Tiếng Việt- 1 Law No. 01/2011/QH13 of November 11, 2011 on Archives
- 2 Decree No. 01/2013/ND-CP of January 03, 2013, providing in details a number of articles of the Law on archives
- 3 Decree No. 30/2020/ND-CP dated March 5, 2020 on records management
- 4 Law No. 47/2010/QH12 of June 16, 2010, on credit institutions
| THE STATE BANK OF VIETNAM | THE SOCIALIST REPUBLIC OF VIETNAM |
| No. 22/2021/TT-NHNN | Hanoi, December 29, 2021 |
CIRCULAR
PRESCRIBING PERIOD OF RETENTION OF BANKING DOCUMENTS OF THE STATE BANK OF VIETNAM
Pursuant to the Law on Archives dated November 11, 2011;
Pursuant to the Government’s Decree No. 01/2013/ND-CP dated January 03, 2013 on elaboration of some Articles of the Law on Archives;
Pursuant to the Government’s Decree No. 16/2017/ND-CP dated February 17, 2017 defining the functions, tasks, powers and organizational structure of the State Bank of Vietnam;
Pursuant to the Government’s Decree No. 30/2020/ND-CP dated March 05, 2020 on records management;
At the request of the Chief of Office of the State Bank of Vietnam;
The Governor of the State Bank of Vietnam hereby promulgates a Circular prescribing period of retention of banking documents of the State Bank of Vietnam.
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This Circular provides for period of retention of banking documents of the State Bank of Vietnam.
Article 2. Regulated entities
This Circular applies to units, officials and public employees of the State Bank of Vietnam (hereinafter referred to as “SBV”); organizations and individuals performing their tasks relating to retention of SBV's documents.
Article 3. Definitions
For the purposes of this Circular, the terms below shall be construed as follows:
1. “document retention period” means the length of time that documents need to be retained beginning from the year in which the tasks involved in such documents are completed.
2. “permanently retained documents” mean documents whose meaning and value are time-independent.
3. “documents retained for specified time period” mean the documents other than those specified in clause 2 of this Article and are retained for a period of less than 70 years.
4. “determination of document recordability” means the determination of document recordability according to the principles, methods and standards prescribed by the Law on Archives with a view to determination of the recordable documents, their retention period and documents with the expired recordability.
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6. “banking documents of SBV” mean all physical and electronic files and papers which are created in accordance with regulations on electronic documents and metadata.
7. “record retention schedule” means a schedule listing categories of records with their retention period.
Article 4. Record retention schedule
1. A schedule of retention for SBV’s banking documents (hereinafter referred to as “the record retention schedule”) is promulgated together with this Circular.
2. The documents in the record retention schedule are categorized by operating fields and matters corresponding to retention period, including:
Category 1: General documents
Category 2: Documents on organization, personnel and training
Category 3: Documents on monetary policy
Category 4: Documents on foreign exchange management
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Category 6: Documents on credit management
Category 7: Documents on forecast and statistics
Category 8: Documents on monetary and financial stability
Category 9: Documents on money market operations, foreign exchange reserves, compulsory reserves, agency relationship with foreign partners
Category 10: Documents on issuance and treasury operations
Category 11: Documents on inspection, supervision, settlement of complaints and denunciations, and anti-corruption
Category 12: Documents on anti-money laundering and counter-terrorism financing activities
Category 13: Documents on finance and accounting
Category 14: Documents on construction investment.
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Category 16: Documents on legal compliance activities
Category 17: Documents on international cooperation
Category 18: Documents on emulation and rewarding
Category 19: Documents on communication and press
Category 20: Documents on administrative work, records and archives management
Category 21: Documents on workplace administration
Category 22: Documents on credit information-related activities
Category 23: Documents on management of enterprises in which state capital ownership is represented by SBV
Category 24: Documents on scientific research
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Category 26: Documents on education
Category 27: Documents of the Designated Representation of the Communist Party of Vietnam (CPV), CPV’s organizations, Trade Union, Youth Union
Article 5. Determination of document retention period
1. The retention period determined for each document must not be shorter than that specified in this Circular and relevant law provisions.
2. If new documents are yet to be mentioned in the record retention schedule, relevant units shall rely on the period of retention of categories groups of corresponding documents in the in the record retention schedule specified in this Circular to determine the retention period.
3. Upon selecting a document to be transferred to the Historical Archives, the adequacy of the collection of documents must be considered, and at the same time, the historical periods and times must be taken into account so as to extend the retention period of such documents higher than the prescribed ones.
Article 6. Use of record retention schedule
1. The record retention period is used to determine the period of retention of SBV’s banking documents.
2. SBV’s banking documents shall be retained according to permanent and specified time period as follows:
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b) The documents preserved for specified time period shall be retained in the Institutional Archives and then, until the expiry of their retention period, consolidated and submitted to the document recordability determination council of agencies and units to review and re-evaluate them in order to decide whether to keep retaining them (extending their retention period) or discard and destroy them. The destruction of the documents with expired recordability shall comply with the State and SBV’s regulations on archives.
3. The documents that are being retained and archived in the Institutional Archives but are not mentioned in the record retention schedule specified in this Circular shall continue to be retained for the retention period determined before the promulgation of this Circular until the in-house document recordability determination council reviews and re-evaluates them.
Article 7. Effect
1. This Circular comes into force from February 15, 2022.
2. The Circular No. 43/2011/TT-NHNN dated December 20, 2011 of the Governor of the State Bank of Vietnam shall cease to have effect from the effective date of this Circular.
Article 8. Implementation
The Chief of Office, heads of units affiliated to SBV and organizations and individuals concerned shall organize the implementation of this Circular./.
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PP. THE GOVERNOR
THE DEPUTY GOVERNOR
Dao Minh Tu
DOCUMENT RETENTION SCHEDULE
(Enclosed with the Circular No. 22/2021/TT-NHNN dated December 29, 2021 of the Governor of the State Bank of Vietnam)
No.
Record type
Retention period
1. General documents
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1.
Set of documents all sent to SBV:
- Policies and guidelines of the Communist Party and laws of the State (regulatory records).
Until their expiry dates
- Notifications (in case of renaming of the authority, change of head office, change of seal, notification of signature, etc.).
5 years
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Documents relating to formulation of banking industry development strategies, projects, plan and planning.
Permanent
3.
Records relating to formulation and promulgation of regulations/regimes/guidance on general matters of SBV and banking industry.
Permanent
4.
Records relating to organization of implementation of regulations/regimes/guidance on general matters of SBV and banking industry.
Permanent
5.
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Permanent
6.
Logs of minutes of meeting of briefings and meetings of SBV’s Management Board, handbooks of SBV’s Management Board.
Permanent
7.
Records relating to celebration of major holidays and important events host by SBV.
Permanent
8.
Records containing information and responses to comments of National Assembly’s delegates and propositions of voters.
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9.
Records relating to review and preliminary review conferences of SBV and banking industry:
- Annual and multi-annual review.
Permanent
- Preliminary review, 6-month review.
5 years
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Notifications of comments and meeting conclusions given by leaders, including:
- SBV’s leaders.
Permanent
- Units’ leaders.
15 years
11.
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10 years
12.
Annual work plans and reports of:
- Superior agencies.
10 years
- SBV.
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- Units.
10 years
13.
Quarterly, 6-month and 9-month work plans and reports of:
- Superior agencies.
5 years
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- SBV.
20 years
- Units.
5 years
14.
Monthly and weekly plans and reports of:
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...
5 years
- SBV.
10 years
- Units.
5 years
15.
Ad hoc work plans and reports.
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16.
Correspondence concerning general matters.
10 years
2. Documents on organization, personnel and training
2.1: Documents on organization and personnel
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Set of documents on organization and personnel all sent to SBV (regulatory records).
Until their expiry dates
18.
Records relating to formulation of projects, completion of model, organizational structure and personnel of the banking industry and SBV.
Permanent
19.
Records relating to establishment, renaming and change of functions, tasks and powers; consolidation, merger, full division, partial division and dissolution of agencies and units.
Permanent
20.
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Permanent
21.
Records relating to establishment and fulfillment of annual personnel quota.
Permanent
22.
Records relating to formulation and promulgation of standards applicable to officials’ titles.
Permanent
23.
Records relating to compilation of list of job positions and establishment of pay grade-based public official structure by pay grade and public employee structure by titles.
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24.
Records relating to application of democracy in the banking industry.
50 years
25.
Documents on appointment/re-appointment, promotion, reassignment or demotion of officials
70 years
26.
Original profiles of officials and public employees.
Permanent
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Officials discipline records.
70 years
28.
Statistical reports on list, number and quality of officials.
Permanent
29.
Records relating to appointment, issuance of judicial expert cards/dismissal of judicial experts, recognition/invalidation of recognition of judicial experts
50 years
30.
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20 years
31.
Records relating to provision of benefits (retirement, death, occupational accidents, occupational diseases, social security, health insurance, etc.).
