Thông tư liên tịch 01/2014/TTLT-BNV-BXD hướng dẫn thành phần tài liệu dự án, công trình xây dựng nộp lưu vào Lưu trữ lịch sử do Bộ trưởng Bộ Xây dựng - Bộ Nội vụ ban hành

JOINT CIRCULAR

ON GUIDELINES FOR COMPONENTS OF DOCUMENTS ON CONSTRUCTION WORKS AND PROJECTS TRANSFERRED TO HISTORICAL ARCHIVES

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

Pursuant to the Law on Construction No.50/2014/QH13 dated June 18, 2014;

Pursuant to Decree No.58/2014/ND-CP dated June 16, 2014 of the Government on functions, duties, rights and organizational structure of the Ministry of Home Affairs; 

Pursuant to Decree No.62/2013/ND-CP dated June 25, 2013 of the Government on functions, duties, rights and organizational structure of the Ministry of Construction;

The Minister of Home Affairs and Minister of Construction promulgate a Joint Circular on guidelines for components of documents on construction works and projects transferred to historical archives.

Chapter I

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Article 1. Scope

This Circular provides guidelines for components of documents on construction projects and works transferred to historical archives.

Article 2. Regulated entities

This Circular applies to historical archives, investors in works construction, managers and users of works.

Chapter II

COMPONENTS OF DOCUMENTS ON CONSTRUCTION PROJECTS AND WORKS TRANSFERRED TO HISTORICAL ARCHIVES

Article 3. Construction projects and works documents of which needed to transferred to historical archives

1. National important construction projects and works as prescribed in the National Assembly’s Resolutions.

2. Works recognized as Level II historic-cultural monuments or famous landscapes (hereinafter referred to as “monuments”) or higher.

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a) Level I civil works or higher; religious works; works head offices of provincial agencies; works for national and provincial dedicated archives;

b) Specially-graded industrial works; petroleum industry works; energy works; chemical and petrochemical industry works at level I or higher;

c) Specially-graded engineering infrastructure works; water supply and drainage works at level I or higher;

d) Level I traffic works or higher;

dd) Works for agriculture and rural development at level I or higher

4. In case an investment projects for works construction includes various level works or works items, the construction project documents transferred to historical archives shall be decided according to construction works graded in Clause 2 and 3 this Article.

Article 4. Documents on construction projects and works

1. Documents on construction projects and works transferred to historical archives (including project components) include dossiers compiled during construction investment process from the stage of investment policy formulation, project preparation, making of investment decision; study, survey, design, estimate making; preferred bidder selection; construction to acceptance and transfer and putting the works into operation.

2. Document types: Hard copy, films, photos, tapes, recording discs, video discs; e-documents and other types of documents (if any)

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The application for approval for construction investment policies sent to the competent authority includes:

1. An investment report (prefeasibility study report);

2. Written document of the appraisal authority (if any);

3. Written document on investment policies on construction projects/works;

4. Other relevant documents

Article 6. Dossiers on preparation, appraisal of and approval for investment projects on construction works (feasibility reports) or economic-technical reports on works construction

The dossier on preparation, appraisal of and approval for the construction investment project (or project component) shall include:

1. Written request for approval for the project;

2. Description and basic design (for projects); description and design of construction drawing (for works only requiring economic-technical report);

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4. Written document on project appraisal;

5. Decision approving the investment project issued by the competent person;

6. Construction license (if any);

7. Documents on contest and selection of architectural designs for works requiring contest for architectural design;

8. Other relevant documents

Article 7. Dossiers on survey and design of construction

1. Dossier on construction survey

a) Documents on survey into construction of works including topographic survey, geological survey, hydrogeological survey, survey on work status and other survey documents serving construction of works.

b) The dossier on construction survey shall contain the survey tasks, technical plan for construction survey approved by the investor; report on the survey result which has been accepted; written document of relevant management authority (if any).

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a) The dossier on construction design shall include design description, design drawings attached with a list of drawings, relevant documents on construction survey, procedure for works maintenance (for works and equipment installed in works), construction of works.

b) The dossier on appraisal of and approval for the technical design drawing (design of construction drawing) shall include the report on inspection of technical design (design of construction drawing); record of assessment of technical design (design of construction drawing); written approval for technical design (design of construction drawing); record of acceptance of design steps and documents provided by relevant management authorities.

Article 8. Documents on land clearance and construction location

1. Documents on land clearance plans (if any).

2. Documents on transfer of construction sites to the construction contractor (documents on boundaries of construction land). 

3. Documents on land clearance funding (if any).

4. Documents on allocation of land for works construction.

Article 9. Documents on construction and acceptance of construction works

1. As-built drawings of works components, items and the whole completed works (with the list of drawings); changes to design during constructions and written document on appraisal and approval of the competent authority.

