深圳市人大关于深圳经济特区档案与文件收集利用条例 Regulations

（2002年4月26日深圳市第三届人民代表大会常务委员会第十五次会议通过）

深圳市人民代表大会常务委员会公告

第四十八号

《深圳经济特区档案与文件收集利用条例》经深圳市第三届人民代表大会常务委员会第十五次会议于2002年4月26日通过，现予公布，自2002年7月1日起施行。深圳市人大常委会2002年5月16日

第一章总则

第一条为了加强深圳经济特区（以下简称特区）档案事业建设，有效收集、管理、保护和利用档案、文件，根据《中华人民共和国档案法》、《广东省档案管理规定》和其他有关法律、法规的规定，结合特区实际，制定本条例。

第二条特区内档案行政管理工作以及国家机关、社会组织和个人收集、管理、利用档案与文件或者其他有关档案与文件的行为适用本条例。

第三条本条例所称档案，是指国家机关、社会组织及个人从事政治、经济、科学、技术、文化、教育、宗教等活动形成的对国家和社会有保存价值的各种文字、图表、声像及其他形式的原始记录。

本条例所称文件，是指国家机关和其他国家所有的单位在公务活动中形成的，移交档案馆存档之前由文件中心保管的文件材料。

第四条国家机关、社会组织及个人享有依法利用档案、文件的权利，并负有维护档案、文件完整、准确与安全的义务。

第五条市、区政府档案行政管理部门是本行政区域内档案、文件事务的综合管理部门，其他有关行政管理部门按照各自的职责，配合档案行政管理部门做好档案、文件工作。

第二章档案馆、文件中心与档案中介机构

第六条深圳市档案馆（以下简称市档案馆）为全市的中心档案馆和档案信息中心，是市政府所属的档案专业机构。其主要职责：

（一）接收市属单位应当进馆及全市范围内其他对国家和社会有重要保存价值的档案资料；

（二）征集与本市有关的重要档案资料；

（三）建立全市档案信息网络和目录中心，综合研究、开发利用全市的档案信息资源，为其他档案机构提供业务、技术示范；

（四）利用馆藏档案资料为全市爱国主义教育和社会利用档案信息资源提供服务。

区档案馆负责收集、管理和提供利用本行政区域内的档案资料。

第七条专门档案馆负责收集、保管和提供利用某一专门领域或者某种特殊载体形式的档案，具体接收档案的范围按国家档案行政管理部门的规定执行。

第八条市、区政府设立的文件中心，是集中保管与提供利用同级机关、事业单位处理完毕的文件的机构。其主要职责：

（一）接收同级机关、事业单位处理完毕的文件；（二）对接收的文件进行整理、鉴定和保管；（三）向市或者区档案馆移交需长久保存的档案。（四）向国家机关、社会组织及个人提供利用文件。文件未纳入文件中心管理的机关、事业单位应当设置档案室，负责收集、保管和提供利用本单位的各种档案。

第九条依法设立的档案中介机构可以从事以下档案业务：（一）档案业务咨询；（二）档案整理；（三）档案价值评估；（四）档案技术服务；（五）档案寄存保管；（六）营业执照规定的其他档案业务。