70 years
32.
Books and forms for officials' profile management.
70 years
33.
Records relating to organization and personnel inspection
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34.
Records relating to establishment of boards, groups, councils, editorial teams, unions, sectoral and cross-sectoral working groups.
50 years
35.
Officials and public employees assessment and ranking records of:
- SBV.
20 years
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- Units.
5 years
36.
Records relating to personnel arrangement, from the recruitment stage to reassignment of employees to units of SBV and credit institutions.
20 years
37.
Records relating to protection of internal politics of SBV and units.
20 years
38.
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- Decision on employment, pay grade transfer, pay grade promotion and pay grade assignment.
70 years
- Result notifications, lists of successful candidates.
20 years
- Applications, exam papers, documents concerning exam organization.
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39.
Records relating to operations of the Department for the Advancement of Women:
- Operating regulations, annual and multi-annual reports.
Permanent
- Correspondence, monthly and quarterly reports, etc.
10 years
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Organization and personnel plans and reports:
- Long-term, short-term.
Permanent
- 9 -month, 6-month.
20 years
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5 years
41.
Correspondence on organization and personnel of:
- SBV.
10 years
- Units.
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2.2. Documents on labor and salary
42.
Set of documents on labor and salary all sent to SBV (regulatory records).
Until their expiry dates
43.
Records relating to establishment and promulgation of labor productivity norms of SBV and implementation reports.
Permanent
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Records relating to formulation and promulgation of regulations on allowances of the industry and implementation reports.
Permanent
45.
Records relating to establishment and promulgation of pay scales and payrolls of the industry and implementation reports.
Permanent
46.
Records relating to formulation of regulations on provision of personal protective equipment, occupational safety and health of SBV and units.
Permanent
47.
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- SBV.
20 years
- Units (applications).
10 years
48.
Annual consolidated reports on occupational accidents of the banking industry, SBV and units.
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49.
Occupational accident case files:
- Serious cases.
Permanent
- Non-serious cases.
20 years
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Employment contracts:
- Indefinite-term employment contracts (after contract termination).
10 years
- Fixed-term employment contracts (after contract termination).
5 years
51.
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- Long-term, short-term.
Permanent
- 9 -month, 6-month.
20 years
- Quarterly, monthly.
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52.
Correspondence on labor and salary of:
- SBV.
10 years
- Units.
5 years
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2.3. Documents on training and refresher training
53.
Set of documents on refresher training for personnel all sent to SBV (regulatory records).
Until their expiry dates
54.
Records relating to formulation and promulgation of regulations/regimes on refresher training for officials and public employees.
Permanent
55.
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- Instructional documents, annual programs, plans and reports.
Permanent
- Monthly and quarterly plans and reports, correspondence, references, etc.
10 years
56.
Records relating to training and professional training courses donated by international organizations.
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57.
SBV’s records relating to domestic and overseas training courses/business trips of officials
20 years
58.
Records relating to training and refresher training.
20 years
59.
Records relating to formulation, management and organization of implementation of training cooperation plans and projects (after the end of the plans and projects).
10 years
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SBV’s documents on organization of training, refresher training and coaching courses for officials and public officials:
- Records relating to course organization.
10 years
- Applications for registration.
5 years
61.
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- Long-term, short-term.
Permanent
- 9 -month, 6-month.
20 years
- Quarterly, monthly.
...
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62.
Correspondence on training and refresher training of:
- SBV.
10 years
- Units.
5 years
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3. Documents on monetary policy.
63.
Set of documents on monetary policy all sent to SBV (regulatory records).
Until their expiry dates
64.
Records relating to formulation and promulgation of long-term, medium-term and annual development schemes, plans, projects and plans on management of monetary policy and banking.
Permanent
65.
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Permanent
66.
Records relating to organization of implementation of mechanisms, regimes and regulations on monetary policy.
Permanent
67.
Records relating to exchange rate notification.
Permanent
68.
Records relating to annual money supply.
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69.
Records relating to processing of requests for refinanced loans or extension of refinanced loans of credit institutions (after SBV issues a document stating its failure to approve credit institutions' requests or when SBV fully collects principal and interests of refinanced loans).
20 years
70.
Documents stating SBV directly buys treasury bills of the State Treasury
30 years
71.
Records relating to compulsory reserve management
10 years
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Records relating to management of open market operation and issuance of SBV’s treasury bills.
20 years
73.
Documents on comments given to ministries about economic plans and policies in relation to the national monetary policy.
20 years
74.
Documents on handling of propositions and difficulties in relation to monetary policy and banking.
20 years
75.
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5 years
76.
Monetary policy and banking management plans and reports:
- Long-term, short-term.
Permanent
- 9 -month, 6-month.
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- Quarterly, monthly.
5 years
77.
Correspondence on monetary policy of:
- SBV.
10 years
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- Units.
5 years
4. Documents on foreign exchange management
78.
Set of documents on foreign exchange management all sent to SBV (regulatory records).
Until their expiry dates
79.
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Permanent
80.
Records relating to organization of implementation of mechanisms, policies and regulations on foreign exchange and gold trading.
Permanent
81.
Applications for issuance/amendment of licenses to open and use overseas foreign currency accounts of enterprises eligible for particularly important investment under the Government’s programs; enterprises making investment in the form of public-private partnership (PPP) which open and use overseas accounts in order to fulfill their commitments with foreign partners.
Permanent
82.
Applications for registration/registration of modification of website for management of foreign loans and repayment of foreign debts which are not guaranteed by the Government (after being approved by SBV).
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83.
Documents certifying registration/registration of change of foreign loans taken and debts, international bond issue; overseas loans granted and collected guaranteed debts for non-resident principal debtors (after the expiry of the loans taken/international bond issue/loans granted/collected guaranteed debts).
20 years
84.
Applications for issuance, re-issuance, amendment and revocation of licenses to open and use overseas foreign currency accounts for effecting of foreign loans or provision of foreign currency services and use of foreign currency (after the account validity period expires).
20 years
85.
Applications requesting the Prime Minister consider permitting foreign portfolio investment in other investment cases in accordance with Government’s prevailing regulations on foreign portfolio investment.
Permanent
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Applications for registration of proprietary trading limit/temporary proprietary trading limit.
20 years
87.
Applications for registration of trust limit/temporary trust limit.
20 years
88.
Records on comments about projects on foreign investment in Vietnam and outward direct investment projects of Vietnam (after the project is terminated).
20 years
89.
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20 years
90.
Applications for approval of overseas transfer of foreign currency before granted investment certificate
20 years
91.
Documents relating to use of state foreign exchange reserves under the Prime Minister's decision
Permanent
92.
Records relating to one-way outward money transfer to serve the purposes of sponsorship or financial aid by institutional residents (after the transactions are completed).
...
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93.
Documents relating to cross-border payment.
20 years
94.
Applications for registration of execution of program that awards shares issued in foreign country to Vietnamese employees (after the end of the program).
10 years
95.
Gold interventions records.
Permanent
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Applications for issuance of trading, production and processing licenses; approval of change of enterprise information on the trading license/procedures for voluntary termination of gold bullion trading (after their expiry dates):
- Issued (after trading termination).
20 years
- Not issued.
5 years
97.
...
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20 years
98.
Applications for issuance/adjustment of licenses for export, import/temporary import of gold material/carriage of gold upon immigration from Vietnam (after their expiry dates).
20 years
99.
Applications for issuance/adjustment of certificates of eligibility to produce gold jewelry; procedures for voluntary termination of gold jewelry production (after their expiry dates).
20 years
100.
Applications for revision and revocation of licenses for gold export/import/trading of organizations (after their shutdown).
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101.
Gold, silver and precious stone joint venture records.
20 years
102.
Contracts for entrusted import of gold (after contract termination).
10 years
103.
Applications for registration and certification of eligibility to provide foreign exchange services in domestic and international markets (after shutdown).
20 years
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Applications for approval of use of foreign currencies within Vietnam's territory.
10 years
105.
Applications for certification of foreign bond issuance limits
20 years
106.
Applications for issuance of licenses to carry cash abroad (after their expiry dates).
20 years
107.
...
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20 years
108.
Applications for approval of export/import of foreign currency cash of credit institutions (after their expiry dates).
20 years
109.
Applications for issuance/revocation of certificates of trusteeship for foreign portfolio investment (after their expiry dates).
20 years
110.
Applications for issuance of certificates of foreign exchange agent registration; approval of registration, change, addition and extension of registration of foreign currency payment agent; foreign currency payment services (after their expiry dates).
...
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111.
Foreign exchange plans and reports:
- Long-term, short-term.
Permanent
- 9 -month, 6-month.
20 years
...
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...
- Quarterly, monthly.
5 years
112.
Correspondence on foreign exchange of:
- SBV.
10 years
...
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...
5 years
5. Documents on payment management
113.
Set of documents on payment all sent to SBV (regulatory records).
Until their expiry dates
114.
