【中英文对照版】上海市城市建设档案管理办法.docx

上海市城市建设档案管理办法ProceduresofShanghaiMunicipalityontheManagementofUrbanConstructionArchives制定机关：上海市人民政府发文字号：上海市人民政府令第4号公布日期：2023.03.24施行日期：2023.05.01效力位阶：地方政府规章法规类别：城市规划与开发建设IssuingAuthority：ShanghaiMunicipalPeople'sGovernmentDocumentNumber：DecreeNo.4ofShanghaiMunicipalPeople'sGovernmentDateIssued：03-24-2023EffectiveDale：05-01-20231.evelofAuthority：ProvincialLocalGovernmentRulesAreaofLaw:UrbanPlanning,Development,andConstructionDecreeofShanghaiMunicipalPeople'sGovernment上海市人民政府令No.40（第4号）ProceduresofShanghaiMunicipalityontheManagementofUrbanConstructionArchiveswereadoptedatthe6thRoutineMeetingoftheMunicipalPeople'sGovernmentonMarch14,2023,andareherebypromulgated.TheyshallbeeffectiveasofMay1,2023.上海市城市建设档案管理办法已经2023年3月14日市政府第6次常务会议通过，现予公布，自2023年5月1日起施行QMayor:GongZheng市长龚正March24,20232023年3月24日上海市城市建设档案管理办法（2023年3月24日上海市人民政府令第4号公布 自2023年5月1 日起施行）第一条（目的和依据）为了加强城市建设档案（以下简称城 建档案）管理，规范城建档案收集、 整理工作，有效保护和利用城建档 案，更好为城市规划、建设和管理服 务，根据中华人民共和国档案法建设工程质量管理条例上海市 档案条例上海市城乡规划条例 等法律、法规，结合本市实际，制定 本办法。第二条（适用范围）本市行政区域内城建档案的收集、整 理、保护、利用、信息化建设及其监 督管理活动，适用本办法。本办法所称城建档案，是指在城市规划、建设及其管理活动中直接形成的ProceduresofShanghaiMunicipalityontheManagementofUrbanConstructionArchives(PromulgatedbyDecreeNo.4ofShanghaiMunicipalPeople'sGovernmentonMarch24,2023,andtobeeffectiveasofMay1,2023)Article 1 (PurposeandBasis)Withaviewtostrengtheningthemanagementofurbanconstructionarchives,standardizingthecollectionandarrangementofsucharchives,andeffectivelyprotectingandusingsucharchives,soastobetterservicethisMunicipality'splanning,constructionandadministration,theseProceduresareformulatedinaccordancewiththeLawofthePeople'sRepublicofChinaonArchives,theRegulationsonQualityManagementofConstructionProjects,theRegulationsofShanghaiMunicipalityonArchives,theRegulationsofShanghaiMunicipalityonUrbanandRuralPlanningandotherlawsandrulesandinthelighttheactualcircumstancesofthisMunicipality.Article 2 (ApplicationScope)TheseProceduresapplytothecollection,arrangement,preservation,useandinformatizationoftheurbanconstructionarchivesaswellasthesupervisorymanagementthereofwithintheadministrativeareasofthisMunicipality.ForthepurposeoftheseProcedures,uurbanconstructionarchives'meanhistoricalrecordsofvariousformsincludingwritingsindifferentlanguages,pictures,diagrams,audiovisuals,etc.whicharedirectlyformedinthecityplanningandconstructionandtherelevantadministrativeactivities,andhavepreservationvaluetotheStateandsociety.Article 3 (GovernmentResponsibilities)Themunicipalanddistrictpeople'sgovernmentsshallstrengthentheirurbanconstructionarchivework,incorporatesuchworkintotheplanningforarchiveundertakingdevelopment,establishandimproveurbanconstructionarchiveinstitutions,andincludefundsforurbanconstructionarchiveundertakingdevelopmentinthegovernment'sbudget,soastoensurethaturbanconstructionarchiveundertakingdevelopmentwillmatchthenation'seconomicandsocialdevelopment.Article 4 (AdministrativeDepartments)ThemunicipalplanningandresourcesdepartmentshallberesponsibleforthemanagementofthisMunicipaIityfSurbanconstructionarchives,andworkunderthesupervisionandguidanceofthemunicipaldepartmentinchargeofarchives.