20/2009/TT-NHNN đã được thay thế bởi Circular No. 43/2011/TT-NHNN providing on the preservation period for dossiers và được áp dụng kể từ ngày 03/02/2012.
Nội dung toàn văn 20/2009/TT-NHNN
STATE BANK OF VIETNAM | SOCIALIST REPUBLIC OF VIET NAM |
No. 20/2009/TT-NHNN | Hanoi, September 07, 2009 |
CIRCULAR
PROVIDING FOR THE PRESERVATION PERIOD FOR FILES, DOCUMENTS IN BANKING INDUSTRY
- Pursuant to the Law on the State Bank of Vietnam issued in 1997; the Law on the amendment, supplement of several articles of the Law on the State Bank of Vietnam issued in 2003;
- Pursuant to the Law on Credit Institutions issued in 1997; the Law on the amendment, supplement of several articles of the Law on Credit Institutions issued in 2004;
- Pursuant to the Ordinance on National Archive issued in 2001;
- Pursuant to the Decree No.111/2004/ND-CP dated 08/4/2004 of the Government providing in details for the implementation of several articles of the Ordinance on National Archive;
- Pursuant to the Decree No.96/2008/ND-CP dated 26/8/2008 of the Government providing for the functions, duties, authorities and organizational structure of the State Bank of Vietnam;
The State Bank of Vietnam hereby provides for the preservation period for files, documents in Banking industry as follows:
Article 1. Governing scope
1. This Circular provides for the preservation period of files, documents in Banking industry, including: administrative files, documents; professional files, documents; scientific – technical files, documents; files, documents relating to activities of the Communist Party, Trade Union, Youth Union.
2. Files, documents stated in Paragraph 1 of this Article which are saved in such information carriers as magnetic tape, magnetic disk, various types of payment card, electronic documents, if being printed out, have full legal elements in accordance with provisions of the State and SBV, then their preservation period shall be implemented in accordance with the period provided for in this Circular.
3. Files, documents which are displayed in electronic form shall not be governed by this Circular.
Article 2. Subjects of application
This Circular shall be applicable to: Units belonging to the organizational structure of the State Bank (SBV); Credit Institutions (CIs), other organizations engaging in banking activity, (hereinafter referred to as units).
Article 3. Purpose of issuance
This Circular provides for the preservation period of archived files, documents in Banking industry as a basis for the accurate valuation of files, documents, ensuring the unity; helping the unit organize the preservation of files, documents in a close and scientific manner; building up a List of documents to be subject to Historical archive.
Article 4. Documents to be archived in Banking industry
Documents to be archived in Banking industry shall be entire documents which are formed during the monetary management, business and banking activities of units; have economic, politic, historical and scientific technological value.
Article 5. Principles of providing for the preservation period
Preservation period of files, documents shall be determined on the basis of overall, sound analysis and valuation of the real value and historical value of the documents for the units, Industry and Nation.
Preservation period of each file shall be determined based on the document of the highest value in the file.
Article 6. Time for calculating the preservation period and preservation period of files, documents
1. Preservation period of documents means the period of time necessary for the storage of such documents since the ending time of the documents at archive division of agencies, units until the time their value expires.
2. Time for calculating the preservation period of administrative files, documents shall begin from 01 January of the year right after the ending year of the archive period or depending on features of each file, document.
3. Time for calculating the preservation period and preservation period for accounting files, documents and electronic documents after having been printed out shall be implemented in accordance with the Decree No.128/2004/ND-CP dated 31/5/2004 providing in details for and guiding the implementation of several articles of the Law on Accounting applicable in state accounting sector; the Decree No.129/2004/ND-CP dated 31/5/2004 providing in details for and guiding the implementation of several articles of the Law on Accounting applicable in business activity and the Decision No.1913/2005/QD-NHNN dated 30/12/2005 of the State Bank of Vietnam on the issuance of the archive Regime for accounting documents in Banking industry.
4. Preservation period of each document, material shall be stipulated in two levels: permanent preservation and time preservation with specific number of years as follows:
a. Permanent preservation: shall mean the files, documents are recorded permanently until they destroy themselves or are irrecoverable. This level of preservation shall be applicable to files, documents which are important, clearly reflect the function, duty, serve the long term research for the operation of the agency, unit; have historical value.
Files, documents of this group shall be preserved in 30 years and more and must be handed over for Historical archive in accordance with provisions of the State on period of handing over files, documents.
b. Long term preservation: shall be the period applicable to Important documents, documents, which have practical value, serve the long term search in the current archive. This type of files, documents has not been determined to have historical value, but must be preserved in the current archive in a sufficient number of years according to the real demand for use.
Files, documents of this group shall be preserved from 10 years to 30 years. After the preservation period in accordance with applicable provisions, it is necessary to carry out a valuation of the documents to determine whether such files, documents with long term practical value or historical value should be preserved or destroyed.
c. Temporary preservation: shall mean the period applicable to unimportant documents, documents, serving daily activities of the agencies, units. This type of files, documents has no historical value, but must be preserved in the current archive for the purpose of exploiting their practical value.
Files, documents of this group shall be preserved for less than 10 years. After the provided preservation period, they should be destroyed.
5. For the valuation of files, documents after the expiration of the preservation period as provided for by the laws, it is required to make a list for submission to the Committee of files, documents valuation for verification, approval and submission to the head of the unit for deciding on continuous preservation or destruction.
Article 7. Table of preservation period for files, documents
1. Preservation period of files, documents in Banking industry is stipulated in details at the Table of preservation period for files, documents enclosed with this Circular.
2. Files, documents in the Table are classified by activities, matters and have independent ordinal numbers, specific name in respective with the stipulated preservation period, including:
1. General files, documents
2. Files, documents on the banking development strategy
3. Files, documents on monetary policy
4. Files, documents on monetary forecast, statistics
5. Files, documents on credit
6. Files, documents on international credit project management
7. Files, documents on foreign exchange control and foreign exchange activity
7.1. Files, documents on foreign exchange control
7.2. Files, documents on the management, trading of foreign exchange sources held by the State Bank and deposited overseas.
8. Files, documents on international cooperation
9. Files, documents on the establishment, operation and development of credit institutions
10. Files, documents on inspection, internal auditing
10.1. Files, documents on inspection
10.2. Files, documents on internal audit
11. Files, documents on money laundering combating and prevention
12. Files, documents on payment activity
13. Files, documents on finance – accounting
13.1. Accounting of the State Bank
13.2. Accounting of Credit Institutions
13.3. Electronic documents (after having been printed out)
14. Files, documents on issuing and vault
15. Files, documents on monetary market operations
16. Files, documents on agent relationship operations
17. Files, documents on international payment operations
18. Files, documents on credit information activity
19. Files, documents on informatics technology
20. Files, documents on organization, personnel, training
20.1. Files, documents on organization and personnel
20.2. Files, documents on labour and salary
20.3. Files, documents on training
20.3.1. Files, documents on training management
20.3.2. Files, documents on training
21. Files, documents on emulation and reward
22. Files, documents on legal compliance activity
23. Files, documents on construction investment
23.1. Files, documents on construction investment management
23.2. Files, documents on investment in and construction of works, projects
24. Files, documents on scientific research
25. Files, documents on propagation, press activity
26. Files, documents on administration activity
27. Files, documents on administrative, archive activity
28. Files, documents on activities of Communist Party, Trade Union, Youth Union
28.1. Files, documents on activities of Communist Party organization
28.2. Files, documents on activities of Trade Union
28.3. Files, documents on activities of Youth Union
Article 8. Implementation effectiveness
This Circular shall come into effect after 45 days since the date of signing. The Decision No.252/QD-NH dated 28/12/1993 of the Governor of the State Bank proving for preservation period of files, documents to be archived in Banking industry shall cease its effectiveness.
Article 9. Implementation responsibilities
1. Heads of units shall be responsible for providing guidance, inspecting officers, public servants of their own unit in accordance with this Circular to determine the preservation period for the files drawn up during the settlement of works; Drawing up the List of files, documents in the year and List of documents proposed to destroy.
2. Director of the Administrative Department of the SBV shall be responsible for providing guidance, inspecting units in the industry regarding the implementation of this Circular, making annual report to the Governor on the performance of the unit; CIs shall be responsible for providing guidance on the implementation of provisions in this Circular to units in their system.