Records relating to formulation and promulgation of payment development schemes, projects, programs and plans and payment systems.
...
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115.
Records relating to formulation and promulgation of regulations, procedures and guidance in the area of payment.
Permanent
116.
Records relating to organization of implementation of payment schemes, projects, programs and plans and payment systems
20 years
117.
Applications for issuance, withdrawal and control of use of Bank Identification Number (BIN) (after its expiry date).
20 years
...
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Applications for issuance, revocation and re-issuance of licenses to provide intermediary payment services (after their expiry dates).
20 years
119.
Records relating to receipt of registration and management of forms of cheques of intermediary payment service providers (after their expiry dates).
20 years
120.
Records relating to initiation of procedures for printing, transferring and approving supply of cheques to SBV’s units.
10 years
121.
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20 years
122.
Applications for approval of participation in inter-bank electronic clearing payment (after shutdown).
20 years
123.
Applications for issuance of certificates of checking account opened at SBV (after their expiry date).
20 years
124.
Applications for permission for and termination of payment by credit institutions and other organizations (after their shutdown).
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125.
Records relating to handling of difficulties and propositions that arise from payment
20 years
126.
Records relating to management of use of secret signals, bank codes, operation codes, digital signatures and other signals used in payment (after their expiry dates).
15 years
127.
Records relating to operation and development of payment systems, management of issuance and use of payment facilities and non-cash payment services.
10 years
...
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Documents on inspection and monitoring of compliance with payment mechanisms, regulations and regimes of payment service providers and intermediary payment service providers.
10 years
129.
Records relating to appraisal of schemes and projects under programs and plans for development of organizations’ new payment services and facilities approved by SBV.
10 years
130.
Payment plans and reports:
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...
Permanent
- 9 -month, 6-month.
20 years
- Quarterly, monthly.
5 years
131.
Correspondence on payment of:
...
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...
- SBV.
10 years
- Units.
5 years
6. Documents on credit management
...
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Set of documents on credit activities all sent to SBV (regulatory records).
Until their expiry dates
133.
Records relating to formulation and promulgation of mechanisms, policies and regulations on credit activities, debt settlement and debt trading.
Permanent
134.
Records relating to organization of implementation of mechanisms, policies and regulations on credit activities, debt settlement and debt trading.
Permanent
135.
...
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...
Permanent
136.
Documents on guidelines, management, monitoring of results and resolution of difficulties that arise from execution of credit programs and policies.
Permanent
137.
Documents relating to processing of credit institutions’ requests for special loans and requests for extension of special loans (after SBV issues a document stating its failure to approve credit institutions' requests or when SBV fully collects principal and interests of special loans).
Permanent
138.
Records giving credit institutions instructions on resolving difficulties facing customers affected by natural disasters and diseases.
...
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139.
Records relating to management of loans and settlement of debts owed by monetary organizations, credit institutions, banks and overseas Governments to Vietnam.
Permanent
140.
Records relating to processing of credit institutions’ requests for application of reserve requirement.
20 years
141.
Records relating to inspection of and guidance on credit activities by credit institutions and other organizations.
20 years
...
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...
Documents relating to processing of credit institutions’ requests for approval in credit activities:
- Approved.
20 years
- Not approved.
5 years
143.
...
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- Applications for grant of medium-term and long-term loans.
- Applications for grant of short-term loans.
Permanent
20 years
144.
Records relating to rejection of applications for approval of credit overextension by credit institutions in accordance with Law on Credit Institutions:
- Records relating to rejection of applications for grant of medium-term and long-term loans:
- Records relating to rejection of applications for grant of short-term loans:
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...
20 years
10 years
145.
Records relating to comments given to ministries and departments about formulation of schemes, programs, target programs and national target programs; applications for issuance of investment certificate; applications submitted to competent authorities for approval of investment guidelines and investment decisions of projects:
- Approved.
Permanent
...
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...
5 years
146.
Documents on handling of propositions and difficulties in relation to credit policy and debt trading.
20 years
147.
Documents on public debt settlement (after the settlement is done).
20 years
148.
Records relating to debt classification and settlement (after the settlement is done).
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149.
Documents proving provision of guarantee to credit institutions applying for foreign loans (all debts repaid).
20 years
150.
Notification of financial instrument discount limits.
10 years
151.
Records relating to signature of international credit agreements (after termination of the agreements).
10 years
...
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...
Records relating to guarantee/financial instruments discount/factoring/ other methods of credit extension (all debts recovered).
10 years
153.
Records relating to thematic conference on credit activities.
20 years
154.
Records relating to statistical data on debt trading by credit institutions and internal regulations of credit institutions of debt trading
5 years
155.
...
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...
- Long-term, annual.
Permanent
- 9 -month, 6-month.
20 years
- Quarterly, monthly.
...
...
...
156.
Correspondence on credit activities of:
- SBV.
10 years
- Units.
5 years
...
...
...
7. Documents on forecast and statistics
157.
Set of documents on forecast and statistics all sent to SBV (regulatory records).
Until their expiry dates
158.
Records relating to formulation and promulgation of regimes, regulations and guidance on forecast, statistical production and statistical survey.
Permanent
159.
...
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...
Permanent
160.
Consolidated documents on monetary statistical data and balance of international payments provided by Vietnam to IMF on a periodic basis.
Permanent
161.
Documents on monetary statistical data provided to competent organizations and individuals on a periodic basis.
20 years
162.
Documents on statistical survey:
...
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...
- Consolidated reports.
Permanent
- Other reports, survey forms.
10 years
163.
Analysis and forecast reports:
...
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...
- Annual.
20 years
- Quarterly, monthly.
10 years
164.
Reports on data and assessment of performance of balance of international payments by Vietnam in the period and forecasts therefor in the next period
20 years
165.
...
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...
20 years
166.
Forecast and statistical production plans and reports:
- Long-term, annual.
Permanent
- 9 -month, 6-month.
...
...
...
- Quarterly, monthly.
5 years
167.
Correspondence on forecast and statistical production of:
- SBV.
10 years
...
...
...
- Units.
5 years
8. Documents on monetary and financial stability
168.
Set of documents on monetary and financial stability all sent to SBV (regulatory records).
Until their expiry dates
169.
...
...
...
Permanent
170.
Annual monetary and financial stability plans and reports.
Permanent
171.
Records relating to preparation of plan and execution of program for financial sector assessment.
20 years
172.
Reports on monitoring of stability, assessment and identification of stability risks of the global financial system.
...
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...
173.
Documents on comments and measures proposed to ministries regarding issues concerning systematic risks in the monetary and financial areas.
10 years
174.
Correspondence on monetary and financial stability of:
- SBV.
10 years
...
...
...
- Units.
5 years
9. Documents on money market operations, foreign exchange reserves, compulsory reserves, agency relationship with foreign partners
9.1. Documents on domestic foreign currency market and gold market operations
175.
...
...
...
Until their expiry dates
176.
Records relating to formulation and promulgation of regulations and guidance on domestic foreign currency market and gold market operations
Permanent
177.
Records relating to trading of foreign currency with the State Treasury, international organizations and other organizations (after transactions are completed).
10 years
178.
Records relating to performance of inter-bank foreign currency market operations (after transactions are completed).
...
...
...
179.
Correspondence on domestic foreign currency market and gold market operations of:
- SBV.
10 years
- Units.
5 years
...
...
...
9.2. Documents on state foreign exchange reserves operations and compulsory reserves
180.
Set of documents on state foreign exchange reserves operations and reserve requirements all sent to SBV (regulatory records).
Until their expiry dates
181.
Documents relating to formulation and promulgation of regulations and guidance on state foreign exchange reserves operations and compulsory reserves
Permanent
182.
...
...
...
10 years
183.
Documents relating to performance of foreign exchange reserve investment operations (after transactions are completed).
10 years
184.
Records relating to foreign exchange spot trading (after transactions are completed).
10 years
185.
Records relating to gold purchase, sale, import and export operations in international market (after transactions are completed).
...
...
...
186.
Correspondence on state foreign exchange reserves operations and reserve requirements of:
- SBV.
10 years
- Units.
5 years
...
...
...
9.3. Documents on monetary market operations
187.
Set of documents on monetary market operations all sent to SBV (regulatory records).
Until their expiry dates
188.
Documents relating to formulation and promulgation of regulations and guidance on monetary market operations.
Permanent
189.
...
...
...
20 years
190.
Documents relating to opening of accounts and performance of transactions with the State Treasury, credit institutions operating in Vietnam, foreign banks and international monetary and financial institutions (after accounts are closed).
20 years
191.
Records on resolution of difficulties in relation to implementation of open market operations procedures, bidding for SBV bills, Government bonds, financial instruments, financial instrument discounts, overnight lending, refinance lending, discounts and rediscounts.
10 years
192.
Books and documents on trading session in the open market (as from the maturity date).
...
...
...
193.
Documents on sessions of treasury bill and SBV bill bidding (from the end of the bidding sessions).
5 years
194.
