Operational norms for archives on the oceanographic administrative law enforcement
Some standard content:
ICS 01.140.20,07.060
Ocean Industry Standard of the People's Republic of China
HY/T1392011
Operational norms for archives on the oceanographic administrative law enforcement2011-02~16 Issued
State Oceanic Administration
2011-03-01 Implementation
Normative references
3 Terms and definitions
A. General requirements
4.1. Completeness
4.2. Integrity
4. 3 Accuracy
4.4 Systematicity
Authenticity and effectiveness
4.6 Security
Collection and accumulation
6 Sorting and organizing
Document sorting
Paper document sorting
Photo document sorting
6.1.3 Electronic document sorting
6.2 File management
File arrangement
7 Cataloging
7.1 Page number compilation.
File number compilation
Call cover compilation
File spine compilation
Compilation of in-volume catalog
7.6 Preparation of preparation tables
Stamping of file number
Compilation of case catalog
Compilation of document catalog
Cataloging of electronic documents
Storage and utilization
Appraisal and transfer
Appendix A (Normative Appendix)
Appendix B (Normative Appendix)
Scope of filing and storage period of marine administrative law enforcement files File cover and back of marine administrative law enforcement archives, format diagram of archive business tablesTTKANTKACA
HY/T 139—2011
HY/T 139--2011
Art examination documents
Figure B, 6
Scope of archives and storage period of marine administrative law enforcement documents Penalty case file cover format
Punishment case file back format
In-file directory format
In-file preparation table format
File number stamp format
File directory format
Document companion directory format
Electronic document registration form format
Electronic file directory format
Electronic file carrier cover format
Return and transfer record form format·
File borrowing registration form format
Cancellation file registration form format
File transfer document format
TTKNKAA
This standard is based on GB/T 1.1
2009 Rules Drafting.
This standard was proposed by the General Office of the State Oceanic Administration. This standard is under the jurisdiction of the National Marine Standardization Technical Committee (SAC/TC283). The drafting units of this standard: North Sea Information Center of the State Oceanic Administration, China National Marine Surveillance Corps. HY/T 139-2011
The main drafters of this standard: Qiu Li, Zhou Ling, Du Jipeng, Jin Haiqin, Xing Jie, Yang Liu, Li Liang, Guo Xiaoyu, Zhong Xiaoli. TTTKANTKACA
1 Scope
Business Specifications for Marine Administrative Law Enforcement Archives
HY/T 139---2011
This standard specifies the methods for the collection, accumulation, sorting, cataloging, archiving, storage, use, identification and transfer of marine law enforcement archives and the format of archive business tables
This standard is applicable to marine law enforcement special and penalty case archives business work. 2 Normative references
The following documents are indispensable for the application of this standard. For dated references, only the dated version applies to this standard. For undated references, the latest version (including all amendments) applies to this standard. HY/T057 Marine Administration Archives Business Specification Basic Format of Marine Administrative Law Enforcement Legal Documents. Beijing: Ocean Press, 2008 3 Terms and Definitions
The following terms and definitions apply to this document. 3.1
Records of oceanographic administrative law enforcement Records of information in various forms that are generated during the work of marine administrative law enforcement and truly record the activities of law enforcement. 3.2bzxZ.net
Archives of oceanographic administrative law enforcement Records of historical records in various forms that are generated during the work of marine administrative law enforcement and truly record the activities of law enforcement and have evidence and proof functions and preservation value.
Law enforcement activities on special projectsLaw enforcement activities organized by marine administrative law enforcement agencies at all levels in specific sea areas for specific matters, including special inspections and special operations. Note: The activity cycle generally lasts more than one day, with plans, process records, summaries, etc., and does not include daily law enforcement activities based on registration. 3. 4
Main file
The main file of marine administrative law enforcement archives.
Note: The archived files in the main file reflect the necessary legal procedures for marine administrative law enforcement, including fixed legal document format files, documents that provide direct evidence and documents with direct proof functions: the main file provides convenient and quick query and utilization for relevant parties. 3.5
Subsidiary file
The subsidiary file of marine administrative law enforcement archives.