3. Director of Administrative Department, Head of units of the State Bank, Chairperson of the Board of Directors and General Director (Director) of Credit Institutions, other organizations engaging in banking activity shall be responsible for the implementation of this Circular.
| THE GOVERNOR OF |
TABLE
OF PRESERVATION PERIOD OF FILES,DOCUMENTS IN BANKING INDUSTRY
(Issued in conjunction with the Circular No. 20/2009/TT-NHNN dated 07 September 2009 of the Governor of the State Bank)
ORDER | NAME OF DOCUMENTS | PRESERVATION PERIOD |
| 1. GENERAL FILES, DOCUMENTS |
|
1 | Directive, guiding document of the Party, State: |
|
| - Relating to the function, duty of the Bank | Permanent |
| - Not relating to the function, duty of the Bank, but compliance required | Archived at the unit until expiration |
2 | Construction files and issuance of legal documents on monetary area, Banking activity and other activities within the management scope of the SBV submitting to the National Assembly, National Assembly’s Standing Committee, Government, Prime Minister for issuance or issued by the bank | Permanent |
3 | Construction files, directive documents, legal documents of the State sent to SBV for making suggestions: |
|
| - Relating to the areas subject to the management of the Bank | 5 years |
| - No relations | 3 years |
4 | Files, documents on the organization, implementation of legal documents of the SBV | Permanent |
5 | Legal documents of the SBV | Permanent |
6 | Particular Decisions, Directives of the SBV and credit institutions |
|
| - Important documents, relating to the guideline, policy, measures of performing the professional operations of the Industry | Permanent |
| - Normal documents | 10 years |
7 | Official dispatches of the SBV and credit institutions directing, guiding, inspecting the operational performance |
|
| - Issuers | Permanent |
| - Implementers | 5 years |
8 | Statement, Notice, Program, Plan of the SBV and credit institutions |
|
| - Important documents, relating to the guideline, policy, measures of performing the professional operations of the Industry | Permanent |
| - Normal documents | 5 years |
9 | Notice of the conclusion, directive opinion of the Leadership of the SBV, CIs at meetings, preliminary, summary conference on banking activity, seminars. |
|
| - Important documents | Permanent |
| - Normal documents | 5 years |
10 | Book of minutes of regular, irregular meetings and weekly handing over meetings of SBV’s, CIs’ Leaderships | 20 years |
11 | Working schedule of the SBV’s, CIs’ Leadership |
|
| - Every year, several years | 10 years |
| - 6 months, every quarter | 5 years |
| - Monthly, weekly | 2 years |
12 | Reports, documents serving handing over meetings of SBV’s, CIs’ Leadership |
|
| - Important documents | 20 years |
| - Normal documents | 5 years |
13 | Report of the SBV, CIs on the banking performance: |
|
| - Annual, several year summary report | Permanent |
| - Preliminary, semi-annual, quarterly, monthly report | 5 years |
| - Prompt, weekly, periodical report | 1 year |
14 | Files of the summary conference on banking activity of every year, several years and on the occasion of big holidays or important events of the Industry | Permanent |
15 | Documents on the activity of SBV’s Leadership as a member of the Government, such as: report, explanation, presentation before the National Assembly, Government concerning the issues in charge. | Permanent |
16 | Periodical, irregular report of units sent to senior levels for synthesis | 3 years |
17 | Documents sent from Ministries, Industries and other agencies, organizations: |
|
| - Relating to the function, duty of the Bank |
|
| + Important documents | Permanent |
| + Normal documents | 5 years |
| - Not relating to the function, duty, but compliance required | Archived at the unit until expiration |
| 2. FILES, DOCUMENTS ON BANKING DEVELOPMENT STRATEGY |
|
18 | Files on building up strategy, planning, long term, five-year, annual plan on banking development | Permanent |
19 | Files, documents on organizing the realization of strategy, plan on banking development | Permanent |
20 | Documents on the research, analysis of macro economy, monetary – financial market and banking activity serving the building up of strategy, planning, plan on the development of the Banking industry |
|
21 | Report on the performance of the strategy, planning, plan on the development of the Banking industry: |
|
| - Summary report | Permanent |
| - Preliminary report | 5 years |
| 3. FILES, DOCUMENTS ON MONETARY POLICY |
|
22 | Files on strategy, planning, long term, five-year, annual development plan on currency and Banking activity | Permanent |
23 | Project on national monetary policy and volume of money supplied every year | Permanent |
24 | Documents on operation mechanism of monetary policy tools: required reserve, open market operations, refinancing, rediscount, interest rate and other monetary policy instruments for the implementation of annual national monetary policy | Permanent |
25 | Documents on building up the capital mobilization mechanism of credit institutions and dealing with related problems during the implementation of such mechanism | Permanent |
26 | Research documents on the forecast of domestic and international economy on annual, periodical basis in service of the Banking development strategy | 20 years |
27 | Files, documents on short term and medium term research of the economic, monetary situation of countries whose currency is included in the foreign exchange reserve structure for forecasting the exchange rate fluctuations, monetary policy | 10 years |
28 | Norms of long term, annual general plan (official, supplement, adjusted) and report on the plan performance by the Bank | Permanent |
29 | Files, documents on consulting with Ministries, industries on economic plan, policy relating to the national monetary policy | 20 years |
30 | Files, documents on the settlement of derivative operations of the money market, interest rate, prices of products, services of credit institutions | 20 years |
31 | Files, documents on the settlement of proposals, difficulty, query of credit institutions and borrowers relating to credit policies, mechanism, loan security, interest rate | 10 years |
32 | Files on determination of required reserve deposit and required reserve management of credit institutions | 10 years |
33 | Report on the performance result of the monetary policy, banking activity and other related macro economic activity. | Permanent |
34 | Report on the inflation, macro economic changes |
|
| - Annual report | Permanent |
| - Monthly, quarterly report | 10 years |
35 | Weekly, monthly report on the financial, economic, monetary situation of the world and Vietnam. | 3 years |
36 | Report on the regional, industrial economy, other macro economy, performance results of economic orientations, economic structure shift | Permanent |
37 | Report on the performance of the required reserve of credit institutions | 10 years |
38 | Periodical, irregular report on activities in the inter-bank foreign currency market | 10 years |
39 | Report on the situation, assessment to the management, operation, performance of credit mechanisms, interest rate and other operations | 15 years |
40 | Report on the changes in interest rate of mobilization and loan of CIs | 5 years |
41 | Report on the reference to interest rates in the international market | 5 years |
| 4. FILES, DOCUMENTS ON MONETARY FORECAST, STATISTICS |
|
42 | Files on drawing up methods of monetary forecast, statistics | 20 years |
43 | Statistic reporting regime of the industry | 20 years |
44 | Documents on the periodical, irregular supply of monetary information and statistic data | 5 years |
45 | Documents on guiding, speeding up, dealing with query upon the performance of the statistic reporting regime | 20 years |
46 | General and detailed monetary balance sheet of the Banking industry | Permanent |
47 | Documents on the consolidation of monetary statistic data and international payment balance of Vietnam supplied to IMF, competent organizations, individuals on a periodical basis | 20 years |
48 | List of data on the performance of international payment balance of Vietnam and forecast for following periods | 20 years |
49 | Report on the assessment of the international payment balance performance of Vietnam in the quarter and forecast for the following quarter | 20 years |
50 | Files, documents on statistic survey of the industry | 20 years |
51 | Report on the monetary forecast, statistics activity | Permanent |
| 5. FILES, DOCUMENTS ON CREDIT |
|
52 | Files, documents on the supply of money volume by time upon the refinancing demand of credit institutions | 20 years |
53 | Files, documents on dealing with query in the refinancing performance | 20 years |
54 | Files, documents on guiding, managing, following up the situation and performance results of projects on credit capital use for development, investment, key credit programs of the State | Permanent |
55 | Files, documents on deploying the provision of loan to credit institutions which are temporarily insolvent that is likely to harm the system of credit institutions | Permanent |
56 | Files, documents on liability settlement (since the settlement is completed) | 10 years |
57 | Files on the appraisement of investment projects |
|
| - Approved | Permanent |
| - Disapproved | 5 years |
58 | Loan files of the SBV to credit institutions whose debts have been fully recovered | 10 years |
59 | Files on significant loans sent by credit institutions of which debts have been fully recovered: |
|
| - Long term | 10 years |
| - Short term. | 5 years |
60 | Files on loan, debt recovery of enterprises, credit institutions, individuals whose debts have been fully recovered: |
|
| - Long term | 15 years |
| - Short term | 5 years |
61 | Analysis of business activity of credit institutions at the SBV | 5 years |
62 | Analysis of economic activity of enterprises at CIs | 3 years |
63 | Notice on the discount limit for valuable papers | 5 years |
64 | Report on the business, production situation of enterprises at CIs | 3 years |
65 | Files, documents on the performance of guarantee to credit institutions borrowing foreign capital (debts have been fully paid) | Permanent |
66 | Files on loan fund management and debt settlement of foreign monetary organizations, credit institutions, banks and Governments to Vietnam | Permanent |
