti-termite chemicals and woodworm treatment according to plan, and review and rearrange dossiers;

5. Heads of management authorities shall take responsibility for preservation and management of public employee dossiers according to regulations of this Article.

Article 16. Procedures for reporting on public employee dossier management

Before June 30 of every year, central government authorities and provincial governments shall submit consolidated reports on public employee dossier management of regulatory bodies, organizations and units under their management to the Ministry of Home Affairs, which will submit a consolidated report to the Government and Prime Minister. Contents of and procedures for reporting on public employee dossier management are as follows:

1. On an annual basis or at the request of public employee management authorities, management authorities shall inspect and assess public employee dossier management according to this Circular;

2. Reports on public employee dossier quantity and quality and assessment of public employee dossier perusal for the purpose of public employee management shall include:

a) Number of new dossiers (new job applications, including new dossiers formulated due to damage, loss or amendment), dossiers of public employees having been appointed, transferred per consideration or seconded or switched to a new job title and dossiers of public employees having become officials or switched to a new post;

b) Number of dossiers of public employees having retired or terminated the employment contract or  deceased;

c) Number of damaged or lost dossiers and applications for amendment to components of original dossiers.

3. Reports on facilities and equipment for dossier management shall include:

a) Dossier preservation and retention areas and locations;

b) Area of dossier preservation and retention areas;

c) Dossier preservation equipment;

4. Propositions of solutions for improving efficiency of public employee dossier management and modernizing public employee dossier management.

Article 17. Refresher training in public employee dossier management

Central government authorities and provincial governments shall proactively organize refresher classes for officials and public employees directly managing public employee dossiers of regulatory bodies, organizations and units under their management according to funding, contents and plans prepared and approved on an annual basis.

Article 18. Modernization of public employee dossier management

Central government authorities and provincial governments shall proactively modernize public employee dossier management by applying information technology to retain and use public employee dossiers; prevent direct contact with physical dossiers, and maximize efficiency of use of public employee dossiers in electronic public employee management systems;

Article 19. Powers and responsibility of central government authorities, provincial governments and management authorities

1. Central government authorities and provincial governments may exercise state management of public employee dossier management, provide guidelines for and inspect compliance with regulations on public employee dossier management of this Circular intra vires.

2. Promulgate regulations on public employee dossier management and guidelines thereof for management authorities under their management.

3. Heads of central government authorities and provincial governments shall provide for decentralization of public employee dossier management for regulatory bodies, organizations and units under their management.

4. Heads of central government authorities and provincial governments shall inspect compliance with regulations on public employee dossier management of regulatory bodies, organizations and units under their management according to regulations of this Circular on an annual or ad hoc basis..

5. Heads of management authorities have the power to consider and decide the following matters:

a) Decide on persons qualified for statistical reporting and management of dossiers on public employees;

b) Enable public employees to declare information; request employing units to verify public employee dossiers or original dossiers in case of formulation of new public employee dossiers due to damage or loss or amendment to public employee dossiers;

c) Request competent authorities to consider, verify and amend inconsistent information and documents in original dossiers according to regulations in Article 12 of this Circular;

d) Notify public employees of the conclusion of verification of self-declared information found to be inconsistent or inaccurate;

dd) Dispose of unnecessary and identical documents in public employee dossiers;

e) Take disciplinary actions or request competent authorities to consider and take disciplinary actions against persons committing violations against regulations on public employee dossier declaration, management and preservation as per the law.

Article 20. Rights and responsibilities of persons directly managing public employee dossiers

1. Proactively propose plans and measures for management, use and perusal of public employee dossiers and electronic public employee dossiers (if any).

2. Organize supplementation of documents to public employee dossiers in a timely and accurate manner.

3. Organize dossier arrangement, preservation and retention.

4. Provide data and documents in a timely and accurate manner.

5. Review, detect and report unclear or conflicting issues in public employee dossiers and issues arising during public employee dossier management to heads of management authorities for consideration and resolution.

6. Collect sufficient components of public employee dossiers under management of their regulatory bodies, organizations and units and expedite such collection.

7. Support public employee dossier perusal and use according to regulations in Clause 3 Article 14 herein.

8. Comply with confidentiality rules applicable to public employee dossiers, detect and propose issues arising during public employee dossier management to competent authorities for resolution.

9. Regularly participate in refresher training in public employee dossier management.

10. Receive commendation for innovative ideas concerning improvement of public employee dossier management that produce good results and are confirmed by competent authorities in compliance with regulations of law on emulation and commendation.

11. Penalties imposed upon officials and public employees committing a violation against regulations on public employee dossier management of this Circular and other relevant regulations of law:

a) Violations committed by officials shall be handled according to regulations on penalties applicable to officials depending on the severity of each violation;

b) Violations committed by public employees shall be handled according to regulations on penalties applicable to public employees depending on the severity of each violation.

Article 21. Responsibilities and rights of public employees concerning their dossiers

1. Public employees shall declare sufficient information in a clear and honest manner and declare and supplement their dossiers according to guidelines of the employing units or at the request of management authorities; take responsibility before the law, public employee management authorities and employing units for declared information. Insufficient, inaccurate or dishonest information declaration shall be handled according to regulations on penalties applicable to public employees and other relevant regulations of law depending on the severity of the violation.

2. Public employees have the right to peruse their own dossiers on the premises of management authorities, excluding the documents mentioned in Point dd Clause 2 Article 10 herein.

3. When carrying out procedures for amendment to their original dossiers or applying for amendment to their dossiers, public employee shall report to heads of their employing units and competent authorities for consideration and resolution according to regulations of this Circular.

4. Public employees shall provide newly acquired dossier components related to themselves following guidelines or request of competent authorities and units.

Article 22. Responsibilities of Ministry of Home Affairs

1. Exercise unified state management of public employee dossier management throughout the country.

2. Inspect compliance with regulations on public employee dossier management of this Circular of management authorities under the management of central government authorities and provincial governments.