Nội dung toàn văn Circular No. 43/2011/TT-NHNN providing on the preservation period for dossiers
STATE BANK OF VIETNAM | SOCIALIST REPUBLIC OF VIET NAM |
No. 43/2011/TT-NHNN | Hanoi, December 20, 2011 |
CIRCULAR
PROVIDING ON THE PRESERVATION PERIOD FOR DOSSIERS, DOCUMENTS IN BANKING SECTOR
Pursuant to the Law on the State bank of Vietnam No.46/2010/QH12, of June 16, 2010;
Pursuant to the Law on credit institutions No. 47/2010/QH12, of June 16, 2010;
Pursuant to the Ordinance on National Archive No. 34/2001/PL-UBTVQH10 of April 04, 2001;
Pursuant to the Government’s Decree No. 111/2004/ND-CP of April 08, 2004 detailing the implementation of a number of articles of the Ordinance on National Archive;
Pursuant to the Government’s Decree No. 96/2008/ND-CP of August 26, 2008 defining the functions, tasks, powers and organizational structure of the State bank of Vietnam;
The State bank of Vietnam provides on the preservation period for dossiers, documents in banking sector, as follows:
Article 1. Scope of regulation
1. This Circular provides on the preservation period for dossiers, documents formed in activities of units in banking sector.
2. Dossiers, documents specified in clause 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 the State bank of Vietnam (SBV), then their preservation period shall be implemented in accordance with the period provided in this Circular.
3. Dossiers, 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 of Vietnam (SBV); Credit Institutions (CIs), branches of foreign banks, Representative Offices of foreign credit institutions, other foreign organizations engaging in banking activity, organizations of Party, the Trade Union, Youth Union (hereinafter referred to as units).
Article 3. Principles of determining the preservation period
Preservation period of dossiers, 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, sectors and Nation.
Preservation period of each dossier shall be determined based on the document of the highest value in the dossier.
Article 4. The preservation period of dossiers, documents archived
1. The preservation period of dossiers, documents archived means the period of time necessary for the storage of dossiers, documents being calculated from year when work is ended.
2. The preservation period of each dossier, document archived shall be stipulated in two levels: permanent preservation and time-defined preservation with specific number of years as follows:
a) Permanent preservation: shall mean the dossiers, documents are archived permanently until they destroy themselves or are irrecoverable. This level of preservation shall be applicable to dossiers, documents which are important, clearly reflect the function, duty, serve the long term research for the operation of the agenies, units; have economical, political and historical value.
b) Time-defined preservation: shall mean the dossiers, documents apart from cases specified in point a clause 2 of this Article.
Article 5. Table of preservation period for dossiers, documents archived
1. Table of preservation period for dossiers, documents archived means table listing groups of dossiers, documents with instructions of preservation period.
2. Preservation periods of dossiers, documents archived in banking sector are stipulated in details at the Table of preservation period for archived dossiers, documents enclosed with this Circular (referred to as Table of preservation period for dossiers, documents).
3. Dossiers, documents for preservation in the Table of preservation period are classified by activities, matters and have independent ordinal numbers, specific name in respective with the stipulated preservation period, including:
1 General dossiers, documents;
2 Dossiers, documents on the banking development strategy;
3 Dossiers, documents on monetary policy;
4 Dossiers, documents on monetary forecast, statistics;
5 Dossiers, documents on credit;
6 Dossiers, documents on risk management;
7 Dossiers, documents on relationships with investors;
8 Dossiers, documents on foreign exchange;
9 Dossiers, documents on international corporation;
10 Dossiers, documents on establishment, operation and going into liquidation of credit institutions;
11 Dossiers, documents on inspectation, supervision;
12 Dossiers, documents on audit;
13 Dossiers, documents on preventing and fighting money laundering;
14 Dossiers, documents on payment work;
15 Dossiers, documents on finance - accounting;
16 Dossiers, documents on issuing and vault;
17 Dossiers, documents on science and technology;
18 Dossiers, documents on organization, personnel, training;
19 Dossiers, documents on emulation and reward work;
20 Dossiers, documents on legal compliance activity;
21 Dossiers, documents on investment in construction;
22 Dossiers, documents on propagation, press activity;
23 Dossiers, documents on administration activity;
24 Dossiers, documents on administrative and archive activity;
25 Dossiers, documents on activities of organizations of Party, Trade Union, Youth Union.
Article 6. Using of the Table of preservation period
The table of preservation period for archived dossiers, documents as a basis for the accurate and scientic valuation of dossiers, documents, ensuring the uniformity.
1. The document value determined must ensure the following requirements:
a) The levels to determine preservation period for each dossier, documents are not lower than the level specified in this Circular.
b) When selecting documents to hand over for Historical archive, it is required to consider extent of sufficient of documents bulk, and pay attention to historical periods, time point in order to raise level of preservation period of documents up to higher than the stipulated level.
c) For archived dossiers, documents which were expired for preservation, it is required to make a list for submission to the agency’s Committee of dossiers, documents valuation for consideration and re-evaluation and submission to the head of the unit for deciding on prolonging their preservation period, or destruction.
2. In reality, if there are the archived dossiers, documents, which have not been yet specified in this Table of preservation period, heads of units shall, base on this Circular, concretize levels of preservation period in according to corresponding groups of archived dossiers, documents in the table to determine.
Article 7. Implementation provision
1. This Circular takes effect on February 03, 2012; the Circular No. 20/2009/TT-NHNN of September 07, 2009 of SBV providing for preservation period of dossiers, documents in Banking sector is invalid from the effective day of this Circular.
2. Heads of units of the State Bank, Chairperson of the Board of Directors (Chairperson of Members' Council) and General Director (Director) of Credit Institutions, branches of foreign banks, representative offices of foreign credit institutions, other foreign organizations engaging in banking activity, leaders of organizations of Party, the Trade Union, Youth Union shall be responsible for guidance and implementation of this Circular.
3. Director of the Administrative Department of the SBV shall be responsible for providing guidance, inspecting units in the banking sector regarding the implementation of this Circular, annually reporting to the Governor on implementation of units.