67 | Files on the conclusion of international credit agreements (Agreement has expired) | 10 years |
68 | Files on inspecting credit institutions, other organizations relating to banking activity | 10 years |
69 | Summary report on the activities of credit institutions and other organizations engaging in credit activity | 20 years |
70 | Documents of Conference on credit activity | 10 years |
71 | Internal provisions, processes on credit operations (after their expiration) | 15 years |
72 | Internal directive documents on credit operations (after their expiration) | 10 years |
73 | Legal files of customers (after the termination of credit relationship) | 10 years |
74 | Files on the grant of credit limit (after the balance has become zero in the forms of credit extension and termination of credit relationship) | 10 years |
75 | Files on provision of loan/guarantee/discount of valuable papers/factoring/other forms of credit extension (debts have been fully recovered) | 15 years |
76 | Files on the classification, settlement of risk | 15 years |
77 | Files on the performance of credit, refinancing operations to Banks in the form of re-lending under credit facilities, discount, rediscount of commercial papers and valuable papers. | 25 years |
78 | Annual, several year summary report on credit activity | Permanent |
| 6. FILES, DOCUMENTS ON MANAGEMENT OF INTERNATIONAL CREDIT PROJECTS |
|
79 | Files on the management and realization of international credit projects financed by international and foreign financial – monetary organizations (after the expiration of the project) | 10 years |
80 | Files guiding the management and realization of international credit projects (after the expiration of the project) | 10 years |
81 | Files on loan acceptance, debt recovery, loan fund repayment of international projects (after the expiration of the project) | 10 years |
82 | Files, documents on technical services management | 10 years |
83 | Report on the management of international credit projects | Permanent |
84 | Records, documents on the realization of the project | (complying with provisions on accounting of SBV at item 13.1) |
| 7. FILES, DOCUMENTS ON FOREIGN EXCHANGE CONTROL AND FOREIGN EXCHANGE ACTIVITY |
|
| 7.1. Files, documents on foreign exchange control |
|
85 | Files on loan fund management and settlement of debts of foreign monetary organizations, credit institutions, Banks and Governments to Vietnam | Permanent |
86 | Files on the grant, revocation of the licence of opening and use of overseas foreign currency account for Vietnamese credit institutions (after their operation duration expires) | 10 years |
87 | Files on the grant, revocation of foreign exchange trading license for foreign credit institutions, Representative offices of foreign banks in Vietnam and representatives of State Bank of Vietnam in foreign countries (after their operation duration expires) | 20 years |
88 | Exchange rates | 20 years |
89 | Documents on limit of foreign borrowing, lending of enterprise | 20 years |
90 | Files on domestic dealing of foreign currencies, gold, silver, precious stones (after the completion of the transaction) | 10 years |
91 | Correspondences with other countries regarding Foreign exchange activity | 5 years |
92 | Permit of foreign currency carrying | 5 years |
93 | Report on overseas national currency exchange | 5 years |
94 | Files on the import, export of gold, silver, precious stone | 20 years |
95 | Files on gold, silver, precious stone joint venture | 20 years |
96 | Files on gold export with intervention | 20 years |
97 | Appraising State-owned enterprise engaging in gold and precious stone dealing | 20 years |
98 | Files on the auction and exploitation of precious stones (after the completion of the auction) | 10 years |
99 | Application file for the license of dealing in foreign currency collection (after the expiration of the license) | 10 years |
100 | Contract on entrusted gold import (after the expiration of the contract) | 10 years |
101 | Files on the grant, revocation of gold import, export license, foreign exchange and gold trading certificate of organizations and individuals (after the termination of the operation) | 20 years |
102 | Files on overseas foreign currency remittance of citizens | 5 years |
103 | Files on the grant of license of opening overseas foreign currency account of economic organizations (after the account has been closed) | 10 years |
104 | Files on the grant of license of cash foreign currency import, export of credit institutions (after the expiration) | 10 years |
105 | Files, documents on participating in the appraisement and following up the transfer and use of capital of foreign investment projects into Vietnam and overseas direct, indirect investment of Vietnam (after the completion of the project) | 10 years |
106 | Report on the situation of State foreign exchange reserve | Permanent |
107 | Annual summary report on the foreign exchange control of the Bank | Permanent |
| 7.2. Files, documents on the management, trading of foreign exchange sources held by the State Bank and deposited overseas |
|
108 | Files, documents on management and trading of foreign exchange sources held by the SBV and consigned overseas: deposit, bond, bill, dealings of foreign currency, gold and various forms of investment in accordance with applicable provisions | Permanent |
109 | Files on spot dealing of foreign currency for the purpose of changing foreign currency structure in the Foreign exchange reserve fund, Fund for stabilizing exchange rate and gold price (after the completion of the transaction) | 10 years |
110 | Files on the trading of foreign currency and valuable papers, making investment with profitable interest rate on the basis of exchanging information about market with foreign partner (after the completion of the transaction) | 10 years |
111 | Documents on following up the overseas consigned capital in foreign currency | Permanent |
112 | Investment entrust contract of foreign partners (after the termination of the contract) | 10 years |
113 | Files on the grant of license and certificate of registering foreign currency payment and exchange agent counter (after the expiration) | 10 years |
114 | Files on the confirmation of foreign borrowing and debt repayment registration (after the expiration) | 10 years |
115 | Report on the development of domestic and foreign financial – monetary markets | 5 years |
116 | Periodical, irregular report on operations | 5 years |
| 8. FILES, DOCUMENTS ON INTERNATIONAL COOPERATION |
|
117 | Files on researching the operating policy and mechanism of international financial, monetary organizations, international, regional and foreign commercial banks, finance companies, economic organizations in the making of policy, solutions for development and cooperation expansion. | Permanent |
118 | Files on drawing up documents relating to loans for negotiating with international financial, monetary organizations in accordance with approved programs. | Permanent |
119 | Files of international monetary, credit institutions | 20 years |
120 | Files on the foreign Central Banks, Commercial Banks, Finance companies relating to monetary activity. | 20 years |
121 | Files on the cooperation relationship between Vietnamese banks and foreign monetary, credit institutions and Banks (after the termination). | 20 years |
122 | Files on the negotiation, conclusion of agreements with foreign countries. | Permanent |
123 | Files on the management of economic programs and projects between Vietnamese banks and foreign banks (after the termination). | 20 years |
124 | Files on the foreign contents, programs, procedures of delegations of the SBV’s Leadership attending conferences in foreign countries and delegations coming to work with the State Bank. | 10 years |
125 | Files, documents on providing opinions in the building up of mechanism on management and use of capital source from the official development aid (ODA) for investment programs and projects financed by international and regional Governments, monetary and financial organizations, foreign banks, non-governmental organizations. | 15 years |
126 | Files, documents on the negotiation, conclusion of international treaties on monetary, banking sector, treaties for programs, projects with international financial, monetary organizations (after the completion). | 20 years |
127 | Files on the cooperation with international financial, monetary organizations, foreign banks which provide technical support and capital mobilization to investment projects of the Banking industry | 20 years |
128 | Files on drawing up projects on technical support to investment projects of the Banking industry | Permanent |
129 | Report on the realization results of projects on technical support to investment projects of the Banking industry | Permanent |
130 | Files on organization of conferences, seminars with international and regional financial, monetary organizations coming to work with the SBV | 10 years |
131 | Files on deployment and realization of programs, projects which are entitled to use ODA capital for the Banking industry | Permanent |
132 | Report on the situation of borrowing, debt repayment with international financial, monetary organizations assigned by the Government to the SBV. | 30 years |
133 | Action program, strategy, plan on international economic integration in the monetary, banking area. | Permanent |
134 | Periodical report on the performance and results of holding international conferences, seminars. | 20 years |
135 | Annual report on the foreign activity of the Banking industry. | Permanent |
| 9. FILES, DOCUMENTS ON THE ESTABLISHMENT, OPERATION AND DEVELOPMENT OF CREDIT INSTITUTIONS |
|
136 | Strategy, plan on the development and completion of Vietnamese credit institutions. | Permanent |
137 | Documents directing, guiding the realization of the strategy, plan on the development and completion of credit institutions. | Permanent |
138 | Schemes, plan on the restructuring of credit institutions and other organizations engaging in banking activity. | Permanent |
139 | Files, documents directing, guiding and inspecting the performance of schemes, plans on the restructuring of credit institutions and other organizations engaging in banking activity. | Permanent |
140 | Application file for establishment and operation license of credit institutions: |