Documents on sessions of Government bond and financial instrument bidding (from the end of the bidding sessions).
5 years
195.
Records relating to overdraft limits, overnight lending, net debt limits imposed on low-value payment in electronic interbank payment (after the end of application period).
5 years
...
...
...
Applications for issuance/revocation of certificate of member of issued to credit institutions participating in open market operations, bidding for bonds, treasury bills and financial instruments; grant of login keys and electronic signature codes to members (after their expiry date).
5 years
197.
Reports on money market operations.
10 years
198.
Correspondence on money market operations of:
...
...
...
10 years
- Units.
5 years
9.4. Documents on agent relationship operations
199.
Set of documents on agent relationship operations all sent to SBV (regulatory records).
...
...
...
200.
Records relating to formulation and promulgation of regulations and guidance on agent relationship operations.
Permanent
201.
Records relating to SBV’s legal organization identification code.
Permanent
202.
Records relating to handling of issues concerning terms and conditions sheets and specimen signatures of central banks of ASEAN+3 countries ASEAN+3 countries of the Chiang Mai Initiative Multilateralization Agreement (after the agreement termination).
20 years
...
...
...
Records relating to handling of issues concerning Brady bonds of Vietnamese Government (after the maturity date).
20 years
204.
Records relating to handling of international law issues concerning foreign partners of SBV.
20 years
205.
Records on specimen signatures of authorized persons in relation to the performance of and payment for transactions.
20 years
206.
...
...
...
20 years
207.
Records relating to establishment, expansion, maintenance and termination of relationships (after the end of the relationships).
10 years
208.
Records relating to actual limit applied to each foreign partner (after the end of the relationship).
10 years
209.
Periodic and ad hoc reports on credit rating of correspondent banks of SBV.
...
...
...
210.
Records relating to selection and signature of retainer agreements with international credit rating agencies (after the service termination).
5 years
211.
Correspondence on agent relationship operations of:
- SBV.
10 years
...
...
...
- Units.
5 years
9.5. Documents on international payment operations
212.
Set of documents on international payment services all sent to SBV (regulatory records).
Until their expiry dates
213.
...
...
...
Permanent
214.
Records relating to transfer of payments and certification of completed transactions in trading of foreign currency, investment in deposits, trading of valuable papers in the international market and interbank foreign currency market (after transactions are completed).
10 years
215.
Records relating to payment for projects, programs, etc. (after transactions are completed).
10 years
216.
Records relating to operation of international payment system and establishment of key cryptosystems and security requirements (after their expiry dates).
...
...
...
217.
Records relating to maintenance, care and upgrading of SWIFT payment system (after its expiry date).
10 years
218.
Records relating to opening/closure of demand deposit accounts, time deposit accounts and securities depository accounts of SBV or credit institutions at foreign banks (after their expiry dates).
5 years
219.
Review reports on foreign currency in foreign country.
10 years
...
...
...
Correspondence on international payment operations of:
- SBV.
10 years
- Units.
5 years
...
...
...
221.
Set of documents on issue and vault all sent to SBV (regulatory records).
Until their expiry dates
222.
Records relating to formulation and promulgation of schemes, projects and plans for design and production of prints and molds of circulating money and financial instruments issued by SBV.
Permanent
223.
Records relating to formulation and promulgation of regulations and guidance on issue and vault.
...
...
...
224.
Records relating to establishment, dissolution and merger of money vaults.
Permanent
225.
Records relating to formulation and implementation of annual and long-term plans and reports on money printing and minting:
- Issued money.
Permanent
...
...
...
- Play money.
15 years
226.
Financial plans for money printing, minting, money destruction, administrative expense in connection with issue and other expenses in connection with issue and vault operations.
Permanent
227.
Records relating to technical standards, security locks, special anti-counterfeiting features, currency printing ink formulas, technical specifications of currency printing inks, technological process for making printing plates, printing, minting and stamping of money for circulation and valuable instruments issued by SBV.
Permanent
228.
...
...
...
Permanent
229.
Documents on test printing plates, printing and minting of research and backup samples.
Permanent
230.
Engravings, original prints, original molds; contracts for making original prints and original molds of issued money.
Permanent
231.
Documents on design technology, official design samples, sample prints, standard molds of issued money and financial instruments.
...
...
...
232.
Records relating to recall of old currency and issuance of new currency.
Permanent
233.
Records relating to issuance and invalidation of types of currency and financial instruments.
Permanent
234.
Records relating to recall and replacement of invalidated types of currency.
Permanent
...
...
...
Records relating to export and import of types of currency, precious assets, financial instruments and other types of assets.
30 years
236.
Records relating to replacement of currency unqualified for circulation.
20 years
237.
Records relating to supervision of money vaults and destroyed money vaults.
20 years
238.
...
...
...
- Serious, complex and typical cases.
Permanent
- Other cases.
10 years
239.
Records relating to periodic, regular and ad hoc inspections of vault safety.
...
...
...
240.
Records relating to handling of recommendations given by inspection and audit delegations.
10 years
241.
Records relating to destruction of damaged and test prints and molds; damaged and test printing products; damaged materials and supplies serving money printing and minting.
20 years
242.
Records relating to destruction of types of currency and financial instruments.
20 years
...
...
...
Documents on assessment of counterfeit money, suspected counterfeit money, currency unqualified for circulation.
20 years
244.
Records relating to handling of cases in which safe kept and custodial money or assets are lacked or lost
20 years
245.
Records relating to periodic and unexpected inventorying of vaults.
20 years
246.
...
...
...
20 years
247.
Records relating to inspection of quality of products and delivery of special products.
10 years
248.
Documents on dispensing of series alphabets.
10 years
249.
Records on import of goods serving money printing (purchase agreements, pre-import inspection agreements, etc.).
...
...
...
250.
Reports on inventory of raw materials at money printing establishments.
10 years
251.
Annual consolidated reports on vault safety.
10 years
252.
Vault logs.
10 years
...
...
...
Documents on maintenance and care of vault safety equipment.
10 years
254.
Types of records relating to money transfer.
10 years
255.
Logs of money dispatched to and received from vaults.
5 years
256.
...
...
...
5 years
257.
Records relating to sealing, opening, delivery and receipt of backup key to the vault door.
5 years
258.
Records relating to delivery and preservation of backup key to the vault compartment door and safe.
5 years
259.
Issue and vault plans and reports:
...
...
...
- Annual.
Permanent
- 6-month, quarterly, monthly.
10 years
260.
Correspondence on Category 10: Documents on issue and vault operations of:
...
...
...
- SBV.
10 years
- Units.
5 years
11. Documents on inspection, supervision, settlement of complaints and denunciations, and anti-corruption
...
...
...
261.
Set of documents on establishment, operation and liquidation of credit institutions all sent to SBV (regulatory records).
Until their expiry dates
262.
Records relating to formulation and promulgation of schemes and projects on restructuring of credit institution and other organizations involved in banking.
Permanent
263.
Documents on directions and guidelines for and inspection of implementation of schemes and projects on restructuring of credit institution and other organizations involved in banking.
...
...
...
264.
Records relating to formulation and promulgation of regulations and guidance on banking inspection and supervision.
Permanent
265.
Applications for issuance, amendment/approval of extension of licenses for establishment and operation of credit institutions, foreign branch banks, microfinance institutions, people’s credit funds, representatives of foreign credit institution and other foreign organizations involved in banking.
- Approved.
Permanent
...
...
...
- Not approved.
5 years
266.
Records relating to acquisition, full or partial division, merger, consolidation, legal status transformation or dissolution of credit institutions.
Permanent
267.
Applications for approval for upgrading, transformation/re-organization of credit institutions and people’s credit funds.
Permanent
268.
...
...
...
20 years
269.
Application for approval of suspension of business activities of credit institutions.
20 years
270.
Records on grant of permission to Vietnamese credit institutions to establish independent accounting affiliates (after their shutdown).
20 years
271.
Documents on operation of associations and non-governmental organizations established by credit institutions for (after their shutdown).
...
...
...
272.
Applications for approval of establishment, revocation of establishment licenses voluntary shutdown, dissolution of branches, transaction offices, representative offices and other methods in Vietnam and foreign countries of credit institution, foreign branch banks, cooperative banks, people’s credit funds (after their shutdown).
20 years
273.
Applications for change of name; charter capital, allocated capital; location of head office, representative office; business lines, scope and period of operation; transfer of shares; percentage of shares of credit institutions (after their shutdown).
20 years
274.
Applications for certification of satisfaction of eligibility to start business, change of name or location of branch/transaction office; change of branch managing transaction office of microfinance institution.
20 years
...
...
...
Documents on credit institution rating.
20 years
276.
Records on grant of permission to Vietnamese credit institutions to contribute capital for establishing joint venture credit institutions (after their shutdown).
20 years
277.
Applications for approval of purchase, sale and transfer of stakes; contribution of capital for purchase of shares, conclusion of joint venture agreements with foreign investors (after termination thereof).