| PP. THE GOVERNOR OF |
CHART OF PRESERVATION PERIOD FOR BANKING DOSSIERS AND MATERIALS
(Issued together with the Circular No. 43/2011/TT-NHNN of the Governor of the State Bank dated December 20, 2011)
No. | DESCRIPTION | PRESERVATION PERIOD |
| 1. GENERAL DOSSIERS AND MATERIALS |
|
1 | A collection of documents CCed to multiple organizations, including: |
|
- Documents on policies and guidelines of the Communist Party and state laws | Till the end of document validity | |
- Documents for information purposes only (change in name of an organization, office relocation, stamp change, and signature notification, etc.) | 5 years | |
2 | Dossiers on implementation of policies and guidelines of the Communist Party and state laws | Infinite |
3 | Dossiers on formulation and introduction of rules/ regulations/ instructions on general issues of the banking sector and organizations. | Infinite |
4 | Dossiers and materials on arrangements for the implementation of rules/ regulations/ instructions on general issues of the banking sector and organizations. | Infinite |
5 | Criteria of the general long-term and annual plan (official, supplementary or revised) and reports on accomplishment of bank’s plans | Infinite |
6 | Regional, sectorial economic reports, and other macroeconomic reports, and reports on the result of implementation of economic guidelines and economic structural changes. | Infinite |
7 | Notification of conclusions and directions of the Management Board of the State Bank, credit institutions in meetings, preliminary and final review meetings on banking operations, symposiums: |
|
- Important type | Infinite | |
- Ordinary type | 10 years | |
8 | Minute books for performance evaluation meetings (other materials such as work books, etc) of the Management Board of all-level banks | Infinite |
9 | Dossiers on big celebrations, important events conducted by organizations | Infinite |
10 | Materials on performance of organizations’ management board (reports, demonstrations, presentations given to the National Assembly and the Government in relation to assigned tasks, and speeches delivered in important events, etc.) | Infinite |
11 | Dossiers on preliminary and final review meetings on bank performance + Year-end meetings. + Half-year, quarterly and monthly meetings. |
5 years |
12 | Dossiers on application of ISO standards to the banking sector, organizations | Infinite |
13 | Dossiers on implementation of administrative reforms. | 20 years |
14 | Work agendas of the Management Board of the State Bank and credit institutions - Annual, multiple-year - Half-year and quarterly - Monthly and weekly |
10 years 5 years |
15 | Reports and materials used in meetings of the Management Board of the State Bank and credit institutions - Important type - Ordinary type |
5 years |
16 | Plans and reports of the State Bank, credit institutions on bank performance |
|
- Final reports compiled on an annual, multiple-year basis: + Issuing units + Receiving units - Preliminary reports compiled on half-year, 9-month, quarterly and ad hoc basis: + Issuing units + Receiving units - Flash, weekly, period-based and monthly reports: + Issuing units + Receiving units |
Infinite 10 years
5 years
5 years 5 years | |
17 | Official documents on discussion of general issues | 10 years |
| 2. DOSSIERS AND MATERIALS ON BANK DEVELOPMENT STRATEGIES |
|
18 | Dossiers and materials on long-term, 5-year and annual bank development strategies, schemes, plans and proposals. | Infinite |
19 | Dossiers and materials on implementation of bank development strategies and plans | Infinite |
20 | Researches on domestic and international economic conditions over years and periods which assist bank development strategies. | 20 years |
21 | Reports on implementation of bank development strategies, schemes, plans and proposals: |
|
- + Final reports - + Preliminary reports | Infinite 20 years | |
| 3. DOSSIERS AND MATERIALS ON MONETARY POLICIES |
|
| 3.1. Dossiers and materials on monetary policy researches and administration |
|
22 | Materials on long-term, mid-term and annual development strategies, plans and proposals for monetary policy administration and banking operations | Infinite |
23 | Materials on projects for national monetary policies and annual money supply | Infinite |
24 | Dossiers and materials on formulation of regulations on policies, administrative mechanisms and operations of monetary policies. | Infinite |
25 | Materials on implementation and administration of monetary policies and monetary policy instruments. | 20 years |
26 | Dossiers and materials on short and medium-term researches on economic and monetary conditions of countries whose currencies fall within the structure of foreign exchange reserves for the purpose of forecast of fluctuations in exchange rates and monetary policies. | 10 years |
27 | Dossiers and materials on consultations with Ministries, and the banking sector about economic plans and policies regarding national monetary policies. | 20 years |
28 | Dossiers and materials on dealing with recommendations, difficulties and complaints of credit institutions and borrowers in relation to credit, loan guarantee and interest rate policies, mechanisms. | 20 years |
29 | Dossiers on determination of compulsory deposit requirements and management of mandatory reserve funds of credit institutions | 10 years |
30 | Reports on the result of implementation of monetary policies, banking performance and relevant macroeconomic reports. | Infinite |
31 | Reports on inflation, macroeconomic situations: - Annual reports - Monthly and quarterly reports |
Infinite 5 years |
32 | Weekly, monthly reports on financial, economic and monetary conditions in worldwide countries and Vietnam | 5 years |
33 | Reports on implementation of compulsory reserve of credit institutions | 10 years |
34 | Periodic and ad hoc reports on operations of interbank money market | 10 years |
35 | Reports on performance and evaluation of administration, operation and implementation of relevant regulations on monetary policies | 20 years |
36 | Reports on changes in deposit and lending interest rates of credit institutions | 10 years |
37 | Reports on reference interest rates on the international market | 5 years |
38 | Official correspondence on monetary policies | 10 years |
| 3.2. Dossiers and materials on money market operations |
|
39 | Records and papers on trading sessions in the open market operations | 5 years |
40 | Materials on bidding sessions of treasury bills, state bank’s bills (as from the maturity date) | 5 years |
41 | Materials on bidding sessions of government bonds, other valuable papers (as from the maturity date) | 5 years |
42 | Notifications of bidding on valuable papers | 5 years |
43 | Performance reports on the bidding on valuable papers | 5 years |
44 | Dossiers on overnight lending, lending to credit institutions in case of their insolvency (after debt repayments) | 5 years |
45 | Procedures and manuals for implementation of procedures for the open market operation, bidding on the state bank’s bills, government bonds, valuable papers, valuable paper discounts, overnight lending, refinance lending, discounts and rediscounts (after the end of validity period) | 5 years |
46 | Dossiers on issuance and revocation of Certificates of membership for credit institutions engaged in open market operations, bidding on bonds, bills and valuable papers; grant of passwords and digital signatures to members (after the end of validity period). | 5 years |
47 | Dossiers and materials on opening of accounts and execution of transactions with the State Treasury, credit institutions operating in Vietnam, foreign banks and international monetary financial institutions (after the closing of accounts) | 20 years |
48 | Materials on overdraft limits and overnight lending, net debt limits imposed on low-value payments in electronic interbank payments (after the end of validity period) | 5 years |
49 | Reports on money market operations | 10 years |
50 | Official correspondence on money market operations | 10 years |
| 3.3. Dossiers and materials on agency relationship operations |
|
51 | Dossiers and materials on establishment and termination of agency relationships (after termination of relationships) | 10 years |
52 | Investment deposit limits applied to specific partners; investment trust limits; depository limits; limits based on each type of transaction over periods (after the end of validity periods) | 5 years |
53 | Monthly, quarterly and ad hoc reports on credit rating of partners of the State Bank | 5 years |
54 | Subscription contracts for global financial and monetary newsletter services | 5 years |
55 | Reports on agency relationship operations | 5 years |
56 | Official correspondence on agency relationship operations | 10 years |
| 4. DOSSIERS AND MATERIALS ON MONETARY FORECASTS AND STATISTICS |
|
57 | Dossiers on formulation and introduction of rules, regulations and instructions on monetary forecasts and statistics | Infinite |
58 | Documents on providing guidance, facilitation and resolution of difficulties in implementation of statistical reporting rules | 20 years |
59 | Detailed and general cash balance sheets in the banking sector | Infinite |
60 | Materials on collection of monetary statistical data and international trade balance that Vietnam provides for IMF, competent organizations or individuals on a periodic basis | 20 years |
61 | Dossiers and materials on statistical investigations in the banking sector - General reports - Other reports and investigation form |
10 years |
62 | Analysis and forecast reports | Infinite |
63 | Data reports and evaluation of Vietnam’s performance of balance of international payments over periods and following-period forecasts | 20 years |
64 | Periodic and ad hoc reports, documents on provision of monetary information and statistical data |
|
- Issuing units - Receiving units | 15 years 5 years | |
65 | Reports on performance of monetary forecasts and statistics - Prepared by affiliates + Annual reports + Half-year, quarterly and monthly reports - Prepared by entities under jurisdiction + Annual reports + Half-year, quarterly and monthly reports |
Infinite 20 years
Infinite 10 years |
66 | Official correspondence on monetary forecasts and statistics | 10 years |
| 5. DOSSIERS AND MATERIALS ON CREDITS |
|
| 5.1. Dossiers and materials on credits |
|