对国家和社会具有保存价值的各种文 字、图纸、图表、声像等不同形式的 历史记录。第三条（政府职责）市、区人民政府应当加强城建档案工 作，将城建档案工作纳入档案事业发 展规划，建立健全城建档案机构，将 城建档案事业发展经费列入政府预 算，确保城建档案事业发展与国民经 济和社会发展水平相适应。第四条（管理部门）市规划资源部门负责全市城建档案管 理工作，业务上受市档案主管部门监 督和指导。区规划资源部门负责所辖区域内城建 档案管理工作，业务上受同级档案主 管部门监督和指导QThedistrictplanningandresourcesdepartmentsshallberesponsibleforthemanagementoftheurbanconstructionarchiveswithintheirrespectivejurisdiction,andworkunderthesupervisionandguidanceofthesame-leveldepartmentinchargeofarchives.Thedepartmentsofdevelopmentandreform,housingandurban-ruraldevelopment,transportation,waterauthority,landscapingandcityappearance,civilairdefense,housingmanagement,economyandinformationtechnology,agriculturalandruralaffairs,finance,etc.shall,accordingtotheirrespectivefunctionsandduties,coordinatefortheimplementationoftheseProcedures.Article 5 (ArchivesInstitutions)TheMunicipalUrbanConstructionArchivesRepository(hereinafterreferredtoastheMunicipalArchivesRepository)andtheagenciesdesignatedbyadistrictpeople'sgovernmentorbyitsrepresentativeoffices(hereinafterreferredtoasthedistrictarchivesagencies)shall,accordingtotheirrespectivefunctionsandduties,performsuchworkasthecollection,arrangement,protectionandopeningtothepublicofurbanconstructionarchives.Article 6 (TeamDevelopment)ThisMunicipalityshallstrengthenitstrainingofurbanconstructionarchivists,setuptrainingbasesforsucharchivists,carryoutplansfortrainingsucharchivists,andbuildupacontingentofhigh-quality,professionalandappliedurbanconstructionarchivists.发展改革、住房城乡建设管理、交 通、水务、绿化市容、人防、房屋管 理、经济信息化、农业农村、财政等 部门按照各自职责，协同实施本办 法。第五条（档案机构）市城市建设档案馆（以下简称市城建 档案馆）以及区人民政府、相关派出 机构指定的机构（以下简称区城建档 案机构）按照各自职责，负责城建档 案的收集、整理、保护、向社会开放 和提供利用等工作。第六条（队伍建设）本市加强城建档案工作人才培养，建 设城建档案人才培养基地，实施城建 档案人才培养计划，建设高素质、专 业化、应用型的城建档案人才队伍。本市从事城建档案工作的人员应当忠 于职守，遵纪守法，具备相应的专业 知识与技能，接受档案和建设工程等 相关专业培训。档案专业人员可以按 照国家有关规定评定专业技术职称。UrbanconstructionarchivistsofthisMunicipalityshallbedevotedtotheirduty,observelawanddiscipline,possessthecorrespondingprofessionalknowledgeandSMlls,andreceiveprofessionaltrainingrelatedtoarchivesandconstructionprojects.Archivistsarequalifiedtobeevaluatedforprofessionaltechnicaltitles.Article7(TechnologicalInnovation)第七条（技术创新）ThisMunicipalityencouragesandsupportsscientificresearchandtechnicalinnovationinurbanconstructionarchives,andpromotestheapplicationandtransformationofnewtechnologiessuchascloudcomputing,blockchains,bigdata,andartificialintelligenceinthecollection,arrangement,protectionanduseofurbanconstructionarchives,thusboostingscientificprogressandadministrationmodernizationinurbanconstructionachieves.本市鼓励和支持城建档案科学研究和技术创新，促进云计算、区块链、大数据、人工智能等新技术在城建档案收集、整理、保护、利用等方面的转化和应用，推动城建档案科技进步和管理现代化。