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

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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.

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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.

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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

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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

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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

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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

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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.

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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
THE STATE BANK OF VIETNAM




Nguyen Van Giau

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)

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NAME OF DOCUMENTS

PRESERVATION PERIOD

1. GENERAL FILES, DOCUMENTS

1

Directive, guiding document of the Party, State:

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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:

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- 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

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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

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...

10 years

7

Official dispatches of the SBV and credit institutions directing, guiding, inspecting the operational performance

- Issuers

Permanent

- Implementers

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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

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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

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20 years

11

Working schedule of the SBV’s, CIs’ Leadership

- Every year, several years

10 years

- 6 months, every quarter

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- Monthly, weekly

2 years

12

Reports, documents serving handing over meetings of SBV’s, CIs’ Leadership

- Important documents

20 years

...

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- Normal documents

5 years

13

Report of the SBV, CIs on the banking performance:

- Annual, several year summary report

Permanent

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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.

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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

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+ Important documents

Permanent

+ Normal documents

5 years

- Not relating to the function, duty, but compliance required

Archived at the unit until expiration

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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

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21

Report on the performance of the strategy, planning, plan on the development of the Banking industry:

- Summary report

Permanent

- Preliminary report

5 years

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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

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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

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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

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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

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- Annual report

Permanent

- Monthly, quarterly report

10 years

35

Weekly, monthly report on the financial, economic, monetary situation of the world and Vietnam.

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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

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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

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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

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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

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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

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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

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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

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Files on the appraisement of investment projects

- Approved

Permanent

- Disapproved

5 years

58

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10 years

59

Files on significant loans sent by credit institutions of which debts have been fully recovered:

- Long term

10 years

- Short term.

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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

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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

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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)

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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

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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

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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.

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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

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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

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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

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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

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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

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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

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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

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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

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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)

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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

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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

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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)

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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

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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

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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.

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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

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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

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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.

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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

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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

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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

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- 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

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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

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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).

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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

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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

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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.

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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

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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

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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

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168

Files on the inspection, files on the after inspection settlement:

- Complicated, typical cases

Permanent

- Ordinary cases

10 years

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Files on the examination, files on after examination settlement:

- Complicated, typical cases

Permanent

- Ordinary cases

10 years

170

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- 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:

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- 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

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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

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- Annual report, several year report.

Permanent

- Monthly, quarterly, semi-annual report.

5 years

10.2. Files, documents on internal audit

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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

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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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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).

...

...

...

221

Financial statements.

- Annual

20 years

- Semi-annual, quarterly.

10 years

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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).

...

...

...

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

...

...

...

Monthly report on accounting.

20 years

251

Summary report on the annual financial, accounting activity.

20 years

13.2. Accounting of Credit Institutions

252

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

5 years

291

Statements of accounts.

5 years

292

Registers of money storehouse entrance and exit.

5 years

293

Daily outward inter-bank report.

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

Documents on annual accounting conferences.

10 years

308

Annual summary reports.

Permanent

13.3. Electronic documents (after having been printed out)

309

...

...

...

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

...

...

...

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

...

...

...

Aggregation of members’ transactions.

10 years

317

Money remittance balance sheet.

10 years

318

Accounting results statement.

10 years

319

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

Permanent

- Semi-annual, quarterly settlement.

5 years

348

Final settlement of local gold, silver situation

- Annual, several years settlement

...

...

...

- 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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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).

...

...

...

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

...

...

...

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).

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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)

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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.

...

...

...

- 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.

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

- 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:

...

...

...

- 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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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

...

...

...

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)

...

...

...

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

...

...

...

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.

...

...

...

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

...

...

...

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

...

...

...

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