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Documents on acceptance of quality of works include documents on internal acceptance of results of construction, components of works, construction period, construction items and works. Components of acceptance document include the followings:

a) Records of acceptance of works quality, results of testing, calibration and trial operation during construction process and construction completion (with the list of records, calibration and testing results).

b) Documents on measurement and monitoring of subsidence and deformation of work components, the whole works and adjacent works within the scope of subsidence during construction process (if any).

c) Results of inspection of works acceptance to put the works in use provided by the construction agency.

d) Results of quality inspection provided by the verification authority for quality of construction works or notice of results of quality inspection; reports provided by the quality verification authority for components or items of works or works having signs of failure to satisfy the quality requirements before acceptance (if any).

dd) Notice of assessment opinions from the State acceptance council about management of quality of construction works (for works subject to inspection); records of acceptance of works quality (for works on the list of acceptance).

e) Procedure for operation of woks.

g) Record of acceptance of, approval for qualified technical and technology systems provided by competent regulatory agencies (if any).

h) Dossiers on incidents and handling of works-related incidents occurring during construction process (if any), including incident reports; reports on examination of incident causes and relevant documents during incident examination; report on checking incident scene; documents on design and construction related to the incident and incident handling document.

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k) Other legal documents.

Article 10. Documents on selection of preferred bidder

If the investor hires a consultant for advice on project preparation, survey, design and construction, components of dossiers specified in Article 6, 7 and 9 shall include documents on selection of preferred bidder as follows:

1. Decision on direct contracting, approval for results of preferred bidder selection.

2. Contract, contract acceptance and other documents related to the acceptance object.

Article 11. Dossiers on final accounts of completed works or projects or final accounts of each component of works or sub-works (with decision on project approval or economic-technical report for construction of independent works)

1. Final accounts.

2. Dossier on audit of final accounts (before approving final accounts).

3. Dossier on approval for final accounts.

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1. The investor in works construction shall take full responsibility for management of documents on works/projects from the stage of investment preparation to the construction completion and transfer these documents to historical archives for works specified in Clause 1, Clause 3 Article 3 hereof.

a) Collect all components of documents on construction projects or works specified in Article 3 hereof.

b) Make adjustments to the documents and a table of contents of documents transferred to historical archives (provide in Appendix I) into 3 copies.

c) Transfer documents on construction project/works and table of contents of documents to historical archives (2 copies) or other searching instruments (if any) within the period regulated by laws.  Documents shall be transferred once for the whole construction investment project if the works included in such project (their components) are put into operation at the same time.  In case works (components of works) included in one project are put into operation at different time, the documents on these works (components) may be transferred separately.

d) Deliver the documents to the submission place.

2. If the investor establishes a project management board and authorizes such board to transfer the documents to historical archival units, the management board shall be responsible to the law and the investor for the tasks specified in Clause 1 this Article.

3. The manger and user of works shall transfer documents on construction works/projects specified in Clause 2 Article 3 hereof to historical archival units.

Chapter III

IMPLEMENTATION

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This Circular comes into force from January 01, 2015.

Article 14. Implementation responsibilities

1. Ministers, Directors of ministerial agencies and Governmental agencies shall provide guidelines and check the transfer of documents on construction of projects or works invested by themselves to historical archival units as prescribed herein.

2. Chairpersons of provincial People’s Committees shall take charge and cooperate with the Department of Construction in providing guidelines and checking the transfer of project/work documents by works investors and users as prescribed herein; carry out annual review and making of the list of projects/works documents of which required to be transferred to historical archival units as specified in Article 3 hereof and send reports to the Ministry of Home Affairs and Ministry of Construction no later than December 31 according to the Form provided in Appendix II.

3. The Ministry of Home Affairs shall take charge and cooperate with the Ministry of Construction in providing guidelines and checking the transfer of documents on construction projects/works to historical archival units.

4. Should any question or difficulty arise during implementation, entities concerned shall inform the Ministry of Home Affairs for further instructions./.

PP. MINISTER OF CONSTRUCTION
DEPUTY MINISTER




Cao Lai Quang

PP. MINISTER OF HOME AFFAIRS
DEPUTY MINISTER




Nguyen Duy Thang

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APPENDIX I

FORM OF TABLE OF CONTENTS OF DOCUMENTS TRANSFERRED TO HISTORICAL ARCHIVES
(Issued together with Joint Circular No.01/2014/TTLT-BNV-BXD of the Ministry of Home Affairs - Ministry of Construction)

Components of the table of contents include:

1. Cover page (Form No.1).

2. Title page (Form No.2).

3. Table of contents.

4. Introduction.

5. Abbreviations (if any).

6. Table of documents and storage units (Form No.3).

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8. Ending certificate (Form No.4).

Form 11- Cover page

Name of the investment agency
(Project management board – if any)

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TABLE OF CONTENTS

From……….to………….

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APPENDIX II

BASIC CONSTRUCTION PROJECTS/WORKS DOCUMENTS OF WHICH NEEDED TO BE TRANSFERRED TO HISTORICAL ARCHIVES IN THE YEAR OF…
(Issued together with Joint Circular No.01/2014/TTLT-BNV-BXD of the Ministry of Home Affairs - Ministry of Construction)

No.

Project/ works

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Investment agency and its representative – if any (Name and address of the headquarters)

Time for beginning and completing the construction

Location investment

Notes

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