|
| - Approved | Permanent |
| - Disapproved | 5 years |
141 | Files on the grant, revocation of establishment and operation license for credit institutions, branches, representative offices of foreign credit institutions in Vietnam (after the termination of operation). | 20 years |
142 | Decision on the grant of operation license to credit institutions. | Permanent |
143 | Files on the approval to the establishment of a domestic and overseas transaction center, branch, representative office; establishment of non-productive unit of Vietnamese credit institutions (after the termination of operation). | 10 years |
144 | Files on the approval to the change of name; charter capital, appropriated capital; location of head office, transaction center, branch, representative office; content, scope and duration of operation; transfer of shares; ratio of shares; members of the Board of Directors, General Director (Director) and members of the Controllers Committee of credit institutions (after the termination of operation) | 20 years |
145 | Files on the grant, revocation of banking operation license of other organizations (after the termination of operation). | 20 years |
146 | Decision on the approval to such titles as Chairman of the Board of Directors and members of the Board of Directors, Chief and members of the Controllers Committee, General Director or Director of credit institutions (after the expiration of the tenure). | 10 years |
147 | Files on following up, inspecting operations of banks and non-banking credit institutions. | 10 years |
148 | Files on authorizing Vietnamese credit institutions to make capital contribution to the establishment of an overseas joint venture credit institution (after the termination of operation). | 10 years |
149 | Files on the approval to the charter of credit institutions (after the termination of operation). | 15 years |
150 | Files on the approval to the capital contribution, share purchase, joint venture with foreign investors in respect of finance companies (after the termination). | 10 years |
151 | Files on authorizing Vietnamese credit institutions to establish subsidiary companies which carry out independent accounting (after the termination of operation). | 20 years |
152 | Files on the split, separation, integration, merger, acquisition, dissolution of credit institutions. | Permanent |
153 | Legal files of CIs on the registration of business, tax code, seal sample, charter and other procedures (after the expiration). | 15 years |
154 | Files on the transformation/reestablishment of CIs (after the termination of operation). | 20 years |
155 | Files on the approval to the opening, change of name, location of transaction office/savings fund, ATM of CIs (after the termination of operation). | 10 years |
156 | Mechanism, policy on the encouragement, support and orientation for development of cooperative credit institutions. | Permanent |
157 | Documents directing, guiding the performance of the mechanisms, policies on encouraging cooperative credit institutions. | Permanent |
158 | Files, documents on the grant, revocation of operation license of People’s credit fund (after the termination of operation). | 20 years |
159 | Files, documents on guiding, inspecting branches in provinces, cities under the Central government’s management regarding their implementation of provisions on the grant, revocation of operation license to cooperative credit institutions in the local area. | 10 years |
160 | Documents on the operation of Non-governmental associations, organizations established by cooperative credit institutions. | 15 years |
161 | Programs, projects on giving support to the development of cooperative credit institutions by countries, international organizations | Permanent |
162 | Files, documents on deployment of approved programs, projects. | Permanent |
163 | Files, documents on summarizing the reality, expansion of various models of efficient cooperative credit institutions | Permanent |
164 | Periodical, irregular report on the organization and operation of credit institutions. | Permanent |
165 | Summary report on the operations of credit institutions. | Permanent |
| 10. FILES, DOCUMENTS ON INSPECTION, INTERNAL AUDIT |
|
| 10.1. Files, documents on inspection |
|
166 | Strategy, plan, project, scheme on the development of banking inspectorate. | Permanent |
167 | Programs, plan on the annual inspection, examination of entire system of banking inspectorate | 10 years |
168 | Files on the inspection, files on the after inspection settlement: |
|
| - Complicated, typical cases | Permanent |
| - Ordinary cases | 10 years |
169 | Files on the examination, files on after examination settlement: |
|
| - Complicated, typical cases | Permanent |
| - Ordinary cases | 10 years |
170 | Files on the settlement of claims and after claim settlement: |
|
| - Cases within the competence of the Governor. | Permanent |
| - Cases beyond the competence of the Governor. | 10 years |
171 | Files on the settlement of denouncement and after denouncement settlement: |
|
| - Cases within the competence of the Governor. | Permanent |
| - Cases beyond the competence of the Governor. | 10 years |
172 | Responsive dispatches to claiming, denouncing individuals and collectives | 10 years |
173 | Files, documents on administrative punishment in monetary sector and banking activity | 10 years |
174 | Files on the drawing up of provisions, regulations on the performance of inspection, examination, claim, denouncement consideration, prevention from corruption, violation punishment (after the expiration). | 10 years |
175 | Report on violating cases detected during anti corruption campaign and settlement results. | 20 years |
176 | Report on the inspection performance: |
|
| - Annual report, several year report. | Permanent |
| - Monthly, quarterly, semi-annual report. | 5 years |
| 10.2. Files, documents on internal audit |
|
177 | Annual and irregular program, plan on internal audit | 10 years |
178 | Provisions, process on the operation control, internal audit (after the expiration). | 10 years |
179 | Documents guiding the provisions, process of internal control, audit operation (after the expiration). | 10 years |
180 | Files on following up the settlement of after audit proposal of audited units | 10 years |
181 | Files, documents on internal control, audit. | 10 years |
182 | Report on the internal control, audit activity. | Permanent |
| 11. FILES, DOCUMENTS ON MONEY LAUNDERING COMBATING AND PREVENTION |
|
183 | Files on the building up of strategy, guideline, policy, plan on the prevention from, combating against money laundering. | Permanent |
184 | Documents on the measures of prevention from, combating against money laundering. | Permanent |
185 | Files on dealing with information about prevention from, combating against money laundering. | 20 years |
186 | Documents of the SBV on the supply of information, documents relating to the activity of money laundering crime. | 10 years |
187 | Documents warning, recommending issues relating to the money laundering crime arising from reported transactions. | 20 years |
188 | Files, documents on projects of application of informatics technology in prevention from, combating against money laundering. | 20 years |
189 | Process, technique of preserving electronic information, data regarding international electronic money remittance and report on cash transaction | 10 years |
190 | Files, documents on the research, application of informatics technology in prevention from, combating against money laundering. | 10 years |
191 | Files, documents on the management, application of security, safety solutions, confidentiality of information about prevention from, combating against money laundering. | 10 years |
192 | Documents guiding the process, technique of operating computer network in the center of money laundering prevention and combating | 5 years |
193 | Files on the design, installation of computer network for prevention from, combating against money laundering. | 5 years |
194 | Technical documents on the informatics equipment. | 5 years |
195 | Documents guiding the information, reporting activity regarding the prevention from, combating against money laundering. | 10 years |
196 | Files on the opening of transaction, payment account of customers since the time of closing account, terminating relationship with the CI. | 10 years |
197 | Files, report on doubtful transactions. | 20 years |
198 | Files of the establishment and operation of the inter-branch Steering Committee on combating against money laundering. | Permanent |
199 | Files on the establishment and operation of the Steering Committee of prevention from, combating against terror in Banking industry. | Permanent |
200 | Files on the settlement of transactions in accordance with Resolution of the UN Security Council about “combating terror finance and combating the popularization of mass destruction weapon”. | Permanent |
201 | Files, documents on the activity of Vietnam in the Asia – Pacific group concerning the combating against money laundering. | Permanent |
202 | Annual, irregular report on the result of the prevention from, combating against money laundering. | Permanent |
| 12. FILES, DOCUMENTS ON THE PAYMENT ACTIVITY |
|
203 | Files, documents on building up schemes, projects, plan on the development of the payment activity. | 20 years |
204 | Official dispatches guiding the payment activity, plan on development of the payment activity, non-cash payment. | 15 years |
205 | Documents providing for the building up, grant, management, use of secret signs, bank code, sign of operational content, electronic signature and other signs being used in the remittance payment (after the expiration). | 15 years |
206 | Documents on the deployment, development of payment systems, managing the issuance and use of means of payment and non-cash payment services. | 15 years |
207 | Files, documents on inspecting, following up the compliance with mechanism, policy, regime on payment by units, payment services suppliers. | 10 years |
208 | Files, documents on guiding and following up the money remittance activity among units of the SBV’s system, clearing payment activity and payment among payment services suppliers. | 20 years |
209 | Files, documents on the license grant, suspension from payment operation. | Permanent |