Note: The archived documents in the supplementary volume reflect the legal procedures of marine administrative law enforcement on the basis of the main volume, including case discussions, non-fixed legal document format documents, internal requests for instructions and replies, and other important documents that are not directly related to the marine administrative law enforcement procedures, summary reports, and electronic document carriers that are not convenient to provide directly, etc. The supplementary volume provides more comprehensive query and utilization for relevant parties. 1
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Case number code
After the penalty case is filed by the institution responsible for filing the case, the case number is drawn up according to the type of case, including the year and case serial number. Note: One case corresponds to one case number. The filing, filing and storage of all law enforcement documents such as legal documents, official documents, and two telegrams formed from the filing to the closing of a case all use the case number drawn up when the case was filed. After the suspended case resumes the law enforcement sequence, the original case number will continue to be used. 3.7
piecepiece
The sorting unit of archived documents. Generally, each document is considered as one. 3.8
Arrangement unit
arrangementunit
The basic unit for systematic arrangement of several interrelated marine administrative law enforcement documents 4 General requirements
4.1 Completeness
4.1.1 The relevant legal procedure documents in the archived files should be complete. 4. 1,2 The archived documents and their media types should be complete. 4.2 Completeness
4.2.1 The content, number of pieces and pages of the archived documents should be complete. 4.2.2 The content, structure and background information of the archived electronic files should be complete. 4.3 Accuracy
4.3.1 The basic format of archived legal documents should comply with the requirements of the basic format of marine administrative law enforcement legal documents. 4.3.2 The subject qualifications, factual evidence, applicable laws, legal procedures and corresponding text descriptions recorded in the archived legal documents should be accurate. 4. 4 Systematicity
4,4.1 Marine administrative law enforcement archives are part of marine archives + should be classified, sorted and arranged according to the law enforcement special and penalty case archives. Other marine administrative law enforcement documents shall be classified, sorted and arranged in accordance with the provisions of HY/T057. 4.4.2 Marine administrative law enforcement archives shall confirm the systematicity of archived law enforcement documents with each law enforcement special and penalty case as the sorting unit. 4.5 Authenticity and validity
4.5.1 Archived documents shall truly record marine administrative law enforcement activities and shall be original documents generated during law enforcement activities. When the original documents cannot be archived, the reasons shall be stated.
4.5.2 Archived documents shall have corresponding legal effect, paper documents shall be clear, and electronic documents shall be readable and transferable. 4.6 Security
4,6.1 The confidential documents in the case files should be marked on the file box according to the confidentiality requirements and managed according to the confidentiality regulations. 4.6.2 Law enforcement agencies at all levels should take security protection measures for law enforcement files to ensure the quality of the files, back up and regularly check the electronic files, and extend the life of the files.
4.6.3 Preventive measures should be taken for viruses on the original electronic files in the archives, and virus detection measures should be taken for viruses on the non-original electronic files in the archives.
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5 Collection and accumulation
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5.1 The filer determined by the law enforcement agency shall collect and accumulate law enforcement documents according to the filing scope and retention period table (see Table A.1). 5. 2 The following documents should not be filed
a) Envelopes with no evidential value, etc.,
§) Duplicate documents with completely different contents and versions: published regulations and cases;
Documents not related to law enforcement special projects and penalty cases. 6 Arrangement and filing
6.1 File arrangement
6.1.1 Paper file arrangement
6.1.1.1 The arrangement method for each archived file is as followsa) The files reflecting the same issue are arranged as one file, and the order is as follows: reply first, incoming letter last; reply first, request last; main text first, attachment last; original first, final draft last; copy first, original last; Chinese translation first, foreign original last; forwarded document first, forwarded document last; conclusion document first, basis document last; b)
The archived copy of the legal document to be delivered and the corresponding delivery receipt are arranged as one file; c
The on-site record and appendix "Appendix combined with the on-site drawing, d)
Each document in the evidence file registration form is one item. Among the evidence documents, a group of photos taken for the same reason is one item, a case closing approval form and an administrative penalty fulfillment certificate (such as invoices, situation statements, etc.) is one item. e
f) Other documents with inseparable contents are one item. 6.1.1.2 The documents in one file for one activity or one case should be arranged in the order of project establishment or case establishment documents first, end of activity or case closure documents second, and other documents in the middle.