Article8(ScopeofArchivesCollection)第八条（收集范围）TheMunicipalArchivesRepositoryanddistrictarchivesagenciesshallberesponsibleforcollectingthefollowingurbanconstructionarchives:市城建档案馆和区城建档案机构负责收集下列城建档案：1.archivesofurbanconstructionprojects;（一）城市建设工程档案;2.archivesofprofessionalmanagementandtechnologiesformedbysuchconstruction-relatedspecializeddepartmentsasplanningandresources,housingandurban-ruraldevelopment,transportation,waterauthority,landscapingandcityappearance,civilairdefense,andhousingmanagement;and（二）规划资源、住房城乡建设管理、交通、水务、绿化市容、人防、房屋管理等建设领域专业部门形成的业务管理和业务技术档案；3.otherurbanconstructionarchiveswith（三）其他具有保存价值的城建档preservationvalue.案。城建档案的具体收集范围，由市规划 资源部门、市档案主管部门会同有关 部门依法确定，并向社会公布。第九条（档案形成单位）形成城建档案的机关、团体、企业事 业单位和其他组织（以下简称城建档 案形成单位）应当确定档案机构或者 档案工作人员负责管理本单位的城建 档案，并对所属单位的城建档案工作 实行监督和指导。第十条（工程各参与单位档案 职责）建设单位应当建立健全建设工程档案 管理制度。勘察、设计、施工、监理等建设工程 各参与单位应当根据工程项目建设进 度，同步完成建设工程档案资料的收 集、整理和归档工作，并及时向建设 单位移交。建设单位应当对勘察、设 计、施工、监理等建设工程各参与单 位的建设工程档案工作进行协调和督 促。Thespecificscopeofurbanconstructionarchivescollectionshallbedeterminedbythemunicipalplanningandresourcesdepartmentandthemunicipaldepartmentinchargeofarchives,jointlywithotherrelevantdepartmentsinaccordancewiththelaw,andshallbemadeknowntothepublic.Article 9 (UnitsthatFormtheArchives)Thestateorgans,publicorganizations,enterprises,publicinstitutionsandotherorganizationsthatformtheurbanconstructionarchives(hereinafteruurbanconstructionarchive-formingunitsn)shalldesignatetheirarchiveagenciesorarchiviststotakechargeoftheirrespectiveurbanconstructionarchives,andexercisesupervisionandguidanceovertheurbanconstructionarchiveworkoftheirsubordinateunits.Article 10 (ProjectUnits*ArchiveResponsibilities)Adevelopmentunitshallestablishandimproveitssystemofprojectarchivesmanagement.Theunitsofsurvey,design,construction,supervision,etc.thatparticipateinaconstructionprojectshallall,inaccordancewiththeprogressoftheconstructionproject,completethecollection,arrangementandfilingoftheconstructionprojectrecordssimultaneously,andpromptlysubmitthemtothedevelopmentunitwhichshallcoordinateandpromotetheconstructionprojectarchiveworkbythesurvey,design,constructionandsupervisionunits.Whenthedevelopmentunitorganizesanacceptanceinspectionuponcompletionoftheconstructionproject,itshallinspecttheconstructionprojectarchivesaccordingtotheprovisions.Article 11 (ArchivesInspectionandAcceptance)Theplanningandresourcesdepartmentshallproperlyinspecttheurbanconstructionarchivesinaccordancewiththestateandmunicipalprescriptionsonscientificandtechnicalarchiveinspectionandoncomprehensiveinspectionofconstructionprojectsforacceptance.Article 12 (TransferandAcceptanceofProjectArchives)Thedevelopmentunitshall,afterinspectingandacceptingthecompletedconstructionproject,handtheconstructionprojectarchivesthatconformtothetechnicalstandardsandnormsforconstructionprojectarchivesovertotheMunicipalArchivesRepositoryorthedistrictarchivesagency,andshallbeheldresponsiblefortheauthenticity,accuracyandcompletenessofthearchives.Wherethearchivesmeettherequirements,theMunicipalArchivesRepositoryorthedistrictarchivesagencyshallacceptthemandissueacertificate.TheMunicipalArchivesRepositoryorthedistrictarchivesagencyshallprovidethe建设单位组织建设工程竣工验收时，应当按照规定对建设工程档案进行验收。