67 | Dossiers on formulation and introduction of documents on regulations and policies on credits | Infinite |
68 | Dossiers and materials on resolution of difficulties that may arise from the refinancing implementation. | 20 years |
69 | Dossiers and materials on guidance, management and monitoring of conditions and execution of projects financed by investment and development credit funds and key credit programs of the State | Infinite |
70 | Dossiers and materials on special lending to temporarily insolvent credit institutions | Infinite |
71 | Dossiers and materials on public debt treatment (from the completion of treatment) | 20 years |
72 | Dossiers on investment project appraisal - Approved dossiers - Rejected dossiers |
Infinite 5 years |
73 | Dossiers on lending of the State Bank to credit institutions already collecting all debts | 20 years |
74 | Dossiers on lending, collection of debts owed by organizations or individuals already collecting all debts: - Long-term lending - Medium-term lending - Short-term lending |
10 years 5 years |
75 | Business operational analyses of credit institutions kept at the State Bank | 5 years |
76 | Notifications of valuable paper discount limits | 10 years |
77 | Dossiers and materials on guarantees for foreign loans applied for credit institutions (all debts repaid) | Infinite |
78 | Dossiers on management of loans and settlement of debts owed by monetary organizations, credit institutions, banks and overseas governments to Vietnam | Infinite |
79 | Dossiers on conclusion of international credit agreements (after termination of such agreements) | 10 years |
80 | Internal regulations and procedures of credit operations (after the end of validity period) | 15 years |
81 | Internal directions of credit operations (after the end of validity period) | 10 years |
82 | Dossiers on guarantees/ valuable paper discounts/ factoring/ other credit extension forms (all debts recovered) | 10 years |
83 | Dossiers on debt classification and treatment | 20 years |
84 | Dossiers on debt trading activities | 20 years |
85 | Dossiers on capital contributions, joint ventures, and purchase of shares of credit institutions | Infinite |
86 | Dossiers on implementation of operations of credit and refinancing transactions with banks in an on-lending form based on applications for credits, discounts, rediscounts of commercial papers and valuable papers (after all debts collected). | 10 years |
87 | Dossiers on credit-related examination and guidance provided to credit institutions and other organizations | Infinite |
88 | Dossiers on credit symposiums | Infinite |
89 | Final reports on credit operations on an annual, multiple-year basis | Infinite |
90 | Official correspondence on credits | 10 years |
| 5.2. Dossiers and materials on credit information operations |
|
91 | Plans, programs, proposals and projects for credit information operations | Infinite |
92 | Instructional documents on formulation of technical and professional procedures, code system related to credit information operations for organizations involved in credit information operations | 15 years |
93 | Dossiers and materials on credit information processing for organizations involved in credit information operations which provide, set up and manage national credit data. | Infinite |
94 | Dossiers and materials on supply of credit information services to other credit institutions, organizations or individuals | 5 years |
95 | Documents on directions for and collaboration on credit information operations | 10 years |
96 | Dossiers and materials on research, design and formulation of technical procedures for credit information operations (after the end of validity period) | 15 years |
97 | Documents issued by credit institutions, branches providing financial information according to customers' annual financial statements | 10 years |
98 | Documents of credit institutions providing information about overdue loans and information about unrealized pledges | 5 years |
99 | Dossiers and materials on imposition of penalties for organizations or individuals committing violations against regulations on credit information operations | 5 years |
100 | Performance reports on credit institutions’ provision of credit information to the State Bank | 5 years |
101 | Official correspondence on credit information | 10 years |
| 6. DOSSIERS AND MATERIALS ON RISK MANAGEMENT |
|
102 | Dossiers on formulation of guidelines, policies and plans in the risk management | Infinite |
103 | Documents on directions for, rules and regulations on the risk management | Infinite |
104 | Dossiers on accident, risk mitigation | 20 years |
105 | Periodic and ad hoc reports on risk management activities - Annual reports - Half-year, quarterly, monthly and ad hoc reports | Infinite Infinite 5 years |
106 | Official correspondence on risk management | 10 years |
| 7. DOSSIERS AND MATERIALS ON INVESTOR RELATIONSHIPS |
|
107 | Dossiers and materials on information release | 5 years |
108 | Dossiers and materials on annual general meetings, extraordinary general meetings | 10 years |
109 | Dossiers and materials events, conferences and workshops relating to credit institutions' stocks | 5 years |
| 8. DOSSIERS AND MATERIALS ON FOREIGN EXCHANGE |
|
110 | Dossiers on formulation of regulations and policies on foreign exchange | Infinite |
111 | Documents on foreign lending and borrowing limits of enterprises | 20 years |
112 | Dossiers on confirmation of lending registration and foreign debt repayment (after the end of validity period) | 10 years |
113 | Dossiers on confirmation of lending change registration and foreign debt repayment | 10 years |
114 | Regulations on types of exchange rates | 20 years |
115 | Remittance reports | 5 years |
116 | Appraisal dossiers on issuance of licenses for gold and precious gem trading and production - Accepted (after termination of business and manufacturing operations) - Rejected | 20 years
|
117 | Dossiers on domestic purchase and sale of jewels and gems (after completion of transactions) | 10 years |
118 | Dossiers on grant of licenses for gold production and trading activities (after termination of production and trading activities) | 10 years |
119 | Dossiers on import and export of jewels and gems | 20 years |
120 | Dossiers on issuance, revocation of licenses for import and export of gold, and certificates for foreign exchange and gold trading operations of organizations and individuals (after operational termination) | 20 years |
121 | Dossiers on jewels and gems joint venture | 20 years |
122 | Dossiers on interference gold dispatches | Infinite |
123 | Dossiers on bidding for gem extraction (after the end of bidding) | 10 years |
124 | Contracts for entrusted import of gold (after termination of contracts) | 10 years |
125 | Dossiers on confirmation of registration of accounts for capital contribution and VND payments for purchase of shares opened at commercial banks (after the closing of accounts) | 10 years |
126 | Dossiers on issuance and revocation of licenses for opening and use of foreign currency accounts held in overseas countries | 10 years |
127 | Dossiers on domestic purchase and sale of foreign currency (after completion of transactions) | 10 years |
128 | Permits for carrying foreign currency abroad | 5 years |
129 | Applications for grant of licenses for foreign currency collection (after the end of validity period) | 10 years |
130 | Dossiers on citizen’s remitting foreign currency abroad | 5 years |
131 | Applications for registration and confirmation of eligibility for provision of foreign exchange services on the domestic and international market (after termination of operations) | 20 years |
132 | Dossiers on grant of licenses for credit institutions’ export and import of foreign cash (after the end of validity period) | 10 years |
133 | Dossiers and materials on participation in inspection and monitoring of transfer and use of funds for foreign investment projects in Vietnam and direct and indirect outward investment projects of Vietnam (after completion of projects) | 10 years |
134 | Dossiers and materials relating to use of the State foreign exchange reserves in accordance with the Prime Minister’s decisions | Infinite |
135 | Entrusted investment contracts of foreign partners (after termination of contracts) | 5 years |
136 | Dossiers on grant of licenses for foreign currency receipt, payment and exchange services (after the end of validity period) | 10 years |
137 | Copies of forex-related correspondence with countries | 10 years |
138 | Periodic and ad hoc reports on professional operations (supply of data): - Prepared by affiliates + Issuing units + Receiving units - Prepared by entities under jurisdiction + Issuing units + Receiving units |
10 years 5 years
10 years 5 years |
139 | Reports on management and use of the State foreign exchange reserves | Infinite |
140 | Final reports on foreign exchange operations of banks on an annual basis | Infinite |
141 | Official correspondence on foreign exchange activities | 10 years |
| 9. DOSSIERS AND MATERIALS ON INTERNATIONAL COOPERATION |
|
142 | Programs, strategies and action plans for international economic integration in the monetary and banking sector | Infinite |
143 | Dossiers on researches into policies and operational regulations of international financial, monetary organizations, commercial banks, financial companies, economic organizations in the world, regions and countries in relation to planning of policies, development solutions and cooperation expansion. | Infinite |
144 | Dossiers on formulation of documents relating to loans used in the negotiation with international financial and monetary organizations in uniformity with approved programs | Infinite |
145 | Dossiers of international financial and monetary organizations | Infinite |
146 | Dossiers on establishment of cooperations between Vietnam's banks and foreign monetary organizations, credit institutions and banks | Infinite |
147 | Dossiers and materials on negotiation, conclusion of monetary and banking conventions, international agreements with international financial and monetary organizations | Infinite |
148 | Dossiers on management of economic programs and projects agreed upon between Vietnam's banks and foreign banks (after termination) | 20 years |