6.1.1.3 The same type of documents in the volume shall be sorted by date, and the evidence documents shall be sorted by the time of evidence extraction. The evidence attached to the on-site record shall be sorted by the order of evidence cited in the record, and the extracted evidence shall be sorted by the order in the registration form of the extracted evidence document. Evidence that cannot be bound into a volume can be separately formed into a steel volume and put into the evidence package at the bottom of the volume. 6.1.2 Photo file arrangement
6.1.2.1 According to the needs of law enforcement work, paper photos with representative and preservation value should be selected for filing. 6.1.2.2 Photos should be sorted by reason and time. 6.1.2.3 Photos in the case file should be of uniform size, and should be mounted in a special photo mount or A4 paper to form a case file. Additional information should be added to the photo mount or under the mounting paper, including number, reason, person, time, place, photographer (unit, name), etc. 6.1.2.4 The digital original of paper service film shall be organized according to the requirements of electronic files: 6.1.3 Electronic file organization
6.1.3.1 Electronic file archiving.. Generally, CDs shall be used as storage media. The preferred media order is: read-only CDs, write-once CDs. When archiving original audio and video tapes, they shall be transferred and made into CDs according to the required format and archived at the same time. 6.1.3.2 Multiple or even sub-monthly electronic files can be set under the root directory of non-original electronic file carriers; the file directory name shall reflect the uniqueness of the electronic file content under the requirement.
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6.1.3.3↓
When organizing and storing electronic files, the organic connection of the file content and the systematic independence of the electronic files shall be maintained. 6.1.3.4 Electronic files should be generated and converted in file format according to the requirements of law enforcement work. If there are no specific requirements, the following general formats should be used:
Text type. XML.. RTF. TXT#
b) Digital photos, JPEG, TIFF+
c) Audio and video electronic files: WAV, MP3;
d) Image and multimedia audio and video data: MPEG.AVI. 6.1.3.5 A description file should be stored under the root directory of the carrier, and the content mainly includes: the names of each sub-directory on the carrier, the name of the archived electronic file, the file content, the file record format and the text operation environment, the reading position, the person in charge and the contact information, etc. 6.1.3.6 Before the production of the archived electronic file carrier, the computer used and the electronic file to be archived should be checked for computer viruses. After the production is completed, the readability of the carrier should be checked to confirm the validity, completeness and accuracy of the stored information. 6.2 File Arrangement
6.2.1 Archived files shall be filed separately according to law enforcement projects and penalty cases. 6.2.2 The case difference of law enforcement projects shall be divided into one or more files for one activity depending on the number of archived files. 6.2.3 The case files of penalty cases shall be divided into one or more files for one activity according to the number of archived files: 6.2.4 When multiple files are formed for one activity or case, legal documents, evidence files, photo files and other similar files can be filed separately. 6.2.5 The case files of penalty cases shall be divided into main files and supplementary files according to the principle of facilitating the protection of the level and facilitating the use. Cases with relatively simple archived files shall not be divided into main files and supplementary files.
6.2.6 Confidential files shall not be filed separately, and the confidentiality level of the case files shall be marked according to the highest confidentiality suffix of the archived files in the case difference. 6.3 Binding
6.3.1 Before binding, archived documents should be fully checked. Incomplete documents should be completed, torn documents, discolored documents, and documents with diffused handwriting should be repaired or copied, and metal objects that are easy to rust should be removed.
6.3.2 When binding by piece, metal nails that are not easy to rust should be used. When binding the whole volume, cotton thread of corresponding specifications should be used. It is strictly forbidden to touch or press the words. 6.3.3 The paper used for archived documents shall be based on the international standard A4 type, and the binding line shall be located on the left side of the vertical direction. When the paper size does not meet the standard, it shall be trimmed, folded, or affixed with backing paper.