20 years
278.
...
...
...
20 years
279.
Applications for approval of application of risk provision policies of foreign banks for classification of debts, off-balance sheet commitments, setting up and use of risk provisions (after termination thereof).
20 years
280.
Applications for approval of classification of debts and off-balance sheet commitments using qualitative method (after termination thereof).
20 years
281.
Records relating to notification of list of nominees: Presidents and members of Boards of Directors, President and members of Boards of Members, head and members of Boards of Supervisors, Directors General (Directors) of credit institutions and foreign branch banks
...
...
...
282.
Applications for approval of personnel to be nominated as Directors General (Directors) of foreign branch banks, cooperative banks, people’s credit funds, microfinance institutions (after the end of their tenure).
10 years
283.
Applications for re-issuance of duplicate license from master register to credit institutions, foreign branch banks, representative offices of credit institutions and other foreign organizations involved in banking.
10 years
284.
Correspondence on establishment, operation and liquidation of credit institutions of:
...
...
...
- SBV.
10 years
- Units.
5 years
11.2 Documents on system safety inspection and supervision
285.
...
...
...
Until their expiry dates
286.
Records relating to formulation and promulgation of banking system completion and development strategies, programs, plans, schemes and projects
Permanent
287.
Records relating to organization of implementation of credit institution completion and development strategies, programs, plans, schemes and projects.
Permanent
288.
Records relating to application of early intervention measures to and special control of credit institutions.
...
...
...
289.
Records relating to restructuring and settlement of bad debts of credit institutions.
Permanent
290.
Records relating to inspection and supervision, records relating to post-inspection and post-supervision handling.
- Serious cases.
Permanent
...
...
...
- Other cases.
15 years
291.
Records relating to inspectorate supervision:
- Serious cases.
Permanent
...
...
...
15 years
292.
Documents serving inspection by competent authorities (other than authorities affiliated to SBV).
30 years
293.
Documents on judicial expertise in the areas of currency and banking.
20 years
294.
Documents on notification, warning, recommendation and contact with supervised entities.
...
...
...
295.
Supervised entities’ documents on implementation of and compliance with warnings and recommendations given during banking supervision and remedial actions.
5 years
296.
Inspection and supervision plans and reports:
- Long-term, annual.
Permanent
...
...
...
- 9 -month, 6-month.
20 years
- Quarterly, monthly.
5 years
297.
Correspondence on inspection and supervision of:
...
...
...
10 years
- Units.
5 years
11.3. Documents on settlement of complaints and denunciations, and anti-corruption
298.
Set of documents on settlement of complaints and denunciations, and anti-corruption all sent to SBV (regulatory records).
...
...
...
299.
Records relating to formulation and promulgation of regulations and guidelines for settlement of complaints and denunciations, and anti-corruption.
Permanent
300.
Files on complaints and denunciations:
- Serious cases.
Permanent
...
...
...
- Other cases.
15 years
301.
Documents on imposition of penalties for administrative violations against regulations on currency and banking.
- Serious cases.
Permanent
...
...
...
15 years
302.
Files on cases of violations detected during anti-corruption fights
20 years
303.
Records relating to property and income declaration
20 years
304.
Plans and reports on settlement of complaints and denunciations, and anti-corruption of:
...
...
...
- Long-term, annual.
Permanent
- 9-month, 6-month and ad hoc.
20 years
- Quarterly, monthly.
5 years
...
...
...
Correspondence on settlement of complaints and denunciations, and anti-corruption of:
- SBV.
10 years
- Units.
5 years
...
...
...
306.
Set of documents on anti-money laundering activities all sent to SBV (regulatory records).
Until their expiry dates
307.
Records relating to formulation of national strategies and plans, schemes and projects on anti-money laundering and counter-terrorism financing.
Permanent
308.
Records relating to formulation and promulgation of regulations and guidelines for anti-money laundering and counter-terrorism financing.
...
...
...
309.
Records relating to performance of tasks by the Steering Committee on Anti-Money Laundering; National Steering Committee on Terrorism Prevention and Control; National Steering Committee on Counter-terrorism Financing in banking industry.
Permanent
310.
Records relating to implementation of Resolutions of United Nations Security Council on terrorism and terrorism financing
Permanent
311.
Records relating to fulfillment of obligations discharged by Vietnam to international anti-money laundering and counter-terrorism financing organizations.
Permanent
...
...
...
Records on processing and provision of information on anti-money laundering and counter-terrorism financing and other crimes in relation to money laundering.
20 years
313.
Documents containing warnings and recommendations on issues concerning money laundering and terrorism financing crimes and other crimes related to money laundering.
20 years
314.
Records relating to inspection of anti-money laundering and counter-terrorism financing:
...
...
...
Permanent
- Other cases.
15 years
315.
Records on exchange of financial intelligence information with foreign agencies regarding money laundering and terrorism financing.
10 years
316.
Suspicious transaction records and reports.
...
...
...
317.
Suspicious transaction records and information transferred to competent agencies combating money laundering; terrorism financing and financing of proliferation of weapons of mass destruction.
10 years
318.
Documents relating to design of information technology system for anti-money laundering (after the project termination)
10 years
319.
Process and techniques for storing electronic data on anti-money laundering (after their expiry date)
10 years
...
...
...
Anti-money laundering and counter-terrorism financing plans and reports:
- Long-term, annual.
Permanent
- 6-month, quarterly, monthly.
20 years
...
...
...
5 years
321.
Correspondence on anti-money laundering and counter-terrorism financing of:
- SBV.
10 years
- Units.
...
...
...
13. Documents on finance and accounting
13.1 Records relating to finance, accounting and assets
322.
Set of documents on general finance and accounting management all sent to SBV (regulatory records).
Until their expiry dates
...
...
...
Records relating to formulation and promulgation of regulations, regimes and guidance on finance and accounting.
Permanent
324.
Documents on making, allocation, approval, adjustment and assignment of state budget to units affiliated to SBV.
Permanent
325.
Records relating to making estimates, adjusting and approving budget estimates; setting aside required provisions and making payments to state budget of SBV.
Permanent
326.
...
...
...
Permanent
327.
Accounting logs.
Permanent
328.
Detailed accounting books.
30 years
329.
Records on annual expenditure settlement.
...
...
...
330.
Documents relating to bidding for procurement of assets and services of SBV.
20 years
331.
Documents on transfer and liquidation of fixed assets (from the date of completion of the transfer and liquidation):
- Real property.
Permanent
...
...
...
- Other assets.
20 years
332.
Annual property statements.
20 years
333.
Reports on inventory and revaluation of fixed assets.
20 years
334.
...
...
...
20 years
335.
Records relating to allocation of capital and inspection of reimbursement of construction costs.
Permanent
336.
Construction cost statements.
- In group A.
...
...
...
- In groups B and C.
30 years
337.
Construction capital logbooks.
10 years
338.
Payslips, allowance payment sheets, payrolls and other payments made to officials (of the unit preparing reports).
10 years
...
...
...
Books serving monitoring, inventory and liquidation of small working instruments and easily damaged objects.
5 years
340.
Financial inspection records:
- Serious cases.
Permanent
...
...
...
10 years
341.
Financial audit records:
- Serious cases.
Permanent
- Other cases.
...
...
...
342.
Records serving finance and accounting conferences.
20 years
343.
Finance and accounting plans and reports:
- Long-term, annual.
Permanent
...
...
...
- 9 -month, 6-month.
20 years
- Quarterly, monthly.
5 years
344.
Correspondence on finance and accounting of:
...
...
...
10 years
- Units.
5 years
13.2 Exchange-related accounting records
345.
Journal vouchers, transaction logs, balance reports.
...
...
...
346.
Vouchers, reports and statements regarding open market operations and depositing of financial instruments.
30 years
347.
Vouchers, reports and statements regarding investment in and management of foreign exchange reserves.
30 years
348.
Vouchers, reports and statements regarding payment operations.
30 years
...
...
...
Vouchers, reports and statements regarding collectibles and payables.
30 years
350.
Books on detailed accounting entries, on or off-balance-sheet collections.
30 years
13.3 Issuance-related accounting records
351.
...
...
...
Permanent
352.
Records on dispatch, receipt and issuance of currency.
Permanent
353.
Logbooks recoding issuance, payments to state budget, safe keeping and custody of assets.
30 years
354.
Detailed accounting books on currency issuance.
...
...
...
355.
Types of books on preservation of cash, silver, gold and financial instruments.
30 years
356.
Treasure inventory books and logbooks.
30 years
357.
Statistical and inventory reports on issuance.
20 years
...
...
...
Logbooks of written records.
5 years
14. Documents on construction
359.
Set of documents on construction all sent to SBV (regulatory records).
Until their expiry dates
360.
...
...
...
Permanent
361.
Construction plans and reports:
- Long-term, annual.
Permanent
- 9-month, 6-month.
...
...
...
- Quarterly, monthly.
5 years
362.