第十一条（档案验收服务）规划资源部门应当按照国家和本市科学技术档案验收、建设工程综合验收有关规定，做好城建档案验收相关工作。第十二条（工程档案移交和接收）建设单位应当在建设工程竣工验收后，按照规定时限向市城建档案馆或者区城建档案机构移交符合建设工程档案技术标准和规范的建设工程档案，并对档案的真实性、准确性和完整性负责；符合要求的，市城建档案馆、区城建档案机构应当予以接收并出具凭证。市城建档案馆、区城建档案机构应当为建设单位的档案移交提供咨询和便建设单位应当自行保管一套完整的建 设工程档案。（停、缓建工程档案建设工程停建、缓建的，其建设工程 档案暂由建设单位集中保管。第十四条（管线拆除、废弃和 补测档案要求）地下管线拆除、废弃或者进行补充测 量的，管线权属单位应当及时将相关 管线工程档案资料收集、整理、归 档，并向市城建档案馆或者区城建档 案机构移交。第十五条（专业部门档案的移交）建设领域专业部门形成的城建档案， 按照规定在本部门保管一定年限后， 向市城建档案馆或者区城建档案机构 移交。具体移交规定，由市规划资源 部门、市档案主管部门会同有关部门 制定。developmentunitwithconsultationand利。convenienceforthelatter,stransferofitsarchives.Thedevelopmentunitshallkeepacompletesetoftheconstructionprojectarchivesonitsown.Article 13 (PreservationoftheArchivesof第十三条StoppedandDelayedProjects)保管)Inthecaseofastoppedordelayedconstructionproject,itsconstructionprojectarchivesshallbetemporarilypreservedbythedevelopmentunit.Article 14 (RequirementsonArchivesofPipelineRemoving,DiscardingandSupplementary-testing)Toremove,discardorsupplementarily-testundergroundpipelines,ownersthereofshallcollect,arrangeandfiletherelevantpipelineprojectrecordsinatimelymannerbeforesubmittingthemtotheMunicipalArchivesRepositoryorthedistrictarchivesagency.Article 15 (TransferofProfessionalDivisions'Archives)Theurbanconstructionarchivesformedbyprofessionaldivisionsinthefieldofconstructionshall,accordingtotheprovisions,bepreservedwithinthedivisionsforayearbeforebeingtransferredtotheMunicipalArchivesRepositoryorthedistrictarchivesagency.Thespecificprovisionsonthetransfershallbeformulatedbythemunicipalplanningandresourcesdepartmentandthemunicipaldepartmentinchargeofarchivesjointlywithotherrelevantdepartments.Article 16 (CollectionforArchives)TheMunicipalArchivesRepositorymay,byadoptingsuchmeasuresasacquisitionfromthepublicandon-the-spotcollection,focusoncollectingimportantandvaluablerecordsonhistorical-featureareas,heritagebuildings,industriallegacies,immovableculturalrelics,etc.Article 17 (EncouragementofArchiveDonations)Unitsandindividualsareencouragedtodonateimportantandvaluableurbanconstructionrecords,andtheMunicipalArchivesRepositoryandthedistrictarchivesagenciesshallacceptthedonationsaccordingtotherelevantstateandmunicipalprescriptions.Article 18 (FacilitiesandaSafeWorkMechanism)第十六条（征集档案）市城建档案馆可以通过向社会征集、 现场采集等方式，重点收集历史风貌 区、历史建筑和工业遗存、不可移动 文物等重要、珍贵的档案资料。第十七条（鼓励捐献）鼓励单位和个人捐献重要、珍贵的城 建档案资料。市城建档案馆、区城建 档案机构应当按照国家和本市相关规 定接受捐献。第十八条（设施配置和安全工 作机制）市城建档案馆、区城建档案机构以及 城建档案形成单位的档案机构应当按 照国家有关规定，配置适宜档案保存 的库房和必要设施、设备，确保城建 档案的安全。