210 | Files, documents relating to the supervision over payment systems. | 20 years |
211 | Minutes on the destruction of electronic signature upon expiration. | 10 years |
212 | Other documents on the payment activity. | 5 years |
213 | Records, documents on payment activity. | complying with provisions on the SBV’s accounting (item 13.1) |
214 | General report on the payment activity in the economy. | Permanent |
| 13. FILES, DOCUMENTS ON FINANCE - ACCOUNTING |
|
| 13.1. Accounting of the State Bank |
|
215 | Files, documents on accounting regime; legal documents of the State; guideline, policy, requirements, regime of the industry; documents providing operational guidance, direction issued by the SBV. | 20 years |
216 | Files on the capital appropriation and examining the payment of capital for construction investment. | Permanent |
217 | Files, report on the final settlement of capital for construction investment. |
|
| - To be subject to the group A | Permanent |
| - Not to be subject to the group A | 20 years |
218 | Files, documents on the management to the financial receipt, payment of the SBV: annual financial plan; notice, guidance, inspecting the performance of the plan; estimates, final settlement for the fixed asset procurement, annual financial receipts and payment; setting up of various types of funds and payment to the state budget. | Permanent |
219 | Files, documents on the approval and allocation of State budget to units of the SBV. | 20 years |
220 | Files, annual final report, including balance sheet of accounts and turnover of annual final settlement (statement of actual situation of the enterprise, annual balance sheet, report on the performance of the income, expense and annual accounting reports). | 20 years |
221 | Financial statements. |
|
| - Annual | 20 years |
| - Semi-annual, quarterly. | 10 years |
222 | Detailed accounting books (bank statement, following up the issuance, payment with the state budget, temporary deposit, temporary seizure of assets and others). | 30 years |
223 | Books for following up assets: |
|
| - Fixed assets (since the time they are put into liquidation) | 10 years |
| - Small labour tools, cheap and easy-to-corrupt items. | 5 years |
224 | Minutes on the liquidation, disposal of fixed assets (since the liquidation, disposal is completed). | 20 years |
225 | Minutes, reports on the payment of debts lent by the inhabitants, borrowed by the inhabitants and outstanding debts that are difficult to collect of economic units. | Permanent |
226 | Files on the payment of domestic liabilities, payment of liabilities with foreign countries. | Permanent |
227 | Documents of the annual conference on accounting of the entire Banking industry, including: reports, minutes, resolutions… | 20 years |
228 | Files on the asset handing over (upon the dissolution, split or merger of unit). | Permanent |
229 | Documents on the seizure, compulsory purchase, temporary deposit, temporary detention of gold, silver, foreign currencies. | Permanent |
230 | Documents on the export from, import to the issuing warehouse. | Permanent |
231 | Documents on the expense for the procurement of fixed asset. | Permanent |
232 | Documents on the payment with domestic and foreign citizens. | Permanent |
233 | Documents relating to cases that have already been investigated and judged. | Permanent |
234 | Monthly balance of accounts. | 20 years |
235 | Daily record of accounting documents (except for those as stated in points 229, 230, 231, 232, 233). | 30 years |
236 | Monthly statement of receivable, payable balances. | 10 years |
237 | Books for following up the construction capital. | 10 years |
238 | Final settlement of major repair of building, equipment. | 10 years |
239 | Daily, monthly combination of accounts. | 30 years |
240 | Daily, monthly statement of accounts. | 30 years |
241 | Books for following up printed documents. | 5 years |
242 | Sample of seals, signatures of customers (after the expiration). | 5 years |
243 | Cheque coupon of various types. | 5 years |
244 | Estimated expenditures of all kinds | 5 years |
245 | Minutes on the liquidation of assets (except for fixed asset). | 5 years |
246 | Minutes, files on the annual inventory of assets (except for inventory of fixed asset). | 5 years |
247 | Appendixes, enclosures. | 5 years |
248 | Files, documents on expenses serving preliminary, summary conferences and conference of entire Industry scale. | 10 years |
249 | Domestic and foreign projects (which have been completed). | 10 years |
250 | Monthly report on accounting. | 20 years |
251 | Summary report on the annual financial, accounting activity. | 20 years |
| 13.2. Accounting of Credit Institutions |
|
252 | Files, documents on accounting regime; legal documents of the State; guideline, policy, requirements, regime of the industry; documents providing operational guidance, direction issued by the CIs. | 20 years |
253 | Statements of accounts and final settlement of the accounting period enclosed with forms. | Permanent |
254 | Annual statistic report. | 20 years |
255 | Annual final settlement of assets. | Permanent |
256 | Books for following up fixed assets (after the liquidation). | 10 years |
257 | Exchange rate of foreign currency, gold price. | Permanent |
258 | Books for reporting the loss of savings books, promissory notes | 10 years |
259 | Documents on the seizure, compulsory purchase, temporary deposit, temporary detention of gold, silver, foreign currencies, assets. | Permanent |
260 | Documents relating to the judged cases. | Permanent |
261 | Minutes, reports on the payment of debts lent by the inhabitants, borrowed by the inhabitants and outstanding debts that are difficult to collect of economic units. | Permanent |
262 | Minutes on the asset handing over (dissolution, merger, split of unit). | Permanent |
263 | Agreements on trading, non-trading, capital borrowing, aid signed with countries (after the expiration of the agreement). | 10 years |
264 | Economic contracts (after the expiration of the contract). | 10 years |
265 | On balance-sheet, off balance sheet detailed book. | 20 years |
266 | Daily record of accounting documents of credit institutions (except for those as stated in points 259, 260). | 30 years |
267 | Treasury books. | 10 years |
268 | Books on requiring debt repayment (debt has been fully repaid). | 10 years |
269 | Files on opening and following up accounts of customers (operation has been terminated). | 5 years |
270 | Letter of collection and payment vouchers of collected items. | 10 years |
271 | On balance sheet, off balance sheet detailed accounting book of collection. | 10 years |
272 | Files on the collection, cheque, items of outward remittance. | 10 years |
273 | Detailed accounting books (bank statement) of non-residence accounts. | 10 years |
274 | Detailed accounting books (bank statement) of accounts for overseas national currency remittance. | 10 years |
275 | List concurrently order of overseas national currency remittance. | 10 years |
276 | Letter of overseas national currency that has been settled. | 10 years |
277 | Detailed accounting books (account statement) of overseas Vietnamese’s VND savings account. | 10 years |
278 | Operational books and bank statement of inward remittance. | 10 years |
279 | Detailed accounting books (account statement) of Vietnamese, overseas Vietnamese’s VND personal account. | 10 years |
280 | Annual final settlement of profit and loss. | Permanent |
281 | Final settlement of major repair of building, equipment. | Permanent |
282 | Monthly account balances. | 10 years |
283 | Annual final settlement of expenses. | Permanent |
284 | Books for following up construction capital. | 10 years |
285 | Books for following the import and export of assets: |
|
| - Fixed assets (since the time they are put in liquidation) | 10 years |
| - Small labour tools, cheap and easy-to-corrupt items. | 5 years |
286 | Payment documents of L/C. | 10 years |
287 | Documents on payment with other countries (money remittance and telegram). | 10 years |
288 | Files for following up borrowing domestic economic units. | 10 years |
289 | Other documents of import, export payment. | 5 years |
290 | Export collection entrust. | 5 years |
291 | Statements of accounts. | 5 years |
292 | Registers of money storehouse entrance and exit. | 5 years |
293 | Daily outward inter-bank report. | 5 years |
294 | Monthly operational statistic report (after having recorded in historical data accumulation book). | 5 years |
295 | Daily balance ledger (general accounting book). | 5 years |
296 | Inter-bank reconciliation book, outward, inward inter-bank statement | 5 years |
297 | Minutes on the asset liquidation (except for fixed asset). | 5 years |
298 | Annual minutes on asset inventory. | 5 years |
299 | Books for following up the import and export of printed documents. | 5 years |
300 | Official dispatches discussing about payment, lending activities that have already been settled. | 3 years |
301 | Sample of seal, signature of customers transacting with commercial banks and credit institutions (after the expiration). | 3 years |
302 | Cheque coupons of various types. | 3 years |
303 | Statistic book and register of salary fund. | 5 years |
304 | Issuance following up books, savings books, promissory notes, bonds, deposit certificates. | 20 years |
305 | List of clearing payment documents (drawn up by member bank). | 10 years |
306 | Domestic and foreign projects (having been completed). | 10 years |
307 | Documents on annual accounting conferences. | 10 years |
308 | Annual summary reports. | Permanent |
| 13.3. Electronic documents (after having been printed out) |
|
309 | Payment order and payment documents of the same nature | 10 years |
310 | List of clearing payment results made with Banks. | 10 years |
311 | Daily electronic clearing payment confirmation telegram | 10 years |
312 | Verification and verification response telegram | 10 years |
313 | Confirmation request telegram, confirmation of transfer order of high value. | 10 years |
314 | Notice of payment order acceptance, refusal. | 10 years |
315 | Aggregation of member units’ transactions. | 10 years |
316 | Aggregation of members’ transactions. | 10 years |
317 | Money remittance balance sheet. | 10 years |
318 | Accounting results statement. | 10 years |
319 | General clearing payment results statement. | 10 years |
320 | General accounting results statement. | 10 years |