Profiles of capital construction works:
- Works in group A, works applying new architecture, structure, technology, equipment and materials; works constructed under special geological and topographical conditions; works classified as historical and cultural sites/monuments.
Permanent
...
...
...
- Works in groups B and C.
Lasting according to their service life
363.
Documents on inspection of construction:
10 years
364.
Correspondence on construction of:
...
...
...
10 years
- Units.
5 years
15. Documents on internal audit and control
365.
Set of documents on internal audit and control all sent to SBV (regulatory records).
...
...
...
366.
Records relating to formulation and promulgation of strategies, schemes, regulations and regimes on internal audit and control.
Permanent
367.
Records providing guidelines for business process for internal audit and control (as of their expiry dates or as they are replaced).
10 years
368.
Records relating to facilitation tasks with the State Audit Office of Vietnam and Ministry of Finance.
30 years
...
...
...
Records relating to formulation, approval and notification of internal inspection and audit programs and plans
20 years
370.
Documents serving reporting of internal audit and control.
20 years
371.
Records and reports on recommended changes through internal audit and control.
20 years
372.
...
...
...
10 years
373.
Documents on control and inspection of currency minting establishments.
20 years
374.
Records relating to control of destruction of currency unqualified for circulation and invalidated currency; currency damaged during printing and minting process, papers damaged during printing process, minting metal damaged each year at currency minting establishments; safety control of other assets of SBV.
20 years
375.
Records relating to periodic general inventorying of precious assets and financial instruments at central currency vaults.
...
...
...
376.
Correspondence on control and audit of:
- SBV.
10 years
- Units.
5 years
...
...
...
16. Documents on legal affairs
377.
Set of documents on legal affairs all sent to SBV (regulatory records).
Until their expiry dates
378.
Records relating to formulation and promulgation of regulations and guidance on legal affairs.
Permanent
379.
...
...
...
Permanent
380.
Records relating to formulation and execution of programs for formulation of bills and ordinances chaired by SBV.
Permanent
381.
Records relating to appraisal of legislative documents within power of SBV Governor.
Permanent
382.
Documents providing legal advice to the Governor on negotiation on, signature and implementation of treaties, contracts and agreements with domestic and foreign partners or litigation against judicial agencies and lawsuits and disputes involving foreign elements.
...
...
...
383.
Records relating to compensation by the state in the banking industry.
Permanent
384.
Documents on legal verification of cases related to tasks and powers of SBV.
30 years
385.
Documents providing legal advice on operations of credit institutions, enterprises, organizations and individuals concerned:
...
...
...
- Important cases.
Permanent
- Other cases.
10 years
386.
Records relating to execution of programs for formulation of legislative documents; providing guidance on, monitoring and inspection of execution of programs after obtaining approval from competent authorities.
15 years
387.
...
...
...
10 years
388.
Records relating to consolidation of legislative documents.
10 years
389.
Records relating to codification of legislative documents.
10 years
390.
Documents relating to review, statistical production, systematization and processing of results of review of legislative documents on banking.
...
...
...
391.
Documents relating to inspection and processing of legislative documents.
10 years
392.
Records serving organization of conferences on legal affairs and dissemination of legislative documents.
10 years
393.
Records relating to comments about legislative documents and other documents sent to other agencies.
5 years
...
...
...
Legal affair plans and reports:
- Long-term, annual.
Permanent
- 9-month, 6-month.
20 years
...
...
...
5 years
395.
Correspondence on legal affairs of:
- SBV.
10 years
- Units.
...
...
...
17. Documents on international cooperation
396.
Set of documents on international cooperation all sent to SBV (regulatory records).
Until their expiry dates
397.
Records relating to formulation and promulgation of programs, strategies, projects and action plans for international cooperation in currency and banking.
Permanent
...
...
...
Records relating to studying policies and operating mechanisms of international financial and monetary institutions to serve the formulation of policies and solutions for development and expansion of international cooperation.
Permanent
399.
Records relating to formulation of plans and negotiation on loans from international financial and monetary institutions according to the approved program.
Permanent
400.
Records of international financial and monetary institutions.
Permanent
401.
...
...
...
Permanent
402.
Records relating to negotiation on and signature of international agreements and treaties on currency and banks with international financial and monetary institutions.
Permanent
403.
Records relating to inbound and outbound delegations:
- Conclusion of cooperation agreements.
...
...
...
- Seminars, conferences, fairs, learning visits, investigations, surveys, etc.
20 years
404.
Records relating to accession to international associations and organizations.
Permanent
405.
Reports on execution of projects on provision of technical assistance to investment projects of the industry
Permanent
...
...
...
Records relating to execution of programs and projects eligible to receive ODA intended for the banking industry.
Permanent
407.
Reports on borrowing and payment transactions with international financial and monetary institutions assigned to SBV by the Government.
Permanent
408.
Records relating to cooperation with international financial and monetary institutions and foreign banks in providing technical assistance and raising capital for investment projects of the banking industry (after the end of the cooperation).
20 years
409.
...
...
...
20 years
410.
Records relating comments about mechanisms for management and use of ODA and other soft loans.
15 years
411.
Records serving internal international conferences and seminars.
10 years
412.
Records relating to provision of information and data to international financial and monetary institutions and foreign partners.
...
...
...
413.
Periodic reports on organization of international conferences and seminars.
10 years
414.
Letters, telegrams and greeting cards of foreign organizations:
- Important.
Permanent
...
...
...
- Normal.
10 years
415.
International cooperation plans and reports:
- Long-term, annual.
Permanent
...
...
...
20 years
- Quarterly, monthly.
5 years
416.
Correspondence on international cooperation of:
- SBV.
...
...
...
- Units.
5 years
18. Documents on emulation and rewarding
417.
Set of documents on emulation and rewarding all sent to SBV (regulatory records).
Until their expiry dates
...
...
...
Records relating to formulation and promulgation of regulations and guidance on emulation and rewarding.
Permanent
419.
Records relating to consideration of rewards and provision of rewards to collectives and individuals:
- Emulation titles and forms of rewards given by the President of Vietnam and Prime Minister.
Permanent
...
...
...
20 years
420.
Applications for rewards of units in the banking industry (retained by the applicants).
10 years
421.
Records relating to provision of rewards to foreigners.
Permanent
422.
Records relating to provision of monetary rewards outside the banking industry.
...
...
...
423.
Records serving organization of conferences on emulation and rewarding in the banking industry:
- Review conferences.
Permanent
- Preliminary review conferences.
10 years
...
...
...
Documents relating to handling of petitions, complaints and accusations on emulation and rewarding.
20 years
425.
Records serving inspection of emulation and rewarding in the banking industry.
20 years
426.
Documents relating to organization of competitions for anniversary celebration.
10 years
427.
...
...
...
- Long-term, annual.
Permanent
- 9-month, 6-month.
20 years
- Quarterly, monthly.
...
...
...
428.
Correspondence on emulation and rewarding of:
- SBV.
10 years
- Units.
5 years
...
...
...
19. Documents on communication and press
429.
Set of documents on communication and press all sent to SBV (regulatory records).
Until their expiry dates
430.
Records relating to formulation and promulgation of strategies and projects on communication, publishing and press.
Permanent
431.
...
...
...
Permanent
432.
Records relating to construction and development of museums and chambers of traditions intended for the banking industry.
Permanent
433.
Administrative records relating to libraries, museums and chambers of traditions intended for the banking industry.
Permanent
434.
Articles and speeches on the occasion of anniversaries and important events of the industry.
...
...
...
435.
Archives of SBV’s annual publications.
Permanent
436.
Materials and photos of activities and events of the banking industry activities according to policy introduced by the SBV Governor.
Permanent
437.
Records relating to handling of incidents and crises in banking information.
20 years
...
...
...
Records relating to operation of SBV’s web portal.
20 years
439.
Records relating to organization of communication and press activities.
20 years
440.
Records on social security in the banking industry:
10 years
441.
...
...
...
10 years
442.
Media information tracking records.
5 years
443.
Documents on organization of periodic and unexpected press conferences, press briefings, fairs and exhibitions of the industry.
5 years
444.
Reporters and collaborators’ articles on banking activities published on Banking Times and Banking Magazine.
...
...
...
445.
Reports on communication, publishing and press
- Long-term, annual.
Permanent
- 9-month, 6-month.
20 years
...
...
...
- Quarterly, monthly.
5 years
446.
Correspondence on communication, publishing and press of:
- SBV.
10 years
...
...
...
5 years
20. Documents on administrative work, records and archives management
447.
Set of documents on administrative work, records and archives management all sent to SBV (regulatory records).
Until their expiry dates
448.
Records relating to formulation and promulgation of regulations and guidance on administrative work, records and archives management.
...
...
...
449.
Records relating to construction of a framework model of a quality management system according to ISO applied to units affiliated to SBV.
Permanent
450.
Records relating to construction, application and improvement of the quality management system according to ISO to operations of SBV.
20 years
451.