149 | Dossiers on inbound and outbound delegations - Conclusion of cooperation agreements - Seminars, conferences, fairs, learning visits, investigations or surveys, etc |
Infinite 20 years |
150 | Dossiers on accession to international associations and organizations | Infinite |
151 | Dossiers and materials on contribution of opinions to establishment of regulations on management and use of ODA funds for investment programs or projects financed by the Government, world-wide and regional financial and monetary organizations, banks and foreign non-governmental organizations | 15 years |
152 | Dossiers on cooperation with international financial and monetary organizations, foreign banks giving technical assistance and on mobilization of funds for investment projects in the banking sector (after termination) | 20 years |
153 | Performance reports on execution of technical assistance projects for investment projects in the banking sector. | Infinite |
154 | Dossiers on execution of programs and projects entitled to ODA funds intended for the banking sector | Infinite |
155 | Status reports on borrowing and payment transactions with international financial and monetary organizations assigned to the State Bank by the Government | 30 years |
156 | Dossiers on international conferences and seminars held by a banking organization | Infinite |
157 | Periodic status and performance reports on holding of international conferences and seminars | 20 years |
158 | Correspondence, telegrams and greeting cards of foreign agencies or organizations - Important type - Ordinary type |
20 years |
159 | Reports on international cooperation activities - Long-term cooperations and annual reports - Half-year, 9-month reports - Quarterly, monthly reports |
Infinite 20 years 5 years |
160 | Official correspondence on international cooperation activities | 10 years |
| 10. DOSSIERS AND MATERIALS ON ESTABLISHMENT, OPERATION AND LIQUIDATION OF CREDIT INSTITUTIONS |
|
161 | Strategies and plans for development and perfection of Vietnam’s credit institutions | Infinite |
161 | Documents on guidelines and instructions for implementation of strategies and plans for development and perfection of credit institutions | Infinite |
163 | Projects and plans for restructuring of credit institutions and other banking organizations | Infinite |
164 | Dossiers and materials on guidelines, instructions and examinations of execution of projects and plans for restructuring of credit institutions and other banking organizations | Infinite |
165 | Applications for grant of licenses for establishment and operation of credit institutions: |
|
- Approved - Rejected | Infinite 5 years | |
166 | Dossiers on issuance and revocation of licenses for establishment and operation of credit institutions and branches, representative offices of foreign credit institutions in Vietnam (after operational termination) | 20 years |
167 | Decisions on grant of licenses for operation of credit institutions: | Infinite |
168 | Dossiers on approval for opening of transaction centers, branches and domestic and foreign representative offices; establishment of administrative units affiliated to Vietnam’s credit institutions (after operational termination) | 20 years |
169 | Dossiers on approval for changes made to name; charter capital and allocated capital; location of main offices, representative offices; operational contents, scope and time; share assignment; share rates; members of the Management Board, Director General (Director) and member of the Control Board of credit institutions (after operational termination) | 20 years |
170 | Dossiers on implementation of annual plans for increases in the charter capital of credit institutions (after completion of capital increases) | 20 years |
171 | Dossiers on issuance and revocation of licenses for banking operations of other organizations (after operational termination) | 20 years |
172 | Decisions on approval for titles, such as the Chairperson and members of the Management Board, Head and members of the Control Board, the Director General or Director of credit institutions (after the end of their terms in office) | 10 years |
173 | Dossiers on grant of permission to Vietnam's credit institutions to contribute capital to establish credit joint ventures in overseas countries (after operational termination) | 20 years |
174 | Dossiers on approval of the charter of credit institutions | Infinite |
175 | Dossiers on approval for capital contribution, share purchase and joint venture with foreign investors, applied to financial companies (after termination) | 20 years |
176 | Dossiers on grant of permission to Vietnam's credit institutions to incorporate subsidiary companies with independent accounting system (after operational termination) | 20 years |
177 | Dossiers on splitting, amalgamation, merging, acquisition and dissolution of credit institutions | Infinite |
178 | Legal documents of credit institutions on foundation, business registration, tax code, stamp specimen, charter and other procedures in relation to credit institutions/ transaction centers, branches, representative offices, administrative units/ transaction offices/ savings funds/ ATMs, etc. | Infinite |
179 | Dossiers on operational model transformation/ re-establishment of credit institutions | Infinite |
180 | Dossiers on approval for opening, change of names, locations, and termination of transaction centers, branches, transaction offices/ savings funds, ATMs of credit institutions (after operational termination) | 10 years |
181 | Materials on operations of associations, non-governmental organizations founded by credit institutions (after operational termination) | 20 years |
182 | Periodic and extraordinary reports on organization and operation of credit institutions | Infinite |
- Long-term, annual + Issuing units + Receiving units - Monthly, quarterly, ad hoc + Issuing units + Receiving units |
Infinite 5 years
10 years 5 years | |
183 | Final reports on performance of credit institutions | Infinite |
184 | Official correspondence | 10 years |
| 11. DOSSIERS AND MATERIALS ON INSPECTION AND SUPERVISION |
|
185 | Bank inspection development strategies, schemes, plans and proposals | Infinite |
186 | Dossiers on formulation and introduction of rules, regulations, instructions on inspection, examination, adjudication of complaints, accusations, fight against corruption and penalties for violations | Infinite |
187 | Inspection dossiers, post-inspection treatment dossiers: - Serious, complicated and typical cases - Other cases |
Infinite 15 years |
188 | Examination dossiers, post-examination treatment dossiers: - Serious, complicated and typical cases - Other cases |
Infinite 15 years |
189 | Complaint-handling and after-complaint-handling dossiers: - Serious cases - Other cases |
Infinite 15 years |
190 | Accusation-handling and after-accusation-handling dossiers: - Serious cases - Other cases |
Infinite 15 years |
191 | Official responses to individuals and collectives filing complaints and making accusations | 10 years |
192 | Dossiers and materials on penalties for administrative violations committed in the monetary and banking sector | 10 years |
193 | Dossiers on handling of violation cases discovered during anti-corruption fights | 20 years |
194 | Types of report on entities subject to banking supervision compiled by banking supervision units | 10 years |
195 | Documents on notifications, warnings, recommendations and contacts with entities subject to banking supervision | 5 years |
196 | Dossiers and materials of entities subject to banking supervision on implementation of, compliance with and remedies for warnings, recommendations through banking supervision activities | 10 years |
197 | Data, reports on operational conditions, financial situations of entities subject to banking supervision | 10 years |
198 | Reports on anti-corruption activities: - Annual reports - Half-year, quarterly, monthly and ad hoc reports |
20 years 10 years |
199 | Plans for and reports on inspection activates and handling of complaints and accusations - Long-term, annual - Half-year, quarterly and extraordinary - Quarterly, monthly |
20 years 5 years |
200 | Official correspondence on inspection | 10 years |
| 12. DOSSIERS AND MATERIALS ON AUDIT |
|
201 | Audit development strategies, schemes, plans and proposals | Infinite |
202 | Annual and ad hoc audit programs, plans | 10 years |
203 | Regulations, procedures and instructions for operational control and audit practices (after the end of validity period) | 10 years |
204 | Records on post-audit recommendation handling of audited units | 10 years |
205 | Dossiers and materials on control and audit. - Serious cases - Other cases |
Infinite 10 years |
206 | Reports on control and audit activities - Long-term, annual reports - 9-month, half-year reports - Quarterly, monthly reports |
Infinite 20 years 5 years |
207 | Official correspondence on audit | 10 years |
| 13. DOSSIERS AND MATERIALS ON MONEY LAUNDERING PREVENTION AND COMBATING |
|
208 | Dossiers on formulation of strategies, guidelines, policies and plans for money laundering prevention and combating | Infinite |
209 | Documents on money laundering prevention and combating measures | Infinite |
210 | Dossiers on processing of money laundering prevention and combating information | 20 years |
211 | Documents of the State Bank on supply of information and materials relating to money laundering crimes | 20 years |
212 | Written warnings and recommendations about issues concerning money laundering crimes that arise from reported transactions | 20 years |
213 | Dossiers and materials on projects for application of information technology to money laundering prevention and combating (after completion of projects) | 20 years |
214 | Technical procedures for preservation of electronic information data about electronic international transmission and cash transaction reports (after the end of validity period) | 10 years |
215 | Dossiers and materials on researches on application of information technology to money laundering prevention and combating |
|
- Applied (as from the date of termination) - Not applied | 10 years 5 years | |
216 | Dossiers and materials on management and application of measures to maintain IT safety and security for money laundering prevention and combating | Infinite |
217 | Procedure and technical manuals for operation of central computer networks for money laundering prevention and combating | 20 years |