6.3.4 Special archived documents for law enforcement shall be bound by piece. After binding, the documents shall be placed in the cabinet in the order of the volume directory, archived documents, and the volume preparation table. The thickness of the case box should be:
6.3.5 Archived documents for penalty cases shall be bound by three-hole one-line whole volume, and shall be arranged in the order of the case cover (soft cover), volume directory, archived documents, and volume preparation table. The appropriate range of binding line length is 150mm~160mm; the appropriate range of case file thickness is 1cm~3cm. The bound case files are placed in file boxes of corresponding thickness. 6.4 Case file arrangement
6.4.1 Case files of special law enforcement cases should be arranged in the order of year and the start time of each activity. 6.4.2 Case files of penalty cases should be arranged by year and case number. 6.4.3 Case files of the same special law enforcement case and penalty case should be arranged in the order of legal document volume in front, evidence document volume in the back, main volume in front, and supplementary volume in the back, with consecutive case file numbers:
7 Cataloging
7.1 Page number compilation
7.1.1 Special law enforcement case files bound by pieces should be compiled and numbered by piece. If there are already page numbers, there is no need to re-write them. 4
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7.1.2 For case files bound by volume, each volume shall be numbered starting from “1\”. Pages with valid information in the archived documents in the case file shall be numbered. Page numbers can be marked with a black coding machine or a signature pen. For documents written on one side, the page number shall be marked in the upper right corner of the page; for documents written on both sides, the page number shall be marked in the upper right corner on the front side and in the upper left corner on the back side. 7. 1. 3 When the case file of a penalty case contains a printed and archived document, if it is a separate volume, the original directory can replace the directory in the volume, and there is no need to rewrite the page number: if it is a volume with other documents, it should be placed at the end of the file in the difference, and it should be filled in as a document in the directory in the volume, and there is no need to rewrite the page number.
7.1.4 The cover of the case file, the directory in the volume, and the preparation table in the volume do not have page numbers. 7.2 File number compilation
7.2.1 The file number of the penalty case file is composed of "institution code case number-case serial number\. Example:
BH(2007)002·3, means Beihai is the general contractor, the case number is (2007>002, the third volume, 7.2.2 The file number of the special law enforcement case file is composed of "activity code (year)-case number\. Example:
HI<2008)-3, means Youdun special law enforcement action, which was launched in 2008 + the third volume 7.2.3 The file number of the penalty case filing file is composed of the organization code case number-case number -File number in the volume. Example:
BH(2007)002-3-1+ means Beihai Zongou is in charge, the case number is (2007)002, the third volume, the first case, 7.2.4 The file number of the special law enforcement archive file is composed of "activity code (year)-case number-file number in the volume\group, example:
HD(2008)-3-1, means Youdun special law enforcement action, launched in 2008, the third volume,The first one. 7.2.5 For archives on other media other than paper documents, the file number shall include the media category code, such as "G" for optical media, "C" for magnetic media, and *s\ for physical objects.
For example,
BH(2007)002-G1. means that Beihai is responsible for the case, the case number is (2007)002, and the first CD. 7.3 Preparation of case file cover
7. 3. 1 The format of the case file cover for penalty cases is shown in Figure B.1. The format of the case file cover for law enforcement special cases shall be prepared in accordance with the requirements of HY/T 057. 7.3.2 The inner cover of the bound case file should be printed, and the columns on the outer cover of the case box should be filled in neat, standardized and clear handwriting. The filling requirements are as follows:
Title column: the full name of the law enforcement agency should be indicated; b) Case number: that is, the case number;
Case cause: fill in the case cause confirmed by the execution of the case, the case cause is the person punished and the type of illegal behavior; d)
Handling unit: the specific case handling agency should be filled in; )
Handling person: fill in the name of the law enforcement officer, and more than two law enforcement officers are required to work together; f)
Filer: fill in the name of the handling person or the person responsible for filing designated by him; g)
Start and end date: should be consistent with the case closing date recorded in the document in the file; h)
Storage period: fill in according to the filing scope and storage period table (see Table A.1); i) File number: fill in the file number of the recommended file!