档案中介机构从事以上业务，应当遵守法律、法规和档案行政管理部门的有关规定。

第十条档案工作人员和档案中介机构从业人员应当具备档案专业知识，持证上岗。

第三章档案与文件的收集

第十一条市、区政府应当加强档案资源的信息化、现代化建设，支持电子档案、文件网络系统的开发和利用，推动档案、文件信息资源共建共享。

市政府应当拨出专款，对反映特区社会活动的重点珍贵档案资料进行征集和抢救，档案行政管理部门必须专款专用。

第十二条依照国家规定属于归档范围的文件，有关部门在办理完毕后应当及时整理，按期移交文件中心或者本单位档案室，任何部门和个人不得拒绝归档或者据为己有。

国家机关和其他国家所有的单位的工作人员离开原岗位时，应当办理档案、文件交接手续。

第十三条国家机关和其他国家所有的单位的档案及其工作人员在公务活动中形成的档案归国家所有。

第十四条各单位应当按照下列期限移交档案、文件：

（一）列入文件中心接收范围的文件，在办理完毕的第二年的六月底前移交；

（二）列入市、区档案馆接收范围的档案，自形成之日起满十年的办理移交；

（三）列入专门档案馆接收范围的档案，按照国家和本市规定的期限移交；

（四）非常设机构组织的全市重大活动形成的档案、文件，组织机构应当自活动结束之日起六个月内向市档案馆或者市文件中心移交。

第十五条鼓励向市、区档案馆捐赠不属于国家所有的档案。档案馆决定接收捐赠的，应当对捐赠者颁发捐赠证书。

第十六条博物馆、纪念馆、图书馆及其他机构保管的文物、图书同时是档案的，应当向市档案馆报送目录并告知变动情况。

属于集体或者个人所有的、市档案馆认为对国家和社会有重要保存价值的档案，市档案馆可以要求持有者报送目录并告知变动情况。

第十七条市、区重点建设项目、重大科学技术研究和技术改造项目实行档案登记制度，项目主管部门的档案机构和同级档案行政管理部门负责登记工作的组织、指导和监督。

第十八条对建设工程、技术改造、重要设备购置和更新及科学技术研究等项目进行验收或者鉴定时，应当由有关档案机构对项目档案进行验收。

市、区重点建设项目、重大技术改造项目和科学技术研究项目验收或者鉴定时，由市、区档案行政管理部门会同有关档案机构对项目档案进行验收。

第十九条国有企业由于兼并、破产、出售、股份制改造或者实行承包租赁等原因，资产或者产权发生变动时，其档案处置按国家有关规定办理。

对属于国家所有的档案的归属和流向提出异议的，由档案行政管理部门认定。

第二十条由保管期限已满的档案，档案保管单位应当组织鉴定；对失去保存价值的档案，经单位负责人批准后予以销毁。

文件中心保管的文件，经鉴定不需要向档案馆移交的，由文件中心负责销毁。

第四章档案与文件的利用

第二十一条文件中心应当优先保障移交单位利用文件的需要，并为其他机关利用文件提供方便。

第二十二条公共档案馆文件中心保管的档案、文件，应当向社会公开，但是应当依法保密或者其他不宜公开的除外。

社会组织及个人持合法有效证明，可以利用公开的档案、文件。本条例所称的公共档案馆包括市、区档案馆和专门档案馆。

第二十三条公共档案馆、文件中心应当公布向社会公开的档案、文件的范围、目录和利用办法。

第二十四条公共档案馆、文件中心应当采取以下形式向社会提供利用档案、文件：

（一）馆内利用；（二）网上查阅；（三）专人递送；（四）电传或者邮寄：（五）提供档案、文件证明；（六）编纂档案、文件汇编和参考资料；（七）举办档案、文件展览。

第二十五条公共档案馆、文件中心应当根据社会需求，适时公布档案、文件信息。

第二十六条档案行政管理部门应当协调各档案馆、文件中心、档案室之间档案、文件信息资源的共享和交流，并对档案、文件信息资源的开发与利用工作进行指导。

第二十七条社会组织和个人对公共档案馆、文件中心以档案、文件未公开为理由拒绝提供利用有异议的，有权向档案行政管理部门申诉。

第二十八条鼓励企业及私人档案馆依法向社会公开档案。

第二十九条任何单位和个人应当维护档案、文件的真实性，不得伪造、篡改档案、文件。

第三十条利用档案馆的档案编写出版物或其他资料的，应当提供样书或者副本供有关档案馆收藏。

第五章法律责任

第三十一条有下列行为之一的，由档案行政管理部门责令限期改正，并建议有关主管部门对直接负责的主管人员或者其他直接责任人依法给予行政处分：

（一）违反本条例第七条规定，不按规定范围接收档案的；（二）违反本条例第十四条规定，不按规定期限移交档案、文件的；

（三）违反本条例第十六条规定，拒绝向市档案馆报送档案目录或者告知档案变动情况的；

（四）违反本条例第十七条规定，不按规定向档案行政管理部门报送项目档案登记材料的；

（五）违反本条例第二十二条规定，擅自提供利用档案、文件或者未按规定向社会公开档案、文件的。

第三十二条有下列行为之一的，由档案行政管理部门对单位处以一万元以上五万元以下的罚款，对直接责任人处以五百元以上二千元以下的罚款：

（一）违反本条例第十二条规定，将应当归档的文件据为己有或者拒绝归档的；

（二）违反本条例第十八条规定，项目验收或者鉴定后不向有关档案机构移交档案的；

（三）违反本条例第十九条规定，不按国家有关规定处置档案的；（四）违反本条例第二十条规定，擅自销毁档案、文件的。

第三十三条有下列行为之一的，由档案行政管理部门对单位处以五万元以上十万元以下的罚款，对直接责任人处以二千元以上五千元以下的罚款：

（一）违反本条例第九条规定，擅自从事档案中介活动的；（二）违反本条例第二十九条规定，伪造、篡改档案、文件的。

第三十四条当事人对档案行政管理部门作出的行政决定和行政处罚有异议的，有权依法申请行政复议或者提起行政诉讼。当事人逾期不申请复议或者不提起诉讼，又不履行处罚决定的，由作出处罚决定的档案行政管理部门申请人民法院强制执行。

第六章附则

第三十五条本条例自2002年7月1日起施行。

Regulations of Shenzhen Special Economic Zone on Collection and Use of Archives and DocumentsPromulgated by Decree No.48 ofthe the Standing Committee of the Third Shenzhen People's Congress

Regulations of Shenzhen Special Economic Zone on Collection and Use of Archives and Documents was Adopted at the Fifteenth Meeting of the Standing Committee of the Third Shenzhen People's Congress on April 26, 2002,It is now promulgated and shall take effect as of July 1, 2002

the Standing Committee of the Third Shenzhen People's Congress
May 16, 2002
Chapter I General Provisions

Article 1 With a view to strengthening the development of undertakings of archives in the Shenzhen Special Economic Zone （hereinafter referred to as "the Special Zone"） and effectively collecting, managing, protecting and using archives and documents, taking into account of the specific conditions of the Special Zone, these Regulations are hereby formulated in accordance with the provisions of the Archives Law of the PRC，the Provisions of the Guangdong Province on Archives Management and other laws and regulations concerned.