218 | Instruction manuals on reporting information about money laundering prevention and combating | 10 years |
219 | Dossiers and reports on suspected transactions | 20 years |
220 | Dossiers on establishment and operation of the interdisciplinary Steering Board for money laundering prevention | Infinite |
221 | Dossiers on establishment and operation of the Steering Board for money laundering prevention and combating in the banking sector | Infinite |
222 | Dossiers on transaction treatment under the resolution of the United Nation Security Council on “preventing the financing of terrorism and proliferation of weapons of mass destruction” | Infinite |
223 | Dossiers and materials on Vietnam’s roles as a member of the Asia Pacific Group on money laundering combating | Infinite |
224 | Reports on money laundering prevention and combating activities - Annual reports - Half-year, quarterly, monthly and ad hoc reports |
Infinite 10 years |
225 | Official correspondence on money laundering prevention and combating | 10 years |
| 14. DOSSIERS AND MATERIALS ON PAYMENT OPERATIONS |
|
| 14.1. Dossiers and materials on management of payment operations |
|
226 | Dossiers and materials on formulation of projects, proposals and plans for payment operation development; dossiers and materials on implementation of projects, proposals and plans in the payment sector. | Infinite |
227 | Dossiers on formulation and introduction of administrative documents; instructional documents on payment. | Infinite |
228 | Regulatory documents on creation, assignment, management and use of secret signals, bank codes, operation codes, digital signatures and other signals used in remittance (after the end of validity period) | 15 years |
229 | Documents on implementation and development of payment systems, management of issuance and use of payment instruments and non-cash payment services. | 10 years |
230 | Dossiers and materials on inspection and monitoring of compliance with rules, regulations and policies on payment operations of payment service providers | 10 years |
231 | Instructional and monitoring dossiers and materials on remittance transactions between the State Bank’s affiliates, clearing and settling transactions and payments between payment service providers | 20 years |
232 | Dossiers and materials on licensing and suspension of payment operations (after operational termination) | Infinite |
233 | Dossiers and materials concerning payment system supervision | 20 years |
234 | Records on elimination of expired digital signatures | 10 years |
235 | Dossiers and materials on management of card issuance activities | 10 years |
236 | Dossiers of customers applying for card issuance, including card issuance registration forms, card information change forms and confirmations of card handover, etc. (as from the date of card cancellation) | 5 years |
237 | Transaction proofs and statements: POS transaction receipts, proofs and receipts or bills of transactions without using cards (at the units accepting credit card payments in the tourism and entertainment sector), types of statement that must be printed out and marked at the end of day, month and period, etc. | 5 years |
238 | Dossiers on administration of card-accepting units (as from operational termination) | 5 years |
239 | Dossiers on handling of complaints of clients and card-accepting units in use of cards | 5 years |
240 | Exchange dossiers and dossiers on collaboration with international card organizations on handling of disputes and complaints with | 10 years |
241 | Books and proofs of payment operations | conforming to finance - accounting part (section 15.1) |
242 | Reports on payment operations - Annual reports - Half-year, quarterly, monthly and ad hoc reports | Infinite Infinite 10 years |
243 | Official correspondence on payment operations | 10 years |
| 14.2. Dossiers and materials on international payment operations |
|
244 | Dossiers on remittance of payments for completion of foreign currency buy and sell transactions, investment in deposits, trading of valuable papers on the international market and interbank foreign currency market (after termination of transactions) | 10 years |
245 | Dossiers and materials on inspection and control of international payment operations; cashing out and in operating funds; investment and trading transactions that take place on the international market and inter-bank foreign currency market | 10 years |
246 | Dossiers on operation of international payment system and design of key cryptosystems and security requirements (after the end of validity period) | 10 years |
247 | Dossiers and materials on monitoring of Vietnam’s share capital contribution to international finance – monetary organizations | Infinite |
248 | Dossiers on implementation of international payment and trade finance operations | 10 years |
249 | Dossiers on receipts and payments of units having account relationships at the transaction center of the State Bank, management of operating funds, foreign currency and valuable papers | 10 years |
250 | Dossiers on opening/ closing of demand accounts and securities depository accounts of the State Bank (or credit institutions at foreign banks) (after the end of validity period) | 5 years |
251 | Contracts for maintenance, repair, overhaul and upgradation of SWIFT payment system (after the end of validity period) | 5 years |
252 | Reports on fluctuations in overseas deposits of the State Bank - Annual, multiple-year reports - Monthly, quarterly and periodic reports |
20 years 5 years |
253 | Reports on international payment operations | 10 years |
254 | Official correspondence on international payment operations | 10 years |
| 15. DOSSIERS AND MATERIALS ON FINANCE - ACCOUNTING |
|
| 15.1. Dossiers and materials on finance - accounting |
|
255 | Dossiers on formulation and introduction of rules, regulations and instructional or directional documents on finance and accounting | Infinite |
256 | Dossiers and materials on approval and disbursement of government budget to the State Bank's affiliates | Infinite |
257 | Dossiers and materials on management of receipts and payments, including annual financial plans; notifications, instructions and examinations of implementation of plans; budget estimates and final accounts of fixed asset shopping amounts, annual receipts and payments, amounts set aside for different funds and payments to the State Budget | Infinite |
258 | Annual financial dossiers and statements, and balance sheets of accounting entries and annual revenue statements (current status charts of enterprises), annual balance sheets (annual summary charts of assets), and performance reports on incomes, expenses and annual accounting reports. | Infinite |
259 | Monthly accounting reports | 20 years |
260 | Statistical, tallying reports and other operational reports | 20 years |
261 | Financial statements - Annual statements - 9-month, half-year, quarterly and monthly statements |
Infinite 20 years |
262 | Dossiers on financial inspection and examination: - Serious cases - Others |
Infinite 10 years |
263 | Financial audit dossiers: - Serious cases - Other audits |
Infinite 10 years |
264 | Accounting records: - General accounting records - Detailed accounting records |
30 years |
+ Logbooks used for monitoring issuance, payment transactions with the state budget, temporary safe-keeping and temporary custody of assets and others | 30 years | |
+ Other books | 10 years | |
265 | Journals of invoices for dispatched and received goods | 10 years |
266 | Records on checking of invoices, secondary records on invoices of incoming and outgoing commodities paid on complete delivery (?) | 5 years |
267 | Logbooks on thumbprints | 5 years |
268 | Detailed books on on-balance-sheet and off-balance-sheet accounts | 20 years |
269 | Books on detailed accounting entries, on or off-balance-sheet collections | 10 years |
270 | Cash books | 10 years |
271 | Records on notifications of loss of savings books, promissory notes, bonds, certificates of deposit | 30 years |
272 | Logbooks on savings books, promissory notes, bonds, certificates of deposit | 20 years |
273 | Account balances and accounting-year final settlements attached with report forms | Infinite |
274 | Combined reports on daily revenue in foreign currency | 10 years |
275 | Combined reports on accounting entries: - Daily reports - Monthly reports |
30 years 5 years |
276 | Balance sheets of accounting entries: - Daily reports - Monthly reports |
5 years 30 years |
277 | Voucher journals (except for those mentioned in point 279, 280, 281, 282) | 30 years |
278 | Voucher journals on savings books, promissory notes, bonds, certificates of deposit, loans (after final settlement) | 30 years |
279 | Documents on forfeiture, compulsory purchase, temporary safe-keeping, custody of jewels and foreign cash. | Infinite |
280 | Documents on issued goods dispatch or receipt | Infinite |
281 | Documents on payment transactions with domestic and foreign citizens | Infinite |
282 | Documents regarding cases which have been investigated and judged | Infinite |
283 | Documents on spending on fixed asset shopping - Real property - Other assets |
Infinite 30 years |
284 | Letters of credit | 10 years |
285 | Other types of import and export payment documents | 10 years |
286 | Monthly statements on balances of collectibles and payables | 10 years |
287 | Books and records on checking, tallying and liquidation of small labor instruments, or easily broken and cheap articles | 5 years |
288 | Dossiers and materials on assignment, transfer and liquidation of fixed assets (as from completion of assignment, transfer and liquidation) |
|
- Real property - Other assets | Infinite 30 years | |
289 | Reports on tallying and revaluation of fixed assets | 30 years |
290 | Records, reports on payments to people’s debts, people’s debt obligations and overdue debts of economic organizations | Infinite |
291 | Documents on public debt repayments to domestic partners and public debt repayments to foreign partners | Infinite |
292 | Dossiers on financing and inspection of payments for construction investments | Infinite |
293 | Dossiers and final accounts of construction investments - Falling within Group A - Falling outside of Group A |
Infinite 30 years |
294 | Logbooks on construction capital | 10 years |