321 | Daily report on inter-bank accounting. | 5 years |
322 | General reconciliation statement of daily money remittance receipt | 5 years |
323 | Money remittance statement. | 5 years |
324 | List of electronic outward clearing payment orders. | 10 years |
325 | General Table of electronic clearing payment results verification | 5 years |
326 | General table of electronic clearing payment. | 5 years |
327 | Report on the outward, inward money remittance of inter-bank payment. | 5 years |
328 | Money remittance reconciliation | 5 years |
329 | Member units’ inter-bank payment results statement | 5 years |
330 | Members’ payment results statement. | 5 years |
331 | Other electronic payment documents | 5 years |
| 14. FILES, DOCUMENTS ON ISSUING AND VAULT OPERATIONS |
|
332 | Project, scheme on printing, coining new types of money for supplement to, replacement of money in circulation. | Permanent |
333 | Annual, long term plan on printing, coining money. | 20 years |
334 | Annual, long term plan on printing, coining money for keepsake | 5 years |
335 | Financial plan on printing, coining, destructing money, expense on issuance management and other expenses relating to the issuing and vault activity. | 10 years |
336 | Files, documents on the appraisement of money samples and valuable papers expected to be issued by the State Bank. | Permanent |
337 | Decision on the establishment, dissolution, merger of money storehouses. | Permanent |
338 | Files on the collection and change of old money, issuance of new money. | Permanent |
339 | Decision announcing the issuance of types of money, payment cheque | Permanent |
340 | Decision on suspending the circulation of money, payment cheque | Permanent |
341 | Decision on the withdrawal, replacement of types of money which are suspended from circulation. | Permanent |
342 | Files on design of money and sample of payment cheque. | Permanent |
343 | Order of import, export of money, gold, silver, metal, precious stone. | 30 years |
344 | Plan on the destruction of torn, corrupted money and money that is not qualified for circulation, money suspended from circulation, counterfeit money, destroyed money. | 10 years |
345 | Files on the destruction of money, payment cheque. | 20 years |
346 | Files, documents on appraising counterfeit money, money doubted to be counterfeit. | 20 years |
347 | Final settlement on gold, silver situation of the entire industry |
|
| - Annual, several years settlement | Permanent |
| - Semi-annual, quarterly settlement. | 5 years |
348 | Final settlement of local gold, silver situation |
|
| - Annual, several years settlement | 10 years |
| - Semi-annual, quarterly settlement. | 3 years |
349 | Books on the preservation of funds, gold, silver, valuable papers. | 30 years |
350 | Minutes on the inventory of money, gold, silver, foreign currency and books of cash inventory. | 20 years |
351 | Cash books. | 20 years |
352 | Files on the settlement of cases of lack, loss of money, gold, silver. | 20 years |
353 | Documents on capital rotation | 5 years |
354 | Accounting books, documents. | complying with provisions of SBV on accounting (item 13.1) |
355 | Statistic report, cash telegrams. | 10 years |
356 | Book for following up the entrance to, exit from money storehouse. | 5 years |
357 | List of face value of received, spent money | 5 years |
358 | Minutes on the seizure of counterfeit money | 3 years |
359 | Summary report on the issuing and vault activity. | Permanent |
| 15. FILES, DOCUMENTS ON MONETARY MARKET OPERATIONS |
|
360 | Books, documents on open market trading sessions. | 10 years |
361 | Documents on bidding sessions of Treasury bills, SBV’s bills. | 10 years |
362 | Documents on bidding sessions of Government’s Bonds and other valuable papers. | 15 years |
363 | Notice on the bidding of valuable papers. | 15 years |
364 | Notice on the bidding results of valuable papers. | 15 years |
365 | Files on overnight loan, providing loan to credit institutions in case of default (after the debt has been repaid). | 10 years |
366 | Processes and documents guiding the implementation of operational process of open market, auction of State Bank Bills, Government’s bonds, valuable papers, discount of valuable papers, overnight loan, refinance loan, discount and rediscount (after expiration). | 10 years |
367 | Files on the grant, revocation of Certificate of Member Recognition for credit institutions taking part in the operation of open market, auction of bonds, bills and valuable papers; grant of passwords, code of electronic signature to members (after expiration). | 10 years |
368 | Files and documents on opening account and realizing the transactions with State Treasury, credit institutions operating in Vietnam, foreign banks and international monetary, financial institutions (after closing the account). | 20 years |
369 | Limit of overdraft and overnight – loan, net debt limit applicable to low value payment in inter-bank electronic payment (after expiration of application time). | 5 years |
| 16. FILES, DOCUMENTS ON AGENT RELATIONSHIP OPERATIONS |
|
370 | Files and documents on establishment and termination of agent relationship (after termination of the relationship). | 10 years |
371 | Limits of deposit investment applicable to each partner; limit of investment trust; limit of depository/custody; limits by each kind of transaction from time to time (after the expiration of application time). | 5 years |
372 | Monthly, quarterly and unexpected report on credit rating for State Bank’s partners. | 5 years |
373 | Charter contract on provision of services of global financial, monetary information (after contract termination). | 5 year |
| 17. FILES, DOCUMENTS ON INTERNATIONAL PAYMENT OPERATIONS |
|
374 | Files on money transfer for the payment to complete transactions of foreign currency dealing, deposit investment, valuable papers dealing in international market and inter-bank foreign currency market (after terminating the transaction). | 10 years |
375 | Files, documents on inspection, control over international payment activity; outflow, inflow of operational fund; investment and business transactions in international market and inter bank foreign currency market. | 10 years |
376 | Files on international payment system operation; building up of passwords system and other security requirements (after the expiration). | 10 years |
377 | Files, documents on monitoring Vietnam’s equity contributed to international financial – monetary institutions | Permanent |
378 | Files on implementation of international payment and commercial financing operations | 10 years |
379 | Files concerning receipts and payments for units that have account relations with Operation Department of State Bank, concerning the management of operational fund, foreign currency and valuable papers. | 10 years |
380 | Files on LC operation. | 10 years |
381 | Files on opening/closing current account, securities depository account of State Bank (or of credit institutions at foreign banks) (after the expiration). | 5 years |
382 | Contract for maintenance and upgrading of SWIFT payment system (after expiration). | 5 years |
383 | Report on overseas deposit fluctuation of State Bank - yearly, several years. - monthly, quarterly - Periodically, daily, weekly, every 10 days, quick report |
20 years 5 years 2 years |
384 | Report on international payment operation. | 10 years |
| 18. FILES, DOCUMENTS ON CREDIT INFORMATION ACTIVITY |
|
385 | Plans, programs, schemes, projects on credit information activity | Permanent |
386 | Documents guiding the building up of operational process and codes system related to credit information activity for the institutions engaging in credit information activity. | 15 years |
387 | Files, documents on dealing with credit information provided by the institutions taking part in the credit information activity, and making, managing the data of national credit information. | Permanent |
388 | Report on the results of providing credit information to State bank by credit institutions. | 5 years |
389 | Files and documents concerning the supply of credit information service to credit institutions, other organizations and individuals. | 5 years |
390 | Documents on information exploitation and use issued by organizations taking part in credit information activity | 5 years |
391 | Documents guiding or cooperating with the units of the State Bank and credit institutions in credit information operation. | 5 years |
392 | Files, documents on making software program of credit information, directing, guiding and checking the implementation of credit information activity by units (after the program is no longer used). | 5 years |
393 | Files, documents on studying and applying, developing credit operations, exploiting and using credit information in credit activity. | 10 years |
394 | Files and documents on designing, making process of security technique and customer’s code related to credit information activity (after expiration). | 25 years |
395 | Documents of credit institutions and of its branches on the supply of financial information in accordance with customer’s annual financial reports. | 10 years |
396 | Documents of credit institutions providing information of due loans but they are unable to make payment and information of guarantees they are not capable of implementing. | 5 years |
397 | Files, documents on dealing with institutions and individuals who break provisions on credit information activity | 5 years |
| 19. FILES, DOCUMENTS ON INFORMATICS TECHNOLOGY |
|
398 | Files on building up strategies, planning, plans, programs, schemes, projects for studying and applying informatics technology of banking. | Permanent |
399 | Files and documents on technical appraisal of information technology projects of credit institutions. | 25 years |
400 | Files on technical process of preservation and archive of electronic vouchers | 25 years |
401 | Projects on technical process of preservation and archive of electronic data of payment service suppliers | 25 years |
402 | Forecast of strategy of banking informatics science and technology | 10 years |
403 | Long term and annual plan and report on activity of banking informatics science and technology | Permanent |
404 | Files on conference and seminar of banking informatics science and technology | 10 years |
405 | Documents on activities of Banking informatics science -technology Council | 15 years |