Article 2 These Regulations shall apply to the administrative work of archives, the collection, management and use of the archives and documents by State organs,social organizations and individuals or other activities concerning archives and documents within the Special Zone.

Article 3 "Archives"in these Regulations mean original records, including those in different languages, pictures, diagrams, audio-visual and in the other forms, whose preservation is of value to the State and society and which are formed by State organs, social organizations and individuals in their political, economic, scientific, technological, cultural, educational, religious and other activities.

"Documents"in these Regulations mean documentary materials which are formed by State organs and other State-owned units in their public affairs and have been preserved by the centers of document before delivery to the archives repositories.

Article 4 State organs, social organizations and individuals have rights to use the archives and documents according to law and have the obligations to ensure the integrity, accuracy and safety of the archives and documents.

Article 5 The archives administration departments of the municipal and district governments are the unified administration departments for the affairs of archives and documents in their respective administrative areas, and other administration departments shall assist, according to their respective functions, the archives administration departments to do the work of archives and documents well.

Chapter II Archives Repositories, Centers of Document and Archives Intermediary Institutions

Article 6 The Archives Repository of the Shenzhen Municipality （hereinafter referred to as the Municipal Archives Repository） is a central archives repository and a center of archives and information of the whole city, and also is a professional archives organization under the Municipal Government. The main responsibilities of the Municipal Archives Repository are the following:

（1） to receive the archival materials which should be transferred into the Municipal Archives Repository from the units under the Municipality and the other archival materials of the whole city whose preservation is of important value to the State and society;

（2） to collect the important archival materials concerning the Municipality;

（3） to establish a center of the whole city on information, internet and catalogue of archives, to synthetically research, develop and use the archival information resources of the whole city, and to provide other archives institutions with professional and technological demonstration.

（4） to use the archival materials preserved by the repositories to serve for a patriotism education of the whole city and a social use of the information resources of archives.

The district archives repositories shall be responsible for collection, management and availability of the archival materials within their respective administrative areas.

Article 7 The special archives repositories shall be responsible for collection, preservation and availability of the archives in a special field or in the form of special carrier. The specific receipt scope of the special archives shall be carried out according to the provisions provided by the archives administration department of State.