295 | Final accounts of major repair of houses and equipment | Depending on the useful life of structures and equipment |
296 | Final accounts of minor repair of houses and equipment | 15 years |
297 | Materials on banking-sector accounting workshops: presentations, minutes and resolutions, etc. | 20 years |
298 | Accounting dossiers and materials regarding foundation, division, split, amalgamation, merging or ownership transformation, dissolution, operational termination, bankruptcy of banks or banking organizations | Infinite |
299 | Annual final accounts of assets | Infinite |
300 | Annual final accounts of loss and profit | Infinite |
301 | Annual final accounts of expenditure | Infinite |
302 | Dossiers on payment transactions with partners coming from various countries (remittance and telegraphic transfer) | 10 years |
303 | Dossiers on monitoring of domestic economic organizations as borrowers | 10 years |
304 | Books on requests for debt repayments (debt repayments finished) | 10 years |
305 | Different types of budget estimates | 5 years |
306 | Other types of cheque booklets | 5 years |
307 | Customer’s stamp and signature specimen (after the end of useful life) | 30 years |
308 | Appendices and components | 5 years |
309 | Agreements on trade, non-trade, borrowing, financing transactions signed with other countries (after termination of conventions) | 20 years |
310 | Economic contracts (after termination of contracts) | 20 years |
311 | Dossiers on opening and checking of customer's accounts (after operational termination) | 5 years |
312 | Dossiers on collection, cheques and incoming or outgoing remittances | 10 years |
313 | Lists and orders of overseas remittances | 10 years |
314 | Letters of overseas remittances which have been handled | 10 years |
315 | Entrustments of export collections | 5 years |
316 | Reports on finance – accounting operations - Long-term, annual reports - 9-month, half-year reports - Quarterly, monthly reports |
Infinite 20 years 5 years |
317 | Official correspondence on finance and accounting operations | 10 years |
| 15.2. Electronic documents (after being printed out) |
|
318 | General reports on checking of accounting data on interbank remittances | 5 years |
319 | Payment orders and payment documents with the same characteristics | 10 years |
320 | Result reports on clearing and settling transactions with banks | 10 years |
321 | Telegraphic confirmations of electronic settling and clearing transactions within a day | 10 years |
322 | Telegraphic traces and trace responses | 10 years |
323 | Telegraphic requests for confirmations, confirmations of high-value transfer orders | 10 years |
324 | Notifications of acceptance or refusal of payment orders | 10 years |
325 | General reports on transactions of member organizations | 10 years |
326 | General reports on member transactions | 10 years |
327 | Balance sheets of remittances | 10 years |
328 | Reports on accounting results | 10 years |
329 | General reports on clearing results | 10 years |
330 | General reports on accounting results | 10 years |
331 | Interbank accounting reports within a day | 5 years |
332 | General and checking reports on receipt of remittances within a day | 10 years |
333 | Statements on remittances; incoming and outgoing remittances | 5 years |
334 | Statements on electronic outgoing clearing orders | 10 years |
335 | General reports on checking of electronic clearing and settling results | 10 years |
336 | General reports on electronic clearing and settling transactions | 10 years |
337 | Reports on outward and inward remittances for interbank payments | 5 years |
338 | Records on remittance checking | 5 years |
339 | Charts of results of interbank payments of member organizations | 10 years |
340 | Journals on interbank payment documents | 5 years |
341 | Other electronic payment documents; statements on payments for high-value commodity invoices | 5 years |
| 16. DOSSIERS AND MATERIALS ON ISSUE AND VAULT |
|
342 | Money printing schemes for creation of new money to supplement and replace money in circulation | Infinite |
343 | Annual and long-term money printing schemes | 20 years |
344 | Annual and long-term schemes for play money printing | 5 years |
345 | Financial plans for printing or creation, elimination of money, issuing administrative expenses and other expenses related to issuing and vault operations | 10 years |
346 | Dossiers and materials on techniques of design and appraisal of money and valuable paper samples that the State Bank plans to issue | Infinite |
347 | Decision on establishment, dissolution and merging of money vaults | Infinite |
348 | Dossiers on old money recall and new money issuance | Infinite |
349 | Decisions on issuance of currency and check types | Infinite |
350 | Decisions on termination of currency and check types | Infinite |
351 | Decisions on recall and replacement of currency types subject to termination | Infinite |
352 | Dossiers on money and check specimen | Infinite |
353 | Orders of dispatch or receipt of currency, jewels and gems | 30 years |
354 | Dossiers on money and check specimens | 20 years |
355 | Dossiers and materials on inspection of fake currency, suspected counterfeit currency and currency ineligible for circulation | 20 years |
356 | Dossiers and materials on supervision of elimination of currency ineligible for circulation and terminated currency | 20 years |
357 | Dossiers and materials on supervision of elimination of misprinted money or rag paper used for printing money at money printing factories | 20 years |
358 | Final accounts of jewels in the banking sector - Annual, multiple-year reports - Half-year and quarterly reports |
Infinite 5 years |
359 | Final accounts of jewels at the local banking sector - Annual, multiple-year reports - Half-year, quarterly and monthly reports |
10 years 5 years |
360 | Records and books on preservation of funds of cash, jewels and valuable papers | 30 years |
361 | Inventories of types of currency, jewels, foreign currency and cash tallying books | 20 years |
362 | Minutes on opening of standby vault key box; records on delivery and receipt of standby safe key. | 5 years |
363 | Dossiers on handling of cases in which money amounts or assets in the custody of banks are lacked or lost | 20 years |
364 | Papers on allocation and distribution of capital | 5 years |
365 | Accounting books and records | Conforming to finance - accounting part (section 15.1) |
366 | Statistical reports and telegraphic notifications of cash | 10 years |
367 | Logbooks on entry and exit of money vaults | 5 years |
368 | Schedules of face values of received and spent cash; schedules of dispatch and receipt of new series of currency | 5 years |
369 | Records on retention of counterfeit currency | 5 years |
370 | Final reports on issue and vault operations | Infinite |
371 | Official correspondence on issue and vault operations | 10 years |
| 17. DOSSIERS AND MATERIALS ON SCIENCE AND TECHNOLOGY |
|
372 | Dossiers on formulation of strategies, operational regulations, plans, programs, schemes and projects for science and technology researches | Infinite |
373 | Dossiers and materials on technical assessment of technology projects of credit institutions | 25 years |
374 | Dossiers on technical and preservation procedures for electronic documents | 25 years |
375 | Schemes for technical procedures for preservation and archive of electronic data of payment service providers | 25 years |
376 | Forecasts and strategies of banking science and technology | 10 years |
377 | Dossiers on development and application of science and technology to banking management, business and service operations | Infinite |
378 | Dossiers on technical breakthroughs and inventions, technological procedures or useful solutions which have been accredited |
|
- At national, Ministry and industry level - At the local level | Infinite 10 years | |
379 | Dossiers and materials on management and application of solutions to maintaining technology safety, security in the banking sector | 25 years |
380 | Technical instruction and operational manuals for computer networks (after programs are not used) | 5 years |
381 | Technical dossiers on design analysis and programming of banking software products (after software products are not used) | 10 years |
382 | Design dossiers on installation of computer networks (when network systems are no longer used) | 10 years |
383 | Technical materials of computer equipment (when equipment items are no longer used) | 5 years |
384 | Dossiers on allocation, management, application and authentication of digital signatures used for control of banking data (after the expiration of signatures) | 10 years |
385 | Contracts for shopping and installation of computer equipment (after termination of contracts) | 20 years |
386 | Procedures for archive of software of various versions and archive of databases (after these are no longer used) | 10 years |
387 | Dossiers on software copyrights (after software products are no longer used) | 5 years |
388 | Dossiers on formulation of banking standards | Infinite |
389 | Dossiers on formulation and management of databases in the banking sector and organizations | Infinite |
390 | Specialized scientific papers conducted by organizations to participate in scientific workshops | 20 years |
391 | Dossiers on scientific research programs and projects - At national, Ministry and industry level - At the local level |
Infinite 10 years |
392 | Dossiers on international scientific seminars or workshops held by organizations | Infinite |
393 | Dossiers and materials on operations of the Science Council of the banking sector and organizations | Infinite |
394 | Dossiers and materials on checking and monitoring of compliance with rules, regulations, policies on information technology for organizations and credit institutions | 10 years |
395 | Plans and reports of science and technology activities - Long-term, annual basis - 9-month, half-year basis - Quarterly, monthly basis |
Infinite 20 years 5 years |
396 | Official correspondence on science and technology activities | 10 years |
| 18. DOSSIERS AND MATERIALS ON ORGANIZATION, PERSONNEL AND TRAINING |
|
| 18.1. Dossiers and materials on organization and personnel |
|
397 | Dossiers on formulation, perfection of organizational models and structures of the State Bank and credit institutions | Infinite |