406 | Files on research topics of informatics technology at State level and industry level. | Permanent |
407 | Document on projects of informatics technology application to the management of banking business and service. | 15 years |
408 | Files on inventions and initiatives of technical and informatics technology process improvement or on useful solutions recognized by State and Industry | Permanent |
409 | Files, documents on management and application of security solutions, informatics technology security in Banking industry | 15 years |
410 | Documents guiding technical process of computer network running (after the program is no longer used) | 5 years |
411 | Technical files on design analysis, and programming of banking software (after the software is no longer used) | 10 years |
412 | Design document on computer network installation (as the network system is no longer used) | 5 years |
413 | Technical document on informatics equipments (as the equipment is no longer in use) | 5 years |
414 | Files on issuance, management, application and authentication of electronic signature for controlling data of banking operation (after the signature expires) | 10 years |
415 | Contract of procurement, installation of informatics equipments (after the contract is terminated). | 20 years |
416 | Process of keeping software versions, archive of database (after they are no longer used) | 10 years |
417 | Documents on software copyright (after it is not used anymore) | 5 years |
418 | Report on the situation of development, implementation and application of informatics technology of the industry. | Permanent |
| 20. FILES, DOCUMENTS ON ORGANIZATION, PERSONNEL, TRAINING |
|
| 20.1. Document and materials on organization and personnel |
|
419 | Files on establishing and completing organizational models and structure of State Bank and credit institutions. | Permanent |
420 | Files and documents on the establishment, reorganization, split, merger and dissolution of the units belonging to the industry’s mechanism. | Permanent |
421 | Files on building up of working regulations of the units belonging to the industry’s organization structure (after the units are dissolved or merged) | 15 years |
422 | Long term and short term planning of leadership and managerial staff of all levels | 15 years |
423 | Files, documents on personnel allocation and arrangement from the source of recruitment, transfer into the units under the organizational structure of State Bank and credit institutions. | 10 years |
424 | Decision on recruitment, transfer, appointment, dismissal and resignation for the industry’s staff. | Permanent |
425 | Staff’s curriculum vitae | Permanent |
426 | Files on monitoring staff and civil servants | Permanent |
427 | Files on officer discipline | Permanent |
428 | Files, documents on standards and job title of the industry’s officers | 15 years |
429 | Annual statistic report on the quality and quantity of staff and officers | Permanent |
430 | Files, documents on implementation of treatment policies, regimes for the officers and staff of State Bank and credit institutions | 30 years |
431 | Files and documents on internal security and political protection | Permanent |
432 | Files and documents on annual examination of recruitment, scale rise, grade transfer | 15 years |
433 | Documents on norms, official workforce; report on implementation of annual workforce, norms | Permanent |
| 20.2. Files, documents on labour and salary |
|
434 | Annual plan of labour and salary | 15 years |
435 | Files, documents on establishing and implementing the regimes on organization and labour management of the industry | Permanent |
436 | Files, documents providing for the regime of salary and bonus | 20 years |
437 | Projects on labour and salary, providing for levels of salary and bonus of each bank system | 15 years |
438 | Final settlement of annual salary, bonus and welfare | 15 years |
439 | Decision on rising salary scale, payroll | 15 years |
440 | List of monthly salary | 5 years |
441 | Documents on establishing and implementing the following regimes: Labour safety, working safety; working hygiene in the banking industry | 10 years |
442 | Summary report on annual salary | 20 years |
| 20.3. Files, documents on training |
|
| 20.3.1. Files, documents on training management |
|
443 | Files, documents monitoring and managing activity of training for training institutions under the management of State Bank | Permanent |
444 | Files, documents on conferences and seminars on personnel organization and domestic and foreign training | 10 years |
445 | Files on monitoring and management of oversea training activity | Permanent |
446 | Projects and plans on training cooperation | Permanent |
447 | Report on evaluating the activities of the training project | 10 years |
448 | Plan and program on training and developing officer annually | 10 years |
449 | Files, documents on monitoring and management of annual training expenditure limit | 20 years |
450 | Files and documents on training, development classes for the bank’s staff and officers | 10 years |
451 | Report on the implementation of training plans and programs | 10 years |
| 20.3.2. Files, documents on training |
|
452 | Plan and report on the implementation of training and enrollment plan of the schools under management of State Bank - Annual, several year plan - every six months, quarterly |
Permanent 3 years |
453 | Enrollment norms distributed to the schools of State Bank by Ministry of Education and Training | Permanent |
454 | Teaching textbooks used in the schools | Permanent |
455 | Files, documents on research topics by the staff of the schools. - At Institution level, Industry level, State level; - At Faculty level, University level |
Permanent 20 years |
456 | Graduate thesis | 20 years |
457 | Annual enrollment files | Permanent |
458 | Candidates’ examination papers and annual delivery minutes of examination papers of Examination board of the schools. | 10 years |
459 | Files and documents on the organization of exams, testing and secondary checking annually. | 5 years |
460 | Files of the candidates attending the exam: - Files of the candidates who takes part in training courses - Files of the candidates who register, but don’t or can’t do the exam or fail the exam. |
10 years 2 years |
461 | List of learners of the annual classes and courses of the schools. | Permanent |
462 | List of learners of annual classes and courses of the schools and their exam results | Permanent |
463 | Documents on graduate recognition for learners of the annual classes and courses | Permanent |
464 | Training report on annual, several year basis | Permanent |
| 21. FILES, DOCUMENTS ON EMULATION AND REWARD |
|
465 | Plans and programs of emulation and reward for each term and each sector | 10 years |
466 | Files, documents on organizing and implementing emulation movement of the entire industry on the occasion of big festivals of the State and of the industry | Permanent |
467 | Files, documents on meeting for reward consideration of Emulation and Reward Council of Banking industry and of State Bank’s Party civil affairs Committee. | Permanent |
468 | Files, documents on meeting for reward consideration of Emulation and Reward Council of the units of Banking Industry | 20 years |
469 | Decision on the commendation and reward made by President, Prime Minister, Governor of State Bank, ministries and industries and similar levels for communities and individuals of the Banking Industry | Permanent |
470 | Files, documents on organization of Conferences of emulation and reward for the entire industry | Permanent |
471 | Files, documents on inspections, surveys to catch the situation of emulation, commendation and reward of the units | 5 years |
472 | Files, documents on preliminary summing up of emulation and reward activity | 10 years |
473 | Files, documents on summarizing the work of emulation and reward | Permanent |
474 | Files and documents on dealing with complaints, denouncement letters related to emulation, commendation and reward activity | 10 years |
475 | Documents on establishment and management of the fund for emulation and reward. | 10 years |
476 | Summary report on emulation, commendation and reward activity of the industry | Permanent |
| 22. FILES, DOCUMENTS ON LEGAL COMPLIANCE ACTIVITY |
|
477 | Long – term and annual program and plan on law establishment made by State Bank and its units. | 10 years |
478 | Documents on developing the program of law establishment after approved by authorized agencies | 15 years |
479 | Written ideas contributed to drafts of legal documents sent by Ministry, ministerial level agencies, Government’s agencies or local government agency to collect suggestions. | 5 years |
480 | Files and documents on drafts of legal documents for which the Governor asks the agencies to offer suggestions, appraised by Ministry of Justice, and submitted to Government and Minister. | Permanent |
481 | Document on appraising the drafts of legal documents within the authority of Governor of State Bank. | 10 years |
482 | Document on developing the program of building up law projects presided over by State Bank - Important law projects. - Unimportant projects |
Permanent 10 years |
483 | Files, documents on legal advices for the Governor to negotiate, sign and develop international treaties, contracts and agreements with international and domestic partners or litigation with judicial agencies. | Permanent |
484 | Files, documents authenticating legally affairs related to authorities and responsibilities of the Bank. | 30 years |
485 | Files, documents on the implementation of legal advising function to the activities of credit institutions. - Important and typical affairs - Unimportant |
Permanent 10 years |
486 | Files, documents verifying, listing, systematizing and processing the results of checking legal documents on Banking activity | Permanent |
487 | Files and documents related to the results of checking legal documents and propaganda and dissemination of law education | 10 years |
488 | Guiding texts on operation of legislation for the units of State Bank and for credit institutions. | 5 years |
489 | Summary report on law execution within Banking Industry - Annual, several years report - Every six months, quarterly |
Permanent 10 years |
| 23. FILES, DOCUMENTS ON CONSTRUCTION INVESTMENT |