TheMunicipalArchivesRepositoryandthedistrictarchivesagenciesaswellasthearchivesagenciesundertheurbanconstructionarchive-formingunitsshallprovidethestorageroomsandnecessaryfacilitiesandequipmentthataresuitableforarchivepreservationsoastoensurethesafetyoftheurbanconstructionarchives.TheMunicipalArchivesRepositoryandthedistrictarchivesagenciesaswellasthearchivesagenciesundertheurbanconstructionarchive-formingunitsshallestablishandimprovetheworkingmechanismforurbanconstructionarchivesafety,strengthentheriskmanagementforurbanconstructionarchivesafety,anddrawupriskcontrolmeasuresandemergencyplansforurbanconstructionarchivesafetysoastoenhancetheemergency-handlingcapabilityforurbanconstructionarchivesafety.Article 19 (ManagementforProtectingArchives)TheMunicipalArchivesRepositoryandthedistrictarchivesagenciesshallpracticeclassifiedprotectionandmanagementoftheurbanconstructionarchivesofpermanentpreservationvaluethatareundertheirsafekeeping.TheMunicipalArchivesRepositoryandthedistrictarchivesagenciesshallproperlyinspectthesafekeepingoftheurbanconstructionarchives.Wheresucharchiveshavebeendamagedordeteriorated,theyshallpromptlyrestoreorduplicatethemoradoptothermeasuresfortechnicaltreatmentandrescue.市城建档案馆、区城建档案机构以及 城建档案形成单位的档案机构应当建 立健全城建档案安全工作机制，加强 城建档案安全风险管理，制定城建档 案安全风险管控措施和应急预案，提 高城建档案安全应急处置能力。第十九条（保护管理）市城建档案馆、区城建档案机构应当 对所保管的具有永久保存价值的城建 档案实行分级保护和管理。市城建档案馆、区城建档案机构应当 做好城建档案保管状况的检查工作。 城建档案破损或者变质的，应当及时 修复、复制或者采取其他技术处理和 抢救措施。在区城建档案机构保管满五年的城建 档案，应当向市城建档案馆移交。TheurbanconstructionarchivesthathavebeenpreservedbyadistrictarchivesagencyforfiveyearsshallbetransferredtotheMunicipalArchivesRepository.Article 20 (ManagementofConfidentialArchives)Thepreservationanduseofconfidentialurbanconstructionarchives,changesintheirconfidentialityclassification,andtheirdeclassificationmustbeconductedaccordingtotheprovisionsoflawsandadministrativerulesonprotectionofstatesecrets.Article 21 (RequirementsonArchiveOpening)Upontheexpirationof25yearsafterthearchivesoftheMunicipalArchivesRepositorywereformed,theyshallbeopentothepublic.Wheretheurbanconstructionarchiveswhichinvolvestatesecurityorsomesignificantinterests,orwhicharenotsuitableforopeningevenattheexpirationof25years,theiropeningtothepublicmaybepostponed.WhentheMunicipalArchivesRepositoryopensitsurbanconstructionarchives,itshallpublishthecatalogofitsurbanconstructionarchivesviathewebsiteorothermeans.TheMunicipalArchivesRepositoryshallestablishacoordinatingmechanismforexaminingtheopeningofitsarchives,formulatetheworkingrulesforexaminingandopeningthearchives,andconductthearchiveexaminingandopeningworkinatimelymanner.第二十条（涉密管理）涉密城建档案的保管、利用，密级的 变更和解密，应当按照有关保守国家 秘密的法律、行政法规规定办理。第二十一条（开放要求）市城建档案馆的档案，应当自档案形 成之日起满二十五年向社会开放。涉 及国家安全或者重大利益以及其他到 期不宜开放的城建档案，可以延期向 社会开放。市城建档案馆应当在开放城建档案的 同时，通过网站或者其他方式，公布 开放城建档案的目录。市城建档案馆应当建立馆藏档案开放 审核协同机制，制订开放审核工作规 则，及时开展城建档案开放审核工 作。尚未移交进馆城建档案的开放审核， 由城建档案形成单位或者保管单位负WithregardtotheexaminingandopeningofthearchivesthathavenotbeentransferredtotheMunicipalArchivesRepositoryorthe责，并在移交进馆时将档案到期开放 建议、限制利用意见、密级变更和解 除、政府信息公开属性以及向社会提 供利用等情况，书面告知市城建档案 馆或者区城建档案机构。districtarchivesagency,theurbanconstructionarchive-formingorarchivepreservingunitsshallberesponsiblefor