Records relating to formulation and promulgation of regulations and guidance on administrative reform and administrative procedure control.
Permanent
...
...
...
Administrative reform and administrative procedure control plans and reports of SBV:
- Long-term, annual.
Permanent
- 6-month, 9-month.
20 years
...
...
...
5 years
453.
Records relating to determination of annual administrative reform index.
20 years
454.
Records relating to performance of administrative reform tasks.
20 years
455.
Records relating to formulation and promulgation of list of state secrets in the banking field.
...
...
...
456.
Records relating to declassification/ extension/adjustment of documents and objects containing state secrets (from the date on which such documents are declassified/extended/adjusted to the expiry of the document retention period).
20 years
457.
Set of archives and registers of outgoing documents of SBV:
- Legislative documents.
Permanent
...
...
...
- Directives, decisions, regulations and guidelines.
Permanent
- Other documents of:
+ SBV.
50 years
...
...
...
10 years
458.
Records relating to management and use of seals and security devices (after their expiry dates).
20 years
459.
Records relating to introduction of samples of seals and signatures (after their expiry dates).
20 years
460.
Records relating to transfer of documents to Institutional Archives and Historical Archives.
...
...
...
461.
Records relating to compilation and promulgation of lists of SBV’s records.
20 years
462.
Registers of incoming documents of:
- SBV.
20 years
...
...
...
- Units.
10 years
463.
Other types of books (internally transferred books, books sent by post, books delivered in person, etc.)
10 years
464.
Counterfoils of letters of introduction, leave application forms, business trip forms and document delivery slips.
5 years
465.
...
...
...
5 years
466.
Index listing records and documents of SBV:
- Permanent period.
Permanent
- Specified time period.
...
...
...
467.
Logbooks recording the use of archived documents.
20 years
468.
Statistical reports on administrative work, archives management and archived documents.
20 years
469.
Records relating to destruction of invalidated documents (from the date of destruction).
20 years
...
...
...
Records relating to conferences on office administration, administrative work, records and archives management.
10 years
471.
Documents relating to appraisal of SBV’s conferences, seminars and exhibitions at industry and national level.
10 years
472.
Documents on guidelines for and inspection of office administration (administrative reform, administrative procedure reform, ISO, protection of state secrets, records and archives management, etc.).
20 years
473.
...
...
...
- Long-term, annual.
Permanent
- 9-month, 6-month.
20 years
- Quarterly, monthly.
...
...
...
474.
Correspondence on administrative work, records and archives management of:
- SBV.
10 years
- Units.
5 years
...
...
...
21. Documents on workplace administration
475.
Set of documents on workplace administration all sent to SBV (regulatory records).
Until their expiry dates
476.
Records relating to formulation and promulgation of regulations on workplace administration.
Permanent
477.
...
...
...
20 years
478.
Internal logbooks daily recording watch and protection of workplace.
10 years
479.
Internal documents on national defense and military activities.
10 years
480.
Records on corporate code of conduct.
...
...
...
481.
Internal records relating to fire prevention and fighting and natural disaster management.
10 years
482.
Documents on use, operation and repair of motor vehicles, machinery and equipment.
Based on their service life
483.
Journals of dispatched stationery.
5 years
...
...
...
Internal records relating to management and monitoring of issues concerning health and environment.
10 years
485.
Administration plans and reports:
- Long-term, annual.
- 9-month, 6-month.
- Quarterly, monthly.
Permanent
...
...
...
5 years
486.
Correspondence on administration of:
- SBV.
10 years
- Units.
...
...
...
22. Documents on credit information-related activities
487.
Set of documents on credit information-related activities all sent to SBV (regulatory records).
Until their expiry dates
488.
Records relating to formulation and promulgation of schemes, projects, plans and programs on credit information-related activities.
Permanent
...
...
...
Records relating to organization of implementation of schemes, projects, plans and programs on credit information-related activities.
Permanent
490.
Records relating to management of national credit information and data.
Permanent
491.
Records relating to collection, processing, analysis and storage of credit information provided by organizations involved in credit information-related activities.
10 years
492.
...
...
...
Permanent
493.
Documents on provision of credit information to credit institutions, other organizations and individuals.
20 years
494.
Records relating to provision of credit information of credit institutions and other organizations and reports on results thereof.
20 years
495.
Applications for issuance/re-issuance/change of contents/revocation of certificates of eligibility to provide credit information services of credit information companies (after their expiry dates).
...
...
...
496.
Documents of organizations and individuals violating regulations on credit information-related activities.
10 years
497.
Plans and reports on credit information-related activities:
- Long-term, annual.
Permanent
...
...
...
- 9-month, 6-month.
20 years
- Quarterly, monthly.
5 years
498.
Correspondence on credit information-related activities of:
...
...
...
10 years
- Units.
5 years
23. Documents on management of enterprises in which state capital ownership is represented by SBV
499.
Set of documents on corporate accounting all sent to SBV (regulatory records).
...
...
...
500.
Records relating to formulation and promulgation of regimes, regulations and guidance on corporate accounting.
Permanent
501.
Annual and long-term development plans/strategies of enterprises.
Permanent
502.
Records relating to formulation of and revisions to regulations and charters of enterprises.
Permanent
...
...
...
Records relating to restructuring, ownership conversion, dissolution or bankruptcy of enterprises.
Permanent
504.
Records relating to business plans, financial plans, and assignment of criteria for performance assessment and ranking of enterprises.
20 years
505.
Dossiers on Group A and B investment projects of enterprises
20 years
506.
...
...
...
20 years
507.
Records relating to annual plans for profit distribution, establishment of funds, and division of dividends.
20 years
508.
Records relating to financial supervision, state capital investment, and ranking of enterprises.
20 years
509.
Records relating to prices of special products of currency minting establishments (under SBV’s management).
...
...
...
510.
Documents on General Meeting of Shareholders.
10 years
511.
Records relating to settlement of other issues concerning the SBV's role as owner's representative in enterprises.
15 years
512.
Correspondence enterprise management of:
...
...
...
- SBV.
10 years
- Units.
5 years
24. Documents on scientific research
513.
...
...
...
Until their expiry dates
514.
Records relating to formulation and promulgation of regulations on scientific research activities.
Permanent
515.
Documents on place of orders, selection and direct assignment of science and technology-related tasks.
30 years
516.
Documents providing advice on determination of science and technology-related tasks.
...
...
...
517.
Documents on approval of results of selection of science and technology-related tasks:
- Approved documents.
Permanent
- Unapproved documents.
10 years
...
...
...
Documents on appraisal and approval of funding for performance of science and technology-related tasks.
Permanent
519.
Documents on expedition and inspection of performance of science and technology-related tasks:
- At national level.
30 years
...
...
...
20 years
- At internal level.
10 years
520.
Documents on assessment, acceptance and recognition of results of performance of science and technology-related tasks.
Permanent
521.
Documents on registration and storage of information of results of performance and application of science and technology-related tasks.
...
...
...
522.
Documents on signature and liquidation of contracts for performance of science and technology-related tasks.
20 years
523.
Documents on operations of specialized scientific councils and other organizations.
Permanent
524.
Dossiers on inventions, technical innovations, technological procedures or useful solutions which have been recognized:
- At state level; at ministerial and industry level.
...
...
...
Permanent
10 years
525.
Records relating to development and application of technologies to the banking industry.
Permanent
526.
Records serving internal scientific conferences and seminars.
20 years
...
...
...
Internal thematic scientific reports serving scientific conferences.
20 years
528.
Scientific research plans and reports:
- Long-term, annual.
Permanent
...
...
...
20 years
- Quarterly, monthly.
5 years
529.
Correspondence on scientific research of:
- SBV.
...
...
...
- Units.
5 years
25. Documents on information technology
530.
Set of documents on information technology all sent to SBV (regulatory records).
Until their expiry dates
...
...
...
Records relating to formulation and promulgation of strategies, schemes, projects and regulations on information technology-related activities.
Permanent
532.
Records relating to development and application of technologies to the banking operations.
Permanent
533.
Records relating to establishment of banking standards.
Permanent
534.
...
...
...
Permanent
535.
Records relating to technical evaluation of technology projects of credit institutions (after the project termination).
20 years
536.
Records relating to technical management and operation of information systems of SBV.
20 years
537.
Records relating to technical procedures for storage of electronic data of payment service providers.
...
...
...
538.
Documents on management and application of solutions to maintaining technology safety and security in the banking industry.
20 years
539.
Applications for issuance, addition, extension, change of contents, restoration, restoration, suspension, revocation and cancellation of digital certificate operations; change of pairs of keys and digital certificate activation codes of SBV (after the expiry date of the digital certificate).
20 years
540.
Applications for registration of specialized authentication of digital signatures of the Government (after the expiry date of the digital certificate).
20 years
...
...
...
Applications for issuance/invalidation of bank codes; adjustment of banking information.
20 years
542.
Contracts for procurement and installation of computer equipment (after the contract termination).