|
| 23.1. Files, documents on construction investment management |
|
490 | Plan of investment in new construction, improvement, upgrading, enlargement, and major repair of projects | Permanent |
491 | Files, documents on checking the implementation of construction investment plan within the industry | Permanent |
492 | Report on the results of the implementation of annual construction investment capital | Permanent |
| 23.2. Files, documents on investment in and construction of works, projects |
|
493 | Files, documents on new construction, improvement, upgrading, and major repair of projects. - Projects of Group A, special projects. - Other projects |
Permanent Existing with the projects |
494 | Files and documents on projects of construction investment - Projects of group A, special projects. - The rest |
Permanent Existing with the projects |
495 | Documents on projects of capital construction: - Decision on approval, grant of land and construction license. - Files of auction winning; - Documents on investigation, design and appraisal. - Feasibility study - Document on execution and completion of work | Permanent |
496 | Files on the project of work construction investment. - Approved - Disapproved |
Permanent 5 years |
497 | Files, documents on appraisal of the project of work construction investment, project of major repair (for works which need preparation of project); feasibility study (for those the preparation of project is not required). | Permanent |
498 | Files on appraisal and approval of technical design, technical drawing design, estimate budget, general estimates of the work that needs preparation of project. | Permanent |
499 | Files and documents on negotiation, conclusion, hiring consultants and supervision of implementation of the contracts on hiring advisor/consultants to appraise project | Permanent |
500 | Files, documents on implementation of procedures of land delivery and application for building license, other documents related to work construction. | Permanent |
501 | Files, documents on appraising and approving bidding plan. | Permanent |
502 | Files on appraising and approving the bidding invitation the bidding results for projects’ tenders. | 20 years |
503 | Files on managing and using capital for construction investment. | Permanent |
504 | Documents related to the management of quality, quantity, progress, and expenditure for the building. | 20 years |
505 | Files on acceptance, payment and final settlement by contract (after the contract is terminated). | 20 years |
506 | Final settlement and settlement report when project of work building is completed and the project is put into use | Permanent |
507 | Books and document on work execution | Implementing in accordance with the provisions on accounting of the State Bank (Item 13.1) |
| 24. FILES, DOCUMENTS ON SCIENTIFIC RESEARCH |
|
508 | Files on accepting scientific research topics. - Topic of state level - Topic of Industry level - Topic of Institute level |
Permanent Permanent Permanent |
509 | List of scientific research topics | 3 years |
510 | Files, documents on managing and developing approved scientific research topics | Permanent |
511 | Files, documents on the activities of the Industry’s Scientific Council | Permanent |
512 | Documents on seminars and discussions about monetary – banking area | 10 years |
513 | Files, documents on application of results of the scientific research topics in reality. | Permanent |
514 | Preliminary and summary reports on scientific research activities. | 20 years |
| 25. FILES, DOCUMENTS ON PROPAGATION, PRESS ACTIVITY |
|
515 | Annual and long term programs and plans of mass communication | 10 years |
516 | Files, documents on implementation of the programs and plans of mass communication | 25 years |
517 | Files, documents on the organization of press conferences, periodical and unexpected press handover meetings, fairs and exhibitions of the Industry | 3 years |
518 | Writings, speeches on the occasion of celebrations and the important events of the industry | Permanent |
519 | Articles on major, typical affairs related to the industry | 20 years |
520 | Writings by reporters and collaborators sent to Times and Magazines of the bank | 5 years |
521 | Development orientation and plan of Vietnam Banking Museum | Permanent |
522 | Files, documents on preservation task of State Bank. | Permanent |
523 | Preliminary and summary reports of mass communication. | 15 years |
| 26. FILES, DOCUMENTS ON ADMINISTRATION ACTIVITY |
|
524 | Plan of new procurement, major repairs, liquidation of assets | 10 years |
525 | Files, documents on procurement and distribution of work tools and office stationery | 5 years |
526 | Files, documents on regular repair of car, machinery and equipment | 5 years |
527 | Files, documents on arrangement and adjustment of working place for the units. | 10 years |
528 | Estimated expenditure for the activities. | 10 years |
529 | Periodical, unexpected reports on expenditure situation, expenditure limit | 20 years |
530 | Books, records for following up property export and import: - Fixed assets (since they are put into liquidation) - Cheap and easy – to – break down work tools and objects |
10 years 5 years |
531 | Minutes and documents on monitoring annual assets inventory: |
|
| - Fixed assets (since they are put into liquidation) - Cheap and easy – to – break down work tools and objects. | 10 years 5 years |
532 | Payroll, salary allowance and other payments for staff. | 10 years |
533 | Summary of annual salary of the unit | 15 years |
534 | Files on monitoring social insurance, health insurance, unemployment benefit. | 30 years |
535 | Files on managing and monitoring house distribution for staff | Permanent |
536 | Files for following up prevention and protection of flood | 3 years |
537 | Files, documents on the task of fire prevention and fighting. | 3 years |
538 | Files, documents on the task of national defense and military affairs | 5 years |
539 | Materials on the task of security of the agency | 3 years |
| 27. FILES, DOCUMENTS ON ADMINISTRATIVE, ARCHIVE ACTIVITY |
|
540 | Project on administrative reform of Banking Industry | Permanent |
541 | Files, documents on development and implementation of administrative reform of State Bank | Permanent |
542 | Files on conferences of office’s work and archives in the entire industry | 10 years |
543 | Files, documents on guiding and checking archives work within Banking industry | 10 years |
544 | Summary report on annual and multiyear archives work | 15 years |
545 | Register of incoming and outgoing official dispatches (after decoding) | 15 years |
546 | Register of incoming and outgoing official dispatches (normal type) | 10 years |
547 | Register of outgoing official dispatches (legal documents of State Bank) | 10 years |
548 | Document providing for making seal of State and the Industry | Permanent |
549 | Sample of seal and signature of the Industry | Permanent |
550 | Sample of seal and signature sent from outside of the industry (after expiration) | 3 years |
551 | Saved talons of letter of recommendation, letter of leave taking, letter of business and notes of official dispatch delivery | 3 years |
552 | Minutes of receipt and archive if files, documents of the units | Permanent |
553 | Book on list of edited documents and materials of the units | Permanent |
554 | Book for following up to serve the exploitation of materials | 20 years |
555 | Summary statistic report on archives work and stored materials. | Permanent |
556 | Documents on building up regulations on archives | Permanent |
557 | Document on destruction of materials of which preservation term expires (since materials are destroyed) | 20 years |
| 28. FILES, DOCUMENTS ON ACTIVITIES OF COMMUNIST PARTY, TRADE UNION, YOUTH UNION |
|
| 28.1. Files, documents on activities of Communist Party organization |
|
558 | Instructions, resolutions and other documents guiding the implementation of political tasks of Party’s activities; - For implementation (after expiration). - For information. |
5 years 2 years |
559 | Files on term general meeting | Permanent |
560 | Annual working plan and program of the Party organization | 10 years |
561 | Files, documents guiding the development of the text issued by senior Party organization - Important ones related to banking operation. - The ones for information. |
Permanent 5 years |
562 | Files, documents on the organization and personnel of the Party | Permanent |
563 | List of party members | Permanent |
564 | Book of minutes of regular and irregular meetings of Party organization | 15 years |
565 | Profile of party members | Permanent |
566 | Files, documents on party’s badge award. | Permanent |
567 | Files, documents on the party’s operation budget (after the term expires) | 5 years |
568 | Summary report of party’s operation. - On annual, several year basis - monthly, quarterly, every six month. |
Permanent 5 years |
| 28.2. Files, documents on activities of Trade Union |
|
569 | Guiding text of senior Trade Union about trade union’s operation. - For implementation (after expiration) - For information. |
3 years 2 years |
570 | Document on implementation and development of trade union’s operation at local level | 10 years |
571 | Files on member admission to trade union. | 25 years |
572 | Files on general meeting of Trade Union of current term (after the term expires) | 10 years |
573 | Materials on the organization and personnel of Trade Union. | 25 years |
574 | Book of minutes of regular and irregular meetings of Trade union. | 10 years |
575 | Files, documents on operating expenditure of Trade union (after the term expires) | 5 years |
576 | Summary report of Trade union’s operation. | 20 years |
| 28.3. Files, documents on activities of Youth Union |
|
577 | Guiding text of Ho Chi Minh Central Communist Youth Union. - For implementation (after expiration) - For information |
3 years 2 years |
578 | Document about implementation and development of Youth Union’s operation. | 5 years |
579 | Files on Youth Union’s General meeting. | 10 years |
580 | Files, documents on the organization and personnel of Youth Union. | 15 years |
581 | Book of minutes of regular and irregular meetings of Youth Union. | 10 years |
582 | Files, documents on Youth Union’s operating expenditure (after the term expires) | 5 years |
583 | Report on Youth Union’s operation. | 15 years |