Article 8 The centers of document established by the municipal and district governments are the institutions responsible for centralized preservation and availability of the documents which have been completely processed by the organs and institutions at the same level. The major functions of these centers are the following:

（1）to receive the documents which have been completely processed by the organs and institutions at the same level;

（2） to arrange, appraise and preserve received documents;

（3） to transfer the archives which need to be kept for a long term to the municipal or district archives repositories;

（4） to make documents available to State organs, social organizations and individuals; The organ and institution in which the documents have not been incorporated into the management of the centers of document shall set up an archives room. The archives room shall be responsible for collection, preservation and availability of various archives within their respective units.

Article 9 The archives intermediary institutions established according to law may engaged in the following archival business:

（1） to offer advices on archival business;

（2） to arrange archives;

（3） to estimate the value of archives;

（4） to supply the services of archival technology;

（5） to deposit and preserve archives;

（6） to engage in other archives business regulated in the business license

The archives intermediary institutions engaging in the business above-mentioned shall comply with the laws, regulations and the relevant provisions of the archives administration departments.

Article 10 Archivists and the members working in the archives intermediary institutions shall have the knowledge of archival profession and shall hold the certificate to work.

Chapter III Collection of Archives

Article 11 The municipal and district governments shall strength the development of information and modernization of the archives resources, support the development and use of the electronic archives and documentary internet system and promote that whoever makes a contribution to the resources of archives and documentary information may enjoy them in common.

The Municipal Government shall appropriate a specified fund so as to collect and save the major and precious archival materials which reflect the social activities in the Special Zone; the archives administration departments shall embark a fund for its specified purpose only.

Article 12 With respect to the documents which fall in the scope to be filed as archives in accordance with the provisions of the State and have been completely processed, the relevant departments shall arrange them in time and transfer them at regular intervals to the centers of document or the archives rooms of their respective units. No department and individual may fail to file such documents or keep such documents as his personal property.

The officers of State organs and other State-owned units shall go through the formalities of handing-over and taking-over archives and documents when they leave the former post.

Article 13 The archives of State organs and other State-owned units and the archives formed by the officers thereof in their public affairs shall be owned by the State.

Article 14 All units shall transfer the archives and documents pursuant to the following time limit:

（1） The documents listed in the receipt scope of the center of document shall be transferred before the end of the June following the year in which the documents have been completely processed;

（2） The archives listed in the receipt scope of the municipal and district archives repositories shall be transferred upon the expiration of 10 years from the date of their creation;

（3） The archives listed in the receipt scope of the special archives repositories shall be transferred according to the time limit provided by the State and the Municipality.

（4） The archives and documents formed in the major citywide activities which are organized by the nonpermanent organizations shall be transferred by these organizations to the Municipal Archives Repository or the municipal center of document within six months from the date of finishing the activities.

Article 15 Donating the archives which are not owned by the State to the municipal and district archives repositories shall be encouraged. If an archives repository decides to accept such a donation, it shall issue the donation certificate to the donation person.

Article 16 With respect to the cultural relics, books and reference materials which are kept in museums, memorial halls, libraries and other organs and are currently archives, the catalogues shall be submitted to the Municipal Archives Repository and the changes shall be reported.

With respect to collectively-owned or individually-owned archives which are considered as important preservation value to State and society, the Municipal Archives Repository may require the person who keeps such archives to submit the catalogues and report the changes.

Article 17 With respect to the municipal and district major construction projects, major scientific and technological research projects and major technological reforming projects, a file registration system of archives shall be carried out, the archives institutions of the competent departments for these projects and the archives administration departments at same level shall be responsible for arranging, directing and supervising the registration.

Article 18 While checking and accepting or appraising such projects as construction project, technological reformation, purchase and renewal of major facilities, and scientific and technological research etc., the relevant archives institutions shall check and accept the archives of these projects.

While checking and accepting or appraising the municipal and district projects such as major construction work, major technological reforming project and major scientific and technological research project, the municipal and district archives administration departments shall check and accept the archives of these projects in conjunction with the relevant archives institutions.

Article 19 State-owned enterprises shall process their archives according to law of State while their capital or property right are changed because of merger, bankruptcy, sale, reformation in shares system or being contracted or leased, etc.

The challenges to the ownership and circulation direction of the State-owned archives shall be decided by the archives administrative departments.

Article 20 With respect to the archives approaching to its preservation term, preserving units for archives shall make the arrangements to appraise; the destruction of the archives which have lost its preservation value shall be approved by the persons in charge of the units.