Archive number: Fill in the archive number assigned by the state. For law enforcement archives that have not been stored in the archives, this item does not need to be marked; Ear record number: that is, the classification number. If the archiving agency does not have a clear classification plan, it can be left blank: 1
Case file number: Fill in which volume of the case file this is. 7.3.3 The “Supplementary File” stamp should be stamped on the upper right corner of the file cover. 5
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7.4: File Alternative Editing
7.4. 1 The spine format of the penalty case file is shown in Figure B. 2. The spine format of the law enforcement special case file should be prepared according to the requirements of HY/T 057. 7.4.2 The subject words should be filled in according to the main characteristics of the law enforcement special case and the penalty case. A maximum of 5 words can be filled in. 7.5 The most complete compilation of the internal directory
7. 5. 1 The format of the internal directory table is shown in Figure B. 3.7.5.2 The directory in the volume should be filled in as required, and after being printed by the computer, it should be placed before the archived files in the case file. The filling requirements are as follows: Serial number: Fill in the file's sequence number in the case file 1a
b) File abbreviation: Fill in the file's code, drawing number, fax and telegram number, etc. Files without numbers do not need to be filled in: c
File title: Fill in the full title of the file. The title of the legal document should consist of the name of the law enforcement agency and the name of the legal document. It should not be changed or simplified. If there is no title, Draft title, add "\"; d) Person in charge: For legal documents with signature, the unit indicated by the seal is used; for internal legal documents without seal, the persons in charge are, in order, the approver or host, the reviewer, the undertaker, the recorder, the party concerned, the provider of evidence or documents; Date: Indicated by 8 Arabic numerals, such as: 20080204, indicating February 4, 2008; e
Number of pages: For case files bound in whole and small, fill in the first page number of each case, and the start and end page numbers of the last file should be filled in. For case files bound in pieces, fill in the total number of pages of each case;
(multiple) Remarks: Fill in the confidentiality level of the file, any missing or removed information, etc. 7.6 Reduction of preparation table
7. 6. 1 The format of the preparation table within the file is shown in Figure B. 4. 7.6.2 The preparation table within the file is placed on the last page of the file and is not recorded as a returned file. The requirements for filling in the form are as follows: Description: Fill in the missing, modified, supplemented, removed, destroyed, etc. of the files in the file: a
b) Filer, signed by the filer;
Inspector: The person in charge or the leader of the organization is responsible for inspecting the quality of the file and signs in the inspector column; c
d) Date: Fill in the filing time and inspection time respectively. 7.7 Stamping the file number
7.7.1 The format of the file number stamp is shown in Figure B.5.
7.7.2 The file number stamp should be stamped in the blank space on the upper right corner of the first page of each archived document, indicating the file number of the volume, the file serial number and page number of the file in the volume.