20 years
543.
Documents on inspection and monitoring of compliance with information technology mechanisms, policies and regulations of units and credit institutions.
10 years
544.
...
...
...
10 years
545.
Procedures for storage of software versions and storage of databases (after they are no longer in use).
10 years
546.
Technical documents about analysis, design and programming of banking software (after the software is not in use).
10 years
547.
Records relating to design and installation of computer network (as the network system is no longer in use).
...
...
...
548.
Software copyright records (after the software is no longer in use).
5 years
549.
Documents on guidelines for technical procedures for operation of computer network (after the program is not in use).
5 years
550.
Technical documents about computer equipment (as the equipment is no longer in use).
5 years
...
...
...
Information technology plans and reports:
- Long-term, annual.
Permanent
- 9-month, 6-month.
20 years
...
...
...
5 years
552.
Correspondence on information technology of:
- SBV.
10 years
- Units.
...
...
...
26. Documents on education
553.
Set of documents on education and training all sent to SBV (regulatory records).
Until their expiry dates
554.
Records relating to formulation and promulgation of development strategies and plans of schools.
Permanent
...
...
...
Records relating to formulation and promulgation of regulations on education and training.
Permanent
556.
Plans and reports on implementation of training and enrollment plans of schools:
- Annual, multi-annual.
Permanent
...
...
...
5 years
557.
Records relating to design and introduction of syllabuses of schools.
Permanent
558.
Profiles and scientific research programs of lecturers and researchers:
- At state level; at industry level.
...
...
...
- At internal level.
20 years
559.
Records relating to determination of annual enrollment quota.
Permanent
560.
Decisions on admission, list of admitted students, cut-off marks.
Permanent
...
...
...
Documents on consideration of recognition for students graduated from higher education, master and doctorate programs.
Permanent
562.
Lists of learners of annual training classes and courses of schools and their exam scores.
Permanent
563.
PhD theses and their synopses.
Permanent
564.
...
...
...
30 years
565.
Undergraduate theses.
20 years
566.
Applications for registration for participation in exam, candidates’ exams and other documents relating enrollment (after graduation).
5 years
567.
Correspondence on education and training of:
...
...
...
- SBV.
10 years
- Units.
5 years
27. Documents on CPV Designated Representation, CPV’s organizations, Trade Union, Youth Union
...
...
...
27.1. Documents on operation of CPV Designated Representation
568.
Central authorities and Government’s documents providing general directions and guidelines:
- Directly related to the CPV Designated Representation:
...
...
...
Permanent
+ Personnel (for each specific employee).
70 years
- Not related to functions and tasks of the CPV Designated Representation.
5 years
569.
Records relating to formulation and promulgation of operating regulations, working disciplines, functions and tasks of the SBV’s CPV Designated Representation.
...
...
...
570.
Documents relating to establishment; appointment, consolidation and addition of members to the SBV’s CPV Designated Representation.
Permanent
571.
Documents about implementation of Resolutions, Directives, etc. of the central authorities and central committees related to responsibilities and tasks.
Permanent
572.
Records relating to topics and cases handled by the SBV’s CPV Designated Representation.
Permanent
...
...
...
Records and minutes of meetings of the SBV’s CPV Designated Representation.
Permanent
574.
Files on meetings of the SBV’s CPV Designated Representation.
Permanent
575.
Files on resolutions, decisions, regulations, conclusions, programs, plans, notices, reports, official dispatches, etc. on working policies, organizational structure and personnel.
Permanent
576.
...
...
...
70 years
577.
Records on responses to schemes, statements and official dispatches of ministries and central authorities sent to the SBV’s CPV Designated Representation:
- With responses to:
+ Working policies, organizational structure, personnel and members added to the CPV Designated Representation.
...
...
...
+ Personnel (for each specific employee).
70 years
- Without responses.
10 years
578.
Records on comments about draft documents of ministries and central authorities sent to the SBV’s CPV Designated Representation:
...
...
...
- With comments of the CPV Designated Representation.
Permanent
- Without comments.
5 years
579.
Normal administrative notices and correspondence.
10 years
580.
...
...
...
- Annual, multi-annual, tenure; thematic reports, issues, cases.
Permanent
- Preliminary review, monthly, quarterly, 6-month.
10 years
581.
Registers of incoming and outgoing documents.
...
...
...
582.
Logbooks recording incoming and outgoing documents.
10 years
27.2. Documents on operation of CPV’s organizations
583.
Set of instructional documents of CPV’s superior organizations all sent to SBV (regulatory records).
Until their expiry dates
...
...
...
Records serving General Meetings held during tenure.
Permanent
585.
Working programs and plans of CPV’s organizations:
- Annual review, tenure-based.
Permanent
...
...
...
10 years
586.
Documents providing directions for implementation of documents of quarterly and monthly:
- Important ones.
Permanent
- For information only.
...
...
...
587.
Records relating to organization of major campaigns and implementation of directives and resolutions of central authorities and Party committees at all levels.
Permanent
588.
Records relating to full division, partial division, merger and establishment of CPV’s organizations.
Permanent
589.
Communist Party members.
70 years
...
...
...
Documents on awarding of Communist Party medals.
Permanent
591.
Records relating to rewarding and disciplinary actions by the Communist Party.
70 years
592.
Documents on organization and personnel of the Communist Party.
70 years
593.
...
...
...
70 years
594.
Files on complaints and denunciations.
70 years
595.
Records relating to inspection and supervision activities.
20 years
596.
Records of minutes of periodic and extraordinary meetings of CPV’s organizations.
...
...
...
597.
CPV membership registration, Communist Party dues, accounting, etc. books.
20 years
598.
Records relating to receipt and handover of Communist Party tasks.
10 years
599.
Communist Party tasks performance reports:
...
...
...
- Annual review, tenure-based review.
Permanent
- Monthly, quarterly, 6-month.
10 years
600.
Correspondence on Communist Party tasks.
10 years
...
...
...
601.
Set of instructional documents of superior trade unions all sent to SBV (regulatory records).
Until their expiry dates
602.
Records relating to organization of major campaigns and implementation of resolutions of superior trade unions and workplace trade unions.
Permanent
603.
Resolutions of Executive Committee of Trade Union.
...
...
...
604.
Records relating to full division, partial division, merger and establishment of trade unions.
Permanent
605.
Records serving general meetings of trade unions.
Permanent
606.
Documents on organization, personnel and activities of trade unions.
Permanent
...
...
...
Applications for awarding of the Medal for the cause of the trade union.
Permanent
608.
Records relating to trade union inspection and supervision activities.
20 years
609.
Records serving annual staff conferences of:
...
...
...
20 years
- Units.
10 years
610.
Documents on operation of people’s inspection organizations:
- Annual reports.
...
...
...
- Other documents.
5 years
611.
Records on rewarding and disciplinary actions in relation to performance of trade union tasks.
70 years
612.
Records of minutes of periodic and extraordinary meetings of trade unions.
20 years
...
...
...
Trade union membership registration, trade union fees, accounting, etc. books.
20 years
614.
Documents on implementation of trade unions activities by grassroots trade unions.
10 years
615.
Records relating to accession of trade unionists.
10 years
616.
...
...
...
- Annual review, tenure-based review.
Permanent
- 6-month, quarterly and monthly.
10 years
617.
Correspondence on trade union tasks.
...
...
...
27.4. Documents on operations of youth unions
618.
Set of instructional documents of youth unions all sent to SBV (regulatory records).
Until their expiry dates
619.
Records relating to full division, partial division, merger and establishment of youth unions.
Permanent
...
...
...
Records relating to organization of major campaigns and implementation of resolutions of the Communist Party, State and Youth Union.
Permanent
621.
Records serving general meetings of youth unions.
Permanent
622.
Documents on organization, personnel and activities of youth unions.
20 years
623.
...
...
...
- The State and Government.
Permanent
- Ministries, ministerial agencies, socio-political organizations at central level and equivalent.
20 years
- Agencies, socio-political organizations of provinces or inferior administrative divisions.
...
...
...
624.
Files on disciplinary actions against leaders of youth unions:
- Records and minutes of meetings on consideration of a disciplinary action in the form of dissolution.
25 years
- Records and minutes of meetings on consideration of a disciplinary action in the form of a reprimand or warning.
15 years
...
...
...
Files on disciplinary actions against youth union officers and members.
- Records and minutes of meetings on consideration of a disciplinary action in the form of demotion (for youth union officers) or expulsion.
20 years
- Records and minutes of meetings on consideration of a disciplinary action in the form of a reprimand or warning.
10 years
626.
...
...
...
20 years
627.
Membership registration, accounting, etc. books.
20 years
628.
Records relating to performance of Youth Union-related activities.
5 years
629.
Youth union task performance programs, plans and reports:
...
...
...
- Annual review, tenure-based review.
Permanent
- 6-month, quarterly and monthly.
10 years
630.
Correspondence on youth union tasks.
10 years
...
...
...