The documents, preserved by the document center, which are not necessary to be transferred to the archives repository after being appraised, shall be destroyed by the document center.

Chapter IV Use of Archives and Documents

Article 21 The document center shall give priority to guarantee a need of using documents to the transferring units and shall provide other organs with the convenience of the use of documents.

Article 22 The archives and documents preserved by the document center of public archives repository shall be open to the public, except those which shall be confidential according to law or not proper to be open. Social organizations and individuals holding legal and effective certificate may use the opened archives and documents. Public archives repository in these Regulations shall include municipal and district archives repositories and professional archives repositories.

Article 23 Public archives repositories and documentary centers shall publish the scope, catalogue and using ways of the archives opened to the public.

Article 24 Public archives repositories and document centers shall adopt the following forms to provide the society with archives and documents for use:

（1） using archives and documents in the archives repositories;

（2） enquiring and reading archives and documents on the internet;

（3） sending archives and documents by special person;

（4） telexing posting archives and documents;

（5） providing the certificate of archives and documents;

（6） compiling archives, the collection of documents and the reference materials.

（7） holding the exhibition of archives and documents.

Article 25 Public archives repositories and document centers shall in time publish the information on archives and documents based on the social needs and requirements.

Article 26 Administration management departments for archives shall coordinate the common enjoyment and exchange of the information resources on archives and documents among the archives depositories, the documentary centers and the archives rooms, and shall direct the task of the development and use of the information resources on archives and documents.

Article 27 If social organizations and individuals have challenges to the public archives repositories and document centers which fail to provide for use by reason that the archives and documents have not be opened, they have rights to claim to the archives administrative departments.

Article 28 The archives repositories of the enterprises and private making their archives public shall be encouraged.

Article 29 All units and individuals shall ensure truthfulness of the archives and documents and shall not falsify or distort the archives and documents.

Article 30 Those who use the archives of the archives repository to write publications or other materials shall supply the specimens or duplicate to the archives repository concerned for preservation.

Chapter V Legal Liabilities

Article 31 If one of the following acts is committed, the archives administration departments shall order amends to be made within a specified time limit and propose the relevant competent departments to impose a disciplinary sanction, in accordance with the law, on persons directly in charge or other persons directly responsible;

（1） failing to receive archives according to the regulated scope, in violation of Article 7 of these Regulations;

（2） failing to transfer archives and documents according to the regulated time limit, in violation of Article 14 of these Regulations;

（3） failing to submit the catalogues to the Municipal Archives Repository or failing to report the changes of the archives, in violation of Article 16 of these Regulations;

（4） failing to submit the archival registration materials on project/program to the archives administration departments according to the provisions, in violation of Article 17 of these Regulations;

（5） providing archives and documents for use without authorization or failing to make the archives and documents public according to the provisions, in violation of Article 22 of these Regulations;

Article 32 If any of the following acts is committed, the archives administration departments shall impose a fine of not less than 10,000 yuan but not more than 50,000 yuan on the unit, and a fine of not less than 500 yuan but not more than 2,000 yuan on the person directly responsible.

（1） appropriating documents which should be kept as archives, and refusing to transfer the archives for filing, in violation of Article 12 of these Regulations;

（2） failing to transfer the archives to the archives institutions after the project/program are checked and accepted or identified, in violation of Article 18 of these Regulations;

（3） failing to handle the archives according to the provisions of the State, in violation of Article 19 of these Regulations;

（4） destroying the archives and documents without authorization, in violation of Article 20 of these Regulations.

If any of the following acts is committed, the archives administration departments shall impose a fine of not less than 50,000 yuan but not more than 100,000 yuan on the unit, and a fine of not less than 2,000 yuan but not more than 5,000 yuan on the person directly responsible:

（1） engaging in archives intermediary activities without authorization in violation of Article 9 of these Regulations;

（2） altering or forging archives and documents in violation of Article 29 of these Regulations.

Article 34 If parties have challenges to an administrative decision and an administrative punishment made by the archives administration departments, they have rights to apply for an administrative reconsideration on the decision or take an administrative proceedings. If parties neither apply for reconsideration or take the administrative proceedings nor perform the decision of punishment, the application for enforcing the punishment decision shall be made to the people's court by the archives administration department which makes this decision.

Chapter VI Supplementary Provisions

Article 35 These Regulations shall enter into force as of July 1, 2002.