7. 8 Compilation of the file directory
7. 8. 1 The format of the file directory is shown in Figure B. 6. 7. 8. 2 The file directory is applicable to the management, retrieval, inquiry and transfer of archived files. Example:
If a police case only forms one file, the title of the case file shall be the same as the cause of action indicated on the cover of the case file. If two or more files are formed, the title of the case file shall be; ""Cause of action: Legal document", "Case of action: Evidence (I)"\\"Case of action: Evidence (II)". 7.8.3 For penalty cases, the title of the case file shall be the same as the cause of action. If a case has more than two files, the title of the case shall be: "Cause of action: File contents in the file". 7.8.4 If a law enforcement project has one file, the title of the case file shall be the same as the name of the law enforcement project. If a project has more than two files, the title of the case file shall be: "Name of law enforcement project: File contents in the file". 7.9 Compilation of file directory
7.9.1 The format of the file directory is shown in Figure B.7.6
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7.9.2 The file directory is used for the management of archived files, case inspection, inquiry and file transfer. 7.10 Electronic Document Cataloging
7.10.1 The format of the electronic document registration form is shown in Figure B.8. 7.10.2 The format of the electronic file directory is shown in Figure B.9. 7.10.3 The format of the cover of the electronic file carrier is shown in Figure B.10. 8 Archiving
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8.1 Law enforcement agencies at all levels shall designate filers to complete the collection, accumulation and organization of files to be archived. The person in charge or the business leader of the agency shall be responsible for checking the quality of the files and supervising the filers to file them with the relevant file management agency on schedule. 8.2 The files that have been completed shall be filed with the archives management department of the law enforcement agency at the same level. When filing, the formal filing procedures shall be handled and the filing record form shall be filled in. The format of the filing transfer record form is shown in Figure B.11. 8.3 The files of marine administrative penalties and special law enforcement cases shall be filed within four months after the end of the law enforcement activities. 8.4 For cases where a penalty decision has been made but the execution has not been completed within one year from the date of the penalty decision, the existing documents shall be registered and filed by the law enforcement unit and handed over to the relevant archive department for management: 8.5 For independent or joint law enforcement projects that do not specify specific personnel, the person in charge of the organization hosting the activity shall designate a person to perform the duties of the filer, who shall be responsible for the collection, sorting and filing of the files that should be filed for the project. Other auxiliary organizations shall designate relevant personnel to cooperate in the filing and filing work according to the nature and scale of each activity: 8.6 Each law enforcement agency shall register the filing of law enforcement files on an annual basis and compile a daily record of the files. The file directory consists of three parts: the file directory, the file directory, and the filing instructions. The filing instructions record the issues that should be explained in the files filed this year. The number of closed cases and the number of suspended execution cases in the penalty case files shall be specifically stated.
8.7 If the files that have been filed need to be supplemented with documents, the added content shall be supplemented on the filing record sheet according to the filing requirements. 9.1 The filer shall mark the storage period of the file on the cover of the file according to the filing scope and storage period table of marine administrative law enforcement files (see Table A.1).
9.2 The original measurement for the determination of the storage period of marine administrative law enforcement cases is: a) the importance of the impact on society and public interests b) the amount of fines for penalty cases:
) the level of the subject implementing special law enforcement and the execution procedure of penalty cases. 9.3 The above principles and standards should be comprehensively considered when the storage period of law enforcement files is specifically determined, and the storage period should be longer rather than shorter. 9.4 The institution that keeps marine administrative law enforcement files should have sufficient storage space, and should have conditions such as fire prevention, moisture prevention, anti-theft and anti-insect, and temperature and humidity control. Suitable range of environmental temperature: 14℃~24℃; Suitable range of relative humidity: 45%~60%. 9.5 The law enforcement archives custodian unit shall classify, arrange and store the archives on different carriers in accordance with the principle of convenient storage and convenient use, and provide the case file directory and document directory for the prosecutor to use. 9.6 The use of law enforcement archives shall be handled in accordance with relevant regulations and the archive borrowing registration form shall be filled in. The format of the archive borrowing registration form is shown in Figure B12. 10 Appraisal and transfer
10.1 The archive appraisal team is composed of leaders and staff of law enforcement, confidentiality, archives and other departments. It regularly appraises law enforcement archives that have reached the storage period and expired for decryption. 10.2 The appraisal team shall put forward opinions on the destruction of law enforcement archives that have lost their preservation value and fill in the archive destruction registration form. After approval, at least two people shall destroy them at the designated location and sign the archive destruction registration. The format of the archive destruction registration form is shown in Figure B.13. 10.3 The same law enforcement activities jointly implemented by different law enforcement agencies should transfer the resulting archives to the same archives department. 10.4 The archive handover between agencies should fill in the archive handover document, which should be kept in duplicate by the transferring and receiving units. The format of the archive handover document is shown in Figure B.14. 10.5 When changes in organizational structures involve cross-agency archive handover, the two parties should carefully handle the handover procedures and fill in the archive handover document.
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