398 | Dossiers and materials on establishment, change of names, functions, duties and powers; amalgamation, merging, splitting, division, dissolution of organizations | Infinite |
399 | Dossiers on formulation and introduction of the organizational charter, labor rules and regulations, organizational and staffing guidance of organizations | Infinite |
400 | Dossiers on short-term and long-term proposals for appointment of managers and leaders at all levels | 20 years |
401 | Dossiers and materials on personnel distribution and arrangement through recruitment and dispatch of personnel to affiliates of the State Bank and credit institutions | 20 years |
402 | Dossiers on appointment, recommendation, dispatch, discharge and transfer of personnel | 70 years |
403 | Original documents of officials and public employees | Infinite |
404 | Employment contracts: - Long-term type (after termination of contracts) - Short-term type (after termination of contracts) |
10 years 5 years |
405 | Dossiers on personnel disciplines | 70 years |
406 | Dossiers and materials on standards and titles of officials and public employees | Infinite |
407 | Annual statistical reports on list, quantity and quality of officials and public employees | Infinite |
408 | Dossiers on employment coverage (pensions, death benefits, coverage against employment accidents, occupational diseases, social and health insurance, etc.) | 70 years |
409 | Dossiers and materials on protection of internal workplace politics of organizations | 20 years |
410 | Dossiers and materials on personnel selection tests, rank promotion and transfer tests on an annual basis - Reports on results and list of selected candidates - Test applications, test papers and test organization materials |
20 years 5 years |
411 | Dossiers and materials on setting and fulfillment of staffing requirements; reports on compliance with annual staffing requirements | Infinite |
412 | Dossiers on operations of the Committee for the advancement of women | 10 years |
413 | Books and papers on management of staff files | 70 years |
414 | Organizational and personnel plans and reports - Long-term, annual basis - 9-month, half-year basis - Quarterly, monthly basis |
Infinite 20 years 5 years |
415 | Official correspondence on organization and personnel | 10 years |
| 18.2. Dossiers and materials on employment and salary |
|
416 | Plans for employment and salary - Long-term, annual basis - 9-month, half-year basis - Quarterly, monthly basis |
Infinite 20 years 5 years |
417 | Dossiers and materials on formulation and implementation of employment norms, rules, regulations and labor management in the banking sector, and implementary reports | Infinite |
418 | Dossiers and materials on formulation of regulations on allowances in the banking sector and implementary reports | Infinite |
419 | Dossiers and materials on formulation of regulations on employment benefits, salary and bonus levels; salary scale in the banking sector and implementary reports | Infinite |
420 | Annual final accounts of salary, bonus or welfare benefits | 10 years |
421 | Dossiers on pay rate promotion, and books or records on salary | 20 years |
422 | Monthly payrolls | 5 years |
423 | Dossiers and materials on formulation and implementation of employment benefits, including occupational protection and safety and hygiene in the banking sector | Infinite |
424 | Annual general reports on labor accidents in the banking sector and organizations | Infinite |
425 | Dossiers on labor accident cases: - Serious cases - Non-serious cases |
Infinite 20 years |
426 | Reports on employment and salary: - Long-term, annual basis - 9-month, half-year basis - Quarterly, monthly basis |
Infinite 20 years 5 years |
427 | Official correspondence on employment and salary | 10 years |
| 18.3. Dossiers and materials on training |
|
| 18.3.1. Dossiers and materials on training administration |
|
428 | Dossiers and materials on monitoring and management of training activities at training establishments affiliated to the State Bank: |
|
- Directional documents, programs, plans and annual reports - Monthly and quarterly proposals and reports, and official correspondence, and reference materials | Infinite 10 years | |
429 | Dossiers and materials on training-related workshops and seminars | 10 years |
430 | Dossiers on monitoring and management of training activities | Infinite |
431 | Training cooperation projects and plans (after termination of these projects and plans) | 10 years |
432 | Evaluation reports on operations of training cooperation projects | 10 years |
433 | Dossiers and materials on monitoring and management of limited amounts of annual training budget | 20 years |
434 | Dossiers and materials on holding of training and refresher courses for banking officials and employees | 10 years |
435 | Yearly and multiple-year plans and reports on training and career development activities | Infinite |
| 18.3.2. Dossiers and materials on training |
|
436 | Plans and reports on implementation of plans for student training and enrolments at schools of the State Bank |
|
- Annual, multiple-year basis - Half-year and quarterly basis | Infinite 5 years | |
437 | Annual intake requirements assigned by the Ministry of Education and Training to schools affiliated to the State Bank | Infinite |
438 | Teaching materials designed for these schools | Infinite |
439 | Dossiers and materials on research projects conducted by these schools' personnel: |
|
- At institute, industry and national level - At department and school level | Infinite 20 years | |
440 | Graduation thesis | 20 years |
441 | Dossiers on annual student enrolment | Infinite |
442 | Test papers of examinees and records on handover of test papers on annual basis stored by the Board of examiners at these schools | 10 years |
443 | Dossiers and materials on annual test organization, examination and supplementary examination activities | 5 years |
444 | Examinees’ documents: - Students’ documents - Documents of students who have filed their applications but have not attended tests or failed tests |
10 years 5 years |
445 | Annual lists of students of classes, training courses held at schools and test scores | Infinite |
446 | Dossiers on annual graduation recognition for students joining classes and courses | Infinite |
447 | Official correspondence on training activities | 10 years |
| 19. DOSSIERS AND MATERIALS ON EMULATION AND REWARD |
|
448 | Dossiers on formulation and introduction of rules, regulations and instructions for emulation and reward | Infinite |
449 | Dossiers and materials on organization and implementation of emulative movements in the banking sector on national and banking-sector great celebrations | Infinite |
450 | Dossiers and materials on workplace rewards assessment meetings held by the Council for Emulation – Reward at all levels in the banking sector and the Civil Affairs Committee of the Communist Party at the State Bank | Infinite |
451 | Dossiers on rewards granted to collectives and individuals: |
|
- Forms of reward and emulative titles conferred by the President and the Prime Minister | Infinite | |
- Forms of reward and emulative titles conferred by the Minister, the Head of Ministry-level agencies, governmental agencies and the Chairman of the People’s Committee and equivalents | 20 years | |
- Other reward forms | 10 years | |
452 | Dossiers on rewards granted to foreigners | Infinite |
453 | Dossiers and materials on inspections and surveys for the purpose of verification of performance relating to emulation and reward activities at organizations | 5 years |
454 | Dossiers and materials on review reports on emulation and reward activities | 10 years |
455 | Dossiers and materials on final review reports on emulation and reward activities | Infinite |
456 | Dossiers and materials on handling of recommendations and accusation letters in relation to emulation and reward activities | 10 years |
457 | Materials on foundation and management emulation and reward funds | 10 years |
458 | Dossiers and materials on holding of emulation and reward workshops in the banking sector | Infinite |
459 | Plans and reports on emulation and reward activities - Long-term, annual basis - 9-month, half-year basis - Quarterly, monthly reports |
Infinite 20 years 5 years |
460 | Official correspondence on emulation and reward activities | 10 years |
| 20. DOSSIERS AND MATERIALS ON LEGAL AFFAIRS |
|
461 | Instructional documents on legal affairs: - Dossiers on introduction of regulations on instructions for legal affairs - Documents and materials on professional instructions for legal affairs provided to affiliates of the State Bank and credit institutions |
Infinite
|
462 | Dossiers on assessment of legislative documents under jurisdiction of the Governor of the State Bank | Infinite |
463 | Dossiers and materials on formulation and introduction of legislative documents | Infinite |
464 | Dossiers on execution of programs on formulation of law projects conducted by the State Bank | Infinite |
465 | Materials on conduct of law-making programs after being approved by competent authorities | 15 years |
466 | Dossiers on contribution of opinions on formulation of legislative documents conducted by other organizations | 5 years |
467 | Dossiers and materials on legal consultancy provided to the Governor in negotiation, signing and implementation of international agreements, contracts and covenants with domestic and foreign partners or litigation against justice agencies | Infinite |
468 | Dossiers and materials on legal verification of cases regarding responsibilities and powers of banks | 30 years |
469 | Dossiers and materials on performance of legal consultancy function for credit institutions’ operations: |
|
- Important and typical cases - Unimportant type | Infinite 10 years | |
470 | Dossiers and materials on review, statistics, systemization and handling of results of review of legislative documents on banking activities | 10 years |
471 | Dossiers and materials on monitoring of law enforcement and inspection of law implementation | 10 years |
472 | Dossiers and materials on indemnity activities of the State in the banking sector | Infinite |
473 | Dossiers on holding of seminars on legal affairs and activities of popularizing legislative documents | 10 years |
474 | Dossiers and documents on examination and handling of legislative documents | 10 years |
475 | Dossiers and materials on corporate legal assistance activities | 10 years |
476 | Legal affair plans and reports - Annual, multiple-year basis - Half-year, quarterly and monthly basis |
Infinite 10 years |
477 | Official correspondence on legal affairs | 10 years |
| 21. DOSSIERS AND MATERIALS ON CONSTRUCTION INVESTMENT |
|
478 | Dossiers on formulation of documents on rules/regulations, instructions on construction investments made by the banking sector and organizations | Infinite |
479 | Construction investment plans and reports - Long-term, annual basis - 9-month, half-year basis - Quarterly, monthly basis |
Infinite 20 years 5 years |
480 | Dossiers on infrastructure construction works - Group A structures, and those to which new architectural, structural, technological, equipment and new material solutions are applied; those built at sites faced with special geographical and topographical conditions; those which have been ranked as cultural and historic heritage relics |
Infinite |
- Group B and C and major repair works | Depending on the lifespan of structures | |
481 | Dossiers on minor repair of works | 15 years |
482 | Dossiers and materials on inspection of implementation of construction investment plans in the banking sector | 10 years |
483 | Construction books, records and documents | Conforming to finance - accounting part (section 15.1) |
484 | Official correspondence on construction investment activities | 10 years |
| 22. DOSSIERS AND MATERIALS ON PROPAGANDA AND PRESS AFFAIRS |
|
485 | Directional documents, programs and plans for propaganda and press affairs |
|
- Annual basis - Quarterly, monthly basis | Infinite 10 years | |
486 | Dossiers and materials on implementation of programs, plans for propaganda and press affairs | 25 years |
487 | Dossiers and materials on holding of press conferences, exchange meetings with the press on a periodic or extraordinary basis, fairs, exhibitions in the banking sector | 5 years |
488 | Proceedings, speeches delivered on big celebrations, important events in the banking sector | Infinite |
489 | Articles on serious and typical cases regarding the banking sector | 20 years |
490 | Articles of correspondents and collaborators posted on banking newspapers and magazines | 5 years |
491 | Guidelines and plans for development of the Banking Museum of Vietnam | Infinite |
492 | Dossiers and materials on conservation and exhibition activities of the State Bank | Infinite |
493 | Lists of conserved and exhibited objects, such objects and tradition rooms in the banking sector | Infinite |
494 | Reports on propaganda and press activities - Year-end meetings. - Quarterly, monthly basis |
Infinite 10 years |
495 | Official correspondence on propaganda and press affairs | 10 years |
| 23. DOSSIERS AND MATERIALS ON ADMINISTRATIVE AFFAIRS |
|
496 | Plans for shopping, major repair and liquidation of assets | 10 years |
497 | Records on distribution of necessities and office supplies | 5 years |
498 | Dossiers and materials on use, operation and repair of motor vehicles, machinery and equipment | Depending on the useful life of equipment |
499 | Dossiers and materials on workplace location and adjustment for banking organizations | 10 years |
500 | Estimates of operating budget | 10 years |
501 | Periodic and extraordinary reports on expenditures and budget limits | 20 years |
502 | Tables of salaries, wages, allowances and other staff payments | 10 years |
503 | Dossiers on healthcare activities of banking organizations | 10 years |
504 | Dossiers on management and monitoring of distribution of houses to staff members | Infinite |
505 | Records on disaster prevention and control | 10 years |
506 | Dossiers and materials on fire and explosive protection activities | 10 years |
507 | Dossiers and materials on national defence, military activities | 10 years |
508 | Dossiers and materials on protection and guarantee of security and order | 10 years |
509 | Dossiers on codes of corporate conduct | 10 years |
510 | Official correspondence on administrative affairs | 10 years |
| 24. DOSSIERS AND MATERIALS ON ADMINISTRATIVE, RECORDS AND ARCHIVES AFFAIRS |
|
511 | Dossiers on formulation and introduction of rules, regulations and instructions for administrative, records and archives affairs | Infinite |
512 | Registers of incoming and outgoing documents | 20 years |
513 | Records on outgoing documents and registers of outgoing documents: - Legislative documents - Directives, decisions, rules, regulations and instructions - Others |
Infinite 50 years |
514 | Dossiers on regulations on carving of seals of the State and the banking sector | Infinite |
515 | Seal and signature specimens in the banking sector (after the end of validity period) | 20 years |
516 | Seal and signature specimens received from outside of the banking sector (after the end of validity period) | 5 years |
517 | Counterfoils of recommendation letters, leave forms, business trip forms and document delivery slips | 5 years |
518 | Records on receipt of dossiers and materials for archival purposes | Infinite |
519 | Index books of dossiers and materials of organizations which have been corrected | Infinite |
520 | Logbooks serving the purpose of exploiting materials | 20 years |
521 | Statistical reports on archives, records and archived documents | 20 years |
522 | Dossiers on implementation of archival operations (collection, preservation, correction and use, etc) | 20 years |
523 | Dossiers on elimination of materials of which preservation validity period ends (as from the date of material elimination) | 20 years |
524 | Dossiers on seminars on office, records and archives activities | 10 years |
525 | Instructional and inspection documents on office, records and archives activities in the banking sector | 20 years |
526 | Plans for and reports on office, records and archives activities - Annual, multiple-year basis - Quarterly, monthly basis |
Infinite 10 years |
527 | Official correspondence on administrative, records and archives affairs | 10 years |
| 25. DOSSIERS AND MATERIALS ON OPERATIONS OF COMMUNIST PARTY ORGANIZATIONS, TRADE UNIONS AND COMMUNIST YOUTH UNIONS |
|
| 25.1. Dossiers and materials on operations of Communist Party organizations |
|
528 | A collection of instructional and directional documents CCed by superior-level Communist Party organizations to banking organizations | Till the end of document validity |
529 | Dossiers on General Meetings held in terms | Infinite |
530 | Programs and plans for Communist Party organization affairs - Year or term-based final reports - Half-year, quarterly and monthly basis |
Infinite 10 years |
531 | Directional dossiers and materials on implementation of documents on superior-level Communist Party organizations |
|
- Important ones regarding the banking sector - Those used for information only | Infinite 5 years | |
532 | Dossiers on implementation of major mobilization, directives and resolutions of the central committee and executive committee of Communist Party at all levels | Infinite |
533 | Dossiers and materials on evaluation and ranking of Communist Party’s grassroots organization and Communist Party members | 70 years |
534 | Dossiers on foundation/ merging and recognition of Communist Party organization | Infinite |
535 | Dossiers on receipt and handover of Communist Party tasks | 10 years |
536 | Dossiers on inspection and supervision activities | 20 years |
537 | Dossiers and materials on Communist Party organization and staffing activities | 70 years |
538 | Minutes of periodic and extraordinary meetings of Communist Party organizations | 20 years |
539 | Communist Party members | 70 years |
540 | Dossiers and materials on awarding of Communist Party medals | Infinite |
541 | Records on registration of Communist Party members and fees | 20 years |
542 | Reports on Communist Party activities - Year or term-based basis - Monthly, quarterly and half-year basis |
Infinite 10 years |
543 | Official correspondence on Communist Party affairs | 10 years |
| 25.2. Dossiers and materials on operations of Trade Unions |
|
544 | A collection of instructional and directional documents CCed by superior-level Trade Unions to banking organizations | Till the end of document validity |
545 | Dossiers on implementation of trade union operations of grassroots Trade Unions | 10 years |
546 | Dossiers on implementation of major mobilization, resolutions of superior-level and corporate Trade Unions | Infinite |
547 | Dossiers on annual meetings with officials and public employees | 20 years |
548 | Materials on operations of people’s inspection organizations - Annual reports - Other materials |
Infinite 5 years |
549 | Dossiers on the admission to Trade Unions | 25 years |
550 | Dossiers on General Meetings of Trade Union | Infinite |
551 | Materials on organization, personnel and operations of Trade Unions | Infinite |
552 | Minutes of periodic and extraordinary meetings of Trade Unions | 20 years |
553 | Dossiers and materials on Trade Union’s operating budget | 20 years |
554 | Programs, plans and reports of Trade Union affairs - Year or term-based basis - Half-year, quarterly and monthly basis |
Infinite 10 years |
555 | Official correspondence on Trade Union affairs | 10 years |
| 25.3. Dossiers and materials on operations of Communist Youth Union |
|
556 | A collection of instructional and directional documents CCed by superior-level Communist Youth Unions to banking organizations | Till the end of document validity |
557 | Documents on implementation of Communist Youth Union activities | 5 years |
558 | Dossiers on implementation of major mobilization, resolutions of the Communist Party, the State and the Communist Youth Union | Infinite |
559 | Dossiers on General Meetings of Communist Youth Union | Infinite |
560 | Dossiers and materials on organization, personnel and operations of the Communist Youth Union | 20 years |
561 | Minutes of periodic and extraordinary meetings of the Communist Youth Union | 20 years |
562 | Dossiers and materials on budget for operations of the Communist Youth Union | 20 years |
563 | Programs, plans and reports of Communist Youth Union affairs - Year or term-based basis - Half-year, quarterly and monthly basis |
Infinite 10 years |
564 | Official correspondence on Communist Youth Union affairs | 10 years |
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